Post disaster response and mitigation of future losses proceedings of an International Symposium Housing and Urban development After Natural Disasters, Miami, Florida, October 23-26, 1985

[From the U.S. Government Printing Office, www.gpo.gov]

PROCEEDINGS: INTERNATIONAL SYMPOSIUM
HOUSING AND URBAN DEVELOPMENT AFTER
NA"I"URAL DISASTERS

POST DISASTER RESPONSE
AND
MITIGATION OF FUTURE LOSSES

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WASHINGTON,DC 20235

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62
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1985

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October 23-26, 1985 lw@
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Miami.,- Florida

,---J-cyn. A. Kusler (Ed.)

'Ameri.can Bar Association
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18 5

Spe,cial CorTimittee on Houising and Urban Development Law

Proceedings of an International Symposium

Housing and Urban Development
After
Natural Disasters,
Post.-Disaster Response
and
Mitigation of Future Losses

Miami, Florida
October 23-26, 1985

Edited by Jon A. Kusler, Esq.

Conducted by
The American Bar Association
Special Committee on Housing and Urban Development Law.

Sponsored by the

National Science Foundation
U.S. Agency for International Development
U.S. Federal Emergency Management Agency CZIC NOAA WNW-
WASHINGTOWnr
In Cooperation with the

American Red Cross
Association of State Floodplain Managers
Florida Department of Community Affairs
Florida Sea Grant Program
National Hurricane Center
Natural Hazards Center, University of Colorado
University of Florida College of Law
Center for Urban and Regional Studies, University of.North Carolina
University of Wisconsin Disaster Management Institute

U . IS . DEPARTMENT OF COMMERCE NOAA
COASTAL SERVICES CENTER
0Z
2234 SOUTH HOPSON AVENUE property of CSC LibrOW
CHARLESTON , SC 29405-2413

This symposium was conducted for the American Bar Association, Special Committee on Housing
and Urban Development Law, with funding from the National Science Foundation, the U.S. Federal
Emergency Management Agency and the U.S. Agency for International Development. Opinions,
findings, and conclusions expressed in the document are those of the authors; and do not necessarily
reflect the views of the sponsoring agencies, or the American Bar Association. The views set out in
these proceedings have not been considered by the ABA's House of Delegates and do riot constitute
the position of the American Bar Association.

Cover Graphic: Charles Joseph Minard, "De ]a Chute des Ponts
dans les grandes Crues." (October 24, 1856). Figure 3, In Minard,
Collection do ses brochures (Paris, 1821-1869). Held by the Bibliotheque
de l'Ecoqle Nationale des Ponts et Chaussees, Paris. Also, in Printed by: OMNIPRESS "The Proceedings Printer"
The Visual Display of Ouantilative Information. Edward R. Tufte, Madison, Wisconsin
(1983), Graphics Press, Cheshire, Connecticut. p.39.

Property of CGC
Additional copies available from the American Bar Association, 1800 Street, N.W., Washington, D.C. 20036.

Foreword

The primary goal of this international symposium was to critically examine post disaster
response efforts to floods and earthquakes in the U.S., to identify strengths and weaknesses
in those efforts for mitigating future losses,.and to suggest measures for strengthening those
efforts including research priorities.

A secondary goal was to compare U.S. efforts with those of selected developed and
developing nations, to identify commonalities and differences in mitigation strategies, and to
suggest measures for strengthening mitigation on the international scene, with particular
reference to legislative needs.

The symposium gathered together in Miami eighty experts from twenty nations. Considering
the many countries represented, there was a surprising degree of agreement on problems with
existing approaches and measures needed to strengthen post disaster mitigation.

Loss of life and property due to flood, earthquake and mudslides and landslides wa s high
in 1985: Over twenty-four thousand died as a result of volcanic activity and mudflows in
Columbia; 10,000 deaths and billions of dollars in property damage resulted from earthquakes
in Mexico; over three billion dollars in property losses resulted from the six hurricanes that
made landfall in the continental United States; several hundred lives were lost due to a
mudslide in Puerto Rico; a major earthquake levelled one portion of a city in the Soviet
Union; major flooding occurred in Brazil and Argentina; repeated cyclones destroyed 16,000
houses in Figi; and serious flooding occurred in India.

Such events provide political ' and- financial opportunities for reducing future
vulnerability if long- and short-term policy commitments to mitigation are made at all levels
of government and the lessons learned from these and past events are applied in rebuilding and
reoccupation of. hazard areas. Explicit commitments and incentives are needed to counter the
tendency to return to the status quo. Without such commitments, the cycle of losses,
rebuilding, and more losses which is all too common will continue.

Since the Second World War, considerable progress has been made by governments and
private organizations in both the U.S. and internationally in relieving the immediate
suffering caused by floods, earthquakes, landslides and other natural disasters through
improved rescue, medical care, temporary housing, and food services. Warning systems and
multipurpose structural works such as dams and levees have been constructed in many areas of
the developed and developing nations. These have reduced loss of life andv to a lesser
extent, property damages. Some progress has also been made in reducing losses to new
structures and structures totally destroyed by floodsl earthquakes, and winds, particularly in
urban areas, through mapping and building codes. But repair and rebuilding for the 80-90
percent of the structures damaged but not destroyed in most hazard events continues to occur
with little effort to reduce or "mitigate" future losses. As a consequence, this development
and much of the new development not constructed consistent with mitigation guidelines is
equally vulnerable to hazards.

@For example, few of the more than 6,000,000 buildings at risk from flooding the the U.S.
including most of those actually damaged by flooding during the last decade have been
retrofitted to reduce future potential losses. The severe economic impact of damage and
repair without mitigation and further damage is illustrated by FEMA's estimate that 2% of the
repetitively damaged structures insured by the National Flood Insurance Program contribute 40%
of the value of the total claims -- about $100,000,000 per year.

Inadequate mitigation after disasters is a problem world-wide. Most governments lack
legislation or incentives for mitigation. Governments inevitably provide relief once
disasters occur. But no government has adopted comprehensive mitigation policies with regard
to post-disaster repair and rebuilding or pre-disaster prevention. Without careful
guidelines, coordination mechanisms and incentives, relief may encourage rather than reduce
future similar losses at the same location.

Losses are increasing in many areas of the world including some areas of the United
States due to a combination of rapid urbanization and population growth in riverine floodways,
coastal beaches and islands, hillsides subject to mudslides and other ground failures, and
earthquake zones. The poor, who often occupy these areas in and at the margins of cities,
suffer most when disasters occur and have the least ability to absorb losses.

Not all future hazard losses can be prevented nor is it economically efficient or
politically expedient to incorporate hazard reduction measures in all rebuilding (or new
building). But even simple and cost-effective mitigation measures such as rebuilding with
less water damage prone materials in flood hazard areas are often ignored.

We hope that you will find the many excellent papers stimulating and useful in
strengthening your own disaster preparedness or post disaster mitigation efforts.

Acknowledgements

The National Science Foundation provided the primary funding support for this symposium.
This support and the guidance and the many helpful comments of Dr. William Anderson, project
officer, are much appreciated.

The Federal Emergency Management Agency also provided financial assistance. Larry
Zensinger, Richard Krimm, Frank Thomas and others from FEMA offered valuable suggestions on
the program content and speakers, and participated in the program.

The U.S. Agency for International Development provided travel funds for most of the
international speakers as well as suggestions on program content.. The assistance of Fred
Cole, Alan Swan and Gudrun Huden is gratefully acknowledged.

Publication of these proceedings has been made possible through the assistance of FFMA,
the U.S. Agency for International Development, the.U.S. Army Corps of Engineers, Floodplain
Management Services, and The Tennessee Valley Authority.

The American Bar Association Special Committee on Housing and Urban Development Law
supervised this project. Penelope Ferreira, staff director for the committee and Mary Ellen
Vollbrecht, symposium coordinator, handled administrative matters, and provided guidance on
many aspects of the program. Without them, the project would have been impossible.

Finally, the many excellent speakers and panelists who made this symposium possible are
to be thanked and Kathleen Whalen, Gayle Brooks and Kim Matthews who provided able typing and
editorial assistance deserve much credit.

Sincerely,

Jon Kusler, Esq.
Principal Investigator

Priority Recommendations

Chapter 16 contains a more detailed list of
recommendations.

STRENGTHENING MITIGATION IN THE U.S. damaged structures.

Much of the legislative framework needed for 5. Specially allocate (through Congressional
post flood mitigation is already in place in the or OMB action) a vortion of federal disaster
U.S. this is less true for earthquakes and other i;s`si7st_anc_e_funds -iii;d' -flood I'nsurance premiums to
types of hazards. Emphasis in strengthening mitigation activities (e.g., 20%).
post-disaster mitigation in the U.S. should be
upon implementation of flood-related legislation 6. Apply consistent subsidies and cost-
and extending mitigation lessons and strategies sharing. Consistent government subsidies and
from floods to other types of disasters. cost-sharing requirements should be applied to
both structural and nonstructural post disaster
Priorities for federal agencies, states, mitigation approaches (e.g., dams, floodproofing,
local governments, and research institutions to construction of levees) so that local governments
strengthen post disaster mitigation include: and disaster victims do not simply choose the
technique which is most heavily subsidized.
1. Develop and publish guidelines for
retrofittinpL partially damaged structures in all 7. Better disseminate "how to do it.11.
major lypes of disasters (floods, winds, information concerning mitigation approaches to
earthquakes, land failures, etc.) and prepare and hazard area decision-makers. Better
publish simple "how.to do it" manuals. Some of disseminati:o-nof information is needed concerning.
this research is already underway in FEMA, the the possible reoccurrence of specific hazards,
Corps of Engineers, and Universities. This what can be done to reduce future losses, and the
research should be continued and the results benefits of such actions. Such dissemination is
broadly disseminated. key to improved post disaster mitigation by
governments, architects, engineers, banks,
2. Revise the nonconforming use provisions -developers, and hazard area occupants. There is
in federa@i_ 7guidelines for flood insurance and in a serious gap between those who know what can be
state and local regulations for all types of done (a small group of experts in the country)
disasters to require incorporation of damage and those who make and carry out most post
reduction measures in repairs where damage is disaster decisions.
less than as well as greater than 50% of value.
Such provisions would'not necessarily require 8. Place greater emphasis in government and
rebuilding to reduce damage potential but would private programs upon mudslides, mudflows, and
emphasize more modest damage reduction measures landslides. Mudslides, mudflows, landslides, and
(materials, utilities, contents, etc.). Such other ground failures are among the natural
expanded requirements should be linked to easy to hazards causing the greatest loss of life and
read "how to do it" manuals and guidelines. Such property ,damage in the U.S. Areas subject to
requirements should also be linked to insurance such potential ground failures have not been
surcharges for repetitively damaged structures. extensively mapped nor have development
The surcharge would not apply if mitigation guidelines been formulated or adopted for most
measures were installed. areas. Enhanced management efforts should be
undertaken by federal agencies, university, and
3. Extend the federal post-disaster team private organizations including mapping,
conc4t to nonflood disasters 'and establish state regulation, warning systems, and other
and local teams. State and local members should management.
be appointed to federal teams on a more regular
basis. The establishment of parallel local and 9. Enhance local government and hazard
state teams is also advisable. The formulation occupant "self-@@ and local "coping"
ana distribution of1team recommendations should mechanisms. Government and private disaster
be expedited. Additional training in mitigation policies-should be revised (where necessary) to
assessment should be provided for team members. more fully encourage landowner and local
A national cadre of experts for teams should also government self-help. Measures to encourage
be assembled. self-help may include better involvement of
locals in post-disaster teams; consistent local
4. Revise the rate structure of the National cost-sharing requirements for disaster
Flood fn-suranc-e Program. Surcharges should be assistance; improved training of local
provided for multiple loss structures and governments and hazard area occupants;
incentives for retrofitting only partially preparation of guidebooks and other educational

measures for building design and retrofitting of a. A disaster assistance agency or team of
existing structures; training of local builders agencies to conduct rapid assessments
and bankers; construction of demonstration after a disaster to identify the
projects; adoption of insurance incentives for boundaries of hazard areas and severity
buildings constructed or retrofitted with of risks, , damages to structures and
mitigation measures; and incorporation of infrastructure, and mitigation options;
mitigation guidelines and conditions in grants,
loans, and other forms of assistance. b. A natural resource agency to more
formally map and mark hazard areas;
10. Develop improved procedures for assessing
and categorizing structures and infrastructure c. An agency to adopt policies and
afteK disasters according Lo degree of damage and regulations requiring incorporation of
mitigation potential. More selective and disaster mitigation measures in repair of
improved moratoria and building repair guidelines buildings and infrastructure;
as well as technical assistance and allocation of
grants and loans should be based upon these d. One or more agencies (education, natural
categorizations. resource) to conduct education and
provide technical assistance for
11. Encourage the integration of hazard landowners, local governments, members of
mitigation into long-term economic and land use the building trades, banks, and other
planning. Such integration could be encouraged decision-makers.
through revised planning guidelines; conditions
attached to grants and loans; training efforts e. A disaster assistance or other agency to
for developers, bankers and planners; and more require the incorporation of disaster
extensive involvement of land planners and mitigation measures in long-term
financers in post disaster planning and rebuilding and economic development.
assessment teams.
f. One or more agencies to provide financial
12. Conduct additional post-disaster research incentives (e.g., 'grants, loans,
and assessments to determine the effectiveness of subsidized insurance, income tax
alternative mitigation approaches. Additional incentives) for landowners and local
implementation-oriented, detailed studies should governments to encourage mitigation in
be conducted after disasters to determine the post-disaster contexts.
effectiveness of mapping, marking, structural
design measures, emergency response, and other 2. Priority-setting in hazard mitigation.
techniques. Governments with limited funds and expertise
should carefully establish priorities for
allocating limited disaster relief and mitigation
STRENGTHENING POST DISASTER MITIGATION- funds to address the highest risk hazard areas
IN OTHER COUNTRIES and the individuals most in need of help.
Virtua 'Ily all of the problems or limitations 3. Post disaster mitigation teams.
upon post disaster mitigation encountered in the Governments and private relief organizations
U.S. also occur in other nations. Additional might make use of the U.S. post flood disaster
constraints on funding and expertise are mitigation team concept. Such teams could
particularly serious in developing nations. The include representatives of international relief
recommendations for strengthening post-disaster organizations and consulting experts as well as
mitigation in the U.S. suggested above are valid agency and local government representatives.
for most developed and developing nations.
However, priorities will differ for other 4. Greater emphasis upon mitigation rather
than relief in post-disaster assistance efforts.
nations depending upon the status of mitigation Governments and international relief
legislation, available financial resources, organizations should allocate a portion of relief
status of land use control mechanisms, degree of funds to long-term mitigation and should request
foreign financial assistance, available financial and technical assistance for long-term
engineering, and architectural expertise, and mitigation.
other factors.
5. Care not to disturb local economic
Some additional recommendations for activities-. I-t- viould7- -appear-partli-cularly
strengthening international efforts by important in developing nations that relief
governments and international relief efforts (domestic and international) not
organizations include: undermine local agriculture and other economic
I.- Adoption by governments and international activities needed for long-term recovery.
relief agencies of explicit, long term disaster 6. Enhancing self-help. Where funds are
mitigation policTlis. New legislation or policies scarce (as in many developing nations), it would
with clear and long-term post-disaster mitigation appear particularly important that governments
and disaster prevention goals and containing and international relief efforts encourage
bindings statements of policy is needed in most disaster victim and local government self-help.
nations. Such legislation or policies should, in For example self-help flood warning systems and
addition to stating clear long-term goals, efforts to provide assistance in building
authorize: reconstruction by supplying a portion of the

materials have worked well in some contexts such
as reconstruction of public buildings with hazard
resistant design can serve educational and
leadership as well as hazard reduction goals.

7. Enhanced Irsimpleff mechanisms for
information transfer. Marking of hazard areas,
the training of local builders, demonstration
projects, and simple "how to do" guidebooks are
needed to educate hazard area occupants.

8. Greater emphasis upon nonstructural
alternatives. Developing nations should, like
their developed nation counterparts, place
increased emphasis upon nonstructural mitigation
approaches such as warning systems incorporation
of hazard protection measures in building design
rather than very costly dams, floodwalls, etc.

9. Formulation and adoption of hazard
.reduction guidelines for housing, commercial and
industrial development and infrastructure.
Engineering guidelines @alilored to local
materials and conditions are needed for. many
nations and regions. Special attention should be
given to major projects located in hazard areas.

10. Research. In developing as well as
developed nations, research is needed by
governments, universities, architectural and
engineering societies, and builders concerning
the short- and long-term effectiveness of.various
mitigation approaches and strategies. See a more
detailed list of research needs in Chapter 16.

11. Pre-Disaster preparedness. Post disaster
mitigation cannot and shoul not be separated in
government and private programs from predisaster
preparedness and planning. Disasters often
provide the opportunity for adoption of long-term
mitigation measures including pre-disaster
preparedness for the next hazard event due to the
high level of interest in mitigation and multiple
sources of financing.

Table of Contents

CHAPTER 1: IMPEDIMENTS TO MITIGATION

- Jon Kusler, Esq ............................................................................ I

CHAPTER 2: PERSPECTIVES ON MITIGATION: DEVELOPED AND DEVELOPING NATIONS

Overview of..Post Disaster Mitigation Issues and Opportunities: The U.S. Experience
-- Samuel W. Speck ............................................................................ 9

Evolution of Post-Flood Mitigation Policy in the United States
-- Rutherford H. Platt ....................................................................... 13

The Italian Experience with Earthquake Preparedness and Disaster Relief
David Alexander ........................................................................... 19

Natural Hazard Mitigation in Developing Countries
-- David Scott Luther ...................... I .................................................. 28

Post-Disaster Housing Reconstruction and Economic Development in Peru
-- DanielTorrealva .......................................................................... 30

Transferring Mitigation Techniques Between Developed and Developing Nations
Richard W. Krimm .......................................................................... 32

CHAPTER 3: MITIGATION TECHNIQUES

Growth Management and Coastal Storm Hazard Mitigation
David J. Brower and Timothy Beatley ....................................................... 35

Some Techniques for Reducing Mudflow and Mudflood Hazards
-- William J. Kockleman ...................................................................... 44

The Realization of a Seismic Microzoning Study in The Chlef Region of Algeria Following the
1980 El Asnam Earthquake
- Walter W. Hays ............................................................................. 51

Facilitating Mitigation Through Mental Health Services After a Disaster
- Mary Lystad ............................................................................... 58

Transfer of Mitigation Techniques Among Types of Disasters: Factors Affecting Mitigation from
Earthquakes, Floods, Volcanoes, and Ground Failure
-- Martha L. Blair .......................... I ................................................ 61

-CHAPTER 4: LOCAL GOVERNMENT PERSPECTIVE

Post-Disaster Opportunities: The Local Scene
Claire B. Rubin ........................................................................... 67

A Regional Appraisal of Local Recovery From The Hurricane Alicia Disaster
-- Philip Berke and A. Kim Luedke ............................................................ 70

Post disaster Land Use Adjustments: Who Decides ... For Whom?
- Thomas Hirsch .............................................................................. 76

The 1976 Big Thompson Flood Recovery in Today's Colorado Context
- Eve Gruntfest ............................................................................. 78

A Scenario for a Hypothetical 100 Year Flood for Manitou Springs, Colorado
-- Eve Gruntfest, M. Kelly Todd, and Carol Phelan ............................................ 77

CHAPTER 5: THE ROLE OF THE PRIVATE SECTOR

Facilitating Mitigation Through Housing and Other Emergency Services in the U.S. Provided by
the Private Sector
-- Roy Popkin ............................. w .................................................. 81

Negotiated Land Development and Hazard Mitigation
David R. Godschalk ........................................................................ 87

Vii

CHAPTER 6: POST DISASTER MITIGATION SURVEYS

National Academy of Sciences/National Research Council Post-Disaster Surveys: Their
Applicability for Mitigation Purposes
-- James K.Mitchell ......................................................................... 90

Post-Flood Interagency Hazard Mitigation Teams: Their Accomplishments and Prospects
Laurence W. Zensinger ..................................................................... 94

The Effectiveness of Hazard Mitigation Teams
Leo M. Eisel ................................................................................ 97

Improving the Hazard Mitigation.Process: One State's Perspective
-- Leslie A. Bond ............................................................................. 99

CHAPTER 7: CONDITIONING GRANTS AND LOANS

Lessons on Conditioning of Hazard Mitigation Assistance
-- Carl L. Cook, Jr ........................... i .............................................. 102-
Federal Agencies',Successes a,nd.Failures to Encourage Mitigation with the Floodplain Management
Executive Order
Frank H. Thomas .......................................................................... 105

Effectiveness of National Barrier Island Legislation- A Strategy of Withdrawing Development
Incentives
David R. Godschalk ........................................................................ 109

Building..and.Rebuilding on Coastal Barriers: Conservation/Development Quotas -
Marguerite Whilden ............. ............................................................ ill

Conditioning Grants Upon Mitigation
-,7.Frederick M. Cole .................. I ...................................................... 114

CHAPTER 8: INSURANCE

Use of Insurance as a Mitigation Tool@in France
--v- Paul M. Simeon ......................................... ..................................... 117

Flood LossMitigation in the United.States: The Interplay of Land Use Regulations, Disaster
Assistance, and Insurance
Frank,H. Thomas ........................ ............................................... 120

CHAPTER 9:. BUILDING DESIGN AND DISASTER MITIGATION

Post-Flood Mitigation Surveys
French Wetmore ........................................................................... 124

Reducing Future Flood Losses: Retrofitting Existing Construction
= Douglas Lash ............................................................................. 127

Modification of Homes and Buildings to Prevent Floodwater Damage
Carl E. Pace ............................................................................. 133

Evaluating Hurricane Shelters and Other Flood Resistant Structures
Christopher P. Jones ..................................................................... 14i

The Role of Vertical Refuge
Carlton Ruch, Phillip Berke, Norris Stubbs, H. Crane Miller .............................. 143

CHAPTER 10: WARNINGS AND EVACUATION PLANS

Flood Forecasting and Warning Systems in Developing Nations
-- Zhao Kejing .............................................................................. 148

Flood Damage Mitigation.Lessons Learned in the Susquehanna River Basin
-- Stewart K. Wright .......................... ; ............................................. 150

High and Low Cost Evacuation Planning Techniques
David A. Griffith ......................................................................... 154

Viii

CHAPTER 11: ACQUISITION AND RELOCATION

Strengthening Post Disaster Mitigation: A Sociological Perspective
-_ Russell R. Dynes ......................................................................... 158

Acquisition and Relocation: The Australian Experience
-- John W. Handmer ........................................................................... 162

Post Disaster Re-Locati.on: Indonesia's Experience
- Teddy Boen ............................................................................... 170

Successes and Failures with Moratoria and Long-Term Mitigation After the Big Thompson Canyon
Flood
Nona Thayer .............................................................................. 174

Acquisition: The Baytown Experience
Randall B. Strong ........................................................................ 177

Acquisition and Relocation
John D. Seyffert .......................................................................... 180

CHAPTER 12: STRUCTURAL MEASURES

Use of Structural Hazard Reduction in a Post-Disaster Context: The Netherlands Experience with
Flood Protection Measures
Tom Goemans .............................................................................. 184

British Structural Flood Mitigation Experience: A Critical Look at Response to Coastal Flood
Disasters
-- Dennis J. Parker... ....................................................................... 191

CHAPTER 13: LEGAL ISSUES

Some Legal Issues in Disaster Mitigation in Developing Countries
Franklin McDonald ........................................................................ 199

Legislation Affecting Disaster Preparedness As It Relates to Barbados
- Errol Chase .............................................................................. 201

Government Liability for Harm Resulting From Disaster Loss Mitigation
- James L. Huffman ......................................................................... 205

Encouraging Government Mitigation: The Forensic Geologist/Expert Witness Perspective
James E. Slosson ......................................................................... 211

Legal Questions in a Post Disaster Context
- Jon Kusler, Esq .......................................................................... 215

Land Use Restrictions in Post-Hurricane Reconstruction Planning: Weathering the Storms of
Constitutional Challenges
-- Richard Hamman, Esq ....................................................................... 220

CHAPTER 14: TRAINING AND EDUCATION

The U.S. Geological Survey's Training Program in Geologic and Hydrologic Hazards for
International Participants
Mary Ellen Williams and Olga H. Marinenko ................................................ 226

Post-Disaster Education and Training: Innovations in Distance Learning
-- Donald Schramm ........................................................................... 228

The American Institute of Architects Latin American Workshops on Natural Hazard Protection
Design: Accomplishments and Recommendations
-- Donald E. Geis ........................................................................... 232

CHAPTER 15: MITIGATION AND BROADER PLANNING

Natural Hazard Assessment in Integrated Regional Development
- Stephen 0. Bender ........................................................................ 240

Towards an Integration of Post-Disaster Planning into a Broader Planning Context
-- Ovsei Gelman ............................................................................. 245

Collaboration for Mitigation: Combining Hazards Mitigation and Resources Management Through
Coastal Area Planning
-- John R. Clark ............................................................................ 2-48.

A Model Program for Economic Vulnerability Reduction and Recovery
Ian Davis ................................................................................ @251

CHAPTER 16: CONCLUSIONS, RECOMMENDATIONS, RESEARCH NEEDS

Conclusions, Recommendations, Research Needs
Jon.Kusler, Esq.... ............. ........................................................ 257

APPENDICES
Speakers, Moderators, Panelists .............................................. ............... 265

B. Elements of a Post-Disaster Mitigation Statute or Policy .................................... 270

C;, -Resolution Considerations Regarding Natural Hazard Mitigations @in. Developing Countries.:..275

*th.Annotations: Post Disaster Response And Mitigation of Future
D. A Selected Bibliography wi
Losses .................................................................................... 276

CHAPTER ONE

IMPEDIMENTS TO MITIGATION

I I

Impediments to Mitigation

Jon Kusler, Esq.
Consultant to the American Bar Association

INTRODUCTION 4. Relocate the structures, infrastru cture
and hazard prone activities to less
Natural disasters (including drought) kill hazard prone areas; or
an estimated 115,000 individuals annually and
affect over 40 million (Wijkman and Timberlake, 5. Construct hazard reduction measures such
1984). Impacts.often spread geographically far as sea walls, dams, and levees (effective
beyond the disaster area and may endure for many only for floods, mudslides, erosion).
years. Economic and political instability as well
as pain and suffering may result. For example, Despite a growing international awareness
governments in Nicaragua and Guatemala were that a particular disaster event will eventually
undermined and toppled due, in part, to reoccur or be exceeded at a particular site, the
dissatisfaction with government responses to first alternative -- repair and rebuilding
major earthquakes. without incorporation of improved building design
is by far-most common.
Traditionally national or federal government
response to disasters in the,United States and Repair without mitigation is not, in itself,
elsewhere has been "relief" oriented. Emphasis a sign of poor decision-making. The costs of
has been upon rescue, emergency food and water, mitigation need to be compared with the benefits.
medical care, and temporary housing. This is not easy since costs and benefits are
hard to quantify, particularly where loss of life
When the disaster is large, typically all may be involved, and long-term benefits and costs
levels of government share in the response are hard to project. Decision-making is also
whether or not they have adopted, prior to the often driven by other factors which may
disaster, specific disaster legislation, plans or (arguably) be equally valid as economics --
policies. The issue is not whether governments humanitarian concern, disaster victim desires,
will respond to disasters -- they inevitably do - and short-term profit or political needs.
- but whether this response will meet disaster
victims' short-term and long-term needs, whether Despite practical reasons for repair without
this response will support or undermine efforts mitigation in some contexts, incorporation of
to implement broader economic and social goals, simple, cost effective damage reduction measures
and whether this response will lead to a such as the use of materials with low damage
continuing cycle of building, disaster losses, potential are often possible but ignored.
rebuilding and repair in the same location, and
more losses.
POST-DISASTER MITIGATION IN THE U.S.
Disaster victims and governments have
several choices for rebuilding and repair after a Incorporation of mitigation measures in
disaster: post-disaster recovery and repair in the U.S. has
taken place primarily after flood disasters.
1. Repair damaged infrastructure and Disillusioned with escalating flood damage,
structures in situ without hazard despite the expenditure of over $7 billion in
protection in which case further damage federal funds alone, the U.S. Congress in 1968
will occur with the next hazard event; adopted the National Flood Insurance Act to help
t1spread" flood losses and to encourage new
2. Repair or rebuild damaged structures construction and rebuilding consistent with
incorporating hazard-resistant designs, development guidelines. In 1973 the Act was
providing partial or total protection; amended, in effect, to mandate flood insurance by
requiring that communities enroll in the Program
3. Implement warning systems and evaluation if they . wished to qualify for disaster
plans to reduce loss of life and injury assistance, loans, or other types of federal
and movable goods; assistance in the floodplain. As a result of the
1968 and 1973 Acts, 17,000 communities have
adopted minimal floodplain regulations and have
*This introduction is based upon a literature enrolled in the National Flood Insurance Program.
review. See bibliography of the Chapter and Program guidelines for community programs require
articles cited in selected bibliography by Mary that communities adopt regulations for repair and
Ellen Vollbrecht in the Appendix of this expansion of existing structures when
proceedings.

Itsubstantial" improvements occur. Substantial Ffforts have also been made to implement
improvements are defined to include repair, flood warning systems in most nations.
reconstruction, or improvement of a structure,
the cost of which equals or exceeds 50% of Control of land uses in hazard areas through
the market value of the structure either (a) regulatory approaches are far less common on
before the improvement or repair started, or (b) the international scene although flood
if the structure has been damaged and is being regulations have been adopted by some communities
restored, before damage occurred. in England and Australia. Regulations
establishing minimum standards for earthquake
No repairs or upgrading of damaged resistant design have been adopted in Italy,
structures are required by the regulations unless Turkey, Mexico, Chile, Venezuela, and other
the 50% figure is exceeded. Flood insurance countries although most codes apply only to large
rates do not usually increase no matter how many cities or major structures. Much of the
times a structure is damaged. rebuilding and new construction in high risk
areas throughout the world makes no adjustment
Federal disaster insurance has not been made for hazards.
widely available for other disasters. However,
in an attempt to mitigate future losses once a
disaster occurs, Congress incorporated section IMPEDIMENTS TO DISASTER MITIGATION
406 in the Disaster Relief Act of 1974 which
makes disaster loans and grants to states and Opportunities for mitigation are created by
local governments for all types of disasters on disasters. Disasters raise public awareness.
the condition that recipients evaluate hazards Both governments and private individuals share a
and adopt mitigation measures. common interest in reducing future loss of life,
1" injury, and property damage. Relatively large
In 1979 Congress appropriated funds to the sums of money may be available for rebuilding due
Federal Emergency Management Agency to begin to domestic appropriations and international
acquisition of repetitively damaged and high risk relief. Where structures have been totally
flood areas subject to the National Flood destroyed, there is opportunity to start over and
insurance Program. Although very modestly "do it right" to accomplish not only hazard
funded, this program embodied still another to reduction goals but broader land planning and
mitigate future flood losses -- acquisition and economic development objectives.
relocation.
Why, then, is incorporation of hazard
Finally, in 1981 the Office of Management mitigation measures in reconstruction so rare in
and Budget issued a memorandum to ten federal both developed and developing nations?
agencies to create federal flood disaster teams
after federally declared disasters to survey -- Media attention and mitigation efforts
disaster areas and make recommendations for ..focus almost exclusively an destroyed or
mitigation within 15 days. seriously.damaged structures. Total destruction
or serious damage to more than 10-20% of affected
At local and state levels, some effort, structures is uncommon in even the most severe
been made to incorporate mitigation measure,,`% floods, hurricanes, or earthquakes. Media and
post-disaster response (Kusler, 1982); see also disaster attention and mitigation efforts
Table 1. These have principally related to typically focus on this small percentage -- often
flooding -- and have typically taken the form of located near the epicenter of an earthquake; the
flood and erosion control measures. However, wave zone of a hurricane; or the velocity and
some broader efforts have been made to mitigate deep inundation zone of a river floodplain. But
future losses from earthquakes, mudflows, most of the damaged dwellings, infrastructure,
subsidence, and other disasters, often pursuant and economic activities (such as agriculture) are
to broader community planning programs. Most of located in other affected areas. Repair and
these have occurred only after severe disasters. reoccupation usually occurs without mitigation.
The mitigation measures have also usually been
applied only to destroyed or seriously damaged Lack of clear long-term mitigation goals
structures. Other structures have simply been or procedures. In the U.S. and internationally,
repaired. 7n]y limited legislation has been adopted
promoting long-term mitigation. Most legislation
is relief-oriented and makes no mention of long-
INTERNATIONAL.EXPERIENCE term reduction of future hazard losses. Clear
articulation of mi -tigation goals in national
As with the U.S., there are many examples in legislation and policies is needed if the
both developed and developing nations of the tendency to return to old ways of financing and
construction of structural mitigation measures construction are to be countered. Lack of
such as dams, levees, and sea walls constructed legislation may actually limit mitigation where
after major floods. For example, the Dutch and disaster assistance is available only for
English undertook massive efforts to strengthen reconstruction to preexisting standards and funds
sea walls and levees.after the floods of 1955 cannot be used for hazard resistant design which
including the construction of a $2 billion flood is more expensive.
gate on the Thames. The Japanese have
constructed an estimated 20,000 engineering works -- Inadequate standards and simple "how to
to reduce landlides and mudslides. The Swiss do it" guidelines for building reconstruction and
have constructed many avalanche control measures. repair. With little exception, building codes

focus upon new construction, not the repair of disaster mitigation teams in the U.S., rapid
existing bJ7_1dings to reduce potential future definition of mitigation options was uncommon.
losses. It is often impossible or impractical to Even now definition of mitigation options and
incorporate these design alternatives or regulations or incentives to help implement those
specifications desirable for new development into options are somewhat limited. As a result, too
repair. Standards and guide-lines specifically often victims return to their homes and start
drafted for repair and reconstruction are needed. repair. Businesses reopen. Repair and
reconstruction occurs without consideration of
Inadequate incentives to encourage future losses.
incorporation of damage reduction measures in
reconstruction -arfd repair. There are few No constituency Lor "mitigation" during
immediate finanJ@al incentives for long-term building repair and long term recovery. Often
mitigation. For example, the National Flood national leaders and local groups including some
Insurance in the U.S. offers little incentive for disaster victims are enthusiastic about
loss reduction in repair since insurance is mitigation immediately after the disaster. This
usually at the same rate no matter how many times. enthusiasm may continue for 6 months to a year.
a structure is damaged. Disaster,assistance in But after that, the disaster is often discounted
the U.S. and elsewhere. also offers little as "not likely to happen again" and rebuilding
incentive for long-term mitigation. without mitigation occurs.

-- Inadequate dissemination of information. -- -Hazard and other information maps are
Disaster victims, banks, local g6vernments, lacking, inaccurate, or at too small a scale.
insurance companies, and others making repair and After a disaster, detail-ed maps and other data of
reconstruction decisions often have little the sort needed for repair and rebuilding are
knowledge of mitigation options. often lacking. Maps are needed not only
identifying the boundaries of hazard areas but
-- Lack of leadership. The post disaster the magnitude of the specific hazards (depth,
scene is often dominated by relief-oriented velocities, erosion potential, etc.) within such
individuals and organizations such as civil areas.
defense agencies, national guards, church groups,
and private organizations with little expertise -- Problems with coordination. Coordination
or interest in long term mitigation. Natural problems in relief and recovery efforts are
resource and water resource agencies with some common in both developing and developed nations
expertise in mitigation may play a role but@until with little definition of common long term
recently, most engineers and other experts had mitigation goals by participating organizations.
training only in structural hazard reduction Once the emergency is over, separate agencies,
techniques such as dams, not selective non- levels of government, private relief groups, and
-structural mitigation techniques such as disaster victims follow different courses.
retrofitting buildings and warning systems.
-- The possibility of a state , national, or
Inadequate. engineering, architectural, local 17--_9 term "baii-out7 discourages - lo@a_l
hydrologic expertise after a disaster to assess mit.igation. A study several years ago concerning
hazards and formulate rebuilding mitigation innovative local floodplain management programs
options. Lack of expertise is a particularly in the U.S. concluded that few if any communities
serious problem for rural areas and developing were willing to tightly regulate new development,
nations. renovate existing development or otherwise
mitigate future potential losses as long as there
-- Inadequate land use control mechanisms. was a prospect of federally financed (usually
In some states and communities in the U.S. 100% financing) flood control works for the area.
existing buildings cannot be regulated pursuant The possibility of free long term aid and
to existing statutes and regulations which exempt "bailout" appears to discourage local action
or "grandfather" such structures. In developing wherever it occurs.
nations, much of the development in urbanizing
areas is also not subject to regulations or -- Financing without consideration of future
cannot practically be'regulated due to lack of losses. Long term rebuilding and new development
land ownership information, low literacy rates, in hazard areas is largely financed by
and broadscale squatter settlements. development agencies, institutions, and banks
with little supervision or input from- disaster
-- Emphasis upon relief. Both developed and mitigation agencies and little expertise in
developing nations and private relief mitigation. Massive losses may later incur and
organizations emphasize disaster relief. Long the debtor, individual, group, or nation may be
term repair and mitigation rarely receives much unable to finance or find great difficulty in
attention. financing repairs.

Critical data-gathering, planning, and Plans prepared for rebuilding after a
decisions fail to occur in the immediate post- disaster are often untimely, impractical, or
disaster context. Time is of the essence after a politically unacceptable. Public plans prepar-e-d
disaster if mitigation measures are to be for rebuilding after major disasters are often
incorporated in repair and rebuilding. Rapid and only partially implemented or not implemented at
informed data-gathering planning and decision- all due to deficiencies:
making (within three to six weeks) are needed but
rare. Prior to the establishment of post- - They are prepared six months, a year, or

more after the disaster and after much of Kusler, J.A. 1979. Floodplain Acquisition: Issues
the repair has been completed. and Options in Strengthening Federal
Policies. Prepared for the U.S. Water
- They are either too grandiose and Resources Council. National Technical
impractical or, on the other hand, lack Information Service, Springfield, Virginia.
sufficient vision.
Miller, C.H. 1979. Enforcement of "Substantial
- They are prepared without adequate local Improvement" Regulations: Scituate,
and private sector input, undermining Massachusetts. Report prepared for Federal
their political acceptability. Insurance Administration, Washington, DC.
- They are prepared without recognition of Minnesota Department of Natural Resources,
the limitations on implementation such as Division of Waters. 1982. Reducing Flood
budgetary restrictions. Damages by Acquisition and Relocation: The
Experiences of Four Minnesota Communities.
- They are not tied in with longer term Minnesota Department of Natural Resources,
growth and economic development plans and St. Paul.
trends.
National Science Foundation. 1980. A Report on
THE PAPERS WHICH FOLLOW Flood Hazard Mitigation. Washington, DC.-
Petak, W.J. and A.A. Atkinson. 1981. Natural
Speakers in this symposium were asked to Hazard Risk Assessment and Public Policy.
make recommendations for overcoming these Springer-Verlag, New York.
problems and implementing post disaster
mitigation strategies. The papers have been Platt, R. and G.M. McMullen. 1980. Post-Flood
grouped into sixteen chapters addressing various Recovery and Hazard Mitigation: Lessons from
issues and approaches. the Massachusetts Coast. Water Resources
Research Center, University of
SELECTED BIBLIOGRAPHY Massachusetts, Amherst.
Platt, R. 1979. Options to Improve Federal
Selected works dealing with post-disaster Nonstructural Response to Floods. U.S. Water
response and mitigation of future losses. See Resources Council, Washington, DC.
Appendix for more references.
Quantarelli, E.L. (Ed.). 1978. Disasters -
Cuny, F.C. 1983. Disasters and Development. Theory and Research. Sage Press.
Oxford University Press, New York.
Rabin, R.L. 1978. Dealing with disasters: some
Federal Emergency Management Agency. 1981. Flood thoughts on the adequacy of the legal
Hazard Mitigation, Handbook of Common system. Stanford Law Review 30(2):281-298.
Procedures. Interagency Regional Hazard
Mitigation Teams. Washington, DC. Rossi, P.H., J.D. Wright, E. Weber-Burdin. 1982.
Natural Hazards and Public Choice: The State
Friesema, H.P., J. Caporaso, G. Goldstein, R. and Local Politics of Hazard Mitigation.
Lineberry, and R. McCleary. 1979. Aftermath: Academic Press, New York.
Communities After Natural Disasters. Sage
Publications, Beverly Hills, California. Rubin, C.B. .1979. Natural Disaster Recovery
Haas, J.E., R.W. Kates, and M.J. Bowden. 1977. Planning for Local Officials. Academy for
Reconstruction Following Disaster. MIT Contemporary Problems, Columbus, Ohio.
Press, Cambridge, Massachusetts. Rubin, C.B. 1981. The Long Term Recovery from
Natural Disasters: A Comparative Analysis of
Kusler, J.A. and R.H. Platt. 1982. The Law of Six Local Experiences. The Academy for
Floodplains and Wetlands, Cases and Contemporary Problems, The Resource Referral
Materials. American Bar Association, Servic- Washington, DC.
Special Committee on Housing and Urban
Development, Washington, DC. Water Resources Council. 1981. Handbook on State-
and Local Acquisition of Land in Floodplains and
Kusler, J.A. 1982. Regulation of Flood Hazard Wetlands. U.S. Water Resources Council, Washing-
Areas to Reduce Flood Losses (Vol 3). ton, DC.
Special Publication 2, Institute of
Behavioral Science, University of Colorado,
Boulder. White, G.F. (Ed.). 1974. Natural Hazards: Local,
National, Global. Oxford University Press,
Kusler, J.A. 1982. Innovation in Local Floodplain New York.
Management: Summary of Community
Experiences. Special Publication 4, Wijkman, A. and L. Timberlake. 1984. Natural
Institute of Behavioral Science, University Disasters: Acts of God or Acts of Man?
of Colorado, Boulder. Easthscan, International Institute for
Environment and Development, London and
Washington, DC.

TABLE 1 has caused severe flood damage. As a result,
land in the 100-year floo@plain was acquired for
Examples of Postm-Disaster Mitigation in the U.S. a greenbelt. Floodplain regulations require
prepared by Mary Ellen Vollbrecht developers to prove that new construction will
not increase 100-year flood heights.
Klamath, California
In 1964, severe flooding washed away all but Austin, Minnesota
two buildings in this northern California town. Flash flooding in 1978 resulted in a
Emergency regulations prohibited all rebuilding Presidential disaster declaration. A citizens'
in the floodway. Compliance with the regulation task force was formed and federal funds were
was a condition of the agreement for obtaining obtained for acquisition and relocation. New,
federal help to build a new town site. strengthened regulations were adopted. Long
range plans call for a river park corridor.
Hilo, Hawaii
In a 20 year period, tsunamis twice caused Dallas, Texas
estimated damages of over-$25-million. -Following This rapidly growing large city suffered
the second -event, a seven month ..building repeated severe flooding in the mid 1960's.
moratorium was adopted. A relocation project was Stringent floodplain regulations: were adopted,
planned. 388 parcels were acquired creating a based upon large scale accurate . maps.
310 acre open space zone along the shore. Subdivision regulations require dedication of
floodplain lands. Many properties have been
Baltimore County, Maryland acquired and relocated and much of the floodplain-
The county's periodic severe flooding placed in public ownership.
culminated with events causing $85 million in
damages between 1972 and 1976. In response, the Galveston, Texas
county adopted zoning, subdivision regulations, By the time Hurricane Alicia hit the Texas
and building codes'stronger than those required coast with 10 foot storm surges, the Baytown
by the federal government and began a staged Subdivision had already subsided to less than two.
acquisition program for-clearing the floodplain feet above mean high tide (a result of
and creating greenways for flood prone areas. groundwater withdrawal). Alicia destroyed most
of the homes in Baytown. Using Section 1362
Lycoming County, Pennsylvania relocation funds, most Baytown properties have
This county has suffered repeated severe been. acquired and the residents moved to upland
flooding which was particularly costly in sites.
Tropical Storm Agnes in 1972 along the more than
2200 miles of streams, including 38 miles of the Lake Elsinore, California
Susquehanna River. The county has adopted a Long term lake level fluctuations caused
strong subdivision ordinance which is severe recurrent.damages. In 1980, over.-255
administered by the county for municipalities properties were inundated. Interim regulations
without their own ordinances. A relocation with a built in "buffer zone" and a Governor's
program, floodproofing education, and an interagency task force were the first steps in
extensive volunteer flood warning system make up mitigation. A more restrictive permanent
the county's comprehensive program. ordinance has been adopted. An acquisition
program has acquired and relocated many flooded
Gulf Shores, Alabama structures.
Hurricane Frederic in 1979. damaged or
destroyed 500 structures by wave action and 10-12 Scituate, Massachusetts
foot storm surges. New regulations require The blizzard and flood of 1978 devastated
protection from wave heights in addition to the seashore. Private damages alone were over
elevation to the 100-year surge height. Some $172 million. A building moratorium was adopted,
properties have also been acquired. followed by more restrictive coastal construction
regulations. Some structures have been acquired.
Avalon, New Jersey
A 1962 "nor'easter" destroyed much of this Anchorage, Alaska - Earthquake
barrier island town's dune system. In addition In 1964, perhaps the strongest earthquake to
to aggressively enforced regulations, snow strike North America in recent time destroyed 30
fences and beach grass plantings have been used blocks, including nearly 1,000 dwelling units in
to reestablish the dunes. The entire beach front Anchorage. Mitigation experiences were mixed.-
has been acquired. Interim building regulations and federal funds
enabled relocation and structural protection from
Soldier's Grove, Wisconsin landslides in areas already slated for urban
A severe flood in 1978 inundated the whole renewal.
town, causing $52 million in damages. Public
education began and federal funds were
.aggressively sought. The entire downtown has
been relocated to a floodfree site. The new town
was dedicated in 1982 with the floodplain
converted to parkland.

Scottsdale, Arizona
In this arid region, periodic flash flooding

TABLE 2 Al Asnami, Algeria Earthquake
In 1980, the most recent in a long history
Examples of International Post-Disaster of earthquakes struck along the populated
Mitigation Efforts corridor in Algeria. Eighty percent of the
-- Prepared by Mary Ellen Vollbrecht buildings in a six square block area of central
Al Asnam collapsed, including the police station,
Managua, Nicaragua - Earthquake city hall, and the main hospital. Earthquake
Seventy percent of Managua's 420,000 resistant building codes had long been in place
residents were left homeless following the 1972 but not updated or enforced. The primary lesson
earthquake. Typical of cities in the developing learned at Al Asnam was the need for continuing
world,. Managua was a rapidly growing mix of education of government officials and
ancient and modern. Earthquake resistant building architectural/construction professionals in
codes were adopted. Repair was prevented in a mitigation and seismic resistance methods.
central portion of the city. However, there were
serious problems with mitigation efforts. The Gediz, Turkey - Earthquake
primary lesson learned was that relief efforts Three severe earthquakes within 15 months
may provide the only resources available for cost Turkey five percent of its total national
mitigation activities and must be fairly budget in relief and recovery efforts during
administered. 1970. For the residents of Gediz, the central
government constructed a new town on a more
Naples, Italy - Earthquake seismically stable site. But the mitigation
An estimated 300,000 people were left effort was only partially successful. Without an
homeless and 3,500 killed in the 1980, earthquake interdisciplinary approach of public
that shook much of southern Italy. Many factors participation, the new site had flooding problems
complicated and disorganized relief, especially and the new houses were unsuitable for cultural
in Naples. Lack of implementing regulations and reasons. The old town has been reoccupied.
lack of coordination between levels of government
were major obstacles to mitigation. Los Angeles, California - Earthquake
Nevertheless, a positive experience was the Destructive earthquakes have occurred
11cantiere simultaneo" or local construction repeatedly in Southern California. Following
cooperative organized by a dedicated architect in severe earthquakes, the California legislature
his home town. Also, improved codes and a adopted building code requirements which first
disaster relief administrative framework were applied to public school construction, hospital
adopted. construction and function, and elevator safety.
All unreinforced masonry buildings are now
Central Guatemala - Earthquake regulated for seismic resistance. Construction
In 1976, an earthquake shook Guatemala's within 50 feet of a fault line is prohibited. A
central highlands, one of the most densely pre-earthquake plan for post-earthquake
..populatpd areas in Central America. , 25,000 were..-.,- rebuilding has been prepared to suggest critical
killed and 90% of all structures were destroyed. land use changes which may be made following
Development officials of private organizations significant damage.
were able to channel their resources into an
earthquake resistant rebuilding program. Local
materials and labor were used. Budget
flexibility and a high degree of citizen
participation led to considerable success.

Belopman, Belize - Hurricane
The population of this small nation is
concentrated on its Caribbean sea coast. Over
10% of the population required temporary housing
in the aftermath of Hurricane Hattie in 1961.
Three different types of housing provisions were
made: temporary housing, rural relocation, and
urban relocation. The capital was relocated
inland to Belopman. The project was done over ten
years with significant, effective input from the
government workers (who were the primary
relocatees).

Tokyo, Japan - Multiple Hazards
Tokyo has suffered nearly every type of
natural disaster over the last 100 years. To
protect its extremely high density and relatively
immobile population, the Japan Disaster
Countermeasures Act of 1977 integrates disaster
preparation and responsibility into government
activities at all levels. Strong national
leadership in planning, uniform neighborhood
level organizations and revenue generating
mechanisms especially for mitigation are special
features of this comprehensive program.

PERSPECTIVES ON MITIGATION: DEVELOPED AND
DEVELOPING NATIONS

This chapter examines some of the progress Two papers by Scott Luther and Daniel
and problems with post disaster mitigation. It Torrealva follow, addressing disaster miti-
begins with two papers from the-U.S.. The first gation in the Dominican Republic and Peru.
by Samuel Speck provides an overview of post-
@disaster mitigation issues and opportunities in A final paper by Richard Krimm addresses
the U.S. Rutherford Platt examines the evolu- the transfer of mitigation techniques between
tion of U.S. post-flood mitigation policy. developed and developing nations.

David Alexander next addresses the Italian The six papers included in Ahis chapter
post disaster mitigation experience following have been selected to raise major issues in
the 1980 earthquake. mitigation and present varied points of view;.

Overview of Post Disaster Mitigation Issues and Opportunities: The U.S.
Experience

Samuel Speck
Director, State and Local Programs
U. S. Federal Emergency Management Agency
Washington, DC
OPPORTUNITIES FOR HAZARD MITIGATION unsubstantiated consequences of the hazard are
visible. The public's and decision makers'
Hazard mitigation is the conscious perceptions of the vulnerability or risks are
evaluation of the impact of a hazard and the suddenly high. The occurrence of an incident
implementation of measures which eliminate or creates substantial political support or demand
reduce our vulnerability to its effects. Three for public action to correct hazardous
opportunities may arise to intervene in the conditions.
course of a hazard: (1) before the hazardous
condition occurs or is created; (2) before the Such a cause-and-effect relationship has
effects of the hazard become significant; or (3) spawned most hazard reduction legislation. The
after serious effects of a hazard have been original Federal Disaster Relief Act was the
experienced. result of Hurricane Camille in 1969. The Act was
revised in 1973 following the loss of life and
Action to prevent a hazardous situation is property from Hurricane Agnes; the flooding in
of course desirable. Such actions as planning Rapid City, South Dakota; and the Buffalo Creek
for hazardous effects of construction, dam collapse in West Virginia. The 1984 tragedy
manufacturing, or development can take place in Bhopal, India sent shock waves regarding the
before a pipeline is built, before a chemical is threat from hazardous materials through the
produced or before a flood plain is developed. United States and prompted legislative and
Often, however, society fails to consider the administrative response at all levels of
impact of a potential hazard and take action to government. The 1985 earthquake in Mexico City
prevent or avoid it. The problem of disposal of also impacted the American scene. Congress
hazardous wastes, for example, has become one of immediately held hearings to find out what could
the great problems of this decade because of be learned from the disaster. On the local
failure to take preventive action. level, the Los Angeles City Council upgraded
safety standards by reducing from ten to four
The second opportunity for mitigation is years the amount of time for retrofitting
after the hazard has been created, but before it buildings constructed prior to adoption of
has significant impact. Action at this point is earthquake-resistant standards.
usually difficult since public perception of the
danger potential is low and costs are high. An
example addressing potential effects of a hazard INTEGRATED EMERGENCY MANAGEMENT SYSTEM
occurred in 1982 at Times Beach, Missouri,
following the discovery there of high levels of The Federal Emergency Management Agency
dioxin. The Environmental Protection Agency (FEMA) has developed a management approach to
determined that all residents and businesses in enhance state and local government activities in
this community of almost 1,000 properties would pre- and post-disaster management, including
have to be relocated. This commitment was based hazard mitigation. We call it the .Integrated
on the potential for harm rather than tangible Emergency Management System or IEMS.
evidence of the adverse effects.
IEMS is a multi-hazard approach to emergency
Another example of risk recognition prior to planning which stresses the interrelationships of
disaster involves the large number of reinforced capabilities, techniques, and systems for
masonry buildings in earthquake-prone U.S. emergency preparedness, response, recovery, and
cities. Most of these buildings . predate mitigation across the broad spectrum of hazards
earthquake-resistant building standards and that may affect a community. This functional
delineation of hazard zones. Retrofitting or approach to comprehensive emergency management
replacing buildings is very costly; but it may be was funded last year (Fiscal Year 1984-85) by
the only approach to save lives. Congress with over $90 million of civil defense
funds in direct program and training support to
The third and final opportunity for reducing states and local governments. The IEMS approach
or avoiding hazard vulnerability is, ironically, consists of three primary components which
after the occurrence of disaster. Historically, communities and states must include in their
great progress has been made in mitigating programs to qualify for funds: hazard
hazards after some damage has occurred. Such identification, capability assessment, and ti-
progress has been possible for a number of year development planning.
reasons. In many cases, unforeseen or

Hazard identification is an inventory of all to "lifelines". Recommendations are being
hazards present in a state or locality. Each disseminated to design professional, code groups,
hazard is measured in terms of frequency and and state and local officials. The sooner this
severity, cumulative effect, and populations, type of earthquake mitigation is accepted and
lifelines and facilities at risk both now and in enforced, the sooner the earthquake threat within
the future years. the United States will be reduced.
Capability assessment requires a state or The Community Assistance Program under
locality to review its current capabilities for FEMA's Flood Plain Management Program is another
preparing for, responding to, recovering from, example of pre-disaster mitigation. Under this
.and mitigating against the effects of the program, technical assistance is provided to
identified hazards. After determining current flood-prone communities for the purpose of
capabilities, the jurisdiction determines what is assisting those communities in adopting flood
"required to achieve a reasonable and. adequate pla in management regulations and in managing
level of capabilities to address the hazards. local flood loss reduction programs.
This assessment would consider, for example, the
adequacy.of emergency communications or existing Since 1974, Disaster Preparedness
warning systems or evacuation plans. Improvement Grants have been available to states
on a matching basis for natural hazard
Underlying the capability assessment. should preparedness activities, including mitigation.
be the consideration of the, need for and FERA will provide under this program up. to
potential impact of hazard mitigation. It would $25,000 to each recipient,. which then must be
probably be impossible, for example, in densely, matched and used for preparedness activities. to
populated cities to have.adequate fire response build awareness of existing hazards and how they
capabilities were it not for electrical- and can be addressed.
construction codes which are designed to reduce
the -risk-of urban fires. This balance between A final example of FEMA's - pre"disaster
preparedness-and mitigation in the area,of fire planning is a multi-hazard project under, the
safety is continuously changing as new and more Comprehensive Emergency Preparedness Program.
complex sources of fire hazard are introduced This project initially looked. at mitigation
into the environment and as more fire resistant techniques for the different types of hazards@
construction techniques or materials- 'become (dam safety, landslide, and- earthquake) that
available. What is most important to 'note is existed in a specific area in Utah. This
.that emergency preparedness capabilities can. be specific study is now completed , and the project.
enhanced by taking hazard mitigation actions. has been expanded to four other areas in -Utah.
To date we have spent approximately $250,000 on
Finally, the results of the first two steps the project. The findings of the project will-
are combined- into the 'multi-year development determine whether this multi-hazard approach is
Rjan. This plan identifies needed improvements applicable to other areas of the country.
in emergency management capabilities in-order of
priority based upon hazard vulnerability an d
capability shortfalls. It provides.a long-term RESISTANCE.TO POST7DISASTER MITIGATION PLANNING
blueprint for.improvement ofcapabilities in an
@orderly manner. While mitigation opportunities arise after a
disaster, so too, do obstacles to adoption of
post-disaster mitigation requirements.
PRE-DISASTER MITIGATION PLANNING
Often action is hindered by public sentiment
FEMA, within the context of IEMS, also -that victims have been."punished" enough by the
supports a variety of. specific .,pre-disaster disaster. without local governments imposing new
planning activities for hurricanes, earthquakes or upgraded standards for repair and
dam safetyj and floods. These hazards have reconstruction. This causes resentment.
unique aspects that must be addressed separately Furthermorej community spirit and pride brought
and in addition to an overall functional planning out by adversity results in a tremendous push to
approach. A strong emphasis must be placed upon "get.back to normal" as quickly as possible. In
hazard mitigation in each activity. short, people want to build their community back
to what it was before the disaster.
An example where specific mitigation can
play a vital role in reducing future losses is The perception by victims that mitigation is
earthquake preparedness. The 1985 earthquake punishment can be compounded when any effort is
near Mexico -City demonstrated that partial or made to enforce multi-hazard mitigation. For
total collapse of structures was the main cause example, victims of a flood may understand the
of earthquake@related deaths and injury. This need for flood resistant design im rebuilding,
reinforces the need to incorporate seismic but may resist the imposition of additional
resistant design provisions into state and local earthquake building standards.
building codes throughout the high seismic risk
areas of the country. Approximately one-third of
FEMA's appropriation under the National FEMA'S POST-DISASTER MITIGATION.-PLANNING PROGRAMS
Earthquake Hazards Reduction Program is devoted
to the development and dissemination of such It is difficult for communities and
seismic-resistant design provisions applicable to landowners to . make momentous and timely
new buildings, existing hazardous buildings, and mitigation decisions following a disaster. Land

use patterns and building standards often cannot MITIGATION ESSENTIAL TO EMERGENCY MANAGEMENT
be changed in the hectic period following a
disaster without some kind of rough plan or The comprehensive post-disaster hazard
statement of intended policy. Consequently, a mitigation plan is developed to supplement,
community benefits from having a mitigation plan complement, and update comprehensive emergency
or strategy prior to a disaster. FEIMA's management planning already underway or completed
experience indicates that when problems of hazard in accordance with the Integrated Emergency
vulnerability are anticipated and solutions Management System. This completes the cycle in
considered in advance, the chances of successful developing state or community preparedness since
mitigation rise significantly. Two notable the post-disaster hazard mitigation plan is also
examples. of this,are the downtown redevelopment used as an evaluation of ongoing procedures for
plan of Estes Park, Colorado, which was expedited emergency planning and risk management. The
by a flood; and the flood plain evacuation mitigation plan serves as a blueprint for future
program of Baytown, Texas, which was expedited by changes and improvements in hazard management
a hurricane. policy which is based on actual disaster
FEMA funds a modest Hazard Mitigation experience.
Assistance (HMA) program which provides funds to If a post-disaster plan is lacking, the next
states and localities for.such advanced planning best approach is to take quick action following a
,of post-mitigation action. This program is disaster to assess causes and impacts and- to
targeted to specific communities which have both identify alternative approaches to restoration
a history of disasters and failure to achieve and recovery before the apparatus of recovery is
significant progress in reducing hazard set in motion. Obviously, the larger the
vulnerability following those disasters. disaster, the longer the immediate response phase
lasts for search and rescue. This may provide
The HMA program allows communities to additional time for assessing impacts and options
develop and put in place programs and strategies before reconstruction.
that can be activated following a future
disaster. Each program is intended to complement In Mexico City, discussions are now being
the communityts ongoing hazard reduction held on whether to allow redevelopment of damaged
activities and achieve significant risk reduction areas and on the adequacy of building codes and
as part of the disaster recovery process. enforcement. Such discussions are appropriate
for the period following immediate response, but
Mitigation after flood disasters is before large-scale restoration begins.
formulated by the federal post-disaster
mitigation team process established in 1980.
Pursuant to this process, FEMA activates and STATE AND FEDERAL MITIGATION EXAMPLES
directs federal/state interagency teams following
major flood disasters.., The teams provide rapid There are many good examples of state
assessment of causes of flooding, impacts and preparedness begun with post-disaster hazard
opportunities, and alternatives for mitigation to mitigation planning:
feed into the recovery and restoration actions of
all agencies. The interagency team must prepare In Connecticut, the Governor specifically
a report consisting of a skeletal tasked most of his agency heads to carry out
recovery/mitigation plan within 15 days of the recommendations of the state post-disaster hazard
disaster. This report is intended to establish mitigation plan;
joint post-flood recovery policies for all
agencies and stress cost-effective and The Governor of Colorado established a
nonstructural mitigation measures. Given the special legislative committee to formulate
success of federal/state assessment teams in legislative proposals for carrying out that
post-flood disaster mitigation, FEMA is state's post-disaster hazard mitigation plan;
considering expansion of this approach to other
hazards. And the plan developed by the@ State of Utah
for FEMA following multiple flooding, landslide,
As a condition of disaster assistance from and lake rise disasters has formed the basis for
FEMA under the Federal Disaster Relief Act, millions of dollars in state appropriations for
Amendments of 1974, communities seeking damage reduction projects for the Great Salt Lake
assistance are also required to evaluate the area. In addition, a state/local task force is
hazards in a disaster area.and take appropriate meeting regularly, under the guidance of the
measures including safe land use and construction state hazard mitigation officer, to plan future
practices to mitigate the hazards. Section 406 development of the Great Salt Lake shore.
of the Act states a recipient of disaster funds
must adopt a mitigation plan for all hazards, not On the Federal level, when any construction
just the one that caused the disaster project or financially assisted project over
declaration. FEMA does not withhold disaster $5,000 is planned in a flood plain area, an
assistance until this requirement is met, but it elaborate eight-step process must take place in
does require the,.impacted state and local determining the project's feasibility. This
governments to prepare a hazard mitigation plan process involves reviewing mitigation measures
within six months following the event. and elevation levels as well as questioning
whether the project should be undertaken at all
if there are no feasible locations outside the
hazard area.

FUTURE PROBLEMS WITH HAZARD PREPAREDNESS AND
MITIGATION

Preparing for hazards can save lives and
protect property, particularly if plan provisions
are incorporated into a community's emergency
preparedness plan. Despite good intentions,
however, some types of hazard preparedness and
mitigation can also increase problems unless a
total approach to mitigation is implemented.

Successful preparedness planning can serve
as a "catch 22". For example, success in
implementing evacuation plans for hurricanes may
-lead to over-confidence and complacency.
Hurricane Gloria demonstrated that people will
.respond to warnings and evacuate in the face of
danger. The small loss of human lives in that
hurricane, however, may lure some coastal
dwellers into complacency. As a result. people
may not evacuate or they may wait until it is too
late during the next hurricane. This false sense
of security may also lead to more building in
coastal areas, thereby increasing the population
and hazard vulnerability and complicating future
hurricane evacuations.

Focusing on mitigation of a single hazard
can make population centers and facilities
vulnerable to other hazards. For example, not
long ago one community sought to move its
hospital's operating room to the hospital
basement to assure greater survivability from an
earthquake. Then it was pointed out that if the
earthquake occurred, the dam upstream from the
community might break, flooding the hospital's
operating room. Clearly, we must adopt a multi-
hazard planning approach that takes all potential
hazards into consideration.

Finally, certain hazard-prone communities
have been and will continue to be repeated
beneficiaries of federal dollars flowing from the
Disaster Relief Act under the National Flood
Insurance Program. How much and for how long
should taxpayers subsidize citizens who knowingly
place themselves in high-risk areas? Are
repeated subsidies for hazard-prone communities
actually negating hazard mitigation? If so, what
additional hazard mitigation strategies are
needed?

Evolution of Post-Flood Mitigation Policy in the United States

Rutherford H. Platt
Department of GeologylGeography
University of Massachusetts
Amherst, Massachusetts
INTRODUCTION: THE COST OF FLOODING EVOLUTION OF PUBLIC RESPONSE TO FLOODS

Inland and coastal floodplains occupy 140- Public response to flood disasters may be
180 million acres or six to eight percent of the traced through four chronological periods: (1)
total U.S. ..land area (U.S. Water Resources the Pre-Federal Period, (2) the Structural Flood
Council, 1977). Despite the flood peril, these Control Period, (3) the Unified Management
areas are estimated to contain at least 6.4 Period, and, since 1980, (4) the Post-Flood
million structures (U.S. Congress, 1975, p. 232). Mitigation Period (Platt and McMullen, 1980;
Ten million people were estimated to live in Arnell, 1984), It should be emphasized that
flood risk areas by Hoyt and Langbein in 1955. earlier solutions are seldom abandoned entirely.
That figure has probably doubled by 1985. Six Rather, approaches. and programs from earlier
million are estimated to live within reach of a years usually continue to co-exist with new
hurricane storm surge (American Meteorological policies, sometimes in uneasy juxtaposition.
Society, 1976).

Costs of flooding are difficult to estimate Stage I: The Pre-Federal Period (1789-1928)
and compare over time but are generally believed
to be rising nationally. In 1966, the Task Force Before the 20th century, response to floods
on Federal Flood Control Policy (U.S. Congress, in the United States was largely the
1966) estimated.average annual flood losses to be responsibility of private landowners, local
$1 billion. A decade later, the U.S. Water governments, and states (Hoyt and Langbein, 1955;
Resources Council (1977) estimated this figure to White, 1969). Collective-efforts to control
have more than doubled to $2.2 billion (in 1967 flooding through construction of levees evolved
dollars). In August 1983, Hurricane Alicia, a through locally financed districts in the Lower
medium-sized, storm system, inflicted damage Mississippi Valley. The federal government was
estimated between $750 million and $1.65 billion seldom involved in 19th-century flood management
on the Houston-Galveston region of Texas except for the conveyance of many million acres
(National Research Council, 1984). of wetlands to states for drainage and
reclamation under the "Swamp Land Acts"
Lives lost and physical or mental traumas (Harrison, 1961, p. 68).
are not included in these monetary estimates.
Some 5400 people died in floods between 1925 and Federal involvement with floods eventually
1979. While deaths per year fluctuate greatly, emerged from its long-standing concern with
Arnell (1984) identifies a slight upward trend in navigation. In 1879, Congress established the
loss of life due to floods since 1960. Mississippi River Commission to address
navigation and reclamation problems along that
A different measure of flood costs to the river. Inevitably, the Commission was soon in
nation is the total of federal outlays for the business of assisting local boards with levee
disaster relief and recovery. The writer has construction and maintenance, 'ostensibly to
estimated such costs for Fiscal Year 1979 to have benefit navigation. In 1917, Congress authorized
been approximately $1.2 billion (Platt, 1979). the Corps of Engineers to undertake flood control
The following year, a special flood policy measures along the Mississippi and Sacramento
committee of the National Science Foundation (of Rivers.
which the writer was a member) estimated FY 1980
federal flood costs.to be $1.8 billion (NSF, Stage II: Structural Flood Control (1928-1968)
1980). This was equal to nearly one-half of the
total federal flood costs of- $4 billion for In April 1927, the lower Mississippi River
fiscal years 1973 through 1978 (in constant reclaimed its floodplain. Levees were breached
dollars). Whatever the actual level of flooding, in some 200 locations and approximately 18
it was clear in 1980 that the cost of recovery million acres in six states were inundated.
from floods to the federal government was rising Damages were estimated to reach $284 million and
significantly. It was also becoming apparent the flood took at least 313 lives (Hoyt and
that federal assistance, in the form of loans, Langbein, 1955). The federal government
grants, and low-cost flood insurance, was itself responded to the disaster with the enactment of
stimulating reinvestment in hazardous locations. the Lower Mississippi Flood Control Act of 1928.
The Act established a dominant federal role in
the reconstruction of levees and the provision of
diversion floodways. According to Hoyt and

Langbein (p. 261), the 1928 flood proved to be a 1956)."
turning point in national flood policy:
The policies established in the 1928, 1936,
Few natural events have had a more lasting and 1938 flood acts prevailed until 1968. During
impact on our engineering concepts, economic this period flood,loss reduction was a federal
thought, and political policy in the field responsibility, discharged through structural
of floods. Prior to 1927, control of floods means, and usually in a political rather than a
in the United States was considered largely comprehensive planning context.
a local responsibiliby. Soon after 1927,
the control of floods became a national
problem and a federal responsibility. Stage III: Unified Floodplain Management
(1968-present)
This federal response took the form of
large-scale engineering structures to control The attention of Congress was redirected to
flood waters: dams, reservoirs, levees, channel flood issues by a series of devastating coastal
improvements, and shore protection works, as storms: Carol and Hazel-in 1953, Connie and
authorized by the Flood Control Acts of 1936 and Diane in 1955i Audrey in 1957, Donna in 1960, the
1938 and their. sequels. By the mid-1960's the lonortheaster" of March, 1962, Hilda in 1964, and
federal government had spent about $10 billion on Betsy in 1965. Collectively taking more than
900. projects nationally .(U.S. @Water@ Resources 1,100 lives and causing several billion dollars
Council, 1968, 5-2-2). in property damage, these presented a new kind of
flood threat against which a riverine-oriented
The need for a rational and comprehensive structural flood program was,largely ineffective.
approach to flood planning was elaborated by the Federal disaster assistance rose from $53 million
Water Planning Committee of President Roosevelt's in 1953 to $237 million in 1965 (Platt, 1986).
National Resources Board (1934, p. 260):
In 1966, the Task Force on Federal Flood
To minimize the menace of waters and to Control Policy (U.S. Congress, 1966) identified
promote their greatest usefulness are three shortcomings of national flood policy: (1)
objectives worthy of the highest inadequate recognition of the nature of the flood
intelligence and other energies of the threat and limitations of engineering works, (2)
Nation. The problem is an engineering virtual exclusion of means other than river
problem; not merely of physical engineering control, and (3) inadequacy of cost sharing, by
but of cultural engineering -- of planning a nonfederal beneficiaries. It called for an
future civilization. - All that engineering "integrated flood loss management program"
has taught us in respect of planning must be involving federal, state, local, and private
brought to bear on this great problem. initiative.

The Water Planning Committee's advice, Congress enacted the National Flood
however, was ignored due to three countervailing Insurance Act in 1968 (PL 90-448, Title 13). The
factors: (1) the Great Depression, (2) a series National Flood Insurance Program (NFIP) is now a
of devastating floods between 1935 and 1938, and primary vehicle of federal policy with respect to
(3) politics (Platt, 1986). Roosevelt's' $4 flood losses. It addresses two interrelated
billion public works budget set off a "pork objectives. First, it seeks to reallocate a
barrel" stampede in Congress with each member portion of the burden of flood losses to all
competing for a share of the funds. The occupants of flood hazard areas through ..the
President's call for acceptance of "National mechanism of insurance premiums. Second, it
Planning" as a prerequisite to the allocation of seeks to mitigate rising flood losses by
such funds was lost in the in the shuffle. The discouraging unsafe building practices in
only limit to political "log rolling" was a floodplains (Platt, 1976). This second objective
requirement in the 1936 Flood Control Act that is sought to be achieved through (a) appropriate
stipulated as a condition of federal funding that land-use controls to be exercised by state and
the net benefits of a project must exceed its local governments, (b) higher insurance premiums
anticipated costs "to whomsoever they may for new structures than for existing structures
accrue". In the absence of clear procedures for in floodplains, and (c) selective acquisition of
benefit-cost analysis however this requirement floodprone property and relocation of victims
was 'long honored more in the breach than the after a flood,(under Section 1362).
observance (Krutilla and Eckstein, 1958).
Since 1973, the NFIP has grown dramatically.
By 1950, non-federal contribution to the As of June 30, 1984, 17,629 communities were
combined costs of local works and reservoir participating in NFIP, of which 10,519 were in
construction would amount to only seven percent the "regular program" and the rest in the
of the total flood control budget (Leopold and emergency phase. Policies in effect numbered 1.9
Maddock, 1954 p. 102). In the absence of a million and payments made to flood victims as of
the end of .1983 amounted to $1.8 billion on
meaningful basis for cost sharing, states and
local interests encouraged the structural 315,000 claims (Federal Emergency Management
approach while giving little attention to Agency, unpublished data).
alternative measures within their own sphere of
authority such as floodplain zoning. In 1950, Stage IV: Post-Flood Mitigation (1980
the President's Committee on Water Policy noted
that although "flood zoning ... has great verbal
support ... almost nothing is done about it (Gray, The decade of the-1970's witnessed rapid

transformation of U.S. flood policy towards HAZARD MITIGATION REQUIREMENTS
unified floodplain management (U.S. 'Water
Resources Council, 1979). The adoption of Legislative Measures
floodplain zoning and the concomitant
availability of flood insurance marked a Although the concept of post-flood
significant departure from prior reliance upon mitigation did not become operational until 1980,
federal flood control structures. But this new it was the subject of several legislative
emphasis upon nonstructural management involved a provisions and academic research projects during
major pitfall - decentralization of the preceding decade. Mitigation before the fact
responsibility from the federal government to was an important element of the National Flood
myriad nonfederal authorities including states, Insurance Act of 1968. Section 1361 of that act
.special districts, counties, municipalities, and authorized the Secretary of Housing and Urban
private owners. Since most watersheds and Development (now the Administrator of the Federal
floodplains are shared by many of these units of Emergency Management Agency) to:
authority, it has been necessary to develop
intergovernmental arrangements for achieving develop comprehensive criteria designed to
consistent policies and practices regarding a encourage, where necessary, the adoption of
common stream or floodplain. To date, experience adequate state and.local measures which, to
in developing such intergovernmental arrangements the maximum extent feasible, will -- (1)
has been uneven (Platt and McMullen, 1979; Platt constrict the development of land which is
et al, 1980). exposed to flood damage where appropriate,
(2) guide the development of proposed
Another problem has been the difficulty in construction away from locations which are
applying certain nonstructural measures such as threatened by flood hazards, (3) assist in
floodplain zoning to already developed reducing damage caused by floods, and (4)
floodplains. Burby and French (1981) have otherwise improve the long range land
identified a "paradox" that communities most management and use of floodprone areas....
eager to adopt regulations are those where
regulation is already too late. A related Section 1362 of the Flood Insurance Act
problem is the tendency for local governments to specifically addresses the post-flood context.
seek restoration of the status quo ante upon the. This section authorizes the purchase of real
occurrence of a fl d disaster. Local property which (1) was located in any flood-risk
governments are often reluctant to use their area, (2) was covered by flood insurance, and (3)
powers to discourage building or rebuilding of was damaged substantially beyond repair by flood
floodplains particularly in the wake of a while so covered. Thus Congress as early as 1968
disaster. Official commitments to building a anticipated the problem of repetitive flood
bigger, better, and more prosperous city after a insurance payments on the same property.
flood seldom contemplate or admit the certain However, the authority to acquire such property
recurrence of floods in the future. Just as San was not funded until 1980. By the end of 1984,
Francisco referred to its 1906 earthquake 'as the 317 parcels of real estate had been acquired
"San Francisco Fire", local officials of flood- under Section 1362 at a cost of $15.6 million
ravaged communities publicly discount the (FEMA unpublished data).
prospect of repeat disasters (Thomas and Witts,
1971; Haas, Kates, and Bowden, 1977; Platt, 1979; Another post-disaster mitigation element of
1982). the National Flood Insurance Program is the
"substantial improvements" provision. As
The potential for repetitive losses is not a expressed in program regulations published
trivial concern. Between 1972 and 1979, about October 26, 1976, participating communities must
1900 communities (including counties) experienced apply current floodplain management regulations
two or more presidentially declared major flood to new construction and 11substantial
disasters. Of these, 351 communities were improvements." The latter include "any repair,
declared three times, 46 on four occasions, and 4 reconstruction, or improvement of a structure,
experienced five major flood disasters in seven the cost of which equals or exceeds 50 percent of
years (Federal Emergency Management Policy, the market value of the structure... 11 This
unpublished data). effectively suspends the "grandfather clause"
1980 marked a further turning point in which normally would allow replacement of
nonconforming structures after a disaster. Thus,
national flood policy, as reflected in diverse reconstruction of buildings damaged by more than
initiatives to promote post-flood mitigation. half their pre-flood value must conform to
These included: (1) the OMB Directive and applicable land use, building code, and elevation
Interagency Agreement, (2) implementation of requirements. The regulation is not limited to
Section 406 of the Flood Disaster Protection Act insured properties nor to damage due to floods.
of 1974, and (3) funding of Section 1362 of the It would thus appear to be a potent tool for
National Flood Insurance Act to acquire removing nonconforming structures from
properties which are deemed subject to "chronic floodplains, whatever the cause of their loss.
flooding". The evolution of post-flood
mitigation in theory and practice is,described in As already mentioned, the Flood Disaster
more detail below. Protection Act of 1973 (PL 93-234) required flood
insurance as a condition to approval of federally
related financing for acquisition or improvement
of structures in identified flood hazard areas.
Section 202(a) of that act prohibited Flany

financial assistance for acquisition or By September, 1984, the HMT process had been
construction purposes "in flood hazard areas" activated in response to 59 Presidential flood-
unless the community in which such area is related Disaster Declarations (Fig. 1). The
situated is then participating in the national series of HMA reports flowing from these
flood insurance program." The Act defines investigations provides a unique body of data
federal assistance to include "any form of loan,
grant, guarantee, insurance, payment, rebate,
subsidy, disaster assistance loan or grant." MAJOR FLOOD DISASTERS 1980-1984
Thus, federal disaster assistance for (P-1dentiat oect.-tio@s).
reconstruction of any kind is denied communities
which do not participate in NFIP -- about 3,000
communities in 1984.

In- the Disaster Relief Act of 1974 (PL 93- Vill 0
288), Congress enacted-a sweeping revision of 0
federal disaster assistance procedures. Section
0
-406 of this act expressed the first explicit
0
@Congressional mandate for a post-disaster hazard.
mitigation assessment: 0 IV
VI
As a condition of any disaster loan or grant X
made under the provisions of this act....
the state or local government shall agree . ......
areas. in XD
that the natural hazards in the 01i
which the proceeds of the grants or loans- ...... ......... ........
are to be used shall be evaluated and
appropriate action shall be taken to relating to the causes of flood damages and
mitigate such hazards, including-safe land
use and construction practices,..' recommended means of alleviating them. Such
measures include land acquisition and relocation,
Section 406 applies. to any -form of.'natural, improved flood warning systems, improved mapping.
disaster, not only to floods. But according to of hazard areas, land-use controls, and in some
Holmes (1981): "Section 406 probably has greater cases, local structural measures. However, the
potential for eliciting conformity with federal jury is still out as to whether these
.floodplain use standards in already developed recommendations are being followed and, if so,
floodplains [than the NFIP]." , However, Holmes whether they are exerting a salutory effect.
notes that "implementation of Section 406 was
delayed by the inexperience of the Federal October 23, 1981.and September 18,
Disaster Assistance Administration (FDAA) with 1985, 97 Presidential Disaster Declarations were
the concept of disaster mitigation." FDAA issued involving total federal funding
finally issued administrative regulations for commitments of $686 million. By contrast, the
Section 406 in 1979. Section 406 reports are due first seven months of FY 1986 (October, 1985 -
180 days after a disaster declaration. April, 1986) yielded 19 disaster declarations
with a federal cost of approximately $413
million. Such a surge in disaster losses,
Administrative Measures largely comprised of flood damage caused by
Hurricanes Gloria and Juan, underscores the need
In 1979, a year of many floods, the writer for effective mitigation measures in the wake of
prepared a report for the U.S. Water Resources actual disasters. Each flood, coastal or inland,
Council (Platt, 1979) which documented problems must be viewed..as a learning experience. This
in-federal post-flood disaster assistance policy. axiom finds recognition in the FEMA hazard
On July 10, 1980, the Office of Management and mitigation team process.
Budget issued a Directive to twelve federal
agencies ordering them to formulate a procedure But more is needed. The studies and
for identifying opportunities for mitigating recommendations produced by the hazard mitigation
future flood losses in the process of disaster @teams are useless unless acted upon by federal,
recovery. This led to an interagency agreement state, and local authorities and private
signed December 15, 1980 by the twelve agencies landowners. Implementation requires..(I.) legal
(FEMA, USDA, Army, Commerce, Health and Human authority, (2) funding, and (3) political will.
Services, Education, HUD, Interior, Normally legal authority is not a problem, except
Transportation, EPA, SBA, and TVA). The purpose that territorial limitations may impair the
of this agreement was to establish interagency geographic scope of actions that may be taken by
"hazard mitigation teams" (HMT'S) under the a particular unit of government or landowner.
leadership of FEMA in each federal region to This limitation indicates the need for
evaluate mitigation opportunities immediately intergovernmental arrangements by which multiple
.following the issuance of a Presidential Major authorities may act cooperatively, e.g., to
Disaster Declaration involving flooding. The HMT acquire floodp rone land which straddles political
would prepare a preliminary "hazard mitigation boundaries.
assessment" (HMA) within 15 days after the date Funding is a more common obstacle to
of the Declaration, to be followed by a 30-day
detailed HMA and a 90-day progress report. achieving mitigation following a disaster.
Private and local finances are likely to be

overcommitted by the disaster itself. Money for revenues earmarked from other sources, following
the additional expense of acquiring property, the examples of the National Highway Trust Fund
relocating businesses and homes, expanding bridge and the Land and Water Conservation Fund. A
openings, etc., is usually unavailable locally. National Mitigation Fund could supplement general
A few metropolitan areas such as Chicago, Denver, disaster assistance by financing measures
and Los Angeles have strong regional special recommended in HMT post-flood reports. if
districts which may act creatively to mitigate administered on a cost-sharing basis, states
future flood losses (Platt, in press). would be encouraged to establish counterpart
funds, perhaps obtained from a slight increase in
State funding for post-disaster mitigation title recording fees or other sources relating to
Js conspicuous by its absence in most cases. land development.
States receive modest funding from FEMA to
provide technical assistance, including advice on Even with adequate legal authority and
post-flood mitigation. Occasionally, a statewide funding, a third prerequisite of post-disaster
remedial program may be established in response mitigation is political will. Popular sentiment
to a particular disaster, as in the case of following a natural, disaster, fueled by media
Colorado's dam safety inspection program created coverage and elected office-holders, favors
after the Lawn Lake Dam Failure in 1982. Some immediate restoration of the status quo ante,
states provide funding assistance for open space except "bigger and better." The term rb-e7t-ter'
acquisition which may be used in floodplains, should become a synonym for Isafer'. , The
e.g.: Massachusetts' Self-Help Program and New experience of Rapid City, South Dakota afterits
Jersey's Greenacres Program. Aside from 1972 flash flood demonstrates the salutary
occasional ad hoc appropriations for specific results of civic determination to eliminate the
mitigation projects, states otherwise contribute conditions which result in repeated flood
little to post-flood mitigation. disasters in a community. Better understanding
by local officials of the physical nature of
Federal disaster assistance, when released flooding, the range of adjustments available,.and
by a Presidential Declaration, takes many forms the forms of legal and financial measures
and serves diverse purposes. Forms of assistance available to accomplish alternative adjustment is
include direct grants (with or without non- prerequisite to the achievements of more Rapid
federal cost sharing), low interest disaster Cities. Indeed, with sufficient political will,
loans, flood insurance payments, and in-kind legal and financial constraints will be overcome.
assistance such as temporary housing. Federal
disaster programs are administered by diverse
agencies with varied missions, e.g., Department REFERENCES AND RELATED LITERATURE
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agenda. In Geography and Public Policy, R.M.
Kates and I.*,Burton (Eds.). University- of
Chicago Press, Chicago.

In press. Metropolitan flood loss
reduction through regional authorities.
Journal of-the American Planning Association
(to be published Autumn, 1986).

Platt, R.H. and G.M. McMullen. 1980. Post-Flood
Recovery and Hazard Mitigation: Lessons from
the Massachusetts Coast, February, 1978.
Water Resources Research Center, University
of Massachusetts at Amherst, Publication No.
115.

Platt, R.H. et al. 1980. Intergovernmental
Management of Floodplains. Monograph 30.
Institute of Behavioral Science, University
of Colorado, Program on Technology,
Environment and Man, Boulder, Colorado.

Thomas, G. and M.M. Witts. 1971. The San
Francisco..Earthquake. Stein and Day, New,
York.

U.S. Congress. 1966. A Unified National Program
for Managing Flood Losses. (House Document
465, 89th Congress, 2nd Sess.). U.S.
Government Printing Office, Washington.

The Italian Experience with Earthquake Preparedness and Disaster
Relief
DavidAlexander
Department of GeologylGeography
University of Massachusetts
Amherst, Massachusetts
INTRODUCTION

A permanent governmental structure for once every 4.8 years (Ganse and Nelson, 1981),
emergency management and scientific coordination and 32 percent of the population lives in the
emerged belatedly in Italy with the creation in roughly one quarter' of Italian municipalities
1982 of a Ministry for Civil Protection, but many that are classified as "at high seismic risk"
dilemmas have yet to be solved. These include (CNR, 1981a).
the level of state indemnity for private losses,
the content and purpose of the national About 90,000 people are believed to have
macroseismic questionnaire, and the degree of died in the 1980 Straits of Messina earthquake
autonomy given to regional, provincial, and local and tsunamis, while in 1915 an earthquake killed
governments when formulating emergency plans. 32,000 inhabitants of Avezzano and its
surroundings in the Abruzzo Region (see location
In Italy disaster relief funds made mag, Fig. 1). The 1980 earthquake in Irpinia,
available by central government have been small central-southern Italy, occurred where two
relative to the need for them. This means that previous tremors, in 1930 and 1962, had provoked
communities affected by disaster are in essence damage and casualties (Provincia di Napoli,
competing for disbursements made by the Ministry 1981). The 1980 disaster caused 2,735 deaths and
from each year's reservoir of funds. The 8,842 injuries, left more than 200,000 people
magnitude of the disaster appears not to be the homeless and caused damage in 637 municipalities
only factor governing success in obtaining relief spread over 23,000 sq. km (Ventura, 1984a). Many
money; the level of media publicity given to the of the emergency relief provisions for the 1976
event is important, as is the presence or absence Friuli, N.E. Italy, earthquakes (in which 927
of a local political structure capable of people died; Geipel, 1982) were rapidly adapted
liaising effefti@ely with'@6htial government 'and for the 1980 disaster in the South. The final
also producing a workable reconstruction plan. estimate of the cost of damage was $5.0 billion
(at U.S. $1.0 = 1,950 Italian. lire) and
Currently efforts are being made in the reconstruction and social welfare programs
Italian parliament to develop a complete absorbed about 3 percent of GDP over the period
structure for disaster relief, involving all 1981-84 (Regione Basilicata 1982-3).
levels of government, as well as voluntary
organizations, the armed forces, and scientific The message of these observations is clear:
bodies. The extent to which preparedness should seismic vulnerability in Italy is high, both in
be devolved is being debated hotly, especially as terms of numbers of casualties and susceptibility
the local and national authorities can so easily of the built environment to damage. From 1900 to
become adversaries when relief funds are scarce 1950 an average of 2,300 Italians died each year
after disaster. in natural disasters. This figure has since
reduced to somewhere between 650 and 1,000
This article will evaluate the natural casualties per year (Gasparini and Stucchi,
hazards situation in Italy, together with the 1979). In part, this reflects the replacement of
nature of state intervention, preparation, and traditional building techniques (the low-strength
mitigation. The main emphasis will be on masonry building; Hughes, 1981) by modern ferro-
earthquake hazards, as these are the most concrete construction; and it also reflects
widespread and potentially the most devastating improvements in awareness and emergency
that the country has to face. procedures. But disasters of the magnitude of
the 1980 Messina and 1915 Avezzano earthquakes
have not occurred since the last war, and it may
NATURAL HAZARDS simply be a matter of time before the average
post-war casualty and damage totals are raised.
Natural Hazards -- principally earthquakes,
landslides, floods, and avalanches -- pose a
significant. threat to about 70 percent (c.- HISTORICAL DEVELOPMENT OF EARTHQUAKE RELIEF
210,000 sq. km) of Italy (Alexander, 1985).
Natural disaster has claimed many lives in that Italy has an unusually long and detailed
country: about 135,000 people have been killed documentary history of earthquakes and other
this century (Solbiati and Marcellini, 1983). natural hazards (Barratta, 1901), including some
Italian earthquake disasters occur on average detailed information from Classical times.

constructed with these funds were still in use 15
REGIONS AND TOWNS OF ITAY years later. Political machinations and
TRENTINCF_-'_k--- - 0 100 200 corruption are blamed for the absolute
R1ULI'_1 I I I
I @ALTO _1 /11EZIA', krn
CZ6 Id %LULIA4 inefficiency of the reconstruction in Val Belice
11 (which has become a national cause celebre and 33
LOMBARDY", VENETO #
1_@_ north legal cases have ensured over construction
11, PIIEDMON
Tl@$Mlll problems (Di Giovanna, 1974).
E!*t1LIA-ROMArNA
Other instances of potential litigation over
RIA
LIGURIA the quality of construction.and maintenance of
TUSCANY A@c-o buildings damaged by earthquake have been
AR thwarted by the slowness with which seismic
C4 building codes have been extended t newly-
0
@L'qw discovered risk zones, for example, in Lazio,
LA 0 4BRUZZ
Marche, and Campania Regions, which were affected
R __@M'OLISE, by damaging earthquakes in 1971, 1972, and 1980,
@APUUA respectively, but which received 'seismic'
CAMPANIA@nAS-. designation only in 1983 (Geologia. Tecnica,
L@ILICA 19831*
I
IRPIN
The 1976 Friuli and 1980 Irpinian
ALAEMIA earthquakes essentially represented the last such
events in which government could rely entirely an
Mei post facto aid (Comissariato Straordinario,
1981). National Law no. 546 of 8th July, 1977
V.1 EWice granted $2,050 million over ten years for
SICILY reconstruction in Friuli (Norsa, 1979). The
objectives of this expenditure were, first, to
save from destruction and also repair .3,000
damaged buildings, and secondly, to restore
Figure 1: 1,ocatian map housing and employment to those who had lost-
._them. The main problems experienced here were
lack of a clear-cut definition of the disaster
Perhaps the first seismic emergency to provoke area, dispersal rather than concentration of
widespread and systematic government intervention government expenditure, the inflexibility of laws
was that of Calabria, 1783, in which 30,000 and plans, and the effect of inflation on funds
people died and 400,000 were made homeless (Cavallo, 1979). Very special measures had to be
(Gasparini and Stucchi, 1979. However, little instigated to pay for the estimated $10.9 billion
was,done officially to ameliorate the effects of of damage caused in 1980 (Alexander, 1982, 1984).
disastrous earthquakes in the mid-1850s (Mallet, ..The 1980 earthquake occurred at a time when the
1862). The 1908 Messina earthquake provoked an whole organization of research, relief,
argument between those (including the leading rehabilitation, and mitigation in Italy -was.
seismologist of the day, Giuseppe Mercalli) who poised to change. These changes include the
argued for a stricter attention to, and following:
regulation of, relief and reconstruction
measures, and those who argued, using the tenets
of the liberal economists, that the matter would SEISMIC RESEARCH IN ITALY
resolve itself according to market forces
(Solbiati and Marcellini, 1983). In 1976 the National Research Council of
Italy (CNR) funded a series of major research
Essentially, until the early, 1900s, most endeavors, involving collaboration among
earthquake relief in Italy was locally organized universities and research institutes, and.
and relied on private donation. But the major including the "Progetto Finalizzato Geodinamica"
earthquake that.struck Avezzano, in Abbruzzo, in (PFG) project for research in the 'protection
1915 led to massive financial subsidies by the against earthquakes' sector (CNR, 1980, 1981d).
state. Furthermore, some temporary accomodation This five-year program (1976-81) was intended to
set -up after this disaster lasted as long as 56 improve the stability of geophysical research by
years (Canosa, 1981). Government policy in the more even funding. The project included
period 1951-80 was to rely. on extraordinary structural geology studies, the compiling of
measures (rather than prior preparedness) applied seismic risk, magnitude and frequency maps,
after the disaster and only to reduce suffering neotectonic maps, and seismotectonic maps for the
during the post-impact phases. Burton, Kates, entire country. It also involved local seismic
and White (1978, Ch.6) regard this.as the lowest zonation studies and the creation of mobile and
level of disaster policy:-making that a national fixed monitoring networks.
government can instigate. A critical report on the PFG appeared at its
In 1968, 14 low-energy earthquakes occurred conclusion in 1981, and made the following points
in Val Belice, W. Sicily, damaging more than a (CNR, 1981d):
dozen settlements (Haas and Ayre, 1970). About (1) Progress t .0 date (1981) was
$512. million were eventually spent on insufficient in both scope and
reconstruction, but to relatively little effect:
many of the 40,000 temporary dwelling units achievement.

(2) The scope had been set too high for the THE 'SPECIAL COMMISSARIAT' AND MINISTRY FOR
- utterly insufficient - resources. CIVIL PROTECTION
(3) Land-use planning, seismogenesis, the At various times during the past, Italian
seismic performance of historic governments have appointed officials with special
structures and the nature of tsunami responsibility for overseeing disaster relief.
hazards had either been ignored or only Law no. 996 of 8th December, 1970 (the main
very recently studied in Italy. disaster relief legislation, Fig. 2a) provided
for a Government Relief Commissariat, to be
(4) The various organizations suffered from located in the region affected by any given
duplication of effort, confusion of disaster, and a Director General of - Civil
aims, and lack of direction. Protection, to be based at the Ministry of the
Interior in Rome. (Herein, 'civil protection',
(5) Founding new organizations (for 'civil defence', and 'earthquake relief and
example, an equivalent of the U.S. mitigation' are synonymous.) This ad hoc
Geological Survey) would involve arrangement was utilized directly after the 1976
restructuring, and in some cases Friuli and 1980 Irpanian earthquakes, except that
abolishing, all other organizations in the "Extraordinary Commissioner' of government
this field and would take too long. relief bore a more direct responsibility to the
Minister of the Interior than Law no. -996
(6) One overall plan of coordination was prescribed (Commissariato Straordinario, 1981).
needed. The work should be divided up
between the various organizations, Essentially, the Commissariat in the regions
whose roles should be clarified. The affected by the November 1980 earthquake had to
National Geophysical Institute should be prorogued so many times - and the government
run the national seismic network and had to deal concurrently with so many disasters -
collect macroseismic data on specific that it made eminent sense to found a permanent
earthquakes. The CNR should deal with Ministry for Civil Protection. This came into
publicity and public education in this being on 1 August 1982, with a personnel of about
field. The Seismic Service of the 100 and a Minister without portfolio (Camera dei
Ministry of Pu6lic Works should be Deputati, 1982). The ultimate aim is to
restricted to making studies for the decentralize activities, plans and stocks of
updating of anti-seismic norms and equipment to the regional and municipal
laws, while geotechnical and authorities. This objective is clearly a long
microzonation studies should be carried way from being achieved, in that in 1985 only 5
out under the auspices of regional out of 20 regions (Emilia-Romagna, Lombardy,
authorities. Piedmont, Trentino-Alto Adige and Tuscany) had
autonomous plans to combat natural hazards, while
municipal plans had in no way reached a state of
This report reflecC6d" contemporary national coordination.
government thinking that the PFG should be
superceded by a more permanent Earthquake Defence
Group (GNDT), which was set up under National Law EVOLUTION OF A LEGAL AND FINANCIAL STRUCTURE
no. 874 of 22 December, 1980, with bases in Rome
and Milan. The GNDT had, according to its Legal Structure
director, "the scope of addressing, coordinating,
promoting, and developing studies and actions of Like most other countries, Italy has had to
seismological or geological character, or related evolve a legal structure to regulate the
to engineering science applied to earthquake processes of relief, resettlement and
defence, and to furnish scientific advice to reconstruction following the impact of natural
ministries, regional and local authorities, and disasters. As a generalization, it is fair to
publicand private bodies (CNR, 1981d). say that the main stimulus to legislation in this
Certain sectors of the GNDT were effectively field has been the disasters themselves: for
heir to the 1976-81 "Geodynamics" project. For example, the principal disaster relief law (no.
example, the "Seismogenesis and Seismogenetic 996 of 1970), which evolved during the aftermath
Regions" section was empowered to search for of the 1968 Sicilian earthquakes, had no
11 active geological structures" and, based on regulations governing its application until after
their identification, to establish "priority the 1976 Friuli and 1980 Irpinian earthquakes had
zones for seismic research and fieldwork". galvanized parliament into further legislative
Short-term seismic prediction measures action. The dates of enactment of particular
laws often fall within the aftermath of
(principally radon and helium monitoring, spring particular disasters, but the overall volume of
discharge monitoring, tiltmeter studies and legislation approved within any one period has
gravimetric surveys) were only to be used "to tended to respond to the cumulative impact of
distinguish active from inactive (geological) disasters that occurred in fairly rapid
structures", not for making rapid predictions of succession, thus sustaining public demand for a
individual seismic...events.. This. was a wise response from parliament. The pace of
decision, in that Italy is apparently not yet legislation has also followed the growth of media
willing to finance a comprehensive network of coverage of disasters, and of their economic and
instruments dedicated to short-te .rm prediction. social impact. Hence, prior to 1900 laws
governing disaster relief were very rarely issued
in Italy. In the first half of the present
century such laws were enacted on average once a
decade. Over the period 1951-79, however, 17
disaster-related laws appeared, and 1980-84

produced 39 laws and over 700 ordinances, or armed forces, not direct their role in relief
temporary laws (Commissariato Straordinario, work). It encompassed disaster prediction and
1981; Camera dei Deputati, 1982). prevention, as well as relief and rehabilitation,
but did not say how the former were to be
It is rapidly coming to pass that each accomplished. It did not regulate or coordinate
disaster in Italy that has repercussions at the the activity of voluntary relief workers, and,
national level requires a law to regulate finally, it did not allow a role for mayors and
resettlement and reconstruction afterwards local communities.
(Cavallo, 1979). The principal scope of such a
law is:

(1) to enable ordinances to-be madeAn the
disaster area;

(2) to enable public funds to be granted to
aid relief, resettlement and recon-
struction, and to identify.the source
of such funds within..the budget;

(3) to identify by name those munici-
palities that have suffered damage, in
order to qualify them for state aid;

(4) to define the objectives of state aid;

(5) to identify the procedure by which
citizens and communities can apply to
the government for repair funds;

(6) to set limits to state aid (e.g., in
millions of lire per square meter of
damaged property); and

(7) to set up regulatory commissions to
ensure equity in the distribution..of
state aid. LAW 9M-12-IWD

In pi7actice the deadlines governing applications
for funds are often extended. Communities are
required to have valid and functioning urban
plans before government money can be utilized for Figure 2a: 1970 Civil Protection Law
the purposes-of reconstruction, and this often
requires adjustment or reformulation of such
plans to accommodate the effects of disaster.
Such adjustment may take several years to Over the period 1980-84 civil protection in
complete. The most important and comprehensive Italy underwent a series of improvements,:
law of this kind is no. 219 of 14th May, 1981,
whose 85 articles will probably serve as a model (1) The speed of legislation increased
for much subsequent legislation (Consiglio immeasurably when compared with
Regionale della Basilicata, 1982). This law previous periods.
dealt with reconstruction after the 1980 Irpinian (2) Funds became available for immediate
earthquake, and the time limits on funding that use in a crisis, without having to
it set had to be prolonged by two years, giving resort to parliamentary procedures to
municipalities until the end of 1984 to formulate obtain them.
reconstruction plans. (3) It became possible to make ordinances
.-Law no. 996 of 1970 established the civil immediately.
protection structure that served for the next ten Hence government action was relatively prompt and
years, during which some significant natural efficient after the summer 1984 Sardinian forest
disasters occurred (although its operational fires outbreak, and the July 1985 Val di Fiemme,
structure was only established in full by N. Italy, dam burst (jt@j Stampa, Turin, 23 July,
Presidential Decree no. 66 of 6th February, 1985). Much of the confusion and lack of
1981). The 1970 law gave a planning role to information that once occurred directly after
committees at the regional level, and an national catastrophe has been eliminated,
operative and executive role to an although the organization of disaster relief is
Interministerial Committee of the central still highly centralized in' Rome;'and there'gion,
government (Fig. 2a). province, and municipality have as yet no formal
This law had some serious drawbacks. It did role to play i .n this structure.
not include the armed forces, which were managed The brevity and instability of successive
entirely separately (the government's relief Italian governments meant that the 1970 law
commissioner could only request the help of the

required the presentation of at least four bills Financial Measures
to parliament, over a 20-year period, before
being passed. Four bills have already been Government expenditure on relief and
formulated to create the new civil protection law reconstruction after the 1976 Friuli and 1980
(Camera dei Deputati, 1982, 1983a, 1983b, 1983c). Irpinian earthquakes was so substantial ($2,050
All of them seek to create a full-scale national million and $1,950 million, respectively) that in
structure for disaster relief and mitigation, 1982 the Ministry for Civil Protection was
involving all levels of government, from the endowed with a reservoir (serbatoio) of funds
local to the national, scientists, volunteers, that would be renewed as the exigencies of
charities and the armed forces (Fig. 2b). disaster depleted it (but for 1983 it only
However, those bills sponsored by right-wing and consisted of $92.3 million, far short of demand).
centrist parliamentary groups argue for a Decree-Law no. 159 of 26th May, 1984 granted $410
centralized chain of command, while the bill million to the 1984 earthquake-affected areas of
proposed by left-wing groups envisages a devolved central Italy, but only one-tenth of this sum was
chain of decision-making. The only fundamental to be made available during 1985. Hence the
conflict of interest is in the amount of chief problems of financing relief,
authority to be delegated to regional and local rehabilitation, and reconstruction in Italy after
governments. natural disasters are the scarcity of funds with
respect to demand for them and the delay in
In part the civil protection bills sought to payment once central'government has granted them
consolidate the national structure that was to a disaster area.
already coming into effect piecemeal as a result
of ordinances and governmental decrees.
Essentially, the civil protection bureaucracy was EVOLUTION OF A STANDARD MACROSEISMIC
to be strengthened and amplified greatly, for QUESTIONNAIRE AND DAMAGE SURVEY
example, by dividing it at each level of
government into a policy-formulating committee Macroseismic questionnaires play an
and an operative or executive committee, each important role in Italy during the aftermath of
with an individual director. It remains to be an earthquake disaster. They have several
seen whether a single law will emerge, or whether functions:
measures will continue to be implemented
piecemeal. (1) Questions can be matched with
descriptions of damage effects listed in
intensity scales. Isoseismals can thus be drawn
and related to the geophysics of earthquake
source mechanisms (CNR, 1981c).

(2) Individual building surveys -- of the
sort that provide input to a macroseismic study -
- may act as legal certification that a building
is damaged to a certain degree'and thus requires
a particular technique of repair. This will
qualify the owner for repair funds, if these are
available.

(3) Statistical summaries of the degree of
damage to individual dwelling units in any given
settlement will qualify that municipality for
... ..... inclusion in a list of settlements to receive
government aid for reconstruction. Commonly,
individual reconstruction laws list settlements
as "epicentral" (thus qualifying for maximum aid)
or "extra-epicentral" (less damaged -- sometimes
also divided into two broad categories of damage,
II and III). The exact number of settlements in
each list is determined on the basis of many
house-to-house surveys.

(4) Engineering observations related to the
precise nature of reconstruction may be
1. -TIc'.. incorporated into the survey results for a
Z1.11M IZ 11. particular building.
------------
There is an increasing tendency to merge
macroseismic survey (for scientific purposes)
with damage survey (for administrative and
Figure 2b: 1982-83 civil Protection Bills -engineering reasons connected with compilation of
reconstruction lists). This makes eminent sense,
in that it is extremely difficult to duplicate
accurate building surveys during a chaotic
aftermath situation. However, separate
questionnaires are still used by the National

Geophysical Institute (ING), National Research the right one, as it guarantees involvement by
Council Earthquake Defence Group (CNR-GNDT), and the people who stand to benefit directly from
often by individual regional or municipal earthquake mitigation. However, much depends
authorities. upon the level of interest in the problem at the
regional and local level. The southern region of
The value of a macroseismic survey is that Basilicata set up its first seismographic network
it provides a basis for reconstruction, a post in 1985, whereas the central region of Marche
hoc assessment of the vulnerability of the built (which is less at risk than Basilicata) has had
environment and corroboration of the expenditure one since the earthquakes at Ancona in 1972.
of seismic energy from place to place. In Other regions have not yet involvedthemselveslin
general, since the 1970s there has been a marked this way (Boschi, 1984).
increase in the complexity of post-earthquake
damage survey in Italy. Questionnaires have
proliferated and have often conflicted in their The Emergency and Resettlement Phases
aims or duplicated the work. Wide variations are
likely to exist in the reliability of such It can fairly be said that prompt government
surveys, yet nothing is being done (in 1985) to response to earthquakes post-dates the 1980
improve that. reliability. Standardization is Irpinian disaster, in which delays in early
lacking, too many agencies are surveying the same relief became a national scandal (Alexander,
damage (often with inappropriate or ill-chosen 1982). Automatic transmission and interpretation
detail) and no guidance is available as to how of seismic data, coupled with better
many questionnaires are needed to obtain @ a communication between the National Geophysical
representative sample from each site. Institute and Ministries of the Italian
government will now enable an almost
However, the aims of macroseismic and damage instantaneous response to an emergency, instead
surveys have been greatly clarified during the of the previous procrastination.
last five years. There is also much need for
creating a single, national. questionnaire, However, during the next phase of a seismic
serving several needs efficiently and emergency, much depends on the way in which
effectively. macroseismic questionnaires are used. For
example, it is estimated that 70 percent of the
evacuations (of 38,000 people) carried out in
THE CURRENT STATE OF DISASTER AND RECONSTRUCTION Abruzzo following the May 1984 earthquakes. were
MANAGEMENT*IN ITALY not necessary after survey had verified the
safety of buildings (Fig. 3a). Reducing the
Before Disaster Strikes scale of the emergency thus depends on rapid and
accurate survey, upon the results of which
Article 20 of Law No. 741/1982 adopted the municipal mayors must act with alacrity to cancel
new seismic vulnerability classification of unnecessary evacuation orders (MPC, 1984). The
Italian municipalities proposed by the National experience of Abruzzo suggests a diverging
Research Council's Applied Geodynamics Project pattern of (a) in some settlements, precautionary
(PFG). Funds were to be supplied by the total evacuations regardless of distance from
government, through the Ministry of Public Works, epicentre, and (b) in others, evacuation only of
to institute vulnerability reduction programmes those occupants of dwellings presumed damaged,
in those municipalities classified at risk from involving declining proportion of evacuations
earthquakes. Anti-seismic building codes were to with increasing distance form the epicentre (Fig.
be applied for the first time in towns that had 3b).
been newly added to the list. In some cases the
change was dramatic: for example, the Marche In Abbruzzo in 1984 mayors tended to adopt
Region in central Italy had only 10 percent of one of two approaches to the problem of damage.
its municipalities classified seismic in 1980 but The mayors of towns that are heavily dependent on
90 percent were eventually included in the CNR's tourism tended not to restrict access to. the
'low risk' seismic category (CNR, 1980). Clearly damaged town centre, in order to discourage
a major alteration in the official vision of cancellations by tourists, who might become
national seismic vulnerability had taken place, alarmed at the apparently high level of damage.
on the basis of the PFG's data. By contrast, the mayor of Barrea, an agricultural
settlement in L'Aquila Province, had the entire
The same national law also provided for centre of town enclosed in wooden barricades and
regions to make their own laws for the prevention imposed an 8pm curfew. This had the dual effect
and reduction of seismic risk. The objectives of of drawing attention to the damage at Barrea and
this measure were, first, to develop more permitting a full-scale comprehensive
accurate research into historical seismicity, reconstruction plan to be drawn up, ready for the
using archives and local historical sources. arrival of government funds.
Secondly, to create risk maps and geo-tectonic
maps at the local scale, that could benefit Regardless of which of these two strategies
vulnerable communities on an individual basis.. they adopted, the mayors of the seven
Thirdly, effort would be concentrated on saving Vepicentral' municipalities in Abruzzo formed an
the existing heritage of ancient - and often alliance to resist any demands upon the state for
dilapidated -- buildings, beginning by conducting reconstruction funds by the other 191
the first proper census of architectural municipalities that claimed to be damaged.
patrimony. The principle of devolving authority Hence, as a general rule, the post-emergency
to the regional level (and below) is undoubtably phases of an Italianseismic disaster can be seen

Experience in the 1980 Irpinian earthquake
Figure 3a zone suggests that damage to towns located near a
AD- EVACUATIONS AFTER THE ABRUZZO MAY q984 EARTHQUAKES significant epicentre may not begin to be
repaired until, perhaps, four years after the
disaster. Time is socially necessary to
reconstruction planning. Delays between the end
30-
of the emergency phase and the' start of
25- 15,730 in 7days It reconstruction do not necessarily mean
(22471day) I
inefficiency (as the newspapers would often have
020- us believe), but may be necessary to reformulate
fb S ... Sys 2 li_"
or adapt urban plans, to allow proper public
01
consultation over their content, and to have them
2D RESIDUAL formally approved. In general, then lessons of
Z 70 0 in 4 dy, HOMELESSNESS reconstruction in Italy are that it has to be
I
. 5 (0750/day) carefully managed and that government must honour
0 its pledges to provide funds, within the
0
T a 9 10 11 12 13 14 1'5 46 1'7 46 MAY 4984 deadlines that it sets itself. Generally
t t speaking, a small to medium size earthquake
IS? ?..A. 2W Ourthe
ML 5.2 M'.5-0 disaster will generate reconstruction that lasts
12-15 years (e.g., Ancona, 1972, magnitude 4.7;
Friuli, 1976, mag. 6.4). A large catastrophe
(e.g., Irpinia, 1980, mag. 6.8) or a badly-
managed situation (e.g., Belice, W. Sicily, 1968,
mag. 4.1-5.4) will generate reconstruction
Figure 3b lasting 20-25 years, or even indefinitely, if
PROVINCE OF L'AQUILA funds are not well spent.
EARTHQUAKES OF 7 6 8 MAY f984
0 too-
ME FUTURE OF NATURAL HAZARD MANAGEMENT IN ITALY
Twol

Z Levels of awareness, public involvement and
0 60- scientific research with respect to earthquake
hazards have all increased during the 1980's. It
R 40 - Salwive seems reasonable to assume that present trends in
Italian hazard management will continue. The
@i 20- Ministry for Civil Protection will become larger
and better established; seismic norms and
zonation will continue to be upgraded. The
0
0 2 4 6 8 10 12 14 16 IS 20 22 24 26 28 30 regional and local levels will continue to
DISTANCE FROM MEAN EPICENTRE (KM) increase their involvement, although not perhaps
to the desirable level of having full-scale local
mitigation and evacuation plans in every
vulnerable community. Natural hazards will
continue to claim an increasing share of national
wealth, although perhaps fewer victims than in
the past. Legal measures and macroseismic
surveys will continue to become standardized, but
may not lose any of their complexity.
to involve a free-for-all, in which it is in the
interest of local politicians to exaggerate the Unfortunately, there is no sign of any
level of damage to a community in order to reappraisal of the national attitude to state
compete effectively for reconstruction funds. intervention in disaster aftermaths. More, rather
than less, state aid is tacitly considered
desirable, without really questioning this
The Reconstruction Phase assumption. There is no sign of a shift in
government policy from allowing the general
One effect of natural disasters in Italy has taxpayer to foot the natural disasters bill, to
been to change the original meaning of urban encouraging the at-risk population to subsidize
planning, which was to regulate new additions to their own risk through mandatory insurance.
urban areas, rather than regulate the quality of Natural hazards insurance in Italy is virtually
reconstruction (Ventura, 1984b). Two new forms non-existent and does not look imminent:
of urban plan -- the detailed plan for a therefore, the government must bear the cost of
particular zone (Piano Particolareggiato) and the disaster. However, government does not seem to
reconstruction plan (Piano di Recupero) have have examined whether this is anything more than
appeared as vital ingr@e`dients in the process of merely a political expedient.
repairing earthquake damage. An elaborate system
of laws (e.g., No. 726 of 1982) has been evolved Over the period 1982-84 36 earthquakes
to combat increasing mafia-style corruption in occurred that caused damage up to intensity VIII
the building trade, which the immense on the Mercalli-Cancani-Sieberg scale. The level
opportunities associated with post-earthquake of government involvement in the aftermath here
reconstruction have stimulated greatly was unduly high -- partly "to be seen to be doing
(Alexander, 1984). something" and partI.y to test out the newly

acquired national hazards management structure. CNR. 1981c. Il Terremoto del 23.IX.1980: Rilievo
One must conclude that the response -- in terms Macrosismico--Stato di Avanzamento al
of relief, resettlement, and reconstruction aid - 27.1.1981. CNR-PFG, Rome.
- rather than the geophysical magnitude or
seriousness of the damage, governs the importance CNR. I 1981d. Relazione Introduttiva: Gruppo
of the event in the public eye. Nazionale per la Difesa dai Terremoti. CNR,
Rome.
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Institute, London. per la Campania e la Basilicata, Naples.

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133. Editore IS Voce, Sambuca di Sicilia.

Barratta, M. 1901. 1 Terremoti.d'Italia. Turin Ganse, R.A. and J.B. Nelson. 1981. Catalogue of
(reprinted by Forni, Bologna, 1979). Significant Earthquakes, 2000 B.C.-1979.
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Gasparini, M. and M. Stucchi. 1979. La societa e
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Press, London. Geipel, R. 1982. Disaster and Reconstruction: The
Camera dei Deputati. 1982. Disegno di Legge: Friuli (Italy) Earthquakes of 1976. Allen
and Unwin, London.
Istituzione del Servizio Nazionale della
Protezione Civile. Atti Parliamentari Geologia Tecnica. 1983. Aggiornameti di
Camera dei Deputati, 5-2-1982, N. 3140. le8islazione Sul territorio. Geologia
Camera dei Deputati. 1983a. Proposta di-'Legge-,; Tecnica,.30(4):43-60.
ibid. Atti Parliamentari, 20-9-1983, N. 480. Haas, J.E. and R.S. Ayre. 1970.' The Western
Sicily Earthquake Disaster.of 1968. National
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Norme per l'Organizzazione del Servizio
Nazionale di Previsione, Prevenzione ed Hughes, R.E. 1981. Field survey techniques for
Intervento per la Protezione Civile. Atti estimating the normal performance of
Parlamentari -- Camera dei Deputati, 21-10- vernacular buildings prior to earthquakes.
1983. Disasters, 5(4):411-417.

Camera dei Deputati. 1983c. Disegno di Legge: Mallet, R. 1862. Great Neapolitan Earthquakes of
Istituzione del Servizio Nazionale della
1857. Chapman and Hall for. the Royal
Protezione Civile. Atti Parlametari@,-- Society, 2 vols., London.
Camera dei Deputati, 19-11-1983, N. 878.
MPC. 1984. Disciplina dei criteri e della
Canosa, R. 1981. Terremoto e potere. Sapere, modalita in ordine alla riattazione degli
842:74-85. edifici e dell opere danneggiate dai
terremoti del 7 e del 11 maggio 1984
Cavallo, G. 1979. Le leggi per la ricostruzione. (Ordinanza N. 230/FPC/ZA). Gazzetta'
sapere, 1981(Aug):42-44.. Ufficiale della Repubblica Italiana, N 159,
11-6-1984, Rome.
CNR. 1980. Proposta di Riclassificazione Sismica
del Territorio Nazionale. Pubblicazione N. Norsa, A. 1979. The reconstruction of Friuli:
361, CNR-PFG, Rome. emergency versus long-teim planning.
Disasters, 3(3):264-266.
CNR. 1981a. Pericolosita Sismica e Politics di
Difesa dai Terremoti in Italia. Provincia di Napoli. 1981. Ricostruire dopo la
Pubblicazione N. 442, CNR-PFG, Rome. Catastrofe. La Provincia di Napoli, Numero
Speciale (January, 1981), Naples.
CNR, 1981b. I Servizi Tecnico-Scientifici per Regione Basilicata. 1982-3. Speciale anno terzo
l'Ambiente. CNR, Rome. del sisma nella ricostruzione. Basilicata
Regione, 10(1-2).

Solbiati, R. and A. Marcellini. 1983. Terremoto e
Societa. Garzanti, Milan.

Ventura, F. 1982. La casa nella catastrofe: la
scelta dopo il terremoto e gli aspetti
urbanistici. Citta e Regione, April:121-
136.

Ventura, F. 1984a. The long-term effects of the
1980 earthquake on the villages of southern
Italy. Disasters, 8(l):9-11.

Ventura, F. 1984b. Terremoti: sul concetto di
vulnerabilita di un territorio (1'Italia
marginale). International Seminar on
Vulnerability to Earthquakes and Methods of
Seismic Risk Reduction, September,Noto,
Sicily.

Natural Hazard Mitigation in Developing Countries

David Scott Luther
Instituteo Dominicano de Desarollo Integral
Santo Domingo, Dominican Republic

THE DOMINICAN EXPERIENCE side of the hurricane corridor that extends from
the Atlantic Ocean to the Gulf of Mexico.' In the
.,The- Dominican Republic is one of the most last 25 years alone the country has been -subject
disaster prone countries in the Western to 9 major hurricanes causing damage valued in
Hemisphere and susceptible to a wide variety of the hundreds of-millions of,pesos and loss of
natural hazards. Because of its terrain and life in the thousands. A synthesis of these and
climatic conditions, the country is subject to other major events are shown in. the following
both heavy rainfall and severe drought. Nearly table:
every year flash floods damage crops,
infrastructureand energy producing installations HURRICANES DATE APPROXIMATE DAMAGE
as well as marginal settlements. Periodically
droughts, also. cause extensive damage -to the -San Ramon July 1552 Loss of a fleet-of
agriculture and in 1975 the losses in crops - Spanish galleons laden
amounted to approximately RD $10,000,000.00 with gold bullion.
which, for the Dominican Republic, is a
substantial sum. Lilis 1849 Extensive damage
through-out the
Geographically the island is situated on the country.
northern edge of the Caribbean Plate alongside a
major fault, -the Cayman Trench, and is criss- San Severo Nov. 1909 Extensive damage
crossed by numerous and active secondary. faults. through-out the
Though there are frequent earthquake tremors, country.
most produce little damage. Only cyclically
(approximately every 70 -years) do major San Zenon Sept. 1930 RD $12 million 4,500
earthquakes occur, as is shown by the following: deaths.

DATE APPROXIMATE DAMAGE Katie Sept. 1958

..Dec. 2, 1562 Destruction-of the cities Ines Sept. 1963 RD $10 million 200
of Santiago and La Vega. deaths.

Sept..8, 1615 Destruction of the city of Flora Oct. 1963 RD $60 million 400
Santo Domingo. deaths.

May 9, 1673 Severe damages.to the'city David Aug. 1979 RD $890 million 2,000
of Santo Domingo. deaths.

1691 Destruction of the city of Frederic Sept. 1979 (included in the above)
Azua. (Tropical
Storm)
Oct. 18, 1751 Destruction of the cities
of Azua and El Seybo. Allen Sept. 1980 RD $ 56 million

May 7, 1842 Destruction of the cities
of Santiago and La Vega.

Aug. 4, 1946 Destruction of the city of
La Vega and-Nagua. Hurricanes David and Frederic hit the Dominican
Republic in a span of five days of one another
This last earthquake of 1946 was of a magnitude And caused destruction of a little less than one
of 8.1 on the Richter Scale. third of the Gross National Product (G.N.P.) of
the country for that year. At that time
Without a doubt the most dangerous natural Hurricane David was judged to be the most
hazard that affects the country are- hurricanes powerful and extensive hurricane of the century
with all their manifestations such as sea surge, with winds of up to 250 kms per hour. the direct
flooding, and high winds. Geographically the effects can be synthesized by the following:
Dominican Republic is situated on the northern

Death 2,000 persons - The debt crisis
Homeless 100,000 families - Population growth
Material Damages RD$890 million - Mass urbanization
- Agriculture RD$354 million (37% of total - Political instability
production)
- Housing RD$181.4 million (100,000 This situation is prevalent in so many developing
houses destroyed) countries. It differs in countless ways from
- Education 15,750 schools damaged (85% that which exists in the industrialized world,
of the total) making the transfer of mitigation experiences and
- Industry RD$158 million technology difficult though not impossible.
- Infrastructure RD$133 million
- Commerce RD$110 million
- Other RD$48 million RECOMMENDATIONS

The indirect effects are more difficult to As a result of the experience of the
measure and sometimes longer lasting than the Instituto Dominicano de Desarrollo Integral., Inc.
direct effects. Some of these are: (IDDI) in working in natural hazard mitigation
and related fields in the Dominican Republic it
-.Instability in the-balance of payments is possible to formulate certain recommendations
- Increase in the fiscal deficit that would aid in implementing future mitigation
- Increase in inflation measures. These are:
- Interruption in the distribution of income
and wealth 1) The best way to confront a disaster is to
- Interruption in the educational process prevent it, and if that is not possible,
- Health related side effects due to the at least reduce the risk of one
decrease in the level of nutrition occurring. Or as the well known saying
- Psychological side effects goes: "An ounce of prevention is worth a
pound of cure."

MISUNDERSTANDINGS REGARDING POST-DISASTER 2) The most effective way to prevent or
MITIGATION reduce the risk of a potential disaster
is to incorporate natural hazard
Despite the severe impact of these disasters mitigation and disaster prevention
on the economy and well-being of the country, measures into the on going development
relatively little is being done to prepare for, planning and programs. No true
prevent, or mitigate the effects of future hazard development is possible in hazard prone
events. This is due, to a large degree, to areas if these measures are not taken
misperceptions and misunderstandings with regard into account. (In the Third World,
to natural hazards: "development" is the elimination of
- A misunderstanding that natural hazards vulnerability).
are few and far between and consequently 3) Natural hazard mitigation programs are
should receive little attention or be most effective if they are long term,
ignored. comprehensive and multi-sectorial or
integral in their approach. It is
- The lack of understanding that disasters necessary to incorporate elements of
(in contrast to the hazard) can be education, income generation and others
prevented, the impacts of hazards can be to ensure the objectives are successful.
mitigated, and that mitigation measures Also random, unrelated hazard mitigation
can be incorporated into development activities are not enough when what is
planning at little extra cost. needed is a logical, sequential approach.
Perhaps the major reason why mitigation is 4) The natural hazard mitigation programs
not receiving attention is the fact that the should be in accordance with the social,
Dominican Republic is, and has been for some economic, and cultural reach of
time, immersed in an economic crisis of such population it is to benefit. This
proportions that the institutional sector is assures that they penetrate the culture
primarily concerned with its own survival with and are acquired and learned by the
little,.or no time or resources for disaster people.
prevention and mitigation.
5) The natural hazard mitigation programs
should utilize local resources as much as
NATURAL HAZARD MITIGATION IN DEVELOPING possible. These include local labor,
COUNTRIES materials, and economic resources.
It is widely recognized that natural hazards Though these observations may seem obvious,
are not, in and of themselves, disasters, but they have been borne out by practical experience
agents that transform a vulnerable condition into in the Dominican Republic. They may, therefore,
a disaster. The Dominican Republic is not alone. be valuable to those who wish to embark on
In the Third World the condition of vulnerability natural hazard mitigation activities in fellow
is the result of its state of poverty, caused to Third World countries.
a large degree by the following factors:

Post-Disaster Housing Reconstruction and Economic Development in
Peru

Daniel Torrealva
Pontificia Universidad Catofica del Peru
DPTQ Ingenieria
Lima, Peru
INTRODUCTION Offices in housing programs. In addition hand
labor was required from the people participating
in those programs.
The problem of rural housing has not been
seriously studied nor discussed at the government
level in Peru. Although population and housing Mitigation.Techniques
censuses provide some data on the conditions of
housing in the rural areas, such information is The Catholic University of Peru has -spent
-not specific enoughto determine real needs, nor twelve years studying', through several- research
the options to improve-housing quality in. such projects, ways to improve the seismic resistance
areas. of adobe houses. These studies have resulted in
practical design recommendations for application
There has been little official participation in the field. The most important recommendations
in the subject of rural housing, so there is a include the inclusion of a mesh of cane inside
lack of experience in this field. Nevertheless, the adobe walls and the addition of straw and
interesting and helpful mitigation actions have coarse sand to the mud used as mortar. - These
been undertaken in housing reconstruction in recommendations needed to be disseminated in the
@rural communities affected by natural hazards field and further tested. Consequently part of a
(earthquakes, floods, etc.). The experience from research project funded by AID's Office of
these isolated actions needs to be-summarized in Foreign Disaster Assistance (OFDA) included a
order to make possible effective and permanent pilot project for the dissemination of the
action. technology in the northern area of Peru.

This paper describes a housing
reconstruction project in-northern Peru after the Project Development
1983 floods due to the "El Nino" phenomenon. The
objective of this project was to. implement and The dissemination activities were centered
disseminate improved construction technologies in three rural towns and one main city of
through instruction, training, and technical northern Peru (Chiclayo). The project lasted one
assistance in rural communities. year from June 1984 to May 1985 during which the
following activities were performed:

PROJECT.DESCRIPTION Preparation of teaching and dissemination
materials.
Background Dissemination lectures at several levels:
engineers and architects, local builders
Between November 1982 and June 1983, six and-users.
months of heavy rainfall caused the most dramatic - Training local builders through SENCICO
series of flooding of this century along the (National Training Institution for
coastland of northern Peru. Most of the damage Construction Workers).
(estimated in. US$ at 1250 millions) was to - Socioeconomic study of involved rural
agriculture, highways, bridges, and industrial communities.
installations. Therefore, Government interest - Elaboration of the technical file for the
after the disaster centered upon reconstruction construction of houses (list of material
of those sectors of the economy. No specific and budget estimates).
program was established for housing - Technical assistance during the
reconstruction despite the loss of homes (mainly construction stage.
adobe) by thousands of rural people due. to the - Transference of technology to local
heavy rainfall and flooding. institutions that can continue the
application of the new technology.
International institutions such as the
Agency for International Development (AID)
supported programs for the relocation of towns ANALYSIS AND EVALUATION OF EXPERIENCES
and reconstruction of houses, which, in part,
filled the gap with regard to low income housing. Even though the objective of the program was
Certain state participation was required, the implementation and dissemination of a new
involving Rehabilitation and Reconstruction technology through its application in the field,

as one might expect success depended not only on The housing policy of the new Peruvian
the technicities of the new system, but on the administration includes support for the
conditions that said technological change use of traditional rural materials.
required of the implementation program, and vice However, the technological knowledge is
versa. It is also necessary to distinguish found only in the universities and
conditions for implementation which arise from an research institutes. There is a large
emergency, in contrast with more permanent demand for information concerning improved
conditions. technology by the governmental housing
institutions. This makes necessary an
The program results in the three rural enhanced dissemination process.
towns, in terms of house units built with the new
technology, were quite different. In one of them Including mitigation measures represents
(Canasloche) not a single house was built with an increase in the cost of a house unit
the new technology, in the second one (Tupac that cannot be afforded by low income
Amaru) only 14 houses (10%) used the new people. Any project for implementation of
technology, and in Chochope, 69 houses (69%) used these mitigation measures must be related
the new construction by the end of the project. to a development program which can
cover such costs.
There are several reasons for these
differing results. The most important was the The technological solution and -the
local economy. Canasloche and Tupac Amaru are administrative system, should be
located some 4 kms. apart in the same area near sufficiently flexible to make possible
the coast. Agricultural activity here had not wide participation of the community in the
been yet restored to normal after the floods. In mitigation program. This has to be done
Cho.cope, located at a different site and at a at the stage at which decisions are first
higher altitude, agricultural activity was almost taken. This will determine not only the
normal and the people had a more stable economic way communities participate in the
situation. program, but the conditions in which their
lives develop in the future.
Another important reason was that Canasloche
and Tupac Amaru were closer to the main city of Laboratory research is needed to develop
Chiclayo (40 kms) and therefore had permanent criteria in the field: the size of the
contact with regional authorities, who could house, space design, and even material and
easily promise additional aid. This created details of the construction system,
expectations in the people, who assumed a passive without diminishing the house's qualities.
attitude. In contrast, the residents of
Chochope, which is 100 kms from the main city,
are more independent and prone to taking action ACKNOWLEDGMENTS
by themselves.
This paper is based on the final report of
It is also important to note that the the project "Adobe Constructions in Seismic and
technological innovations represent an increase Rainy Areas" funded by AID/OFDA, and in which the
in the cost of the house both in terms of opinion of Julio Vargas as Project Director,
materials and workmanship, and even though the Architect Federico Mevius, and Anthropologist
materials were provided by the project, the Flor de Maria Monzon, were fundamental.
participants had to assume increased labor costs.

Finally, most of the technological
innovations are oriented to improve the seismic
resistance of adobe houses and there was not a
strong awareness of seismic risk, since that
region has not suffered a strong earthquake in 40
years.

CONCLUSIONS AND RECOMMENDATIONS

Several conclusions and recommendations may
be offered:

- Strengthened adobe construction is a real
possibility for rural areas, despite the
damage suffered by this type of housing
due to natural hazards. But it must be
shown not as a forced solution for the
poor, but as an authentic alternative.

- Permanent and massive actions toward
mitigation in rural housing require the
support and participation of the State.
Official regulations for this type of
construction are necessary.

Transferring Mitigation Techniques Between Developed and Developing
Nations

Richard W. Krimm
Federal Emergency M.1nagement Agency
Washington, DC
When one talks of transferring hazard warning systems.
mitigation techniques to developing nations, one Relatively simple education about the hazard
is confronted with skepticism and.disdain. It is and examples of how to mitigate could save lives
said that developing countries are concerned and property. Illustrated cartoons or other
about hunger, debt, housing, and a multitude.of forms of entertainment which could be given to
other problems, and that mitigation of the the population of a developing country are one
effects of natural hazards, which often are rare approach. Many Latin American countries have
phenomena, do not have a high priority in the published excellent illustrations on simple
day-to-day problems facing developing nations. practices of hazard mitigation. In Jamaica, the
However, despite this negative reaction, government ' has published hazard mitigation
natural' hazards are a severe problem in materials 'and has designed courses on disaster
preparedness which are shared with other nations
developing nations and these problems affect both in the Caribbean.,
their economy and political stability. Examples
are the devastating cyclones in Bangladesh which T.he transfer of education materials from one
have caused economic problems for that country, country to another is a major means I of
and the earthquake in Managua, Nicaragua which promoting hazard mitigation techniques. The
contributed to the downfall of the government.
exchange of hazard mitigation information through
international conferences like this one and the
TRANSFER OF TECHNIQUES one held in Jamaica last November,are examples.
It is often difficult to convince a Very often two nations can become involved
developing country that a hazard mitigation in a joint effort to mitigate the effects of
program is needed, at the same time developed natural disasters on the lives and property of
countries maybe reluctant to assist in such an their citizens. Although both the United States
intangible project. For the transfer of hazard and Mexico are developed countries, the
mitigation techniques, the developed nation must procedures used in the U.S/Mexico Project on
be willing to commit its engineers, architects, Hydrometeorological Phenomena in the
and planners to mitigation, along with financial Brownsville/Matamoras area can be a prototype
support. The recipient country must then that could be applied between a developed and
demonstrate a willingness to implement mitigation developing nation.
measures. If neither developing or developed
country is willing to make . the necessary U.S./MEXICO PROJECT
financial sacrifices there still may be other
ways to promote mitigation. For example, the In 1980, the governments of Mexico and the
World Bank, the International Monetary Fund, and United States signed an agreement on cooperation
the United States Agency for International in cases of natural disasters. To carry out the
Development could promote hazard mitigation as a objectives of the agreement, a Mexico/United
condition of their loans and assistance to States Consultative Committee was established.
developing countries. Diplomats and other The Consultative Committee then established a
emissaries can provide some education concerning Subcommittee on Hydrometeorological Phenomena to
hazard mitigation techniques if they are taught develop a work plan for the prevention of,
to do so. This could be particularly successful mitigation of, and response to natural disasters
after the occurrence of a disaster. In the caused by hydrometeorological phenomena. The
United States, we have a unique opportunity to Subcommittee was told to develop a work plan
assist Third World countries with organizations within one year and submit it to the Consultative
like the Peace Corps which could train their Committee for review. The Subcommittee members,
staff to teach hazard mitigation in developing who are scientists, engineers, architects,
countries. planners, and program managers, met in the United
States and in Mexico to develop the work plan
If hazard mitigation techniques are to be which was approved by the Consultative Committee
transferred, they must be kept simple. This@can at a meeting in Mexico city in October, 1984.
mean the elevation of structures in flood plains,
the siting of buildings away from known hazard The Subcommittee created working groups of
areas, use of tie downs in construction, and federal, state, and local representatives from
each country. These working groups meet on an

informal basis during the year in order to carry The sixth working group is the Border
out the tasks of the work plan and then meet Coordination and Local Government Working Group
biannually with the Subcommittee for guidance and which is responsible for the design of mechanisms
direction. An annual progress report is made to and procedures for support and relief of
the Consultative Committee. The six working disaster. Although this task is designed for two
groups are: countries with a common border, it could be
revised to apply to countries that are not
The Scientific and Technical Information adjacent to each other. When two nations develop
Working Group; such a plan, there must be contributions to the
plan by both nations. The plan must be realistic
The Vulnerability.Analysis.Working.Group;... in. terms of funds and-technicians available to
work on it. And lastly,, there must be a
The Emergency Planning Working Group; commitment to the plan from the highest level of
government down through the bureaucracy.
The Preparedness and Mitigation Working
Group; We can succeed in bringing hazard mitigation
strategies to all nations as long as there is
The Public Information and Education Working mutual cooperation, patience, and a desire to
Group.;.and save lives and protect property.

The Border Coordination and Local Government
Working Group

The Scientific and Technical Information
Working Group was assigned the tasks to evaluate
the frequency of occurrence and other
characteristics of tropical cyclones and related
hydrometeorological phenomena, and the design of
tracking, forecasting, and warning systems.

The Vulnerability Analysis Working Group is
responsible for studies of the area exposed to
hazards and for evaluation of the risk, as well
as the vulnerability of human life, property, and
production. This includes the development of a
methodology to evaluate the vulnerability of
structures and persons in the area. This
information is necessary for mitigation and
recovery measures.

The Emergency Planning Working Group is
responsible for drafting the plans and procedures
for response and recovery needed as the result of
tropical cyclones and related hydrometeorological
disasters.

The Preparedness and Mitigation Working
Group is responsible for evaluating, integrating,
and disseminating, among professionals,
authorities, and the community-at-large, the
techniques. for reduction of the effects of
disasters resulting from hurricanes, tropical
storms, and other hydrometeorological phenomena.
The group is also responsible for the improvement
of policies for land use. The dissemination
method will consist of the publication of manuals
and technical guidebooks and in the undertaking
of workshops which will include the presentation
of manuals and guides. The workshops will be
given by technical experts.

The Public Information and Education Working
Groups is tasked with the responsibility to
design and implement systems and procedures for
educating and providing information to the
community. This will include education of public
officials, exchange of bilingual public
information, and the development of preparedness
activities.

CHAPUER THREE
MITIGATION TECHNIOUES

This chapter outli nes techniques for re- The third paper by Mary Lydstadt focuses
ducing hazard losses in both post and pre- upon-mental health services after a disaster.
disaster contexts. It begins with a paper by
David Brower and Timothy Beatley which examines Walter Hays considers mapping (microzona-
11growth management" techniques and coastal tion) of earthquake hazards in Algeria and de-
storm mitigation. The techniques and sugges- velopment of seismic-resistant design criteria.
tions for implementation in this paper are
applicable to other hazards. The final paper by Martha Blair addresses
the transfer of mitigation techniques among
The second paper by William Kockleman more various types of hazards.
specifically examines techniques for reducing
mudflow and mudflood hazards. He stresses the
need for solid data as a basis for mitigation.

Growth Management and Coastal Storm Hazard Mitigation

David J. Brower and Timothy Beatley
Center for Urban and Regional Studies
University of North Carolina
Chapel Hill, North Carolina
HURRICANE HAZARDS AND URBAN GROWTH seawalls to requirements for more stringent
building codes. It argues that many of the more
Hurricanes produce strong winds, wave traditional approaches to mitigation are costly
action, and flooding in coastal communities. and ineffective and that localities should
-People-are often killed or injured, buildings are consider growth ma .nagement as a means , of
destroyed, the natural environment altered, and mitigating coastal storm hazards. Following this
social and economic activities suspended is a description of the six major categories of
(Beatley, Brower, and Godschalk, 1984), growth management tools and techniques. Section
Brinkmann reports that between 1925 and 1970, 111 addresses the rise of growth management tools
over 5,000 people were killed and $7.5 billion in and the achievement of growth management
property damaged by hurricanes in the United objectives during reconstruction following a
States. The Wiggins Company has recently coastal storm. Finally, Section IV provides some
estimated that the annual wind and surge damage closing thoughts.
from hurricanes may reach $5 billion by the years
2000 (Wiggins, 1979).
COLLECTIVE-ADJUSTMENTS TO THE HURRICANE RISKS
Estimates of damages from recent hurricanes
support these figures and suggest that, if In dealing with the risk arising from
anything, they are conservative. For example, natural hazards, several basic approaches can be
Hurricane Frederic in 1979 wreaked approximately taken: risks can be avoided, they can be reduced,
$1.7 billion in property damages to the coasts of they can be spread out or more evenly distributed
Alabama, Mississippi, and Florida (U.S. Army over the population, or they can be simply
Corps of Engineers, 1981); Hurricane Alicia, a ignored. Several approaches have become popular
relatively small storm in August of 1983 produced in response to hurricane risks: insurance
some $1.5 billion in damages to the Texas coast payments from the federal flood insurance
(U.S. FEMA, 1983); and even smaller and less program; the provision of post-disaster
dangerous storms such as Hurricane Diana, which assistance, usually by state and federal
struck the North Carolina coast in 1984, caused agencies; the construction (often with federal
significant damages and disruption. funding) of structures, such as seawalls,
While the number.of deaths from hurricanes revetments, and groins, which reinforce the
coastal environment; and adoption of building
has declined, the amount of property damages has codes and construction standards which require
risen steadily. This is the result, primarily, of that coastal buildings and facilities are able to
a dramatic growth in coastal areas in recent withstand hurricane forces. Facilitating
years, especially on barrier islands -- the evacuation through the preparation of local
coastal environments most vulnerable to storms evacuation plans is an additional common approach
(see Baker, 1979; French, 1979). Coastal to risk reduction or avoidance.
development is occurring in the most hazardous
locations (e.g., see Burton, Kates, and Snead, Structural approaches to hurricane
1969; Lins, 1980). It has been suggested that protection -- either strengthening the shoreline
the number of deaths associated with hurricanes through seawalls, groins, jetties, and so on, or
may again begin to rise, as urban areas find it strengthening buildings themselves through more
increasingly difficult to evacuate residents stringent construction standards -- are the
(Brinkmann, 1975). To compound these problems, traditional approaches and are dominant in many
the vast majority of coastal residents have not coastal areas. These approaches, however, have
experienced a serious hurricane, creating a false fundamental drawbacks. Many localities simply do
sense of security (Herbert and Taylor, 1975). not have the legal authority to enact building
This suggests that many, if not the majority of codes. Moreover, building codes often provide
coastal residents are not concerned -- or as only minimal protection, and increasing the
concerned as they should be -- about the stringency of building requirements may be quite
hurricane threat. costly. Engineered buildings may be better able
to.withstand storm forces, but their location in
What follows is a brief review of the' -high hazard areas (e.g., close to an eroding
mitigation options available to coastal beach) creates the need for structural
localities, with a particular focus on growth protection. Moreover, while such buildings are
management. Section II reviews the range of stronger, they are not necessarily immune to
responses available from the construction of hurricane destruction (Pilkey et al, 1983;

Salmon, 1984). development scenarios, and various strategies and
means for their. achievement. Typically such
Permitting unrestricted shoreline plans provide a community-wide picture of
development with the notion that seawalls and desirable patterns of development and growth and
other protective structures will be built to appropriate activities and uses to be permitted
guard against hurricane forces is an extremely in particular sectors. More general and less
expensive approach and one which may have only specific than a zoning ordinance, a land use plan
limited effectiveness. The Galveston seawall, may establish, for instance, that high hazard
for example, despite its immense costs, is only areas in the community should be reserved for
designed to protect against a medium-sized recreational uses or for low-density development@
hurricane (a category 3 on the Saffir-Simpson The plan may designate these hazard areas and
index; see Neumann et al, 1978), and has then provide a set of policies and standards for
virtually eliminated the beach. Beach controlling development in them. Local plans
nourishment, either in conjunction with may result in the reduction of storm hazards in
structural measures or by itself, can be used to their overall effect, - or they may contain
replenish beach materials, but again this is an specific hurricane and storm hazard mitigation
extremely expensive option and one.which provides components. The Development Plan for Sanibel
only marginal and usually very short-term Island, Florida, for example, explicitly
protection from storms and ocean flooding. considers -- indeed contains as a central feature
-- the reduction of hurricane and storm hazards.
Any hurricane hazard mitigation response
must be based on an understanding of the natural Under North Carolina's Coastal 'Area
dynamics of the coastal environment. In recent Management Act (CAMA), coastal localities are now
years, tremendous growth and development has required to include hurricane hazard mitigation
occurred on barrier islands. They have been components in their land use plans. The CAMA
.shown to migrate (Kaufman and Pilkey, 1977) due regulations require that these plans consider and
to a complex set of natural dynamics (e.g., include the following:
washover processes, littoral drift, inlet
formation, dune and beach dynamics) and are (i) a local damage classification scheme
modified by storms and hurricanes. Coastal consistent with those of federal and
erosion as a result of normal offshore littoral state assistance agencies
patterns, the occurrence of hurricanes and
storms, and the general sea level rise, make (ii) the establishment of local damage
-development along the shores of barrier islands assessment teams
particularly tenuous. Structurally oriented
solutions are designed to resist and combat these (iii) consideration of the establishment of a
natural processes and are very costly and in the 11recovery task force" to oversee the
long run largely ineffective (see Pilkey et al, reconstruction -proces Is and any policy
1980). issues which might arise after a storm
Growth management can be defined as a system* disaster
of programs and policies designed to influence, -.(iv) the establishment of guidelines for
either directly or indirectly, the location, post-disaster repair and
density, timing and/or type of development
occurring in a community (see Brower et al, 1984; reconstruction, including but not
Godschalk, Brower et al, 1979). Six categories limited to:
of such programs can be identified: (1) land use
planning, (2) development regulation, (3) land (a) timing and completion of damage
acquisition, (4) taxation and other fiscal assesments
incentives, (5) public investment policy, and (6)
information dissemination. Each of these (b) the timing and imposition of
techniques can be used to orient or direct temporary development moratoria,
development away from the most hazardous and
locations. It should be noted that in the short
term, growth management will not be helpful in (c) the development standards to which
coastal communities like Miami Beach, where high repairs and reconstruction shall
risk- areas have been completely developed. conform
However, in the longer term ., such communities
could use growth management to direct (v) the establishment of a schedule for
redevelopment and reconstruction should a staging and permitting repairs and
devastating hurricane occur (see Section III of reconstruction according to established
this paper; also McElyea, Brower, and Godschalk, priorities assigned to the restoration
1982). of essential services, minor repairs,
major repairs, and new development
Land Use Planning (vi) the determination of which local agency
is to implement the policies and
Land use plans can provide a rational basis procedures contained in the post-
for land use decisions. A community's land use disaster plan
plan serves as the guiding framework and
formulation for orienting growth and development, (vii) establishment of policies concerning
by identifying community goals and objectives, the repair and possible relocation of

public utilities and facilities (Sec. Subdivision regulations govern the
203 (9)(6)) conversion of raw land into subdivisions and the
improvements made during this process.
In the relatively brief period in which this Subdivision regulations usually control the
requirement has been in effect, some 15 coastal configuration and layout of development. They
localities have developed such plans. the Town may operate in ways similar to zoning to control
of Nags Head, for instance, has delineated the amount and density of development as well.
general mitigation goals and specific mitigation Site plan review and other requirements of the
policies which will serve to guide future subdivision regulations can provide the
development decisions in ways which will reduce opportunity to orient development sites in ways
these hazards (see Brower, Collins, and Beatley,, which minimize risks from storms. For instance,
1984). subdivision regulations could require that
dwellings on lots in hazardous areas be sited to
Reconstruction plans can serve, on the one maximize their distance from the ocean.
hand, as general guidelines for making decisions
about redevelopment following a storm, or on the Subdivision approval might be made
other hand, may constitute very detailed contingent upon mitigative actions, such as the
instructions about which uses and site-specific protection of dunes, wetlands, and natural
areas and parcels will be permitted to be rebuilt vegetation. Builders could also be required to
and in what ways. The North Carolina 11cluster" structures on the safest portions of a
reconstruction plans which have been developed parcel, to minimize exposure to storm hazards
thus far focus largely on the decisionmaking (e.g., see Whyte, 1968 for a general description
process following a storm, and the necessary of the clustering concept, and Urban and Regional
institutions and components of that process. The Research, 1982, for its application to hazard
plans, to a lesser extent, provide specific reduction).
policies and information about where
redevelopment should be permitted or not A promising alternative is to protect the
permitted, and under what conditions and option of moving a structure back from the ocean
requirements (see Beatley, 1985). by requiring lots which are sufficiently deep for
this purpose. Such areas could be considered
Under Florida's 1985 growth management law, analogous to the "repair" areas often required
coastal localities are required to address for septic tanks.
coastal storm hazard mitigation and to develop
post-storm reconstruction plans and policies. Many of these techniques may be appropriate
following a hurricane or severe storm. A
moratorium on reconstruction can give a locality
Development Regulation time to determine how it wishes to redevelop, and
actions it can take which will minimize the
The primary growth management tools are impacts of the next storm. (This is discussed at
those which regulate the location, amount, greater length in Section III).
density, and type of development in a coastal
community. Basic types include zoning and
subdivision regulations, and various specialized
applications of these standard regulations.
Conventional zoning ordinances control the type Land Acquisition
of land uses allowed in particular parts of a One very effective approach to reducing
community (e.g., residential, commercial, storm hazards is to prevent the development of
recreational) as well as their intensity (e.g., hazardous land by public acquisition of that
bulk, height, floor area ratio, setback land. Several types of acquisition are possible.
provisions). As a result, zoning provisions can Fee-simple acquisition involves obtaining the
control the amount and type of property exposed full "bundle of rights" associated with a parcel
to hurricane hazards. For instance, recreational of land. Undeveloped lands could then be
and other low density uses may be the most maintained for open space, or other public
appropriate activities to be permitted in high recreational uses. (See Field Associates, 1981;
risk areas (e.gi, high wave and erosion areas). Kusler, 1979). Another alternative is to
Restricting such areas to low density activities purchase a less-than-fee simple interest in the
will substantially reduce the amount of property land, in which owners of hazard-prone lands sell
at risk. only their right to develop the land (e.g., the
A relatively common and effective approach landowner is paid the fair market value for this
under this category is the requirement that new right and agrees to leave the land in an
construction be setback a certain distance' from undeveloped state in perpetuity).
the ocean's edge. In North Carolina, for Another approach involves the purchase of
instance, new multifamily structures located in damaged structures, and/or the relocation of
Ocean Erodible Zones (oceanfront areas) must be structures out of the hazardous area. While an
setback a distance of 60 times the annual erosion expensive approach, relocation programs have been
rate. in that area. The State of Florida has undertaken in several localities to avoid future
recently passed legislation which requires disasters (e.g., David and Mayer, 1984; Adler and
structures to be setback beyond a thirty year Jansen, 1978).
erosion line.

Taxation and Other Fiscal Incentives An increasingly popular device which can be
used to reduce the extent of development in
A growth management system may also include hazardous areas is the concept of transferable
attempts to influence patterns of growth through development rights (e.g., see Costonis, 1973;
the use of taxation and other fiscal incentives. Carmichael, 1974; Rose, 1975). Such an
The use of differential property taxation, for arrangement would permit the transfer of
instance, is founded on the theory that reducing development rights from a high hurricane or storm
the property tax on undeveloped land will hazard zone to a non-hazardous or "safe" zone in
decrease holding costs and increase the another part of the jurisdiction. Such a system
profitability of current uses. This will could either be voluntary or mandatory. Under
increase the ability to resist pressure to the latter, a locality would simply zone the
convert to more intensive uses. Almost every storm hazard area so that fewer units of
state has a provision for some form of development are allowed (or prohibit new
differential property taxation (e.g., Coughlin development entirely), and the owner of land
and Keene, 1981; Keene et al, 1976). The uses. within this zone would then be permitted to
which are typically eligible are farm and transfer all or some of this unused development
forestland, open space and recreational uses. density to parcels in designated safe areas, or
But if applied in coastal hazard areas to sell these on the open market to others who.
differential taxation could reduce the amount of own land in areas designated for development.
property exposed to storms. The locality would then permit increased levels
of development in the "safe" zone as a result of
Another taxation approach is to assess possessing extra development rights; thus a
hazard areas development for the full cost of its natural market for the transfer of these rights
location in. the hazard area (e.g., the is created. A voluntary approach would simply
reconstruction of public facilities, public present this transfer as an additional option for
search and rescue services, disaster assistance the landowner -- a way of maintaining the land in
and other services following a disaster). One its undeveloped use if the landowner wishes. The
example is "special benefit assessmentsit. This landowner in this case would still have the
technique is commonly used to charge property option of developing his land, or selling it for
owners for the installation of curb's and gutters, development purchases.
or the improvement of roads, drainage, and sewer
and water services. Such assessments are
typically tied to a geographically delineated Public Investment Policy
district in which property owners receive a
substantial benefit in excess of the general Development patterns are influenced by
benefits received by the public at-large (Hagman decisions concerning the provision of public
and Micszynski, 1978). Applying the concept to facilities such as roads, sewers, and water
hurricane hazard management, a community would services. A locality-can develop an explicit
delineate areas in which "special storm services" capital facilities policy designed to avoid high
are provided, and hence subject to the special hazard areas, thus reducing the amount of
assessment. development and property at risk. This will
become an effective deterrent, however, only if
A variation on this theme is the impact fee. development in high hazard areas is dependent
Here the levy may be designed to recoup the upon -- or deems highly attractive -- the
impact of a project on the community-at-large -- existence of these facilities. For instance, if
impacts that may extend beyond the immediate the development is able to obtain water through
environs an requirements of a development project individual wells, and disposes of wastewater
(see Stroud, 1978). For instance, while a through septic tanks,- a reorienting of sewer and
special assessment may be levied to cover -the water facilities by the locality will do little
immediate costs associated with the floodproofing to impede growth in hazardous zones.
of sewer and water service, an impact fee might
assess broader and perhaps more diffuse, Redirecting capital facilities, and thus the
consequences, less clearly related to specific development which accompanies them, into "safer"
services or benefits received by a site of areas of the community can be facilitated through
development. Rather, it is less an issue of several means. One is the clear delineation of
benefits received, and more an issue of the an urban-service area or district, in which the
negative impacts on the community created by the community agrees to provide certain facilities
development which must be mitigated. For and services.
example, the jurisdiction might levy an impact
fee according to the extent to which a new Public investments also include structures
project reduces the overall ability of the and buildings.ranging from town halls to schools
community to evacuate in the event of a to police and fire stations. It may be possible
hurricane. While it may not be designed to cover to locate these in areas which are less
the costs of a specific improvement or set of susceptible to storm forces, thus reducing the
improvements by which the particular development, amount of property-at-risk, and by constructing
will benefit in a unique and special way, it is them to @certain specifications, it may be
designed to require the developer (and presumably possible to use them as storm shelters.
future residents who purchase these properties)
to compensate the public for the costs associated Decisions about how to rebuild public
with development in a hazard area. facilities and capital investments following a
storm may also have a tremendous impact on the
extent to which damages from the next storm are

reduced. For instance, a community may decide GROWTH MANAGEMENT DURING RECONSrRUCTION
that a road located in a high hazard area and
heavily damaged from a hurricane should not be Post storm reconstruction places unique
rebuilt. Such reconstruction decisions will decision-making pressures and demands on local
also, of course, influence private decisions officials. Special institutional arrangements
about how and where to rebuild following a storm. are needed to effectively cope with them.

. Information Dissemination Post-Storm Damage Assessment

Classical economic theory supposes that the C,ritical to public decisions concerning
more informed consumers are, the more rational post-storm reconstruction is an early and clear
and allocatively-efficient their market decisions understanding of the magnitude, type, and causes
will be, This implies an additional set of of damages from the storm. One approach is to
mitigation strategies which aim primarily at form a damage assessment team in advance of the
supplementing and enlightening individual market storm that comes into existence immediately
decisions regarding the hurricane and storm following the storm. Procedures for estimating
threat. Several approaches can be taken, and documenting the extent and nature of storm
damages are established in advance of the storm
The first approach is to use mechanisms (e.g., damage assessment forms, field guides),
which effectively inform potential consumers of
the risks associated with the location (e.g., in The damage assessment team might be assigned
a high hazard district). This can be done in the following responsibilities (Brower, Collins,
several ways. Real estate agents might be and Beatley, 1984):
required to inform prospective buyers about the
potential dangers from storm forces. This (a) to assess the extent and location of
approach was proposed in Texas, but was not storm damage to public and private
enacted due to opposition from real estate and structures and facilities and to the
development interests (e.g., Texas Coastal and natural environment;
Marine Council, 1981). This approach has been
used in California in an attempt to inform (b) to document the type and location of
prospective homebuyers of the risks of living storm forces, including the identifi-
near earthquake fault lines (Palm, 1981). Under cation of the following:
Florida's new growth management legislation,
prospective buyers of land and property seaward 1) incipient inlet areas
of the coastal construction control line must be
informed of this fact (Hopping et al, 1985). 2) high wave action areas and a reas of
high erosion
Another approach,is to institute programs
which attempt to directly educate the housing 3) high flooding and overwash zones.
consumer about storm risks. This might take the
form of brochures and other materials distributed (c) from the above information, to
to new and prospective residents of the determine, to the extent possible, the
community, informing them of the nature and likely causes of damage (e.g., faulty
.location of storm hazards, and information about construction, proximity to an incipient
what to look for in a new home or business inlet).
structure (e.g., elevation and floodproofing).
For existing residents, this approach may be one
of educating them about actions which can be The damage assessment team(s) would collect
taken to enhance the integrity of their existing this information and present it using a damage
structures (e.g., installing "hurricane clips") area delineation scheme. The damage team should
and reducing future property damages. also be asked to compare the actual damages
incurred in the community with the hazard maps
Another approach is to attempt to reduce available prior to the storm.
storm hazards by increasing information on the
11supply side". This might take the form of The precise composition of this damage
construction practice seminars for coastal assessment team will depend upon the resources
builders and developers, introducing both and expertise available in the locality. It
conventional and innovative approaches both to
building and designing structures, and to siting might include some of the following individuals:
and planning the orientation of buildings in
vulnerable locations. This approach was proposed planning director
as a primary mitigation stragegy following
Hurricane Alicia in 1983 (U.S. FEMA, 1983). The building inspector
success of such a strategy, however, depends
essentially on the integrity of builders and engineer
developers, and those who are conscious of storm - tax assessor
threats are probably already planning their
projects accordingly. - public works director

- real estate agents/appraisers

environmental scientist/individuals fami- (10) Participate in federal hazard
liar with coastal dynamics and processes. mitigation planning.

(11) Recommend the lifting of a moratorium
In their storm hazard mitigation plan for on new development.
Ocean City, Maryland, Humphries and Johnston
(1984) propose the creation of three
different sets of damage assessment teams.. An The primary function is to receive and
initial damage assessment team is the first in review the damage assessments and analyses of
the field, providing an initial inspection of post-storm circumstances, and to compare these
damages to be completed in a couple of hours and circumstances with mitigation opportunities to
uses it to determine if an emergency should be discern appropriate areas for post@storm policy
declared, if a redevelopment moratorium should be change and innovation. Where needed, it can
enacted, and if state and federal disaster aid review alternative mechanisms for bringing these
should be requested. The second stage involves a changes-about-and go about harnessing internal
more detailed assessment of damages utilizing and external resources for achieving these ends.
different teams to assess different types of Essentially then, a primary function of this
damages (e.g., private residences, mobile homes, group is- comparing contingent factors and
etc.). A third team will accompany federal and circumstances (physical, - economic, political)
state damage assessment teams and will assist in with mitigation opportunities, and to arrive at
the preparation of damage-survey reports required' and implement a set of post-storm policies. Such
for obtaining disaster assistance. a task force could also undertake a similar@
process for non-mitigative objectives and
opportunities. The other goals considered during
Recovery Task Force reconstruction decision making might include the
following:
A task force created to supplement the
normal local decision making process has been (1) enhancement of local recreational and
used successfully in several post-disaster open space opportunities; enhancement
settings. The North Carolina Coastal Management of public access to beach and ocean;
program urges localities to consider the creation
of such a group. For instance, the Onslow County (2) enhancement and restoration of local
(1984) hurricane hazard mitigation and post- natural ecosystems;
disaster reconstruction plan proposes a recovery
task force with the following responsibilities: (3) reduction of traffic congestion, noise,
and other transportation-related
(1) Review the nature of damages, identify ..problems;
and evaluate alternate program
approaches for repairs and (4) enhancement of the long-term economic
reconstruction, and formulate vitality of the local commercial and
recommendations for handling community industrial base;
recovery.
(5) others.
(2) Recommend to the County Commissioners
the declaration of a moratorium on
repairs and new development. The composition of this body also presents a
question. Several options exist One
(3) Set a calendar of milestones for re- possibility is to assign these responsibilities
construction tasks. to a completely new group of individuals, perhaps
broad-based in its representation of community
(4) Initiate orders for repairs to critical interests. This group might be composed of the
utilities and facilities. following:
(5) Recommend the lifting of a moratorium - one or.more elected officials;
for minor repairs. - planning director or planning department
@(6) Recommend the lifting of a. moratorium representative;
for major repairs to conforming
structures. - public works official
(7) Evaluate hazards and the effectiveness - one or more representatives of the
of mitigation policies and recommend business community;
the amendment of policies, if
necessary. representatives of adjoining communities.

(8) Initiate negotiations for relocations
and acquisitions of property. Such a group would have the advantage of a
.fresh perspective on development opportunities in
(9) Recommend the lifting of a moratorium the locality as well as perhaps. a stronger
on major repairs (with approved changes political base. A major issue in this case. is
to conform). the extent to which this body is directly
accountable to the elected governing body or has

some degree of independent decision-making the short term), focus its resources on
authority. rebuilding in less damaged areas, and give a
little time to the consideration of alternative
Another option is to assign these respon- reconstruction plans for areas which were totally
sibilities primarily to the local planning board. destroyed. The bulk of the task force's
This would have the advantage of capitalizing on immediate attention should be directed to
the knowledge of the development process and determining whether structures in moderate damage
would release the elected board from many of areas ought to be allowed to rebuild and if so,
these decisions (at least at a detailed level of under what conditions. In addition, existing
consideration), which is highly desirable given designation of local hazard zones (e.g., flood
the number and gravity of decisions these hazard areas) should be reviewed and modified to
individuals typically face in the aftermath of a reflect changes in natural processes and
hurricane. topography and new knowledge gained about these
processes. For example, if a new inlet has been
Another option is simply to place these created, this should be designated and considered
reconstruction opportunities squarely in the 'by the task force or governing body when making
hands of elected officials. This option has the reconstruction decisions.
advantage of placing reconstruction issues and
decisions in the hands of those officials who The triage damage zone concept, while
will ultimately be responsible for their largely untested, has been incorporated, in one
implementation. This may be more politically way or another, in a number of local disaster
expeditious, as well. A major disadvantage is planning programs (Rogers, Golden, and Halpern,
that elected officials are typically faced with 1981; Onslow County, North Carolina, 1984; see
myriad decisions in the storm aftermath, and it Haas, Kates, and Bowden, 1977, for a general
may be appropriate to reduce rather than add -to description of this idea).
their decision-making responsibilities.

Humphries and Johnston (1984) propose Temporary Reconstruction Moratoria
several recovery and reconstruction committees.
A Disaster Recovery Task Force would oversee After the storm a locality may be besieged
.recovery decision-making and would perform many with requests by individuals to rebuild.
of the supervisory tasks mentioned above. In Typically the pressure to rebuild is great, and
addition, a Property Acquisition Committee would local governments are not prepared to deal with
be established which would have responsibility either the substance or the number of these
for recommending properties for acquisition after requests. One approach to this problem is the
the storm. A Permitting Task Force would be declaration of a temporary moratorium on
formed which would assist in the management of rebuilding, alluded to earlier. This would
the permit process. Finally, a Property Owner provide sufficient time for the local damage
Notification Committee,.w.ould. be-esta.blished to ..assessment team to do its job and the task force
inform non-resident property owners of damages to consider appropriate mitigation opportunities.
incurred by the property and the post-disaster Once the damage assessment is completed, the
situation. moratorium can be lifted for less damaged areas.
A time limit to the moratorium, such as six
months from its initial designation, is probably
Delineation of Damage and Hazard Zones: advisable.
The "Triage" Concept

A primary task of the damage assessment team Taking Advantage of Redevelopment Opportunities
is to delineate damaged areas in conjunction with
the reconstruction task force. A three-tiered The extent to which redevelopment
delineation based upon severity of damage would opportunities can be captured in the aftermath of
function much like a "triage" does in emergency a hurricane will depend in large part on the
medicine: 11major", "moderate", and "minor". nature of the damages incurred (Cibrowski, 1981),
Damaged areas would be designated, perhaps and the pre-disaster planning. That is, if
according to the following damage criteria: destruction is widespread in terms of the number
of structures affected and the extent of damage
(a) major damage areas: where buildings to each structure, then substantial changes in
experience damages amounting to 50% or land use patterns will probably be more feasible.
more of.their fair market value; The greater the variation and mixture of these
damages, the less likely,are major land use
(b) moderate damage areas: where buildings changes during reconstruction.
experience damages amounting to over
20% but under 50% of their fair market The extent and size of this damage area may
value; in turn determine the type and magnitude of the
mitigative opportunities. Moving urban
(c) minor damage areas: buildings receiving seftlement away from high storm hazard areas will
damages of less,than 20% of-their fair simply not be possible where the damaged-area is
market value. relatively small, but less ambitious programs may
be more successful in these circumstances (e.g.,
the purchase of individual damaged sites for use
The triage suggests that a community delay as open space).
reconstruction in major damage areas (at least in

It is important to remember that hurricane Beatley, T., D.J. Brower, D.R. Godschalk, and
damage may open the possibility of changes in W.H. Rohe. 1985. Storm Hazard Reduction
land use patterns which are responsive to local Through Development Management: Results of a
objectives not necessarily directly related to Survey of Hurricane-Prone Localities in
hurricane hazard mitigation. Destruction from a Nineteen Coastal States. Center for Urban
hurricane may provide opportunities to advance and Regional Studies, University of North
these objectives, and the locality should be Carolina at Chapel Hill, NC.
prepared to act quickly to capitalize on them.
The. recovery task force can serve as the body Beatley, T. 1985. Coastal Storm'Hazard Planning
which oversees and advances this "target of in North Carolina: A Review and Critique.
opportunity" process. Again, the reconstruction Center for Urban and Regional Studies,
process should be guided by the reconstruction University of North Carolina@at Chapel Hill,@
..policies and redevelopment plans formulated NC.
before the storm.
Brower, D.J., W. Collins, and T. Beatley. 1984.
Hurricane Hazard Migitation and Post-Storm
CONCLUSION Reconstruction Plan for Nags Head, NC.
Coastal Resources Collaborative, Ltd.,
This paper has introduced the concept of -Chapel Hill, NC.
growth management as an alternative reaction to
hurricane and.coastal storm hazards. We have -Brower, D.J. et al. 1984. Development Management
argued that this approach to hazard reduction is in Small--Towns. APA Planners . Press,'
the most sensible and. cost-effective in may Chicago, IL.
coastal localities. While it may not be
appropriate in jurisdictions which contain hazard Burton I., R.W. Kates, and R.E. Snead. 1969.
zones which are already heavily developed, growth & Human Ecology of Coastal Flood Hazard in
management measures are appropriate where Megalopolis. Department of Geography,
-hazardous areas are-not yet developed., A variety research paper #115,- University of Chicago
of growth management tools and -techniques are Press, Chicago, IL.
available, ranging from conventional zoning to
public acquisition of@undeveloped land. It is Carmichael, O.M. 1974. Transferable development
important to remember that the selection of rights as a basis for land use control.
measures will depend upon the unique economic, Florida State University Law Review, 2:35-
political, and ecological situation of each 107.
coastal locality. Growth management- measures
will be most effective if they are considered and Cibrowski, A. 1981. Urban Design and Physical
developed as a system, with-measures reinforcing Planning as Tools to Make Cities Safer in
each other. Earthquake Prone Areas. Institute of Urban
Design and Physical Development, Warsaw
It is important to place hurricane and Technical University.
coastal storm hazard mitigation in the context of
other local planning and development objectives Costonis, J. 1973. Development rights transfer:
for several reasons. First there may be An exploratory essay. Yale Law Review,
opportunities to advance other community goals 83(l):75-128.
and objectives. While it may not be feasible to
purchase high hazard parcels solely to reduce the Coughlin, R. et al. 1977. Saving the Carden: The
extent of property at risk in the community it Preservation of Farmland and Other
may be possible when it is determined that such Environmentally Valuable Landscapes.
lands are needed for open space and recreational Regional Science Research Institute,
purposes. These overlapping objectives together Philadelphia, PA.
make it feasible. -Second, coastal storm hazard
mitigation should be balanced against other Coughlin, R. and J. Keene (Eds.). 1981.. The
public goals. For instance, a locality may Protection of Farmland: A Reference
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relatively small and are counterbalanced by other DC.
amenities and project features which are highly
valued by the public. David, E. and J. Mayer. 1984. Comparing costs of'
alternative flood hazard mitigation plans:
The case ' of Soldiers Grave, Wisconsin.
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Baker, E.J. 1979. Geographical variations in
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Areas: Flood Plains and Barrier Islands. and S.R. Riggs, 1980. From Currituck to
Proceedings on Urban Affairs in North Calabash: Living with North Carolina's
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Godschalk, D.R., D.J. Brower, et al. 1979. Pilkey, O.H., Sr., W.D. Pilkey, O.H. Pilkey, Jr.,
Constitutional Issues of Growth Management. and W.J. Neal. 1983. Coastal Design: A Guide
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Haas, E., R. Kates, and M. Bowden (Eds.). 1977. Nostrand, Reinhold Company, New York.
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Hagman, D. and D. Misczynski. 1978. Windfalls
and Wipeouts: Land Value Capture and Rose, J. 1975. Transfer of Development Rights.
Compensation. ASPO Press, Chicago, IL. Center for Urban Policy Research, Rutgers
University, New Brunswick, NJ.
Herbert, P.J., and G. Taylor. 1975. Hurricane
Experience Levels of Coastal County Salmon, J.D. 1984. Vertical evacuation@ in
Populations - Texas to Maine. National hurricanes: An urgent policy problem for
Hurricane Center, Miami, FL. July. coastal managers. Coastal Zone Management
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Hopping, W.L. et al. 1985. Florida's 1985 Growth
Management Legislation, Summary and Stroud, Nancy. 1978. Impact taxes: The
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Humphries, S.M. and L.L. Johnston. 1984. Texas Coastal and Marine Council. 1981. Model
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Kusler, J.A. 1979. Floodplain Acquisition: Issues
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Information. Institute of Behavioral
Science, University of Colorado, Boulder,
Co.

Some Techniques for Reducing Mudflow and Mudflood Hazards

William J. Kockleman
US. Geological Survey
Menlo Park, California

INTRODUCTION estate is located within an official fault-
rupture zone, as delineated by the State
Many of, the techniques for reducing Geologist (Hart, 1985).
landslide hazards available to planners,
.engineers, and decision makers are applicable to Disclosure can also be required at the local
..mudflow and mudfloodhazards. Some of these level. For example, 'in the-ordinance enforcing
techniques, such as public acquisition ..of on-site geologic investigations before'
hazardous areas, are well known to the planning construction, the Santa Clara County (California)
profession. Others,. such as control structures, Board of Supervisors,requires that all sellers of
are commonly used by engineers. Still others, real estate lying partly or wholly within the
such as warning signs and regulations, .are County's, flood, landslide, and fault-rupture
obvious and practical, but require maintenance zones provide the buyer with a written statement-
and enforcement. Still others are innovative and, of the geologic risk (Santa Clara County Board of
untested when-applied to mudflows, but have been Supervisors, 1978).
successfully used in solving flood, landslide,
and soil problems. These and other landslide To help Realtors (membersof the National
reduction techniques are shown in Table 1 under Association of Real Estate Boards) comply with
the general headings of- (1) discouraging new these federal, state, and county disclosure laws,
development, (2) removing or converting existing five, local boards of Realtors in the San
development, (3) providing financial incentives Francisco Bay area prepared street maps showing
or disincentives, (4) regulating new developmenti some or all of the flood, landslide, and fault-
and (5) protecting existing development. rupture zones. The five maps cover one entire
county and parts of three others, and..include
The techniques may be used in a variety -of more than'50 diti6s.- I'dadditio'n, th@ San Jose
combinations to help solve both existing and (California) Board of Realtors designed a form to
potential hazard problems. In the case of flood be attached to a real-estatecontract to comply
problems, Kusler described 75 case studies of with the county disclosure ordinance.
hazard-reduction programs. Most include various
combinations of two or more techniques,. such as Discontinuance of Nonconforming Uses -- When
restrictive rebuilding regulations combined with new or amended land-use zoning regulations are
acquisition for a mudflow . area; . rebuilding enacted, they often result in some existing land
moratoriums and more detailed regulations uses becoming nonconforming. Nonconforming uses
combined with monitoring and warning systems, are defined as those that exist at the time a
posting of signs, and partial acquisition; and zoning ordinance is adopted or amended, and do
ample setbacks from bluffs subject to erosion not conform to the new ordinance. For example,
combined with acquisition and citizen education if an ordinance prohibits new residences within a
(Kusler, 1982). hazardous area, those residences existing prior
to the ordinance become nonconforming.

DESCRIPTION OF SOME TECHNIQUES Zoning or other land-use ordinances may
provide that nonconforming uses may be continued
Disclosure -- Preparing.hazard information but cannot be extended or enlarged. They may
for nongeologists and enacting hazard-disclosure stipulate that, if the current uses are
laws can make people aware of mudflow and discontinued for a designated period, any future
mudflood hazards. Furthermore, disclosing these -use must conform to the ordinance. Regulations
hazards at the time of purchase can , alert may also require that total structural repairs or
property owners to potential danger and loss. alterations over the lifetime of a nonconforming
For example, to provide for protection against building be limited to a percentage of the
flood losses through a federally subsidized assessed or market value. Legislation may also
flood-insurance program, the United States eliminate nonconforming uses by providing for
Congress requires lenders to-notify prospective their amortization over a reasonable period of
borrowers that the real estate being mortgaged is time. Model ordinance provisions and comments on
located in a flood-hazard area, as identified by the discontinuance of existing land uses are
.the Federal Insurance Administrator. To provide described in A Model Land Development Code by the
for public safety from earthquakes, the American Law fn-stitute.
California Legislature requires a seller or his
agent to tell the prospective buyer that the real

Removal of Unsafe Structures -- Government demolition ... Demolition began two weeks
agencies can remove structures damaged by later..."
mu dflows and mudfloods by applying their public-
nuisance-abatement powers. Section 203 of the Legal Liability -- American jurisprudence
1985 Uniform Building Code by the International recognizes civil liability for death, bodily
Conference of Building Officials, adopted by many injury, property damage, emotional distress, and
cities and counties, indicates how this can be economic loss, any of which may be caused by a
done: landslide. Those potentially liable include the
former owners or their agents, present owner,
All buildings or structures regulated by developer, tract engineer, soils or geotechnical
this code which are structurally unsafe or engineers, consulting engineering geologists,
not provided with adequate egress, or which architect or building designer, contractor,
constitute a fire hazard, or are otherwise governmental entities, adjoining property owners,
dangerous to human life are ... unsafe. Any or any combination of these parties. The
use of buildings or structures constituting potential liability and adverse judgments should
a hazard to safety, health, or public serve as a disincentive to those who may develop
welfare by reason of inadequate maintenance, hazardous areas. Sutter and Hecht, supplemented
dilapidation, obsolescence, fire hazard, by McGuire,. discussed the types of lawsuits that
disaster, damage,. or abandonment is ... an injured parties may bring against those alleged
unsafe use. responsible for their losses:

All such unsafe buildings ... are hereby - fraud -- a former owner advises the
declared to be public nuisances and shall be purchaser that a house is "in perfect
abated by repair, rehabilitation, condition" when cracks (caused by recent
demolition, or removal ground failure) had been repaired and
repainted.
This power gives many communities that have
adopted similar provisions in their building - Negligence -- a neighbor changes the
codes the authority to remove any damaged natural drainage, thus causing a
structures. For example, the 1978 Bluebird landslide.
Canyon (southern California) landslide required
timely demolition and removal of 22 damaged - Strict Liability -- a mass producer and
homes; the owners refused to sign agreements seller of lots improperly cuts, fills,
allowing their homes to be demolished. The and compacts earth to create a building
Laguna Beach (California) City Council "felt that site.
appeals by landslide victims could prolong
actions needed to protect habitable properties Breach of Warranty parties to a real
surrounding the landslide area from the effects estate sales agreement insert an express
of approaching winter rains... . - The City_ guarantee of soil and geologic stability,
,Manager, with confirmation from the City Council, which is otherwise.
declared a nuisance to exist... . and ordered the
Table 1. Some techniques for reducing landslide hazards Failure to Comply with Regulations -- a
developer or subdivider fails to perform
Dis-reging nev develarment in hazardous areas by: the geologic investigations required by a
Disclosing the hazard to real-estate buyers state statute or local ordinance.
Posting warnings of potential hazards
'Adopting utility and public-facility service-area policies
Informing and educating the public Public Negligence -- a city grading or
making a public record of hazards building inspector fails to perform
periodic inspections of the lot grading
Re@inq or ccermerting existing dewelopiaent througb: or building construction to ensure that
Acquiring or exchanging hazardous properties the work complies with the municipal code
Discontinuing nonconforming uses (Sutter and Hecht 1974).
Reconstructing damaged areas after landslides
Removing unsafe structures
Clearing and redeveloping blighted areas before landslides In a 1984 massive-earth-movement damage case, the
Providing firwu%cial i-tives cu, disimcentives byt California Court of Appeals First District has
held that it is the duty of a real-estate broker
Conditioning federal and state financial assistance selling a house to conduct a reasonably competent
Clarifying the legal liability of property owners
Adopting lending policies that reflect risk of loss and diligent inspection of the property and
Requiring insurance related to level of hazard disclose to the buyer any defects revealed by the
Providing tax credits or lower assessments to property owners inspection.

Regulating neir developmnt in hazardous areas by:
The California State Constitution as
Enacting grading ordinances interpreted in various court decisions guarantees
Adopting hillside-development r6gulations
Amending land-use zoning districts and regulations that the appropriate unit of government pays for
Enact ng sanitary ordinances what amounts to an after-the-fact condemnation of
Creating special hazard-reduction zones and regulations
Enacting subdivision ordinances private property that it either took or damaged
Placing moratoriums on. rebuillin for a public purpose. This theory or remedy of
Protecting existing demelo;aaent by: inverse condemnation was substantially broadened
Controlling landslides and slumps by the California Supreme Court when it held that
Controlling mudflows and debris flows it was irrelevant whether Los Angeles County
controlling rockfalls could have been expected to foresee a disaster
Creating improvement districts that assess costs to beneficiaries after it did road grading at Portuguese Bend in
Operating monitoring,warning, and evacuating systems

Palos Verdes; homeowners won $7 million in grading or zoning ordinances. The regulations
damages. Recent court decisions are placing usually include a formula for determining the
increased responsibility for landslide losses on density of development that will be permitted for
public agencies in Palos Verdes, Malibu, Pacific a given steepness of slope.
Palisades, and other southern California
communities. One of the plaintiff's attorneys in Hillside-development regulations can be used
a multimillion dollar series of lawsuits in both for safety and aesthetic purposes.
Malibu's Big Rock Mesa argued that "the. county Controlled development conserves the views, and
should have designed a water system that would lower densities reduce exposure to hazards.
have withstood earth movements, rather than Proper grading procedures, such as correct
breaking ... and dumping water into already excavation and fill practices, are imperative to
saturated clay and sand." A Los Angeles County assure slope stability. Without them, the
Superior Court very recently ruled that the potential for landslides remains the same for
County should pay damages for a $2.3 million home individual sites; with them, the number of
destroyed in 1983. This is the first of 230 adversely Affected sites is reduced. An
lawsuits; estimates of total damages range from ,engineering geologist is needed to assist the
$100 million to $500 million. local government planner in making an accurate
judgment about where density restrictions and
Grading Ordinances Grading ordinances can other regulations can be useful.- The steepness
be used to ensure that excavating, cutting, and of the slope is not solely the determinant-, of
filling of landslide areas are designed and' slope stability; lithology and geologic structure
conducted in such a way as to-avoid cutting into also must be considered.
the toe of a landslide, removing lateral support, ..Examples include hillside-develo .pment stan-
surcharging the landslide head, or otherwise dards by Simi Valley (California) 'City Council
reducing its stability. Such goals can be which are. applicable to lands in residential
obtained by grading regulations designed .-to: zoning districts having slopes of 10 percent or
- Require a permit prior to scraping, greater, and the environmental hillside districts
excavating, filling, or cutting any created by the Cincinnati City Council which
lands. contain at least four of the following
characteristics:
- Prohibit, minimize, or carefully regulate - Slopes of 20 percent or greater.
the excavating, cutting, and filling
activities in landslide areas.
- Existence of'Kope formation.
- Provide for the proper design
constructioni,and-periodic inspection anh Prominent hillsides which are readily
maintenance of weeps, drains, and viewable from a public -thoroughfare
drainageways, including. culverts, located. in a valley below a, hillside
ditches, gutters, and diversions. .-identified in the Cincinnati Hillside-
System.
- Regulate the disrupting of vegetation and
drainage patterns. Hillsides which provide views of a major
stream or valley.
- Provide for proper engineering design, Hillsides functioning as community
placement, and drainage of fills,
including inspection and maintenance. separators or community boundaries as
identified in a community plan accepted
and approved by the city planning
The 1985 Grading and Excavation Code, commission.
Chapter 70 of the Uniform Building Code published
by the International Conference of Building Hillsides which support a substantial
Officials and used as a model or adopted by many natural wooded cover.
local governments, requires a permit for most
types of grading; section 7006(c) states that:
Land-Use Zoning Districts and Regulations
-When required by the building official-, each Land-use regulations are an accepted method for
application for a grading permit shall be controlling development. They provide direct
accompanied by two sets of plans and benefits by restricting future development in
specifications, and supporting data hazardous areas and by limiting the expansion of
consisting of a soils engineering report and existing development already in those areas. The
engineering geology report. The.plans and. types of zoning districts that best suit
specifications shall be prepared and signed landslide areas include agricultural, open-space,
by a civil engineer when required by the conservancy, park, and recreational land-use
building official. zones. Such districts can be developed to permit
grazing, woodlands, wildlife refuges, and public
or private recreation. Provisions can be
Hillside-Development Regulations Some incorporated into district regulations to
communities have adopted regulations to limit the prohibit specific uses that could trigger
amount of development (building sites per acre) landslides or that would be vulnerable to
that may take place in hillside areas; sometimes landslide damage. Prohibited uses might include
these regulations 'are incorporated into the clear cutting of trees, road construction,

dwellings, off-road vehicles, irrigation, liquid- loads, reduce support, or otherwise cause
waste disposal, and the permanent sheltering or instability of slopes -- operations such
confining of animals. as filling, irrigating, disposing of
solid and liquid wastes, and removing the
For example, geologic hazards, including toe of a landslide.
landslides, mudflows, and unstable or potentially
unstable slopes, have been declared by the Prohibit certain uses storage of
Colorado Legislature to be matters of state radioactive, toxic, flammable, and
interest. To assist communities in designing explosive materials -- that could cause
land-use regulations, the Colorado Geological serious health and safety hazards if
Survey.- prepared model Geologic, Hazard Area- released by landslide-movement.
Control Regulations for adoption by counties and
municipalities. The model regulations permit
only the following "open" uses in designated The Portola Valley (California) Town Council
geologically hazardousareas: has developed criteria for permissible land uses
in the least stable and most stable areas shown
- Agricultural uses such as general on its map of potential land movement. For
farming, grazing, track farming, example, roads, houses, utilities, and water
forestry, - sod farming, and wild-crop tanks are prohibited-in certain zones. The Town
harvesting. Council also requires use of the same criteria in
administering the town's zoning, subdivision,
- Industri.al-commercial uses such as site development, and building ordinances. The
loading areas, parking areas not Portola Valley Town Council subsequently adopted
requiring extensive grading or impervious additional regulations that reduce the maximum
paving, and storage yards for equipment number of dwellings permitted in areas of
or machinery easily moved or not subject potential land movement.
to geologic-hazard damage.
The King County (Washington) Department of
- Public and private recreational uses not Planning and Community Development has mapped
requiring permanent structures designed landslide areas. The King County Council has
for human habitation such as parks, provided in its zoning ordinance relating to
natural swimming areas, golf courses, these hazard areas that:
driving ranges, picnic grounds, wildlife
and nature preserves, game farms, No building permit, grading permit,
shooting preserves, target ranges, trap shoreline substantial development permit,
and skeet ranges, and hunting, fishing, conditional use permit, unclassified use
skiing, and hiking areas if such uses do permit, variance, rezone, planned unit
.not cause concentrations of people. in development, subdivision or short
areas during periods of high-hazard subdivision shall be granted for development
probability. on any Class III landslide hazard area
unless King County determines, upon review
of a soils study completed by a qualified
District regulations also can be designed to soils engineer or engineering geologist,
reduce the density of development. For example, that the proposed development together with
the San Mateo County (California) Board of any required conditions to mitigate adverse
Supervisors created a resource-management zoning environmental impacts can be safely
district to carry out the objectives and policies accomodated on the site and is consistent
of their open-space and resource-conservation with the purposes of this ordinance. The
plans. The district regulations limit the number soils study shall include specific
of dwellings in zones with unstable slopes to one recommendations for mitigating measures
unit per 16 hectares (40 acres) and require which should be required as a condition of
geologic site investigations to ensure that the any approval for such development.
reduced development is located in safe areas.
The lower net number of dwellings permitted may
then be clustered at a higher density in the Other examples are provided by Kusler --
nonhazardous areas. regulations for high-risk erosion along the Lake
Michigan shoreline (Lincoln Township, Michigan),
Special Hazard-Reduction Zones and for mudflow hazards (City of Burbank,
Regulations -- Some communities put ovei:lays -of California), and for flood-related erosion and
hazard zones on their basic land-use zoning- debris flows (City of Palm Desert, California)
district maps. The hazards shown on the overlays (Kusler, 1982).
are then used to supplement the basic use and
site regulations found in the zoning ordinance. Subdivision Ordinances -- Regulating the
Such regulations can be designed to: design andimprovement of subdivisions is another
way to- prevent or control the development of
- Preserve vegetation, maintain drainage, landslide areas. A dilemma occurs when
control off-road vehicles, avoid the most government officials approve a subdivision,
hazardous areas, require clustering of accept public rights.-of-way, extend utilities,
dwellings, and reduce development and then attempt to impose zoning and other
densities. regulations that would prohibit further
development. This dilemma can be avoided by
- Prohibit certain operations that increase adopting a subdivision'ordinance designed to:

- Require the delineation and designation therefore subject to, a special assessment to pay
of landslide areas on subdivision plots for the improvements. Abalone Cove Landslide
and certified survey maps. Abatement District, the first district in
California, was formed by the Rancho Palos Verdes
- Require dedication or reservation of City Council.
landslide areas for public or private
parks or other community purposes; and
require dedication of, or easements ANALYSIS OF SOME TECHNIQUES
along, those waterways necessary for
adequate drainage. Very few systematic evaluations have been
made of adopted hazard-reduction techniques, even
- Require that public and private roads, fewer for landslides specifically. No rigorous
bridges, utilities, and other facilities benefit-cost studies have been conducted,
be located or designed and constructed to although a few intensive evaluations have been
avoid landslide areas or to withstand made for flooding and some other hazards which
anticipated,movement. may be applicable to landslides. Analyses by
- Select roa Id and utility alignments and Slosson and Krohm have shown substantial
reductions in landslide failures and site damage
grades to minimize cuts and fills. because of the adoption and enforcement of more
modern grading codes in the City of Los Angeles.
- Prohibit the creation and improvement of
building sites in landslide areas. A.W. Martin and Associates performed an
analysis of 13 techniques for protecting
development in landslide areas. Their study,
The Southeastern Wisconsin Regional Planning made for Allegheny County,, Pennsylvania, found
Commission has prepared a model subdivision that "the cost of preventing and controlling
ordinance relating to various flooding, soil, And landslides is often prohibitive... . Avoidance is
geologic problems. It can be adapted to highly recommended for individual dwelling lots."
landslide hazards. The model ordinance has been
adopted by many local units of 'government; these After an investigation of the damages and
ordinances have been in effect for over 15 years losses from the January 1982 mudflows in Northern
without successful legal assault. California, the California State Board of
Rebuilding Moratoriums -- Temporarily Registration for Geologists and Geophysicists
prohibiting rebuilding or construction of new (1982) generally concluded thatt
development in areas after a landslide or severe a large degree of responsibility for slope
ground failure may be used as an interim measure. failures rests with units of the state and
This technique provides the local unit of local governments... . A significant step
government with time to prepare plans for forward would be requiring local governments
removing unsafe structures, constructing to use the services of a licensed
retaining buttresses, adopting grading or zoning professional, either as a staff person or
ordinances, or acquiring unstable land and consultant, in the review and approval of
relocating its former occupants. Examples of geologic reports. The responsibility for
rebuilding moratoriums include one by the Rancho reducing future loss of property and life
Palos Verdes (California) City Council for an from mudflows requires the full cooperation
area shown on their "landslide moratorium map"; of the city government, professional
one for the City of San Bernardino (California) geologic community, and the State Board of
for an area damaged three times by mudflows; and Registration.
another for Cowlitz County (Washington) for the
mudflow area of the Toutle River.
In the case of flooding, Sheaffer and
Assessment Districts -- If it becomes Roland, Inc. concluded that "experience to date
necessary to stabilize landslide areas, construct indicates that the current approach to correcting
control or protection structures, or to repair nonconforming uses through zoning mechanisms is
damaged public facilities, the costs can be not effective. Nonconforming uses, particularly
assessed wholly or in part against the owners of residences, are allowed to continue even when
the 'lands that will benefit. The California they are substantially damaged unless they are
Legislature (1979) passed th 'e Beverly Act which purchased." Surveys of state and local programs
provided for the formation of Geologic Hazard conducted as part of a study by Kusler (1982)
Abatement Districts. When created, these support their conclusion.
districts are authorized to acquire real estate;
acquire, construct, operate, manage, or maintain Evaluations of those techniques used for
improvements; and pay for such improvements. disclosing fault-rupture zones and the processing
Improvements are defined as "any activity of loans may be relevant to flood hazards. For
necessary or incidental to the prevention, example, prerequisites for effective disclosure
mitigation, abatements, or control of a geologic of hazards by real-estate sellers include a
hazard." Such hazard is defined as "an actual or seller's or real-estate agent's knowledge or
threatened landslide, land subsidence, soil integrity, a buyer's awareness of the potential
erosion, or any other natural or unnatural danger or financial loss before making the
movement of land or earth." A district consists commitment to purchase, and a buyer's concern
of an area specifically benefited by, and about hazards as related to his or her other

priorities. According to a study by Palm of - debris-flow hazards for the Las Vegas
disclosure of official fault-rupture zones by Southeast Quadrangle, NV
real-estate aRents in Berkeley and part of Contra
Costa County, California, these prerequisites are - slope stability in Fairfax County, VA
often lacking.
- areas most susceptible to landsliding in
Remedial public works to protect existing Beaver County, PA
development is costly and can be self-defeating.
It may encourage development by leading the - susceptibility to landsliding in Marin
public to believe that landslide problems have and Sonoma Cos., CA
been eliminated, not simply reduced. Intelligent
landslide-area management and regulation are sill - potential for debris flows along the
needed for effective hazard reduction. With Wasatch Front, UT
regard to cost, Brooks (1982) notes that:

The cost of public works has increased A recent statute enacted.by the California
sharply in7-the last de-c-ade. -Not -only has Legislature (1983) requires the State Geologist
the cost of construction increased by a to develop maps of landslide hazards in urban and
factor of about three over the last decade, urbanizing areas. ' This Landslide Hazard
but the cost of borrowing (expressed as the Identification Act provides that the California
interest rate paid by government) has also State Mining and Geology Board, in consultation
tripled. Therefore, the annual cost.could with the State Geologist, develop guidelines for
have increased between three and nine times, the preparation of the maps, and priorities for
depending on the length of the repayment those areas to be mapped. About $300,000 in new
period. Thus, there are strong economic funding annually became available on July 1,
incentives -,to consider and use other 1984, and the California State Division of Mines
approaches. and Geology began mapping five high@priority
areas at a scale of 1:24,000 (1 inch equals 2000
feet).
A PREREQUISITE FOR THE USE OF ANY TECHNIQUE
A prerequisite for the successful use of any REFERENCES
hazard-reduction technique is the availability of
adequate, detailed hazard information that is in The original version of this paper was written
a form usable by nongeologists; and its for publication in the Bulletin of the
communication to those planners, engineers, and Association of Engineering Geologists.
decision makers who will, or who are required to, References cited in that paper document the views
make use of such information. reported here; the following citations were
selected from that version:
The preparation of reliable landslide-hazard
(susceptibility) maps can be expensive and is at Brooks, N.H. 1982. Storms, Floods, and Debris
a relatively early stage of development and Flows in Southern California and Arizona,
testing. Examples of the type and detail of 1978 and 1980 - - Overview and Summary of a
hazard maps adequate for county (1:24,000) and Symposium, September 17@18, 1980. National
regional (1:125,000) planning and decision making Academy Press, Washington, DC.
include the slope-stability maps used in the
United States at scales ranging from 1:12,000 to California State Board of Registration for
1:100,000 show: Geologists and Geophysicists. 1982. April
19, 1982 Minutes of a Public Meeting,
- mudflow hazards and paths in Los Angeles Attachment A. Sacramento, CA.
County F1 ood Control District California State Legislature. 1979. Geologic
- potential for earthquake-induced Hazard Abatement Districts. California
landslides in Santa Clara County, CA Public Resources Code, Section 26500 and
following. West's Annotated Codes.
- potential rockfalls in Jefferson County, California State Legislature. 1983. Landslide
CO
Hazard Identification Act. California Public
- "mudslide" - risk zones in Southern Resources Code, Section 2670 and following.
Ventura County, CA West's Annotated Codes.
- slope stability during earthquakes in San Hart, E.W. 1985. Fault-Rupture Hazard Zones in
Mateo County, CA California -- Alquist-Priolo Special Studies
Zones Act of 1912 with Index to Special
- landslide-prone areas in West Virginia Studies Zones Maps. Special Publication 42,
Revised 1985, California Division of Mines
- landslide-hazard areas in King County, WA and Geology.

- mudflow inundation for the Cowlitz and Kusler, J.A. 1982. Regulation of Flood Hazard
Toutle Rivers, WA Areas to Reduce Flood Losses. U.S. Water
Resources Council, Vol 3, U.S. Government
Printing Office, Washington, DC.

Santa Clara County Board of Supervisors. 1978.
Geological ordinance No. NS-1205.35: Santa
Clara County Code, Section C-12-600 and
following, San Jose, CA.

Sutter, J.H. and M.L. Hecht..1974. Landslide and
Subsidence Liability. California Continuing
Education of the Bar, California Practice
Book No. 65, Supplement by J.F. McGuire,
March, 1985. The Regents of the University
of California, Berkeley,.CA.

The Realization of a Seismic Microzoning Study in the Chlef Region of
Algeria Following the 1980 El Asnam Earthquake

Walter W. Hays
U.S. Geological Survey
Reston, Virginia

INTRODUCTION and several thousand people wer *e left homeless.
The social and economic impacts were felt
throughout the entire nation.
Seismotectonic Setting
The El Asnam earthquake demonstrated that
Algeria is part of the African tectonic the economic and social impacts of a large
plate, one of about twelve rigid segments of the earthquake in Northern Algeria are very
crust and upper mantle comprising the Earth. devastating and showed that additional loss-
These plates are typically 80-100 km (50-60 reduction measures are needed in Northern Algeria
miles) thick and move continuously over the to reduce the potential losses expected in future
interior of the Earth. They move with velocities earthquakes. The epicentre of the magnitude 7.3
ranging from a fraction of a centimeter to El Asnam earthquake was about 10 km (6 miles)
several centimeters per year. Although the east of the city of El Asnam (now called Ech
movements seem slow, they can add up to 50 km (30 Cheliff). The earthquake occurred on the Oued
miles) in 1,000,000 years, a short, time Fodda fault system, an active 47 km long (28
geologically. The plates are separating in some miles) reverse fault. The Oued Fodda fault
locations and converging in others. In the case ruptured the Earth's surface over a distance of
of the African plate, it is in the process of about 35 km (21 miles) in the earthquake.
colliding on its northern boundary in the Liquefaction and landslides occurred at sites in
vicinity of the Mediterranean Sea with and being some areas. Although the characteristics of the
overthrust by the Eurasian plate. As a result, ground shaking were not recorded on strong motion
earthquakes, a wide belt of folded mountains (the accelerographs, experts estimated that peak
Atlas Mountains), and a zone of crustal ground accelerations in excess of 0.5 g occurred
shortening having a width of about 400 km (250 at sites in the epicentral area. Engineers
miles) are being produced in Northern Algeria conducting post-earthquake investigations in the
along the collision zone. Reverse (or thrust) Chlef region concluded that the level of vertical
faults trending east-west to east-northwest acceleration exceeded the level of horizontal
approximately parallel to the collision zone are acceleration and that the two large forces acting
common in Northern Algeria. Past studies of the together were a major factor in causing severe
seismicity and tectonics of Northern Algeria have damage to buildings.
shown that 70 percent of the region has the
potential for experiencing earthquakes of In October, 1980 when the El Asnam
magnitude 7 or greater. earthquake struck the Chlef region, about
1,000,000 persons (i.e., 5% of the population of
Algeria) were living in the region. Thirty
The Triggering Event and Its Effects percent of the population was living in 95- urban
centers, the largest being Ech Cheliff, Khemis,
In the past 250 years moderate to large Miliana, Ain Defla, and Bou Kadir. Between 1954
earthquakes have impacted Northern Algeria at and 1980, the population of the city of Ech
least a dozen times. The most notable recent Cheliff had increased from 18,000 to 130,000,
historic earthquake occurred in 1922, 1934, 1954, primarily as an outcome of the industrialization
and 1980. The magnitude 7.3 El Asnam earthquake process which began in the 1970's. The continued
that occurred on 10 October, 1980 served as a rapid growth and concentration of the national
reminder that the tectonic processes along the assets of Algeria in the northern part of the
..collision zone-of the African-Eurasian plates are country calls for a national program to reduce
still active. The extent of the social and potential losses from future earthquakes.
economic impacts of the El Asnam earthquake
demonstrated that Algerian buildings and other
facilities are potentially vulnerable to the MITIGATION MEASURES
recurrence of damaging earthquakes.
The 1980 El Asnam. earthquake severely Seismic Microzoning
damaged buildings and lifeline systems in the Seismic microzoning, the division of a
Chlef region, killed 2,700 people, injured region into zones expected to experience the same
several thousands more, and critically affected relative severity of earthquake ground shaking,
all levels of economic development in the region. surface fault rupture, and ground failure, was
Many buildings suffered partial to total collapse undertaken as an essential part of the Algerian

national program to reduce potential losses from interviews in November with the three finalists
future earthquakes. Microzoning maps were led to the selection of the firm of Woodward
envisioned as a tool to plan for reconstruction Clyde Consultants (WCC) as the contractor. CTC
and redevelopment in the Chlef region and to requested UNDP to assist them in the control of
guide earthquake-resistant design of new the seismic microzoning study. A project
buildings and the strengthening of existing document was approved by UNDP in August, 1983,
buildings. Preparation of seismic microzoning one month after commencement of the project.
maps is a complex technical task which requires
research to determine answers to the following The overall cost of the microzoning study
questions: 1) Where have earthquakes occurred in was approximately $2,000,000.
the past? 2) Where are earthquakes occurring now?
3) Why are they occurring? 4) How often do
earthquakes of various magnitudes occur? and 5) Technical Objectives of the Project
What are the nature and extent of the physical
effects that would be expected from earthquakes The American firm of Woodward Clyde
of various magnitudes within a given exposure Consultants (WCC) was contracted to accomplish'
time. The research, on seismic micrq@zoning the following technical tasks in. the, Chlef
requires a multidisciplinary.team. region starting in May,- 1983 and ending in July,
1984:

International Tender i. Delineation of the relative severity of
the primary and secondary physical
The: responsibility of the seismic effects of earthquake ground shaking,
microzoning of the Chlef region was entrusted to surface fault rupture, and ground
L'Oiganisme de Controle Technique de la failure. These physical effects were to
Construction (CTC), a part of the Algerian be represented probabilistically in terms
Ministere de L'Urbanisme, de la Construction, et of exposure times (for example, 50 years)
de L.'Habitat. CTC created a special organization and probability of nonexceedance (for
to carry out its responsibilities. In March, example, 90 percent).
1982v CTC requested assistance from UNDP to
prepare an international tender soliciting ii. Specification of- recommendations for
contractors having expertise in seismic realistic earthquake-resistant design
microzoning. methods and construction and land-use
practices. When implemented, these
The tender was prepared by CTC with Unesco procedures would enable new and existing
assistance. It had two broad requirements: 1) to buildings in the Chlef-region to be more
conduct regional-scale and urban-scale studies resistant to ground shaking from future
leading to a technical methodology that could be earthquakes.
used to produce seismic microzoning maps for nine
specific urban areas of the Chlef region, and 2)
to transfer technology on seismic microzoning Objectives of Transfer of Technology
from the contractor to Algerian scientists,
engineers, and planners. The firm of WCC was also contracted to
transfer technology on seismic microzoning to
To supplement the capability of their staff Algerian scientists, engineers, and planners.
in seismic microzoning, CTC requested technical Transfer should aim to:
assistance from UNDP and Unesco to evaluate the
seven proposals that were received in the i. Increase significantly the technical
international tender. These proposals were knowledge and capability of CTC and their
evaluated technically in Algeria during the Algerian partners to implement the
period 31 August to 30 November, 1982. Three results of the seismic microzoning study
experts were sent by Unesco to assist CTC and and to conduct additional seismic
their Algerian partners in evaluating the microzoning studies in other parts of
proposals and formulating a "checklist" of Algeria without foreign assistance.
technical questions (see Appendix I) to use in
the oral interviews with. each potential Provide a practical and sound technical
contractor. The purpose of the "checklist" was basis for improving earthquake-resistant
to clarify the technical 'issues, sources of design and construction -and. land-use
uncertainty, and potential conservatism of the practices in Algeria.
technical methodology as well as to determine the
experience and proposed plans of each contractor
for transferring the seismic microzoning Technical Activities
technology. One "checklist" was used in August,
1982 in the oral interviews with each of the The work plan of WCC was organized into four
seven international organizations submitting a activities; three technical activities and one
proposal. This procedure provided a uniform, activity involving transfer of technology. The
fair, and impartial basis for initiating the same three technical activities evolved serially over
discussion with every proposer. By means of this a four month period and encompassed the twenty-
process three contractors were selected for final three tasks described below. Each task was
negotiations. Each contractor was asked to designed to produce specific outputs needed in
respond to another set of questions prior to another part of the seismic microzoning study.
additional interviews in November, 1982. The

Evaluation of Seismic Hazards on a Regional Scale ground shaking.
(a map scale of about 1:1,565,Ubb-).
Task 11: Estimation of empirical soil
This part of the microzoning study transfer functions in each urban
established the physical parameters of the region area with consideration of the
needed to assess the earthquake hazards of ground amplitude, frequency composition,
shaking, surface fault rupture, and ground and level of peak ground
failure. It included the following tasks: acceleration.

Task 1: Compilation of historical seismicity Task 12: Preparation of probabilistic
catalog and map. ground-shaking hazard maps for
each urban area in terms of peak
Task 2: Performance of neotectonic studies ground acceleration exposure
(mapping, age dating, and trenching) times, and probability of
to extend the information on nonexceedance. These parameters
recurrence times derived from the can be correlated with the current
historical seismicity data. Algerian building code (RPA 1981)
and land-use plans.
Task 3:..Preparation of photogeology map.
Task 13: Specification of the dynamic
Task 4: Preparation of a seismotectonic map amplification factors for soil
showing the location of active column that are typical of each
faults. urban area.

Task 5: Preparation of a map showing seismic Task 14: Preparation of a map showing the
source zones, specifying the potential for surface fault
magnitude of the maximum earthquake rupture in each urban area.
and the frequency of occurrence of
earthquakes in each source zone. Task 15: Preparation of a map showing the
potential for liquefaction in each
Task 6: Specification of the characteristics urban area.
of near-field ground motion (peak
amplitude and spectral composition). Task 16: Preparation of a map showing the
potential for landslides in each
Task 7: Specification of regional seismic urban area.
wave attenuation laws, including
their uncertainty. Task 17: Preparation of a map showing
potential secondary effects (for
Task 8: Preparation of probabilistic,ground- example, flooding) in each urban
shaking hazard maps in terms of peak area.
ground acceleration, exposure times,
and probability of nonexceedance. Task 18: Preparation of a map synthesizing
all of the potential seismic
Task 9: Creation of regional data bases (for hazards in each urban area.
example, aerial photography,
hydrogeology, lineament maps, and Task 19: Evaluation of the distribution of
drill logs) and documentation of damage in the 1980 El Asnam
computer programs for analysis of earthquake.
the data.

Recommendations for Land-Use, Building Codes,
Microzoning of Urban Areas in the Chlef Region (a Construction Practices, and other Related Matters
map scale of about 1:5,000).
This part of the microzoning study used the
This part of the microzoning study analysis and synthesis of the physical data (Part
integrated the seismotectonic and other physical 1) and the seismic microzoning maps prepared for
data acquired in the regional study (Part 1) with the 9 urban areas (Part 2) to produce specific
site-specific data acquired in each of 9 urban recommendations. The tasks included:
areas (Ech Chleff, -Bou Kadir, Sendjas, El
Karimia, Oued Sly, El Attaf, El Abadia, Oued Task 20: Evaluation of the building code
Fodda, Ouled Ben Abdelkader) to produce seismic currently used in Algeria,
microzoning maps. The primary technical tasks identifying options for modifi-
included: cations that incorporate the
scientific and engineering lessons
Task 10: Acquisition, synthesis, and learned from the 1980 El Asnam
integration of existing and new earthquake.
geological, geophysical, and
geotechnical data to characterize Task 21: Evaluation of regional and urban
the soil and rock in the Chlef land-use practices in Algeria,
region in terms of their physical identifying options for
properties and the response alternatives to current practices
expected under various levels of that might increase the quality.

Task 22: Evaluation of construction in seismic microzoning. Although seismic
practices for new buildings in microzoning has been developed in. countries
Algeria, specifying options for throughout the world, no standard methodology has
alternatives to current practices yet emerged. Several different acceptable
that might be more effective. methodologies have been proposed and implemented
in a number of countries including: the United
Task 23: Evaluation of the -current States, Japan, the Soviet Union, Turkey, Greece,
practices used in Algeria , to Mexico, Yugoslavia, and the Philippines. Members
repair and strengthen existing of the Control Board had knowledge of all the
buildings, suggesting options for. available methodologies and, were able to help CTC
alternatives to current practices evaluate the results of WCC within a broader
that might be more effective. context.

Transfer of Technology Mission of the Control Board

Activities to accomplish transfer of The.mission of the Control Board was defined
technology.. were planned so that they would in June, .1984 in a planning meeting attended by
complement the three - technical activities CTC, other Algerian Ministries, and Unesco
described above. The activities of WCC to personnel. The following tasks were identified:
accomplish transfer of technology included four
primary tasks: i. Participate in meetings with CTC, the
Algerian partners, and WCC to review
Task 24: Formation of counterpart working WCC's- plans, data, technical reports,
groups within CTC and WCC to maps, and recommendations. The purpose
increase technical interaction was to ensure that a) the technical
(see Appendices I and II). methodology being applied in the seismic
microzoning study of the Chlef region was
Task 25: Conducting field trips and reasonable in terms of the state-of-the-
technical seminars. art and the state-of-practice and b) that
the outposts or products were usable.
Task 26: Visiting and interacting with
Algerian scientists, engineers, ii. Identify and discuss the technical issues
and planners, both in the United associated with the microzoning study of
States and Algeria. the Chlef region in the context of
Algerian and worldwide experience. The
Task 27: Interacting with the Unesco purpose was to resolve to the extent
Control. Board, the technical possible various technical issues that
advisors to CTC, throughout the 14 can lead to overconservatism of seismic
months of the seismic microzoning microzoning maps. Maps that are
study. overconservative are difficult to
implement because of economic and
political factors.

REGULATORY OR POLICY STANDARDS FOR THE STUDY iii. Evaluate the seismic microzoning maps of
the 9 urban areas to ensure that they
were useful. The purpose was to make
Control board certain that the maps could be integrated
with the Algerian building code and
To ensure that all of the objectives and regional and urban land-use plans.
outputs of the seismic microzoning study of the
Chlef region would be achieved, CTC requested iv. Accelerate the transfer of technology to
assistance from UNDP and Unesco to create a Algerian scientists, engineers, and
Control board. Simultaneously with the planners by convening "training
selection of WCC in May 1983 as the contractor workshops" on topical studies on seismic
for the seismic microzoning study, a Control microzoning. The purpose was to expose
Board was created to provide additional technical Algerian scientists, engineers, and
assistance to CTC in the realization of the planners to a wide range of technical
seismic microzoning study of the Chlef region. issues and perspectives. By scheduling
The purpose of the Control Board was to give the training workshops two days prior to
technical advice and assistance to CTC and their each of the meetings between CTC and WCC
partners from other Algerian Ministries. The to review the data, technical reports,
Control Board consisted of a chairman from the and microzoning maps, Algerian
United States and 15 experts having knowledge and participants gained both general and
experience in all aspects of seismic microzoning. specific knowledge about seismic
The Control Board began its work at the same-time miCrozoning., The.training workshops also
as WCC. The experts represented 7 countries reinforced concepts presented in the
(England, Japan, Portugal, Switzerland, Turkey, seven technical seminars organized by WCC
United States, and Yugoslavia). In addition to by giving another perspective on the same
supplementing the capabilities of CTC and their technical subject.
Algerian partners, the Control Board provided a
practical way to incorporate worldwide experience

Accomplishments of the Control Board National Conference on Seismic Microzoning

The Control Board completed its work in CTC organized and convened a National
July, 1984. All of the objectives and outputs of Conference on Seismic Microzoning in October,
the seismic microzoning project were realized 1984 to share its knowledge of seismic
through the combined efforts of WCC, CTC, and the microzoning with others. The conference, which
Control Board. The Control Board contributed to coincided with the 4th anniversary of the El
the success of the seismic microzoning study by Asnam earthquake, brought together more than 100
.ensuring that the outcomes of the study were participants, including representatives from 10
beneficial to CTC and their Algerian partners. foreign countries. By preparing, presenting, and
The Control Board enhanced the transfer of publishing technical papers on seismic
technology by convening 5 training workshops in microzoning studies of the Chlef region and other
August and December, 1983 and January, May, and parts of the world, members of the CTC staff and
July, 1984. From 25 to 45 Algerian scientists, their partners in other Algerian Ministries
engineers, and planners participated in each increased their technical understanding of
workshop. Special training materials and seismic microzoning. A proceedings of the
problems were developed by the Control Board for conference was published. Two important
each. workshop and distributed to the processes were begun: 1) the process of
participants. Training aids were given to CTC transferring technology to other Algerian
after each workshop. A glossary of technical scientists, engineers, architects, and planners,
terms used in seismic microzoning was provided in and 2) the process of developing a political
French and English to facilitate communication. constituency for changing building codes and
Members of the Control Board provided CTC with a construction and land-use practices.
technical library of seismic microz6ning. At the
conclusion of each workshop, participants were Six Algerian scientists and engineers (4
given a questionnaire and evaluated the workshop, from CTC and 2 from-CNAAG) participated in the
indicating whether or not their training needs Eighth World Conference on Earthquake Engineering
were met. The questionnaires from all of the held in July, 1984 in San Francisco, California.
workshops provided a basis for evaluating the The world conference brought. together experts
increase in knowledge of the participants and for from more than 100 countries. CTC staff
obtaining their suggestions. The staff of CTC presented 4 technical papers in the conference
assisted the Control Board in each of the five which was documented in an 8-volume proceedings
training workshops, lecturing and assisting in containing papers on all aspects of seismic
the translations from English to French and microzoning.
French to English. Members of CTC, WCC, and the
Control Board worked together as a team in the CTC is currently deploying instruments to
last training workshop. Certificates signed by establish a network of 90 strong motion
the lecturers were given to the participants accelerographs throughout Algeria. These
after each workshop.to express appreciation,-for. instruments will provide valuable information
their participation and to stimulate interaction needed for research and resolution of important
and exchange of ideas. technical issues such as attenuation, duration of
ground shaking, and the effects of soil and rock
on ground shaking. The network will complement
UTILIZATION OF RESULTS the seismicity network in Algeria operated by
CNAAG.
Application of Microzoning Methodology

-The results of the seismic microzoning study CONCLUSIONS AND RECOMMENDATIONS
in the Chlef region have been utilized in a
number of ways. For example, in early 1984, the
CTC staff applied the technical methodology to Benefit to Algeria
conduct a preliminary seismic microzoning study
of Ouled Fares. Ouled Fares, located northwest The seismic microzoning study produced a
of the Chlef region, was not one of the urban better technical understanding of earthquake
areas studied in detail by WCC. In addition, hazards in the Chlef region and increased the
geologists from CTC and other Algerian ministries capability of Algerian scientists, engineers, and
organized a field trip in May, 1984 to identify planners to increase and to apply their technical
and characterize active faults in the vicinity of knowledge. It provided answers to the following
Algiers in a-preliminary way. Evidence of young questions: 1) Where have earthquakes occurred in
active faults having the potential for generating the past? 2) Why are they occurring? 3) What
large earthquakes like the 1980 El Asnam physical effects (hazards) are associated with
earthquake was found along the coast near each earthquake and how severe are they? 4) How
Algiers.. Characterization of these faults is an often do they occur? and 5) What are the options
essential part of future work that is needed for for reducing losses from these hazards?
defining seismic source zones and calculating
regional ground-shaking hazard maps in the The seismic microzoning study in the Chlef
Algiers region. The idea of a national region provided the following benefits:
conference was conceived by CTC and the Control
Board to complete the transfer of technology on i. Creation of an improved regional model of
seism@*c microzoning. the seismic hazards for the Chlef region.
Seismic source zones as well as "active"
and "inferred active" fault zones were

identified. i. Formation of working partnerships between
ii. Establishment of the maximum level of CTC and other Algerian Ministries (for
peak ground acceleration (0.35-0.55 g) example, ANAT, CNAAG, and others) to
expected to occur in 9 urban of the Chlef accomplish future microzoning studies.
region within an exposure time of about
50 years. These values of peak ii. Identification of another part of Algeria
acceleration have a probability of that needs to be microzoned (for-example,
nonexceedance of 90% in a 50-year period. the Algiers region@ and initiation of the
Criteria such as these are typically used planning process.
throughout the world when devising
seismic design provisions of building iii. Use of the ground motion data recorded on
codes. Peak ground accelerations for two the strong motion accelerograph network
other exposure times (approximately 5 to resolve technical isues concerning
years and 20 years) and a 90% probability attenuation, duration of shaking, and
of nonexceedance were also calculated to ground response.
give additional perspectives for
assessing the ground-shaking hazards to iv. Participation in post-earthquake investi-
buildings and other facilities. gations in other parts of the
Mediterranean region to gain experience
iii. Construction of seismic microzoning maps and data.
for 9 urban areas in the Chlef region.
These maps give realistic estimates of V. Collection of additional seismotectonic
the relative severity and special information throughout Algeria to define
variation of ground shaking, earthquake- recurrence times of faults and maximum
induced ground failure, and surface fault magnitudes and recurrence times for
rupture as a function of exposure time. discrete seismic source zones.
vi. Creation of a national data base
iv. Specification of recommendations for
.improving building codes and construction containing data needed for seismic
and land-use practices. microzoning.
v. Production of a technical methodology for vii. Implementation of the results and
seismic microzoning that can be used in knowledge gained from the seismic
conjunction with the results of other microzoning study of the Chlef region.
microzoning studies being conducted The initial effort should be directed to
making changes, as appropriate, to the
throughout the world. These building code and construction and land-
,methodologies will provide a technical use practices.
basis for seismic microzoning studies in
other parts of Algeria and for viii. Initiation of training designed to
identifying specific research studies increase the number of Algerians who are
Algerians can undertake to increase the experts in seismic microzoning.
state-of-knowledge in Algeria.
ix. Creation of the Algerian Institute of
vi. Increasing the technical knowledge of Earthquake Engin'eering and Applied
Algerian scientists, engineers, and Seismology.
planners through the process of transfer
of technology used by WCC and the Control Accomplishment of these actions will serve to
Board. The procedures that were used in establish Algeria as a leader in seismic:
the seminars and training workshops microzoning.
conducted by WCC and the Control Board
provided a model which can be used to
train other Algerians. The technical APPENDIX 1
library on seismic microzoning and the
,.training aids are a valuable new
resource.
List of Questions Used to Create a "Check List"
vii. Creation of a network of strong motion For Use in Oral Interviews with Each Potential
accelerographs to acquire ground motion Contractor
data from future earthquakes in Algeria.
These data can be used in earthquake-
resistant design of buildings and other A. Interviews With the Seven Contractors who
facilities and will be useful to other Tesponded to the International Tender
Ministries in Algeria. (August, 1982)

1. Describe in detail each technical product
Recommendations (maps, reports, computer programs,,etc.)
you plan to deliver during the seismic
The successful completion of the seismic microzoning s *tudy. Indicate the schedule
microzoning study of the Chlef region in 14 for delivery of each product.
months demonstrated that the technical capability
exists in Algeria to microzone other parts of the 2. Describe in detail the procedures you
nation. The following actions are recommended: plan to use during the 16-month

microzonation study to transfer the d. Acknowledging that you want the final
technology for seismic microzoning to maps for the Chlef region to have the
Algerian scientists, engineers, and smallest possible level of
planners. uncertainty, describe the sources of
uncertainty in your methodology for
3. Describe the criteria you will use to constructing a probabilistic ground-
evaluate whether or not you have been shaking hazard map. Will your
successful in developing and transferring methodology ensure that the level of
a technical methodology for seismic uncertainty in the final map is as
microzoning at the end of the study. small as possible?

4. Describe in detail the "state-of-the-art" 2. Transfer of technology is extremely
technical methodology for seismic important to CTC; therefore, please
microzoning you plan to use, emphasizing: describe your capability and willingness
- The procedures you consider to be to meet the following priorities:
unique or especially innovative a. Priority .1: Appointment of a liaison
technically. person in your office to ensure that
efficient interaction and
-,The procedures you consider to be at communication takes place throughout
the forefront of the state-of-the-art. the study.
- The procedures you consider to offer a b. Priority 2: Provision of on-the-job
savings of time and money. training Tor about 5 CTC staff members
in Algeria.
- The procedures you consider to have the
least technical controversy. The c. Priority .2: Organization and implemen-
procedures you consider to have the tation of about 7 seminars that
greatest technical controversy. emphasize problem solving in Algeria.
5. On the basis of what you presently know d. Priority 4: Establishment of a
about: a) the seismotectonics of Algeria, reference library containing relevant
b) the lessons learned from the 1954 articles in seismic microzonation.
Orleansville and 1980 El Asnam
earthquakes, and c) the anticipated e. Priority.@: Arranging for travel for
outcome of the microzoning study of the Algerians in the contractor's country.
Chlef region, what do you anticipate will
be the most urgent research needs after f. Priority.@: Cooperation in the
the seismic microzoning study "a been. publication of technical papers that
completed? are produced in the study.

g. Priority 7: Provisions of interim
B. Interview with the Three Contractors -
guidelines for land use and
Selected as TI-n-alis s (NovemberL 1982) preliminary plans for siting of 90
1. As you know, there is no standard strong motion accelerographs in
methodology for seismic microzoning. Algeria.. both are needed in the first
Current methodologies, like yours, are 3-4 months of the study. They can be
based on various combinations of: modified as the study progresses.
- use of primary data from past h. Priority 8: Provision of peer review
earthquakes, for the seismic microzonation study of,
another urban area performed by CTC.
- neotectonic studies, emphasizing
trenching and other techniques,

- drilling, geophysics, and soil testing,
and

- use of computational models such as
SHAKE.

a. In your opinion, does it matter which
methods are used in the seismic
microzoning of the Chlef region?

b. Why do you feel that your methodology
is the most appropriate?

c. What would make your methodology
obsolete in 5-10 years?

Facilitating Mitigation Through Mental Health Services After a Disaster

Mary Lystad
National Institute of Mental Health
Rockville, Maryland

INTRODUCTION hypothesizes a significant difference between
those disasters which affect the individual's
This paper first identifies several. basic whole environment and those which affect only a
concepts pertaining to psychosocial response to part of it.
emergencies. Then it presents a model of
disaster related behaviors. There follows a Human service workers have little control
.discussion of mental health -interventions and over factors in the environment which cause
preventions for families and neighborhoodsi stress among clients. Their efforts thus are
focused on increasing the social supports and
coping skills of these persons so that they are
Basic Concepts in Psychosocial Response to better equipped to manage the stress and are less
Emergencies at risk for emotional problems. With regard to
social supports, Taylor (1978) has constructed
The key constructs used to understand. how hypotheses regarding the importance of political,
individuals respond.to disaster include stress economic, and family interactions and supports in
resulting from the crisis, social supports at disaster. His variable, political supports,
time of crisis, and coping skills of the refers to functions served by public figures at
individual victim. disaster sites. Economic supports are defined as
financial institutions which provide funds in aid
Some of the most significant work related to of recovery of the community. Family supports
individual response and disasters comes from refer to the functioning of family members in
theoretical formulations about stress. warning system evacuation and extended family
Dohrenwend and Dohrenwend (1981) link stressful assistance.
life events to health and mental health
consequences for individuals. The authors-offer Barton (1969) points to the existence of a
several hypotheses about these linkages. One is two-part emergency social system to support the
a hypothesis of straightforward.cause and effect: emergency victim. Identification of the first
stressful life events result in adverse health part is based on an exploration of individual
changes. Two more hypotheses concern the patterns of adaptive and nonadaptive reactions to
exacerbation of stressful life events by social stress, particularly the motivational basis of
and personal dispositions; the combination of varying types of helping behavior (e.g., altruism
factors results in adverse health changes. A and close relationship to the victim).
fourth hypothesis proposes that symptoms of
adverse health changes lead to stressful life The second part of the system is the
events, which, in turn, increase the degree of community's formal organization. Here Barton
adverse health changes. Lystad (1985a) adds to broadens his initial discussion of the individual
the above paradigm the cultural definition of basis of helping behavior by examining a
cause and effect; i.e., culturally defined and community model of the same.
conditioned perceptions of what is stressful.
This cultural factor can increase stress, which Theoretical formulations which . relate
then leads to adverse health changes. individual coping responses to mass disaster
events focus on perception, personality
Still further theoretical formulations about characteristics. and social behaviors. Slovic et
stress are disaster specific.' They focus on the al (1979) look at-the perception of risk zin
event. itself, and on individual, social, and disaster situations. They hypothesize that those
cultural responses to such emergencies. persons who perceive the risk as great are more
Frederick (1980) and others have theorized that likely to. heed warnings and to take some
technological disasters create more mental stress individual action to avoid or ameliorate
than do natural disasters because they are consequences than those who do not. In the case
defined, not as originating from God, but as of technological risks, those who perceive the
originating from man. Still other theoreticians risk as great are also more likely to blame the
differentiate among phases of a disaster; Baker government for politics which allow the risk to
(1964) differentiates between more. frequent occur.
immediate psychological effects of the disaster
experience and less frequent long term Cohen and Ahearn (1980) point out that
consequences of disaster for the individual. coping is partially dependent on one's emotional
Others have looked at the magnitude of the or psychological tools, those personal
disaster. Kastenbaum (1974), for example, characteristics of individual strengths and

weaknesses. These individual resources include found earlier as victims concentrate on solving
one's ability to communicate, one's sense of their own individual problems.
self-esteem, and one's capacity for bearing
discomfort without either disorganization or The last phase, of reconstruction, may last
despair. several years if not the remainder of the lives
of some victims. During this time the victims of
Lystad (1985a) looks at those aspects of large-scale disasters realize that they will need
coping which are dependent upon one's social to solve the problems of rebuilding their own
behaviors, one's ability to seek support, homes, businesses, and lives largely by
understanding, and aid in problem resolution. themselves, and they gradually assume
Her work shows that disaster victims are better responsibility for doing so. The appearance of
able to handle the losses of loved ones and new buildings replacing old ones, the development
property if they are well integrated into a of new programs and plans, can serve to reaffirm
social matrix of family, friends, and neighbors the victims' belief in their community and in
who are able to provide immediate assistance of their own capabilities. When such positive
comfort, food, clothing, housing, and physical events are delayed, however, emotional problems
care at a time of crisis. which appear may be serious and intense.
Community groups -- political, economic,
religious, fraternal -- with a long-term
DISASTER RELATED BEHAVIORS investment in the community and its people become
crucial elements to successful reconstruction.
Mental health professionals experienced in
disaster work usually define the post-disaster
period in terms of several phases related to the MENTAL HEALTH INTERVENTIONS
emotional responses of disaster victims as they
experience and cope with the crisis (Cohen and The available research findings confirm that
Ahearn, 1980; Farberow, 1979). natural disasters can result in severe mental
health problems, and do among approximately ten
The first phase usually occurs at time of per cent of victims. It is evident that such
impact and in the period immediately afterwards. problems must be addressed on community, state,
Emotions are strong, and include fear, numbness, and national levels. Experienced mental health
shock, and confusion. People find themselves workers have discussed several principles to be
being called upon and responding to demands for kept in mind in assisting the victims of a major
heroic action to save their own and others' lives disaster (Cohen and Ahearn, 1980; Farberow, 1979;
and/or property. Altruism is prominent, and Lystad, 1985b). The first principle is that the
people cooperate well in helping others to target population is primarily normal. Victims
survive and recover. The most important have been subjected to severe stress and may be
resources during this phase are the family,. showing various signs of emotional strain. This
neighbors, and emergency service workers of transitory disturbance is to be expected and does
various sorts. not necessarily imply mental illness. People do
not disintegrate in response to disaster and they
The second phase of disaster generally do respond to active interest and concern.
extends from one week to several months after the
disaster. There may occur change in appetite, Another principle is that disaster workers
digestive problems, difficulties in sleeping, should avoid mental health labels. Many persons
headaches. Anger, suspicion, and irritability are unable to accept, and will actively refuse,
may surface. Apathy and depression may occur, as help for "emotional problems". The aim in most
well as withdrawal from family and friends and cases will be to provide human services for
heightened anxiety about the future. On the problems which are accompanied by emotional
other hand, also found among those who have strain. It is important then not to use words
survived, even with loss of loved ones and which imply mental illness, terms such as
possessions, is a strong sense of having shared counseling, therapy, neurotic, and psychotic.
with others a dangerous experience and having
lived through it. During this phase, supported A third principle is that workers must be
by the influx of local, state, and federal innovative in offering help. Each disaster is
agencies who offer all kinds of help, the victims unique and requires adaptive responses if help is
clear the debris and clean out their homes of mud to be provided more effectively. Consequently
and wreckage. They anticipate that there will workers should abandon the traditional approach
soon be available.considerable help in solving and apply outreach procedures involving
their multiple problems. And emergent community casefinding in the community and at various
groups which develop from the specific needs disaster centers.
caused by the disaster are especially important.
A final principle is to fit the mental
The third phase of the disaster, generally health program into the community in order to
lasting up to a year, is characterized by strong have it accepted. The program director will want
feelings of disappointment, resentment, and to plan neighborhood get-togethers and the like
bitterness if delays occur and the hopes for, and to discuss community concerns and to set
promises of, governmental aid are not fulfilled. priorities for recovery. For the local citizenry
Outside agencies may pull out and some of the the sense of participation in decision making
indigenous community groups may weaken or will be very.useful. Selection of workers, both
disappear. During this phase there may be a professional and nonprofessional, from the
gradual loss of the feeling of shared community community in which the disaster has occurred has

an additional advantage for ' the workers Taylor, V. 1978. Future directions for study.
themselves. When the victims of a disaster are In E. Quarantelli (Ed.), Disasters: Theory
able to participate fully in their reconstructive and Research. Sage Publications, Beverly
and rehabilitative activites, the recovery from Hills, California.
the disaster may be much quicker and the long-
term effects less serious.

These and other strategies are described in
greater detail in three useful training manuals-
for mental health workers dealing with disaster
victims: Cohen and Ahearn (1980), Farberow
(1979), and-Farberow and Gordon (1981).

Intervention and prevention programg-need
careful evaluation; knowledge development in this
field is critical for emergency planning in the
future on national, state, and local levels.

REFERENCES

Baker, G. 1964. -Comments on the present status
and the future direction of disaster
research. In G. Grossner, H. Wechsler, and
M. Greenblatt (Eds.), the Threat of
Impending Disaster. Massachusetts Institute
of Technology Press, Cambridge,
Massachusetts.

Barton, A. 1969. Communities in Disaster.
Doubleday and Company, Garden.City, NY.
Cohen, R. @and F. Ahearn. .1980. Handbook for
Mental Health Care of Disaster Victims. The
Johns Hopkins University Press, Baltimore,
Maryland.
Dohrenwend, B. and B. Dohrenwend (Eds.). 1981.
Stressful Life Events and Their Contents.
Prodist, New York.

Farberow, N. .1979. Training Manual for Human
Service Workers in Major Disasters, DHEW
Publication No. (ADM) - 79-538. U.S.
Government printing Office, Washington, DC.

Farberow, N. and N. Gordon. 1981. Manual for
Child Health Workers in Major Disasters,
DHHS Publication No. (ADM) 81-1071. U.S.
Government Printing Office, Washington, DC.

Frederick, C. 1980. Effects of natural vs. human-
induced violence upon victims. Evaluation
and Change, Special Issue:71-75.

Kastenbaum, R. 1974. Disaster, death, and human
,ecology. Omega 5(@):65-72.

Lystad, M. 1985a. Human response to mass
emergencies: A review of mental health
research. Emotional First Aid 2(l):5-18.

Lystad, M. (Ed.). 1985b. Innovations in Mental
Health Services to Disaster Victims. U.S.
DHHS Publication No. (ADM) 85-1390. U,S.
Government Printing Office, Washington, DC-@

Slovic, P., S. Lichtenstein, and B. Fischoff.
1979. Images of disaster: Perception and
acceptance of risks from nuclear power. In
G. Goodman and W. Rower (Eds.), Energy Risk
Management. Academic Press, London.

Transfer of Mitigation Techniques Among Types of Disasters: Factors
Affecting Mitigation from Earthquakes, Floods, Volcanoes, and Ground
Failure
Martha L. Blair
Principal Planner
William Spangle & Associates
Portola valley, California
INTRODUCTION regulate land uses solely to mitigate hazardous
conditions. Effective mitigation usually
The ability to transfer techniques for involves actions which also carry out other
reducing the impacts of natural hazards from one community objectives.. A flood plain may be left
type of natural hazard to another depends, in undeveloped not only to prevent future f -lood
part, on the characteristics of the hazard. This losses, but also to protect riparian habitats,
paper outlines six general categories of hazard water recharge areas, or prime agricultural
mitigation techniques, selected characteristics lands; or to provide a stenic greenbelt or a
of four types of natural hazards, and how those' level area for parking. The more elements built
characteristics affect the applicability of into the rationale for a given action, the more
mitigation techniques to each of the hazards. likely it is to be taken. Building such
The intent is to provide an introduction to some rationales is the accustomed role of the planner.
of the conditions influencing the transfer of
techniques from one kind of natural hazard to Most of our experience in both research and
another. application of research has been in the United
States. Thus, our conclusions are most
In outlining the factors, we draw primarily applicable to the institutional and governmental
from our experiences, first, in the practice of context found in this country. However, our
city and regional planning in California limited experience with foreign disasters
communities, and second, in research conducted indicates considerable opportunity for transfer
over the last twelve years on ways to mitigate of techniques across national boundaries. The
natural hazards, primarily through improved specific administrative procedures, locus of
planning practices. As urban and regional decision making authority, and economic and
planners, we believe the presence of natural social resources vary from one country to
hazards should be accounted for in decisions another, but the objectives and principles of
about the uses of land, whether these uses are hazard mitigation are similar. Also, disasters
decided prior to a disaster or as a part of do not respect national differences. Earthquake
reconstruction. Land uses are an important intensities can be just as high in San Francisco
determinant of the severity of natural disasters. as in Mexico City. The damages may differ in
In fact, disasters are disasters because they scale and pattern, but the natural, physical
damage or destroy what man has built. forces afflicting the areas are essentially the
same. Natural hazard mitigation, at any level,
Planning as. a means of mitigation is is the process of contending with such forces --
effective primarily for those disasters which movements of tectonic plates, magma, water,
are, at least to some degree, locationally ground, and air.
predictable. For example, it is possible to
define, with considerable precision, those areas
of a community which are susceptible to riverine MITIGATION TECHNIQUES WHICH CAN BE TRANSFERRED
or coastal flooding. However, it is not possible
to distinguish areas of a community on the basis The list of mitigation techniques which have
of tornado risk. We know in probabilistic terms been tried or suggested is long. The following
the regions of the country that are most likely is a description of six categories of actions
to experience tornadoes, but within any region, which can be taken to mitigate the effects of
and particularly, community, we cannot say that natural hazards. Table I is a summary of the
one area is more hazardous than another. The categories.
four hazards considered in this paper -- floods,
earthquakes, volcanoes, and ground failures -- Control the Hazard. This encompasses
are all geographically predictable, but the attempts to control, modify, or transfer the
precision of predictability varies greatly and, hazard itself. Examples are cloud seeding and
hence, the usefulness of the prediction for land other efforts to modify weather and construction
use planning. of dams, dikes, revetments, jetties, groins,
Land use planners typically - view hazard seawalls, and other engineered works to control,
mitigation as one of many factors to consider in deflect, or transfer excess water away from
recommending land uses. In our experience specific areas. The notion that a hazard can be
working with local governments in California, we controlled strongly influences our perception of
rarely find a community willing to plan and mitigation. This category of techniques is most
often associated with flood hazard mitigation. A

Table.l. CATEGORIES.OP TECHNIQUES TO MITIGATE@NATURAL HAZARDS

Mitigation Technique Examples
----------- ------------------------------------------------------------
Control Hazard seed clouds; build dams, levees; jetties

Build to Withstand adopt/enforce seismic codes,' elevate buildings

Control Land Use restrict building/occupancy; relocate; purchase

Redevelop/Rehabilitate change use or occupancy; retrofit, floodproof

Modify Site grade; fill', compact; dewater; drain

Warn/Evacuate remove people at risk'from hazardous areas
----------------------- 7------------------ -----------------------------
clear distinction is usually made between reconstruction after a disaster,, to-the extent
structural and non-structural approaches to that it reduces occupancy or improves bui lding
mitigation. Often, the potential for control is resistance in a hazardous area. Rehabilitation
really an illusion, meaning little more than the involving the strengthening, flood proofing, or
ability to shift the problem elsewhere. Classic in other ways structurally modifying existing
examples are efforts to control coastal flooding buildings to mitigate hazards is often carried
and erosion. The technical, scientific ability, out as a part of redevelopment. Like
or even potential, does not now exist to control redevelopment it is most effective when multiple
earthquakes or volcanoes. objectives can be accomplished with the building
rehabilitation. Historic restoration and
Build to Withstand the Hazard. Frequently rehabilitation can be combined; however, in some
there is no feasible alternative to building cases, these objectives are incompatible.
within a hazardous area. Then, it is important
that buildings be sited, designed, and built to Modify the Site. This category of
withstand the hazard. This is especially true of mitigation techniques includes means of modifying
critical facilities, lifelines, and high or adapting a site for an intended use (as
occupancy structures. Damages from earthquake opposed to finding a less riskv site for the
ground shaking can be substantially lessened by use). This is similar to attempting to control
applying seismic codes to buildings; similarly, the hazard. The measures may be effective in
losses from flooding can be reduced by elevating protecting single building sites from potential
buildings -located in flood prone areas. It is hazards. Often this is accomplished by shifting
much less costly to build new structures to an the problem, elsewhere. Drainage, grading,
appropriate code than to bring old buildings up removal of unstable soils, planting, dewatering,
to code. There is no way to construct functional compacting, and filling are all means of
buildings which can withstand the worst effects overcoming possible hazardous or adverse
of a volcanic eruption or a large landslide. conditions of a site, usually prior to
development.
Control Land Use. This category involves
the potential for avoidance of natural hazards Warn and Evacuate. This approach can reduce
through consideration of risk prior to deciding loss of life and injuries in the event of a
how to use or reuse hazardous sites and areas. natural disaster, but is not effective in
Examples of techniques in this category include: significantly reducing property damage. It is
general/comprehensive/master plans, land use often the only viable approach to mitigating
regulations (zoning, subdivision, site design, natural hazards, like tornadoes, which do not
project review procedures), decisions based on have predictable impact areas.
environmental impact assessments, and public
acquisition of land, easements, and development
rights. Controlling land use is an effective CHARACTERISTICS OF THE HAZARD WHICH AFFECT USE
approach for mitigating hazards affecting OF MITIGATION TECHNIQUES
definable areas especially before they are
developed. It is also an 'effective means to Several characteristics of.natural hazards
mitigate against future damages from recurring affect the potential for transferring mitigation
disasters in rebuilding after a disaster. techniques from one type of hazard to another.
Key ones are: frequency; predictability of
Redevelop and Rehabilitate. Mitigating risk location, time and impacts; and the potential for
from natural hazards in already developed areas catastrophic losses. Table 2 is a summary of
is very difficult. The primary tools are these characteristics as they usually pertain to
redevelopment, where an area is cleared and the natural hazards of flooding, earthquakes,
rebuilt with new buildings and often new uses, volcanoes, and ground failures.
and rehabilitation, where the resistance of
buildings to natural disasters is increased. Frequency. This characteristic is an
Redevelopment is a useful mitigation approach important determinant of the political accepta-
when it also meets other community objectives. bility of mitigation efforts. A community is
Redevelopment is a very effective mitigation usually willing to commit more economic resources
approach, both before a disaster and as a part of to forestall losses from a hazard which causes

Table 2. CHARACTERISTICS OF NATURAL HAZARDS

Frequency Predictability Catastrophic
location time impacts Potential
----------------------------- ------------------------------ -------------------------
Floods moderate-high high annual % chance high. - moderate

Earthquakes moderate low-moderate cyclicluncertain moderate moderate-high

Volcanoes 10W low cyclic/uncertain low high
Ground Failures[ low-high low-moderate associated with low-moderat low
other hazard
L--------------- ------------- ------------ ----------------- --------- J------------J

repeated damage than from severe, but rarely hand, aredifficult to.predict. An eruption may
occurring disasters. As frequency increases, so trigger lava flows, mudslides, avalanches,
does the list of acceptable mitigation pyroclastic flows, phreatic blasts, and ..ash
approaches. falls. Predicting which of these hazards is
likely to impact any given area within a general
Predictability. Predictability has three zone of risk is difficult.
aspects which are important to the selection of
hazard mitigation techniques - location, time, Improved predictability with respect to
and impacts. The ability to predict all three location, time, and impacts enhances
with accuracy would greatly increase the opportunities for effective mitigation. The more
likelihood of effective mitigation. clearly the problem can be defined, the more
clearly the path to reducing the potential impact
Predictability of Location of the areas at can be seen and thus, taken.
risk varies greatly from hazard to hazard. Flood
plains can be quite precisely defined; areas Catastrophic Potential. Volcanic eruptions
subject to volcanic hazards can be only generally are rarely small, local events; landslides are
defined. Maps showing hazardous locations vary rarely regional disasters. The potential for
in scale, detail, and accuracy. The delineations catastrophe, even when the probability is very
are usually based on interpretations and low, affects the acceptability of mitigation
represent relative differences in the level of measures, although the nature of the effect is
risk. A "high risk",designation on a map of uncertain. In general, it appears that
potential landslide hazards could mean a., very irrational over- or under-responses to risk are
different level of 6kposure than a "high risk" more likely if a hazard is perceived as
designation on a map of potential volcanic catastrophic.
hazards. If a hazardous area is well-defined,
all six categories of mitigation techniques shown
in Table 1 could be applicable. RELATIONSHIPS BETWEEN CATEGORIES OF MITIGATION
Predictability of Time involves questions of AND NATURAL HAZARDS
whelr@_usually expr-essed in terms of probability Techniques that are effective in reducing
or recurrence intervals. Riverine flooding the impacts of one natural hazard are not
occurs with a reasonably predictable regularity necessarily applicable to other hazards. Table 3
which allows the risk to be expressed in terms of summarizes the usual relationship between the
an annual probability (1% chance of a 100-year five general categories of mitigation techniques
flood). This allows thresholds for public and the four types of natural hazards. Comments
actions to be established so that areas of regarding the techniques which are typically used
comparable risk from flooding can be treated to mitigate each type of hazard follow.
similarly. On the other hand, some hazards
appear to occur cyclically, like once every 100 Floods. All six categories of mitigation
or 1000 years. The more time that has elapsed
techniques can be effective in mitigating flood
since the last event, the closer you are to the losses. Flooding is the only hazard (of the
next one. Earthquakes and volcanoes seem to four) which is susceptible to control of the
follow this general pattern. hazard itself. Historically, control has been
Predictability of Impacts of a hazard is the the main approach taken in this country. The
ability to determine what is likely to happen. continuing increases in losses from flooding in
This is closely related to prediction of spite of significant expenditures for control
location. It helps to know not only the area have highlighted the need to consider more
that is likely to be impacted, but also the seriously the other categories of mitigation.
nature of the impact. Natural disasters are Land use controls can effectively mitigate flood
damages and are especially appropriate because
complex events with many ways of causing damage. the areas prone to flood damage are usually good
With flooding it is usually possible to predict
a given other reasons.
the height and speed of floodwaters at candidates for low intensity uses for several
location which would occur with a 100-year storm.
The impacts of a volcanic eruption, on the other

Table-3., EFFECTIVENESS OF TECHNIQUES TO.REDUCE-LOSSES FROM SPECIFIC HAZARDS

mitigation
Techniques Floods Earthquakes Volcanoes Ground Failures
-------------------------------------------- ----------------------------
Control the Hazard. yes no no sometimes

to.withstand yes yes no @no

Control Land,Use yes yes yes yes

.Modify the Site ,sometimes sometimes 'no :yes-

...Redevelop/Rehabilitate yes- no no

Warn/Evacuate yes sometimes yes sometimes,
------------------------------------------ 7-------- 7---------------------

Earthquakes. At present, earthquakes cannot. investigation is needed to determine the
be. controlled. The most important means of feasibility of mitigation through site
reducing losses are controlling:,land '. uses, modifications. -Ground failures frequently
building to withstand-,,earthquake . forces, accompany flooding, earthquakes, and -volcanic'
redeveloping parts of cities with old,-.unsound eruptions, and most often are dealt with in the
buildings. and strengthening, unsafe -buildings. context of another.hazard..
Earthquake-triggered fault rupture affects quite
small areas adjacent to faults, which often can
be located precisely. In such cases, restricting CONCLUSIONS
or relocating development on the fault is the
most direct and appropriate means of mitigation. (1) Planning approaches to natural hazard
Areas prone to liquefactioni landsliding, and. mitigation - controlling land use and
other ground failures can be generally redevelopment and rehabilitation - are effective
delineated. Evaluation of the hazard potential for all four hazards considered-in this paper.
prior to development or redevelopment of such
areas should be routine, especially for major (2). One attractive aspect of planning
construction projects. Damage arising from approaches to natural hazard mitigation is that
ground shaking can be most effectively mitigated the expertise to plan is usually available, to
through careful. design and construction of -.communities - planning is part of "business as
buildings taking into account the. site ground usual". To incorporate hazard mitigation as an
conditions. Earthquake generated tsunamis, are objective in local planning processes does not
addressed..through a world-wide warning system. usually involve major changes in the way a
Losses can be averted through control of land use community functions.
in designated run-up areas.
(3) The planner, if appropriately educated
Volcanoes. Options to mitigate the effects and trained, can make sure that natural hazards
of volcanic eruptions are more limited than for are considered, among other factors, in
the other natural hazards. . The frequency and evaluating competing claims for uses of land.
predictability of volcanic eruptions is low, yet The planner can bring good sense and balanced
the potential for catastrophe is very high. judgment to issues of natural hazard mitigation,
Volcanoes, like Mount St. Helens, usually exhibit placing them in the context of overall community
signs of imminent eruption. Thus, an effective objectives.
mitigation technique is to restrict entry and
evacuate a sizable area around a volcanic vent (4) The more that is known about the hazard
upon indicatiofi that an eruption might occur. when, . where, how often, what impacts, etc. -
More certain is the control of land uses on and the more techniques are applicable to mitigate
around active volcanoes. There are no ways to the impacts. More mitigation approaches are
control volcanic eruptions, livolcano-proof" available to alleviate flooding problems than
buildings, or modify a building site to mitigate earthquake, volcano, or ground failure problems.
potential damage. The least defined-of@ these hazards,- volcanic
eruption, is the most difficult to mitigate.
Ground Failures. Ground failures include
landslides, debris flows, avalanches, rock falls,
and other massive disturbances of the ground *This paper is based in part on research
surface. The key to mitigation is expert supported by the National Science Foundation,
assessment of the potential. The potential can Grant No. CEE 8302302. The author assumes full
usually be identified through analysis by a responsibility for the ideas and opinions
geotechnical professional of topographic, soils, contained herein.
and geologic maps', aerial photographs, and other
generally available information. Where a
potential for ground failure exists, development
can be limited or regulated to avoid hazardous
sites. Sometimes, site modifications can
alleviate the hazard. However, detailed site

.RELATED LITERATURE Marx, W. 1977. Acts of God, Acts of Man. Coward,
(This paper distills ideas stemming from research McCann & Geoghegan, Inc.', New York.
done by William Spangle and Associates, Inc. over Nilsen, T., R.H. Wright, T.C. Vlasic, and W.E.
the last decade. Although@no references are Spangle. 1979. Relative Slope Stability and
given in the text, the following publications Land Use Planning, Selected Examples from
contain background information relevant to the the San Francisco Bay Region, California,
ideas and conclusions presented here). U.S. Geological Survey Professional Paper
944. U.S. Government Printing Office,
Blair, M.L. and G.G. Mader. 1985. Long Valley, Washington, DC.
California - Response to 'Notice' of
Volcanic Hazard, paper presented at the Petak, W.J. and A.A. Atkisson. 1982. Natural
symposium, Mount St. Helens: Five Years Hazard Risk Assessment and Public Policy,
Later, Eastern Washington University, to be Anticipating the Unexpected. Springer-
published in the proceedings scheduled for Verlag, New York, Heidelberg, Berlin.
summer, 1986.
Rubin, C.B. 1983. Case Studies of Communities
Blair, M.L., T.C. Vlasic, W.R. Cotton, and W. Recovering from Natural Disasters, Year II,
Fowler. 1985. When the Ground Fails, Final Report. George Washington University,
'Planning and Engineering Response to Debris Washington, DC.
Flows, Monograph #40, Institute of
Behavioral Science, University of Colorado, William Spangle & Associates, Inc., H.J.
Boulder, Colorado. Degenkolb & Associates and Earth Sciences
Associates. 1980. Land Use Planning After
Blair, M.L. and W.E. Spangle. 1979. Seismic Earthquakes. William Spangle & Associates,
Safety and Land use Planning -- Selected Inc., Portola Valley, California.
Examples from the San Francisco Bay. Region,
California. U.S. Geological Survey Waananen, A.0., J.T.Limerinos, W.J. Kockelman,
Professional paper 941-B. U.S. Government W.E. Spangle, and M.L. Blair. 1977. Flood
Printing Office, Washington, DC. Prone Areas and Land Use Planning, Selected
Examples from the San Francisco Bay Region,
Helley, E.J., K.R. Lajoie, M.L. Blair, and W.E. California, U.S. Geological Survey
Spangle. 1979. Flatlands Deposits - Their Professional Paper 942. U.S. Government
Geology and Engineering Properties and Their Printing Office, Washington, DC.
Importance to Comprehensive Planning,
Selected Examples from the San Francisco Bay
Region, California, U.S. Geological Survey
Professional Paper 943. U.S. Government
Printing Office, Washington, DC.

CH1%P1rER FOUR
LOCAL GOVERNMENT PERSPECTIVE

In both developed and developing nations, ure to '@lead". in situations where
national (or statewide) organizations often they could not possibly hope to do so
play the major role in providing immediate, given the resources, number of per-
.large scale relief after a disaster. But local sonnel, and legal authority of the
governments and private landowners play the outside group.
principal roles in long term repair and re- Challenges to .local leadership are
building. It is unfortunate, therefore, that
.so little attention is usually paid to train- then common with new leaders often at
ing,. providing incentives. to, and otherwise least temporarily assuming power.
assisting local governments. This complicates any attempt by state
and federal organizations to formu-
Large influxes of disaster assistance, late recovery plans because the ori-
experts, loans, and other types of assistance -ginal -community leaders are so often
to a local disaster area may undermine local forced out of, office, requiring re-
leadership. The following scenario is common: negotiation with new leaders.
For a short time after the disaster, Finally, well into recovery, commu-
community leaders play a large role nity leadership may stabilize with a
in rescue, shelter, comforting disas- return to power and influence of some
ter victims, bringing in food and of the previous leaders.
blankets, etc. Local governments are often overwhelmed in
This.'influence is diminished as the the immediate post disaster context and do need
National Guard, national police, outside assistance.. But they equally need
military, etc. take charge and as technical and financial assistance in to faci-
large numbers of experts and disaster litate and encourage long term rebuilding.
relief workers under the control of
@other agencies and organizations This chapter begins with an overview paper
arrive, and provide -food, loans, and by Claire Rubin outlining post-disaster oppor-
policing at a scale not possible at tunities on the local scene.
the local level. Dominance by such
outside groups continues as long as Next Philip Berke and Kim Luedke examine,
their physical presence and huge in greater detail, local recovery from hurri-
influx of dollars, supplies, etc. cane Alicia -in the Houston/Galveston area of
continue. the U.S.

The influence of local leaders again Thomas Hirsch, in the third paper, raises
increases. But, ironically, local important issues with regard to selection of
leaders are now often blamed for lack mitigation options and the role of local
of preparedness and for many of the. governments and hazard area occupants.
inequities and problems caused by the
outside groups such as lack of equity Finally, Eve Grundfest examines local
in distribution of relief benefits, government response from flash flooding in the
separation of families and neighbors Big Thompson' Canyon in Colorado and examines
in temporary housing, etc. Local the use of scenarios to help raise local
leaders are often accused of a fail- government awareness with regard to hazards and
possibilities for mitigation.

Post-Disaster Opportunities: The Local Scene

Claire B. Rubin
George Washington University
Washington, DC

INTRODUCTION and consultants, such as architects, engineers,
and planners - all of whom are engaged in some
Local mitigation planning during the segment of recovery activities. Managing the
recovery period after a major disaster is many facets of recovery is both a science and an
considered here in light of: (a) timing of the art; some aspects tan be taught and others are
mitigation planning and implementation efforts, learned the hard way, via experience.
(b) the steps and functions involved, (c)
opportunities for mitigation, and (d) some
practical advice based on observations from local Opportunities for Mitigation
experiences in the U.S.
The opportunities exist for mitigation in
the immediate post-disaster context, but
Timing mitigation requires both effort and local support
for action. Typically, local attention is
Timing of post-disaster mitigation depends focused mainly on near-term activities, such as
on such factors as the type and magnitude of the search and rescue and emergency response. It is
disaster and the capability and sophistication of easy to underestimate the number of simultaneous
the jurisdiction(s) affected. The duration of demands and decisions that must be made soon
the near-and long-term recovery phases varies after a disaster. For one thing, a different
considerably. For example, after the 1983 cast of actors is needed to accomplish recovery.
earthquake in Coalinga, CA, the recovery phase In the recovery period there is more need for
began nearly immediately, because virtually all community planners, public works staff,
the buildings that were not seismic-resistant grantspersons, while the public safety officials
were levelled by the earthquake. It was a case have only a minor role.
of "instant mitigation" in which the existing
building codes included seismic-resistant Secondly, interorganizational, intergovern-
construction standards. Consequently recovery mental, and international relations are at an
began almost immediately. all-time high level of activity, just when local
leaders are the least ready to cope. To,
In contrast with a swiftly devastating effectively deal with the interorganizational
earthquake, a riverine flood Imay prevail for relations that are essential to an expeditious
weeks. In such a case, re-entry and recovery requires great skill in ,leadership,
reconstruction decisions must wait until including. the ability to delegate authority and
floodwaters recede. For example, in Marin responsibility@ needed to respond to and recover
County, CA, in 1982 when extensive land and mud from a major disaster, and to anticipate and cope
slides occurred, the roadways were clogged with many simultaneous demands.
intermittently for many weeks, delaying the
removal of debris. In short, the response and Mitigation measures are numerous and many
recovery phases are not clean-cut. can be implemented before or after a disaster
event. As a ready frame of reference, seven
major categories of mitigation measures are
Key Functions in the Post-Disaster Period listed below:

Because time frames cannot be generalized, (1) vulnerability analysis
it is valuable to discuss mitigation activities (2); land use regulations
in terms of functional relationships and to (3) public information
appreciate the interconnectedness and the (4) warnings and predictions
sequences of events. Generally, in the early (5) insurance
weeks after a disaster both the local public and (6) structural (including building codes
private sectors begin restoration and and standards)
reconstruction activities. (7) tax abatements, loans, grants

While the time span for the early recovery
efforts can readily be shown, it is not as easy Specific mitigation techniques vary for each
to depict the web of relationships and kind of disaster event (e.g., hurricane, earth-
interactions among government officials at all quake, flood). Thus it is hard to generalize
levels; citizens; business owners and managers; about mitigation. Clearly, multiple hazard

mitigation planning and implementation is a mitigation and-recovery, suggesting some trade-
complex, diffLcult task. offs occur between the two sets of activities in
-the post-disaster period. Following a disaster a
Mitigation planning is usually more community usually strikes a balance (whether
effective if done in the pre-disaster period, yet intentionally or unintentionally), between a
most often it gets done in the post-disaster recovery and mitigation investments to achieve
period. During the post-disaster phase public protection from future similar disasters. One of
policy interest and support are.often greater for the findings of our recent empirical resea'rch was
such endeavors. . Educating the public as well as that "Guiding recovery on the basis of a future
public officials is a topic worthy of separate image of the community rather than simply on
discussion. near-term expediency appears to produce better
long-term results" (Rubin, 1985:43). Further, it
In the U.S. the recent use of hazard appears to be politically costly for local
mitigation teams (HMTs) has been an effective way leaders to do so; they need help in guiding
to . promote recovery and. mitigation @community recovery and mitigation. It is
recommendations offered in the early phase essential to examine state and federal policies
following flood-related disasters. The and programs to be sure that they help, not
combination -of local/state/ federal scrutiny, is hinder, effective local.recovery that@ includes
valuable in that it allows for - varying significant mitigation efforts.
perspectives on the hazards and hazards potential
in an area. HMTs have had a positive effect on Mitigation can be viewed as a sub-category
post-disaster mitigation, but their effectiveness of federal and state relations by local
is limited by their inability to achieve follow- @governments in that it means a different set of
through on their recommendations. Efforts are decision rules for local government, and it can
hampered both by lack of financial resources they have an effect on local choices' * The need for
can control . and lack of monitoring and. mitigation plans may change the demand structure
enforcement capabilities.. Further, in the U.S_ at the local level during the recovery period.
the use of HMTs has been limited to water-related For example, the National Flood Insurance Program
disasters. in the U.S. has a special set of requirements for
local governments that participate. Implementing
mitigation measures in the post-disaster period
LESSONS LEARNED IN THE U.S. is often a coffiplex exercise in intergovernmental
relations. The correlation between mitigation
Of the 14 experiences observed, not one and the previous disaster experience is not as
community did well.in the post-disaster, period clear as might be expected.
without preparedness efforts and/or experience.
In other words, an unplanned or ad hoc response In the book Community Recoverv from a Major
to a disaster situation does not ;orTwell; Natural Disaster (Rubin et al, 1985) we listed a
series of actionable propositions, many of which
I would like to briefly relate some of the are pertinent to post-disaster mitigation
major findings with respect to effectivp recovery planning. Some action recommendations for
processes that we have observed. In this case, I mitigation planning, adapted from the above-
am using the term "effective recovery" to mean mentioned book, are outlined below:
one that includes attention to mitigation
measures-against similar future events. Leadership Propositions-
At the community level in the- U.S. three 1. Decide soon after a major disaster what
major elements contribute to efficient recovery: you want to do and who you want to
participate in the planning and
(A) Local leadership
- political implementation of the major mitigation
- administrative efforts.
(B) Ability to Act 2. Since the quality of intergovernmental
relations is of paramount importance to
administrative an effective recovery (which includes
technical attention to mitigation), it is necessary
resources to attend promptly and efficiently to the
(C) Knowledge of What to Do many intergovernmental activities
- emergency management capability, entailed in recovery after a major
- hazard specific experiences disaster.
3. If a heavily damaged area is viewed as a
site for "instant urban renewal", a
All three components are necessary to ensure broader perspective and a wider array of
an efficient community recovery. No one element reconstruction options will be maintained
is necessary and sufficient. But (A) and (B) during the recovery planning process.
paired are sufficient to ensure an expeditious
recovery. Element (C) is not essential 4. At the community level, vision of what
initially, but it is very helpful; it can be the community could be and should be
acquired quickly once (A) and (B) are in place. after the disaster is an important
attribute of effective leadership.
There is a complex interaction between

5. Strong, capable leadership increases the - Just when local operations are intense,
likelihood of getting more resources for help is likely to be offered from all
repairing the damaged systems and levels of government. State/provincial,
structures in the community. regional, national, and perhaps
international organizations are hovering
Ability-To-Act Propositions: or intruding. It is necessary to
organize appropriately in order to use
1. The resources of the federal government resources and skills as they are offered
are critical to a successful recovery and at the same time to resist unneeded
after a major natural disaster. or unwanted supplies and personnel.
2. While some dependence on external When people everywhere are clamoring for
resources is to be expected after a the restoration of structures and systems
disaster, a heavy dependency on external as they were prior to the disaster, do
resources (whether financial or not overlook opportunities for needed
specialized personnel) can cause a loss improvements or community betterment.
of local control and long delays.
Presently, too much disaster learning is
3. Local administrative and technical mecha- achieved in-hindsight. Such knowledge
nisms as well as resources available also can be acquired from education,
before the disaster usually contribute training, or by hiring a knowledgeable
significantly to an expeditious recovery and/or experienced person. More
effort. attention to education and expertise is
long overdue.
4. Administrative staff, governmentally-
employed consultants, and others may be
able to bring valuable insights and REFERENCES
suggestions to the attention of local
public leaders if they are tapped for Rubin, C.B. 1970. Natural Disaster Recovery
advice. Planning for Local Public Officials.
Academy for Contemporary Problems, Columbus,
5. Although a city and a county may each Ohio. (out of print).
possess useful capability, unless they
have planned effective coordination they Rubin, C.B. et al. 1985. Community Recovery from
may not be able to interact and function a Major Natural Disaster, Monograph No. 41.
effectively post-disaster. Research Application and Information Center,
University of Colorado, Boulder.
Knowledge PrODOSitions:
Rubin, C.B. and D.G. Barbee. 1985. Disaster
1. Public officials in communities with recovery and hazard mitigation bridging the
known hazards, or ones at chronic risk, intergovernmental gap. Public Administration
should determine before a disaster what Review, Vol 45, Special Issue.
procedures, requirements, and .benefits
are contained in the state and federal
disaster assistance programs for response
and recovery.

2.'In addition to identifying sources of
assistance, it is essential to request
assistance and resources with as much
specificity as possible.

3. There is a need for realistic
preparedness plans for all phases of a
disaster. Such plans must be broad,
flexible, and workable.

.,SUMMARY

Many of the most effective actions after a
major disaster regarding recovery with serious
attention to mitigation of a similar disaster in
the future are counterintuitive. Consequently,-
it is essential to think about them and to plan
accordingly in the pre-disaster period.
Important concepts to consider are the following:

The tendency to "tough it out" and rely
on local talent and resources is not the
most effective and efficient way to
recover.

A Regional Appraisal of Local Recovery From the Hurricane Alicia
Disaster
Philip Berke and A. Kim Luedke
Department of Architecture
Texas A&M University
Colleae Station, Texas
INTRODUCTION SURVEY

In August, 1983, Hurricane Alicia struck the Methods-
upper Texas coast during the early morning hours.
Although Alicia, which came ashore near To gather information about local response,
Galveston, Texas (see Figure 1) was not a strong a mail questionnaire was sent to land use and
hurricane (peak gusts of 115 mph) the area of emergency planners in local jurisdictions within
maximum winds in the storm crossed the large the primary impact area of Alicia. The area that
metropolitan area of Houston-Galveston, placing experienced the most powerful hurricane forces
the area's network of expensive structures, was generally within 30 to 40 miles of either
buildings, and lifeline facilities at risk. side of the storm track. This area was generally
Storm surge reached a maximum height of 10 feet contained within evacuation and contingency zones
above mean sea level in Galveston Bay and caused illustrated in Figure 1. These zones were
severe damage to communities along the Gulf of delineated to identify high risk areas prone to
Mexico and inland bay shorelines. Alicia was hurricanes in.the Houston-Galveston metropolitan
recorded as the second most cystly storm ever to area as part of a regional hurricane evacuation
strike the United States. Alicia . caused study (Ruch, 1981). Communities in these zones
property damage of over one billion dollars in are part of federal and state initiatives
1984 dollars (National Research Council, 1984). designed to assist local governments in
Tallies of the death toll resulting, directly from developing hurricane emergency response and
Alicia vary from 10 to 20. mitigation programs. Thus, the survey enables us
to not only examine local programs but also the
This paper provides a regional appraisal of results of federal and state efforts.
local response during the post-disaster recovery
period. There are two principal programs A questionnaire was sent to land use and
communities use to respond to disaster. First, emergency planners in 43 local jurisdictions.
land use planning programs.deal with long-term Respondents f om 42 jurisdictions completed the
reconstruction and mitigation issues by questionnaire.@ In each case prime respondents
attempting to influence the location, design, and completed the questionnaire with input from other
density of development in hazardous areas. local staff or elected officials.
Second, emergency response planning programs are
concerned with identifying problems that might
arise during the disaster and subsequent Overview of Local Response
coordination of the immediate recovery activities
of public and private groups and individuals. The survey included a list of 10 potential
problems that communities may have encountered
The research upon which this paper is based during post-disaster recovery efforts (Table 1.)
focuses on four key questions: Respondents were asked to identify those problems
their jurisdiction had experienced. The most
1. What are they key problems encountered by frequent and dramatic problems cited by
communities during the hurricane disaster respondents tended to be directed toward
recovery process? emergency response as opposed to land use and
2. What is the perceive d effectiveness of, redevelopment. Debris removal and restoring
public utilities, particularly electric power,
hurricane land use and emergencv response were cited by a majority of respondents. About
planning programs? one-third reported problems with inability to
communicate with citizens, difficulty in
3. What post-disaster actions were taken by distributing food and medical aid and extensive
communities to improve these programs to disruption in economic activity. The remaining
reduce future storm risks? five recovery problems were cited by a small
percentage or none of the respondents. Notably,
4. What are the factors that influence the poor quality of development was cited by only
political acceptability and three percent of the respondents and none
administrative feasibility of these indicated !that redevelopment in hazardous areas
programs? was a problem.

Evacniallon xorter Areas that can a flooded by storm surge from hurricanes with Sustained
winds up to 130 mph. ined
COnfirili Wass: wArineass othaet clan be Hooded by storm surge from hurricanes with sush.
Ph.

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Figure 1: Houston Galveston Metropolitan Area, Ruch 1981.

Table 1: Problems Encountered During The Post-Disaster j
Recovery Effort

Problem (-,Frequency) Percent

Debris Removal (35) 90
Difficulty in Restoration of Utilities (28) 72
Inability to Comnunicate with Citizens (13) 33
Difficulty Distributing Food and Medical Aid (11) 28
Extensive Disruption of Economic Activity (11) 28
Traffic Congestion in Stricken Areas (9) 23
Inadequate Emergency Shelter Facilities (4) 10
Lack of Coordination with other Local Jurisdictions (3) 8
Poor Quality of Redevelopment (1) 3
,Intensive Redevelopment of Hazardous Areas (0) 0

'Effectiveness of Land Use and,Emergency Response establishing procedures for contacting power and
Planning telephone companies for repair schedules.

Respondents were asked to rate the
effectiveness of both land use and emergency
response planning programs. Given the greater
concern with emergency response problems it is
not surprising that the majority of respondents
viewed land use planning to be effective in Table 3: Emergency Management Measures Modified or Adopted
As A Result of,Hurricane Alicia
reducing future storm risks (59 percent) while
less than half (36 percent) viewed emergency Measure Frequency) Percent
response as effective (Table 2). Informat-1--7mergency ecisions I
Procedure to Compute Evacuation Time (3) 8

Organization
Table 2: Effectiveness of Land Use and Emergency Response Procedure to Identify Evacuation
Planning Actions Taken by Other Governmental
Authorities (1) 3
Procedure for Contacting Power
and Te@ephone Companies for Repair
OverallResponse (Percent) Schedu es (3) 8
Planning Program Communication
public Address System (1) 3
2 3 4 5 Television (2) 5
Radio (2) 5
Citizens Band Radio (2) 5
-and Use Plans 4 8 29 28 31 PIES T.o-Way Radio (8) 21
Telephoning Residents (2) 5
Emergency Response Plans 15 15 34 25 11 Organized Citizen Contact .(2) 5
Findin
n = 42 PgiEquipment
r vate Contractors (3) 8
Other Local Jurisdictions (3) 8
Retail and Rental Dealerships (2) 5
State Agencies (3) 8
1. Scale range 1 - did 'not reduce hazards at all, to National Guard (3) 8
5 - greatly reduced hazards. Communities that Made One or More Cha.iges (131 34

Post-Disaster Innovation

Catastrophic events can trigger local
governments to more effectively deal with future
hazards. We wanted to know if Hurricane Alicia
triggered local innovation in the form of
modifying and adopting more vigorous land use and
emergency response measures to reduce future,
storm risks. The questionnaire contained a list
of .1and use and emergency response measures
communities can use to reduce risk posed by a
hurricane. Respondents were asked to identify
what measures were modified or adopted since
Hurricane Alicia made landfall. Tdble 4: Land Use Management Measures Modified or Adopted As
A Result of Hurricane Alicia
Table 3 indicates that 34 percent of the Measure (Frequency) Percent
respondents indicated that their communities
modified or adopted emergency response measures, Building Design
while Table 4 shows that only .16 percent Storin Resistant Building Standards (3) 8
indicated that their communities had modified or Flood Elevation Requirements (3) 8
adopted land use measures. Responding planners Land Use
reported more stringent flood elevation and storm Zoning - (0) 0
Special HdZard Zone Ordinance (0) 0
resistant standards as the most frequent type of Subdivision Regulations (1) 3
change in their communities' land use planning Plans
programs. Measures that usually require change Comprehensive Plan (2) 5
Storm Component of Comprehensive Plan (1) 3
in land use intensity patterns, such as zoning Recovery Plans and-Pol'icies - to) 0
and subdivision ordinances, plans, and land Land Acquisition
acquisition programs, were adopted or modified Land Acquisition for Open Space/Parks (1) 3
infrequently. There were no changes in public Relocation of Existing Development (0) 0
facility location programs, development Public Facilities Location
incentives and hazard disclosure requirements. Location of Public Facilities Outside
The most frequent changes in emergency response Huzard AredS (0) 0
Development Incentives
planning programs included widespread local Preferential Taxation for Open SpdCe -JSeS (0) 0
purchase of two-way radio communication systems Density Transfer from Hazdrdous Site '.o
to rapidly and accurately provide changing and Less Hazardous Site, (0) 0
detailed instructions to the public, maintaining Hazardous Disclosure
contractual agreements for debris removal Hazard Disclosure Requir .ements (0) 0
equipment with the.public and private sector, Communities tnat Made I or More Changes (6) 16
purchase of computer software and hardware to
compute hurricane evacuation times, and

Factors Associated with Local Recovery Efforts

TAle 5: Measure of Association, Dependent Variable:
To explore the relationships between Program Effectiveness Score
per ceived program effectiveness and community
characteristics, political acceptability and Independent variable ramina Coefficient
administrative feasibility measures this section
summarizes the results of bivariate analysis. We Emergencj Response and Use
examine four sets of measures or independent
variables which influence two' dependent Cofwunity Characteristics
variables: the effectiveness scores of land use Level of Da,,aje -.05 -.14
and emergency response planning. The four sets Number of Sta'ff .11 .08
Population Si-10 .25 .07
of independent variables include: community
characteristics, political and administrative Obstacles
obstacles, priority of storm hazards, and local Legal Restraints .14 -.11
innovation. Since our sample represents the Lack of Qvalifled Personnel -.19 -48
Lack on Interest By Public
entire population, tests of significance are Officials .20 -.26
inappropriate. Thus, Table 5 illustrates Opposition by Real Estate
Interests .27 -.30
independent variables and their associations with Opposition by industry .16 .08
Lack itizen Interest .14 -.12
the two dependent variables. Inadeq'fua'te Data .26 -.61
The strength of associations of community Priority .10 .47
characteristics differ between land use and Post-Disaster Innovation
Changes in Emergency
emergency response programs.. The greater the Response -.22 -.23
population and staf f size, the greater the Changes in Land Use -.22 -.18
perceived effectiveness of emergency response n= 42
planning. The level of damage to residential -
development has a weak negative association with
both planning programs.
SUMMARY AND CONCLUSIONS
Associations of political and administrative
obstacles differ considerably between land use Four conclusions can be drawn from our
and emergency response planning programs. survey results:
Emergency response planning is perceived to be a
more effective approach to reducing storm risk's 1) The most widespread problems encountered
as local political obstacles intensify. This is during recovery efforts were related to emergency
particularly true for lack of interest by public response, particularly debris removal and
officials and opposition by real estate restoration of electric power. Problems
interests. In contrast, with the exception of associated with land use planning, including
opposition to industry, the effectiveness of land reconstruction in high risk areas and poor
use planning decisions declines as political quality of reconstruction, were not generally
obstacles intensify. As obstacles to viewed as key problems faced by communities.
implementation become more serious, particularly These findings extend support for other research
inadequate data and qualified personnel, the which indicates that at the time of the disaster
effectiveness of both programs declines. These immediate and pressing problems generally are
implementation obstacles, however, show a strong given higher priority than reducing future risk
negative association with effectiveness of land through mitigation efforts (Rubin, 1985).
use planning, but a weak association with Mitigation issues during the lo .ng-term recovery
emergency response planning.. period must compete with everyday local issues
and are generally of lower priority on local
Table 5 also indicates that when communities political agendas as time since the disaster
place hurricane hazards high in priority on local event increases (Rossi et al, 1982).
political agendas the perceived effectiveness of
land use and emergency response planning 2) Not surprisingly land use planning was
increases. Land use planning, however, is more viewed as more effective than emergency response
strongly as-sociated with local priority than planning in reducing storm risks. This finding
emergency response planning. Finally, appears logical as the most effective means to
communities that have adopted changes in both reduce or eliminate risks is to prevent
types of planning programs following hurricane development in hazardous areas. Emergency
landfall are more likely to perceive their response actions are attempts to minimize
programs as less effective during the disaster population and property loss only after the
recovery process. disastrous event occurs.

3) Although land use planning was viewed as
more effective in reducing storm risks compared
to emergency response planning we conclude that
change in emergency response measures was more
politically acceptable and administratively
feasible for several reasons. First, survey
results showed that emergency response problems
were more salient compared to land use problems
during the recovery process. Communities tend to
give more attention to resolving problems of high

salience. Second, implementation of land use enacting 'land use regulations for long-term
planning measures, were more closely tied to mitigation will come if risk reduction objectives
availability of local resources than Eire. linked to furthering other community
implementation of emergency response measures. objectives, such as environmental protection,
Third, as local political obstacles intensif y open beaches and aesthetics.
enactment of more stringent land use controls
becomes more difficult and communities place more 3) Communities faced-with the possibility of
emphasis on improving emergency response planning a hurricane landfall on an unevacuated population
,programs. Additionally, the level of priority on should consider identifying structures that would
local political agendas has a stronger protect -residents from wind, surge, and wave
relationship with land use planning. effects. These facilities could ' be. used as
vertical shelters and would be safer than an
Our conclusion is supported by the fact that evacuee's own home or car. The vertical shelter
twice as many respondents indicated that their concept, however, requires further research to
communities modified or adopted emergency answer the many problems that have so far
response measures during the post-disaster hindered implementation. Studies are currently
recovery period compared to those communities underway to address such problems (Ruch, Stubbs,
that made changes in land use measures. Further, -Berke, and Miller, 1985 and"Tampa Bay Regional
of those communities that made changes to land Planning Council, 1985).
use. measures, the changes were generally
marginal, that is, building design revisions as
opposed to more drastic changes, such as *Research for this paper was funded by the
relocation of. development or reduction in National Oceanic and Atmospheric Administration
development density in hazardous areas. through the Texas A&M University Sea Grant
Program, NA-833AA-DOOO61.
4) Given the conclusions suggested above we
conclude that improved emergency response
measures and more hurricane resistant NOTES
construction requirements may lead local
officials and the general public to believe that 1. Alicia's coastal property damage was
communities can survive another major . storm exceeded only by that of Hurricane Frederic,'
without sustaining loss of life and major which came ashore near Mobile, Alabama in
damages. This impression can lead to less 1979.
support for long-term mitigation measures since
officials and the public believe that their 2. We sent questionnaires to 50 jurisdictions
communities are no longer in danger. A number of in November, 1984. A questionnaire was sent
communities with growing populations in the study to each planning director of the _19
area do not have evacuation route capacity to communities within the stud'y'airea that have
meet evacuation demand. The potential for a an urban planning agency and to each
severe hurricane making landfall on an emergency 'planning director of all 50
unevacuated population will continue to increase jurisdictions. (Under Texas law every
if long-term mitigation measures are not taken. county government and incorporated
municipality must have an emergency planner
and an emergency plan). Sixteen land use
RECOMMENDATIONS planners and 43 emergency planners returned
questionnaires. We compared responses of
We offer three principal recommendations: the land use and emergency planners within
the same jurisdiction. Additionally, we
1), More attention should be . paid to compared tne responses or emergency planners
mitigation through local land use planning in jurisdictions without land-use planners
programs. If reducing the potential loss of life to responses of land use and emergency
and extra-local disaster recovery expenditures is planners in the same jurisdictions. We
a goal, federal and state governments should play found no appreciable differences among the
a stronger role in providing incentives for three groups of planners in our comparative
communities to consider mitigation during the analysis. We subsequently used the
disaster recovery process. Incentives might responses of 26 emergency planners and 16
include federal funding when mitigation land use planners from 42 jurisdictions.
opportunities arise after a disaster. Since the Eight jurisdictions,* did not have a
cost of disaster recovery is shared by various respondent. We eliminated the responses of
levels of government and the private sector, so eight emergency planners so that the eight
should the cost of mitigation be considered.as a jurisdictions having responses from both
shared responsibility. In addition, states land use and emergency planners not be
should assist communities in overcoming political overrepresented in the results of our
pressures by requiring communities to enact land descriptive analysis.
use regulations. Such state action will be
largely ineffective, however, unless ample
implementation resources are made available by REFERENCES
states to communities.
National Research Council. 1984. Hurricane Alicia
2) Reducing storm risks is only one of many - Galveston and Houston, Texas. National
objectives that come into play durin.g local Academy Press,,Washington, DC.
recovery after a disaster. Greater success in

Rossi, P.H.,, J.D. Wrightj and E. Weber-Burdin.
1982. Natural Hazards and Public Choice:
The State and Local Politics of Hazard
Mitigation. Academic Press, New York.

Rubin, C. 1985. Community Recovery from a Major
Disaster. Institute of Behavioral Science,
University of Colorado, Boulder, Colorado.

Ruch, C. 1981. Hurricane Relocation Study for
Brazoria, Galveston, Harris and Chambers
Counties. Sea Grant Program, Texas A&M
University, College Station, Texas.

Ruch, C., N. Stubbs, P. Berke, and H.C. Miller.
.1985. Vertical Evacuation - Annual Report.
National Science Foundation, Washington, DC.

Tampa Bay Regional Planning Council. 1585. Tampa
Bay Hurricane Developmental Study. The
Council, St. Petersburg, Florida.

Post Disaster. Land Adjustments: Who Decides... For Whom?

Thomas Hirsch I
Department of Health and Social Services
Madison-Wisconsin

SOLDIERS".GROVE.1 supplanting the traditional and more easily
quantified monetary property damages due to
Located- in.- Southwestern Wisconsin'-s flooding. This makes comparison. of. different
"Driftless Area", the village of.Soldiers Grove types of flood control difficult and, moreover,
is a small, rural community which.grew up along introduces into flood plain management
the Kickapoo River and later, developed chronic qualitatively different planning considerations,
and serious economic and flood problems. At its techniques, and participants.
own. suggestion and under its own leadership
Soldiers Grove embarked upon a course of For nonstructural projects, evaluation
comprehensive community revitalization criteria include such diverse factors as the
highlighted by the relocation of its downtown to integrity of infrastructure, the vitality of the
high ground in new, energy efficient and solar- community@s economics, public health, soil
heated facilities. conservation, recreation, the quality of housing,
and wildlife habitats. While federal programs
While the Congress had authorized the Army may be narrowly focused on flood damage reduction
Corps of Engineers to build a set of levees at and the costs of emergency services, from a local
Soldiers Grove for local protection under the official's point of view many of the other
LaFarge Dam project,, the village initiated considerations are more a daily concern and
development and a nonstructural relocation considered first. To be workable, therefore,
alternative and requested that its plan be planning for flood control and flood damage
substituted for the levees. The federal reduction ' in nonstructural schemes must
government wouldn't agree. Following a.1% flood incorporate shared roles-among persons of diverse
in 1978i the.village refused traditional federal agencies and viewpoints.
disaster relief insisting that the relocation
plan be carried out. This time federal- funds
were-forthcoming. When You Do Something foK@People, Usually You're
Doing it To Them
Four flood plain management elements were
incorporated into the.community's revitalization The practice of community development
plan,:. 1) continued, eligibility for- flood necessitates a very different attitude among
insurance, 2) zoning which prohibited new flood planners than traditional public works planning.
susceptible development@i 3) floodproofing of the A far greater amount of communication is involved
flood fringe, essentially one residential which emphasizes translations of technical
neighborhood, and 4) evacuation of the floodway, information and lay attitudes and requires the
including village acquisition and. clearance of 47 sharing of resource allocation decisions by
parcels comprising virtually- all of the program managers with community members.
businesses, municipal buildings and some
residences, to be reused, as open recreation This decision sharing is necessary to avoid
space. first developing a plan typically impacting
drastically on people's ways of life and then
Prior to this project, the common wisdom had announcing it to them, with all the adverse
been. that economic development could not be reactions that the media delight in publicizing.
achieved without sacrificing the environment, or It is also necessary,to include the. affected
environmental protection without sacrificing people in the planning process because of the
economic growth. Soldiers Grove demonstrated increase in quality and relevance of the planning
that resource conservation practices' are solution which comes out of good community
economically stimulating and SUP9 ortive of sound. development practice. Communities and people are
community development practices. not homogeneous and it is arrogant for nonlocal
planners to assume they know all the factors and
interaction dynamics without intimately involving
ISSUES those affected by nonstructural projects in the
project designs. Planners need to be much more
How Do We Measure Success, in Dollars, Cubic expert in "process" and let local persons
Yards, or People's Lives? determine the plan's content; after all, who
lives with the results long afterwards?
Nonstructural projects put the primary
emphasis on people and their quality of living, The basic notion of community development

76-

practice involves a breakdown of "we versus them" From an archaic position next to the river
and a substitution of "u�" locally in the and in economic distress, the community has
resultant neighborhood, town, etc., and also in achieved nearly complete 1% flood protection,
the process of change that includes the planners, resolution of other serious threats to public
the resource managers, and the residents as a health and safety in housing and community
development team. All team participants are facilities, community redevelopment and economic
enriched and empowered in contrast to the stress revitalization, effectiveness of governance, wise
and burnout associated with traditional energy management and environmental enhancement.
nonparticipating (and frequently confrontive)
project development.
NOTES

Timing - When To Make Plans and When to Act 1. Mr. Hirsch is a registered architect, land
use planner, and community development
Carrying,out nonstructural programs in post- practitioner. He worked for the Village of
disaster circumstances is difficult enough Soldiers Grove, Wisconsin from 1975-1982.
without needing first to conceptualize and His correspondence address is DCS/LTS, P.O.
evaluate alternative recovery plans. The post Box 7851, Madison,.Wisconsin 53707.
disaster impulse is to restore and in the U.S.
until recently restoration was encouraged by the 2. Further detail on the Soldiers Grove
public disaster assistance. community revitalization program is
available in coordinated booklet and slide-
Pre-disaster planning is key to post- tape form, under the title "Come Rain, Come
disaster implementation. Then the time and calm Shine", from the Wisconsin Department of
setting is available to go through the group Natural Resources, Bureau of Water
process of settling differences, owning Regulation and Zoning, Madison, Wisconsin.
responsibilities, and marshalling resources to
bring about a creative planning process. As a
result there will be trust building among the
team members which will be valuable during
implementation when unplanned circumstances are
inevitably encountered.

In a post-disaster setting which has not had
prior planning, the diversity of local and
nonlocal interests, the shock, and the urgency of
action combine to make significant land use
changes unlikely.

CONCLUSIONS: THE INTRODUCTION RESTATED
(IN CASE YOU MISSED IT)

As community developers and floodplain
managers, at Soldiers Grove and elsewhere, we are
involved with revitalization, which means to put
life back into or to once again bring life out
of.

We are all creatures of habit; we live in
patterns. Our personal lives and our physical
communities reflect this. The patterns are not
static; as individuals we mature and grow old and
communities do so as well. Nor are the patterns
always healthy, and for many communities with
historical associations with rivers and lakes and
oceans, living and working in flood prone areas
is no longer an invigorating pattern but a life
threatening situation.

At Soldiers Grove it was recognized - in the
relative calm of economic distress but not yet
flood disaster - that individual and community
losses were inevitable but not unmanageable and
flood plain management became one more element in
a comprehensive plan of land use adjustment based
-on community revitalization. Put together over
two years by members of the community, university
extension personnel, professional consultants,
and szaff from state and federal agencies, a plan
was prepared and the community was ready to act
when the inevitable disaster occurred.

The 1976 Big Thompson Flood Recovery in Today's Colorado Qontext

Eve Grunt/est
Department of Geography
University of Colorado
Colorado Springs, Colorado
BACKGROUND ON THE BIG THOMPSON FLOOD The county also developed a plan to acquire
166 parcels at pre-flood values (a total of
On July 31, 1976, the Big Thompson Canyon $2,969,000 including relocation. and rehabili-
was filled with tourists. It was the Saturday of tation). Pursuant to this-plan, -a total of 123
the weekend commemorating Colorado's Centennial parcels were acquired on a voluntary basis at a
and the last holiday weekend before school began. cost of $2,200,000. However,-the buyout plan was
That night a flash flood ravaged the canyon,. only partially implemented since 9 people would
causing the worst natural disaster in terms of not sell. Many of the less seriously damaged
lives lost in Colorado state history. homes were rehabilitated at homeowner or public
expense. Some were floodproofed.. The roads and
The Big Thompson Canyon is one of the more bridges destroyed by the flood were rebuilt at a
scenic canyons in the Rocky Mountain region. public cost of $24 million (Kusler, 1982:272).
U.S. Route 34 runs through the canyon, adjacent
to the river in many spots. It is the main.link There were some drawbacks to the recovery.
between the plains near Loveland and Rocky Some can be accounted for by'the scale of the
Mountain Nationa '1 Park. Approximately 600 full disaster, some by the perception of the public
time residents, 1200 seasonal residents and 700 about the nature of the victims (they were
tourists were,taking advantage of the three-day perceived incorrectly as second home owners),
weekend commemorating the Centennial to enjoy the others by the fact that the brunt of the flood
beautiful canyon when the flood struck. Flooding damages occurred in unincorporated Larimer County
was..caused by a heavy rain, over 10 inches in and the political framework* necessary for
four hours, which fell over a 70 mile area in the pressing for-rapid recovery centered on the towns
central portion of the Big Thompson watershed at either end.of the canyon, Loveland and Estes
between 6:30 pm and 11:00 pm (Maddox et al, Park. Rebuilding the road appeared to have a
1977). higher priority than assisting individuals who
had lost their homes.
One hundred and forty-four people died in
the flood. The flood destroyed 316 houses, 45 In light of the fact that 11 people died in
mobile homes, and 52 business structures. their cars alone, signs were later placed in Big
Seventy-three additional residences suffered Thompson Canyon and other Front Range Canyons
,major damage, and hundreds more required advising motorists to get out of their cars and
extensive mud and silt clean UP. climb to safety in the event of a flash flood.

THE BIG THOMPSON RECOVERY PROCESS AND PROBLEMS BROADER IMPACTS OF THE FLOODING

No flood plain regulations were in effect in A variety of other measures were adopted in
the canyon prior to the flood. No maps had been Colorado, stimulated in part by the Big Thompson
prepared. The Big Thompson Canyon was not a high flooding and other flood events. In the past 10
priority for mapping by the National Flood years there have been,9 Presidentially declared
Insurance Program. After the flood, Larimer disasters due to flooding in Colorado.
County adopted a 6 month moratorium on Floodprone areas have been identified in 212
rebuilding, despite considerable local opposition cities and towns in-all 63 Colorado-counties. In
by canyon residents: , During the. 6 month 1985, Colorado adopted a new hazard mitigation
moratorium, maps were prepared. The state and plan to help address these problems. Boulder has
local government had some breathing room@ In a sophisticated warning system reported elsewhere
1977 the county adopted permanent regulations (Gruntfest, 1985). Similar efforts.are being
controlling development in the 100-year flood initiated in Westerrr.Colorado and in the Pikes
plain and limiting the reconstruction of Peak region.
structures damaged over 50% of their market value
before the flood. After flood plain ordinances Unfortunately, in Colorado and elsewhere
were passed and enforced, officials agree that flooding still prompts, @interjurisdictional
the moratorium met its goal of allowing time for discussion more than preparedness planning.- From
the completion of hydrological analysis. The the national and international perspectives, many
only criticism . concerned delays in recovery and reconstruction studies have been
decisionmaking. completed since 1976 (e.g., Haas, Kates and
Bowden, 1977; Geipel, 1982; Cuny, 1983; Rubin,

1985). The Big Thompson flood, while not causing Springs is recognized as a national 'histuric
direct impacts to other locations in Colorado, district.
has had peripheral impacts:
In developing a mitigation plan for Manitou
Estes Park Dambreak 1982. When a dam broke Springs the most effective and innovative plans
in Rocky Mountain National Park in July 1982 from around North America were examined. Flood
inundating downtown Estes Park, recovery and hazard mitigation strategies and funding
reconstruction were speedy and mitigation prospects for each option were reviewed, and
planning was integrated into the recovery recommendations for adoption and implementation
efforts. This was due, in part, to the in Manitou Springs were studied. Because public
experience of Larimer County with Big Thompson. awareness is essential, a slide tape presentation
One major difference between the Big Thompson and of the likely effects of a 100-year flood in
Estes Park recovery efforts was the prompt 15 day Manitou Springs was prepared and made available
report from FEMA which made specific for ongoing public education. Recommendations
recommendations as to how Estes Park could make included in the plan were:
the town less vulnerable to future flooding.
FEMA insisted on mitigation planning as a - Organize . a local emergency operations
condition of assistance. Losses were also rather plan@
small in comparison to Big7hompson. The city
looked forward rather than backward in its - Develop a warning system;
recovery and reconstruction efforts. One week
after the flood the visitor count had returned to - Educate the public;
pre-flood levels (Gruntfest, 1985:46).
No official building moratorium was ado pted. - Survey flood plain buildings;
Two unofficial ones were imposed on properties - Encourage floodproofing;
where acquisition pursuant to Section 1362 were
being considered. Individual property owners did - Promote flood insurance purchase;
not make any changes to their damaged properties.
- Lobby for an urban drainage district
One of FEMA's recommendations was that the basin-wide;
bridge construction be standardized. Standards
were set in less than one month. Now a trip - Initiate a memo of understanding
through town shows the standards were met, as all concerning historic buildings;
the bridges are identical (Callahan, 1985).
- Clear channels; and
Manitou Springs. Due in part to a broadened
awareness of flash flood problems, Manitou - Form a council to implement recommen-
Springs, Colorado is now developing a mitigation dations.
pla.n in preparation for flash flooding
(Gruntfest, 1985). This innovative process of With the plan Manitou Springs is attempting to
pre-flood/post-flood planning, the Manitou iron out problems before a disastrous flood
Springs Flood Hazard Mitigation project, was occurs. Efforts are not without controversy or
funded by the Federal Emergency Management Agency resistance but with a good deal of commercial
in early 1985. support. The notion of win/win prevails. The
town leaders perceive benefits in being prepared.
Manitou Springs is located at the base of
Pikes Peak, immediately west of Colorado Springs.
The year-round population is about 4500 people. WHAT HAS BEEN LEARNED SINCE THE BIG THOMPSON
During the summer thousands of tourists stay in FLOOD?
and around the town.
If the Big Thompson flood were to occur
Land use in the town is constrained by today, the response in the canyon would reduce
geography. The town is loca -ted along several loss of life and property damage. A warning
streams. Most of the remainder of the town sits system has been implemented. Local emergency
on steep slopes above the flood plain. There is preparedness officials anticipate that motel
little land available for development that is not owners and campgrounds would take responsibility
subject to either flooding or slope problems. for warning their clients. There would be
Consequently, downtown-Manitou Springs is built enthusiasm and more confidence about buyout
along the streams, and the flood plain is almost possibilities. The community is better informed
totally developed. There are 850 buildings about the prospects of flooding. Fewer bridges
located in the main historic district and more now exist to catch debris.
than 150 of these are in the flood plain. Shops,
hotels, homes, and restaurants sit astride or are If the flood occurred elsewhere in Colorado,
built partially in the floodway. mitigation measures taken in advance and
The community has had limited experience recommended immediately following the disaster
would also have positive results in terms of
with flooding in recent memory although serious reduced loss of life and prospects for reduced
floods have occurred in the past 75 years. long term vulnerability to flooding.
Manitou Springs participates in the National
Flood Insurance Program but only 32 policies have A Symposium to assess what has been learned
been purchased. A lar.-e portion of Manitou since the Big Thompson flood was held July 17-19,

1986, in Boulder, Colorado. The goals of that ACKNOWLEDGEMLNTS
Symposium were to outline research and policy
needs based on accomplishments, new questions, The author thanks Rex Burns, Bill Callahan,
new technology, changes in hazard vulnerability Caro .le Huber, Tom Huber, Robert Jones, 3erome
and experiences elsewhere. One of the major Olson, Pamela.Rivers, Bill Stanton, Ken Wright,
topics for discussion at the Symposium was the National Oceanic and Atmospheric
whether the flash flood vulnerability in the Big Administration Environmental Research Laboratory
Thompson canyon and the nation has increased or and the Natural Hazards Research and Applications
decreased overall. since 1976. Also, the Information Center for their assistance.
Symposium carefully examined the long term
ramifications of the disaster as an "opportunity"
for improving overall mitigation.

REFERENCES

Callahan, B. Personal Communication. "Federal
Emergency Management Agency, Denver,
Colorado.

Colorado Water Conservation Board. 1985. 'Flood
Hazard Mitigation Plan for Colorado.
Department of Natural Resources in
Cooperation. with the,Division of -Disaster.
Emergency Services.

Cressman, G.P. 1978. Flash flood warnings
Federal plus local action. Natural ;Hazards
'Observer, Vol 3, September.

Cuny, F.C. 1982,. Disaster and Reconstruction, The
Fruili (Italy) Earthquake of 1976i George
Unwin, London.

Gruntfest, E. 1977. What People Did During the
Big Thompson Flood. Natural Hazards Working
Paper #32, Institute of Behavioral Science,
University of Colorado, Boulder.

Gruntfest, E. 1985. Manitou Springs.Flood Hazard
Mitigation Plan. Center for Community
Development and.Design. Colorado Springs,
Colorado.

Haas, J.E., R.F. Kates, and M. Bowden (Eds.).-
1977. Reconstruction Following Disaster..
MIT Press, Cambridge, Massachusetts.

Kusler, J. 1982. Regulation of Flood Hazard Areas
to Reduce Flood Losses, Vol 3. U.S. -Water
Resources Council, Washington, DC.

Maddox, R.A., F. Caracena, and C.F. Chappell.
1977. Meteorological Aspects. of the Big
Thompson Flash Flood of 31 July, 1976.
Program for Regional Observing and
@Forecasting Services (PROFS), Boulder,
Colorado.

Rubin, C. 1985. Community Recovery from a Major
Disaster. Natural Hazard Monograph, No-.-41.
Institute of Behavioral.Science, University
of Colorado, Boulder.

A Scenario for a Hypothetical 100-Year Flood for Manitou Springs,
Colorado

Eve Grunttest, M. Kelly Todd, and Carol Phelan
Department of Geography
University of Colorado
Colorado Springs, Colorado
INTRODUCTION At 3:30 pm the sky has,blackened and rain is
beginning to fall in the mountains.
Scenarios are effective devices for
increasing. awareness and educating decision- By 4:30 pm the storm has unleashed its fury
makers of the possible consequences of a over the Fountain and Ruxton Creek drainage
disaster. They should not be viewed as forecasts basins. The heavy rain causes many picnickers
of the future. The following scenario of a and campers in higher elevations to seek shelter
hypothetical 100-year flood with and without or head for home.
prior mitigation was prepared to help decision
makers in developing a flood mitigation plan for Only light rain is falling in the lower
Manitou Springs. elevations, causing little concern.
Public awareness and public education are By 4:45 pm the National Weather Service
needed in order for the residents of Manitou issues a general flash flood watch for El Paso
Springs to, have a realistic perception of the County. The watch is transmitted by local radio
hazards which face them. Local authorities and television stations about fifteen minutes
should implement a modest education program later:
concerning the flash flood potential.
"The National Weather Service has issued a
The scenario has three interrelated flash flood watch for valleys and low-lying
objectives: first, to simulate the magnitude, areas of El Paso County until 7:00 pm."
characteristics, and distribution of human
casualties, structural damage, and disruption of
social systems likely to occur in Manitou Springs Motorists traveling on Ute Pass are having
during a 100-year flash flood at its current difficulty keeping control of their vehicles
level of preparedness; second to show the during the steady downpour. One car is washed
capacity of existing emergency procedures for off the highway.
reducing the flood's impact; and third, to give
examples of possible flood mitigation techniques By 5:00 pm the thunderstorm has intensified
that would heighten awareness, reduce stress, and and shows no sign of moving out of the area. The
reduce damage potential to the city's social town of Cascade reports three inches of rain in
system (Erickson, 1975:75). the last half-hour. Flooding is beginning to
The loss of life and property from floods occur on the east side of Manitou Springs.
has become the number one natural hazard At 5:25 pm, the National Weather Service
nationwide in recent years. In Colorado alone sends out a flash flood warning:
275 communities are subject to flooding. This
represents approximately 150,000 people now "The National Weather Service has issued a
living in Colorado's flood plains. flash flood warning effective until 10:00 pm
for persons in Teller, El Paso, and Freemont
It has been nearly twenty years since a Counties in Colorado. Heavy rain was
devastating flood has been witnessed in the Pikes indicated by radar to be moving into these
Peak Region. We cannot predict whether the next counties at 5:10 pm. Woodland Park in
.flash flood will strike today., this year, or Teller County reported two inches in thirty
years from now - we only know that it will, in minutes."
fact, occur.
The police department sends two patrol cars
out to warn people to the south of Fountain Creek
SCENARIO WITHOUT MITIGATION of the threatening flood. No officers are sent
to the opposite side of the creek because of the
The day of the scenario is typical for the life threatening situ ation (Greenham, 1985).
Colorado Front Range. The weather forecast calls
for a chance of afternoon thunderstorms. An The sky over Manitou Springs has become
accumulation of thunderheads over Manitou Springs black, interrupted only by flashes of lightning.
and tie entire Pikes Peak Region is not cause for The intense rainfall is causing numerous rock and
alarm to the residents and tourists of Manitou mud slides along the canyon walls and highway,
Springs on this warm, summer afternoon. trapping people trying to escape by car.

Flooding has already cut off the upper junction length of time collecting valuables-and pets.
of Highway 24 and Manitou Avenue. Several cars
are floating along the road in low-lying areas. "I was taking pictures for the local
paper when I noticed a woman with one
Many residents and business owners, however, arm wrapped around a post and the other
continue to discount the warning, feeling secure around her dog. She was lucky she was
within their own walls. This instills a false so near the bank or I could never have
sense of security in their guests and customers. pulled her out. The strength of the
stream was overwhelming."
One resident of the Fountain Creek Adult
Apartments - which borders the north bank@ of A mother and her three children try to
Fountain Creek seems unconcerned: escape from their drifting car when a giant wave
sweeps the car and the three children away. All
"I've lived in.this apartment for four years three children are killed (Gazette Telegraph,
and have never seen that water -rise more 7/25/65).
than two feet. It's (the creek) not a
threat to my property;" In most areas the creek is cresting at least
nine feet above the stream-bank-(U,.S. Army Corps
By 5:45 pm all residents of the Fountain of Engineers, 1984a). Side canyons , and
Creek Apartments must be evacuated to the Manitou tributaries are flooding -- the powerful water is
Springs High School. destroying cars, bridges, homes, and any other.
obstacle that gets in its path.
The first crashing wave of flood water hits
..Manitou Springs, at the upper reach of Ruxton' Older structures located -along and over
Creek. Because the channel @is lined with Fountain Creek suffer the most damage as the
concrete in its upper stretch, its flow is flood reaches its peak. The numerous businesses
restricted and its velocity is increased. and tourist shops that lie parallel to the :creek
and to Manitou Avenue are demolished as the creek
The portion .,of the channel that flows roars past, engulfing them. Video and pinball
beneath the Iron Springs Chateau -Melodrama is machines from Arcade Amusements are left in a.
unable to retain the flow, sending a six foot chaotic mass of debris, leaving the proposed
surge of water through the main dining room: Manitou Mall area devastated.
"We could hear the rushing water but were The historic Episcopal c 'hurch is inundated
advised not to drive out. All of a sudden and all its contents destroyed.
the wall gave way and the river went right
through the dining room; people and tables, The Manitou Springs fire and@ police
were thrown into a heap on the other side; departments face further difficulties as@ a
there was nothing we could do to help them." crushing force of water knocks down the support
beams for City Hall, causing the back half of the
Seventeen lives are lost. building to collapse into Fountain -Creek.
Luckily, the building had been evacuated because
Power shortages become numerous as lines are of its location to the creek.
torn down.
Another victim is claimed on Ruxton Avenue
Numerous -bridges cause damming with sudden as he and his sister try to escape'their home.
surges of water as they eventually give way. "We heard the water and eventually rocks and
Cars, animals, and other debris -fill the
advancing waters. boulders hitting the side of the house. We
saw that the creek and road were now one
A crashing wall of water hits the western huge river and tried to get out and climb
reach of Fountain Creek just upstream from town. the bluff behind us. My brother was trapped
Three motels are inundated as Fountain Creek between the outside wall and a giant wave of
rushes beneath and through their structures. water ... and then I couldn't even. see him
Some tenants escape by climbing the hill behind anymore." (Gazette Telegraph, 6/20/65).
the motels. Nineteen others are swept to their
deaths. Gas and electric lines are destroyed causing
power outages and small explosions'. Sanitary
By 6:00 pm an official evacuation program sewage lines fill with pressure, blowing manhole
.has begun. Because the city has no pre-planned covers and spewing raw sewage into the
routes to safety, the project is chaotic and floodwaters. The hazard of disease now adds its
inefficient. Colorado Springs' officials are threat to the city.
having difficulty entering Manitou Springs due to
the severe flooding. Flood water in 'the Some cottages and motels found along the
overbanks is exceeding ten feet in depth and flow lowland flood plain are washed away; others are
velocities are now exceeding fifteen feet per dislocated.
second. The next few days are spent recovering
Confusion over warnings and evacuation bodies and providing shelter and -food to the
procedures are overloading the few telephone homeless. Victims are difficult to identify as
lines not down. Some people are still unaware of their bodies were badly mutilated by the river
the flood's speed and strength, spending a fatal and identification and cl othing were stripped off

by the powerful flow. Cars were totalled and Thus, any major damage of utility lines does not
washed miles downstream. Mud and debris fill the cause a threat to the community.
entire Manitou Springs area.
The partial greenbelt running alongside
Ninety-seven people were known to die in Fountain Creek provides an open area for swelling
Manitou Springs and many others are still streams to flow. Although the, greenbelt also
missing. Few are injured; there are only serves to beautify the Manitou Springs area, its
survivors or non-survivors. No one drowns in most beneficial purpose is served today.
such a disaster but rather is killed by the
powerful blows of.water and debris. Structural Signs indicating evacuation routes are
damages within the city are in the multi-millions located throughout the city, directing people to
and clean-up costs will further escalate the head for safety by foot rather than car - a far
total (U.S. Army Corps of Engineers, 1985). safer alternative.

Prior to the flood season, Manitou Springs
POST-MITIGATION SCENARIO Police Department developed a list noting the
addresses of all elderly and hw@d_icapped persons
It is a typical summer afternoon on the living in the city so that they can be aided
front range. Manitou Springs is experiencing the during the evacuation.
characteristic afternoon showers that show no
hint of escalating into a torrential flash flood. Manitou's effective pre-hazard policies for
flash flood situations save this city and its
By 4:00 pm the recently implemented citizens.
satellite warning system notifies city officials
that a massive thunderhead is nearing Manitou
Springs.

At 5:15 pm the alarm sounds, notifying the
residents and tourists of Manitou Springs that a
flash flood will, in fact, hit the city in
approximately seventeen minutes.

The workshops attended by business owners,
city officials, and residents prior to flood
season prove beneficial in educating these people
to take prompt, positive action to the flood
event. Evacuation routes were pre-planned and
practiced so few residents hesitate in moving to
higher ground.

There is little chaos except for the
excitement of the flood itself.

Monthly debris clean-up of the channels cut
back on back-water damming, although numerous
footbridges still hamper the stream flow.
Residents on both sides of Fountain Creek are
notified, either by the flood alarms themselves
or by radio, to evacuate. Most respond to the
reliable warning system -- knowing it is only
sounded in the event of a severe flash flood.
The heightened awareness of the community makes
all citizens more confident about their ability
to respond to the warning.

Although saving lives is the primary benefit
from the flash flood warning system, some
property damage is prevented through emergency
floodproofing.

City Hall, the Fir e Department, and the
Police Department have been relocated out of the
floodplain as part of the Manitou SP ings, Flood
Hazard Mitigation Plan. These buildings now
serve as the central network for all
communication and emergency activities.

Personnel at the utilities and water
departments are notified so that power and gas
lines can be shut off. They are also informed of
possible pressure increases in the sewage lines.

THE ROLE OF THE PRIVATE SECTOR

Governments provide. much of the immediate if structures are damaged more than '-50% of
rescue and relief after a disaster but occu- their value.
pants of areas, builders and subdividers,
banks, and private relief organizations make This chapter includes -two papers. The
most of the ultimate land reuse decisions in brief treatment afforded this topic does not
both developed And - developing countries. reflect its importance. But, only a portion of
Government influence quickly wanes except-for those presenting. papers at the symposium
infrastructure and some financing. submitted papers.

The need to encourage private sector self- The first by Roy Popkin identifies private
help has been broadly recommended by research- sector opportunities for mitigation and stres-
ers and the negative impacts of some types of sea the importance of careful involvement of
relief on such self-help has been criticized the private sector in relief and preparedness.
(e.g., the affect of excess supply of food on The. second by David Godschalk examines the-use
local food production). Nevertheless, conscious. of "negotiated land development" to achieve
and 'well thought out government policies to hazard mitigation. With negotiated development
maximize private "self-help" are rare. Some private and public sectors bargain over speci:-
progi7ess has been made in encouraging private fic land policy. Negotiated development-is
mitigation by conditioning disaster assistance both an educational-and decision-making process
and, in the U.:S.-,@by requiring rebuilding con- which has considerable. potential for hazard
sistent with -federal flood insurance standards mitigation.

Facilitating. Mitigation Through Housing and Other Emergency Services
in the U.S. Provided by the Private Sector

Roy Popkin
Popkin Associates Consultants
Silver Springs, Maryland

INTRODUCTION This represents a considerable departure
from time-honored policies based on the concept
The question of whether the emergency relief that a community's plan for rebuilding was
activities and recovery assistance provided by usually restoration of the status quo insofar as
the private sector.provides opportunities for possible. SBA loan'regulations are another area
hazard mitigation is a thorny one. The private in which government policies can get in the @way
sector activities seem to offer both incentives of private sector support for relocation, for the
and disincentives and, paradoxically, they may Agency requires fifty percent or more damage 'to a
both be part of the same package. home before it will lend money for relocation.
That puts two parts of the private sector -- the
First, what is the "private sector?" victim and the relief agency -- between a rock
Generally it has been thought of as the non- and a hard place and leaves the hazard mitigation
governmental relief agencies, but in actuality it relocation advocate there along with them.
is much broader. To look at the question of
hazard mitigation facilitation intelligently, one The insurance industry, with quick payoffs,
has to recognize that the private sector is many can inundate an area with ready cash that becomes
sectors: the relief agencies, of course, the another pressure on victims to rebuild as fast as
insurance industry, financial institutions, they can, especially since they can afford to.
developers, and the disaster victims themselves. The insurance adjusters, obviously, want to
Each has a stake in hazard mitigation, although settle quickly to keep their costs down. And, of
it may be a negative stake. course, banks want some kind of rapid solution to
the mortgage-holder's problem because they expect
Historically, assistance to disaster victims him to go right on paying his monthly payments
from the voluntary and private sector has worked even if he doesn't have a house left. The stake
against mitigation as relief agencies tended to of developers in restoration of areas in which
provide both temporary housing and permanent they hope to build is obvious.
homes (through help with repair or replacement of
damaged houses) at the original homesite or as
close as possible. Even emergency government, POTENTIALS FOR MITIGATION
efforts such as bringing in numbers of mobile
homes usually placed the victims in hazard areas That, in brief, is the downside. Properly
(where else could you find flat land after most educated in the potentials for hazard mitigation
floods, especially in mountainous areas?), and -- which means knowing what the hazards are
then those temporary locations tended to become beforehand -- the private sector can be a strong
permanent. factor in fostering a hazard mitigation mentality
at the community level. The actof preparing for
Because every effort is made to expedite the an emergency response is opportunity number one..
assistance-giving process, there has been until The kind of hurricane evacuation planning that
recently little regard for the hazard mitigation goes on in Florida, Texas, Alabama, Louisiana,
potential of a given situation. The two major the Carolinas, and Virginia is a case in point.
non-governmental sources of such help are the First, it identifies the hazard areas in a rather
voluntary agencies like the Red Cross and the public way. Then it identifies public shelter
insurance companies. It was not until the advent facilities which, in turn, now requires in some
of the flood insurance program, with its Section states engineering checks of proposed shelters.
1362 floodplain relocation program that the So, secondly, the need for retrofitting buildings
voluntary agencies began assisting families to to make them storm resistant, or the very fact of
relocate in any appreciable numbers. At Times their vulnerability, is another dent in the
Beach, for example, the Red Cross took the view consciousness of the public and community
that families would be assisted in remaining in leaders. Such emergency preparedness - whether
the area only if some governmental agency granted it be in relation to coastal storms, adjacency to
them a building permit. This was a backhanded rivers or earthquake faults, or related to the
way of saying help would be available only for site of a nuclear power plant - can be used as an
relocation. But such -help has also ' been instrument of hazard mitigation sensitizing.
forthcoming at Lake Elsinore, in Tulsa, and other
places where relocation became, by necessity, But success depends upon the insurers, the
official government policy. relief agencies, and the other private sector
components being kept in the picture from
information and planning perspectives so that

when a disaster provides the opportunistic moment Unfortunately, the name.of the relocation
(especially in terms of the availability of game is, "you can't go home again", and this runs
government funds) and the FEMA hazard mitigation up against the centuries-old tradition of "home".
team makes its formal recommendations, the mind- Every time there is a major disaster, TV shows us
set, and perhaps even enabling legislation and the elderly couple saying, 11we've lost:
potential funding are in place, ready for the everything"., or the young couple, or the middle-
necessary moves. aged couple saying the same thing. And behind
them on camera is a damaged or devastated house.
Publications on flood plain planning show No one says that the house shouldn't have been
more than 30 communities have already built there in the first place; no victim curses, the
acquisition and relocation into their flood person who sold him the house in the first place;
hazard mitigation planning. There is at least an no one calls for the scalp of the public official
even chance that future efforts along these lines who signed the building permit.
might succeed, especially if the informational
and sensitizing aspects are built into disaster This means that even though disasters, per
planning, insurance ratings, urban renewal and se, offer opportunities for post-disaster
other developmental plans, and if the mitigation tied to relief and rehousing, the
consciousness of,-citizens' associations that seeds have to...be- sown.. beforehand@- When a
become the Horatios defending the bridge against community goes ;throuRh its emergency planninR
mitigation can be pre-recruited on the side of process, it needs to put developers and bankers
.whatever kind of mitigation methods are needed. and insurance company people on. the planning
committees, and conduct the committee meetings in
The voluntary relief agencies can play public view. Interestingly, when Dr. Dennis
another important role,because they represent a Miletti (now at Colorado State), Dr. Eugene Haas,.
tremendous -constituency. The Red Cross, for and others were involved in a research effort
example, has over two million active volunteers; about the socio-economic aspects of earthquake
some of. the.religious groups are considerably prediction, the study's advisory committee,
larger. What's more, they own and operate tens composed of representatives of the relief agency,
of' thousands of buildings, many of them 'in banking, construction, and academic communities,
hazardous areas. A Red Cross team making a movie fed a lot of the findings back into their systems
about the New Madrid fault found that in even before the study was completed. But to
Tiptonville, Tennessee, every church, school, or accomplish this kind of result on a community
other building that might :be used in an level, with-hazard mitigation in mind, requires
earthquake relief operation was constructed of careful strategizing by the community leadership
unreinforced brick and masonry. All of 'them and by planners and emergency services agencies.
would collapse or be severely damaged if the New And in such strategizing, the private sector can
Madrid earthquake reccurred. play an important role, especially since most of
the kinds of private sector groups that might be
The private sector, then, can act as involved are generally seen as conservative and
bellwethers by publicly-espousing the cause of hence could not be shrugged off as radicals.
retrofitting, by building new structures in safe
locations, by incorporating the latest state-of-
the-art codes and methods, and by providing to CONCLUSIONS
people living in hazardous areas a steady flow of Summing up, the relief planning process can
information and counselling that will prepare
them for relocation if and when the question be used to promote hazard mitigation even if the
becomes a matter of.public policy. act of emergency relief itself, based on rapid
meeting of humans needs, might seem to work
Strengthening the roles of private relief against mitigation. If.the relief-agencies know
agencies will 'not necessarily be easy. . The in advance that the second phase - restoration
voluntary agencies get their funding from public and rehousing - will depend on mitigation
contributions. Heavy contributors have real decisions, they can plan for that and adjust
estate, financial and other interests that may their long-range plans. Private voluntary
oppose a hazard mitigation approach, especially agencies can also act as bellwethers, using.their
own buildings and building plans as examples of
.in communities where the tax base is fragile and mitigation in action. Insurance agencies should
there is no place within the community to be urged to factor mitigation activities into
relocate dozens or hundreds of homes. In some their rate and-.claims..payment,- structures- and
communities, the private- agencies will be
processes. Banks, too, could require mitigation
pressured to stay out of such controversies, and steps as a condition of a loan, or even as a
in many circumstances probably will. basis for deferring payments in a post-disaster
Nevertheless, it should be remembered that the context.
University of Massachusetts study of what
influentials felt about various natural hazards-
related,problems found that the Red Cross, civil There are many private sector opportunities
defense and insurance agents as a bloc supported for fostering hazard mitigation in disaster
hazard mitigation and were concerned about hazard preparedness and relief, but they will have to be
issues. Add to this the past activities in this 'developed carefully, and almost community by
arena by 'groups such as the League of Women community. INevertheless, the private sector
Voters, the Sierra Club and other should - must - be included in the hazard
environmentalists, the Nature Conservancy, and mitigation planning and implementation process.
the academic community, and there is a potential
foundation on which to build..

Negotiated Land Development and Hazard Mitigation

David R. Godschalk
Department of City and Regional Planning
University of North Carolina
Chapel Hill, North Carolina
INTRODUCTION "Silicon Valley" area of California, has
placed new demands on public facilities
An emerging growth management approach is originally designed for low density
11negotiated development", where the public and residential areas.
private sectors bargain over case-specific land
use policy with each agreeing to do something Mixed-use development, combining office,
with and for the other in the context of a commercial, and. residential uses, has
specific development (Kirlin, 1985). Exploration shown, the need for flexible standards
of the potential of this new approach for hazard that allow creativity in design and site
mitigation is the purpose of this paper. planning in order to realize the
potential of specific land parcels and
environmental configurations.
THE RISE OF NEGOTIATED LAND DEVELOPMENT
Increased complexity, delays, and
The traditional model of development uncertainty in development permit
regulation is based on rule application. Under processes based on rule application,
this model, a developer proposes a project plan including a rash of costly and time-
to a local government, which judges its consuming legal challenges, have led to a
acceptability according to the degree of its search for more reliable and certain ways
conformity to existing policies, plans, and of reaching agreements between
development regulations. The government acts governments and developers over
first at the policy and plan levels to establish acceptable projects.
comprehensive rules and standards under its
police powers. Then individual developers act at
the -project level to request approval of their Negotiating development is a different task
proposals under these rules and standards. than applying rules. It raises important issues
of accountability, equity, finance, and law.
Negotiated development is increasingly used Despite these issues, negotiation is increasingly
as a supplement to the traditional rule used by local governments to accomplish
application model. In negotiated development, objectives not easily achieved under traditional
the rules and standards are drawn to leave room development regulations:
for and to encourage bargaining over the
specifics of projects. Rather than sequential Development Agreements have been used in
and separate public and private planning, the California to overcome fiscal limitations
government and the developer act together to plan and vesting provisions that threatened to
and agree on conditions for individual project block desirable development projects
design and construction, within general policy (Kirlin and Kirlin, 1982).
and plan guidelines. In some, but not all,
cases, the projects may even be jointly developed Linkage requirements have been enacted in
under various forms of public-private Boston, San Francisco, and Santa Monica
partnerships, such as Urban Development Action to mitigate the impacts of office and
Grants (Freilich, 1985). commercial development through provisions
for related housing and employment
The rationale for negotiated development is actions.
,based upon several features of contemporarv
growth and governance: Conditional zoning has been used in North
Carolina, Illinois, Maryland, and other
- Fiscal constraints on the public sector, states to overcome the uncertainty as to
such as Proposition 13 in California and which of many permitted uses will occur
Proposition 2 1/2 in Massachusetts, have under standard zoning designations.
limited the ability of governments to pay
for the infrastructure needed to support Conditional development permits have been
new development projects. used in Florida and elsewhere in order to
- Suburban employment center growth, such ensure the . protection of fragile
environments, such as wetlands, from
as that in the high-tech corridors of proposed development.
Fairfax County, Virginia, and the

APPLYING NEGOTIATION TO HAZARD MITIGATION 2) Development of model hazard linkage
My proposed application of negotiated land ordinances and enabling legislation to
establish the legitimacy of negotiated
development to hazard mitigation relies upon the development agreements based on hazard
concept of linkage between increased development mitigation as a public purpose.
and increased mitigation needs, and upon the
technique of a hazard overlay district in which 3) Conduct of monitored demonstration
development approval is conditioned upon an projects to explore the feasibility of
approved mitigation agreement. negotiated mitigation agreements.
If the concept of development/mitigation
linkage is accepted, then technical analyses can Since negotiated development has proven
delineate the cross impacts. Just as the housing itself as an idea "whose time has come", there is
needs linked to 'new office construction and the no reason why mitigation should not take
transportation needs linked to new residential advantage-of the benefits which it offers.
construction can be. calculated, so can we
calculate the hazard protection needs linked to
new development in hazard areas.. For example, in REFERENCES
coastal flood hazard areas, new development -
requires increased evacuation capacityi warning
capacity, disaster,relief capacity, and recovery Freilich, R.H. 1985. Public/private partnerships
capacity. Future . mitigation''costs can be in large-scale development projects. -In
estimated. from historical datai adjusted..for Levitt and Kirlin (Eds.)p Managing
inflation. Development Through, Public/Private
Negotiations. The Urban Land Institute,
Hazard overlay.districts can be applied over Washington, DC.
existing zoning and other regulations to identify
the locations where mitigation agreements must be Kirlin, J.J. 1985. The bargaining process: Trends
negotiated in order to proceed with. development. and issues. In Levitt and Kirlin (Eds.),
The boundaries of these districts would - be Managing,Development Through Public/Private
defined through hazard analysis. For example,,in Negotiations. The Urban Land Institute,
the coastal area, the hazard overlay district Washington, DC.
might be based on the location of Velocity Zone Kirlin, ' J.J. and A.M. Kirlin. 1982. Public
(as mapped under the Federal flood insurance
program) combined with areas subject to high Choices - Private Res6u'rces: Financing
erosion (such as North Carolina's Ocean -Erodible Capital Infrastructure for California'.s,
Areas of Environmental Concern). Growth Through Public/Private Bargaining..
California Tax Foundation, Sacramento,
Hazard mitigation agreements could take a California.
variety of forms. In the. simplest version,
conditions imposed on new development could,
involve monetary contributions,to a revolving
mitigation fund which would be used by the
government to meet various hazard reduction
needs. Another form might entail actions, on-
site and/or off-site, by- the developer to
mitigate future risks. For .-example, . the
developer might agree.to add another travel lane
to -an evacuation route or bridge, to move a
coastal access road back from the shore, to
concentrate project densities in the least
vulnerable areas of the site, or to plan,building
lots at-twice normal depths to allow structures
to, be. moved back from encroaching hazards.
Special conditions could be negotiated for post-
disaster reconstruction,. including. open, space
dedication in destroyed areas.

RECOMMENDATIONS

The emerging practice of supplementing
traditional development regulation tools with
negotiated development offers considerable
promise for hazard mitigation. To bring this new
technique on line, I recommend:

1) Funding by Sea Grant, FEKA, NSF, and
other agencies of linkage studies for
various types of hazards, to demonstrate
the mitigation needs of development.
@within hazard areas.

POST DISASTER MITIGATION SURVEYS

Hazard and damage data are needed to for- Several types of hazard and damage-related
mulate mitigation options. Can or should par- data are needed to determine mitigation needs
ticular structures be repaired or can it be and options in a disaster context: identifi-
razed and rebuilt? Is relocation practical? cation of the hazard area, relatively precise
Might various hazard reduction measures be used assessment of the severity of the hazard (e.g.,
in particular ways? flood heights, velocities, duration) within the
@area, and assessment of the severity of damage
This chapter contains three papers addres- to individual structures and infrastrucutre,
sing post disaster data-gathering and the for- crops, and other activities with the hazard
mulation of mitigation options. The first, by area.
James Mitchell describes the National Academy
of Sciences/National Research Council post Generation of this data is often diffi-
disaster surveys and their application for cult. It requires considerable hydrologic and
mitigation purposes. engineering expertise and must be generated at
a time when government staff are busy with
The second, third and fourth by Laurence relief.
Zensinger, Leo Eisel, and Les Bond examine
federal, post-flood disaster teams in the U.S. Much of this data must be gathered quickly
Such a post-disaster team, which operate with a since recovery operations often obliberate much
specific mitigation mandate and within a short of the relevant evidence. The data must be
time period, have operated with considerable relatively precise. For example, a general
success (despite some shortcomings) and offer a analysis of flooding after a disaster is of
model for post-disaster assessment for other limited value in determining specific protec-
hazards in the U.S. and in other developing and tion elevations, special reinforcement needs
developed nation contexts. for high velocities, special piling require-
ments for erosion, etc.

National Academy of Sciences/National Research Council Post- Disaster
Surveys: Their Applicability for Mitigation Purposes

James K. Mitchell
Department of Geography
School of Urban and Regional Policy
Rutgers University
New Brunswick, Now Jersey
INTRODUCTION- conduct the most systematic, comprehensive, and
authoritative post-disaster surveys.
For the past twenty years the Committee on
Natural Disasters and its predecessors have The Committee is administered by a small
organized study teams that conduct post-disaster permanent staff, but its fifteen members are
surveys in'the 'United States and abroad. These unpaid professionals.from various disciplines,
investigations are primarily intended to secure each of whom serves a three-year'term.'The study
so-called "per.ishable.data" about extreme natural teams that carry out the post-disaster surveys
processes and the performance of technological are also made up of highly qualified but unpaid
and human systems. They are generally initiated volunteers who donate their time and professional
within one week of a disaster occurrence, while. expertise. The Committee's development and
material evidence is still available and pers 'onal operation have been reported elsewhere and only a
recollections of the event and its aftermath are brief review is necessary here (Kennedy and
fresh in mind. Results..of the surveys are Israelsen, 1984).
published in a series of committee reports that
are distributed. to researchers, disaster
professionals, and public agencies in at least 38 EVOLUTION AND STATUS
nations. This paper describes the Committee's
.work and assesses the utility of its surveys for The National Research Council has a long-
improving hazard mitigation policies , and standing interest in the subject of disasters.
practices. For example, studies of the impact of -strategic
bombing on ci'vilian populations. were initiated
COMMITTEE ON NATURAL DISASTERS ACTIVITIES during World War II and have led to the creation
of several committees focusing on problems of
disaster relief (National Research Council,
At the outset is should be noted that the 1979). A separate, more technical initiative was
Committee on Natural Disasters i7s a research begun@ after the Alaska earthquake of 1964 when
body. Although its reports frequently identify President Johnson suggested there was need for a
mitigation problems . and. evaluate the comprehensive study of Alaska's experience with a
effectiveness of protective structures or other view to providing improved protection against
hazard adjustments, neither the Committee nor its future earthquakes (National Research Council,
parent body, the National Research Council, have 1970, vii). A wide ranging Committee on the
direct responsibility for the formulation of Alaska Earthquake was subsequently established by
hazards policies or the management of hazard the National Academy of Sciences (1964) and the
protection systems. To date their function has National Academy of Engineering set up a similar
been one of information collection and Committee on Earthquake Engineering Research
dissemination in support of hazard mitigation (1965). One unit of the Earthquake Engineering
goals. In that sense, the Committee is part of committee, known as the Committee on Earthquake
the scientific advisory apparatus of the. U.S. inspection (1966-1971), eventually evolved into
government. the National Research Council's Committee on
Natural Disasters (hereafter identified as the
It is also important to remember that the Committee).
Committee is not the only body that conducts
post-disaster surveys. Others in the United In the Committee's early years (1966-1970),
States which perform that function include: post-disaster surveys were undertaken from a
Earthquake Engineering Research Institute; narrow earthquake engineering perspective.
Natural Hazard Research and Application Thereafter a wide range of hazards -has been
Information Center; Disaster Research Center; addressed. In 1980, the Committee was
Federal Emergency Management Agency; National reorganized and expanded to include a broader
Weather Service; Army Corps of Engineers. At the sIpectrum of disciplinary perspectives. Until
inter national level the U.S. Agency for 1984 funding was provided by the National Science
International Development And the United Nations Foundation (NSF). Since then the responsibility
Disaster Relief Organization also issue summary for support has been shared by NSF, the National
reports of specific disaster experiences.@ All of Oceanic and Atmospheric Administration (NOAA),
these groups have made significant contributions and the Federal Emergency Management Agency
to understanding disaster processes and the (FEMA). At present, the Committee includes ten
performance of socio-technological systems, but engineers, two natural scientists and three
the Committee on Natural Disasters may well

social scientists. Judging by the report distribution lists and
the steady flow of requests for additional copies
Table 1 illustrates the distribution of that emanates from organizations and individuals,
disaster events for which surveys have been it is clear that much information reaches its
published. In addition to earthquakes, floods, intended audience. However, a great majority of
.hurricanes, tornadoes, landslides, coastal these potential readers are drawn from federal
erosion, tsunamis and dam failures have received agencies in the United States; professional
scrutiny. To date 41 reports have been published scientific and technological organizations;
of which 37 have,been prepared by study teams private engineering or consulting firms; and
based on their field experiences. The other four university faculties. Other U.S. and foreign
reports consist of records, of..I.Conferences groups that. might benefit from reading the
convened to documen t special disaster experiences reports are underrepresented. They include:
(3) and a comparative analysis of (generic) state and local public officials; managers of
lessons learned from three of the Committee's utilities; public interest groups; mortgage,
recent hurricane studies (National Research insurance, and investment organizations; planners
Council, 1985). Five additional reports are in and developers; mass media; and private
progress including studies of Hurricane Elena and individuals.
earthquakes in Chile and Mexico City.
Earthquakes comprise the majority of all reports Even if reports were distributed to a
(52%)'but floods, hurricanes, and other coastal broader audience, this does not guarantee that
events have received most attention since 1981 they will be read or their recommendations
(i.e., 11 of 20 studies completed or ongoing). implemented. Although ..there have been no
More than one third (16) of the studies involve comprehensive evaluations of the effectiveness of
foreign area disasters. Almost all of the latter mitigation recommendations,made by post-disaster
deal with earthquakes and have been carried out survey teams, one recent.case study illustrates
jointly by the Committee and the Earthquake some of the problems (Mitchell, 1985). In the
Engineering Research Institute (14). weeks and months following Hawaii's hurricane Iwa
(November 23, 1982), five '@.,groups,of experts and
Largely because of budgetary limitations, local officials - including .-the Committee on
not all disasters receive scrutiny. The chief Natural Disasters - @published dozens of
selection criterion is availability of important recommendations for -improved hurricane
information that will probably not otherwise be protection, By early 1985 approximately 20% of
recovered and reported. Teams are sent to these recommendations had received at least some
foreign disasters only when data and experience public discussion but few had been acted on.
are believed relevant to U.S. hazards management. However, most of the action was in the form of
In practice, the Committee has ignored virtually studies and data gathering exercises rather than
all foreign disasters apart from earthquakes in agreed and implemented changes in policy or
urban, settings. practice. Moreover, the bulk of these -limited
reforms has been directed toward upgrading
A great deal of potentially useful disaster preparedness and improving the security
scientific information has been gathered in the of lifelines. Most disaster mitigation and
survey reports compiled to date.. Have these prevention measures are noteworthy by their
findings been put to good use in improving absence.
mitigation practices? No systematic attempt has
yet been made to answer that question.

ANALYSIS

TABLE I The Committee's emphasis on post-disaster
Report* Published by tb- C ... i tee.on Natural Disasters studies is grounded in two assumptions: (1)
----------------------------------------------------------- valuable scientific information can be gathered
-------------------- Typ@ -f_Di-.t- ------------------ immediately after disasters occur; and (2)
---- -- -------- -
Flood; disaster protection can be improved by applying
D.. C .. t.1
Y- E.rthq..k@ T.-d. F..I- L-d.lid@ S-- H--- this information. Both assumptions are widely
------------------------------ ---------------------------- accepted by hazards scholars (Sherretz and
1968 2 FitzSimmons, 1982) but the Committee has tended
1969 1
1970 2 1 to stress its information acquisition role rather
1971 3
1972 2 1 than its potential contributions to hazards
1973 3
1974 NO REPORTS PUBLISHED policy and management.
1975 2 1
1976 No REPORTS PUBLISHED Although few doubt that supervision of post-
1977 1
1978 1 1 disaster surveys should remain the Committee's
1979 NO REPORTS PUBLISHED
I9aO 1 main activity, it is unclear how far such surveys
1981 1 1 should go beyond evaluating the performance of
1982 1 2
1983 1 1 structures and human systems toward making
1984 1 1 4 1 recommendations for changes in mitigation
1985 0(2)-- 2 O(l) 0(2)
------- @- ------------------------------- ------------ policies or practices. A narrow interpretation
TOTALS 24(52%) 5(11%) 2(4-) 3(7%) 8(17%) 4(9%) of the Committee's function emphasizes collection
------------------------------------------------------------
--Fig.- i@ p-nth-- V@d-.. and publication of perishable data. This view
holds that scientific investigations of limited
duration and scope may identify important long
term technical or societal problems, but cannot

resolve them. In contrast, some external post-disaster study teams beyond
reviewers have suggested that the Committee acquisition and interpretation of
broaden its work to include: (1) provision of perishable data about disaster
guidance to hazard research, policy, and responses to include guidance on
management agencies; (2) analyses of cumulative addressing mitigation issues in the
experiences that grow out of individual disaster field and in study reports.
surveys; and (3) closer attention to the concerns
of mitigation professionals such as building code (2) The potential utility of existing
officials, emergency operations planners, Committee surveys could be increased by
architects, and engineers (Committee documents, encouraging study teams to communicate
1985). FEMA representatives indicate that their findings, immediately and
Committee reports are, used to inform policy directly, to local disaster specialists
.directions and activities in, hazard mapping, and decision makers in impacted areas
standard setting, flood insurance,. and hazard as well as to broader audiences.
mitigation planning. Timely. presentation of
survey results.is of the.essence for these tasks (3) The-Committee could also significantly
and reports need to be released.,quickly to improve the data base for foreign
achieve maximum beneficial effect on mitigation. disaster mitigation by undertaking
decisions taken.in the wake of disasters. surveys - of all types of overseas
disasters instead of restricting
In an effort to upgrade the usefulness of attention to earthquakes.
its reports to mitigation interest groups the
Committee has initiated several changes' in (4) In addition to its primary work on
procedures. These affect both.the activities of realized disastersi the Committee
individual study teams and the general direction should consider devoting resources to
of Committee research. Two actions are designed limited studies of extreme events :that
to speed. the transmission of survey findings. do not - produce disasters. Such
Teams are encouraged to- prepare and release investigations may provide additional
preliminary reports of their findings as ' soon as -information about successful mitigation
they complete field work. This hag recently been practices.
done by the joint Committee on Natural Disasters-
Earthquake Engineering Research Institute team (5) The Committee may also wish to consider'
that visited Mexico City (1985) and aired its issuing periodic summary follow-up
findings on national television after testifying reports on mitigation opportunities
before a U.S. Senate. Committee. Brief exploited or ignored in the wake of
.introductory Executive Summaries are also now disasters for which reports were
required in all reports so that major findings published and mitigation recommen-
and recommendations can be quickly absorbed -by - - dations made.
agency decision makers. A third action is
designed to highlight major repeated findings (6) Some disasters attract many different
from the cumulative body of survey experience. types of survey teams; others receive
fach year it is planned-to issue a report that little attention or systematic
presents a general analysis of one type of hazard documentation. There is need for
from this perspective. Finally, in an effort to improved coordination and liaison among
disseminate post-disaster survey results to an all organizations and individuals
international audience, Committee members have engaged in post-disaster surveys. This-
-begun to transmit_major findings to conferences might take such forms as: joint
and meetings of overseas mitigation specialists meetings; agreements for exchange of
(e.g.., Taiwan, Beijing). information; overlapping team member-
ships; establishment of a clearinghouse
for this function.
RECOMMENDATIONS FOR ACTION
(7) Relevant international agencies,
National - Research Council post-disaster professional and scientific organi-
surveys can contribute to improved disaster zations and governments that possess
mitigation by: providing public and private formal or informal responsibilities for
decision makers with independent evaluations of improving disaster mitigation should
existing mitigation measures; by identifying evaluate the utility of post-disaster
local mitigation issues; and by presenting surveys for their purposes and should
evidence pertinent to the resolution of those take appropriate steps to adopt
issues. Timely and dispassionate analyses of necessary supporting measures.
mitigation concerns are rarely available in
stricken communities that are preoccupied with
tasks of recovery and rehabilitation. RESEARCH PRIORITIES AND-NEEDS

To reap maximum benefits from these surveys
a number of changes in procedure followed by the Two research tasks are necessary at this
Committee on Natural Disasters and other groups time:
are suggested: (A) A hindsight analysis of the uses to
which data and recommendations contained in
(1) The Committee should - consider Committee surveys are put should be undertaken.
broadening existing guidelines for This might distinguish. between research and

applications uses and between short term and long
term uses. It should also assess alternative
strategies for maximizing the value of
information collected by future surveys in the
context of mitigation programs. A broad
evaluation of the usefulness of all types of
quick response surveys and studies would also
provide valuable data for improving mitigation.

(B) In addition to existing generic studies
of lessons learned from surveys of similar events
(e.g., hurricanes), the relative success of
specific mitigation devices or strategies that.
are exposed to dissimilar events (e.g.,
tornadoes, earthquakes, floods) should be
evaluated. A versatility profile for typical
successful and unsuccessful mitigation measures
might then be developed.

REFERENCES

Kennedy, J.F and O.A. Israelsen. 1984. Post-Event
Natural Disaster Studies in the United
States. Proceedings of the CCNAA-AIT Joint
Seminar on Research for Multiple Hazards
Mitigation, January 16-19, 1984, L. Ru-Liang
Wang and M.S. Sheu (Eds.). National Cheung-
Kung University, Tainan, Taiwan, pp.17-36.

Mitchell, J.K.'1985. Post-disaster prospects for
improved hurricane protection on oceanic
islands: Hawaii after Hurricane Iwa.
Disasters, 9(4):286-294.

National Research Council. 1970. The Great Alaska
Earthquake of 1964: Human Ecology. Committee
on the Alaska Earthquake of the Division of
Earth Sciences, National Academy of
Sciences, Washington, DC.

National Research Council. 1985. Hurricanes Iwa,
Alicia, and Diana - Common Themes. A Report
to the Committee on Natural Disasters, 1984,
National Academy Press, Washington, DC.

National Research Council. 1979. Assessing
International Disaster Needs. Committee on
.International Disaster Assistance,
Commission on Sociotechnical Systems,
National Academy of Sciences, Washington,
DC.

Sherretz, L. and A. FitzSimmons. 1982. Quick
Response to Natural Disaster: A Working
Paper. Natural Hazards Research and
Applications Information Center, University
of Colorado, Boulder, Colorado.

Post-Flood Interagency Hazard Mitigation Teams: Their
Accomplishments and Prospects

Lawrence W, Zensinger
Federal Emergency Management, Agency
Washington, DC

INTRODUCTION In December of that same year, the twelve
agencles signed the "Interagency Agreement for
For the past five years (1980-1985), a group Nonstructural Damage. Reduction Measures as
of twelve federal agencies has participated in a Applied to Common Flood Disaster Planning and
post-flood hazard mitigation process designed to Post-Flood Recovery Practices". Under' 'this
reduce vulnerability,to future floods-and promote somewhat imposing title, the agencies created. a
nonstructural flood damage prevention measures. -flood disaster planning process consisting
post
This paper describes the rationale and objectives
of the following four major components:
of this activity, evaluates its effectiveness to
date, -and speculates upon.some changes in the 1. Assessment of the extent and nature o .f
process..whi.ch the author.believes are occurring damage immediately following a flood,
and-will continue to occur in response.to trends
in national government emergency management, and -2. Identification 'of riverine and coastal'
.environmental.policy.. high hazard areas 'in whic .h federal
investment to repair or replace
structures and facilities should be
THE INTERAGENCY AGREEMENT FOR COMMON POST-FLOOD avoided and "the relocation of people and
I HAZARD MITIGATION PLANNING structures out of these areas encouraged.
In July of 1980, the United States Office of 3. Identification of flood plain fringe
Management and Budget*directed twelve federal areas in which federal assistance should
agencies. to. develop procedures, through an seek to mitigate hazards through the
interagency agreement,, to.. accomplish the floodproofing of structures, forecasting/
objectives of planning to avoid future flood warning/evacuation plans, flood plain
losses, and encourage wise use of the nation's regulations and development and
floodplains. The agencies (Departments of redevelopment policies, and
Agriculture, Housing and Urban Development,
Interior, Education, Commerce, Health and Human 4. Preparation, within 15 days, of a hazard
Services, Transportation, Environmental mitigation report recommending specific
Protection Agency, U.S. Army Corps of Engineers, recovery actions to be taken by each
Small Business Administration, Tennessee Valley federal agency and non-federal level of
Authority and the Federal Emergency Management government. Federal agencies are
Agency) were directed to. establish procedures required by the OMB directive to conform
which would: their actions to the recommendations of
the report to the fullest extent
- seek to avoid redundant or competitive practicable.
expenditures,

- coordinate federal technical assistance There were a number of underlying reasons
and other program resources and encourage for creation of a process of post disaster teams
the packaging of federal program elements which would make hazard mitigation
to promote the use of nonstructural recommendations during a brief period immediately
measures for. flood lo.ss reduction, following a flood disaster.. First,.. while there
were regulatory and structural flood management
provide for the development and programs, little was being done to take advantage
dissemination of information on the of opportunities presented by disasters to
packages of federal program assistance correct problems of flood. vulnerability. These
available, and opportunities include a heightened perception of
flood risk (often accompanied by calls for
encourage the preparation of pre-disaster corrective action) and the reinvestment that must
plans for reducing.future flood losses take place to -repair or reconstruct damaged
and encouraging wise use of flood plains, facilities. Conversely, the rebuilding process
as well as post-disaster plans under the begins quickly following disasters. In order to
authority of Section 406 of the..Disaster have any impact on this process, recommendations
Relief Act. to modify the location or design of facilities
must be available quickly.

Another underlying purpose for interagency addressed, the reports have created some conflict
post-flood disaster planning is the need to with state and local officials who are nervous
coordinate and maximize the impact of @_eder7a_f over issues of liability.. In the long run,
disaster assistance prov-T-ded by the- various however, surfacing these issues has reduced
agencies. In the absence of a coordinating overall potentials for conflict. Another benefit
mechanism, federal resources were not being the study cites is the sense of immediacy for
focused in areas in which they could do the most addressing mitigation issues early in the
good in terms of flood prevention. recovery process brought about by the 15-day
report.: Finally, the study suggests that the
Finally, this process was an attempt to process has resulted in the formation of a cadre
institutionalize nonstructural approaches to of state and local hazard mitigation experts.
flood damage reduction. It stressed This is evidenced by the appointment of full time
nonstructural measures at a time, immediately hazard mitigation coordinators in several states,
following a flood, when they would be most likely and a high level of participation in FEMA
to be feasible and attractive. While there are sponsored hazard mitigation training courses
clear authorities for structural flood control (Rubin et al, 1985, p. 24).
projects of all types, planning criteria tend to
favor structural projects over non-structural The most significant impact, by far, of the
projects. OMB saw this process as a means of post-flood HMT's has ibeen a marked improvement in
providing an institutional framework for the quality of long range flood hazard management
nonstructural measures. by states. Since the enactment of the current
disaster act amendments in 1974 (Public Law 93-
288), state and local recipients of disaster
EFFECTIVENESS OF HAZARD MITIGATION TEAMS TO DATE assistance have been required, as a condition of
that assistance, to evaluate the hazards in the
The impacts of hazard mitigation activities disaster area and to take appropriate measures to
recommended and implemented following flood mitigate those hazards. In fulfillment of this
disasters are difficult to measure. Many requirement, FEMA regulations require
actions, such as development or modification of preparation, by state and local governments, of a
building codes or land use plans, only take hazard mitigation plan or plans (the so-called
effect over long periods of time. For these "Section 406 plan" after the section of P.L. 93-
actions, a four year period of record is clearly 288 which requires hazard mitigation as part of
inadequate as a basis for evaluation. In the process of disaster assistance).
addition, if flood prevention strategies are
effective, their manifestation is rarely noticed There was a noticeable improvement in' the
since flooding without damages is not as quality of Section 406 plans following
newsworthy as flooding with damages. introduction of the post-flood ffMT concept..
State and local natural resources and emergency
A measure of the success of post-disaster planners, who were asked to participate on the
.hazard mitigation proposals, however, is the teams, were provided with a natural starting
extent to which they have raised the issue of point for their planning processes. In reacting
flood prevention in the context of recovery from to the recommendations for state and local action
a flood disaster. There is a growing body of contained in the 15-day reports, state and local
evidence that hazard mitigation team reports governments have begun to address short and long
prepared following flood disasters have term flood prevention measures that might not
influenced the allocation of resources between otherwise have come to their attention. An
recovery (i.e., rebuilding the community as it unpublished review of hazard mitigation team
was prior to the disaster), and long term reports and recommendations conducted by the
measures intended to result in flood damage Government Accounting Office (GAO) confirms this
prevention. An independent study of community point. Of the 554 recommendations from the 23
recovery from natural disasters conducted by disasters which GAO analyzed, over 85% had been
Rubin et al (1985) noted this effect. This study either implemented, partially implemented, or
examined in detail recovery from 14 disasters of were undergoing further study. A majority of
various kinds since 1980. It concludes, in part, these recommendations involve some kind of state
that "in all cases in this study at which an HMT or local action. Many of the required actions
.was present, greater local interest and emphasis were set forth in greater detail and formulated
on flood hazard mitigation was obvious" (Rubin et into strategies, with timetables and
al, 19854 p.24). identification of resource needs, in the Section
406 plans. At least a dozen states have, within
Rubin identified three major benefits only the last three years, embarked upon
resulting from HMT's and the preparation of 15- comprehensive, multi-hazard mitigation planning
day reports. The first benefit is improved programs as a result of the stimulus provided by
federal/state/local relations through Section 406 and the interagency hazard mitigation
participation of state and local representatives team process.
on HMT's. The team's recommendations create a
framework for expectations. State and local
officials can become aware of both the issues TRENDS AFFECTING THE FUTURE OF POST-FLOOD
that federal agency representatives view as DISASTER HAZARD MITIGATION TEAMS
important and the resources (and constraints upon
those resources) that may be available to help There are a number of trends in the areas of
with recovery and mitigation efforts. By clearly emergency and natural resources management which
identifying flooding problems that should be suggest that hazard mitigation considerations

will.play an increasingly important rolein flood and implemented following flood disasters.
disaster recovery in the United States. The most
important of these, not surprisingly, is the need
to adjust to reduced levels of federal spending. REFERENCES
If cost-savings and efficiency in use of federal
disaster recovery.funds were important in 1981, Rubin, C.B. et al. 1985. Community Recovery from
they are more so today. It is not unlikely that, a Natural Disaster, Monograph #41. Program
as pressure increases to,reduce federal outlays on Environment and Behavior, Institute of
for disaster assistance,. congressional oversight Behavioral Science, University of Colorado,
will focus upon the effectiveness of federal Boulder, Colorado.
disaster assistance programs in limiting -future,
vulnerability to hazards and damages.

Another factor to consider is the absence of
:appropriations over the past few years -for
initiation- of new structural flood - control
projects. This is also due, .in* part, to
budgetary conditions,, but-is relate& to other
factors as well, including environmental
concerns. As jurisdictions around,the country
-begin to realize that the- levee,',floodwall,
reservoir, or-:channel improvement project they-
'have been counting on to solve their flooding
problems is,in competition with many.-other- such
projects. for the declining revenues available,
less costly nonstructural adjustments to
flood vulnerability may.become more.attractive..

Finally, @a@number of factors are combining
to shift leadership responsibility for. flood
@hazard mitigation.from the federal level to. the
state and local level. ..FEMA's adoption of 75-25
cost-sharing for the repair and reconstruction of
damaged public facilities has made state and
local governments much more sensitive.to -damage
-prevention concerns. With reduction in funding
levels for many other-federal domestic programs
over the past five years, many forms of -federal
assistance that used to be available following
disasters @.are either no longer available or@ are
greatly reduced in scope. What discretionary
funding exists for undertaking innovative post-
disaster hazard mitigation programs is -either
state funding or federal funding provided in the
form of block grants subject to a great deal of
local control on how-the money shall be used.
With reduced federal financial commitments for
post-disaster recovery and hazard mitigation,
federal hazard mitigation teams will begin, to
play a technical assistance role, in contrast to
.the "coordination of federal resources" which
characterized early team activities.

SUMMARY/CONCLUSIONS

Interagency Post-Flood Hazard Mitigation
Teams have., since their inception, not only
provided an effective means of -coordinating
federal disaster assistance following.floods and
focusing such assistance on--mitigating flood
problems through - nonstructural means. In
addition, and probablymore importantly, they
have helped to institutionalize flood 'mitigation
planning, both after floods and on a- continuing
basis, at both state and local levels. Factors.
affecting the future of this endeavor, including
the limited resources that will be available in
.the future for repetitive repair. and
reconstruction of flood damaged facilities, will
increase- attention to and the feasibility of
nonstructural flood prevention measures planned

The Effectiveness of Hazard Mitigation Teams

Leo M. Eisel
Wright Water Engineers
Denver, Colorado

INTRODUCTION breaking.the cycle of damage and reconstruction,
analyze these options, and produce a report. The
The concept of a hazard mitigation team was initial report must be produced within 15 days.
formulated in 1978 at the Water Resources Council A follow-up report must be produced within 90
as an outgrowth of President Carter's water days to determine whit action has been taken.
policy review. The concept originated from a
simple idea: Instead of building everything back The team process applies pressure to team
exactly the way it was before the flood, why not members to look beyond the constraints of their
do it differently and avoid the use of federal individual agencies and levels of government and
and other governmental subsidies to encourage find opportunities for flood hazard mitigation.
rebuilding of equally vulnerable development. The objective is to quickly identify
opportunities and publish a report while
This original idea was fleshed out in the opportunities to break the cycle of damage and
Office of Management and Budget memo of July 10, rebuilding still exist.
1980 from then Director of OMB, Jim McIntyre to
14 cabinet secretaries and agency heads. This The 15-day report is submitted to the FEKA
memo directed these agencies to enter into an regional director who does not have strict
interagency agreement that provided for federal approval power over the report but does have
leadership and participation in interagency, responsibility .to comment and coordinate
interdisciplinary, and intergovernmental hazard implementation activities.
mitigation teams.

This interagency agreement was signed on EFFECTIVENESS OF THE TEAMS
December 15, 1980 during the waning days of the
Carter Administration. This agreement provided Wright Water Engineers. undertook a
the specifics for the responsibilities and preliminary evaluation of the hazard mitigation
formation of the hazard mitigation teams and teams for the Federal Emergency Management Agency
detailed specific tasks, including publication of in 1983. This analysis consisted of (1)
Hazard Mitigation Reports. evaluation of four case studies and (2)
development of a questionnaire which was sent to
Based upon this interagency agreement, FEMA approximately 200 federal team members and 100
prepared a manual of procedures Hazard state team members. The results of this analysis
mitigation teams were sent into @he field provided a good indication of the status of the
beginning in mid-1981. The first hazard program as of late 1983.
mitigation reports dated from mid-1981.
Major findings from this analysis indicated
that the program was functioning reasonably well
RESPONSIBILITIES and that the original goals of the OMB memorandum
and the interagency agreement were being met.
The principal role of the hazard mitigation Further analysis of recent interagency hazard
teams is to identify opportunities for breaking mitigation reports produced for Hurricane Elena
the cycle of damage, reconstruction of (1985) indicate good quality reports with
structures, and more damage. The teams are innovative thinking.
inderdisciplinary, intergovernmental, and
interagency. Members often have expertise in a
wide range of subjects ranging from hydraulics to RECOMMENDATIONS
housing to evacuation. They also include a wide
range of disciplines: geology, civil engineering, Several recommendations can be offered for
structural engineering, etc. Members of local improving the effectiveness of the team. These
and state governments are also included on the are based upon the questionnaire analysis:
teams. The teams are led by a designated team
leader from the Federal Emergency Management 1. Perhaps the most serious deficiency in
Agency. the hazard mitigation team process is the
Basic responsibilities of the team are to general lack of adequate follow-up and
react quickly after a disaster, make necessary responsibility for implementation of team
field trips and collect data, develop options for recommendations. This concern was
originally identified in the Flood Hazard

Mitigation Team Manual and is apparently
still a problem. One possible way to
remedy this would be to place more
initiative and responsibility on the
Washington office of FEMA to insure
adequate follow-up. This could be
accomplished by putting more emphasis on
the 90-day report and making it an
integral part of the follow-up procedure.

There also needs to be some field work
done, or at least contacts made, with
local.officials to determine the fate of
the recommendations.

Another mechanism to provide more
effective follow-up and implementation
...monitoring may be to play upon the self-
interest of the agencies. The 90-day
report could provide a good opportunity
for -the various agencies to gather data
concerning -potential benefits and costs
or benefits foregone through the
implementation, or non-implementation, of
various hazard mitigation measures and
recommendations. These data could be
used to support agency initiatives.

2. Another deficiency in the current hazard
mitigation team process is the lack of
local involvement in the hazard
mitigation teams. The solution to this
problem may be for the hazard mitigation
team leader to-work more closely with the
states under his/her responsibility. By
working with an individual or agency in
each of the states, the hazard mitigation
team leader is faced with a reasonably
small number of important contacts.
State leaders can, in turn, relate to
local governments.

There is a continued problem that too few
of the team members formulate.
recommendations. There also appears to
be a general reluctance by team members
in many cases to make recommendations for
which there are no federal agency
programs or apparent sources of funds for
present implementation. It is very
important that the federal
recommendations produced by the hazard
mitigation team not be limited to
recommendations for which the team is
certain that funds . exist for
implementation.

Team leaders must take responsibility for
insuring that therecommendations are the
product of thinking and analysis by the
entire team and not merely a small
subgroup after the majority of the team
has gone home.

4. In the course of both the, case studies
and the questionnaire analysis the
importance of training became apparent.
Trained team members are able to
contribute significantly more than the
untrained team member and the benefits of
adequate training are rapidly apparent in
the results of individual teams.

Improving the Hazard Mitigation Process: One State's Perspective

Leslie A. Bond
Nonstructural Measures Branch
Department of Water Resources
Phoenix, Arizona
INTRODUCTION

The Interagency Agreement for Non-Structural and the representative from the water resources
Damage Reduction Measures became effective on agency had limited experience with the Federal
'December 15, 1980. Since that date Arizona has team. Even so, the State had an acceptable level
suffered three flood disasters which warranted a of input to the Federal team's deliberations and
Presidential disaster declaration. In each of report. However, the State's 406 plan could have
these disasters the work of the Federal team, the been better written and implemented. The State now
15-day report, and the State's hazard mitigation has a permanent Hazard Mitigation Officer in the
plan in response to the Section 406 requirement emergency management agency.
have been effective in improving federal/state/
local mitigation efforts. Furthermore, it appears
that the effectiveness has improved as time has I14PROVING THE STATE RESPONSE
passed, with the federal and state agencies
becoming more accustomed to the process and, State mitigation efforts could be improved by
perhaps, more aware of the power of the process. the establishment of a permanent hazard mitigation
There is also a feeling, at least, that the team at the state level. Such a team should
Interagency Agreement has led to better compliance include representatives from all agencies which
with Executive Order 11988 and the State has much have responsibilities in flood plain management,
better access to the federal agencies, leading to structural flood control, housing, economic
better coordination of immediate post-disaster planning and development, fish and wildlife,
mitigation efforts. ecology, coastal zone manIagement, wetlands
management, water quality, sanitation, transpor-
tation, state lands, and any other areas which
THE FEDERAL EFFORT apply to hazard mitigation. The team should be
chaired by the State Hazard Mitigation Officer.
There is a basic problem of fragmentation in
disaster management. Despite rather broad Such a team should be established by executive
authority granted to emergency management agencies direction if the team members are to speak for
during and after a disaster, other agencies quickly their agencies and commit resources to mitigation.
return to a "business as usual" mode. Disaster The State of Maryland has recently established such
response and mitigation interfere with their normal a team. The.Federal agencies and the other states
operations. The only hope to modify this should monitor the effectiveness of Maryland's
orientation is to make mitigation part of their efforts to see if it is a model which can be
normal operation (to the greatest extent possible) followed elsewhere.
rather than simply a response to a particular
disaster. This is happening more at the Federal The Federal Emergency Management Agency (FEMA)
level than at the State level. and the states command a lot of power over local
jurisdictions during and immediately after a flood
The incorporation of mitigation into normal disaster. The primary tools for post-disaster
operating procedures should be further encouraged mitigation are the repair and reconstruction of
.within each agency. A permanent team member and public facilities, relocation of flood plain uses,
alternates should be designated, and mitigation floodproofing and elevation of flooded uses, and
should be included in their job descriptions. It control over future development of floodprone
may be desirable to designate different persons for areas.
different types of disasters. For example, in the
largest of the flood disasters in Arizona, the Through their funding of 75% of the repair and
Arizona District Hydrologist for the USGS served as reconstruction of public facilities, FEMA has
the representative for the Department of Interior. generally done a good job in encouraging mitigation
He was invaluable in that capacity, but would for public uses. However, relocation has generally
obviously be less suitable for a brush fire been a nightmare to flood plain residents,
disaster in Southern,California. communities, and state and federal agencies. The
primary reason for this is that no one has yet said
Our State mitigation effort in 1983 was far that, as a matter of policy, they will take
less organized than the Federal effort. Because of responsibility for relocation. The process is
personnel changes, the Arizona emergency management fragmented among agencies at all levels of
agency had no trained hazard mitigation officer, government. One exception to this is the recent

relocation of a large number of residents in Tulsa,
Oklahoma. Here the city took the initiative to
make funds and high level staff available to ensure
fast and effective relocation. Tulsa's actions may
serve as a model for future relocation projects
elsewhere.

Floodproofing, elevation, and regulation of
future development in flood plains remain primarily
local responsibilities within a framework of state
and federal minimum standards. The financial clout
of FEMA and the states might be more effectively
used to promote these types of mitigation. FEMA is
bound by the letter of their regulations, and
frequently seems to overlook the intent. With a
little more flexibility they might be able to
pressure the states into adopting and/or enforcing
higher standards. For example, communities are
required to manage flood plains which are not
delineated on their Flood Insurance Rate maps using
"the best available information". FEMA therefore
has-.no effective performance measure for flood plain
management in these areas. The State, however, may
have authority to establish management criteria for
such flood plains. Pursuant to disaster assistance
powers and responsibility to reduce disaster costs,
FEMA might reasonably require a State to adopt such
criteria and require.the community to adhere to
those criteria for future development.

States which share the 25% non-federal portion
of public assistance funding within their
communities also have a powerful tool to use for
mitigation. They can, for instance, require
communities to adopt and enforce regulations or
standards which exceed the - minimum Federal
requirements as a condition of state disaster
assistance. Such standards might reflect regional
needs such as flood elevations- reflecting future
watershed conditions, channel meander or-ice jam
elevations.

SUMMARY'

In summary, the:federal agencies have all or
most of the tools they need to promote or require
effective mitigation after flood disasters. They
could benefit from better training of interagency
team members, and they might use their financial
clout more effectively. States would benefit from
the establishment of interagency hazard mitigation
teams and better use their financial clout. Both
of the latter will probably require executive
direction.

- In the-presentation of this paper, the
author wishes to make it clear that the views
expressed are his own and do not reflect any
policies of the State of Arizona or the Association
of State Floodplain Managers. It is based on the
experience of three flood disasters in Arizona, for
which he served as the State Hazard Mitigation
Officer for one. This paper also draws from the
presentations at the symposium and the discussions
which followed.

100

CONDITIONING GRANTS AND LOANS

The conditioning of disaster assistance, tion in federal projects and federally funded
insurance, or other forms of private or public projects through a floodplain management execu-
assistance subsidies upon mitigation is poli- tive order.
tically difficult but perhaps the most promis- David Godschalk next discusses the effec-
ing single approach to strengthen mitigation
efforts. To be successful, conditions must be tiveness of National Barrier Island Legislation
based upon a realistic evaluation of the adopted in the U.S. to withdraw federal devel-
hazards and mitigation options. To be enforce- opment incentives for certain barrier islands.
able, conditions must include long term legal Such withdrawal of subsidies for selected areas
commitments: those giving the assistance must goes beyond simple conditioning of assistance.
be in a position to legally require compliance A forth paper by Marguerite Whilen suggests
or repayment if conditions are not met. that a withdrawal of subsidies should be com-
bined with a more positive effort to define
This chapter begins with a paper by Carl development areas and to establish development
Cook discussing efforts of the U.S. Federal quotas.
Emergency Management Agency to condition hazard
mitigation assistance. He suggests that to be A final paper by Fred Cole examines the
successful, conditioning must be carefully conditioning of grants upon mitigation in the
tailored to objectives, time frame and sponsor- international scene. He points out not only
ship of the project. the benefits of conditions but some of the
practical problems with conditioning efforts
Frank Thomas, in a second paper, discusses and suggests the need for planning mitigation
the successes and failures of the Executive in advance of disasters to help establish
Branch in the U.S. to encourage flood mitiga- effective conditions when disasters occur.

101

Lessons on Conditioning of Hazard Mitigation Assistance

Carl L. Cook, Jr.
Federal Emergency Management Agency
Bothell, Washington

INTRODUCTION by the local flood control district, repeated
flood fights by the Corps of Engineers had
produced levees whose composition,was largely
The term 11conditioning,11 when applied to material placed by the Corps on the levees.
financial support of.natural hazard mitigation Subsequent to the levee construction, the Libby
projects, is defined as those- actions which Dam was built on the Kootenai River upstream of
must be accomplished. by the sponsoring or re- Boundary County in Montana. This provided so
.ceiving agency in order for the granting orga- much protection in Boundary County that 8 to 10
.-nization to. provide the requested assistance.. feet of freeboard existed on the levees. Short-
For structural flood control projects, in the ly after I began a Flood Insurance Study for
United States, such as dams, dikesi and levees, the County, I was informed that local land-
typical conditions for Federal support of a owners were removing the freeboard on portions
project are, a small financial contribution, of the levees in order to provide fill material
adequate acquired land,-and continued mainten- for agricultural purposes. Since this removal,
ance. For -non-structural projects,. such as whether or not allowedby'regulations, had the
property buy-outs and relocation, -the condi- ultimate affect -of diminishing the degree of
tions usually consist of assurances. that no flood protection, both the Federal Emergency
development will be allowed in the newly opened Management Agency (FEMA) -and the Corps
area and that this area be used for open space objected.
purposes such as parks or wildlife refuges.
In the end, neither the County, nor FEMA,
This paper examines some problems that nor the Corps felt it had any legal basis to
have arisen involving conditioning of assis- halt the removal.. There was sword rattling by
tance for flood hazard mitigation projects in @the' Corps- and FEMA but-no action. The issues
the U.S. and abroad. It concludes with recom- here were two-fold. First, even though hundreds
mendations- to minimize these problems. The of thousands of Federal dollars had been spent
discussion begins with a series of examples building the levees, the Corps retained no
which demonstrate failure of conditions at- authority over them. Secondly, the assumption
tached to a number of projects. that the levees would be maintained ad infini-
tum was simply that, an assumption.

P90BLEMS In Sfax, Tunisia, a levee system had been
constructed along both banks of the Oued Maou
In many of the projects I have observed (dry river bed). In one section of the left
.both- in the United:States and abroad, there is bank levee, a blow out section was installed.
a universal reluctance'to attach strong condi- This was a weak link section which was designed
tions to financial assistance. It appears that to fail before the integrity of the system was
the granting@ ageincie@6 are afraid of being of- threatened by overtopping or failure. The
fensive to local sponsors. This timidity sponsor of the project was the Department of
towards tough conditions is due to two causes. Sewage and Water Supply. One of the conditions
First there is often -uncertainty as to the attached to the financing was that the area
legal and political basis for attaching condi- immediately outside the blow out section remain
tions. This uncertainty is.often not warrant- undeveloped since this area could be subject to
ed, but nonetheless exists. Perhaps it rises sudden and severe inundation.
from a belief that project support at the
Federal level is an entitlement. 'rhe second In 1982, a severe flood occurred. As the
assumption is one of fatalism. That is, what- levee system approached failure, the blow out
ever conditions are imposed have a marginal section failed, as it was designed to do. Tra-
chance- of being enforced. Whether based upon gically, a heavy residential had been built in
experience or a notion that political realities the outboard area and several hundred people
may overwhelm careful crafting of conditions,. were killed. The basic fault in the system was
the success of conditions.is not expected. that the sponsoring- agency for the levee pro-
ject was assured by the grantor that the area
Actual lack of authority by a grantor would remain'undeveloped. However, the sponsor
agency is illustrated by-the case of the levees had no control over the issuance of building
along the Kootenai River in Boundary County, permits and so had no control over develop-
Idaho. Though these levees were really "owned" ment. In fact, even-the City agency responsi-

102

ble for such permits admitted that because such ment activities which may harm the effective-
a high percentage of the buildings were built ness of the project?
by squatters without permits, they probably
could not have prevented development. It is imperative that the sponsor actually
have the authority, control,and ability to ful-
In Oakridge, Oregon, Salmon Creek is fill the conditions. Frequently, a sponsoring
leveed on both sides. A local flood control agency is created for the sole purpose of pro-
district is the sponsor. When a sland and gra- ject sponsorship. After the project is
vel operator requested that he be allowed to completed, these entities frequently lose
excavate material from within the levees, the Irsteam," lose interest, and often lose their
City enthusiastically replied "yes." Not only funding base. If this could be a possibility
would a resident business profit from sale of with a "new" sponsoring agency, the grantor
the material, but the city would have its chan- should attempt to obtain a sponsor which is
nel cleaned at no cost. All was well until the more stable and assured of future support. A
City Engineer observed one day that the City local government is usually in a better
had the authority for issuing grading and position to undertake long-term maintenance
development permits. However, it was the flood than a special district.
control district that had provided the mainten-
ance assurance. Short of.suing the city, the 2. Are the conditions clear?.
grantor of the project funding (the Corps of
Engineers) was left holding the bag. If the object of a project is to keep
recently 11cleared" flood plain free of
After the 1980 eruption of Mt. St. Helens, blockages to flows, then simply prohibiting the
the Federal Emergency Management Agency pur- placement of structures in the area is not
chased 19 nearly contiguous residential adequate. This is the condition placed on 1362
properties pursuant to Section 1362 of the purchases by FEMA. While it does assure that
Flood Disaster Protection Act. These proper- no insurable building will be constructed
ties had been covered by flood insurance and tliere, it does- ii6t stop fill or vegetation
had been destroyed or severely damaged when the accumulation. It must be clearly spelled out in
volcanic eruption caused the Toutle River to the conditions if permanent protection of the
overflow its banks. conveyance area is to be assured.

Part of the justification for selecting 3. Are the conditions well timed in relation-
the Toutle River site was that Cowlitz County ship to the completion of the project?
stated that they had lost all the parks along
the Toutle and wanted to use these 19 proper- Where the hazard mitigation assistance is
ties for a park and boat launch. With this in of a "one shot" nature, such as construction of
mind, the Federal Insurance Administrator allo- a levee or one-time buy-out of high risk
@cated one million dollars of scarce resources .properties, conditions which are commensurately
for the purchase of these properties. Once the short-term are easiest to fulfill. Providing
transactions were completed and the property local financial support is a condition which is
was transferred to Cowlitz County, FIA closed easily verified upon completion.
its backs on the project. Today, these proper-
ties are still only vacant lots. No moves have However, if project conditions are long-
been made to turn them into recreational faci- term, the chances of compliance dwindle. The
lities. Though FIA has a relatively small stake Sfax, Tunisia case is a classic example. While
in the ultimate use of these properties (other the project assistance (funding of the levees)
than the assurance that no structures be placed was completed within 2 years, the condition of
there), there exists no! legal "handle" with keeping the area outside the blowout section
which FIA can compel the county to use the free of development required constant vigilance
properties as originally represented. Though over a period of years. When, 8 years after
the recreational goal was a small part of the completion of the project, the 1982 flood
justification for the project, no requirement disaster occurred, demonstrating that the con-
for such a reuse was ever spelled out in the dition had not been met,.there was little that
agreement. the grantor could do.

Since the term of the assistance was
ISSUES AND RECOMMENDATIONS short, the condition should have been commen-
surately short. Rather than require long term
1. Who fulfills the conditions? vigilance, the grantor could have required the
sponsor to acquire title to the property and to
If the organization which is supposed to put in into an active open space use such as a
fulfill the conditions is not the official park. This condition could have been met with-
r1sponsor" of the project, then follow-up prob- in the same time-frame as the project.
lems are possible if not likely. If a special
district is formed to sponsor a project, is 4. If failure to meet a condition occurs, who
that same district going to be wholly respon- is left "holding the bag?"
sible for the maintenance? Does the district
really have the authority to regulate land use If there is uncertainty regarding the
practices near the project or to keep municipal sponsor's ability to fulfill the condition, the
officials from granting approval for develop- possibility of failure can be dealt with in the

103

initial agreement. The grantor may require
that another agency act, and sign, as a back-up
sponsor, in the fashion of a co-signer of a bank
loan. This not only provides a back-up sponsor,
but may work to keep pressure applied to the
sponsor by the co-signer who does not want to
have to be pressed into action.

The grantor may also provide that, in
event of failure -to meet a condition, the
grantor may itself take actions to meet the
condition and charge the. sponsor or those
assisted by the project. Municipal.governments
often use this tactic for sidewalk-and access
maintenance. If a landowner does not provide
the necessary maintenance, then the community
does the job and bills-the owner.

All too frequently, the grantor of assis-
t.ance is -the entity whose risk increases if a
.condition is not met.. For instance, if a Corps
project is. not -maintained and the project
therefore fails, it. is still the.Federal gov-_
ernment which will fight the next flood and
provide disaster assistance. Obviously this@'
does not work towardscompliance with project
conditions. It is, thereforei important that
contingencies for non-compliance be spelled
out.

The issues and recommendations discussed
above appear to be only, logical and-require
little extraeffort.on the part"of the@grantor.
The:. paramount lesson to be learned is that"much
@can be accomplished-through the conditioning of
hazard mitigation assistance. To.be successful,
the conditioning must be tailored to the-objec--
tives, time frame, and sponsorship. of the
project.

104

Federal Agencies' Successes and Failures to Encourage Mitigation with
the Floodplain Management Executive Order

Frank H. Thomas
Federal Emergency Management Agency
Washington, DC

INTRODUCTION standard of the 1968 National Flood Insurance
Act (NFIP). These criticisms provided impetus
The Federal government has been engaged in for the issuance of a 1977 Executive Order
flood loss reduction programs on a national which superseded the 1966 order.
scale since 1936. Federal Executive Orders
have been used to direct Federal agencies to The 1977 Executive Order, Floodplain Man-
lead the nation in flood hazard mitigation by agement, gave stronger flood loss reduction
creating good examples of such mitigation in policy and guidance (The President, 1977).
its own activities since 1966. Emphasis again was placed on the Federal
leadership role, the non-structural approach,
It is the purpose of this paper to examine and the need for "A Unified National Program
the impact of Federal Executive Orders as a. for Floodplain Management." The scope of loss
flood hazard mitigation tool. First, the evo- reduction was expanded to include the environ-
lution of the orders and their major elements mental values of the floodplain.
are described. Then experiences in implement-
ing the order are examined. Finally the effec- An explicit 'strategy was set forth to
tiveness of the executive order as a mitigation avoid actions in or adversely affecting flood-
tool is considered. plains unless no practical alternatives exist-
ed. If no alternative existed mitigating
action was required. Less than a year later,
HISTORICAL EVOLUTION OF THE FLOODPLAIN the Executive Branch provided detailed guidance
for implementing the Order (United States Water
MANAGEMENT EXECUTIVE ORDER Resources Council, 1978).

The guidance explained the substantive and
In 1965 an executive office study found procedural requirements of the Order. The pro-
that national flood losses were unacceptably cedural requirements were summarized in the
high and that Federal policy to reduce flood following 8 step process: (1) determine if the
losses by encouraging development of flood proposed action is in or affecting the 100-year
control structures was insufficient. It is base floodplain; (2) if so, provide an opportu-
recommended increased policy emphasis on non- nity for early public review of the proposed
structural approaches including use of a action; (3) identify alternative to the propos-
Federal Executive Order (The Task Force, ed action; (4) identify anticipated impacts of
1966). Within a year the President issued an the proposed action; (5) take steps to minimize
executive order "Flood Hazard Evaluation" which potential losses and to restore and preserve
directed Federal agencies to take leadership in natural floodplain values; (6) reevaluate the
reducing flood losses by taking action to pre- alternatives; (7) make available a statement of
clude hazardous use of floodplains, applying findings and explanation of the public; and (8)
floodproofing measures to existing facilities, make the decision to locate or not locate in
and withholding from sale or attaching use the floodplain. The major substantive require-
restrictions to flood-prone properties (The ment is that Federal actions be consistent with
President, 1966). Many Federal agencies criteria of the National Flood Insurance
adopted procedures to implement this order. Program for flood hazard identification and
floodproofing, i.e. Federal agencies should
'In 1975 the continued rise in flood losses require of themselves no less standard than
led the Government Accounting Office to study that which is required of non-Federal entities
progress toward implementing the Unified under the Insurance Program.
National Program for Floodplain Management and
the Executive Order (The General Accounting
Office, 1975). The study was highly critical EXPERIENCE WITH THE
of Federal agencies, citing little progress
toward planning and controlling the uses of FLOODPLAIN MANAGEMENT EXECUTIVE ORDER
flood-prone lands. It focused on failures by
federal programs responsible for financing and
insuring new housing and it also criticized Experience with -the 1977 Floodplain
Federal agencies for lack of leadership and Management Order can be examined using informa-
failure to utilize the 100-year base flood tion from a 1983 Inland Port Study and a 1984

105

Regulatory Review Study. this study found that in some Federal agencies
and in the private sector there was the impres-
The Inland Port Study was carried out by sion that the Order actually prohibited flood-
FRMX in response to allegations that the Order plain development rather than require an ex-
and the land use regulations of the NFIP plicit thought process to evaluate proposed
prohibited new port facility development actions. Confusion was also evident with
(Federal Emergency Management Agency, 1984). regard to the test of practicality. For whom
was the activity to be "practicable" -- the
The problem stemmed from the fact that Federal Agency, a program applicant, or both?
certain structural components of river ports
and terminals must be sited in or adjacent Issues of coverage were also raised
water (i.e., within the 100-year base flood- regarding small routine actions and certain
plain) to carry out their functions. These classes of actions. In the case of small
activities, known as functionally dependent routine actions, it was found that application
uses, include the loading and unloading of of the full 8 step planning process including
people, goods and vessels into or from the public notice of intent to take an action in
water. The study found that the objectives-of the floodplain might not be cost@effective. It
floodplain management and the economic needs of, was further found that the- use of certain
the port industry were not incompatible and the thresholds or categorical exclusions could be
problem stemmed from misconceptions on the part an effective means for reducing the burden for
of some Federal Agencies implementing the order the initiators of small actions.
and also port officials. It also found that
the Federal agencies involved had done a poor Overall, the study found.that considerable
job of explaining the process of the Order and
the floodplain management regulations: 'to the progress had been. made by Federal agencies in
port industry. - Finally, it found that the implementating the Order, but that major;oppor-
evaluation process of the Order and the'vari- tunities remained for improvement and correc-
ance process of the local land use regulations tive actions. In particular, inconsistency was
were sufficiently flexible to permit accommo- Jound in the application of the Order within
dation of these port facilities which had to be some programs, and a need existed to train
located in the floodplain. agency field staff in techniques for implement-
ing the Order. The Order was found to be most
The Regulatory- Review Study was initiated effective when a Federal. agency had complete
in 1983. at the request of the President's Task control over an action, for example, Federal
Force on Regulatory Relief. The Federal Emier@ construction. . Conversely the Order was least
gency Management, Agency 'investigated whether effective when applied to regulations or to the-
Federal agencies were complying with the-re- essentially , private. actions, that recetived.
quirements of the Order and what'impact; if limited or indirect Federal assistance.
any, the Order and the use of the 100-year base In conclusion, the study found that over-
blood standard were having on 'the level of';@ all the Order was working well and should be
development in designated flood hazard areas retained in its present form. It recommended
(Federal Emergency Management Agency, 1984).
The study found that the 100-year base flood that Federal agencies.review their implementing
standard was being applied and working well at procedures to see if they could be streamlined
all levels of government and that the standard to remove burdensome aspects of the process
enjoyed a wide base of support among State when applied to small actions and that the
governors and the heads of State agencies. Federal. agencies should insure that their field
Improvements which were suggested focused on offices are fully informed concerning the Order
refinement of the 100-year base flood standard and its provisions. The study singled out only
5 of the 50 agencies for explicit direction to
to account for regional or otherwise unique
risks associated -with deep or fast flowing change, their implementing procedures to make
water. The study concluded that there was no them more consistent with the intent of the
evidence to justify a change in either the Order. Finally, Federal agencies were urged to
level of the standard or method of review but correct the misperception that the Order
that additional efforts should be devoted to totally prohibited floodplain development.
the development of refinements reflecting
unique flood hazard conditions. THE EXECUTIVE ORDER AS A-MITIGATION'TOOL
Regarding Federal agency compliance, the
study found 55 Federal agencies had established After 19 years of experience with the
Orders, it is useful to compare their effec-
implementing procedures and that the programs
of these agencies affected every community in tiveness as a mitigation tool on the basis of
the U.S. The study also found that many States the following six criteria: (1) authority, (2)
had adopted executive orders or policy direc- coverage, (3) direction-guidance,(4) oversight,
tives which parallelled the Federal order in (5) program type, (6) expectations.
philosophy and method. Authority. The 1966 Order cited its
Regarding procedural requirements, the authority. the powers vested in the President
study found a number of issues regarding cover- whereas the 1977 Order cited explicit authority
age of the Order and the determination of prac- in the National Flood Insurance act and in the
tical alternatives. Like the Inland Port Study, National Environmental Protection Act. This
clarification of authority provided a stronger

106

legal basis for the policy and strengthened the control is least effective. Experience based
second Order as a legal instrument. Legislative on both orders indicates that different kinds
authority takes precedence over administrative of implementing procedures need to be employed
.authority in an instance of conflict. depending upon the type of Federal program.

Coverage. Although executive orders, in Expectations. Every executive order is
general, apply only to Federal Agencies, such created in response to a problem which has
orders apply to all Federal agencies unless strong proponents who would superimpose their
certain agencies are named as excluded or objectives on parties affected by the order.
included. In practice, the 1966 Order applied These "superimposers" may fail to recognize
to only those programs which were identified as that an executive order is often an adminis-
'11) acquiring, managing, disposing of Federal trative policy which cuts across the execution
lands and facilities, (2) providing Federally of Congressionally mandated programs (public
undertaken, financially or assisted construc- laws). The "superimposees" may be less than
tion and (3) conducting activities affecting enthusiastic or even subversive because they do
land use, and licensing. The 1977 Order was not share the same priorities.
stronger because its policy statement explicit-
ly directed that all Federal agencies should Nine years experience with the 1977
takr leadership and that all actions were Floodplain Management Order indicates that
covered. provision of a consultative mechanism and some
tempering of proponents expectations is neces-
Direction-guidance. Both orders direct sary. For example the Flo- odplain Management
,Federal agency heads to take leadership to Order affects geographic areas containing most.
reduce losses but the second order is much more of the wetlands of the U.S. At the time the
e.xplicit in providing an avoidance and mitiga- Order was issued, many people in the environ-
gation strategy. The second order was able to mental movement had high expectations that the
prescribe specific implementing standards such order would control the development of the
as the 100-year base flood and the flood insur- Nation's wetlands and some other sensitive
ance program standards which were not available environmental areas. Experience has tempered
at the time the first order was issued. In these expectations for both orders.
addition, the second order provided sequential
guidance and made provision for consultation Viewed in the larger context, several
assistance in the preparation of implementing conclusions may be drawn@regarding the utility
procedures. The 1977 Order benefited from this of an executive order as a mitigation tool.
supplementary guidance which was provided in The executive order mechanism can provide a
much greater detail that that for the first formal policy statement integrating legisla-
Order. tively discrete flood loss.-mitigation authori-
ties and programs while focusing attention on
Oversight. Options for monitoring include -,...Executive priorities. It can also specify
periodic -or fixed interval monitoring by a unit procedures and standards to be utilized by
of the executive office of the president, an Federal agencies. The 1977 Floodplain Manage-
independent agency, a line agency or the pub- ment Executive Order has done all of these and
lic. However, options for enforcement are been successful in motivating Federal agencies
generally limited to the executive office of to lead national flood loss reduction efforts
the President and the courts. The 1966 Order by setting good examples.
utilized monitoring and enforcement by the
executive office of the president. The 1977 However the executive order mechanism does
Order utilized monitoring by the executive have limitations which are not always fully
office of the President, an independent agency recognized. Executive orders cannot supersede
and the public. It also relied upon enforce- legislative authority. They apply only to
ment by. the executive office of the President. Federal agencies. Also, executive orders are
Monitoring by the public through required only as strong as their legal bases and only as
public notice of intent to consider an action persistent as their constituencies. The Flood-
and public notice of a decision to take action plain Management Executive Order has been suc-
affecting a floodplain has proven to greatly cessful because it has its source of authority
strengthen the monitoring process. Reliance in two strong pieces of legislation and its
upon certification to the Office of Management implementation has been consistently monitored
and Budget in the executive office of the by a strong constituency.
President has not.proven effective in the case
of either order. Use of an independent agency
to carry out periodic review and report has RECOMMENDATIONS
proven successful. Experience with the Federal executive
Program type. Individual Federal programs order mechanism as a mitigation tool suggests
vary in the degree of Federal vs. non-Federal the following recommendations.
control over the decision to locate in the
floodplain. Application of an executive order 1. An executive order is appropriate
''to Federal and federally assisted programs when:
dealing directly with parties taking an action
is knost effective. Application of an order to a. Authority for mitigation acti-
programs where the decision party is in the vity is legislatively dispersed
private sector and distant from Federal program among different agencies and

1017

programs and a unifying execu-
tive policy statement is needed;

b. Clarification or establishment
of national standards is needed;

C. Public awareness and participa-
tion processes need strengthen-
ing based on Federal leadership.

2. An executive order should be utilized
for hazards other than flood, and in
the United States, earthquake hazard
appears appropriate.

3. Executive order implementation should
be systematically monitored to permit
documentation of successes as well as
failures. Decisions to avoid high
hazard locations are rarely recorded
and conversely, poor locational
decisions are.readily visible.

4. It would be beneficial to evaluate
State level executive orders and com-
pare experience in implementing these
orders , with that of the Federal
Floodplain Management Executive
Order.

LITERATURE CITED

Federal Em "ergency Management Agency. 1983.
Effect of Floodplain Management Regula-
tions on Inland Port Facilities.
Washington, D.C.

Federal Emergency Management Agency. 1984.
The 100 Year Base Flood Standard and the
Floodplain Management Executive Order: A
Review Prepared for the Office of_MMage-
ment and Budget. Washington, D.C.

Government Accounting Office. 1975. National
Attempts to Reduce Losses From Flood by
Planning for and Controlling the Uses of
Flood Prone Lands, RED 75-237.
Washington, D.C.

Office of the President: Executive Order
ILZ2@,Flood Hazard Evaluation; Aug. 1966.

Office of the President: Executive Order
11988,Floodplain Management; May 1977.

The Task Force on Federal Flood Control Policy.
1966. A Unified National Program for
Managing Flood Losses, House Document 465,
89th Congress, 2nd Session, U.S. Govern-
ment Printing Office, Washington, D.C.

United States Water Resources Council. 1978.
Floodplain ManaRement Guidelines for
Implementing E.O. 11988; 43 FR 6030.

108

Effectiveness of National Barrier Island Legislation: A Strategy of
Withdrawing Development Incentives

David R. Godschalk
Department of City and Regional Planning
University of North Carolina
Chapel Hill, North Carolina
INTRODUCTION from building on undeveloped coastal barriers.
But the cost of infrastructure and the risk of
A major problem of mitigation is how to loss from coastal storms are shifted away from
reduce future urban development in known hazard the Federal treasury.
areas. ,This.problem,is especially troublesome
when the hazard areas are also strongly attrac-
tive for development due to physical, economic, Impacts of the Barrier Island Policy
or social reasons.
Because of the great profits to be made
The traditional mitigation strategy in from coastal real estate development, CBRA
this circumstance is to enact government regu- alone is not likely to halt development on un-
lations that attempt to control future develop- developed coastal barriers. To make it more
ment in hazard areas. Such police power regu- fully effective and insure that Federal savings
lations limit the amount, location, type, do in the long run occur, reinforcing actions
quality, or timing of development to protect are needed by other public and private groups
the,public health, safety, or welfare. involved in coastal barrier conservation and
development. (Godschalk, 1984) Key actors in
A newer strategy is to withdraw previously this effort should include:
available governmental incentives that
encourage development. The first U.S. national 1. State and local governments, who must
mitigation policy based on this "incentive decide whether their expenditures and regula-
withdrawal" strategy was incorporated in the tions as well as those of the federal govern-
Coastal Barrier Resources Act (CBRA) which was ment will be aimed at reducing development on
adopted by Congress in 1982. undeveloped coastal barriers.

The purpose of this paper is to describe 2. Private insurance companies, who must
this new policy, to look at its impacts, and to decide whether they will replace the withdrawn
offer recommendations for increasing its effec- Federal flood insurance.
tiveness and for extending it to other hazard
areas outside the coastal zone. 3. Banks and development finance agen-
cies, who must decide how to replace required
Federal flood insurance as a precondition for
THE 1982 COASTAL BARRIER RESOURCES ACT offering a construction loan or mortgage.

In enacting CBRA, Congress halted previous 4. Conservation organizations, who must
Federal subsidies for development in hazardous, decide whether to focus their open space
undeveloped coastal barrier areas. The preface acquisition efforts on undeveloped coastal
to the Act declared that past subsidies, such barriers.
as flood insurance and infrastructure financial
aid, had resulted in loss of resources, threats 5. Private development companies, who
to life and property, and expenditures of mil- must decide whether to seek non-Federal flood
lions of tax dollars every year. insurance and infrastructure funding for
To implement this new policy, the Act undeveloped barrier projects.
listed 186 .'.'undeveloped" coastal barrier areas There has been considerable variation in
along the Atlantic and Gulf coasts, and prohi- the impact of CBRA, depending on market condi-
bited further Federal flood insurance and tions and state coastal management approaches.
federal expenditures for bridges and roads, In general, however, private flood insurance
utilities, access channels, erosion control, has not yet become widely available to replace
storm protection, community development, post- the withdrawn Federal flood insurance, and
storm redevelopment and disaster relief (exempt replacement of infrastructure funding by state
in emergencies) in these areas. The designated and local governments has not occurred on a
areas covered some 656 miles of ocean-facing widespread basis. On the other hand, develop-
shoreline, equal to 24% of the shoreline along ment has appeared to slow only in Florida where
the Atlantic and Gulf coasts. (U.S. Department the state government reinforced the Federal
of Interior, 1983) policy by also withdrawing state infrastructure
subsidies from coastal barriers and enacting
Under CBRA, land owners are not prohibited barrier conservation policies. And, even in

109

Florida, it is difficult to separate the
effects of public policy from the effects of a
soft market.

POLICY RECOMMENDATIONS

Four policy recommendations are offered,
based on the CBRA experience to date:

1. Extend the coverage of CBRA to other
coastal areas, including the Pacific Coast and
Great Lakes, as recommended by the Secretary of
Interior in his 1985 report to Congress.
(Department of Interior, 1985)

2. Devise a staged incentive withdrawal
strategy for the "developed" portions of coast-
al barriers lying in high hazard zones
(Velocity Zones under the Flood Insurance
Program), with the stages based on the time
necessary to amortize investments in existing,
structures.

3. Require that states follow the Federal
incentive withdrawal policy or lose their own
,benefits under the Federal Coastal.Management
.program.

4. Investigate the extension of the CBRA
Ancentive withdrawal strategy to the undevelop-
ed portions of. other noncoastal hazardous
areas, such as riverine floodways, as proposed
by the Colorado River Floodway Protection Bill
passed by.the House of Representatives in 1985.

LITERATURE CITED

Godschalk, D. R. 1984. Impacts of the Coastal
Barrier Resources Act: A Pilot Study.
Washington: I Office of Ocean and Coastal
Resource Management, U.S. Department of
the Interior.

U.S. Department of the Interior. 1983. Final
Environmental Statement: Undeveloped
Coastal Barriers. Washington: The
Department of.Interior.

U.S. Department of Interior. 1985. Coastal
Barrier Resources System. Draft Report to
Congress. Washington: The Department of
Interior.

110

Building and Rebuilding on Coastal Barriers: Conservation/ Development
Quotas

Marguerite Whilden
Maryland Department of Natural Resources
Annapolis, Maryland

COASTAL BARRIERS most of the flood damage was not covered by
private insurance. As a result, many coastal
Barrier islands along the-Atlantic and Gulf property owners sold their land cheaply to either
Coasts of the U.S. are among the most hazardous private developers or state or federal agencies.
coastal areas with flood and erosion problems as One of the largest Public acquisitions occurred
well as long term mainland migration -and sea on Assateague Island in Maryland--the major
level rise. Much of the area of a typical barrier island in this state.
barrier island lies below the 100 year flood
elevation. Barrier islands are composed of sand Before the 1962 storm, most of IMaryland's
and marshes and are highly susceptible to ocean coast had been platted into small lots.
oveiwash erosion and wind scour. Development was well underway in Ocean City which
was located on a northern 10 mile strip of
Over the last 20 years massive second home barrier island, just north of Assateague. But
and recreational/commercial dev.elopment has few permanent structures had been constructed on
occurred on these islands. They have also been Assateague's 22 mile beach since there was no
repeatedly battered by hurricanes and lesser bridge to the island. Prior to the storm the
storms with major property damages. For example, federal government had been interested in the
Hurricane Frederic in 1979 destroyed much of the island as a national seashore but had been unable
first three tiers of development along a 36 mile to implement a protection plan.
of beach on Dauphin Island. Long term structural
attempts to reduce this vulnerability have been In 1965 Congress adopted legislation which
largely unsuccessful because of the high cost of included Assateague as part of the National
such works per front foot of protected shore and Seashore system. In 1966 it appropriated 22
the reluctance of coastal residents and million dollars for property acquisition. During
communities to destroy natural beaches. Beach this period the state of Maryland constructed a
nourishment has also proven extremely expensive bridge to the island to service a state-owned
both for original nourishment and subsequent park which was already located there.
maintenance.
The National Park Service eventually
The purpose of this paper is to suggest a acquired 3,700 parcels of land comprising 7,800
positive approach to managing these hazardous acres on the island including most of the
areas both prior to and after disasters through properties damaged or destroyed by the 1962
establishment of development (and redevelopment)/ storm. Today only a handful of privately owned
conservation quota and the implementation of such lots remain. Each year more and more of the
quotas through a broad range of regulatory, previously plotted lots slip below the sea as
financial incentive, acquisition and other erosion occurs and sea level rises. There are no
implementation techniques. projects underway to retard erosion or flooding
on Assateague, although there has been an
investigation to determine the impact of erosion
REDEVELOPMENT AFTER THE ASH WEDNESDAY STORM OF on the island park. Severe erosion rates have
1962 been reported on the northern portion of
Assateague.
In March of 1962, much of the North East
coast was battered by a classic "northeaster". The federal decision to acquire Assateague
The Ash.Wednesday storm, as it was called, lasted was an expensive one for 1962. However, this
for three days and pounded a 300 mile stretch of decision is now regarded as a prudent investment
coast with near hurricane force winds and high in providing outdoor recreation, protecting
tides. The storm 'hit at a time when beaches are wetlands and wildlife habitat, and reducing
naturally more vulnerable due to seasonal changes future erosion and flood losses. If Assateague
in beach profiles. Much of the development on had not been acquired, substantial redevelopment
barrier islands along the New Jersey, Maryland, and new development would likely have occurred
and Virginia coasts was either damaged or with enormous flood and erosion Dotential.
destroyed.
The result of the acquisition was to force
The damage incurred by many coastal property new development to the northern barrier island--
owners exceeded their capability to rebuild. The Ocean City. As a result Maryland now has
National Flood Insurance was still a concept and approximately 22 miles of undeveloped barrier
beaches and 10 miles of developed beaches, a 2 to

I developed/undeveloped ratio. Intensive coordinated action by Federal, State and local
development at Ocean City now includes 8000 gove .rnments is critical to the more appropriate
motel/hotel units, 27,000 living units, use and conservation of coastal barriers." To
restaurants, and various recreation service gain state and local government support for major
industries on a 6 mile square area. It is not conservation measures, economic development needs
beautiful naturally but it provides recreational must also be met.
opportunities for several million visitors each
year. A winter population of 5,000 individuals But 'now is economic development to occur?
expands to 250,000 during the summer peak. Undeveloped barrier islands, partially developed
barriers, and totally developed barriers are now
Ocean City is threatened by flooding and being redeveloped after disasters and developed
erosion, but the concentrated development and initially in a piecemeal fashion. At most
substantial. tax base justifies much more planning and zoning controls are limiting the
intensive beach nourishment and protection than density of development and design of
would have been possible for a 32 mile stretch-of construction. Little by little, houses,
low density development. Infrastructure -needs condomiums, hotels, and other residential,
have been limited to a 10 milearea, permitting a commercial, and industrial developments are being
concentration of sewers and water supply-systems. constructed on all private lands. Would it not
..Much of the recent development is *of a be better to fix a conservation/development ratio
substantial nature including major hotels and for all barrier beaches within a state and stick-
condomiums with heavily engineered foundations by this ratio?
and first-floor flood protection measures which
would not have been possi-ble for single family Would this be politically or economically
dwellings. Serious questions have been raised infeasible? Perhaps. Growth limits have been
concerning the evacuation of the island-over the established by many cities throughout the nation.
two bridges if a hurricane occurs in the peak"'
tourist season but evacuation during Hurricane Sanibel Island in Florida, a barrier island,
Gloria in September of 1985 proceeded smoothly established. a growth cap based upon hurricane
and sucessfully. evacuation and other factors and has designated
growth and conservation areas throughout the
island with considerable local political support.
THE QUOTA CONCEPT: REALISM IN COASTAL RESOURCE But there was-realistic consideration of economic
ALLOCATION development needs as well as conservation. Local
governments and states are willing to undertake
Although unintentional at the time, public major conservation efforts if private development
acquisition of Assateague after the 1962 disaster can also be accommodated an& there are tax
established a conservation/development quota for revenues for conservation measures. This is
Maryland's barrier beaches of 2 to 1. Such a not to argue for the creation of more Ocean
ratio has permitted both economic development and Cities. But Ocean City -is a huge revenue
conservation although conservationists often generator and provides thousands of summer jobs.
consider Ocean City an abomination and some With a $500 million assessable tax base (actual
developers view undeveloped Assateague as a waste value of $1.5 billion), Ocean City has the third
of beach resources. largest tax base in the state, only second to the
City of Rockville and Baltimore City. City
Our nation's conservationists had high hopes dwellers are at least exposed to and come to
for the Coastal Barrier Resources Act (CBRA) as a appreciate a coastal environment. These are the
means to limit new coastal development in a individuals who vote yes or no on state coastal
comprehensive manner. However, there is now zone management, wetland protection, and
strong evidence that limitations on federal- environmental bonding issues. Ocean City is the
subsidies will not by themselves achieve a top net per capita and square mile revenue-
desired level of protection even for the producing entity in the State. Because
undeveloped barriers. A number of these development has been limited to a 10 mile -strip,
designated undeveloped islands are being road, sewer, and water costs and shore protection
developed with strictly private money. CBRA does needs have been greatly reduced.
not apply to developed barriers. It is inevitable
that a major hurricane of the intensity of Gloria New economic development areas in other
(or perhaps even Camille) will again hit the states could provide similar concentrated
chain of barrier islands along the Virginia, facilities and services but,.if properly planned
Maryland, and New Jersey coasts, destroying much with more open space, better road access, anA
or all of the development in the first several better protection from natural hazards through
tiers of houses along the beach and perhaps entire greater beach set-backs, improved engineering
islands. design for all structures, and the cre;tion of
special districts or other self-help financing
CBRA is, at best, a "negative" planning act mechanisms for beach protection or nourishment.
with relatively weak implementation mechanisms as
long as there are sufficient private funds for
new development. It does not recognize the HOW A QUOTA SYSTEM MIGHT WORK
interdependencies between developed and
undeveloped barriers' nor does it deal Determining appropriate levels of additional
realistically with economic development as well development and redevelopment for- undeveloped,
as conservation needs. It does correctly semi-developed, and developed barrLer resources
recognize (quoting from COBRA) that "A program of and- guiding public and private development and

112

redevelopment actions consistent with such levels state. Such monies might be made available as
would not be easy. For starters a state might part of a broader federal program for barrier
consider the following in establishing resources applying to all developed, partially
conservation quotas for a state as a whole and developed, and undeveloped units.
then for individual barriers:
Such a national program could work in the
Health and safety considerations for following way:
individual barriers such as evacuation
capability during time of hurricane, First, a coastal conservation quota would be
transportation, ground water supplies, and established for each state. Such a quota would
sewage capabilitT, be based upon the factors suggested above and
Ecological considerations for not only would be a joint federal/state/local effort.
individual barriers but the entire Second, once a quota was established and
regional barrier, estuarine, marine approved, a revised coastal barrier development
system including wetlands, littoral zone, and conservation plan would be prepared for each
dunes, etc. state. Federal agencies would assist states and
local communities in preparation of the plan.
Existing development on individual Similar to the assistance provided under the
islands and on the entire system within National Flood Insurance Program and the Coastal
the state, and Zone Management Act, federal and state agencies
would cooperate technically and financially in
Economic considerations for individual the planning process consistent with the
barriers and the barrier system of the conservation quota. High density development on
state and/or region as a whole, including smaller islands or on one portion of a large
the need for fishing ports, future island might be preferable to low density on a
residential development for tax base, larger island or an island as a whole. For
fuel delivery, etc. development areas it would be preferable to
choose sites where both environment and hazard
From a state perspective, the whole barrier concerns were limited.
system should be considered in establishing
policies for individual barriers. This would Third, all federal financial assistance
require imputs from all levels of government. The including disaster assistance appropriated for
conservation/development quota would be jointly each coastal county with barrier resources would
established by states, local governments, and the be conditioned upon proper implementation of the
federal government. It could be implemented Coastal Development Plan. For example, if the
through a broad range of measures--not just City of Wilmington applied for federal urban
federal subsidies for barriers themselves. renewal funds, a clearing house system similar to
E.O. - 11988 could reveal whether coastal
The real problem may come in deciding which conservation measures were in order. Funds would
areas or local governments are to be the be distributed only after a satisfactory finding.
"development" areas since this means local tax
revenues and jobs. Establishing an overall state
conservation/development ratio first may help. To take this a step further, perhaps
Such a ratio might even be voted on statewide by all non-coastal federal financial assistance and
xeferrendum or by the legislature. There would flood insurance could be conditioned upon state
then be some negotiation as to how this quota and local compliance with the Coastal Development
would be achieved. Natural limitations upon Plan.
development or redevelopment such as erosion
rates and flooding as well as access would play a
major role. CONCLUSIONS

Planned redevelopment after future disasters A simplistic quota approach for development
might be part of this allocation process. For and conservation of barrier resources is not
example, a state might decide to limit all future without problems. But what is the alternative?
development including redevelopment on a Piecemeal decision-making will continue unless
particular island, portion of an island, or more or less rigid overall goals are established
specific beach area and begin immediate for barrier resources and the barrier resources
acquisition on a willing seller basis. . A (developed, undeveloped, partially developed) are
combination of regulation and acquisition might addressed as a whole. Economic development is a
be used until the next disaster, at which time political reality and must be accommodated.
disaster and insurance funds might help complete
the buyout, particularly for seriously damaged The realities of both development and
properties. preservation must be balanced through a hard-
headed process which considers natural erosion
Federal incentives and acquisition monies and flooding problems among a broad range of
would of course help and, in many instances, factors and the potential for redevelopment and
might be necessary to encourage state or local reallocation of developed barriers after
action (e.g., creation of a major recreational disasters. The defacto Maryland conservation/
park such as Assateague) where the major development quota achieved after the 1962 storm
economic beneficiaries would be U.S. citizens as is an example worth considering.
a whole in contrast with a local government or

113

Conditioning Grants Upon Mitigation

Frederick M. Cole
Office of Foreign Disaster Assistance
Agency for International Development
Washington, DC
INTRODUCTION pair housing, water supply or basic infrastruc-
ture if physical improvements. will not with-
The Office of U.S. Foreign Disaster Assis- stand the. next disaster. At this state the
tance is mandated by the Congress to coordinate enormous and immediate pressure to assist
U.S. Government relief, rehabilitation, prepar- victims has abated. ;We can apply leverage.
edness, early warning and mitigation assistance
to foreign countries. Each of these elements For example', after a cyclone hit Fiji a
may have the effect of reducing the future vul- few years ago, a voluntary agency proposed a
nerability of communities, so I'll step through housing rehabilitation program for a number of
them and describe how we attempt to condition the hardest hit communities. We agreed to fund
them where practical. this program on the condition that the rehabi-
litation meet design and construction specifi-
cations which would reduce future losses. The
DISASTER RELIEF rehabilitated communities now stand a good
chance of surviving the next cyclone with mini-
Our traditional and most visible task is mal building failures. This same approach has
disaster relief. We try to serve the American been used with considerable success in earth-
people's humanitarian concern for those who quake recovery in Colombia, cyclone rehabili-
have been stricken by disaster, whether natural tation in Madagascar and other post disaster
or man-made. The immediate, life-sustaining efforts. And, the cost is quite modest.
phase of a major disaster does not lend itself
to conditions. The scene at the disaster site We strongly believe that conditioning can
is usually chaotic; coordination takes time to and should be used in the broader development
build; information is scarce and data is con- context. It is encouraging that some of the
flicting. The pressures on the host government development agencies and lending institutions
and the donors are fierce. As long as there is are beginning to recognize the benefits of
a perception that the quicker you supply commo- incorporating mitigation elem ,ents in the recon-
dities and services, the more lives you save, struction of the built environment following
it's tough to maintain a philosophic approach disasters
which might dictate slower, more reasoned
response. When you're receiving calls from
your friendly Congressperson, threatening PREPAREDNESS
immediate extinction of your program if you
don't MOVE, your philosophical inclinations Through our preparedness activities we can
tend to dissipate. We recognize the desirabi- raise the awareness of threat and can assist
lity of melding relief with development strate- disaster prone governments in planning their
gies designed to produce disaster-free future communities to withstand future disasters. We
populations. Pragmatically,.we rarely have the can condition them, if you will, to the bene-
opportunity to weave longer term concerns into fits of building safety in their environments.
immediate relief activities. Once they recognize these benefits, all they
need is money. That brings us back to the
That's not to say that we can't do a bet- development strategy and the need to convince
ter job through contingency planning and closer development planners that prevention is much
cooperation with disaster prone countries and more cost effective than a cure.
other donors. We are working toward more
rational and productive relief strategies.
Still, conditioning relief is not currently a WARNINGS
reasonable option.
Early warning relates directly to mitiga-
..tion. Increasingly we have been conditioning
REHABILITATION assistance for prediction and forecasting tech-
nology upon formulation of plans for their use
Short term rehabilitation - those activi- in the ultimate protection of people. We see a
ties which serve to return affected communities logical -progression from hazard analysis (rela-
to a viable state - does offer some opportunity tion of historical and current physical evi-
for conditioned response. It does not serve dence to future hazards) to vulnerability
the best interests of disaster victims to re- analysis (projection of how probable future

114

events will affect communities) to forecasting
(which, in our terms, is the assessment of the
probability that an event of an estimated
magnitude will touch a given population within
a certain period of time). Given these percep-
tions we can plan strategies on an optimized or
worst-case basis.

MITIGATION

Our last goal (last only because it is the
newest in our strategy) is mitigation itself.
Generally activities designed for the reduction
of vulnerability are planned outside the con-
text of post disaster operations. Inevitably,
however, it is the major disaster which pro-
vides the opportunity to -sell the mitigation
message. The more we plan mitigation, in
whatever phase of the disaster continuum, the
easier it will be to incorporate mitigation
concepts into the recovery process.

One Napoleon's generals is said to have
been keen on raising olive trees. "No hurry",
said his gardener, "it takes years for the
trees to bear fruit". "Then". said the
general, Viyou'd damned well better start
today".

INSURANCE

Priyat'e insurance for damage from winds,@ encourage land uses and discourage Ost--:
floods and other. natural disasters -has been disaster mitigation where -the rates do not
available in some countries such as -Great reflect actual risk and there is I no or little
Britain for many years. In 1968 the U.S. incentive for-mitigation in repair of partially
became the first country. to initiate a massive, damaged structures.
government sponsored insurance program for
flood disasters which ties insurance.to future. Paul Simeon in the first paper, examinesthe use
availability..of federal disaster assistance and of insurance and disaster prevention plans as a.
federal subsidies for activities inathe flood- mitigation measure in France.
plain.

This U.S. experience indicates that subsi- Frank Thomas in the second paper of thischapter
dized insurance can be.a powerful incentive for discusses the interplayof land use regulations
encouraging land use controls for new construc- disaster assistance and insurance in the U.S.
tion. But it also indicates that insurance may

116

Use of Insurance as a Mitigation Tool in France

Paul M. Simeon
BCEOM
Societe Francaise d'Ingenierie
Paris, France
INTRODUCTION application by the Senate and the new "Delegated
Committee for Major Risks" under the Chairmanship
It is only since 1976 that the French of the vulcanologist Haroun Tazieff, it was
Government has given systematic thought to the amended in spirit. The initial objective of
preparation and implementation of a program to systematic indemnification, with the unfortunate
provide relief for the unfortunate consequences effects that such indemnification was likely to
of flooding: the three aspects of this action, have on the behavior of persons under threat by
prevention, protection, and repair, have been reducing their sense of responsibility and
studies in detail, and then integrated. encouraging them to think of themselves as
assisted persons, was compensated for by the
The formulation of an effective overall introduction of a completely original idea of
program seems to be close to a solution. Typrevention". It is this idea, and its links
Insurance constitutes an important element and with insurance, that we shall now discuss.
one which will likely have a greater future role.

Master Prevention Plans
BACKGROUND
The "Master Prevention Plans" (Plans
It is this last aspect - insurance - and the d'Exposition aux Risques - P.E.R.) constitute the
corollaries arising from an insurance program key point in these arrangements. The Government,
that we proposed to develop in this paper. via its representatives in the Departement, is
the initiating body for the prevention plans. It
However, in order to better establish the is the Government that proposes, develops, and
context, a few figures relating to the flood risk finally decides to implement the new procedures
in France may be helpful. Nearly 5 million in each commune (in the case under discussion
acres, 250,000 of which are in urban areas, are here) subject to flooding. It is also the
subject to flooding; they represent neary 4% of Government which finances, in full, the necessary
the territory of Metropolitan France. Two studies and services even though the cost of
million people, 7,500 communes (the basic setting up the recommended measures is from this
administration unit) out of the 36,500 in the point on payable by those most concerned. This
country (20%), 84 Departements out of 90 (the procedure is implemented in close collaboration
Departement is the French equivalent of the with the elected representatives of the communes,
American county) are subject to flooding. The which are entitled to appeal at each important
average annual cost of damage is of the order of stage of the planning process. But is is the
$400 million. central government that has the last word.

The basic national law that addresses these When initial examination of the plan and the
problems was adopted on July 13, 1982. This act various stages of the political and
covers all predictable natural risks that are not administrative procedure have been completed,
otherwise insured: floods, landslides, which takes 18 months to 2 years, the P.E.R.
avalanches, and earthquakes. Floods alone are a becomes an executive document with the legal
concern to more than 70% of the local authorities status of -a "State-approved easement", binding on
which are subject to hazards. third parties. It must be annexed to any
existing land-use document or regulations. It is
This law, which was passed following floods subject to revision after five years. What does
that affected nearly one third of the territory a P.E.R. contain?
of France at the end of 1981, was initially
directed principally toward providing the Hazard Maps. The P.E.R. contains maps of an
quickest and most complete indemnification of objective and technical nature; these are
disaster victims. The structure chosen for generally reproduced to the scale of 1:5000 and
distributing compensation was the network of the include the following information on a
insurance companies and their agents, which topographical background:
offered the advantage of being on the site and
familiar with disaster problems. a) The boundaries of a number of charac-
teristic historical floods.
At the time that this bill was being
discussed by the National Assembly, on joint b) The boundaries of two theoretical

117

floods: ten-year and one-hundred year, WHITE zones,- where the danger is both
obtained by simulation of the flow of sufficiently rare and sufficiently low
flood water on a mathematical model, for the risk to be psychologically
calibrated with data provided from the acceptable or bearable.
historical floods (point a).
BLUE zones, which are intermediate
c) Within these boundaries, the values of between the two preceding ones. These
the three following damage-risk may be diversified in terms of the
parameters; regulations subsequently imposed on
them.
- water height
- flow velocity The boundaries of these various zones are
- duration.of submersion proposed by the external Technical Departments of
the Central Government to the elected
The values-of. these parameters are, representatives of the commu nes, who discuss them
calculated for a number of points, varying in and may suggest modifications. However, it is
density, interms of the degree.of.land use and the Government that again has the last word.
the physical characteristics of the zone (0.5 to
I point per acre on average). Regulations. For the RED and BLUE zones
thus outlined, regulations are pre ared in each
The degree of precision sought for ' these case. -Here we come to the heart o -the matter:
measurements varies with the extent and character it is this mapping of the danger zones and the
of land use, i.e., with the average vulnerability regulations that accompany the- mapping that
of the properties and activities within the zone. constitute the new-tool for prevention And for'
In terms of height, it is + 20 cm in the most mitigation of flood damage.
favorable cases.
These regulations, prepared by the external
We thus arrive at what we call a '!Flood-Risk Technical Departments of the Central Government,
.Map", which constitutes completion of the first are principally directed at prevention. They are
phase of the planning process. essentially based on non-structural measures
whose object is to change the behavior of
Vulnerability Maps. -The Flood-Risk Map, is individuals and groups faced with risk, and not
then compared with and- superimposed over a to change the physical conditions of the event.
11vulnerability mapff of the developments,
equipment, buildings, and activities of whatever These measures concern building permits and
nature within-the zone under study. the degree of occupation and use of land. They
range from refusal of building permission to
With the help of previously developed type instructions with regard to how buildings should
classifications which indicate in a descriptive be constructed, covering all aspects. They are
or quantitative manner the degree of limited, however, with regard to existing
vulnerability to water contact of various property by social and economic considerations:
buildings, developments, and activities, a plan the cost of the measures required for existing
of sectors.homogeneous from a vunerability point structures (there can also be recommendations in
of, view is drawn up. The public . service parallel) must not in this case exceed 10% of the
installations which may be seriously disturbed by market value of the property they are intended to
floods are precisely indicated. This document is protect. For projected developments or assets,
known as the "Vulnerability Map". the only limit is the economic profitability of
Zones of Danger. Superimposition of the the proposed measures.
Flood-Risk Map and the Vulnerability Map for a A handbook of non-structural measures
given commune reveals the different zones of applicable in the context of the Risk@Exposure
danger. We can in fact write the following Maps has been drawn up on the initiative of the
equation: CommLttee for Major Risks for each of the covered
Physical risk + vulnerability = DANGER. risks. The external Technical Departments of the
Central Government must refer to these handbooks
in preparing the regulations included in the
This leads to a determination of the zones P.E.R.s. These handbooks have been drawn up by
of various levels of danger in 'dicated on this consultants who are specialists in each risk.
plan to 1:5000 scale. These zones' are thus
defined in terms of 5 criteria: frequency, water
height, duration of submersion, flow velocity, ADMINISTRATION OF THE PROGRAM
and degree of vulnerability. In certain cases
the season may be added (for agricultural Now can one assess the feasibility and
property, tourism, etc.). effectiveness of the P.E.R.s? To what extend
These zones@are grouped togetehr in 3 major will the P.E.R.s be prepared, promulgated, and
applied?, How 1ong will this take? What
categories: sanctions will be involved?

RED zones, where.the danger may be both The costs of the P.E.R. program for the four
too. frequent, too intense, and too risks already mentioned has been estimated at
expensive for,any preventive action to nearly $90 million (at 1985 values). The law
be reasonably undertaken. requires that it be executed over a period of ten

118

years beginning in 1984. The program is facing above . After this period, persons who have not
financing problems since the Government is asking complied with the required measures will not be
the Insurance profession to provide two thirds of indemnified.
the funds: one third payable by the reinsurance
bodies, and one third by the insurance companies
themselves. The last third is to be paid
directly by the Central Government. To date, CONCLUSIONS
insurance companies are still reserving their
reply- Despite these problems, 620 P.E.R.s In conclusion, it cannot be said that at
affecting 350,000 persons have already been present insurance in France is a complete tool
prepared. They concern,. first and foremost, for prevention and mitigation of damage caused by
flood risk (70%) and urban zones. natural hazards and, in particular, by flooding.
Legal problems may also arise due to Insurance is, however, uniquely placed for
opposition of the communes (to which recent laws channeling the resources necessary for
have given considerable autonomy) to the indemnifying flood victims, and in this way @it
imposition of land use regulations by the can substitute for direct relations between the
Government which has responsibility for public Government and disaster victimes and between
safety and wishes to.retain these powers. It is insurance companies and victims. The publicity
certain that serious administrative disputes will for and knowledge of the risks that these
occur within the next few years. measures are creating in groups and with
individuals is developing their sense of
At the insurance level, coverage for the responsibility.
risk is automatic but not general. It is
automatic because it constitutes an automatic This law, the original intention of which
extension of coverage from more traditional risks was only to provide indemnification through
such as damages, fire, theft, and operating loss. insurance, has led to.the birth and application
This extension is provided by payment of an extra of the P.E.R.s, which are changing the basic
premium at a fixed rate (9%) calculated on the behavior of the French Government with respect to
original actuarial premium. Thus, any person action against natural hazards. Non-structural
covered for one of the basic risks is preventive measures now have validity alongside
automatically, I and without possible refusal, the traditional structural techniques of
covered for the risk of "natural catastrophe", protection. Non-structural measures complement
for a' cost that has no relation to the actual these techniques, or in certain cases may even be
value of this risk. substituted for them. The methods for locating
and defining risks are being refined at the same
This coverage is not general, i.e., all time. The future will decide - though some
persons who run such risks are not necessarily people are thinking about this already - whether
covered against them. It is enough for them not., the present communal loss-bearing regime should
to be covered against thebasic risks (damage, be replaced by a truly actuarial insurance
theft, fire, etc.) for them not to have to pay regime, requiring prior assessment of each
the extra premium and therefore not to be covered individual risk instead of just a posteriori
against natural catastrophes. expert assessment of the damage. Obviously this
prospect would be more effective in combating
This system, which comes more under the damage. But it would certainly be pore expensive
heading of a mutual-guarantee regime, is thus and cumbersome to implement. It would probably
principally based on communal loss-bearing have to be made mandatory to avoid the danger' of
principle and less on that of liability. There anti-selection. The process could perhaps be
are certain weaknesses in it with respect to the undertaken in stages. In any case, it seems to
lack of pressure it can bring to bear on persons us that France is moving with dynamism on the
to initiate self-protection measures or incentive right course.
to dissuade them from acting imprudently. In
particular, no clause of "bonus-malus" linked to
repeated occurrence of the risk is provided at
present.

In zones where no P.E.R. yet exists,
disaster victims who had previously taken out
insurance against one or several basic risks will
be indemnified in the event of damage from
natural hazard. They will be indemnified
completely subject to a deductible for private
persons of just under $200 and for companies at
just under $600. This deductible may, in certain
cases, be varied by the Insurance Company.

In zones where a P.E.R. has been
promulgated, persons will have a period of five
years to apply the measures required. During
this period, they will be indemnified in all
cases and subject to the same conditions as

119

Flood Loss Mitigation in the United States: The Interplay of Land Use
Regulations, Disaster Assistance, and Insurance

Frank H. Thomas
Federal Emergency Management Agency
Washington, DC

INTRODUCTION insurance increased as more detailed flood
hazard information became available. Third,
Nonstructural flood loss,mitigation in the community floodplain. regulations would require
United States is built around a set of trade- that new structures be setback or elevated from
offs between the.Federal government, which pro- the flooding source or built with flood
vides benefits, and the local governments which resistant design and material to protect to the
enact and enforce land use regulations. Flood level of -the 100-year base flood standard.
loss mitigation is.the outgrowth of experience Fourth, flood insurance rates would be based on
with land use regulations, disaster assistance, the 100-year base flood standard. Fifth, struc--@
and structural flood loss mitigation programs tures existing in the floodplains at the time
which have evolved over time and have been the insurance program was initiated would be
brought together in the National Flood Insur- insured at subsidized insurance rates, but new
ance Program. . The purpose of the paper is to construction built to the standards of the
describe the interplay. of landuse, disaster regulations would be charged actuarial rates.
assistance, and insurance mitigation tools and They would, however, -be eligible for a larger
to comment on their status. amount of insurance coverage.

With these 5 premises as astarting point,
EVOLUTION OF FLOOD LOSS MITIGATION ACTIVITY the flood insurance program has evolved since
its inception in 1968. The first phase of
The Federal role in flood loss mitigation evolution from 1968 to 1973, was a start up
has its beginnings in the 1930's when the Corps period during which the program-was conceptual-
of Engineers was assigned responsibility to ized and presented to the public as a mitiga-
provide structural flood protection works. tion tool. During this period, standards and
During the 1950's the Federal government's role techniques were established for mapping the
as provider of disaster assistance after pri- flood hazard's extent, depth and velocity in
vate, local and State resources had been coastal as well as riverine situations. Regu-
exhausted, began to expand rapidly. By 1965, latory standards and rules for communities were
the Federal government was faced with rapidly established as were rates and schedules for
rising disaster assistance payments and struc- insurance. However, by the end of this period,
tural flood protection costs. This led to the only a few thousand insurance policies had been
adoption of a policy to shift the burden of purchased.
losses from the general taxpayer back to the
occupants of the floodplain.. The second phase of evolution, 1973 to
1984, began after a major flood disaster
By the add-1960's, few local governments (Tropical Storm Agnes) revealed that only a
had adopted floodplain zoning and building small number of insurance policies were in
codes. force. New legislation tied insurance program
participation to eligibility for disaster
In 1968 the Federal government established assistance payments and to Federal financial
the National Flood Insurance Program (NFIP) guarantees including home mortgage money. This
which made flood insurance available and used legislation was followed in 1977 by an execu-
premium income to reduce disaster assistance tive order which tied other Federal programs to
costs. Before this little flood insurance was the insurance program standards and encouraged
available from the private sector and only the participation in the program. In 1980 a
owners of high risk property sought to purchase section of the Flood Insurance Act (Section
insurance. 1362) was funded to permit FEMA to acquire
severely damaged insured property, thereby
The National Flood Insurance Program was allowing removal -of some of the very high risk
based upon 5 major premises. First, the program properties from the floodplain.
was to be voluntary and insurance availability
was to be conditioned'upon community adoption Also in 1980, a mechanism was established
and enforcement of floodplain management regu- to create post-flood hazard mitigation teams
lations (zoning ordinances), sub-division regu- for the purpose of assessing opportunities-to
lations, and building, codes). Second, flood- guide Federal disaster -assistance to take
plain management. regulations were to become advantage of mitigation opportunities.
more stringent and the amount of available

120

In retrospect, this period was marked by year base flood standard and Federai flood
the development and testing of the program and hazard information maps, require setbacks from
the integration of mitigation tools. The major mean high tide in coastal areas and from flood-
commitment of resources was on the refinement ways and riverine areas, elevation above the
of hazard identification methods, especially base flood elevations in most cases, the use of
for coastal communities, and the adoption of flood resistant design and materials,establish-
floodplain regulations by these communities. ment and maintenance of a permitting system and
Experience also permitted the refinement and its documentation, and the monitoring and en-
simplification of insurance rates and sched- forcement of these ordinances.
ules.
Federal penalties for failure to meet
The current period of evolution, which federal guidelines and local program require-
began in 1984, represents a new stage of ments may be assessed to the community or the
maturity for the insurance program. The prog- individual property owner. Communities which
ram is now beginning to function as a package are deficient in the maintenance and operation
of articulated mitigation techniques with in- of their permitting system or allow violations
centives and disincentives reinforcing mitiga- of their ordinance requirements, may be placed
tion. Hazard identification activity is moving on probation. Probation is essentially a warn-
from initial mapping to maintenance phases and ing and after October 1, 1986, will include a
resource commitments to this activity are premium surcharge to reflect additional risk
beginning to decrease. Concomitantly, recently represented by the program deficiencies and
established community assistance and compliance violations. Failure to correct deficiencies
monitoring programs are receiving more re- and violations can result in suspension of com-
sources and impact on community performance in munity eligibility for the insurance program
the program. The insurance rate system has and thus the termination of both the direct
been stabilized and a field verification benefits of the insurance program and indirect
mechanism is now being implemented. The trade- benefits associated with other proRrams. The
off of Federal benefits for local government impact of probationary status is largely poli-
and private sector mitigation actions is begin- tical while the impact of suspension is both
ning to have a major effect on flood losses. economic and political.

Penalties may also be imposed upon the
TRADE-OFFS OF FEDERAL BENEFITS individual property owners who carry out
property improvements or new construction in
FOR LOCAL FLOODPLAIN REGULATIONS violation of community ordinances. This may
involve the assignment of increased insurance
As indicated earlier, the central premise rates which can pose a severe economic penalty
of the flood insurance program is a quid-pro- or may involve the denial of insurance eligi-
quo whereby Federal benefits are made available bility which also can have severe economic
in- return for local government regulation of impacts.
floodplain activity and private citizen compli-
ance with local regulations. The Federal bene-
fits consist Of those which are directly pro- THE CURRENT STATUS OF THE PROGRAM
vided by the National Flood Insurance Program
and those which are conditioned upon participa- There are approximately 6 to 8 million
tion in the program. structures located in the floodplains of the
U.S. Of these, 1.9 million are insured and a
Direct Federal benefits include provision small number, 108 properties, have been denied
of flood hazard information in the forms of insurance because they have been built in vio-
maps and studies detailing the extent, depth, lation of program standards. Insurance coverage
and velocity associated with the 100-year base for structures and contents totals 123 billion
flood. The availability of subsidized insur- dollars with an average cost of $225 per pre-
ance for existing structures and actuarial mium for $65,000 of coverage.
insurance for new structures is a second direct
benefit. Other direct benefits include eli- Of the 17,600 communities participating in
gibility for purchase of severely damaged the program, approximately 200 have been sus-
property, and technical assistance and infor- pended for failure to adopt minimum required
mation on mitigation techniques. regulations. Seven communities currently are
on probation for failure to enforce their regu-
Indirect benefits or those conditioned lations and one community is under suspension
upon participation in the NFIP include eligi- for failure to enforce its regulations.
bility of individual structures for Federal
financial assistance or guaranteed mortgage The maturation of the flood insurance pro-
money, eligibility for disaster assistance gram is associated with several factors. To
grants and loans to communities and indivi- begin with, the program has been in place for
duals, and under the floodplain management 10 years in most communities. This means that
executive order, eligibility for Federal flood several generations of elected officials have
control programs such as those of the Corps 'of had experience with the program and it is now
Engineers. becoming accepted as a necessity despite the
political difficulties of carrying out land use
Local regulations involve the adoption of regulations in attractive floodplain locations.
floodplain ordinances which recognize the 100-

121

The financial, real estate, and construc- floodproofing of existing structures and more
tion communities now have knowledge and experi- effective stormwater management. The strategy
ence with the program and are better able to of shifting flood hazard costs to floodplain
adjust to the program's requirements. At the occupants by providing Federal benefits in
state level, floodplain management capability return for local management of fioodplains will
has been steadily increasing. States now pro- continue to be the centerpiece of flood loss
vide considerable technical assistance support mitigation activity in the U.S. Even though
to individual communities. Most decision-makers this strategy is successful, there will always
concerned with use of floodplain lands have be a residual function for theFederal govern-
experience with the flood hazard maps, the ment as the@ source of funds of last resort in
building standards, and the insurance rates the event of catastrophic flooding.
associated with the program and better
decisions are being made.
RECOMMENDATIONS
As the program matures, two key problems
must be resolved if the program is,going to Based on our experience to date with pro-
shift sufficient flood. loss costs from the. viding Federal benefits for local government-
general taxpayer to the occupants of the flood- floodplain regulation under the National Flood
plain to allow insurance premium income to ap- .-Insurance. Program it is clear that a "benefits
proximate insurance claim payments during an for mitigation" trade-off mechanism can be
average year. The goal of the program is to viable. Several. recommendations are offered-
achieve break even -or self sufficiency status for implementing such a trade off mechanism in
by 1988, recognizing that the Federal govern- other contexts of countries.
ment will have to act as a reinsurer for
catastrophic flood events. 1. Mitigation requirements must be
doable and politically acceptable.
The first problem is heavy flood losses
associated with structures which were built 2. Since an assimilation period of 10-15
before the National Flood.Insurance Program was years may be required, both the
established and thus are."grandfathered"-into Federal and local governments must
the program at subsidized insurance.rates even prepare their programs carefully and
though they do not meet floodplain regulatory exercise patience while acceptability
criteria. . Technical experts are now seeking to is being establish6d.
determine which methods are most appropriate
for floodproofing the different types of struc- 3. A mitigation technical assistance
tures, which of these are economically and program must be undertaken and sus-
politically feasible, and which incentives are tained to develop, public awareness
available or needed to encourage. property aCn-d-demonstrate feasibility.
owners to modify existing structures to make
them resistant to flood damages. Resolution of 4. The benefits and mitigation require-
this problem will be incremental over the next ments must be clearly directed at the
several years. same objective of loss reduction and
proposals to incorporate other objec-
The second problem is the heavy flood los- tives could or should be reviewed
ses caused by the inadequate drainage in new with great care. Addition of other
urban developments. Many communities lack or objectives can destroy or confuse the
have inadequate comprehensive stormwater man- constituency supporting mitigation.
agement programs. When the National Flood
Insurance Program was conceived, stormwater A worthy research project would be the
management was not considered a problem and systematic evaluation of experience with each
program objectives were directed at.mitigating of the direct and indirect benefits and the
over-the-bank and over-the-shore sources of mitigation trade offs under the National Flood
flooding. Local drainage and local responsi- Insurance Program from 1968-1985.
bility must be distinguished from Federal
responsibility. Criteria to distinguish local
responsibility have been developed for other
Federal programs associated with the construc-
tion of flood control structures.

Both the existing structure and the storm-
water management problems will likely be met by
a further definition of Federal benefits and
trade-offs involving mitigation tools. During
the next 3 to 5 years, I expect both the
methods and criteria for resolving these issues
will be conceptualized but implementation will
continue for years.

The prognosis for the flood insurance pro-
gram is one of increasingly effective use of
the mitigation tools. This will include incor-
poration of additional tools to encourage the

122

cHapy[En
BUILDING DESIGN AND DISASTER MITIGATION

This chapter examines retrofitting needs Carl Pace next examines, more
and options in rebuilding and repair. French specifically, techniques to modify homes and
Wetmore first describes post-flood mitigation buildings to prevent floodwater damage.
survey procedures developed by Illinois to
identify specific rebuilding, repair and Chris Jones suggests procedures for
relocation options. evaluating hurricane shelters and other flood
resistant structures for use as refuges during
Douglas Lash discusses the problem of hurricanes.
multiple loss structures in the National Flood
Insurance Program and the effort of the program Carlton Ruch and his co-authors discuss
to develop guidance materials pertaining to the role of structures as "vertical refuges"
retrofitting as well as new construction. during hurricanes where evacuation is not
possible or practical.

123

Post-Flood Mitigation Surveys

French Wetmore
Illinois Division of Water Resources
Chicago, Illinois

INTRODUCTION above criteria. This technique would be used as
an initial planning tool.
After a devastating flood like the 1976 Big
Thompson flash flood or a coastal storm surge, it For the purposes of the study, we identified
is often easy to identify mitigation six categories of flood protection which are
opportunities. When buildings,are demolished, listed in order of providing the most protection
local governments can prohibit reconstruction or to the least: demolition, relocation,. elevation,-
require that -replacement buildings meet flood levee or floodwall, dry floodproofing, and wet
protection standards. Alternatively, government floodproofing. Sheaffer & Roland identified the
agencies can.often acquire sites at a relatively key factors that determine whether a building.can
low cost-.,the price of vacant lots. or should be protected by the measures.. The key
factors are (1) characteristics of the building
This is not true for an almost flat state and (2) the flood hazard.
like Illinois which is subject to shallow, low-
velocity flooding. Flooding is frequent but Characteristics of the building include:
usually does not cause 11substantial damage" to
buildings. Because buildings are not - general condition (unsound buildings are
substantially damaged, flood plain, regulations recommended for demolition),
cannot be used to mandate relocation or other
protection measures. Flood plain residents are - whether the building is large or small
not ready or willing.to voluntarily move their (small 1 or 2-story buildings can be
minimally damaged building out of the flood moved or elevated easily),
plain.
- foundation type (buildings on a crawl
space or basement can be moved and
ASSESSING MITIGATION OPTIONS elevated easily, while buildings on slab
can be dry floodproofed),
The most appropriate mitigation response for
the majority of-the flooded properties in flat type of siding (masonry siding can be dry
Illinois is elevation of buildings or floodproofed while other sidings make for
floodproofing. Because it is not easy to quickly a lighter building which is easier to
tell what should be done for buildings that are elevate or move).
not substantially damaged, the Illinois Division
of Water Resources needed a technique to identify
mitigation opportunities. This technique had to Given Illinois' riverine flood situation, we
meet the following criteria: only needed to focus on two aspects of the flood
hazard: velocity and depth. Data pertaining to
a. It had to be simple and cheap so local each of these are contained in FEMA flood
officials could use it. insurance studies. Because there are many areas
in Illinois where the floodway has a low velocity
b. It had to be quick so it could be used in and shallow flooding occurs even during the 100-
a post-flood situation before people year flood, we did not automatically consider
begin rebuilding. every floodway as a high hazard area. We did
decide that average floodway velocities of
c. It did not need to be highly accurate, greater than 5 feet per second should be
only dependable enough to be used as a considered high hazard and buildings should not
first round planning effort to identify be floodproofed or protected by levees in such
opportunities. Later, more detailed areas.
study could more fully develop the
appropriate mitigation technique. We were concerned with flood depth
increments of 3 feet over the first floor:

In 1983 the State of Illinois obtained 0-3 feet meant that masonry sided
Supplemental State Assistance Program funding buildings on slab could be dry
from the Federal Emergency Management Agency floodproofed,
(FEMA) to hire the firm of Sheaffer & Roland to
prepare a building survey technique which met the

124

- 6 feet is the practical limit for a local hearings were held to ensure community and
floodwall or levee, property owner support.

- elevation of the structure was not All three communities are proceeding with
@considered feasible at depths greater redeveloping their flood plains with funding front
than 9 feet. FEMA (1362), the Community Development Block
Grant, the Division of Water Resources, and local
sources.
The most difficult piece of information to
collect proved to be the depth of the 100-year
flood over the first floor. For this we POST-FLOOD APPLICATIONS
developed a technique using a hand level and
known ground elevations in the survey area. This What about.use of the survey technique in a.
is the one part of the survey that is subject to post-flood context? At first we expected the
the greatest error and several- warnings are survey to be used primarily in the post-flood
included in the manual. situation. We expected that most communities
would use it to analyze their flood problems
Once all the field data are collected.on the immediately after a flood and help select the
survey forms, the surveyor traces each building appropriate response@ There are four reasons why
through a flow chart. The flow chart identifies post flood analysis is timely:
the appropriate flood mitigation measures in
order of preference. The surveyor is advised to 1. A flood brings federal, state, and local
plot the results on a map of the neighborhood to people from various agencies and fields
provide the basis for a general concept plan. together to focus their attention on the
community and its flood plains.
The concept plan is then refined with other
available data. For example, even though the 2. Both citizens and elected officials are
initial survey results recommend elevation. or more interested and more willing to spend
floodproofing, if a building is for sale or time on the flood problem and to try. new-
adjacent to a park, the most appropriate measure solutions.
may be acquisition. Flood insurance claims data
can be used to identify buildings that qualify 3. If the damage is severe enough, it may be
for purchase under Section 1362. The survey relatively easy to clear heavily damaged
results then need to be discussed with the or destroyed areas and start anew.
property owners. In many cases interior
inspections by an engineer or house mover are 4. If the damage is severe enough -to warrant
needed before final decisions are made. a federal disaster declaration, there may
be several additional sources of money to
buy or rebuild properties with flood
Testing the Technique protective design.
Following field tests in three communities, Accordingly, we modified the survey so it
we refined the survey and published Local could be applied in a post-flood context. The
Assistance Series 3A, Surveying Buildings for key difference from the pre-flood survey is that
Flood Hazard Mitigation. Following publicaCio-n the post-flood process is speeded up by utilizing
of the manual, I helped two small towns, Thebes the high water marks on the buildings rather than
and Kampsville, conduct surveys and prepare using a hand level and estimated ground
preliminary mitigation maps. In both towns we elevations to determine the depth of the 100-year
used a level on a tripod to ensure accuracy and flood.
we double-checked some of our findings with
owners' recollections of elevations of recent Even though we developed the post-flood
floods. (Kampsville found the elevation data survey technique and expected to use it more than
very useful for warning and evacuating residents the pre-flood one, we have yet to apply it. This
and building contents during the Spring, 1985 has not been for lack of floods, however, for the
flood). post-flood survey to be used there are two
-prerequisites:
The survey was also conducted for the Rome
area of Peoria County by a registered land a. the community must already be interested
surveyor,. financed by a Hazard Mitigation in mitigation,
Assistance Program grant from FEMA. The
elevation data and other survey results were b. there must be someone familiar with the
entered into the county's computer and cross- technique and able to apply it.
referenced with property tax assessor's files.

Three communities later refined their In most instances we had already helped
preliminary mitigation maps with additional data. those communities interested in mitigation.
Eligibility for Section 1362 acquisition was the Other than in Thebes, Kampsville, and Peoria
most important additional information. Patterns County, local leadership has not given flood
appeared showing where most of the buildings on a hazard mitigation high priority. We have also
block should be purchased, moved, or demolished. found that local officials need help. in
.In such cases, redevelopment plans pointed toward understanding and beginning the survey.
clearing theentire block.. In all cases, public Therefore, for the post-flood survey to work, the

125

Division of Water Resources must go to the CONCLUSIONS
community, get the local officials' attention,
and help,run the survey. Our experience leads to one' obvious
recommendation on post-flood surveys: Don't wait
We were unable to do this after the last until after the flood to do your post-flood
flood. In February and March, 1985, flooding on planning. A pre-flood survey and advance
the Illinois River Basin was so widespread that planning can accomplish the following post-flood
we had our hands full meeting groups of officials mitigation objectives:
from the many affected communities. Since we
felt a responsibility to ensure that@ local 'it will build an interest lin mitigation
officials were properly enforcing reconstruction and help property owners become familiar
regulations, we could not devote the necessary with mitigation options,
time to run the post-flood mitigation survey. We
followed the crest downstream and in four days it will build good relations between
met with representatives of 51 communities and 10 local officials and flood plain
regional or disaster assistance agencies. At residents,
these meetings we discussed their obligation to
regulate reconstruction, the disaster declaration property owners-at risk can be advised of
process, flood insurance, and hazard mitigation. the hazard they face and take protective
We advised them that if they were interested in action such as purchase flood insurance,
mitigation, we could visit them later. A few
communities did ask for a visit and some long surveyed building elevations will help in
range planning has begun. warning and evacuation which will
minimize contents damage,
We did conduct a "windshield survey" of
buildings in the 33 hardest hit communities. We flood fighting efforts can concentrate on
looked for easy-to-recognize signs of substantial areas not targeted for clearance,
damage: collapsed foundation walls. The problem
of post-flood mitigation in Illinois is the flood plain regulation ordinance can
illustrated by our findings: in the 23 counties be amended to set a more restrictive
declared disaster areas by the- President, we threshold for substantial improvements in
found only 28 buildings with obvious structural areas targeted for clearance which would,
damage. in effect, prohibit' reconstruction in
those areas, and
After completion of the.windshield survey,
we sent letters to the persons responsible for applications for funding assistance can
enforcing the local flood plain regulation be readied for submission with disaster
ordinances, telling -them the addresses of each assistance.
building, restating the regulatory
responsibilities under the National Flood
Insurance Program, and offering to help work with RELATED LITERATURE
the property owner to obtain funds for
acquisition or reconstruction to regulatory Copies of the following are available from the
-requirements. Five months later we checked the Illinois Division of Water Resources, 310 South
status of the buildings and found: Michigan Avenue, Room 1606, Chicago, IL 60604.
6-rebuilt in accordance with flood Surveying Buildings for Flood Hazard Mitigation,
protection'requirements, Local Assistance Series (LAS) 3A, 1984.
"red tagged" for attempting to rebuild Protect your Home from Flood Damage, LAS 3B,
without a permit, 1984.
.8 not repaired or rebuilt, -Elevating and Relocating a House to Reduce, Flood
Damages, LAS 3C, 1983.
6 not rebuilt/being reviewed for Section
1362.acquisition, Elevating Flood-Prone Buildings: A Contractor's
Guide, LAS 3D, 1985.
7 more detailed review had not found they
were "substantially" damaged.

It is interesting to note that in.this post-
flood survey of 23 counties, there were only 21
buildings that warranted enforcement of the
substantial improvement regulations. In its pre-
fl ood survey one town (Kampsville) identified
appropriate mitigation measures for 100 buildings
and expects to obtain financial assistance to
acquire or elevate 53 of them. The remainder are
on higher ground and property owners will be
advised of self-help measures.

126

Reducing Future Flood Losses: Retrofitting Existing Construction

Douglas Lash
Federal Emergency Management Agency
Washington, DC

INTRODUCTION cable to new construction. Their long-term
impact in terms of reduced exposure to flooding
This paper addresses four basis questions was thought to be significant.
relative to the problem of reducing flood los-
to existing floodplain construction. The For the purpoaes of this paper, the term
paper reflects the policies and experiences of frexisting constructiontr refers to the broad
the National Flood Insurance Program (NFIP). class of buildings which have been constructed
without regard to potential flood hazards, and
First: What is the NFIP's current program which have been built prior to the adoption of
policy regarding existing construct- floodplain management regulations required of
ion? How effective has it been in communities which participate in the NFIP.
reducing flood losses?
As has been suggested by a number of
Second: How big a problem, in terms of loss studies (1) and as evidenced by enforcement
experience and exposure,,does "exist- evaluations conducted in participating NFIP
ing" construction pose? Does it war- communities, it is probable that substantial
rant corrective regulatory or finan- improvement requirements have had little effect
cial consideration? ' in reducing losses to existing construction.
Third: What .practical measur.es are available Two principle reasons for this include:
i.e., actions which are both physi- Administrative difficulties at the
cally and economically feasible, local level in applying the provi-
which can be applied retroactively to sions (including legal difficulties),
existing construction? rule int6rpretat ion problbms, hard-
ship considerations, and political
Fourth: What options would appear to be pressures.
available to encourage application of
corrective, mitigating measures for A high percentage of non-coastal
existing construction? flood events which have occurred in
this country in the last 15 years
have not resulted in damages to
NFIP LOSS REDUCTION MEASURES buildings which have required appli-
cation of the substantial improvement
FOR EXISTING CONSTRUCTION requirement. In fact, it appears that
in large percentage of the non-
From NFIP's inception, it was reasoned coastal flood situations in the
that adoption and enforcement of floodplain United States, the occurrence of even
management measures would reduce future losses an extreme event, such as the 100-
in three ways: (1) through preventive action year flood, will not result in damage
for new construction, either by requiring that levels sufficient to trigger the sub-
strucT-ures be elevated or floodproofed above stantial improvements requirement.
the 100-year flood level and restricting con-
struction within designated floodways; (2) The second program provision which was
through corrective action for existing con- intended to address the existing construction
by requiring modification of struc- problem involves purchase of flood damaged
tures whenever they were substantially improved property under Section 1362 of the National
(or repaired); and (3) under the Program's Flood Insurance Act. Under this program,
Section 1362 provision, by. acquiring and structures may be acquired which have either
removing severely or repetitively damaged pro- incurred significant repetitive flood damage (3
perties from the floodplain. Substantial losses in 5 years, where the average damage
improvements in requirements for existing amount equals or exceeds 25 percent of the
construction were historically viewed. as a value of the structure), have been substan-
'primary tool -that would, within a reasonable tially damaged (50 'percent or more) from single
period of. time, lead either to removal of casualty event, or where a damaged structure is
non-conforming structures and uses in flood precluded from repair by a local regulation.
hazard areas or require their modification so
they would conform with the regulations appli- Since 1980 approximately 600 structures

127

have been purchased under this program at a damage amount to these structures was
total cost of $20 million. Through 1984 the $200 million higher).
.predominant qualifying criterion involved
structures which had been substantially damaged Of that amount, 60 percent or $1.16
by a single flood event. Comparatively, 90 billion was paid on those structures
percent of the projects initiated in 1985 are which had incurred only 1 logs
qualifying under the repetitive loss criterion (200,000 buildings).
of 3 losses in 5 years. Although this trend
suggests that the program will have an "imme- Forty percent of the total amount of
diate" impact on reducing future flood losses claims paid- ($755 --million) has
to some high risk (i.e., repetitive loss involved buildings which have
history) properties, the overall impact is suffered 2 or more losses.
probably not that significant given the limi-
tations of funding and other requirements for 2 losses - $409 million
qualifying for purchase under the program. 3 losses - 201 million
4 or more - 145 million
The conclusion which can be drawn from our $755 million
short term observation of these two program
components, is that although there.is evidence Two percent of Policy Base (or 14
that net positive gains have been achieved percent of the buildings with a claim
through application of the substantial improve- history), . has incurred 2 or more
ment regulations and the Section 1362 program, losses accounting for 40 percent of
these programs by themselves can not be expect- the total amount of claims paid.
ed to have a significant impact in reducing the (See Figure 2.)
sizeable inventory of existing at-risk flood-
plain development. Figure 1
CLAIMS ACTIVITY 1978 - 1984

EXISTING CONSTRUCTION 1,OSS EXPERIENCE

TOTAL POLICY BASE
Almost 20 years ago, a report to Congress 1.5 MILLION
investigating the feasibility of the NFIP,
estimated (without the advantage of credible
loss experience. data) that approximately 65 ILM NO CLANS
percent of the country's average annual flood 200,001 KDS
losses occur to. structures located within the 14% 16%
10-year floodplain - 95 percent within the
CWM
50-year floodplain (2). While these figures tm on -
were always treated with some skepticism, mam-
information now available on repetitive losses
to buildings insured under the NFIP suggest
that the historical estimates are quite reason-
able. 110.001D CLAIMS HAVE BEEN SETrLED ON IN 33.1500
BUIL@3 WHICH HAVE BEEN FLOODED TWO OR MORE
The NFIP's claim activity between 1978 and TWES SINCE IM
1984, shows that out of a working base of 1.5
million insured buildings, there have been:

.233,500 buildings which have suffered
a flood loss (16 percent of the total
policy base)
Of that total, 200,000 buildings have Figure 2
suffere 'd one insured loss, and 33,500 CLAIM OUTLAY BYREPETITIVE LOSS CATEGORY.
or 2 perc@e_nt of the policy based have
had more than 1 loss: 1978-1984
2 losses - .23,000 buildings
3 losses - 7,300 buildings
4 or more - 3,200 buildings
33,500 buiIldings 2 Los= 2% OF THE POLICY BASE HAS INCURRED 2
Since 1978 these 33,500 building's SM M OR MORE LOSSES ACCOUNTING FOR 40%
ILM OF THE TOTAL AMOUNT OF CLAIMS PAID
have incurred a. total of 80,000 3 Lenn 110110
separate claims (see Figure 1). SM IN 60%
to,#
The actual dollar claim distribution for
buildings insured under the program reveals
that: 2 or 10M t@ -

During the period 1978-1984, $1.91
billion in claims were paid (actual

128

By statistical comparison, it seems prob- placed most house raising costs in the $10,000
able that over half of the insured structures to $30,000 range. These projects typically
which have been repetitively flooded are situ- involved raising structures 4 - 7 feet above
ated within the 10-year frequency floodplain. grade. Most construction projects observed
This becomes an important factor when evalu- involved brick veneer and wood-frame construc-
ating the economic feasibility of various cor- tion on crawl space or slab foundations, with
rective measures. On this basis, we can expect ground floor sizes ranging between 1200 and
this small base of repetitively.flooded struc- 1600 square feet.
tures to cause additional losses in the order
of $75 100 million annually. From an economic feasibility standpoint,
this method of retrofitting has been found to
be almost always cost effective for structures
FEASIBILITY OF RETROFITTING located within the 10-year floodplain and under
certain circumstances in the 10-15 year fre-
EXISTING CONSTRUCTION quency range.

Retrofitting or corrective actions for D. Primary Advantages
existing flood-prone property can take five
principal forms. Each. will be described and Applicable. to a wide range of struc-
then analyzed in terms of physical feasibility, ture types and flood situations.
economic considerations, and primary
advantages. Involves permanent corrective action
which does not require human inter-
vention.
Raising Existing Structure
Additional protection heights can
A. Description. Existing buildings can generally be achieved for small
often be raised in place to a higher elevation additional cost per foot.
to reduce the susceptibility of foundation
failure and inundation damages to the habitable Flood insurance premiums can be sub-
portions of the structure. The steps generally stantially reduced. (Example: Under
involved in raising a structure include: the NFIP, a slab or grade structure,
with $50,000 structural coverage,
disconnecting plumbing, wiring and would have a premium of approximately
utilities $200 per year; elevating that struc-
ture I foot above BFE would reduce
placing steel beams and hydraulic the premium by 60% to $80 per year).
jacks beneath the structure

either extending existing foundation Small Floodwall/Levees
walls and piers, or constructing a
new foundation A. Description. Both levees and flood-
walls are under some circumstances extremely
lowering and anchoring the structure effective in reducing losses to existing con-
onto the extended foundation, recon- struction. Levees can be constructed using
necting service lines, and adjusting compacted soil with an impervious inner core to
access points. prevent seepage. Floodwalls are generally com-
posed of brick, stone, or concrete. With
B. Physical Feasibility. Almost any type either method, provisions must be made for
of construction - crawl space, slab-on-grade, handling water accumulations inside the prot-
masonry, brick veneer, etc. - can be elevated ected area which result from seepage or
in place. The practical limitation of this internal runoff.
method is governed primarily by cost. Wood
frame residential structures constructed on B. Physical Feasibility. Unlike other
crawl space foundations are particularly easy available retrofitting measures, the floodwall
to raise. Almost any type of elevated founda- or levee option is not limited by the physical
tion can be used with this retrofitting attributes of the structure and therefore is
method. Its application is only slightly more feasible for any type of existing construc-
limited by hazard type-and elevation than for tion. The question of physical feasibility
new construction. centers more on site conditions - topography,
available space, compatibility with existing
C. Economic Considerations. The costs use, soil and water conditions; and on the
associated with retrofitting using elevated nature of flooding velocity, depth and warning
foundations have been found to vary widely time.
according to factors such as structure type,
size, shape, condition of house, type and For most residential applications, protec-
height of elevatedJoundation, and local labor tion heights of up to 5 feet are considered
conditions. practical from a technical design standpoint.
They should be avoided in areas which are sub-
A survey of some 40 elevation projects, ject to higher flooding levels, or where long
duration or high velocity flow conditions are
expected.

129

C. Economic Considerations. As with upon the availability of adjacent, less flood-
elevation-in-Dlace. the costs for constructing prone locations within the structure. Every
levees and floodwalls tend to cost about a structure has some contents or utilities which
third more than a levee of similar height and can be either relocated or protected - the more
length. Overall, levee and floodwall costs there is, the more damage that can be reduced.
range from one-half to one-third less than the
cost of elevating-in-place to the same height. C. Cost Considerations. Costs to rear-
range or protect damagable contents depends
A sampling of project costs for levees and upon the specific actions taken. Some surveyed,
floodwalls suggests that for a protection.level costs for- utility equipment protection is as
of 5 feet, levee costs range from $30 - $40 per follows:
linear foot. Concrete masonry walls range from
$50 $60 per linear foot. small wall shielded $250.00
furnace enclosure
D. Advantages/Limitations. (6" high)

Prevents direct exposure of the suspended utility $700.00-1000.00
structure to flooding including system platform
protection of areas outside the
perimeter of the structure. relocation of furnace $2000.00
and air conditioning
Not dependent on size, type or condi- to upperfloor
tion of the.structure as in the case
of elevation-in-place4 It may be
effective for many areas subject to Sealants/Closures
repetitive flooding, where typical
flooding characteristics involve low A. Description. Residential structures
depths - and velocities, and stage- with exteriors generally impermeable to water
-frequency- differences between the can, in a limited number of situations, be made
10-year: and 100-year event are small water tight by installing watertight closures
(i.e., low flood hazard factors). to openings such as- doorways and lower level
windows. Seepage rates, while difficult to
Overtopping of design level may eliminate, can be reduced by applying water-
increase the level. of structural proof sealants or wrap-around plastic membranes
damage. for all floodwater contact points. Closures
may be temporary or permanent. Temporary
Obstruction of flow or removal of closures are installed only during a flood
floodwater storage can increase threat and therefore need sufficient warning
flooding on adjacent property. time for installation.

Insurance rate reductions generally I B. Physical Feasibility. Very little
not applicable. experience data is available on the reliability
and effectiveness of sealants and closure
Use of shields requires human systems for residential construction. This
intervention. combined with the inherent limitations and
drawbacks presented by these techniques do not
make this a method of choice for most flooding
Space/Use Adjustment - Raising Utilities situations. Because most residential struc--
tures are not designed to withstand hydrostatic
A. Description. To one degree or another pressure on exterior walls and floor systems,
it is feasible to either relocate damageable it is imperative where this method is being
contents or utilities to a less damageable considered that a structural analysis of the
location, or to protect in-place. Some of the building and analysis of soil and hydrologic
more obvious examples include: conditions be performed.

protecting furnaces, water heaters, These methods are generally appropriate
air conditioners,. washers/dryers and only for structures with slab foundations and
other similar property by raising with exterior walls constructed of brick, brick
them off the flood, or by relocating veneer, concrete, concrete and masonry block.
to higher floors. For most residential construction, design safe
levels for water exclusion should not exceed
Eliminating or relocating habitable two feet.
space, including finishings and con-
tents subject to flooding. Relocation
B. Physical Feasibility. The degree to
which property can be rearranged and protected A . Description. Relocation of an exist-
is site-specific. It depends on the flood haz- ing structure to a non-floodprone site is the
ard (principally depth and frequency of flood- most reliable of all "retrofitting" methods.
ing) upon the damageable contents or utilities, It is also usually the most expensive. Steps
their type, value, location and movability, and in carrying out this option include purchase of

130

a new lot, preparation of the new site includ- 1986, will result in publication of a technical
ing services and new foundation, raising the guidance manual on retro-floodproofing tech-
structure off its existing foundation, trans- niques. This manual will differ from FIA's six
porting it to the new site, placing it on the existing or recently completed publication ef-
new foundation, and finally, restoring the forts, in that it will focus solely on mitiga-
original building location. tion techniques and methods which can be
applied to existing, non-protected construc-
B. Physical Feasibiliti. In general, tion. This manual will report on the economic
just about any residential structure for which and physical feasibility of applying such
elevation in place is feasible can also be retrofloodproofing techniques as elevation-
transported to a new site. One- and two-story in-place, use of small levees and floodwalls,
wood frame construction built on raised foun- watertight closures, and site relocation.
dations or basements are ususally easy to move
because of the lower structure weight and FIA plans to widely disseminate this
access to the floor joists. Structures of manual, free of charge, as part of a general
brick, concrete or masonry can also be moved. educational effort to promote the feasibility
However additional bracing requirements are and practicability of applying applying retro-
usually necessary to prevent cracking. floodproofing measures. In addition to the
manual, FIA will develop a "flyer" describing
C. Economic Considerations. Costs for the various retrofloodproofing techniques and
relocating residences, exclusive of land cost sources of additional information, which will
at the new site, have been found to generally be enclosed with claim payments issued to
range between $20,000 - $40,000. Most studies existing-construction insureds.
have indicated that even with these higher
costs, relocation is often economically While the dissemination of State-of-the-
feasible for structures located within the Art informationon retrofloodproofing will be
20-year frequency floodplain. helpful in educating both homeowners and the
building professions on application of such
techniques, additional means to encourage the
SUMMARY: STRATEGY FOR application of these methods will be neces-
sary. Thus, the second phase of this strategy,
PROMOTING RETROFITTING APPLICATIONS will involve the identification, formulation,
and as appropriate, adoption of policies or
The preceding discussion has attempted to procedures to accomplish this objective. The
convey the following points: first part of this effort to be performed
during 1986 involves the following steps:
L. First, that the NFIP's statutory and
regulatory provisions (substantial (1) Analyze current policy and claims
iprovement and Section 1362)-have had, data to identify the population of
only a limited impact on reducing existing insured structures which are
losses to existing construction. at risk and for which retroflood-
proofing action may be feasible;
2. Second, loss data suggest that a very
small percentage of the NFIP's exist- (2) Develop a series of case study
ing construction policy base (2 per- analyses illustrating application of
cent) or 14 percent of insured struc- the various types of retrofloodproof-
tures suffering a claim loss, are ing techniques,the resulting economic
extremely flood-prone, accounting for feasibility of each method, and the
40 percent of the total claims payout potential range in benefits accrued
under the program since 1978 -- and by the reduced potential for flood
will continue to accumulate losses of damage and claim payments; and
between $75 -- $100 million per year.
(3) Based in part on the findings from
3. Third, there are a wide number of (1) and (2) above, identify and
mitigation strategies which can be develop the range of program options
physically and economically applied which appear to be feasible given the
retroactively to these repetitively statutory, administrative and regula-
flooded properties. tory limitations of the program.

In view of the above considerations, FIA The latter step will concentrate on iden-
has initiated a number of efforts which begin tification of economic incentives, both posi-
to focus on and address the tremendous "risk tive and negative in effect, which rely on the
exposure" issue involving existing, non- insurance rating and coverage, or statutory
protected floodplain construction. provisions of the NFIP. Positive incentives to
be considered include insurance premium reduc-
This newly adopted strategy involves a tions where corrective mitigation action has
two-phased approach. The first phase involves occurred, providing policy riders for covering
both basic research and information dissemina- part or all of the cost of retrofloodproofing,
tion of the various methods and practices which or providing loans for retro-elevating similar
can be used to reduce losses to existing con- to the provision provided under Section 1362(c)
struction. A research project, started in of the National Flood Insurance Act. Other
October, 1984, and to be completed by April, options to be considered will include use of

131

rating surcharges or co-payment clauses for
repetitive loss cases where no action is taken
by the property owner to reduce future flood
damages.

LITERATURE CITED

Federal Insurance Administration. 1980.
Alternatives for Implementing Substantial
Improvement Definitions, Federal Emergency
Management Agency, Washington, D.C.

Committee on Banking and Currency, United
States Senate. 1966. Insurance and Other
Programs for Financial Assistance to Flood
Victims. U.S. Government Printing Office,
Washington, D.C.

132

Modification of Homes and Buildings to Prevent Floodwater Damage

Carl E. Pace
Waterways Experiment Station
U.S. Army Corps of Engineers
Vicksburg, Missouri
INTRODUCTION retaining a head of water. Two tests on actual
homes were performed. One was a typical block
For several years, the U.S. Army Corps of home just outside of Phoenix,Arizona (Figure 4)
Engineers at its Waterways Experiment Station and the other was a brick veneer home in Tulsa,
(WES) in Vicksburg, Mississippi has been Oklahoma (Figure 5). We wanted to see how
researching to develop nonstructural methods quickly floodproofing systems could be instal-
for protecting buildings from floodwaters. We led and how effective they would be when water
have been developing materials and systems rises outside of the house. Both tests were
which can be installed in existing buildings to successful and suggested materials and systems
reduce flood damages. which can be used to protect a house or build-
ing from floodwaters up to safe water loads.
Each year a tremendous amount of damage is
done to homes and other buildings by flood- In our investigation of the structural
waters. For example, Figure I shows flood- integrity of existing homes, we tested pertin-
damaged homes in Atlanta, Georgia. Enormous ent components (stud to base plate connection,
damages have also occurred in New Orleans, roof rafter and ceiling joist connections to
Louisiana; Phoenix, Arizona; and other locales. the top plate of the wall, wal tie strengths,
etc.) so that a general understanding of the
To reduce damages, a system is needed strength of each component could be obtained.
which a home or building owner can'activate in which @ would allow decisions about failure
approximately 30 minutes and which will prevent mechanisms or the weak links in wall construc-
floodwaters from entering the house or other tion. Entire walls were then tested, and it
building. After the floodwaters recede, the was found that a brick veneer or block wall can
owner should also be able to deactivate the withstand about 3 feet of water loading before
system with no damage to the home or building. damage occurs.

We tested prototype test walls such as
THE RESEARCH PROGRAM brick veneer wall (Figure 6), a typical con-
struction of the end wall of a house; that is,
We started our program at WES with both an it had no roof rafter or ceiling joist sup-
analytical and an experimental study. The ports. An independent support system was
analytical study investigated the feasibility constructed at the back of the wall for LVDT
of using the finite element method to model and gauges which were used to measure the deflected
analyze walls or buildings and determine safe shape of the wall. A trough was constructed in
water loads. Such an analytical study could be front of the wall to contain water, and compu-
done more quickly and at less expense than an tations indicated that a 4-ft head of water
experimental study; variables such as building should be enough to fail the brick veneer
strength and house modifications could also be wall. At 2.4 feet of head, the wall began to
analyzed. It was found in this study that have large deflections with small increases in
deflections and stresses of a structure sub- water depth (Figure 7) and failure occurred at
jected to water loading could be determined; a head of less than 4-feet.
however, the analytical study was terminated
when it was found that the experimental aspects Initially, about 1-1/2 feet of head was
of the problems were more complicated than had pooled against the wall to see how badly the
been expected and that more effort was needed brick veneer would leak, and it leaked very
to investigate practical designs which would badly. The water was removed from the trough
help home and building owners protect their and a liner put in so that a static water
buildings from floodwaters. pressure could be applied against the wall to
determine the water level at which the wall
would fail. Determining,this.failure point was
Testing of Designs critical because, if the wall was protected to
a greater height it would collapse and be
We have now performed tests on full scale destroyed. In other words, it would be better
brick veneer and block walls (Figure 2) to de- to allow water to enter and damage a house than
termine their structural integrity. We also to waterproof it to a level which would col-
have tested many systems and materials on walls lapse the walls.
and test cubes (Figure 3) for performance in

133

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Figure 1. Homes damaged by floodwaters, Atlanta, Georgia

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171

Figure 2. Brick-veneer test wall

134

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Figure 3. Cubes for testing flood-resistarit materials and systems

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Figure 4. Front view of house to be made resistant to*floodwaters,
Phoenix, Arizona

135

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136

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137

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Figure 7..--.Wall I brick-veneer wall and stud.deflections, horizontal gage line

A secon& brick veneer wall (Figure 8)'"was These results..are significant in several
constructed nearly identical with the. first Houses should not be.floodproofed to
wall, except that a 3 foot-by 6-foot, 8 inch heights which will permit structural damage due
door was constructed in its center. The test to water load. Owners-and builders should be
of this wall@revealed that the metal lintel-at informed @about water heights which can cause.a
the top of the door used to support the brick house to collapse. . Individuals attempting to
strengthened the wall to the extent that it was remain -inside their floodproofed homes during a
essentially : the same strength as the wall flood reaching to these failure levels could
without the door (wall 1). easily be killed. The deflections which cause
severe damage to the building are very small
Wall number three (Figure 9) was con- (approximately 0.001 inch).
structed identical with walls I and 2, except
that it had roof rafter and ceiling joist A number of materials were tested to de-
supports. Earlier tests of a number of essen- termine if they, would make a brick or block
tial components and connections revealed that wall impermeable to;a head of water; several of
the motor joint at the base of the wall would them, which were- claimed to waterproof walls,
not fail in shear. Consequently, we were did not. for example, clear sealants that
somewhat concerned that the 6-foot high trough would bead rain water off of the wall would not
selected for holding water against this wall retain a head of water. Other waterproofing
could not permit sufficient force to be applied materials worked temporarily but were not
to the wall to make it fail. However, at a durable and would deteriorate in 6 months:to 2
.57-inch of static water head, there was a loud years. However two were satisfactory. One was
bang and the wall collapsed, with large pieces a waterproofing material from a private corpor-
of brick veneer flying in various directio-ns.- ation, and. the other was a'material developed
The pieces of brick in front of the wall at WES. The material developed at WES used an
(Figure 10) flew over the trough and landed on acrylic polymer to replace some of the water in
the ground. The failure mechanism was a the mixture.
breaking of the studs, suddenly collapsing the
wall. We found that there are materials which
will seal a wall from water penetration. But
XX V,
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138

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Figure 11. Vinyl-coated nylon.fabric@usedIn preparing house toresist
floodwaters

139

the user must be careful in making a selection can help both contractors and building owners.
because there are many materials claimed by The Corps can address areas of special and
manufacturers to be effective which are not. unusual needs where the contractors may not
have the time, money, or expertise to develop
and research solutions. This information could
CONCLUSIONS AND RECOWWMATIONS then be provided not only to contractors but
also to the broader private sector.
We recommend that the system used to
protect the houses in Tulsa, Oklahoma (Figure Based on our work, we recommend that tests
11) be applied elsewhere. This system consists of 'promising cementitious coatings be performed
of an impermeable membrane which is placed in to determine their effectiveness in preventing
the ground to prevent uplift and underseepage. water penetration when subjected to various
The membrane extends from the ground.up the environmental conditions. . In addition, the
wall of the house and is fastened to snap con- penetration or flow of water over various
nections. A trough is located at the ground periods of time through various foundation
level and against the house for storage of the soils should be further investigated. Required
upper part of the membrane when not in use. A depths for impermeable barriers to reduce
drainage, sump, and pump system is located underseepage and- uplift for specific time
behind the flood-resistant construction to intervals in various foundation soils should
collect and remove any underseepage. This also be determined.
system is workable and has performed well in
tests. It can be activated very rapidly and A loose-leaf homeowner's manual should be
has only a few sources of potential problem written presenting the pitfalls of flood-
resistant construction, options for making
Contractors are now installing some of buildings resistant to floodwaters, and other
these systems in existing homes. It will be information which will be helpful to building
mutually beneficial for the Corps of Engineers owners and contractors. The manual should be
and the private sector to work together in organized so that it can be easily updated as
developing such materials and systems. The pertinent information becomes available.
contractors who work daily in floodproofing
buildings will undoubtedly encounter useful Cooperative efforts should be made with
.ideas, new techniques, owner concerns, etc., the public, contractors, material developers,
which will advance our general knowledge. In and researchers to improve water-resistant
the same manneri the Corps is learning much 'construction as quickly and as efficiently as
through its testing and research program that possible.

140

Evaluating Hurricane Shelters and Other Flood Resistant Structures

Christopher P. Jones
University of Florida
Gainesville, Florida

INTRODUCTION the structure is (or is to be) located and by
IWhenever a hurricane threatens a coastal obtaining the best available estimates of wind
area there may be people who refuse to evacu- forces and flood levels. A general procedure
for evaluating existing buildings follows:
who try @to evacuate too late and cannot,'
or who must remain to provide emergency ser- 1. Identify Potential Shelters - this
vices. Local government can minimize the risk should be based on location, eleva-
to these people by designating certain existing tion, type of construction, etc.
buildings as storm refuges or by designing and
constructing new buildings as refuges. 2. Collect Information - obtain plans
Moreover, there may be vital supplies and (as-builts, where possible), specifi-
cations, building modification and
equipment (food, water, medicine, generators, maintenance records; locate the
pumps, communications equipment, vehicles need- designer a Ind contractor; obtain flood
ed for p6st-storm operations, etc.) that must hazard data.
be. sheltered from storms. These may be placed
in buildings that will also protect people, or 3. Inspect the Building - check all
they may be placed in other storm-resistant structural elements and connections,
structures. where possible; note any deviations
from the plans and any defects or
This paper will provide basic guidelines problems; obtain samples of materials
for the evaluation of existing buildings or the and perform tests on building compon-
design of new ones as refuges. These guidelines ents, as required; photograph and
were developed and used during a recent study document the building and its con-
of hurricane shelters- in the Florida Keys dition.
(Spangler and Jones, 1984).
4. Inspect the Building Site - check for
exposure to wind and proximity to
EVALUATION PROCEDURE water; photograph and document adja-
It is critical that the a Itorm resistance cent structures or vegetation that
may shield or damage the building.
of existing or proposed buildings be determined
as accurately as possible. If the resistance 5. Analyze I all Information - the proced-
is underestimated, use of the building-may be ure and effort will depend upon the
lost. If the resistance is overestimated the amount of information available and
results may be even more serious: the building the complexity and condition of the
may sustain structural damage or be destroyed building.
resulting in destruction of needed supplies and
equipment and injury or death of people. 6. Rate the Building - determine the
highest category storm that the
It is important to realize, however, that building can withstand, taking into
the storm resistance of a building cannot be consideration the effects of wind,
determined exactly. In the case of an existing water, waves and debris; note any
building, it is rarely possible to obtain all special precautions or repairs that
pertinent plans, specifications, design calcu- must be made before the building can
lations, construction records and other infor- be used as a shelter.
mation needed to analyze the structure. In the
case of a proposed or new building these items Buildings proposed as refuges should be
should be available, but there will still be located away from shorelines and floodways, and
some uncertainty. This is due to the fact that should be designed to withstand all anticipated
it is not possible to predict the exact wind, wind, hydrostatic, hydrodynamic, wave and
water and debris forces that will accompanya debris forces. Guidance for estimating these
given storm. forces can be found -in numerous references
(American National Standards Institute, 1982;
Despite these limitations, uncertainties Colorado Water Conservation Board, 1983;
can be minimized by making a careful, detailed Culver, et al., 1975; Federal Emergency
investigation of the structure, the site where Management Agency, 1981; Kirkoz, 1982; Mehta,

141

at al., 1981; Texas Coastal and Marine Council, RECOMMENDATIONS
1981; U.S. Army, Corps of Engineers, 1984).
1. Storm shelters and other vital struc-
Whether analyzing an existing building or tures should be located within the
designing a new building, there are many regions where they are needed, but
details that must be considered to ensure the away from sites exposed to wave
protection of the people and equipment inside. attack, high velocity currents and,
Some of these are: if possible, high winds.
.2sure - buildings situated close to the Z. Make sure that' alf parts of the
shoreline are subject to the,most severe structures are designed and con-
wind and wave conditions. structed to withstand all anticipated
storm forces.
Foundation - pile supported structures are
susceptible to failure,unless the pilings 3. Ensure that these structures are
are adequately designed. Structures sup- inspected periodically and that all
ported on spread footings cannot accom- necessary repairs are made before
modate much scour without collapsing. they are used for storm protection.

Exterior walls - have the exterior walls
been designed to withstand the same design
loads as the structural frame? Are the LITERATURE CITED
walls reinforced and/or properly tied to
the frame? Will lower story walls break American National Standards Institute, "Minimum
away under wave attack or will they trans- Design Loads for Buildings and Other
fer loads to .the frame? Structures," ANSI A58.1 - 1982.
Openings - window and door glass are Colorado Water Conservation Board 1983.
especially vulnerable to flying -debris. Colorado Flood Proofing Manu;l, Denver.
Window and door frames should be in good
condition and firmly attached to the Culver, C. G., Lew, H.S., Hart, G.C. and
walls. Pinkham, C. W. 1975. "Natural Hazards
Shutters shutters are important, not Evaluation of Existing Buildings,"
only because they protect glass or other Building Science Series 61, U.S.
vulnerable areas, but also because they Department of Commerce, National Bureau of
Standards, Washington, D.C.
can prevent undesirable internal pressure
increases in buildings.' Shutters should- Federal Emergency Management Agency. 1981.
be solid and should be attached to the IfWays of Estimating Wave Heights in
main structure, not the window and door Coastal High Hazard Areas in the Atlantic
frames. and Gulf Coast Regions," Resource Document
Connections - all structural elements TD-3, Washington, D.C.
should be tied together to resist positive Kirkgoz, M. S., "Shock Pressure of Breaking
and negative loads. Waves on Vertical Walls," Journal of the
Roof - roofs are :4 .usceptible to uplift Waterway, Port, Coastal and Ocean
failures, especially near edges and Division, ASCE, Vol. 108, No. WW1,
corners and when large roof overhangs are February 1982, pp. 81-95.
present. Mehta, K. C., McDonald, J.R. and Smith, D.A.,
"Procedure for Predicting Wind Damage to
Roof drainage - check the capacity and Buildings," Journal of the Structural
condition of roof drains and scuppers. If Division, ASCE, Vol. 107, No. ST11,
these become clogged, can rainfall trapped November 1981, pp. 2089-2096.
on the roof lead to roof overload?
Maintenance - the resistance of buildings Spangler, B. D. and Jones, C.P., 1984.
can be reduced considerably from original Evaluation of Existing and Potential
due to inadequate maintenance. Some of Hurricane Shelters," Florida Sea Grant
the older, monumental-type buildings can Report 68, Gainesville, Florida.
provide some of the best shelter, provided
Texas Coastal and Marine Council. 1981. Model
they are maintained. Minimum Hurricane Resistant Building
Modifications - the installation of plumb- Standards for the Texas Gulf Coast.
ing, air conditioning and other utilities, U.,S_ Army, Corps of Engineers, Coastal
or the construction of additions to build- Engineering Research Center. 1984. Shore.
ings can alter the resistance of, Protection Manual.
shelters. Check for any modifications to
the original building.

14@

The Role of Vertical Refuge

Carlton Ruch, Philip Berke, Norris Stubbs, H. Crane Miller
College of Architecture and Environmental Design
Texas A&M University
College Station, Texas
INTRODUCTION helicopters.
In the early 80's the SLOSH (Sea Lake and Questions arose as the the feasibility of
Overland S rges from Hurricanes) mathematical vertical evacuation. How safe are buildings?
au
,model for computing storm surge height and Would people use these buildings? Would poli-
penetration for specific simulated hurricanes ticians ever recommend the use of structures?
was used for hurricane evacuation planning. We What type of liabilities would be-involved?
now have a "fairly" accurate (plus or minus 20
percent of actual surge height) tool to indi- it was at this juncture that the National
cate when evacuation routes could be blocked by Science Foundation funded a study to investi-
storm surge from specific types of hurricanes. gate the feasibility of using "vertical"
Not only does SLOSH indicate where storm surge shelters. This study (still in progress) is to
blockage may occur, but also wind gusts which investigate the structural, the socioeconomic,
could tip vehicles. the political, and the legal concerns of the
potential use of vertical shelters.
Early evacuation studies, like those con-
ducted in the Tampa Bay area of Florida and the To evaluate the feasibility of the concept
Houston-Galveston area of Texas, calculated the of vertical evacuation, certain potential bar-
evacuation route capacities and the number of riers to the acceptance of the general use of
vehicles that would be using these routes. For vertical shelters were to be studied. These
major hurricanes,.the estimated evacuation time barriers reside . within four study areas:
for Tampa Bay was 17 hours and for Houston- structural; socioeconomic; political and legal.
Galveston it was 26 hours. Vehicles would need
to traverse these routes before they were To evaluate the concerns in each of these
blocked by flood waters or winds. Under cer- areas, we found a common unifying thread of
,tain extreme conditions, storm surge or'wind risk analysis and perception of risk through-
gusting could block evacuation routes up to 20 out. In the arei of structural concerns,
or 30 hours before the time of landfall. building safety. is rationally related to the
Allowing 3 hours for the evacuation message to risk of death to the occupants; building clas-
be disseminated (and for people to pack and sification for vertical shelters is based on
begin evacuating), total evacuation lead times comparative risk levels; and finally upgrading
of 49 to 59 hours were needed before antici- of "non-acceptable" facilities to "acceptable"
pated hurricane landfall. Unfortunately, and the associated costs is again based on a
accurate forecasts of landfall 49 to 59 hours target level of "acceptable" risk.
in advance are not possible.
Under. the socioeconomic concerns, public
To further complicate the evacuation prob- acceptance and use of vertical shelters are
lem, there are barrier islands and coastal based on the public's perception of the level
areas serviced by single 'evacuat 'ion routes. of risk. Sheltering groups also are interested
Should a catastrophic accident take place, or a in the risks involved in utilization of verti-
.loose barge damage the causeway, thousands of cal shelters.
people could be trapped.
The political concerns also focus on risk.
Because these Are very real concerns, a For example, politicians' acceptance of the
solution was -proposed.. -Why not use sturdy vertical shelter strategy is dependent upon
structures as- sites of refuge during a hurri- their perception of the risks involved; that
cane as did people in Galveston who used the leads to what is politically possible and to
courthouse and the medical center during hurri- the identification of potential problems. Also,
cane Carla. The possibility was suggested of the legal issues revolve around a study of the
not only using these buildings as a "refuge", liability risks involved in the use of fa .cili-
but also in conjunction with horizontal evacu- ties for vertical shelters. This concept of
ation where some residents, would evacuate by risk can be seen in the work flow diagram in
vehicles. In contrast with horizontal evacu- Figure I.
ation from an area.the term "vertical evacu-
ation" became associated with the idea of The advisory committee for the study con-
.evacuating people (vertically) in buildings. sists of:
*Much confusion developed over the use of this
term; many even thought it meant the use of

143

Dr. Neil Frank (representing the National effects due to building sway can be reduced by
Hurricane Center) using only the first four or five floors. Also
the use of elevators would be restricted,
Dr. Jay Baker (representing the Florida limiting floor access to stairs, thus making
Perspective) higher levels functionally impractical.
Roy Popkin (representing the American Red Only structures in non-high velocity zones
Cross Perspective) (located outside V Zones as defined by the
Federal Insurance Administration on their Flood
Richard Krimm- (representing the FE14A Insurance Maps) are being-ifivestigated.' Areas'
Perspective) outside V Zones are not subject to storm surge
and fetch sufficient to generate breaking waves
over three feet. Therefore, the major lateral
situation Coastal Areas Becoming More Hazardous to Hurrica force on these structures would be from wind.
T4eats; Risk Increasing; Horizontal Evacuati on I
Perceived as Inadequate. Buildings in V Zones constructed to with-
- _T stand the force of storm surge, waves, and
Proposed Strategy FUse of Vertical Shelters: Last Resort; Itp.ted battering may still be considered as potential
(Based on New 1.1th Horizontal
Technology) shelters. However, at this stage of investiga-
tion our attention is focused on engineered
Study Objective )Evaluate t Feasibility of the Proposed Strategy structures in non-high velocity zones. if
I these structures prove to be feasible as verti-
Areas of Potential Structural Soclo- Political Legal cal shelters, then the more controversial use
Strategy Barriers Concerns "manic concerns Concerns of structures in high-velocity zones can be
Concerns investigated.

Evaluating ildi Public Political Liability
80 nlRisk Acceptance Perception Study of
measures Safety Comparative risk of death is the primary'
to Occupant) m of Perceived m of Risks the Risks
__ Risks Involved criteria in evaluating the structural feasi-
Risk,Analysis and B;Ildi.9 In Use Of
Perception of Risk Classifica- Political I.Altles bility, of vertical shelters. If the risk oft
Are the Basic tion by Risk Sheltering Possibili- death to an individual (under certain:
fta sures Level Group Con- ties
cerns am scenarios) in a vertical shelter is less than
CoTt of- Perception the risk in other options, such as remaining at
Building of Risks Potefftial
Upgrading Problem home or going to a traditional shelter (such as
Areas
Cost Compar_ a school gym), it would be structurally
Shelter Isons of
Capacity . Sheltering feasible. Using data as the performance of
Oetermi- and Evacua- buildings in a wind hazard and an existing risk
nation tion Modes
am, Related algorithm, Dr. Norris Stubbs, principal struc-
it isks
Structural tural investigator, has shown that in 06 event
Guidelines horizontal evacuation is not possible, the use
of a vertical shelter would result in the least
risk.
Conclusions Flt@ Scenarios Based an a Variety of Risk leelT@ Investigating the feasibility of using
vertical shelters along with the horizontal
Figure 1: Wit Flow Blegram evacuation introduces more complicated issues.
Again, the risk to an individual is the key
measurement. If there is a lower risk of death
The project consultant is Dr Robert associated with vertical sheltering in -con-.
nection. with horizontal evacuation,- as
Simpson, former Director of the National contrasted to horizontal evacuation only; then@
Hurricane Center.
use of vertical shelters would be a safer
option.
STRUCTURAL CONCERNS After an exhaustive review of the state-
In order to ascertain the feasibility of of-the-art, Stubbs suggests the use of fault-
vertical shelters, it was decided to limit the tree analysis to estimate the risk to an
structural investigation to. engineered build- individual in a specific structu 're. This
ings over two stories, using only the non-glass technique has been used to estimate risk by
interior portions of the first four or five number of deaths in situations where there may
floors as shelters. be inadequate historical data, such as in the
risk associated with meltdown in nuclear power
Engineered buildings are those buildings plants. The fault-tree analysis process starts
which have received specific, individualized with a defined "undesired" event (i.e. the top
design attention from professional architects event, in this case a fatality) then proceeds
and engineers. The use of buildings over two by deduction to develop a set of contributory
stories insures a higher probability that it events which can cause the top, event. The
received design attention and that shelter process- is continued for each of the contri-
space above potential storm surge depths is butory events until the resulting contributory
available. Using only interior portions of events become basic events (i.e. events for
which statistical information is readily
these buildings minimizes the risk to indivi- available or can be developed by analysis)..
duals of flying glass. Adverse psychological The method generates a diagram (called a

144

fault-tree) which is a model of the event results from fewer evacuations. By utilizing
relationships for the building system. vertical shelters, evacuation times can be
reduced. As a result, more time to make
The basic events identified by the fault- decisions would be available, possibly result-
tree analysis include: the occurrence of the ing in less evacuations having to be made.
hurricane, the probability of failure of the Over a 99-year period from 1886 through 1984
structural frame, the failure of the founda- the following number of evacuations could have
tion, the failure of the roofing systems, the been avoided for a projected 1990 population on
failure of the cladding systems, the chances Galveston Island. The numbers are based on
that an occupant will be killed given that any varying hypothetical percentages of people
one of the above failures occurred. These remaining in vertical shelters.
basic events are then combined to provide an
estimate of the risk of a fatality in using a Percentages of Population Cumulative
specific structure in a specific hurricane. Number
Using these results, the structural safety of in Vertical Shelters of Fewer
actual structures can be rationally compared. Evacuations

10% 3
SOCIOECONOMIC CONCERNS 20% 5
30% 8
In the socioeconomic portion of the study, 40% 10
1,000 questionnaire responses were received 50% 13
from coastal residents residing in Tampa Bay, 60% 18
Florida and Galveston, Texas. In response to 70% 20
the question, "Would you under any circum- 80% 22
stances use a vertical shelter?" twenty-six 90% 24
percent in Galveston and 16 percent in Tampa 99% 26
Bay answered "No". However, for traditional
shelters, 41 and 21 percent respectively, Obviously, the larger percentages of the.
answered "No". Respondents further indicated populations sheltered in vertical shelters
that being surrounded by water would not result in fewer necessary evacuations. No
strongly inhibit their use of vertical shel- substantial economic analysis has yet been done
ters. They also indicated there could be a on potential costs.
significant delay in horizontal evacuation if
vertical shelters were an option. Distance was
also a concern. Fifty-seven percent from Tampa POLITICAL CONCERNS
Bay and 47 percent from Galveston responded
that if they had to travel as far as 10 to 20 While information from research on
miles to vertical shelters it would make,a structural and socioeconomic aspects of this
difference in their use of such shelters. project is essential for solving vertical
shelter problems, its effectiveness will be
In addition to understanding the attitudes reduced or nullified, unless policy makers pay
of potential users of vertical shelters, a attention to the political barriers that can
study was conducted on the attitudes of per- prevent use of such information. Dr. Philip
sonnel from the American Red Cross, the primary Berke, principal investigator for political
sheltering agency. Sixty-one persons from concerns indicates that both enactment and
Texas and Florida and four from the Eastern administration of a vertical shelter program is
Operation Headquarters in Alexandria, Virginia shaped by competing pressures from supporting
were interviewed. Red Cross personnel in and opposing interests. The effectiveness of
larger urban areas with buildings suitable for such a program depends on implementation at the
vertical shelters were more favorable toward local level, involving decisions by local
the use of vertical shelters than were person- officials and private sector participants in
nel in less urbanized areas with few such the case of state or federal mandates, and by
structures or none at all. There was an over- state or federal employees in the case of
whelming preference for the potential use of direct implementaton by state or federal
vertical shelters as a "last resort" or agencies.
"refuge", rather than for their use in con- This study estimates the extent of support
junction with horizontal evacuation. Problems for a vertical shelter program and offers some
identified with the potential use of vertical suggestions concerning implementation if such a
shelters included space allocation, supervi- program proved feasible. The main variables
sion, care of elderly people, equipment pro- that help explain patterns of support and op-
tection, supply, toilets, food, fire protec- position are also examined. Because the formu-
tion, medical needs, ventilation, lighting, and
use of elevators. The ma ority indicated these lation and implementation of a vertical shelter
i program would require state and local govern-
problems could be solved. Personnel in Texas ment cooperation, the focus of attention is
were generally more favorable to the use of centered on state and local governments and
vertical shelters than were personnel in their political environments.
Florida.
In addition to the social aspects, an Data were collected from 71 personal
economic assessment of vertical shelters was interviews of representatives of parties at the
conducted. The primary economic savings would state and local levels (in Texas and Florida)

145

that have a stake in a vertical shelter program
proposal. These parties include: elected
officials, representatives of state and local ......... ... .... ...... .... ..... .
agencies that are responsible for managing
coastal development and hurricane emergency
.... .. ... ...
decision making, conservation groups, real
..... ......
estate interests, and homeowner association
members. Pertinent- statutes, legislative
documents, research reports and emergency and
land use plan documents were collected during ...... ......... . ... ....
the interviews. In addition, follow-up
telephone interviews were conducted with
to further explain personal
interviews
interview responses. ...... .. .........

Figure 2.provides a diagramatic summary of
the patterns of support and opposition to the
proposed vertical shelter program. In Florida, In addition to the findings discussed
there is moderate state and local support from
politicians and regulatory agencies. Develop- ..above, key legal and technical issues and
points of conflict concerning vertical shelters
ment interests in Florida are generally strong- will 'be identified. To achieve successful
ly in favor of the vertical shelter concept adoption and implementation of a vertical
because it eliminates the "growth cap" argument sh .elter program, should it prove feasible,
in high risk areas which is aimed at minimizing strategies that could be used for manipulating
horizontal evacuation times. -Opposition' to the political- environments will be offered.
vertical shelters in Texas, on the other handt'L Such strategies will be based on structural
is much stronger compared to Florida, and risk assessment, legal and socioeconomic
particularly at the state level. findings from other studies associated with the
project.

LEGAL CONCERNS
..........
........ .. ..... ....... ... ......
The final area of study involves legal
'Concerns. Attention is being focused on the
........ .. .... ..... .. . ......... questions of liability associated with the
....... potential use of both public and private
facilities as vertical shelters. In the public
area, studies are in progress by H. Crane
Miller, a Washington, D.C. attorney. In the
majority of states, absolute immunity of
municipalities from liability has been abolish-
...........
. ......... ........... ed either by judicial decision or by act of the
....... ......t. ..... state legislature. Various degrees of limited
...... ... . liability now prevail. The positions of eight
........ .... ......... ........
coastal states are being investigated. These
states include Alabama, Florida, Georgia,
.. ... ..... Louisiana, Mississippi, North Carolina, South
Carolina and Texas. In the area of private
Figure 3 summarizes the variables that are liability, a study is being conducted by the
important in explaining the patterns of support Office of the General Counsel of the Department
and opposition that emerges from a vertical of Commerce.
shelter's program proposal. Although perceived
seriousness of the hazard is equal in both NO recommendations concerning the poten-
states, awareness of the vertical shelter tial use of vertical shelters will be made
concept and degree of statewide interest are until all aspects of the various studies have
much higher in Florida than in 'Texas. ' In been completed.
Florida, parties and their positions of support
and opposition are more clearly identified,
points of conflict are apparent, and parties
have aligned themselves firmly on one side or
the other. In Texas, the political structure
is less defined concerning the vertical shelter FOOTNOTE
concept, and alignments are not as apparent 1
because parties have not given as much atten- This material is based upon research
tion to the concept. Compared to Florida, supported by the National Science Foundation
expressed values in the political environment under Grant No. CEE 83-09511. Any opinions,
of Texas tend to be more individualistic and findings, and conclusions or recommendations
less concerned about exploitation of natural expressed in this publication are those of the
resources, while commitment to carrying out author(s) and do not necessarily reflect the
federal programs tends to be lower. views of the National Science Foundation.

146

CHAPTER 'TEN

WARNINGS AND EVACUATION PLANS

Tropical storm Agnes in 1972 prompted the increased international exchange of information
installation of an estimated 300 flood warning on systems operating with simple and
systems in the eastern United States. Flood inexpensive technology.
warning systems and preparation of evacuation
plans after a disaster are by no means new in A second paper by Stewart Wright examines
the U.S. or elsewhere. But technology has flood warning systems in the Susquehanna River
improved greatly in the last decade including Basin in the U.S. and emphasizes the importance'
use of sophisticated automatic rainfall gauging of local involvement and self-help in the
and computerized analysis techniques combined design and operation of such systems. Without
with automated alarms. strong local involvement the data generated by
warning systems is often not effectively
The first paper in this chapter by Zhao utilized.
Kejing observes that a flood warning system
was first. applied in China in 220 B.C. He A third"paper by David Griffith addresses
emphasizes the :cost-effectiveness of warning evacuation planning techniques for hurricanes.
systems in developing nations and the need for

147

Flood Forecasting and Warning Systems in Developing Nations

Zhao Ke/ing
Ministry of Water Resources
Beijing, China

INTRODUCTION EXPERIENCE WITH EXISTING SYSTEMS

China is a country which frequently suffers Over the years,. flood- forecasting and
from floods. In their long-term struggle against warnings have played an important role in the
floods, the Chinese people have taken flood fight against floods. Before liberation, a major
forecasting and warnings as their "eyes and flood occurred in 1931 along the Yangtze River,
ears". which inundated Wuhan City. The 1939 flood along
the Haihe River inundated Tianjin City. After
Flood warnings date back to the early times liberation, even though the 1954 flood along the
of the Qin Dynasty (221-207 B.C.). Delivery of Yangtze River was larger than that of 1931 and
flood information by the system of relaying the 1963 flood along the Haihe River was larger
information from one station to another was than that of 1939, both Wuhan and Tianjin were
developed then, and has been applied for a long safely protected. Flood forecasting and warning
period in history. For instance, flood reports played important roles.
for the Yellow River during the Ming Dynasty
(1368-16" A.D.) were carried to downstream areas As a developing country, China'stechniques
by establishing stations 15 km apart with shifts for flood forecasting and warning systems are
of horses. Men and horses were changed at every rather simple and not very efficient. The main
station, thus delivering flood information around problems are: 1) Delays. The time needed for the
the, clock to the downstream reaches. However, collection, transmission, and processing of data,
owing to the feudal rule that hindered social and for the forecasting operation and issuing of
progress, the delivery of flood information had warning is very long and usually takes several
long been at a stand-still. hours. 2) Poor reliability of communication.
Communication is sometimes interrupted due to
After the founding of the New China, the rainfall and typhoon. 3) Operation of the
Ministry of Water Conservancy (which has become System. The system is manually manipulated,t
the Ministry of Water Resources and Electric hence a lot of manpower is needed.
Power since 1958) was established. This ministry
has the responsibility for flood control and The floods of 1975 in Henan Province,'and of
water resources management. To meet the needs of 1979 in Guangdong Province brought to our
flood control and preparation of river basin attention these problems with flood forecasting
plans, the Bureau of Hydrology and local and warning. In recent years, with the favorable
hydrological agencies at all levels were placed political and economic situations, radio
under the jurisdiction of the Ministry of Water transmission of flood information has developed
Conservancy. They were given responsibility for remarkably. Several modernized real-time
the establishment and operation of . the telemetering and forecasting systems have been
hydrological network, collection of hydrological established or under construction. Existing
data, and conduct of flood forecasting and systems are being progressively improved.
warning. These hydrological agencies at all
levels concurrently comprise the flood -control I would like to suggest some conclusions
offices. with regard to flood hazard mitigation based upon
the Chinese experience.
In the early days afterthe founding of the
People's Republic, severe flood disasters were 1. Putting-a large amount of investment in
encountered in successive years. In order to the construction of flood control projects is
reduce the losses of lives and property and the not, in many cases, as economical, efficient, and
expenditure for relief, the government made readily implemented as establishment of flood
tremendous efforts to put into place flood forecasting and warning systems. Where a large,
disaster mitigation measures. Flood forecasting uncontrollable event is encountered, the
and warning systems at different levels were structural measures may increase the damage from
swiftly established. In accordance with the flood disaster. For example, the catastrophic
regulations adopted by the government, flood flood of 1975 with a magnitude surpassing the
information reports have priority in the use of design standard caused the dam of the Banqiao
the channels in the telecommunication system. Reservoir, Henan Province, to break. The dam
Also, unified codes and technical specifications break outflow was several times greater than the
were issued. natural ilow and inundated the downstream valley.
In addition, failure of communications during
this flood increased human and property losses.

148

2. The functions and benefits of flood conditions; (3) in considering
forecasting and warning systems have yet to be measures for reducing flood losses the
fully realized. Such systems, if expanded, could appropriate authority should give investment
help forecasting for water supply, drought, and priority to the funding of flood forecasting and
ice regime. If part of a broader, integrated warning systems; (4) in issuing forecastings and
system for data collection and processing, the warnings to the public, maps should be produced
system could be in operation at all times. This showing areas susceptible to submersion. On such
would facilitate management and maintenance. maps the probable flooded villages, roads, and
important buildings should be identified; (5)
3. Flood warning systems should be concerned countries should make full use of
coordinated with meteorological services in order appropriate channels for transferring technology
to make use of weather forecast data. The lead from one country to another, or through
time of flood forecasting could thus be international organizations, and for training
lengthened. Also, with such cooperation, a study personnel, in the field of flood forecasting.
of the feasibility of flood forecasting by using
the QPF (quantity precipitation forecast) as
input could be performed.

4. Users need.forecasts not only of the
water level (or discharge) of a certain cross-
section in a river but also the probable areas,
villages, roads, and buildings that are likely to
be flooded.

5. Taking part in international cooperation
activities and learning about foreign experience
enables us to progressively improve the technical
status of the.existing systems. In this respect,
we have acquired support and assistance from the
relevant international organizations and friendly
countries.

Apart from China, there are many other
developing countries subject to flood disasters,
and tropical cyclones which view flood
forecasting and warning as an effective measure
for mitigating losses. Examples of Asian
countries include the Philippines, Malaysia,
Indonesia, Thailand, Burma, Bangladesh, India,
and Pakistan. Flood forecasting and warning
systems were established in the past decade or
are still under.establishment in all of these
countries. Warning systems have already borne
beneficial results. International organizations
have played a helpful role in establishing these
systems by promoting the transfer of technology,
technical cooperation, and training of personnel.

CONCLUDING REMARKS AND RECOMMENDATIONS

Experience shows that forecasting and
warning is of great importance in flood hazard
mitigation. It is necessary to promote
forecasting and warning systems in developing
countries suffering from floods and tropical
cyclones.

In many developing countries: (1)
hydrological and hydrometeorological data are
insufficient for appropriate flood forecasting;
(2) the financial resources for establishing
forecasting and warning systems are limited; (3)
there is a great need for technology and
knowledge for establishing and operating such
systems; and (4) there is a lack of trained
personnel. In light of these considerations I
wish to recommend that: (1) concerned governments
expand their hydrological networks; (2)
hydrological services aim not only at the high
level of sophisticated technology but also at the
simple and cheap technology appropriate to their

149

Flood Damage Mitigation Lessons Learned in the Susquehanna
River Basin

Stewart K Wright
Susquehanna River Basin Commission
Harrisburg, Pennsylvania

INTRODUCTION River Basin Commission, a newly created
organization, realized that different flo,
od
damage reduction approaches would be needed in
The Susquehanna River Basin has a history of the Susquehanna Basin. Some of the efforts
frequent and severe flooding with eight major supported by and stimulated by the Commission
floods in 100 years. Two major floods in 1972 include:
and 1975 created concern and stimulated actions
at every-level of government. Flood damages in Flood insurance studies. Over 245 flood
1972 were over $3 billion (U.S. Army Corps of insurance studies were completed that covered
Engineers, 1974); there were 125 lives lost and most lengthy stream reaches and many communities.
flood levels were 3 to 5 feet above the top of These studies provided the technical data for
levees and into second stories of buildings in other programs.
many communities. Federal and state funded Urban
Renewal Projectscosting $540 million were used -Flood warning systems. An Interagency Task
to relocate 15,750 people, demolish over 8,000 Force studied the National Weather Service's
and rehabilitate 24,000 buildings (Susquehanna (NWS) flood warning systems and recommended
River Basin Commission, 1975). Today, in spite improvements for systems 'in the Basin
of $460 million investment in structural flood (Susquehanna River Basin Commission, 1973, 1979).
damage reduction projects, average annual flood Improvements which ultimately were implemented
damages are estimated at $82.5 million (1984 included: installation of new equipment;
dollars). increased communication between forecasters and
users; and the development of over 50 self-help
More than 1,300 municipalities are enrolled flood forecast and warning systems as a
in the National Flood Insurance program in the supplement to the NWS system. These currently
Susquehanna. Basin. There are -51,000 , flood provide flood forecasts to 745 municipalities
insurance policies in.force with $1.8 billion in (Susquehanna River Basin Commission, 1976 a and
coverage (Susquehanna River Basin Commission, b).
1984). Only about 50 of these communities have
100-year flood protection by levees and dams. Self-help flood warning systems, organized
and operated by a combination of county staff and
Our studies show that the greatest damage volunteers, have stimulated and become part of
and highest perceived potential for flood damage local community actions to reduce flood damages
(as reflected-in large numbers of flood insurance (Wright, 1980, 1983; Susquehanna River Basin
policies and greater amounts of insurance Commission, 1985b). There are many benefits to
coverage) are in communities where previous these efforts which have been documented by case
floods over-topped levees and flood walls. histories of community and area flood warning and
damage reduction efforts (Flood Loss Reduction
Many communities have attempted Associates, 1982; Susquehanna River Basin
unsuccessfully to obtain structural protection Commission, 1985c). These studies show that in
during the past .60 years. There have been moderate floods, adequate flood warning and well
several large studies and many unfunded projects. organized evacuation efforts can reduce damages
Following the floods of 1972 and 1975, many to contents of buildings between 75% and 90%.
communities drastically changed their approach to Reducing damages to motor vehicles is another
flood damage reduction. They decided that if major benefit.
they were going to reduce flood damages they must
take action on their own. Non-structural flood Data obtained in flood insurance studies has
damage reduction approaches became the most been used for the preparation of Flood Stage
.practical flood mitigation approach. This paper Forecast or Flood Inundation Maps. The maps are
summarizes those activities that have resulted in an information base for individuals, community
a comprehensive self-help flood damage reduction leaders, and others to better understand the
program in the Susquehanna River Basin. impact of flooding, and have been used in
planning and carrying out phased evacuation
efforts. They have stimulated community flood
MITIGATION EFFORTS IN THE SUSQUEHANNA RIVER evacuation actions.
BASIN
Mitigation of industry and public facility
After the flooding of 1972, the Susquehanna problems. Anotb@e-r program has been directed

150

toward the flooding problems of industry and For many industries and almost all-
public facilities. An Interagency Flood Damage wastewater treatment plants, the only practical.
Reduction Team carries out on-site surveys and flood damage reduction alternative is self-help.,
prepares written recommendations for flood damage Well organized and implemented flood evacuation
reduction planning by industries, other plans, and improved design or modifications to
businesses, and public facilities (U.S. Army electrical and mechanical components (by
Corps of Engineers, 1983a). The efforts of this elevating them or making them more easily and
team reveal that there is a significant self-help rapidly evacuated) are most commonly used (U.S.
effort under way to reduce industrial flood Army Corps of Engineers, 1983b; Susquehanna River
vulnerability through a combination of equipment Basin Commission, 1984a).
modification, limited floodproofing and detailed
evacuation planning. Wastewater treatment plants are a major
remaining problem. About 50% of the plants in
A program funded by the Appalachian Regional the Susquehanna Basin are located in the 100-year
Commission has also increased emergency flood plain., Many are constructed so that
communications capability for many counties and evacuation of equipment is very difficult. This
communities in Pennsylvania. Unified central problem has been perpetuated in plant additions
county radio dispatch has resulted -in and some new plants. Many are designed so that
improvements in emergency response capability. it is almost impossible to evacuate large
electric motors and pumps. On-site underground
electric distribution systems contribute to
LESSONS LEARNED increased plant vulnerability.

Compared with pre-1972 conditions, the RECOMMENDATIONS
National Flood Insurance Program, with just under
$2 billion in insurance coverage, is the most Based upon our experience in the
important incentive for flood damage mitigation
in the Susquehanna River Basin. A decline in the Susquehanna, I offer several recommendations:
number of policies - a decrease of over 20,000
policies between 1978 and 1983, or 28% - is of 1. Community compliance with the National
continuing concern (Susquehanna River Basin Flood Insurance Program should be vigorously
Commission, 1985d). monitored and enforced. Reasons for declines in
the number of policies should be studied. Are we
We have learned that flood plain management trading reduced flood insurance subsidies for
objectives should guide the use of disaster higher disaster assistance? Do we know who is
assistance funds. There were great differences not covered by flood insurance? It is
in how disaster funds were used in the recommended that reductions in flood insurance
Susquehanna Basin following flooding in 1972. premium costs be used as an incentive and reward
Some communities ignored flood plain management for municipalities or areas where there are well
principles in use of funds, while others promoted organized and operated flood warning evacuation
long range goals that resulted in support for and response programs.
stringent enforcement of measures to reduce flood
vulnerability. 2. Major emphasis should be focused on
immediate improvements to flood warning systems.
Development of capable and concerned local Self-help flood warning systems provide a means
leadership is the key ingredient in local self- of rapid improvement in flood warning while new
help flood damage reduction programs. Many methods are developed and equipment improvements
communities have developed this leadership out of are budgeted and implemented (Susquehanna River
necessity. Leaders have emerged to fill the Basin Commission,. 1985a).
vacuum created by unfunded federal or state
projects. Without this leadership, many local 3. A joint federal-state program should be
flood damage reduction programs would not have developed, for the support of training and
been implemented. education and for organizational assistance for
community based flood damage reduction actions.
There is a short lead time between heavy There are thousands of communities in the United
rainfall and flooding in many areas of the States that do not have, nor will they ever be
Susquehanna Basin. Improvements in 'flood eligible for, structural flood damage reduction
warning, primarily through self-help flood projects. The only practical approach for flood
warning systems, have.provided warnings to areas damage mitigation for these communities is self-
that did not have them before. These simple help. Little has. been done in many of these
systems have proven their reliability and in turn communities to implement non-structural flood
have stimulated increased flood evacuation. damage reduction programs. It is time to get on
with the job. Progress has been slow because no
Industry and large commercial enterprises program, other than the flood insurance program,
often have different flood situations and has established a local government delivery
problems. Flood insurance does not meet their system.
needs because of the $200,000 per policy
limitation on contents and coverage. Some 4. Use of technical data from partially
industries have multi-million dollar business- completed flood damage reduction studies is an
interruption policies, others have none. untapped resource that should be used to help
communities and individuals better understand
the impact of flooding and to prepare more

151

specific.flood evacuation plans. Susquehanna River Basin Commission. 1973.
Recommendations for an Improved and Expanded
5. Differences between communities should be Flood Forecasting System for the Susquehanna
studied to determine the social, economic* and River Basin, Publication No. 6. SRBC,
organizational factors influencing community Harrisburg, PA.
response to flood hazards. Some communities have
developed local leadership and taken effective U.S. Army Corps of Engineers. 1979. Flood
steps toward self-help flood damage reduction. Forecast and Warning System Evaluation
Others have taken little or no action. Susquehanna River Basin, New York,
Pennsylvania and Maryland. Interagency Task
6. The needs of industries and large Force Report. Baltimore District.
commercial employers should be studied and
technical assistance provided to encourage Susquehanna River Basin Commission. 1976b.
private investment in self-help decisions that Planning Guide Self-Help Flood Forecast and
will reduce the flood vulnerability of these Warning System Swatara Creek Watershed, PA,
facilities. Industry and large commercial Publication No. 42. SRBC, Harrisburg, PA.
employers often form the tax and employment base
of a community. Susquehanna River -Basin Commission. 1976a.
Neighborhood Flash Flood Warning Program
7. The design of wastewater treatment plants Manual,- Publication No. 45. SRBC,
should be reviewed to develop alternative designs Harrisburg, PA.
that meet goals of rapid evacuation and
restoration of service following flooding. The Wright, S.K. 1980. Benefits of self-help flood
design process should evaluate the impacts of warning systems. Presented at the American
flooding above the 100-year level. Meteorological Society Meeting, Atlanta, GA.

8. Practical short term approaches and long Susquehanna River Basin Commission. 1985b.
term solutions to stormwater management and the Description, Listing, and Cost Estimated of
integration. of stormwater management and flood Local Flood Warning and Emergency
plain management need to be identified. Preparedness Programs Susquehanna River
Basin, Publication No. 93. SRBC, Harrisburg,
9. Much more needs to be learned about PA.
practical solutions to ice jam problems. Ice jam
flooding is also a problem for many areas. Wright, S.K. 1983. Using volunteers for real time
Little attention has been directed to this flood forecasting. Presented at World
problem. Warning systems are inadequate, and Meteorological Organization Conference at
.structural solutions are at best trial and error Sacramento, CA. See Real Time Data
approaches. Collection Systems and Hydrologic
Forecasting, Secretariat of the World
10. Developing nations should learn from the Meteorological Organization, Geneva,
mistakes made in the U.S. and other countries. Switzerland, pp. 34-35.
Such nations should make every effort to either
keep development out of floodprone areas or to Flood Loss Reduction Associates. 1982.
make it less vulnerable to flooding. Simple Cooperative Flood Loss Reduction A Technical
methods of estimating flood plain areas are Manual for Communities and Industry. U.S.
needed. Flood proofing techniques used by U.S. Government Printing Office, Washington, DC.
industry to adapt to the flood problem might be
transferable. Developing nations should find the, Susquehanna River Basin Commission. 1985c. Self-
inexpensive, simply organized and operated self- Help Flood Damage Reduction at Bloomsburg,
help flood warning systems attractive. They are Pennsylvania A Case Study, Publication No.
very cost effective. 94. SRBC, Harrisburg, PA.

U.S. Army Corps of Engineers. 1983a. Interagency
REFERENCES Survey Team Recommendations for Reducing
Flood Losses at Magee Enterprises, Inc.
U.S. Army Corps of Engineers. 1974. Tropical Flood Plain Management Services Branch,
Storm Agnes June 1972. Post *Flood Report Baltimore District.
Volume II Damage and Recovery. Baltimore
District, Baltimore MD. Susquehanna River Basin Commission. 1985d.
Implications of Changes in Flood Insurance
Susquehanna River Basin Commission. 1975. in the Susquehanna River Basement (A First
Disaster Urban. Renewal Projects in the Assessment), Publication No. 101. SRBC,
Susquehanna River Basin. SRBC, Harrisburg, Harrisburg, PA.
PA.
U.S. Army Corps of Engineers. 1983b. General
Susqehanna River Basin Commission. 1984b. Changes Recommendations and Procedures for Flood
in Flood Insurance in the Susquehanna River Damage Reduction at Wastewater Treatment
Basin, Publication No. 91. SRBC, Plants. Flood Plain Management Services
Harrisburg, PA. Branch, Baltimore District.

152

Susquehanna River Basin Commission. 1984a. A
User's Manual for Flood Evacuation Planning
of Water and Wastewater Treatment Plants,
Publication No. 87. SRBC, Harrisbur-, PA. .

Susquehanna River Basin Commission. 1985a.
Proposed Flood Forecasting System
Improvement Program. SRBC, Harrisburg, PA.

153

High and Low Cost Evacuation Planning Techniques

DavidA. Griffith
Research Alternatives, Inc.
Rockville, Maryland

INTRODUCTION sis, typically composed of multiple (200-300)
'al-mulation runs of NOAA's SLOSH (Sea, Lae, and
Evacuation planning as a mitigation Overland Surges from Hurricanes) numerical
measure can greatly benefit from the knowledge storm surge prediction model. After reading
gained in the post-disaster environment. finer wave action phenomena and local astrono-
Although the sophistication and viability of mical tide to the SLOSH stillwater surge
pre-event evacuation planning for- certain heights (referenced to MSQ are applied to the
hazards (e.g., hurricanes) has been advanced land of the study area. This.vulnerability
considerably over the past five to seven,years, analysis is an-intensive,process including risk
such planning without- the benefit of observed mapping of the area, formulation of geographic
data still requires many assumptions about the evacuation zones composing each level. Also
hazard as well as the way residents will included in this analysis is a comprehensive
respond. enumeration of population, dwelling units, and
most importantly, vehicles within vulnerable
The opportunities for pre-event evacuation areas. Finally, the vulnerability analysis
planning vary greatly from hazard to hazard. includes site surge analyses for all public
.For. example, tornado and earthquake evacuation shelter structures, institutional, and medical
planning is only marginally feasible today facilities (hospitals and nursing homes).
because the state-of-the-art of the prediction
technology is too slow in comparison with the The third major analysis is that of quan-
speed of onset of the hazard. tifying the anticipated behavior of residents
as they receive warning information and evacu-
This paper focuses on the major post- ation orders/advisories. This behavioral
.disaster evacuation planning opportunities for analyis includes parameters such as evacuee
mitigating loss of life from hurricanes. It shelter destinations, number of vehicles used
identifies low cost post-hurricane opportuni- for evacuation, and the timing of evacuation
ties to improve the evacuation plans for which trips in relation to the "triggering" order
automated planning tools must be developed. and/or advisory.
The cost associated with developing these
automated tools is ultimately justified by the
ease and economy of post-disaster revisions or TABLE I
continuous updating of the evacuation plans.
Finally, recommendations for the automation of Hazard Analysis - A comprehensive analysis
.key evacuation planning tools are made toward of the potential hurricane hazards that
cost-effective post-disaster evacuation could confront the region utilizing
'planning by government emergency managers. numerous simulations by the SLOSH model.

Vulnerability Analysis - A detailed
REVIEW OF HURRICANE EVACUATION identification of the areas and population
of the region vulnerable to specific hur-
PLANNING METHODOLOGY ricane hazards utilizing SLOSH geographic
Output.
A basic evacuation planning methodology
employing several key computer modeling ele- Population Data Analysis - A systematic
ments was developed by- the Tampa Bay and enumeration of the dwelling units, popu-
Southwest Florida Regional Planning Councils lation, and available vehicles within the
and the U.S. Army Corps of Engineers, identified vulnerable areas.
Jacksonville District in 1979-1980. This
methodology, composed of a sound set of quanti- Behavioral Analysis - A statistically sig-
tative analyses, has been adopted by FEMA for nificant survey and historical identifica-
use in all comprehensive-hurricane evacuation tion of the probable tendencies of poten-
studies along the U.S. Guli and Atlantic coasts tial future evacuees of the region.
(Griffith, 1985). These analyses are listed
and briefly described in Table 1. Shelter Resource Analysis - A regionwide
inventory of existing public shelter
The first analysis of the hurricane evacu- characteristics and shelter capacity
ation planning methodology is the hazard analy- computation.

154

Shelter Surge Analysis - A quantitative surges and windspeed as the hurricane
analysis of the geographic storm surge approaches. These timing factors compose the
vulnerability of existing as well as 'tpre-landfall hazards time" portion of the
future potential public shelter ultimate evacuation time estimate.
structures.
A criticaly analysis that requires and
Institutional Facility Surge Analysis - A integrates results from the earlier analyses
quantitative analysis of the geographic just described is the transportation analysis,
storm surge vulnerability of all hospi- consisting of numerically modelling evacuating
tals, nursing homes, prisons, and other vehicles traveling the evacuation route network
residential,-facilities. requiring special to result in "clearance time" estimates. These
evacuation,procedures. modeling simulations for urban coastal regions
require a sophisticated, dynamic evacuation
Surge Roadway Inundation Analysis - An transportation model. The resulting clearance
analysis of the estimated time of times for each evacuation level are then added
inundation of critical evacuation route to the pre-landfall hazards times to produce a
points relative to hurricane landfall critical element of the evacuation plan -- the
utilizing the SLOSH model time history evacuation time estimate.
output.
Finally, an on-going program of emergency
Gale Force Winds Arrival Analysis -'&n management exercises are absolutely essential
analysis of the estimated time of the to maintain the viability and credibility of
arrival of gale force winds relative to the evacuation plan.
hurricane landfall utilizing SLOSH model
time history output. All of the analyses of the hurricane
evacuation planning process described above are
Shelter Duration Analysis An analysis of relatively costly for an initial multi-county
the estimated time of the arrival of gale comprehensive study. Depending on several
force winds relative to hurricane landfall factors, the study process has required a
utilizing SLOSH modeltime history output. funding level of between $200,000-$400,000 per
coastal region. However, if the key quantita-
Freshwater Roadway Inundation Analysis - A tive analyses are performed utilizing the ap-
regionwide identification of historically propriate automated planning tools, cost effec-
inundated roadways from rainfall flooding. tive post-disaster revision or on-going updates
of the evacuation plan can be realized. These
Evacuation Zone Formulation - A regionwide analyses and automated planning tools are
delineation of SLOSH-defined vulnerable described below.
areas into evacuation zones based on
common hazard vulnerability and common
evacuation routes. POST-DISASTER EVACUATION PLANNING

Evacuation Routes Assignment - The assign- THROUGH AUTOMATED TOOLS
ment of evacuation vehicle volumes from
specific zones to specific routes to The key to implementing low cost updates
develop optimum intra- and inter-county (e.g., in the post-disaster setting) of hurri-
routing strategies. cane evacuation plans is utilization of auto-
mated planning tools in the plan's original
Shelter Assignment - The assignment of formulation that are conducive to quick
specific evacuation zones to specific modifications of assumptions and input data.
shelters based on evacuation routing The three major areas of plan development and-
strategies and computed shelter maintenance where such automated tools can be
capacities. applied are (1) the hazard analysis, (2) the
transportation analysis, and (3) the design of
Clearance Time Quantification - The cal- exercises to test the plan, train personnel,
culation of vehicle volume traveling times and demonstrate operational capabilities@
associated with the movement of the enu- Recommendations pertaining -to these three
merated vulnerable population from SLOSH- topical areas include:
defined vulnerable evacuation zones to
specific evacuation destinations. Hazard analysis. The automated tool used
for hurricane evacuation hazard analysis since
Evacuation Time Estimation The estima- the first prototype studies in 1979-1980 has
tion of total evacuation time needed for been NOAA's Sea, Lake, and Overland Surges from
the timing of evacuation orders based on Hurricanes (SLOSH) numerical storm surge pre-
the addition of clearance time to pre- diction model (Jelesnianski, 1979). The SLOSH
landfall hazards time (surge roadway model has proven to be exceptionally accurate
inundation.or gale force wind arrival). in matching observed surge heights for hurri-
canes since 1979. Thus, large scale re-
calibration efforts of coastal basins has not
The SLOSH model also enables the planner been necessary. So the original hazard
to estimate the timing of roadway inundation analysis simulation effort described above, now
and arrival of gale force winds from model costing about $50,000 per basin, can be consi-
time-history output simulating the rise in dered a one-time cost as long as the model

155

continues to accurately predict surge heights LITERATURE CITED
for that coastal basin. The real advantage of
the computerized SLOSH model for planning is Griffith, D.A. 1985. Hurricane Emergency
the ability to build "one more" hypothetical Management Application of the SLOSH
hurricane to look at its potential effects on a Numerical Storm Surge Prediction Model,
coastal area. Similarly, running the model in Rockville, MD.: (publisher ?)
real-time to simulate the storm that appears to
be approaching on various hypothetical tracks Jelesnianski, C. P. 1972. Special Program to
can greatly enhance the local decision-making List the Amplitudes of Surges from
process. Hurricanes (SPLASH) Part 1. Landfall
Storms, NOAA Technical Memorandum. NWS
Transportation analysis. The sensitivity TLD-46, Washington, D.C.: (publisher ?)
of evacuation time estimated to transportation
network loading rates and timing of evacuee
response, demands a user-friendly model that is
immediately accessible to the local and/or
state emergency planner. The model should be
one exclusively designed for evacuation
planning and analysis and recognized as state-
of-the-art in evacuation traffic simulation
modeling. Such a model has recently been
enhanced from its "point source" applicability
for nuclear power plant evacuation analysis to
also be applicable for the "regional" network
analysis necessary for hurricane evacuation
planning. This model, entitled the "DYNEV" or-
dZnamic network evacuation model, has been
developed by KLD Associates for FERA. It is
presently an on-line element of FEKA's IEMIS
(Integrated Emergency Management Information
System) computer network and intended for
future access by state and local emergency
management agencies. Unlike the models used in
previous hurricane evacuation studies along the
Gulf Coast, it is a non-proprietary computer
model designed exclusively for evacuation
planning by state and local emergency plan-
ners. Thus, it will be immediately accessible
to users of FEMA's IEMIS system for the beha-
vioral and time-sensitive variables of hurri-
cane evacuation planning.

Design of exercises. Finally, one of the
most important elements of the hurricane evacu-
ation planning process that is moving very
close to automated design is the emergency
management exercise. A computer-aided exercise
design capability can save valuable time and
resources during routine plan.testing as well
as in the post-disaster setting. Specifically,
the disaster event will clearly identify those
aspects of a community's emergency capabilities
that require the testing, training, and evalu-
ation provided by exercises. The tailoring of
exercises to specifically address those aspects
is essential to maintaining a viable plan. An
automated tool that. quickly and efficiently
implements this process is now available.
Although not currently including a hurricane
scenario, FEKA's Computer-Aided Exercise Design
system, designed and developed by Research
Alternatives, Inc., may become the exercise
design tool that will make possible the conduct
of much needed hurricane evacuation exercises
all along the U.S. Gulf and Atlantic coasts.
This will ensure that the regional hurricane
evacuation plans become realistic and viable
emergency guides for saving lives.

156

ACQUISITION AND RELOCATION

As with other post-disaster mitigation broader urban renewal or open space programs.
techniques, relocation can take many forms: The evacuated area has generally remained in
small scale or large scale; voluntary or per- public ownership for recreation and open space
missive; combined with public acquisition use. Many of these efforts have been popular
(compensation) or uncompensated; as part of a' at the local level and (apparently) with hazard
multiobjective planning or renewal program or area occupants.
on simple individual parcel basis.
The second paper in this chapter by John
This chapter examines relocation and Handmer examines relocation in Australia. He
acquisition from several perspectives. suggests criteria for delineating relocation
areas.
The first paper by Russel Dyne raises
questions concerning the wisdom of relocation The third paper by Teddy Boen discusses a
schemes with regard. to disaster victim needs major relocation program being implemented in
and the ultimate success of relocation where Indonesia.
there is little control over resettlement of
the vacated area., International experience to The next three papers examine relocation
date suggests that,massive,-compulsory reloca- in the U.S. Nona Thayer examines the use of
-tion schemes wh ich disrupt social and economic moratoria and acquisition after the Big
ties may cause severe, emotional and economic Thompson Canyon flood in 1976. Randall Strong
suffering which outweight many of the benefits examines relo- cation funded by Section 1362 of
of the relocation. the National Flood Insurance Act in the
Brownwood Subdivision at Baytown, Texas and
More than 300 communities.in-the U.S. have suggests improvements for implementation of
acquired floodplain. lands- Many of these that program. John Seyffert concludes the
efforts have involved at least partial reloca- chapter with a summary paper suggesting the
tion. This,relocation has generally been small Itnuts and bolts" of a successful acquisition
scale, voluntary, compensated, and pursuant to program.

157

Strengthening Post- Disaster Mitigation: A Sociological Perspective

Russell R. Dynes
Disaster Research Center
University of Delaware
Newark, Delaware
INTRODUCTION social disruption which can occur as a result
of the physical impact. Social organization
Often a title of a paper is not a suffi- of many different levels--family, neighborhood,-
cient guide to its content. However, within organization, community, region and nation--can
the title there is some indication that there be disrupted.
is some "sociological" perspective concerning
post-disaster mitigation. In most interdisci- In effect, I will argue here that the most
plinary conferences, it is somehow assumed that appropriate sociological perspective is to view
a "sociologist"* is a defender of people. And disaster as social disruption and, in turn,
people are usually seen as being problematic to point out that such disruption is only partial-
any, cherished or planned post-disaster activi- ly and incidentally related to physical damage.
ty. Often the assumption is made that certain Unfortunately, we have few measures of this
activities are appropriate and important for type of disruption. On the other hand, we do
mitigation, but they fail because of the have a number of measures concerning disaster
11people." Consequently, this problematic agents. We can measure wind speed and direc-
source--the people--are considered the province tion. We can measure storm surges and flood
of sociologists with the implication that, if stages. We have Richter and Mercalli Scales to
sociologists were able to "solve" the people measure earth movements. We have Geiger
problem, all else would be right with the counters and gas detectors. Too, we have
world, especially since technological schemes measures of physical damage. We can do body
could be implemented. Such schemes are assumed counts, and assessments of injuries. We can
to be in the interests of the people, anyway. delineate "injuries" to building structures and
Thus, it is. assumed that, if sociologists can to other environments. But when we do damage
solve the people problem, planning efforts assessment, none of the measures we tradition-
would usher us into some new utopia. The role ally use touch on the most important impacts of
of sociologist is considered residual, rather -social life. We have no good measures of bro-
than central, in the planning process. ken social relationships, created by death or
relocation. We have few clues as to the costs
While that is a common view, it is an of fractured work patterns and other dimensions
incorrect one. It is much more appropriate to. of disrupted lives. We keep no records on the
assume that, if you ignore "people" in your segmentation and disorganization of community
planning, your planning will be ignored. In life nor do we have a clear idea of the social
fact, instead of assuming that people are inci- costs of delayed and destroyed futures.
dental to mitigation-related activity, it is
more appropriate to assume that disaster itself It is also probable that what we call
is essentially a sociological concept, rather disaster assistance has only incidental and
than one which is based in the geological, tangential effects on such problems. There is
atmospheric or toxological world. In effect, an emphasis on the immediate and the basic,
it will be argued here that "disaster" has to often centered around food, shelter, and clo-
be seen in terms of social disruption. That thing. Such "needs" are seldom problematic,
disruption is only partially and incidentally however. Especially in massive impacts, the
related to physical damage. response itself creates new needs for communi-
cation and coordination.and sometimes can,lead
Disaster, of course,. is one of those words to making the response more traumatic than the
which has many meanings and which is used in initial impact. That possibility is symbolized
many different ways. Disaster often is used to in the grafitti painted on a wall in a recent'
refer to the impact agent, such as a hurricane, disaster. It said: first, the earthquake,
a fire, etc. Disaster most often refers to the then the disaster.
physical impact which the agent has, i.e., the
physical damage and the personal injury. Other If that is possible as a result of disas-
meanings are more psychological and sociologi- ter assistance, let me also suggest the possi-
cal. Disaster can mean the evaluation of the bility that disaster mitigation measures aimed
physical impact. We see some physical damage to reduce some future physical damage may also
and evaluate it as "disastrous." That evalu- increase the risk of disaster in the sense of
ation is dependent not just on the extent of social disruption. Many disaster mitigation
the physical damage but on our standard of schemes involve, in one way or anothero, the
evaluation. The final meaning refers to the relocation of populations at risk. Such

158

schemes are based on a logical assumption that, moving a collectivity--the complex of the phy-,
if people were not in the area of risk,itnothing sical and social which is the neighborhood, thE!
would happen to them." Following that assump- village, and the community. It is relatively
tion, there have been efforts to relocate easy to move physical entities per se. It is
people from floodplains and from earthquake much harder to relocate the psychological webs,
risk areas. Such actions are often defined by the social network, and social support systems
the relocating agencies as being successful and which are the heart of social life. In some
good. Such a definition is often recorded in post disaster recovery efforts in the United
the literature so that others are encouraged to States, individuals and families have been
develop similar policies for some future imple- moved from their destroyed homes to distant
mentation. Such-a definition.of "success" is trailer camps and parks. The results have
maintained by the absence of studies of the often been a second disaster as victims have
longer term consequences of such relocations. been uprooted from familiar settings, symbo-
However, casual observations of so-called suc- lically important things, crucial social ties,
cess raise a number of questions about such and interactions. 6rooting people from their
attempts. For example, Ian Davis has pointed way of life is bad enough in an evacuation from
out that the relocation of Gediz, a town in a disaster, but at least the evacuees can look
Turkey, after a 1970 earthquake, has lead to forward in such @situations to their returning
the development of.a new town and the perpetu- to their old way. of life. In a relocation
ation of the old town as well as the uneasy situation, with the idea of permanency in the
symbiotic relationship between the two. We move, the negative consequences could even be
know, in India, ERypt, and the U.S., there worse.
have been massive relocations relating to dam
projects. The point here is that relocation as In develoDing countries in Darticular, the
a tool is frequently used but seldom studied, web of social life at the village or community
either in terms of its immediate or long range level is very complex and there are a number of
consequences. In the absence of such research, highly interrelated physical and social ele-
it is still possible to point out, using ments. In many respects the whole is more than
certain sociological concepts, some of the the sum of its parts. What has to be relocated
issues involved in relocation. is the whole--the collective way of life. It
is in this sense that we suggest that reloca-
tion involves far more than moving individual
ON RELOCATION AND ITS CONSEQUENCES persons or particular physical entities. They
are part of what has to be moved, but only
It is no accident that populations, part, and they have to be relocated as a whole.
families, groups, and communities are
physically located in certain neighborhoods and It is sometimes thought that force or at
places * Such physical placements are the@ least involuntary means could be used to man-
....res4lt,,of ..very complex and historically rooted. date relocation. There is an element of truth
natural social forces. A village is located in in that view. However, it is necessary to note
a particular spatial location for many reasons that even very totalitarian societies during
-it just does not happen to be there by acci wartime have had extreme difficulty in trying
dent. to force semi-permanent evacuations on their
own civilian populations. Studies of wartime
There are some very important implications evacuation in Germany and Japan during World
of the general observation just made. Reloca- War II found that there were definite limits to
tion could be working against natural social the population movements which could be forced
.forces which have led that specific population even when drastic sanctions, such as taking'
or community to be located in that specific away ration coupons, were used.
place. This is particularly true with respect
to the short run. Thus, you might want to There is reason,to believe forced disaster
relocate a village which has been in a particu- threat relocation as a whole would be even more
lar locality for hundreds of years because of difficult, to implement than civilian wartime
the possibility of flooding in the next ten evacuation. . In addition, such actions would
years. The time dimensions involved simply run contrary.to the actual or pseudo democratic
reflect the fact that in one case there has values which prevail in most societies around
been a slow,.natural social evolution, and that the world today. Most governments are reluc-
in the other case. there is a sudden, planned tant to be seen as forcing their own reluctant
social intervention.. The.intervention act is citizens to relocate, and as the current famine
often not consistent with the former process. disasters in some African countries show, there
is a desire to avoid being perceived onthe
Furthermore, relocation involves not so international scene- as engaging in such
much, the moving of "people," but of families, actions. All of this does not mean that forded
villages, and communities. In fact, in a fun- relocation cannot be attempted, but that there
damental sense, you have to move a way of are limits to what can be achieved operating
life. There has to be movement not only of that way, and also, that there are both inter-
where, people,.live,, but where they work, where nal and external political factors which will
they play, where they worship, an where they often discourage public use of force.
carry out the many integrated functions that
constitute social life. On the other hand, if relocation is left
up to purely voluntary action or on grass-roots
Put 'still another way, relocation involves action, almost certainly nothing will happen.

159

To inform a population or community that they some cases there are, for all practical pur-
are at some indefinite risk at some indefinite poses, insurmountable obstacles. For instance,
time from some dangerous agent will notprovoke in many developing countries there is simply no
a relocation effort. People and groups tend vacant or unused land to which a threatened
even not to evacuate in the face of specific group could be relocated. There is hardly need
warnings about specific dangers in specific to document. population pressure upon the land
places. If there is no evacuation in such in many places. Or if there is land which is
situations, it is much less likely there will not populated, it is almost a certain sign that
be relocation in even less clearly dangerous land cannot support for a variety of reasons a
situations. Put another way, permanent reloca- population,- such -as@ would-be true of d6sserts--
tion is very unlikely when temporary evacua- or rocky mountain region.
tion, as study after study has demonstrated, is
not that common a response in the face of To be certain, in some societies, there
immediate danger. may be nominally usable land not given over to
agricultural and/or residential purposes.
Presumably, there are certain mixtures of Could not such empty space be used in reloca-
direct and indirect means, and of rewards and tion efforts? Probably not, for such cases
punishments, which would be better than others. probably reflect the natural social forces we-
ffowever, we feel that there are probably no mentioned earlier. They may be indicative of
universal sets applicable to all situations. the land tenure pattern of that society, where
Our view on this is influenced by the fact that perhaps a small elite of absentee owners for
there are different cultural values and beliefs reasons that make sense to them, do not allow
in different societies around the world. Some and cannot be made to allow more productive use
cultures tend to emphasize rewards more than of their land resources.
punishments, and vice versa. Some societies,
such as some in Asia, value indirect rather This last example, primarily of a politi-
than direct ways of talking about and doing cal nature, indicates that there are a whole
things. Such cross-societal cultures differ- variety of social institutional factors--legal,
ences would undoubtedly influence the use of economic, psychological, and cultural-which at
different sets of means which could effectively worst are obstacles to relocation attempts, or
be used to bring about relocation in different at best make for inertia. Many social scien-
countries. To give another kind of example, tists have long recognized that the societies
populations differ widely in their expectations and their institutions tend to be weighted in
and reactions to different governmental levels favor of the status quo, the form of which can
-the- national, regional or prefectural, the vary considerably in space and time. Revolu-
city, village or community level. What would tions in social structure can and do occur in
be seen as the proper initiative at a particu- the long run, but in the short run-which is
lar governmental level in one society could be Ahe time frame' for a relocation effort-the
seen as completely inappropriate in another overall traditional pattern is not favorable to
society. social change.

There is an important implication in all Legal systems vary considerably around the
this for anyone planning a relocation program. world. But such legal institutions and norms
The implied suggestion is that one should first as do exist in many developing countries would
analyze the characteristics of the population not facilitate attempts at relocation. For
targeted for relocation. From this analysis it instance, ownership of land and sometimes other
ought to be then possible to estimate or pro- resources is of a collective nature, in many
ject which mixtures of direct and indirect nations around the world. In other places,
means might be most effectively used with that title to resources is formally unclear. In
particular population. This approach is con- either case, such kinds of socio-legal arrange-
trary to the view that certain means or tech@ ments and understandings do not make change
niques are universally and inherently better easy, do not facilitate relocating a neighbor-
for bringing about relocation and that one hood or village. If a specific group or vil-'
should first select certain means and then lage collectively owns the land, think of the
apply them to those targeted for relocation. difficulties involved in trying to relocate
We suggest the reverse procedure. would be a only part of that group or village.
better starting point. This would prevent
trying to use those direct and/or indirect Then, too, there are economic factors. It''
means which are alien for that particuular is often the poorest of a population which may
socio-cultural setting. Developing countries, live in a risk or vulnerable zone or area, such
in particular, would escape trying to use as a floodplain. Thus, those populations which
social technologies created for Western-type should be relocated, are those with the least
societies but inappropftate for their own economic resources to do so. Furthermore, there
socio-cultural settings--a problem in tech- is a parallel problem if the question of relo-
nology transfer which has been increasingly cation is examined at a higher or more macro-
recognized in many areas, and which should-be- level- or social organization. Under almost all
kept in mind in the relocation area. circumstances, there will be economic or finan-
cial costs for any relocation. But developing
countries tend to have those populations most
OBSTACLES TO RELOCATION at risk from disasters. Therefore, such
nations should be making the greatest efforts
Perhaps to be first recognized is that in at relocating endangered communities. Of

160

course, such countries are least likely to have necessarily selective and uses only certain
the economic resources to use for relocations. criteria. The average citizen or official is
We leave aside here the fact that, when finan- likely to use a more general perspective and to
cial resources are scarce, national priorities use different criteria in making judgments.
have to be set for their use, and relocation of While it does not follow that the latter view
population from high risk but low probability i
Is,_ therefore, better than the view of the
events is not likely to rank high on the expert, the converse is not necessarily true
agenda. either.

In talking about the political, cultural, Apart from the matter just discussed, the
psychological, economic and legal institutions average lay person may grant the greater know-
and factors, I have primarily stressed how they ledge of the experts, but still may not be
can act as obstacles, or at least inertial moved to behaving differently, especially
elements, in efforts to initiate and sustain taking such a drastic action as is involved in
relocation activities. Some of these factors, relocation. People live in a risky world.
depending on their content in specific situa- They take chances everyday when they do such
tions, could facilitate the relocation process. things as smoking, driving, or drinking. They
For example, there has recently been the relo- "know" the negative consequences of the just
cation away from dangerous areas,of three small indicated behavior'a are more likely than
communities within the United States. But in whatever may happen in such low probability
there situations the residents wanted to move, events as major disasters. To be certain, such
and all the factors we have discussed, for va- views are "intuitive" and are not derived from
rious reasons, were supportive of the efforts. statistical probability theories. Nonetheless,
However, these are the rarer situations, so we possible major disasters are only one of many
have emphasized that the content of the social risks for individuals, families, officials, and
structural aspects are usually not a supportive communities, and are less probable in negative
nature for relocation. Nonetheless, the consequences than a number of the other risks.
examples are enough to indicate that reloca- Given this, it should not be surprising, and it
tions are more than hypothetical, never certainly should not be seen as irrational,
realized possibilities; they can and have that even if people are convinced of a possible
happened. danger, that they will not undertake such a
severe and life disrupting action such as would
be involved in relocation.
THE PURPOSE OF RELOCATION
If the objective in relocation is more
That something can be done, even rarely, than a simple movement, the kinds of questions
does not necessarily mean it should be done. and issues just discussed have to be put into
Apart from the matters already discussed, there the equation. There obviously should be far
are other considerations that need to be taken more pluses than minuses if relocation is to be
into account. ' I shall discuss a few of the attempted and implemented. If on balance there
more significant ones and try to indicate that are more negatives than positives, as a result
it is important in planning to specify clearly of the effort, the removal from a risk area
what is being attempted in a relocation would not seem totally warranted. At least a
attempt. very systematic cost-benefits analysis includ-
ing far more than economic factors ought to be
High risk areas are far from being all undertaken.
alike. Two areas which are equally at risk
from a natural disaster agent are not neces-
sarily equally vulnerable. One area may be CONCLUSION
able to undertake preventive or protective
measures, such as building levees, which may While the illustration used here has been
not be possible in the other area. This is focused on relocation and the discussion of
another way of saying that the possibility of that issue has been extensive, that example
relocation has to be evaluated against other should not obscure the major point which the
actions which could be taken to neutralize or paper attempts to make. A disaster is best
mitigate a disastrous impact. If it is easier defined sociologically as social disruption.
and simpler to implement other hazard mitiga- That social disruption is only tangentially
tion measures, that ought to clearly signal related to physical damage. Therefore, actions
caution on insisting on relocation at the taken during the emergency and recovery period
measure to implement. Put another way, relo- which increase that disruption are "disas-
cation is almost always one of several options trous." The same assessment can be made for
for dealing with the problem which will be attempts at disaster mitigation. Such attempts
available. Very seldom, perhaps never, is the often cast in terms of increasing physical
situation one just of relocating or not doing safety may also have unintended consequences of
anything else at all. increasing social disruption. The trade-offs
between those competing values are obviously
Also, it. should not be autooatically as- not easy to resolve, but issues are not re-
sumed that experts always know best. Experts solved by "ignoring" the social consequences.
tend to look at the world from the technical A better solution is to try to fit planning to
perspective of whatever are their specialties. people rather than trying to fit people into
Such a perspective, which usually is of very plans.
high quality from a technical point of view, is

161

Acquisition and Relocation: The Australian Experience

John W Handmer
Centre for Resource and Environmental Studies
Australian National University
Canberra, Australia
INTRODUCTION THE STUDY

In the 1800's, during the early stages of Three sites in southeast Australia were
European settlement, a few Australian towns were selected for study. All settlements function as
relocated after catastrophic flooding. However, service centres and are growing steadily. No
floodplain acquisition and the relocation of site has a shortage of flood-free land. The
existing urban development by governments acquisition areas are of low socioeconomic status
following major flood disasters has been little with low property values. The business district
used this century. After serious flooding in the and 1900 houses of the coastal city of Lismore,
1950's, a number of local governments considered NSW (pop. 24,000) lie in the 1:100 (1%)
acquisition and the city of Maitland requested floodplain. At study commencement in 1980 some
state government assistance to relocate. 290 dwellings were found in zones of especially
Instead, the state funded levees - the normal frequent and severe flooding and constitute the
post-disaster response in Australia. One or two main focus of acquisition. In contrast, the
local governments pursued acquisition schemes on inland cities of Echuca, Victoria (pop. 8,500)
their own. One such scheme, at North Wagga, was and Wagga Wagga, NSW (pop. 40,000) are largely
examined for this study. Lack of state protected from flooding by levees. In both
government action is probably due to the absence cases, areas outside the levees have become the
of large flood related death tolls, a general subject of acquisition. Acquisition of North
reluctance to adopt non-structural solutions, and Wagga, then a village of some 248 dwellings,
the fact that local government has primary commenced in 1956 following severe flooding.
responsibility for land-use management. Echuca West contained 67 dwellings at scheme
commencement in 1979. Many of the houses-in the
More recently, acquisition has been used in' Echuca and Lismore acquisition areas lie below
small areas after repeated episodes of severe, the one in five year flood level (@:5 or 20%),
but not catastrophic, flooding, where no other though the flooding in Lismore is much more
solution seemed feasible. Also, acquisition is severe with the added problem of only 6-12 hours
being used to cope with isolated properties left warning. Dwellings in North Wagga lie at or
unprotected by structural works and, above the 1:10 flood level, but the settlement is
occasionally, in conjunction with park creation often isolated by flood waters.
programs. However, acquisition is frequently
regarded as a last resort. Many officials see it The features of the acquisition schemes are
as expensive and little more than a gift to important. They are entirely voluntary, with the
relocatees. This attitude derives in part from a authorities 'offering to buy property at its
construction (i.e., flood control) mentality and ?market value'. There are no clear post-
from a failure to see flood damages as a loss to acquisition plans. The Echuca scheme is well
society. The attitude is less evident when the organized and funded, and includes regulations
same public money is spent on levees. designed to prevent further development in the
acquisition area. It has been the most
This paper summarizes some of the results of successful scheme in terms of property purchased
a major study into acquisition reported in full with 34% bought by the end of 1984. The Wagga
in Handmer (1984). Additional details are also scheme presents the opposite picture with nearly
found in Handmer (1985) and Handmer (in press). 30 years of indecision by *the authorities.,
After a brief description of the study sites, During that period only 16% of the dwellings have
criteria for acquisition are presented with been removed, despite regulations discouraging
comments on appropriate post-acquisition use and the renovation or alteration of existing
on overcoming impediments to implementation. The structures. Although state authorities have
criteria may also help delineate areas that successfully resisted local attempts to have the
should not be developed. For developed areas the "non-urban" zoning changed, lack of support by
suggested criteria may help establish acquisition local officials and potential relocatees, and
priorities and identify potential acquisition inadequate funds have led to scheme failure.
sites during the preparation of contingency post- Acquisition in Lismoie has proceeded smoothly
disaster mitigation plans. In the immediate despite a fairly ad hoc program based on annual
post-disaster context, the criteria may help funding and the lack of zoning regulations.
establish priorities for reconstruction moratoria Success is due to the severity of the flood
and acquisition. problem and 4etermination of key state and local
officials. Although only some 12% of the most

162

flood prone dwellings have been removed, the examined (up to 3 m/second). Instead, depth
worst pockets have been largely cleared. The appears to be the critical factor. When water
Lismore and Echuca councils have had to fund only exceeds two metres in depth unraised dwellings of
20% of scheme costs, the balance has been shared average construction are likely to be destroyed
by state and federal governments. or lifted off their foundations by hydraulic
loading or buoyancy. Other studies indicate the
Data were collected and analyzed using limiting conditions in terms of water depth and
standard social science methods including velocity for vehicles (Bonham and Hattersley,
interviews, questionnaire surveys, documentary 1967) and children (Foster and Cox, 1973), while
data including census data, and property sales a U.S. Army, Corps of Engineers empiric 'ally
information. Innovative techniques were used for derived criterion suggests a limit for light
c-alculIat 1. ing flood damages; to assess the economic dwellings (see Figure 1). Thus where zones of
merits of acquisition; and for delineating areas high velocity can be identified, for example
on safety grounds. through local knowledge, they should also be
considered for possible clearance and
exclusionary zoning.
PUBLIC SAFETY

To develop safety criteria for acquisition,
the physical elements of flooding must be
combined with information on the tangible and
intangible flood damage susceptibility of 2.
selected human activities, including the risk
posed to life and the structural integrity of
housing. S

In general, at urban sites, flood velocity
and depth, and warning time and isolation risk,
the critical physical factors for potential
are
damage and risk to life. These factors should be o. P -
estimated for the regulatory and maximum probable
floods. Flood duration is generally not Figure 1(a): Main data sources for guideline construction. Shading
indicates destruction of dwellings. Sources: Russell
important for direct urban damages, and while (1982), Math ]in (1983).
debris and water-borne pollutants occasionally
constitute a health risk they are of a highly
unpredictable nature. Individual and community
preparedness is a key human determinant of flood Isolation and Warning Time. The minimum
loss and degree of hazard. Preparedness, which desirable warning time is closely associated with
itself appears to be largely a function of the isolation factor: a short warning period
experience, leads to more appropriate warning requires substantially better flood-free access
response and evacuation behavior (SKP et al, to maintain the same degree of safety as a site
1982). Smith (1981) found that in Lismore an with a lengthy warning time. The reliable
experienced and well prepared population, acting warning time available to NSW coastal settlements
on a 6-12 hour warning, suffered actual losses like Lismore is approximately six hours. This
equal to half the potential loss for the 1974 lead time is regarded by U.S. authorities as the
flood. Other social or cultural factors relate limit of effective warning (U.S. NSF, 1980;
to the floodplain occupiers' socioeconomic Mileti, 1975).
status, for example certain groups such as the
poor, aged, or infirm are less likely to respond The decision as to what constitutes
effectively to warnings. Status in Lismore, in dangerous isolation (lack of access during
terms of a wide range of poverty criteria floods) should consider the safety of both the
including housing, income, and health, declined property occupiers and emergency service
with increasing flood frequency. The question of personnel, the provision of access at very short
preparedness deserves a high research priority. notice for emergency facilities such as
ambulances and the fire brigade, and the ease of
Water Depth and'Velocity. A model devised evacuation. To maintain access and evacuation
by Sinclair Knight and Partners in conjunction routes, water depth and velocity should be within
with the NSW Public Works Department forms the the zone marked "low hazard" in Figure 1(b).
basis of the recommended flood risk analysis Particularly dangerous are areas that are flood
procedure (Mathlin, 1983; Russell, 1982). The free and isolated at low flood levels and thus
model is based on other studies and practice and appear to be safe islands, but which become
experience in terms of flood damage to structures completely inundated at higher flood levels.
in NSW and elsewhere (Figure 1). All of these
are modified in the light of expert opinion. Recommended Criteria. Priority acquisition
Results are expressed as a number of flood hazard areas are those where, for the regulatory flood,
categories based on water depth and velocity. one or more of the following apply (see Figure
1): water depth more than two metres; velocity is
An important data source for the model is a high; warning time is short (<6 hours); isolation
U.S. case study of structure damage following a occurs rapidly; low preparedness or other human
severe flood (Sangrey et. al, 1975). An factors inhibiting effective warning response.
interesting aspect of their results is the Ideally this information should be mapped. Key
unimportance of water velocity over the range research needs relate to preparedness and warning
response.

163

3.0 The Procedure for- Comparison. Substantial
dollar losses are very often borne by relocatees
A when they are forced to upgrade their
A accommodation, or where living costs are greater
in their new locations. Both intangible costs
and benefits are incurred by relocatees, the net
loss or gain depending on individual
C circumstances, while the community at large
stands to gain substantial intangible advintages
D D from acquisition.
T@ 3.0 2@0
It is important to apprec-iate the major
assumptions underlying the comparison of costs
AE-- and benefits. Economic efficiency is assessed
B without removing transfer payments such as taxes.
The results therefore, may not reflect national
CL.1-11d H-1-5@,--., economic losses though the difference should not
be great. Other assumptions are: the
DL-
preparedness factor mentioned above; the absence
of intangible costs or benefits from the
Figure l(b): Alternative flood hazard diagrams. Right-hand diagram calculations; in the absence of any local data
after Russell(1982) and Mathlin (1983). the use of a 15% (of direct damages) loading to
estimate indirects;' the use of a 10% discount
AN ECONOMIC BASIS FOR ACQUISITION rate following Australian practice; that the
dwelling would be purchased and demolished rather
The monetary costs of the Lismore than relocated, with no allowance for the salvage
acquisition scheme were compared with the value of the property; and the residual value of
tangible benefits as part of the development of services such as roads and water supply was
economic criteria for acquisition. excluded mainly because the standard of service
in the Lismore and Echuca sites was low. For
Costs are incurred in the actual purchase of example part of Echuca West is without made roads
property and in structure demolition or and storm or septic drainage. It was felt that
relocation; in abandoning public utilities, with the intangible costs of moving could well have
residual value; in maintaining the land in a, outweighed those associated with floods, at least
flood compatible state and by the householder in in the short term. So intangibles were not
having to seek a new residence, pack up, and included in the formal calculations. The
.move. Also, some householders may lose through situation would be quite different in an area
leaving neighbourhoods they value. As many, of with only,limited-flood experience.
these costs may also constitute benefits to
certain sectors of the local community, the Using actual tangible direct and indirect
accounting Procedures assume critical. importance damages as set out in Table 1, and the average
in determining strategy viability - (Mallette,. price of developed residential properties
1975). acquired in Lismore (1983 A$11,500), acquisition
is economically viable for properties with floor
@enefits are the flood damages avoided. In levels lying below the-1:5 flood. This result is
addition, special allowance can be made for the in good agreement with the results of U.S.
safety advantages of acquisition. For many acquisition studies employing similar methods
householders relocation may have benefits other (Mallette, 1975; Johnson, 1976; Johnson, 1978).
than flood damage reduction. Residents may Under the criterion the Lismore scheme is
dislike the rundown appearance of the area, the' economic, the feasibility of acquisition in
poor council services, or their neighbours, but Echuca West is marginal, while the North Wagga
may be unable to sell their property. Such scheme is not justified. The results of the
people may see relocation as an opportunity to analysis naturally vary according to the
better themselves socially and economically. assumptions employed. For example, results are
Other benefits of relocation as a strategy are particularly sensitive to the discount rate,
more diffuse and include generally beneficial halving the rate from 10% to 5% doubles the
environmental impacts (U.S. NERBC, 1976), present value of flood damages and makes
avoidance of an irreversible commitment of acquisition viable to the 1:8 level.
resources, and a reduction in the potential for
catastrophic losses. Ideally governments should adopt the most
cost-effective solution consistent with safety
A synthetic approach based on the "ANUFLOOD" and other social and environmental goals. Once
procedure was used for tangible flood damage the political decision to reduce flood damages is
assessment, rather than a structure by structure made the authorities charged with implementation
survey of historical flood damages (Smith et al, should establish the most cost-effective route
1983; see also Penning-Rowsell and Chatterton,'' (within the above constraints). It may be that
1977). In the analysis used to arrive at the acquisition is the cheapest and most appropriate
economic criterion, the estimated potential solution even. when it cannot be justified on
direct tangible damage was halved on the cost-benefit grounds. Of course, following a
assumption that the community would be very disaster acquisition may be particularly cost-
experienced and well prepared for floods as was effective provided relocation starts before
the case with the study sites. reconstruction.

164

The weakest area of economic analysis, and The ultimate use of acquired land fox-
that where research is most urgent, is the parkland underlies the original Lismore program.
measurement of intanRible costs and benefits and Occasionally it is economically more efficient to
their incorporation into the decision making use a severely flood-prone residential area as EL
process. park or for some other public purpose. A plart
for post-acquisition land-use may help generate
Table 1: Simplified Lismore Flood Damage Calculations. Tangible Damage for community support for the program.
Indicated Flood Risk Increments. AAD - average annual damage.
The desire to eliminate repeated aid payouts
Flood Risk Potential Actuall Present and the disruptio-n associa-tedwith-frequent
(Recurrence Direct AAD Direct & 2 Value of ADD
Intervalin years), Per Dwelling._ Indirect -AAD,.. (Per Dwelling) flooding were among the reasons advanced by the
(0.5 Potential Discount
+151 of Actual) Rate IOX Victorian government for the Echuca West program.
<2.5 4738 2724 27240 In fact the flood compensation paid to Echuca
West residents has been very small, totalling
>2. 5-4 2948 1695 16950 only A$2330 (1974$) for all households after the
@4-5 1765 1015 10150 severe 1974 flood (data from a survey by E.
>5-8 1096 630 6300 Bethune, Echuca West resident). As well,
infrastructure damages.would be very low due to
>8-40 604 347 3470 the low standard of public utilities and
>40-100 249@ 144 1440 services. In the U.S., government authorities
have initiated acquisition in communities where
1 Contents: Structure 79:21. Potential to actual damages - 0.5 f lood insurance payouts have exceeded or
of potential from empirical data. Theoretically 0.43 of approached the value of the insured property.
contents, i.e.. 55% of total damages (SKP et al, 1982). The
empirical coefficient is preferred as it gives a slightly more Under the insurance scheme provisions the U.S.
conservative result.
procedures are also satisfying an economic
2 Indirect losses . 15% ofactual direct damages. efficiency objective.

Concernover public safety and the political
LEGAL REQUIREMENTS need for action underlie acquisition in the
immediate post-disaster phase. The key7-to7-a
Regardless of other policy objectives, successful program is public support for
mandatory legal requirements must be satisfied. acquisition. Timing is critical to achieving and
Although the law is not entirely clear, it maintaining support: the program must be
appears that the only circumstance in Australia implemented before rebuilding commences. To
where a government authority would be assist rapid implementation consideration should
unquestionably legally obliged to acquire land is be given to preparing contingency plans for the
where the land is reserved in a planning scheme, acquisition of potential disaster sites.
for example under the NSW Environmental Planning Examples of successful post-disaster acquisition
and Assessment, Act 197�. _Typically.,land is include Toronto (Handmer, 1981); Niigata, Japan
reserved for public purposes such as access, open (UNDRO, 1976); and cases in Southern Ontario
space, recreation, cemeteries, and so on. Where (Mitchell, in press).
the owner of reserved land so desires, public
authorities must be prepared to acquire the
property as compensation for the, development OVERCOMING IMPEDIMENTS TO IMPLEMENTATION
restrictions.
Support for flood related land-use
management programs by local and state government
QUALITATIVE CRITERIA instrumentalities is dependent on local community
support, or an otherwise attractive political and
Acquisition may be, and frequently is, administrative environment. Despite recent
undertaken for reasons of an explicitly political improvements to this environment in terms of
-and social nature. political commitment, funding and enabling
legislation, some problems remain. There is
Acquisition programs may be instigated to considerable legal uncertainty; funding and
satisfy a number of social welfare objectives. planning could be more goal and policy -oriented
Apart from the safety criteria discussed above, rather than project oriented; it is difficult to
there may be: a genuine desire to help people obtain funds from programs other than flood
seen as trapped in high risk areas by low mitigation even when the goals of these other
property values; a feeling..that it is immoral to programs are being served; many of the relevant
restrict land-use severely without some form of organizations have a strong 11construction"
compensation, such as acquisition; and a need for mentality, though corporate management concepts
acquisition as a complement to other government are being introduced in some states; and lack of
programs. Programs in this category. include technical knowledge and expertise leading, for
riverside park or public access creation, e.g., example, to an inability to produce local flood
the original Lismore scheme and Toronto, Canada, maps. The importance of institutional factors
slum clearance or redevelopment schemes, should not be underrated. Many flood mitigation
..and .,environmentally-.based-programs such as the organizations are staffed with construction
preservation of natural floodplain storage or personnel, have funding arrangements which
wetlands (U.S. NERBC, 1976), and structural flood largely exclude non-structural options, and even
protection. Institutional barriers to combining if the will is present may lack the necessary
funds from diverse sources restrict the use of legal power.
this objective.

165

Often working against the adoption of land- loss and an important reason why the y still live
use measures, including acquisition, are those in such dangerous areas. . Ideally provision
who perceive personal losses from the schemes. should be made to relocate especially needy cases
These individuals or groups oppose acquisition by providing alternative equivalent ac:comodation
because of their land and business interests, and assistance with moving.
because they are attached to the community and
fear its destruction, or because they believe
that they will be forced into accommodation they POST ACQUISITION
cannot afford. Because of their susceptibility
to pressure from such groups local governments The long term effectiveness of acquisition
frequently find it expedient to be directed by as a flood damage reduction strategy rests with
state agencies on questions concerning the use of appropriate post-acquisition land use. Selection
hazardous land. Councils are then implementing of appropriate uses for high risk land should be
state policy, rather than manufacturing their guided by the following criteria:
own.
- the safety of the public and emergency
Attitude to Acquisition by Potential Relocatees service personnel is paramount;
- nothing should be permitted that
The implementing authority can expect the interferes with flood flow; and
support of the local community when residents
believe they will personally benefit from - that strategy which maximizes the return
acquisition. This was found to be the most on public investment should be used.
important questionnaire factor in scheme support.
Other significant factors were hiRh perception of
the local flood problem, and low attachment to In general, only open space uses can be
the community or place (Table 2). A recommended, in particular those associated with
disappointing result of the study from a public recreation and farming. Such uses were also the
policy perspective was that knowledge did not dominant choice of interviewees.
appear to affect attitudes to the acquisition
schemes. Thus the impact of public education The possibility of inappropriate development
campaigns would be small. It is important to of acquired land always exists, especially when
note that the simple provision of information is there are lengthy flood-free periods. To
quite different from public involvement in minimize this possibility the land should be
planning. rezoned as open space or to some non-urban use.
Rezoning should occur at the start of the
acquisition program to demonstrate and ensure
Table 2: SiglifL,- ad St-geh of Sel-4 AsO-1aft"S commitment to the scheme objectives, and -to
ArrACWWff M ' nDw BEKE= OF prevent new development increasing the costs and
W"M PERCEMON AMSM(W
T.-y Le"th Of difficulties of program implementation. The
Stay stability of the new zones is enhanced if they
Arrrr= TO .01 .-X1l Ch-aq,- are part of an overall floodplain management plan
ACMISITION I.S. .205 .31 r- io'- @-ff. specifying clear post-acquisition uses. In the
6.6Z 17.6 17.6 Aa-r@c absence of a properly enforced comprehensive
plan, new development may occur in flood prone
areas adjacent to those being acquired, reducing
11-11 1 1'hi-q.111) lea, thal th, .1 @Wl) 11,11 11 -@Ieled
oot pi"__ 7@. co.'_T @ff i, iont. . -- f .... oi-i- o.. - local confidence in the real aims of the scheme.
101 for , It,bl- 1--lic L..d.. h- a- I
"o _@ 1-i- po- nf th, -o1ati., F- , da-1,1 Ideally, to insulate the land more effectively
-pl-tion of th. alati,li- a.a Nie et al. 1975. from local politics, title should be held by the
Crown (State). In some circumstances sale or
Attachment may result from a wide range of lease of the land for agricultural or
factors including family and ancestral ties, recreational uses may serve the purposes of
length of residence, fear of new and unfamiliar offsetting purchase and maintenance costs, and of
places, and demographic variablessuch as age. maintaining a flood compatible use.
Those most affected are the older long-term
residents who own their properties. Public
authorities may reduce the impact of acquisition CONCLUSIONS AND RECOMMENDATIONS
on these people@by relocating them within the
same neighborhood. Alternatively some form of Acquisition is a most effective method of
purchase and leaseback arrangement might be flood damage reduction because damages are
feasible. completely eliminated within the acquired area,
theoretically forever. This degree of damage
A key issue in scheme acceptance, and in reduction is attainable only if acquisition
reducing the amount of stress and anxiety proceeds in concert with mitigation measures
experienced by (potential) relocatees, is the designed to prevent further development in the
property valuation procedure. In voluntary ..acquisition,area during-the scheme, to restrict
acquisition schemes in Australia property is the development of adjacent flood prone areas and
purchased at its market value. This is usually prevent post-acquisition development.
well below the price of an equivalent flood-free
dwelling. For older residents who bought or Criteria, summarized in Figure 2, have been
inherited their property before the property boom presented for delineating areas that should be
of the 1960's, the low values represent a major acquired. But implementation of such land-use

166

measures is fraught with difficulty. In the The question of political will is especially
Australian case study sites frequent severe important with land-use measures including
flooding was the best motivator for sustaining acquisition - it is easy to roll back regulations
commitment to acquisition. The North Wagga case or purchase schemes, but politically ver '
study illustrates the importance of rapid action, difficult to abandon a major levee or dam halfway
political will and, in a voluntary scheme, through construction. This relates to the
support from potential relocatees. It also shows question of maintaining local support for schemes
the limits of land-use regulations: after nearly which take many years to implement. One obvious
30 years of strict regulations designed to option is to make schemes shorter, but this may
eradicate urban development the village shows not be possible with voluntary programs. There
little change. is no doubt however that reliable funding would

Quantitative Criteria for Acquisition
LEGAL RE.QUIREMENTS
tandTl_ti@ red to
r4 9o,t. must be prep.
.,4u . d reserved for public purposes.

Vncefta,W Where effectively .11 ec-i, YES
use or-the land Is prohibited, or where
existing me rights are very limited.
Permissive : where zoning is downgraded. or
wKere-a-Zlevelopment application consistent
with the zoning is re fused.

ro
PUBLIC SAFE
K
'i"'
.-d &',1:6 at bl.l.ry event (l:V)O)
,lual or ideally MPF
depth eq v. I o te . 2.).
-welocity.eithe, major flow zone. or
greate r than 2mVs.
-warninq time for 1:100 flood is less
than 6 hours. YES
@i` t"' fIlto;ihigh. NB islands of low
rel!:1 are .Ill priority.
Hume n criteria
VrW_@F45oriTions of;
:O!d/handicapped people
s "I- P-nts with Young children
-inexperienced reside,ts/high population
turnover.

ECONOMIC (cost-benefit
Mo where the dwelling floo, level I. bel- YES
or equal to the 1:5 flood height.
where the floor level Is between the 1:5
and 1:10 ]a"] acquisition my be econwic.

Qualitative Criteria for Acquisition A0,L)ISITION is
OBLIGATORY or
POST DISASTE E highly desirable.
'Widespead destruction and/or death toll.
:rebuilding has mt commenced YES
Public support for relocation of activities
funds ." liable from disaster relief and
0ther sources.
ro
SOCIAL WELFAR
:1t!"tl,l hl:l .. tees support acquisition
de,i r. to in people trapped by low
Property val ves esca pa, the flooding YES
I 's considered @i mrs, ral to severely
res tric'. land use without coopensation"
in the form of acq,isitl- isee Ilegal ... I
my orm part of other
vernevult programs (see P.,t-q@isitiorl)
to
FLOOD E REDUCTION
'ory ' '=G
Fh and x. vem flooding YES
de,sire to e
nl @iminate repeated aid Payouts
yood insurance Payouts app- ch-
in, ..I of the property
ro

11he area has value for a public purpose
'ch " a P I YES
.the authorities consider the a ma a slum
-the ar:,,hs been reserved for a public
purPos see LeRal_reabirements

DO NOT
acquire AWILISITION is
PE ISSIVE o@
desirable.

Figure 2 Criteria for floodplain acquisition in Australia.
Source : Handmer (1984).

167

help. "Erratic or uncertain finance based on Handmer, J.W. In press. Local Reaction to
annual budgets does 1 *ittle for local confidence Acquisition: An Australian study. Natural
in acquisition. Another aspect of funding Hazards Research Working Paper No. 53,
concerns the combination of funds from diverse University of Colorado, Boulder. Johnson,
sources, some of which may be unrelated to flood N.L., Jr. 1976. Economics of permanent
damage reduction. For example an acquisition flood-plain evacuation. J. of Irrigation &
scheme may satisfy social welfare or urban Drainage Div. ASCE 102(IR3):273-283.
revitalization objectives, in which case funds
from these programs should be available. Johnson, W.K. 1978. Physical and Economic
Feasibility of Nonstructural Flood Plain
Resolution of these issues requires research Management Measures. Hydrologic Engineering
into the institutional environment including the Center and the Institute for Water
internal organization and mandate of the Resources, U.S. Army Corps of Engineers,
responsible agencies. Research should not be Davis, CA.
confined to assessing how to make best use of the
existing institutional context, it should also Mallette, F.B. 1975. Investigation of the
explore alternative organizational and Feasibility of and the Optimum Level for
legislative frameworks. Permanent Flood. Plain Evacuation. M,.Sc.
Thesis, School of Civil Engineering, Georgia
Finally, the focus on post-disaster Tech Institute of Technology, Atlanta, GA.
mitigation should not obscure the fact that these
disasters are often the results of planning Mathlin, D. 1983. Criteria for flood plain
errors, many of which were entirely predictable. management. In Rural Hydrology Symposium,
The first priority therefore, must be to prevent August 20. Institution of Engineers,
the development of additional potential disaster Newcastle, Australia. 45-49.
sites.
Mileti, D.S. 1975. Natural Hazard Warning
Systems in the United States: A Research
ACKNOWLEDGEMENTS Assessment. Monograph 13, Program on
Technology, Environment and Man. Institute
This paper is drawn from research funded by of Behavioral Science, University of
an Australian Water Resources Council grant and a Colorado, Boulder.
Commonwealth Post Graduate Research Award. The
Geography Department of the Australian National Mitchell, B. In press. Conflicting objectives in
University provided logistical and supervisory floodplain management: Flood damage
support. A grant from the U.S. National Science reduction versus heritage preservation. In
Foundation made it possible for me to attend this Handmer, J.W. (Ed.), Flood Hazard
Symposium. Management: British and International
Perspectives. Geobooks, Norwich.
REFERENCES Nie, N.H. et al. 1975. SPSS (Statistical Package
I for the Social Sciences) 2nd Edition.. McGraw
Bonham, A.J. and R.T. Hattersley. 1967. Low Hill, New York.
Level Causeways. Report No. 100, Water
Research Laboratory, School of Civil Penning-Rowsell, E.C. and J. B. Chatterton. 1977.
Engineering, University of NSW, Sydney. The Benefits of Flood Alleviation: A Manual
of Assessment Techniques. Saxon House,
Foster, D.N. and R. Cox. 1973. Stability of Farnborough.
Children on Roads used as Floodways.
Technical Report No. 73/13, Water Research Russell, J. 1982. Development of Guidelines for
Laboratory, School of Civil Engineering, Floodplain Management. Rivers and Ports
University of NSW, Sydney. Branch, New South Wales Public Works
Handmer, J.W. 1981. Flood plain acquisition: A Department, Sydney.
Canadian Case Study (Draft). Report to Sangrey, D.A., Murphy, P.J., and J.L. Nieber.
Reference Panel, Australian Water Resources 1985. Evaluating the Impact of Structurally
Council Project 80/125, March. Department Interrupted Flood Plain Floods. Technical
of Geography, ANU, Canberra. Report 98. Cornell University Water
Resources and Marine Sciences Centre,
Handmer, J.W. 1984. Property Acquisition for Ithaca, NY.
Flood Damage Reduction. Final Report,
Australian Water Resources Council Research Sinclair Knight and Partners Pty, Ltd (SKP), D.I.
Project 80/125, Department of Resources and Smith, J.W. Handmer, and McGowan
Energy, Canberra. International Pty, Ltd. 1982. Evaluation of
Handmer, J.W. 1985. The Identification of High Flood Damages and Flood Mitigation
Strategies (Draft). Prepared for the New
Hazard Floodplain Areas for Possible South Wales Department of Environment and
Acquisition. CRES Working Paper 1981/10, Planning, Sydney.
CRES, ANU, Canberra.
Smith, D.I. 1981. Actual and potential flood
damage: A case study for urban Lismore, NSW,
Australia. Applied Geography 1:31-39.

168

Smith, D.I., Lustig, T.L., and J. W. Handmer. safety of both the inhabitants and rescuers is
1983. Tangible urban flood damage: An endangered, especially where warning times are
outline manual. Proc. of the Second short and where the area becomes isolated at
National Conference on Local Government early stages of flooding,
Engineering, Brisbane, Institution of
Engineers, Australia. 376-381. (iii) Equity issues; in particular the case
of areas left unprotected by major flood
UNDRO. 1977. Disaster-Prevention and Mitigation, mitigation schemes. Here, acquisition is seen as
a Compendium of Current Knowledge, Volume 5, a way of helping people get out of areas that
Land Use Aspects. Office of the U.N. should never have been developed.
Disaster Relief Coordinator, Geneva.
In both states the formal or informal
U.S. National Science Foundation. 1980. A Report criteria do little more than acknowledge that
on Flood Hazard Mitigation. Washington, DC. acquisition is an appropriate strategy under some
vaguely specified circumstances.
U.S. - New England River -Basins Commission
(NERBC). 1976. The Rivers Reach. (A
unified program for flood plain management
in the,Connecticut River Basin).

Victoria Water Resources Council. 1978. Flood
Plain Management in Victoria. Melbournei
Australia.

APPENDIX

CURRENT ACQUISITION CRITERIA IN NSW AND VICTORIA

The report Flood Plain Management in
Victoria (Victorian Water Resources Council,
T9-78-.54) identified criteria for the conversion
of flood prone land to public ownership:

"(a) the land should already be zoned for
.urban purposes or where no planning scheme
exists, is already within an Area of urban
development and capable under all other
regulations andrequirements to be so developed
but would not be permitted by the FPMA (Flood
Plain Management Authority) to be so developed.

(b) the land should have no other reasonable
use compatible with its location in the flood
plain.

(d) the FPMA determines that at some time i n
the future the land should be in the public
ownership."

These criteria simply give full discretionary
power to the FPMA.

Unlike Victoria, NSW has not set out any
explicit criteria for, floodplain acquisition.
However, an implementation guide for the state's
new policy defines high hazard areas. Some
aspects of this are explored in the paper. In
the absence of formal criteria, informal or
unofficial reasons for the relocation of
residential development were obtained from
interviews with NSW government officials. Their
responses fall into three main categories:

(i) When protection is desirable but is not
feasible through structural measures,

(ii) Safety issues; situations where the

169

Post- Disaster ReLocation: lndonesia@s Experience

Teddy Boen
Kompleks BDN
Aspan Danuatmojo
Jakarta, Indonesia
INTRODUCTION forests, deteriorating of rivers, destruction of
marine life and so forth.
The natural disasters that threaten
Indonesia are varied and serious, having caused a
great loss of human lives and property. The CONTEMPORARY CONCEPTS
eruption of Mt. Krakatoa more than one hundred
years ago spread ashes over the globe. This Knowing that disasters have multiple impacts
eruption reminds us of the geographical and on mankind and social and economical life, their
geological setting of Indonesia, which is located prevention as well as their mitigation becomes a
on three earthquake belts. Hazards include matter of everyone's response.
earthquakes, in mild or severe form; landslides;
floods caused by heavy rainfall; droughts which Traditionally, societies everywhere in the
occur. mostly in prolonged dry seasons; volcano world have tried to- alleviate 'their effects
eruptions - 90 volcanoes are categorized as through post disaster relief and rehabilitation.
living and may erupt any time and spread calamity But in recent years, advances in disaster
among 70 percent of the population; lava floods, preparedness and prevention offer better
particularly secondary lava (from the eruption of prospects. Such mitigation measures include
volcanoes); and tidal waves, caused by cross-sectoral planning and organization, such as
earthquakes originating on the sea bottom. Tidal in public works,. communications, monitoring and
waves are a particularly severe threat to coastal warning, public awareness, education and
village settlements as we observed in 1977, on research.
Sumba island.

Estimated annual losses from these natural DISASTER MANAGEMENT
hazards in the last five years (1978/1979 -
1983/1984) include (from an annual average of 3.6 Disaster management in . Indonesia is
significant destructive events) 890 deaths, 3,000 complicated not only by the frequency and
injuries, 100,000 homeless, and 1,000,000 diversity of natural phenomena, but by the
hectares of agricultural land destroyed. The country's large physical expanse and varied
total direct cost was approximately geographical character. It is also complicated
U.S. $135,000,000. by the diversity of the local sociocultural
traditions and dialects, and last but not least,
by the dense and unequal distribution of
THE NATURE OF DISASTERS AND THEIR MAGNITUDE population.

The magnitude of disasters, either To address our-problems, we have to assess
geological or other, can be categorized as the state of knowledge in disaster prevention
local/regional. or national. Local or regional techniques and procedures for mitigation,
.natural disasters are those of a limited especially with regard to future losses of urban
magnitude, including disasters which do not development. after disasters, and to -understand
affect too large an area or do not inflict severe thoroughly the physical as well as the
damage. This kind of disaster is usually handled sociocultural background. We have to develop a
locally by the municipal or provincial workable policy to enhance mitigation which is
government. politically, socially, and legally appropriate.

A disaster of national magnitude is of such Today in Indonesia many of the problems
an extraordinary magnitude or affects so large a related to the various disasters are addressed
territory that it inflicts huge damages on a sectorally, especially in their scientific and
large population. technological *dimensions. The governmental
agencies responsible for prevention,
All the disasters result in certain types of preparedness, or relief measures within their own
losses - (a) to the inhabitants in the form of areas of competence include the following:
loss of lives, property, etc., (b) to the
physical infrastructure such as construction, - The Department of Social Affairs has
office buildings, bridges, roads, dikes, and responsibility for social sectors;
agricultural facilities, and (c) to the
environment in the form of destruction of - The Department of Public Works conducts

170

programs for control of floods, volcanic General Chairmanship of the Miiiiste.r
lava, and debris floes; Coordinator for People's Welfare, assisted
by three chairman: the Ministers of Social
- The Meteorological and Geophysical Centre Affairs, Home Affairs, and Public Works.
(Dept. of Comm) addresses meteorological
aspects and is also responsible for A Technical 'Working Team bringing
geophysical monitoring; together, as needed, a predesigned group
of middle-management officials under the
- The Department of Mine and Mineral chairmanship of the Secretary of BAKORNAS
Resources has two interested directorates: PBA.
the Directorate of Environmental Geology A Secretariat, supervised by the Secretary
for landslides and soil movement; and the
Directorate of Volcanology for volcanic of BAKORNAS PBA, which supports the Board
eruption and geologic research and a and Technical Working Team, and is the key,
development centre interested in structural element of the BAKORNAS PBA.
earthquakes; Since the 1979 Presidential Decree was
- The Departments of Agriculture, Health, issued, frequent and varied natural disasters
Defense and Security, Population and have occurred, giving ample opportunity to asses
Environment, Tourism, Post and Telecom- the strength and weakness of the structure.
munications, Manpower, Transmigration, and These disasters have included: . -
others, have responsibility for the - the floods/landslides and tsunamies on
governmental administrative apparatus down Flores Island in 1979,
to the sub-regency level and play a
critical role in the conduct of all - landslides and heavy rains in West Java
disaster-related activities. and West Sumatra in 1980,
Further, there are several technical - the earthquake in Irian Jaya in 1981,
departments with activities bearing on disaster
management. For example the Palapa Domestic - serious drought in many parts of Indonesia
Satellite Communication System, and the LANDSAT in 1982/1983,
Imagery Collection Station (LAPAN) together
process data from the Japanese geostationary - volcanic eruptions of Mt. Galunggung (West
satellite GMS and U.S. NOAA Satellites. Java) in 1982; of Mt. Colo (Central
Certain other technical institutions, such Sulawesi) and Mt. Gamalama (North Maluku)
as universities (Institute of Technology, and in 1983; of Mt. Soputan, Mt. Siau, and Mt.
University of Gajah Mada), play an important Karangetan (North Sulawesi) in 1984.
indirect role in disaster affairs. Such a role All of these engaged the emergency apparatus from
Js also played by governmental organizations such local to national level, and provided useful
as the Indonesia Red Cross.
evidence of areas needing strengthening.
In summary then, disaster management is not Collective intra-institutional reviews of
mono-sectoral, whether in prevention natural disaster management experience were made
preparedness, or relief. The socioeconomic Q during two significant gatherings of officials
the spiritual welfare of the people, the with disaster related responsibilities at the
protection of person 'al and public property, and three administrative levels: (1) the National
the development programs require cross-sectoral
efforts and resources at all administrative Training Session for the Provincial Management of
levels. Further, the character of disasters, the National Coordinative Units for Emergency
especially in the post-disaster context, places a Relief of Natural Disasters, held in 1981,
high premium on coordination and rapid exchange sponsored by the Indonesian Government, UNICEF,
of information, horizontally between departments, and U.S. AID, and (2) the "National Workshop on
and vertically within each department. Galunggung Volcanic Risk Management" held in
1982, co-sponsored by the Indonesian Government,
Organizational Structure and Activities UNDP, UNDRO, UNICEF, and U.S. AID. Similar
reviews are being conducted regularly in annual
The importance of cross-sectoral provincial level disaster management field
coordination has been recognized by the training.
Government. An important step was taken a few Post Disaster Relocation
years ago with the issuance of the Presidential
Decree No. 28 of 1979, which established non-
sectoral Coordination Boards at three Chief As mentioned above, natural disasters in
administrative levels: the National, the Indonesia are rather complicated because of their
Provincial, and the Regency levels. (We have 27 frequency and diversity and because of the
provinces and 295 regencies). diversity of the sociocultural traditions,
different dialects, and unequal distribution of
At the National level the organizational population. Such complexity makes the problems
elements are: of post disaster relief and rehabilitation not
only more difficult to solve but also requires
- A national Coordination Board for National different approaches.
Disaster Relief (BAKORNAS PBA) under the

171

Because physical rehabilitation takes time, Implementation of the program requires site
our emphasis has been on relief programs in the identification (aerial photography);' land
form of workable relocation policy. Often the capability analysis and socioeconomic surveys;
places where disasters occur are still dangerous transmigrant recruitment and movement planning;
to occupy after a disaster and many human beings physical and agricultural planning; land
desperately need help. Some of the places are in acquisition; land clearing; construction of
such terrible condition that is is unsafe to live roads, bridges, settlers's houses; establishment
there again. of schools, health clinics, community centres,
and market places; the actual movement and
Therefore, a fresh approach has to be taken, placement of settlers; provision of food .,and
including a program that will relieve burdens and agricultural inputs; and guidance and supervision
give disaster victims a better prospect for the during the initial years of settlement, to
future. mention only a few of the elements.

Most of th e disaster-stricken areas are The present average cost of the settling of
densely populated. Improving the standard of a transmigrant family is about ten thousand
living there is very difficult. Most residents dollars (U.S.$l = Rp. 1,000). The budget
are rural peasants and landless agricultural allocation for the Transmigration Program
workers whose traditional philosophy of life has accounts for about 12 percent of the total
been: "With orwithout food, the most important national budget. The annual budget for the
thing is for us to stick together." Facing the program has increased from Rp. 2.3 billion in.
reality that they can no longer stay in their 1972/73 to Rp. 375 billion in 1981/82.
homes, they have to move to another place. For
the government moving these people to other The Indonesian Government has set a target
places within Indonesia is not only part of a of settling five hundred thousand (500,000)
mitigation policy but also a transmigration families, or about two and a half million
policy which attempts to solve the (2,500,000) persons during the Third Five Year
maldistribution of population problems. Plan (1979-1984). To facilitate the
accomplishment of this enormous task, the
Relocation of the people within Indonesia Governmen 't has developed a new mechanism through
for one reason or another is not new.. Relocation the. Presidential Decree No. 26 of 1978, which
was practiced by the Dutch more than one hundred requires the participation of all the concerned
years ago. At that time, hundreds of thousands government departments. This integrated cross
of people from Java were sent tn Sumatra to work sectoral -approach to the development of
on plantations. Many. others were sent to South' transmigration focuses on regional development.
Sumatra, where they were given land to support-
themselves. A recent survey by the World Bank shows that
the settlers are better off in the transmigration
Today's policy is very different, however, areas than they were in their area of origin.
and so is its approach. It is based on elaborate Our studies, including the investigation carried
planning and on a different philosophy. As it is out by UNDP/FAO and other international agencies,
stated'in our transmigration policy, the aims-and indicate that low yield and low@ income are.
purposes of moving these people are: better at 'tributable to technical and institutional
distribution of population, regional development, factors, such as lack of adequate farm input -s and
beneficial use of natural and human resources, other agricultural support services, adoption.of
and national unity and security.- However, the inappropr 'iate farming systems and technologies,
emphasis is on the increased food and and lack of suitable.transportation, processing,
agricultural production, and balanced development and marketing facilities.
with the aim of an improved standard of living.
Foreign assistance extended to the
The program is not merely a relo .cation of Transmigration Program in Indonesia has come from
people, but the setting up of a new organized international, multilateral, and bilateral
community, and the achievement of a balanced sources such as UNDP, FAO, WFP, IBRAD, ADB, ISDB,
spread of manpower, capital, and technology EEC, U.S. AID, CRS, the Government of the U.K.,
throughout the country. The direct recipients of France, the Netherlands, and FDR. Some of the
benefits from this program are (among others) the assistance has been provided on a grant basis:
victims of natural disasters and the rural -poor the rest consists of low interest-bearing loans.
consisting of peasants, landless' agricultural The grant have been generally used for- technical
workers, and other low income groups. assistance and the loans for the development of
specific projects.
The settlers, especially those sponsored by Today, the transmigration program is being
the government, receive several 'types of implemented with much improved organization and
assistance: terms of transportation-from their
place of origin to the settlement site; 2-5 management, due to our experience in the last
hectares of land (per family), of which, 1-1.25 four years. Tt is a long term and integrated
hectare is cleared for cultivation; a house; food project with aims and goals much broader than
supplies for a period of 12 months; and just relief and mitigation from natural
agricultural inputs - including seed, fertilizer, disasters.
pesticide, and extension services and a set of
farm tools. In addition, facilities for
education, health, religious worship, recreation,
and other social activities are provided.

172

REFERENCES

Management of Transmigration Project 1981; Dept.
of Manpower and Transmigration of the
Republic of Indonesia.

Geological Disaster in Indonesia 1981; Aspan
Danuatmojo - BAKORNAS.

Peraturan Pemerintah R.I. No. 42 The 1973 Tentang
Penjelengaraan Transmigrasi.

Pola Dasar Usaha-Usaha Pencegahan dan
Penanggulangan Bencana Alam di Indonesia
1981; Dept. of Social Affairs.

Rencana. Penanggulangan Penduduk Korban Bencana
Alam Gn. Galunggung Melalui Program
1982; Directorate General for
Transmigration - West Java.
Undang Undang Republik Indonesia No. 3 Tahun 1972
Tentang Ketentuan-ketentuan Pokok
Transmigrasi.

Brochure Department of Transmigration of the
Republic of Indonesia.

173

Successes and- Failuresvith Moratoria and Long-Term Mitigation After
the Big Thompson Canyon Flood

Nona Thayer
Former County Commissioner
Larimer County, Colorado

INTRODUCTION by the Board of County Commissioners. The County
Engineer was Chairman of the Board. The other
The Big Thompson Canyon flash flood struck members were individuals with - engineering-
the night of July 31, 1976. One hundred and training. This tended to put an emphasis on
thirty-nine people lost their lives. Private technical compliance with the regulations rather
property damage was estimated at $16 million and than political considerations.
public property damage at $27 million.
However, in April, 1977, the Commissioners
The catastrophe was caused by ten inches of adopted an amendment permitting decisions of the
rain falling in four hour on soils saturated from Flood Plain Review Board to be appealed to
repetitive rains during the previous week. For Commissioners instead of directly to District
many canyon residents there was no warning. An Court. This. amendment had the undesirable
eighteen-foot-high wall of water caught some potential of making flood plain decisions more
victims on the canyon highway. Cars and huge political and less technical.
boulders were thrown like ping pong balls by the
force of the water. The river bed was scoured. During the six-month moratorium there were
Debris accumulated behind bridges, giving a at least three building projects which proceeded
nearly inexplainable, pattern to some of the without a building permit in violation of the
destruction. moratorium. But, for one reason or another, the
County Commissioners did not take action to
Prior tothe disaster the canyon was dotted enforce their regulations. With these
with retirement cabins and some weekend retreats. exceptions, the moratorium was successful in
Fixed incomes placed an extra constraint on many providing time for completion of the flood --plain
of the retirement survivors whose homes were study.
destroyed. Of those who lost year-round houses,
57 percent were over 50 years old. A- public hearing to determine if the Big
Thompson River flood plain maps were satisfactory
to regulate the rest of the canyon was held on
THE MORATORIUM January 31, 1977. This was only three weeks
after two new Commissioners were sworn into
Very soon after the flood, the County office following their successful election in
Commissioners placed a six-month moratorium on November.
rebuilding homes that were more than 50 percent
destroyed. This was possible under state law There was an emotional and hostile
which authorizes local governments to adopt a environment at the hearing with 250 people in
moratorium for up to six months in an emergency attendance. About 15 or 20 individuals spoke
situation. passionately against adoption of the regulations.
One person who had worked in the Canyon in the
The,Big Thompson Canyon had not been mapped immediate aftermath spoke in support.
for flood plain designation. This was begun with
the assistance of the Colorado Water Conservation The three Commissioners unanimously added
Board staff. the Big Thompson maps to the flood plain
regulations. They acted because they were-
Larimer County had adopted Flood Plain convinced it was the only way to secure recovery
Regulations in 1974, but these applied only to assistance and not (all of them at least) with
one. stretch of the Cache La Poudre River which the conviction it was necessary to mitigate
was under heavy development pressure. The County future risks of disasters.
Commissioners had adopted regulations in order to
qua lify for the National Flood Insurance Program. Immediately following the flood it became
The Commissioners in office in 1974 were largely apparent the County did not have the depth of
laissez-faire in their attitude and inclined to personnel sufficient to handle the full range of
think people ought not to build in flood hazard problems facing them. Does a local government
areas out of good judgment rather than be ever have the staff to undertake public works
prohibited from doing so. projects in the aftermath of a disaster that are
four or five times larger in size or number than
The Flood Review Board which had their annual expected projects? The County
administrative authority for the Flood Plain needed to immediately put destroyed county roads
Regulations consisted of three members appointed

174

back into service. They needed to make trade- This was seventeen months after the flood. It Ls
offs between having roads rebuilt in the shortest inhumane to have flood victims wait that lona.
possible time as opposed to careful engineering
to mitigate future flood damage. For the most The final cost of the acquisition prograrii
part, expediency won out. There were gargantuan was considerably less than originally estimated.
problems in searching for victims; identiftcation It was possible to purchase 114 parcels from 94
of the dead; concern about water contamination; property owners for $1,556,014. Parcels in the
assessment of property damage; identification of floodway not purchased by the County were sold to
damaged homes to be destroyed because of public adjacent owners or were part of a larger holding;
health considerations; immediate housing for the eight were kept by owners who planned to latex-
homeless; and short-term aid. develop them; and two owners received variances
The post-flood recovery program was and did redevelop.
predicated upon the idea of redevelopment that The purchased sites were cleaned up,
would be safer. Where homes were more than 50 grassed, and planted with trees and shrubs.
percent destroyed, landowners were prohibited by Three sites were developed as picnic areas by the
the flood plain regulations from rebuilding in County with a 50 percent match from Colorado Land
the floodway. If these lands could be publicly and Water Conservation funds. These picnic areas
acquired at pre@flood values., and if HUD now act as tourist attractions to the canyon an6
relocation grants could be coupled with the as an entry to Rocky Mountain Park.
acquisition, the 115 victims whose houses were
more than 50 percent destroyed were to be given a The chief problems in mitigation were the
substantial measure of relief. delays and uncertainties. If acquisition
programs are to be successful, funds must be
available that can be drawn upon for disaster
THE ACQUISITION PROGRAM recovery without delays of a year and a half.
People suffer too much from the loss of loved
The acquisition program was launched in ones and all their possessions to have added
February, 1977 when the Commissioners committed frustrations and uncertainties resulting from
$253,000 of County dollars to initiate a local, government inaction.
state, and federal program for acquiring floodway
lands in the canyon for public open space. At The State of Colorado had passed the
that time it appeared that $2,530,000 would be Colorado Disaster Emergency Act of 1973 prior to
needed to ensure enough dollars to negotiate with the disaster, but had not appropriated money
the owners of 364 floodway parcels which were available for quick access. Having funding
either undeveloped or with improvements which had available at state of federal levels is essential
been more than 50 percent destroyed. so that it can be used effectively to leverage an
integrated program to mitigate future disasters.
During 1077 applications were submitted for
several sources of funding: monies were sought Another problem was that some owners were
from the Colorado Land and Water Conservation unwilling to sell their property to Larimer
Funds; a bill was put through the Colorado County. In time, the county political resolve
Legislature to obtain about $830,000 in state may weaken and more development may occur in
money; an application for $150,000 was submitted floodway areas. Some of the homes that were not
to the Four Corners Commission; and a request was 50 percent destroyed will be vulnerable if there
sent to the Secretary of Interior for $1,000,000 is another destructive flood. The debris backup
from his Discretionary Fund. behind bridges gave protection to some buildings
that were very exposed, if one looked just at the
To make the acquisition program work as a flood maps. There are variables in floods that
victim relief measure it was necessary to obtain hydrology cannot completely explain.
a HUD Community Block Grant for relocation and
rehabilitation grants. The joint concept of Another related problem was the assessment
acquisition and relocation was jeopardized in to determine if a building was more than 50
June, 1977 when relocation dollars were deleted percent destroyed. The credentials of the team
from the HUD approval of the rehabilitation making that determination need to be defensible.
award. The findings must be well-documented and
complete. A hurried or less than fully competent
After considerable local effort and by the assessment is unfair and adds to the suffering of
Colorado Congressional delegation, HUD did people who have sustained great losses.
approve the relocation part of the application.
This enabled some 32 families who were full-time Public recovery programs must be conditioned
residents in the canyon to qualify for relocation on mitigation efforts. Incentives to implement
grants which averaged $11,500 per family. Added mitigation regulations and to purchase flood
to the pre-flood purchase values of the land plain lands are absolutely essential to overcome
these grants created the possibility of buying a political pressure to rebuild in the floodway.
replacement home and putting their lives back Some survivors of the Big Thompson Flood were
together again.
obsessed with the desire to rebuild destroyed
homes. Politicians naturally felt compassion for
It was not until December, 1977, when them in their loss. But elected officials also
Secrezary of the Interior Andrus announced that wanted to help as many of the survivors as
he had approved the Big Thompson application, possible. Government programs should be
that acquisitions actually began to take place. structured with incentives for mitigation,

175

conditional assistance, and with Strict
accountability as to how recovery money is spent
to ensure long term reduction in flood losses.

SUMMARY

Based upon the experience of the Big
Thompson, I believe local government officials
should prevent development in floodways and
regulate development in the flood fringe. But
political obstacles to imposing restrictive flood
plain regulations should not be underestimated.
Those with affected properties are adamant in
their objections. The public at large is
disinterested and gives their public officials
.little overt support. There is little political
gain from restrictive flood plain regulation.

Protecting flood plains from development is
a long term policy. The benefits are not
realized unless there are future severe floods.
Probability dictates that such benefits are more
likely in the long run than immediately. Today's
political climate reflects society's short term
concerns. In individual.decision-making, instant
gratification and buying with credit is more
important than saving and planning for. the
future. Nationally, the benefits of consumption
outweigh the effects of large deficits which
threaten the next generation with a lower
standard of living. With these political
currents, it is not surprising that local elected
officials do not implement mitigation measures
more readily.

. Much more attention and research needs to be
directed towards the political problems of
disaster mitigation. The speakers and panelists
at disaster mitigation conferences are almost
exclusively technical, legal, and academic
professionals rather than legislators or local
elected officials. Elected officials are not
well represented as participants either at
,disaster conferences. Ways need to be found to
place a stronger emphasis on the politics of
successful mitigation.

176

Acquisition: The Baytown Experience

Randall B. Strong, Esq.
City Attorney
Baytown, Texas

BAYTOWN TEXAS, AND THE BROWNWOOD SUBDIVISION and as such, were considered desirable property
by the owners, not for their rentalincome, but
Baytown is located on the north end of for their flood insurance income. The owners
Galveston Bay, adjacent to the mouth of the San would apparently submit a claim for several
Jacinto River. The--Brownwood Subdivision is thousand dollars, spend a few hundred dollars on
located on the east side of the city on a paint and superficial repairs, and pocket the
peninsula of land jutting into small bays off the difference. Some owners did this many times.
San Jacinto River. It contains some 300 homes, One owner reportedly said that he looked forward
all of which were built in the 1950's before the to floods because they "helped his cash flow."
flood hazard was fully recognized. Recognition
'came with Hurricane Carla in 1961, during which
water covered the entire peninsula and flooded HURRICANE ALICIA
every home with at least eight feet of water.
With the arrival of Hurricane Alicia,
Since then, Brownwood and the rest of, the Baytown was no longer overdue. Twelve to
Baytown/East Harris County area has suffered from thirteen foot tides and 120 mph winds caused
subsidence. The Brownwood Subdivision has damage throughout the city. Over 600 housing
subsided approximately five feet since 1963, and units were destroyed and an even greater number
an estimated nine feet since 1915. Although the damaged. Approximately 300 of the destroyed
subsidence has been halted by control of units were in Brownwood. Although the high tide
groundwater pumping, the effects are permanent. from Alicia was lower than that from Carla, the
As a result of subsidence, the elevation of subsidence in Brownwood during intervening years
Brownwood is just above sea level and brownwood resulted in much higher water levels. Most homes
is subject to periodic tidal flooding. had ten or more feet of water in them. The wave
;action, which had not been a factor in Carla, was
In the last six years the City has had to severe. Many homes were completely swept away,
deal with many flood alerts due to high tides and leaving only concrete slabs. Most people were
has supervised evacuation of homes in Brownwood unprepared for this aspect of the hurricane.
many-times. In 1979, for instance, there were Residents who had been through Carla, or who
five flood alerts in Brownwood and four stayed in their homes during many tidal floods,
evacuations. thought they could ride out Alicia, only to find
their homes battered and destroyed around them.
In response to this problem the Brownwood Rescue crews picked up people from the trees and
residences formed a civic association, the main the roofs of the remaining structures.
function of which was to maintain the high tide
alert system. When high tides threatened, the
association notified all residents. The FEMA AND SECTION 1362
residents of the worst areas would evacuate;
others would merely elevate their furniture, pull FEMA responded quickly to the damage and
up their.carpets, and ride out the flooding. The made available many programs to help victims.
City installed several high speed pumps to help Early in FEMA's response, staff discussed with
drain the lower interior bowl of Brownwood in an the City the feasibility of an acquisition
effort to minimize flooding. program under PL 90-488, Section 1362 for the
Brownwood Subdivision. To qualify for
.Although many of the residents had acquisition, a structure in the subdivision
experienced tidal flooding, twenty-three years needed to meet one of the tests set forth in
without a hurricane had encouraged them to view Section 1362. Some homes had qualified for a
hurricanes as a remote threat. The City 1362 purchase prior to Alicia under the first
continually warned its residents that the average test, which required that a structure had to have
occurrence frequency for the area was one been damaged by at least three previous floods
hurricane every ten years, and that a hurricane over a five-year period, with an average damage
was', therefore, thirteen years overdue. of 25 percent or more of its value. An alternate
criteria was that of a single flood which damaged
A significant problem with the National a structure 50 percent or more of its value. The
Flood Insurance Program became apparent during City and FEMA believed that all of the
this period. Many of the homes subject to approximately 300 homes located in the worst area
frequent flooding were converted to rental units, of Brownwood would qualify as damaged at least 50

177

percent by a single event (Hurricane Alicia). In resulted in more complete acquisition; Some, of
addition, the City had passed an ordinance after these problems do not lend themselves to easy
@Hurricane Alicia which prevented repairs and remedies: they are a result of the size of the
occupancy of structures within the Brownwood program and flaws in the National Flood Insurance
area. This qualified all the homes in Brownwood Program itself. The Brownwood program was the
under a third test of Section 1362 related to the largest acquisition even attempted -- most past
legal impossibility of rebuilding. 1362 acquisition efforts had involved 10 or 20
parcels.
Initially most property owners in the
Brownwood area were favorable to the 1362 Problems and/or suggested changes, based
program. They saw public acquisition as a way of upon the Baytown experience include:
finally getting rid of their property. Prior to
this time, the area's reputation as a flood prone 1. The acquisition process should be speeded
area prevented many owners from receiving what up. The sooner after a flood event an offer is
they considered to be reasonable purchase offers. made, the more likely the property owner will
For years, the only sales had been owner- accept. The passage of time allows the property
financed. owner to minimize, in his mind, the actual damage
to his or her property.. Delay in acquisition
The City of Baytown agreed to accept the also provides extra time for rumors to spread as
property once it was purchased as required by to the ulterior motives of FEMA and/or local
FEKA, and implementation of the 1362 Acquisition government for acquiring the property, or as to
Program for Brownwood.began. possible future better offers.

Was the program successful? The success of 2. FEMA should more carefully train or
the program depends on one's expectations. Of supervise the people who deal with the property
the 265 homes eligible, 177 were eventually owners. City of Baytown staff members were told
bought by FEMA. A 100% acceptance rate was by many Brownwood property owners that FEMA
desirable, but in light of some of the problems representatives coerced them into selling (or in
that occurred, the percentage that did agree to some cases, the owner stated he or she might have
sell was high. An initial problem was the sold if coercive statements had not been made).
length of time it took to implement the program. As long as 1362 is a voluntary program, it should
Hurricane Alicia struck on August 18, 1983, and be portrayed as such. Statements by FEMA
the City of Baytown signed the Agreement for representatives left a pool of ill will among the
Property Acquisition on October 11, 1983. But citizens and now that FERA has gone, local
the first purchases did not occur until March, government is left to deal with this resentment.
1984; and the final purchase was notmade until
August, 1985. Many owners who initially wanted .3. The National Flood Insurance Program and
to sell changed their minds during the long wait., -.the Section,.1362.acquisition program should be
Others rejected the offers they received as too tied more closely together to prevent abuse of
low. Some offers were for only $1,000 to $1,200, the flood insurance program and to encourage
which was basically the value of the lot. property. owners to take advantage of Section
1362. For instance, insurance claims should be
cumulative, so that if a property owner collects
The program was also hurt by changing public flood insurance more than once for the same
sentiment. In addition to the displeasure with property, the percent of damage should be noted
the long time period and the low values,. many and totalled. Once a property owner has
owners became suspicious and mistrustful of both collected claims totalling at least 50 percent of
FEKA and the City of Baytown. Rumors spread that the value of his or her property, he or she would
the City was planning to sell the acquired be eligible for the 1362 program. Furthermore,
'property to industries for a large profit. Some if -claims exceeded some set percentage, say 70
owners complained that FEMA had told them that percent, and the owner did not choose to accept
they had better take the FEMA offer and if they the 1362 offer, the property would no longer be
did not the City would come in and condemn the eligible for flood insurance. There is no reason
property. The owner would then get even . less for taxpayers to continue to pay the cost of
than what was offered by FEMA. One group of people living.in a flood prone area indefinitely
property owners sued the City in State Court and (by means of subsidized flood insurance) when
another group sued the City in Federal Court. there is a mechanism to allow the property owner
Both groups claimed that the City's regulatory to dispose of flood prone property.
ordinance constituted a "taking". The publicity
and ridiculously large claims in the lawsuits Possibly future flood insurance policies
encouraged other owners to hold out to see if could be written to require a property owner to
they could get more money at a later date. sell his property to F04A when he has collected
Despite all of these problems, 177 -structures insurance settlements in excess of the value of
were acquired. the property. If a contractual arrangement was
made part of the insurance policy, the issue of
whether such action would be a "taking without
SUGGESTED CHANGES IN THE 1362 ACQUISITION compensation" could be avoided. A mechanism for
PROGRAM enforcement would have to be developed, but such
a provision could be developed and would prevent
Although the City of Baytown considers the abuse of the flood insurance program.
acquis.ition program an overall succ 'ess, a number
of problems arose which if remedied could have 4. Information regarding insurance

178

settlement payments, which are included as a
part of the Section 1362 calculation, should be
made public. FEMA and the City of Baytown
received much bad publicity because of allegedly
"low" offers being made through the 1362 program.
In reality the total compensation, which included
the insurance payment as well as the 1362
payment, was very generous in the Brownwood
Subdivision. Had the City been able to use this
insurance information it could have maintained
much better public support. If the insurance
program is to be subsidized by tax dollars, the
insurance information should be available as
public information.

. 5. FEMA should improve its communication
with property owners. Many property owners are
illogical and unreasonable in their questions,
demands, desires, and positions. Knowing this,
FEMA should be particularly clear and specific
with regard to what is being offered. Owners
need to be continually told that the purchase
price is the total of the insurance payment and
the 1362 payment. Many property owners
apparently believed the 1362 payment should be
the market value of their property.

FEMA should also have stressed that
properties sold to FEMA could be only used in the
future for open space purposes. Staff members
with the City of Baytown continue to hear rumors
that the City is going to sell the property it
owns in Brownwood to industry for use in
industrial development. In light of the fact
that the City of Baytown has stressed open space
use from the beginning, and these rumors
continue, it may not be fair to criticize FEMA;
people sometimes refuse to listen. But knowing
this indicates the need to stress dissemination
of constant, correct information.

SUMMARY

The experience in Baytown has shown the 1362
program can be successfully used to acquire large
numbers of properties. It also indicates that a
number of changes should be made in order to
increase the percentage of owners that will
accept a 1362 offer. The process should be
speeded up as much as possible, and FEMA
representatives carefully trained and supervised
in dealing with property owners. Furthermore,
the 1362 program offers should be tied in some
manner to the flood insurance program to prevent
people from filing insurance claims again and
again. Offers under 1362, including insurance
payments, should be made public. Finally, FEMA
should make sure that its policies are clear,
correct, and constantly repeated in public
information. Misinformation has probably been
the single biggest limitation upon the program in
Baytown.

179

Acquisition and Relocation

John D. Seyffert
Maryland Environmental Service
Annapolis, Maryland

INTRODUCTION The victims - these people are the ones who
suffer the financial, physical, psychological
I was originally asked to discuss the U.S. losses from each disaster, as well as have the.
experience in acquisition/relocation of recurring fear of impending ones. These are also
properties away from natural hazards. The the same people who try to return to their homes
dominant U.S. experience for acquisition and as soon as possible after each disaster, driven
relocation has been in floodplain areas as psychologically by a desire to get their lives
opposed to areas of other natural hazards. The back to "normal" quickly, and often return to
U.S. flood damages on an annual basis are now in their flooded property without question.
excess of $4 billion per year. In discussing
this topic with Jon Kusler, I felt that perhaps a Taxpayers - victims also, but in a different
nuts and bolts "how to" talk would be more sense. Higher tax bills caused by disaster
effective than a verbal summary of successful response requirements, emergency housing, utility
projects or your typical "here's how we did one" repair, evacuation assistance, road repairs, etc.
talk. During your time here, there will be ample While these items are typically not included as
opportunity to speak with people about Rapid line items in a municipal or state budget they
City, Prairie de Chien, Baltimore County, Mobile, have to be accommodated. In many communities
Big Thompson Canyon, and other good projects. In these are recurring and constantly increasing
this era of no or little federal funds, let's expenses taxpayers have no choice but to pay -
talk about how to put a project together. emergency response must be done, money must be
found.
I think the best way to discuss the nuts and
bolts of assembling a successful acquisition Politicians - a really different kind of
program is to try to respond to and understand victim. They typically are expected to have
the standard 5 "W's" and 1 "H" of a good answers and solutions 'to all problems, but they
newspaper story - WHO - WHAT - WHERE - WHY - HOW usually only have to deal with them on a 4-year
- WHEN. cycle. They must play to all audiences, not
raise taxes, and solve all problems.
Let's use a basic riverine floodplain
management situation. A small portion (100 Professionals - we are also the victims
properties) of a New England town is located because the politicians look to us for the
within the 100-year floodplain, suffers damage answers. We must be innovative, unrestrained,
twice a year from non-significant events, once a limited only by imagination, but often without
year from notable storms, and once every two adequate funding, time, expertise, or community
years from our famed 100-year storms. support.
100 properties The important aspect is that we must always
identify the WHO and how they are impacted and
35 flood occurrences last ten years ($1 what their interests and rights are. Knowing the
million plus per event average) various actors, their roles needs, and how the
scenario fits together is essential in
$40,000,000 total damage related (last formulating any plan. What does the public need
ten years) to know if it is to.support your program

$400,000 - average damage per property or
dwelling unit WHAT

The WHAT can either be a plan to clear the
floodplain to minimize flood damages, a stream
WHO valley park, right-of-way for a sewer line, a
conservation easement, or a watershed management
plan. Give yourself the most options, with the
There are several WHOS that* should be broadest title.
identified and their causes understood. You
can't lose sight of the audiences who must The critical aspect in defining WHAT is to
support your project if it is ever to be clearly define the problem: what is the cause of
implemented. the flooding, where and why does the damage

ISO

occur, what are the total true costs of the WHY
flooding over a budget year? Account for non-
disaster events and include utilities work, Explain the WHY requires us, as
police, fire, costs assignable to highway crews, professionals, to begin to really earn our money.
etc. for the insignificant events as well as the Why do we want to spend money to acquire and
major ones. The WHAT also includes numbers of relocate properties? Why do we want to spend
victims, market values of property, number of good taxpayer money to bail out someone silly
flood incidents during past 10 years, comparison enough to live in a floodplain? Why should we
between amount of total public costs vs. market pay fair market value and pay relocation
value. , Are there cheaper solutions to the expenses? Why not put the stream in a pipe, why
flooding problem, cheaper than acquisition? Does not build a dam?
the WHAT define a permanent solution and the
values associated with that? The WHAT should be The WHY is critical to this process because
developed using the greatest, most expansive these answers are the ones required by the WHOS
program available to us because this will in turn. in order to make decisions. What are the reasons
open up the funding options and reasons to vote why we are doing this - all of them?
in favor of the program.
The victims have to understand why
The WHAT must compete with all other acquisition and relocation is the only practical
problems; solid waste, schools, crime, elections, and feasible option for them. The taxpayers have
and government employees salaries to get funding to be educated that proper use of taxpayer funds,
within the governmental structure. now can, in fact, save dollars in the long range,
The politician needs to feel comfortable that the
Design your WHAT to reach as many audiences first two groups are happy, as well as understand
as possible. Be able to show it is cost the cost effectiveness of various proposals. The
effective. The WHAT can include a mix of last group needs a clear understanding of who WE!
solutions: acquisition and relocation, flood- are as professionals. We should feel confident:
proofing, storage/retention, building codes and that we have evaluated the options fairly and
zoning adjustments - don't forget long term objectively and, in fact, have recommended the
maintenance required for any solution. best overall option to achieve the most permanent
solution to the flood problem.
Find out, from a legal perspective, what
public funds can be used for what purposes. if HOW
you can't buy private property for flood control,
maybe you can remove obstructions in the
floodplain. The HOW is something we "planners" typically
don't spend as much time considering as we
should. If the first attempt at acquisition ends
up in court or with the community in an upro@r,
TOTAL DAMAGES - COST RESULT our program will die. We must take the time to
& COSTS 100 think through all of the HOW. How will purchase
LAST 10 YEARS PROPERTIES PROP. DAMAGE NO FLOOD REDUCTION
$40,000,OGO 100 $400,000 value for houses be,calculated: flood damaged or
fair market value assuming no floods? Will we
AVERAGE AVERAGY AVERAGE TOTAL pay relocation expenses? How will we assign
MARKET REDUCTION ACQUISITION FLOOD priorities as to which properties will be bought
VALUE COST RELOCATION REDUCTION first? How will we handle hardships? How will
$75,000 + $10,000 - $85,000 we handle differences in opinion as to value?
The key to the HOW is being open and available to
the public for education and discussion. They
WHERE must trust us. We must have answered the
The natural boundaries of the WHAT need to majority of questions out front.
be defined. All properties within the high The HOW also involves the funding which, as
hazard area, everything within the floodway, of late, is often the most difficult part.
everything within the 100-year floodplain but not Funding can end up the most innovative task.
flood fringe or do we include all of the 100-year Bring all the legal pieces together to achieve
floodplain plus flood fringes? Priorities for goals. We must have our lawyers tell us how we
acquisition need to be defined: residential only can do it; not that we cantt.
- residential first - flood fringe? Do we just Possible sources of funding you should think
want properties located -behind the physical about include:
obstructions because it's cheaper than rebuilding
the culvert, and by rebuilding the culvert, we - Can sewer funds be used for purchasing
increase flows downstream, causing greater the easement or partial right-of-way
damage? What is the impact on remaining through the floodplain property?
properties? What about environmental
enhancements: aquifer recharge; wildlife habitat; - Can open-space funds be used for
natural storage areas? What is to be the final floodplain acquisition?
disposition of land?
- Can recreation bond money be used to
WHERE should try to respond to as many needs acquire floodplain properties as stream
as possible - community, technical, political, valley parks? Look at the wording of
economic. your bond bill.

181

- Can stormwater bond money be used to One thing is clear: that we should not have
acquire properties for use as natural to be sitting here 10 years from now discussing
valley storage areas? how to acquire and relocate properties from a
- In lieu of maintenance and repair or floodpl.ain.
enlargement of channels, can you divert
those finds to acquisition?

- Can you combine flood insurance proceeds
plus Sec. 1362 funds, plus local funds
for acquisition?

- Can you transfer development rights from
flooded parcels to non-flooded property?

- Can educational funds be used to create
an environmental education center?

- Can agricultural preservation funds be
used?

- Can your government auction off acquired
houses for removal to non-floodplain
sites?

- Can your program be staged to offset
impact on tax? What are historic
spending patterns for storm drain work?
How does your program impact tax rate?

- Can you use straight land swaps? Excess
government property - trade for
floodplain?

- Can you maximize disaster relief
opportunities immediately after disaster?
You may be able to fully utilize public
and individual assistance opportunities
- flood-proof instead of just repair,
remove in lieu of repair.

WHEN

The WHEN ends up being the best guess and
the magical piece of the puzzle. If you can't do
it before the flood, then get all of the other
pieces in place just prior to a disaster. Then,
immediately after a disaster during the very
brief "window of opportunity", you as a
professional can whip out this plan for solving
the community ills. This magical document is
also referred to as a pre-disaster hazard
mitigation plan.

Zoning and building ordinances can give
direction to the WHEN. The,period immediately
after the disaster is clearly the best
opportunity, when you have everyone's attention,
memories are clear, and the political and popular
support is there.

Memories fade incredibly fast and as soon as
the flood debris is cleared away and as people
move back in everyone moves on to different
concerns and problems. Getting the time, the
attention, the funds, and the votes together gets
tougher the further away you are from a flood.

182

R Ir W E L V E
STRUCTURAL MEASURES

Despite costs and problems, nationally or reduce threats. They may also be vulnerable to
internationally funded structural approaches to earthquakes and must be maintained. Hazard
flood hazard reduction.(dikes, dams,levees, sea area occupants also have little incentive to
walls) continue to be widely advocated and sup- undertake post-disaster mitigation basis if
ported by hazard area occupants and government there is a plan or even a hope that structural
planners in both developed and developing hazard reduction approaches constructed at
nations. Structural approaches are attractive public expense will.be applied to their area.
to those seeking "solutions" to hazard prob-
lems. Large scale reservoir projects are par- The two papers in this chapter examine
ticularly attractive to international funding structural measures in two developed nations.
organizations because of their multiple bene- The first by Tom Goemans discusses the
fits and because tangible and visible products Netherlands experience in formulating and
can be derived from loans and grants (in con- implementing a massive coastal storm protection
trast with broader planning schemes and non- program. The second by Dennis Parker examines
structural-hazard reduction approaches.) But, the British structural flood mitigation experi-
they are expensive and often only partially ence.

183

Use of Structural Hazard Reduction in a Post-Disaster Context: The
Netherlands Experience with Flood Protection Measures

Tom Goemans
SIBAS Joint Institute for Policy Analysis
Delft, The Netherlands

INTRODUCTION

Geographically the Netherlands belong to the
alluvial coastal region of the North Sea. This
means that the Western and Northwestern part of
the country consists of alluvial deposits. The ---------
rivers Rhine, Meuse, and Schelde flow through the
country and out into the North Sea. Together
they have built and shaped the land through
regular inundation. More than 50% of the country
lies below storm surge level; about 7 million
people live in that area (Fig. 1 and 2).

In the 9th century the first dikes were
built. By the 13th century one can see a more
organized way of dike building. At first the aim
was defensive - people protected the land where
they lived - but in a later phase dikes were used
in a more offensive way to reclaim land from the
sea. About 550,000 hectares of land has been Fig. 2.
reclaimed in the past seven centuries. The Netherlands without sea defences
Frequently however, the reclaimed.land was lost
again. But every time the people fought back.
.It is -said that the Dutch have a constant
dialogue with the sea.

The history of the Ne herlands is marked
with storm surge disasters. The oldest known
occurred in the year 1287 and affected the whole
country; in the North 50,000 people drowned.
During a storm surge in 1825 about 380,000
hectares of land was inundated, mainly around the
(former) Zuyder Sea. Again in 1916 a major storm
hit this area, triggering the plan for shortening
the coastline (300 km of dikes) by constructing a
32 km long barrier dam which closed off the
Zuyder Sea from the North Sea. Since the
completion of the dam in-1932 (Fig. 3) it has
become a fresh water lake.

V
ZVYDEA
SEA

Fig. 1. Fig.3.
The Netherlands in Europe The former Zuyder Sea turned into a lake

184

The Southwestern part of the country is judged to be necessary in the near future.
called the Delta region and consists mostly of The maintenance of these defenses, whose
estuaries, peninsulas, and islands formed by the level can be further raised at any tirre,
repeated shifting of the outlets of the Rhine, would be simple and straightforward. Behind
Meuse, and Schelde rivers. From North to South, the new defense line would lie the old
five major stretches of water can be defenses, formed by the existing system of
distinguished: dikes, which, given the job it would then
have to do, would still be capable of
a. The New Waterway, connecting Rotterdam to preventing disasters or minimizin.a its
the North Sea (constructed in 1872). extent should unforeseen events occur. The
fact that the new line of sea defenses would
b. The Haringvliet estuary. be much shorter and so much stronger', and
the fact that it would be backed up by the
c. The Grevelingen estuary. second line of defense automatically created
by the construction of the new dams, means
d. The Oosterschelde esturary. that this system can offer safety levels of
an entirely different and far higher order
e. The Westerschelde estuary, being the than those which could be obtained by
entrance to the port of Antwerp in raising the existing dikes. It would also
Belgium. keep open the possibility of responding
quickly and easily to the problems which
would follow from any adverse changes in the
The central Delta region is rural, levels of sea and land. Only by closing off
completely unlike the highly developed areas the estuaries we can obtain a system of sEa
around it. There is very little heavy industry defences which can be regarded as reliable
and few of -the picturesque towns have populations well into the future.
greater than 20,000. The most recent storm surge
disaster took place during the night of February
1, 1953, when the dikes in the Delta region were With respect to the design water level, the
seriously damaged over a total length of 190 km, Committee used a philosophy introduced by the
-with 89 breaches. One-hundred-fifty thousand Dutch hydraulic engineer Wemelsfelder, who
hectares of polderland were inundated, causing pu.blished in 1939 an article about the
the death of 1835 people, the logs of tens of probability of exceedance of storm surge levels
thousands of cattle, and destruction or serious along the coast of the Netherlands.3 H13
damage to thousands of buildings. Total losses presented probability exceedance lines, using a
were estimated at some 2 billion guilders. The linear scale for the water levels and a
area inundated is shown in Fig. 4. logarithmic scale for frequencies of occurrence.
Due to the tidal system of the North Sea the
tidal difference increases as one goes from North
THE DELTA PLAN to South along the coast and for each location a
separate exceedance line can be drawn. By
In reaction to this disaster, the Dutch determining an acceptable probability Of
government embarked on a massive building pro gram exceedance, it is then possible to establish a
- the Delta Plan. By the end of 1953, the dikes design water level.
had been provisionally repaired and the inundated
area pumped dry. On February 18, 1953, the
Minister of Transport and Public Works installed
the Delta Committee, which was given the task of
establishing a design philosophy for the sea
defenses along the coast. Until then, the design
was based on the highest observed storm surge
level and an estimate of wave characteristics.
Dike breaches in many cases were induced by wave
overtopping, thus causing instability of the
steep inner slopes.
In the work of the Del5a Committee two
central issues were addressed: shortening the -__00
and
-coastline by closing off the estuaries
choosing the design water level for the system of
sea defenses. On the first issue the Committee
advised the closure of three estuaries
(Haringvliet, Grevelingen, and Oosterschelde) and
the substantial heightening of the entrances *to
the ports of Rotterdam and Antwerp. The F@g_
Committee argued as follows: Fl--C'@S fl.n the Fan-ar,
st3rz ir. the Delta reg,.cn
Damming the estuaries would produce sea
defenses consisting of a short closed
zoastline formed by dunes and dams, which
could immediately and without special
difficulties be given all the strength

185

The 1953 storm surge had a probability of - increased potential for the development
1/300 corresponding to a surge level of about 3 of central Holland, especially with
meters in the disaster area. The Delta Committee respect to the portof Rotterdam.
concluded that the entire coast of the country
was inadequately protected and recommended
strengthening the main sea defense structures. The work of the Delta Committee had a strong
Considering the fact that the central part of the technical flavor as most of the members had a
country has a very high economic value (major background in civil engineering. Only two
industrial and agricultural areas, large sections of the final report dealt with economic
population in metropolitan areas) the probability aspects, the other twenty-two addressed technical
of exceedance was set at 1/10,000. The matters such as hydraulic engineering, soil
corresponding water level was derived from an mechanics, and meteorology. Environmental or
extrapolation of the exceedance lines .@Fig. 5). ecological factors were not considered. The fact
For the coast North and South of central Holland that marine fisheries and shellfish cultures
reduced design water levels were advised, because would be destroyed was considered a disadvantage
the area protected has a system of secondary- of the plan, but compensation could be provided.
dikes which limit any flooding to smaller
sections. For the Delta region this resulted in The whole,plan was incorporated in the so-
design water levels corresponding to a called Delta Act, which became effective as of
.probability of 1/4000. 1958. This act provided the main framework for
decisions at a later stage (like exact location
Up until now only the storm surge (still) of the structures, the method of constructions,
water level had been considered. Other phenomena and the closure dates). Construction costs of
related to storm surge tides were taken into the plan would be paid by the central government.
account separately, such as seiches and @gust A -separate Delta Compensation Act was adopted,
bumps. In addition wave.action and,wave 'runup which made it possible that any firm or
have a significant influence-on the design of individual suffering a lasting loss as a result
hydraulic structures. The closure of the of the project could claim compensation from the
estuaries would also have some influence on the central government. For example, the government
storm surge levels. Adding all these financed the modification of shipyards where the
contributions together resulted in design loss of tidal movements made modifications
criteria for all sea defenses. Since the necessary.
publication of the Committee's final report, this
has been called the Delta Level. Logically the execution of the Delta Plan
(Fig. 6) started with the defense of the most
Apart from protection against flooding, the vulnerable spots. I Major works at the early stage
closure of the estuaries was projected to have included the construction of a movable flood
some additional benefits: barrier in the Hollandse Ijssel near Rotterdam
(1958) to protect the low-lying part of Central
water management could be improved, Holland (at some places 6 meters below sea
especially with respect to salt water level), and the closure of the Veerse Meer with
intrusion, two dams (1960 and 1961). The Veerse Meer has
infrastructural improvements on.land and since developed into a brackish water lake with
water, like connecting the islands with an important recreational function. Having
the mainland and better shipping routes, obtained experiences with small-scale closures,
increased availability of fresh water for the larger and more difficult works were then
agricultural and industrial purposes, constructed:
facilities for recreation could be
developed, 1965 Grevelingendam, separating the Grevelingen
land reclamation would be easier, and estuary from the Oosterschelde estuary with
a shipping lock,
1969 Volkerakdam with shipping locks (serving the
X3 2 1-6 traffic between Rotterdam and Antwerp), thus
separating the Southern Delta region from
the Rhine and Meuse river water,
5 1970 Haringvlietdam with large discharge sluices
which at the same time act as a barrier
against storm surges-,
1971 Brouwersdam, cutting off the Grevelingen
estuary from the sea, thus forming lake
Grevelingen, which is now a rare stagnant
salt lake.

THE OOSTERSCHELDE CONTROVERSY

1P
The original time schedule of the Delta Plan
called for the closure of the last and largest
Oosterschelde estuary in 1978 by an impervious
Exess frequency curve for Burghsl-@is dam. This would be very difficult because of
at the .@h of the Oostersche',de, high tidal currents and deep gullies (down to 40
ba-4 or. a f4ftv vear period of
.b-'rvati- U90,.-9K, meters). Behind the dam a lake would be created

186

OELTAPLAN

...........

- -------_----
10

8...
9
10

Fig. 6.
The Delta plan
which together with lake Grevelingen could be concluded, in 1974, that Oosterschelde should be
converted into a fresh water lake using -water closed off according to the Delta Act, but a
from the Rhine let in through sluices in the solution would be preferred which would preserve
Volkenrakdam. Work had already started in the tidal movements under normal (non-storm)
Oosterschelde when opposition to the total conditions. The fact that an open Oosterschelde
closure grew in the early seventies. with higher dikes around it required an amendment
of the Delta Act, which probably would not have
The main reason for this opposition was a carried a majority vote in Parliament, did much
rising interest in the natural environment. to prompt this conclusion.
Water in the Oosterschelde - especially after the
separation in 1969 from the polluted Rhine and A period of political maneuvering, action
Meuse waters - had become relatively clean. The group demonstrations, and scientific
estuary had large tidal flats and shoals, great confrontations occurred before the Cabinet
biomass production, and a rare ecology. In ordered a feasibility study on a barrier type -of
addition, the fishing industry saw an opportunity dam with gates that would be closed in a severe
to continue business and added their voice to the storm, but would otherwise be open to allow th
growing number of people who doubted that the (somewhat reduced) tidal flow into the basin.
advantages of closure would outweigh the The feasibility study was performed by the
drawbacks. In the fifteen years since the Delta government agency responsible for sea defenses
Committee's final report, ecological (Rijkswaterstaat) and took about 400 man-years
considerations had clearly gained a place in the over an 18 month period. In parallel to this
decision-making.process. highly technical study, the POLANO (Policy
Analysis of the Oosterschelde) project was
Although in the early seventies neither the executed in which three basic alternative means
Cabinet nor Parliament wished to heed the of protection against flooding were analyzed.
objections of those opposing complete closure of The alternatives included building a storm surge
the Oosterschelde, a Cabinet change in 1973 barrier, a closed dam according to the original
brought the issue on the political agenda. Delta Plan, or large new dikes around the estuary
Another Committee was formed, now with a more (Fig. 7). In this project the Dutch government
balanced membership. This Committee was directed contracted with the Rand Corporation (Santa
to reevaluate the closure decision (officially Monica, CA) to help develop. and apply a
stated, "to bring the required protection against methodological framework for predicting and
storm flooding into harmony with preservation of comparing the different consequences of these
the natural environment"). The Committee alternative About 16 man-years were spent on
this study.

187

and changes in ecology. Each option had a major
disadvantage that might be considered
sufficiently serious as to make it politically
unacceptable: the storm surge barrler case was by
far the worst due to cost,
the closed case for
ecology, and the open case for security. There
were also different effects on the fishing
industry, canal shipping, recreational
opportunities, and the national economy.

The result of this policy analysis -
.together with the technical feasibility study -
was submitted to the Cabinet in May, 1976. The
Cabinet recommended the storm surge barrier plan
to Parliament. The debate on June 23, 1976,
during which Parliament accepted the Cabinet's
recommendations, had a completely different
atmosphere from-the one that prevailed when the--
Delta Act was passed 18 years before. Then,
there was remarkable unanimity; now,
dissatisfaction was everywhere. It was a
political compromise for which a high price had
to be paid. Whereas the closure of the
Oosterschelde according to the old plan would
have cost 2.1 billion guilders, the barrier
solution required 4.7 billion (guilders of 1976).
In addition, the date at which the area would be
fully protected was pushed from 1978 to 1985.
But the unique ecology had been saved and the
local fishing industry once again had a future.

EXECUTION OF THE OOSTERSCHELDE PROJECT

Shortly after the decision, of June, 1976,
work started on the newly defined project. Apart
from the storm surge barrier in the mouth of 'the
estuary (almost in open sea), this included dams
of a more conventional type in the back of the
Oosterschelde. This was necessary in order to
keep the Rhine-Schelde canal - connecting
Rotterdam and Antwerp - free of tidal movement
J
a condition required by an international treaty
with Belgium. An extensive matrix organization
was set. up within which various disciplines from
government agencies worked closely together. It
Fig.7. was clear from the beginning that designing and
The three alternatives analvzed in 1976; building a barrier with movable gates, founded on
from top to bottom: open, closed, barrier the loosely-packed sandy bottom and attacked by
high waves, required g quantum increase in J
knowledge and experience.
For the alternative options, the Rijkswater- The barrier consists of 66 large concrete
staat/Rand team analyzed and compared many piers, varying in height between 30 and .40 m,
different consequences, called impacts. In which are positioned in the three tidal gullies
addition, a number of sensitivity analyses were at the mouth of the Oosterscheld (Fig. 8). Two
performed to learn how the impacts would change artificial islands were built on existing sand
with variations in the design of the alternatives- banks. The total width of -the estuary-mouthis 9
and in the assumptions made for several uncertain km; the combined length of the barrier is almost
factors. By intention, the study did not 4 km. The concrete piers were prefabricated in a
conclude by recommending a particular construction dock; once the piers were ready the
alternative. Rather, it attempted to clarify the dock was inundated and a specially built lifting
issues by comparing, in a common framework, the vessel (lifting capacity 10,000 tons) transported
many different impacts of the, alternatives and the piers for placing in a, partly submerged
left the choice among alternatives to the condition- to their locations in the axis of the
political' process where . the responsibility barrier@
properly resides.
The most difficult part of the design was
Significantly, there was no dominant the foundation for the piers. After compacting
alternative --: one that was best for all the the sandy bottom by a special technique using
impacts. The impacts differed primarily in terms vibrating needles 35 m long, two layers of
of costs of construction, security from flooding, prefabricated mattresses were deposited. The

188

When choosing a "best" control strategy, the
familiar problem of safety vs. ecology has to be
resolved. From the safety perspective thE@
barrier should be closed as long as necessary;
from an ecological point of view it should bE!
closed as short a time as possible. Different
inside water levels can be effectuated by various
control strategies. This has been studied by
using storm scenarios and simulation models for
water level response and the associated other
effects. As an example, Fig. 9 shows the
February, 1953 storm surge with and without the
barrier. As in the POLANO study, it was not the
purpose to recommend a particular alternative.
Rather, the alternative control strategies were
compared in terms of their different impacts,
leaving the choice to those who are politically
responsible. It may be mentioned that the
barrier can also be.closed in response to other
Fig. 8. contingencies such as off-shore oil pollution.
The barrier design

LOOKING BACK

With completion of the Oosterschelde project
in 1986, the Delta Plan will be completed 33
years after the 1953 flood disaster. The Delta
piers were eventually placed on these. In region will then be protected to a level of
between the piers, prefabricated steel gates .1/4000. The region, will include a variety of
which can be moved hydraulically were installed. landscapes - man-made but due to their dimension
The barrier forms a contraction of the gully still important natural environments. Various
profiles under normal tidal conditions. After functions are combined in a harmonious way. All
completion, the total wet profile at mean sea this, however, cost a lost of money.
level will be reduced from 80,000 to 14,000 sq
meters, which gives a 30% reduction in tidal Projects like this influence the social
range within the estuary. sy*stem to such an extent that they generate major
conflicts. Moreover, some parts of a mega-
It was clear that management of such a mega- project run the risk of becoming less acceptable
....project would not .be easy. Problems never due to the long duration of the project. This
encountered before in hydraulic engineering had can lead to a shift in functional demands, which
to be solved. Basic and applied research were clearly was the case with the closure of the
carried out simultaneously, even after the design Oosterschelde estuary. One way of handling the
had been completed and construction started. It uncertainty of political boundary conditions is
is well known from other mega-projects that cost to have built-in flexibility. However, this
control is extremely difficult when one cannot always leads to extra costs. which can be
fall back on past experien5e and is forced to prohibitive in mega-projects. Another method is
b.uild a scale 1:1 prototype. to phase the project; each phase ends in a
milestone and a go/no-go decision. In mega-
At this moment the Oosterschelde project is projects, however, go/no-go decisions are
about 80% finished and the original time schedule particularly difficult, because the changeover to
has slipped one year. The current plan is to
have the storm surge barrier operational by
October, 1986. The total cost estimate as of
July, 1985 comes to 8.0 billion guilders.
Excluding cost increases due to inflation, this
means an expected cost overrun of about 13%.
Given the innovative character and long duration
of the project, this can be considered quite a
14a
success.

After having completed the storm surge
barrier, it can be used to prevent high %11
Oosterschelde water levels during storms.
.1cIM
Different strategies can be applied to close and
0
pen the barrier, each with differing specific
effects on the Oosterschelde basin. These
effects, relating to safety, ecology, water
management, shipping, etc. have been analyzed in
a policy analysis study called BARCON (short for
Barrier Control). Like the POLANO study mentined
previously, this was a joint eff@rt of Fig. 9
Rijkswaterstaat and the Rand Corporation. Water ievel as a function of time at the mouth of the
Oosterschelde; simulation run for the Feb. 1953 storm

189

another alternative is time-consuming and results Last, but not least, the Delta Plan has
in.political struggle. One should always keep in provided a unique opportunity for Dutch
mind that there is no "best" solution for contractors, consultants, and research institutes
problems which involve safety, ecology, and to gain exgerience in innovative hydraulic
economy. engineering., Skills and knowledge are applied
all over the world and made the Dutch experts in
Let us turn back now to the additional handling "water".
benefits of the Delta Plan, which have been
mentioned by the Delta Committee in its final
report: NOTES

- Improved water management: the 1. More historical information can be found in
construction of the Haringvliet sluices the Proceedings of the Delta Barrier
and the Volkerakdam made it possible to Symposium-_(Rotterdam, 1982) and the
control the discharge from the Rhine Symposium on Integration of Ecological
through the Haringvliet, thereby Aspects 'in Coastal Engineering Projects
facilitating the fight against salt (Rotterdam, 1983).
intrusion.
2. Final Report of The Delta Committee. 1962.
- Infrastructural improvements: the islands The Hague, Netherlands.
of SW Netherlands have been connected to
the mainland and every dam carries a 3. Wemelsfelder, P.J. 1939. The occurrence of
road. This has been a substantial storm surges. De Ingenteur. 9.
benefit for the Delta region as a whole.
Through the construction of the Rhine- 4. The closure of the Oosterschelde estuary.
Schelde connection, shipping traffic 1981. Report prepared for the cooperative
between Rotterdam and Antwerp has action programme of the OECD on Joint
increased dramatically;. on other routes Activity on Multipurpose Hydraulic Projects.
some locks have been added. Ministry of Traffic and Public Works. ' The
Netherlands.
- Increased availability of fresh water:
this benefit did not materialize because 5. Goeller. B.F. et al, Rand Corporation. 1977.
the Oosterschelde will stay an estuary Protecting an Estuary from Floods - a Policy
and the Grevelingen is now a stagnant Analysis of the Oosterschelde. R-2121 (6
salt lake. It is even doubtful whether volumes).
enough fresh water can be taken from the
Northern region, through the Volkerak 6. Technical information can be found in the
sluices, without seriously damaging the Proceedings of the-Delta Barrier Symposium'.
production functions up North. At this 1982, and in: Hydraulic Aspects of Coastal
moment the agricultural areas can Structures. 1980. Delft:, Delft University
function with fresh water supply from Press.
other sources.
7. Goemans, T. and H.N.J. Smits. 1985. Cost
- Easier land reclamation: right now this control in a mega-project: The Oosterschelde
is a non-issue; there are no plans for works. Proc. 8th INTERNET World Congress on
land reclamation, because the aquatic Project Management. 1:3-12.
system is protected.
8. Catlett, L. et al, Rand Corporation. 1979.
- Development of recreational facilities: Controlling the Oosterschelde- Storm. Surge
Barrier A Policy Analysis of Alternative
Lake Grevelingen and most of the smaller
lakes have developed into recreational Strategies. R-2444 (4 volumes).
attractions of international
significance. For the Osterschelde, 9. Some of this experience-has been published
however, the main function is natural in the book: The Closure of Tidal Basins.
environment and any recreational 1984. Delft: Delft University Press.
developments are subordinate to that
function. In this way the inner part of
SW Netherlands is kept "quiet".

- Increased potential for economic develop-
ment of Central Holland: industrial
activities around the harbor of Rotterdam
have grown substantially since - the
fifties; this was accompanied by a
reconstruction of the area between the
New Waterway and the Haringvliet. The
most important function of the rest of SW
Netherlands sill is, however,
agricultural and recreational.

190

British Structural Flood Mitigation Experience: A Critical Look at
Response to Coastal Flood Disasters

Dennis J. Parker
Flood Hazard Research Centre
Middlesex, England

INTRODUCTION provision of effective protection structurE!S
and/or forecasting and warning systems.
This paper evaluates recent British
experience with structural flood mitigation and There are other important differences:
..assesses the applicability of post-disaster
mitigation, as currently experienced in the 1. British floods rarely lead to the
United States, to the British scene. A case destruction of buildings. Reoccupation
study is provided of coastal flood mitigation of the ground floor of buildings 'rather
successes, failures and deficiencies to help than their reconstruction is typical.
identify lessons from British experiences policy Structural failure due to flooding is
recommendations, and research priorities. rare. Although timber-frame construction
is becoming more common, the vas@
The post-disaster mitigation context is very majority of British buildings are brick
different in Britain from the United States. or stone and are not so vulnerable to
Therefore, the transfer of experience should be flood damage as their North American
highly selective. Areas where international counterparts. British rivers are also
comparisons may be profitable are identified at typically less powerful than those in
the end of the paper. North America.

2. The ratio of unprotected to protected
THE POST-DISASTER MITIGATION CONTEXT buildings is more favourable in Britain
than in the United States, especially
Until the mid-1970s reconstruction in situ along coasts. This reflects the long
without any form of flood protection was The _@o`at history of central government financial
common response to flood disaster in the United incentives for flood protection. It is
States. Rebuilt structures were equally therefore, more likely in Britain that
vulnerable to flood disasters although some were serious flooding will be followed by
subsequently protected. From the mid-1970s protection to relatively high standards.
United States flood mitigation policy pursued
means of encouraging post-disaster response to The distinctive characteristics of the British
avoid the cycle of destruction, reconstruction, @flood scene which underlie these important
and continued vulnerability. Major elements of differences in the post-disaster mitigation
this policy include the Flood Disaster Protection context are further explained below.
Act 1974 which made the adoption of local land
use regulations a condition of federal disaster
assistance, and the purchase of flood insurance THE BRITISH FLOOD SCENE
(Kusler, 1982). In 1979 the Federal Emergency
Management Agency initiated a floodplain The flood risk in Britain is smaller than in
acquisition program to purchase selected heavily the United States. About 4.79 percent of
damaged properties (FEMA, 1981). Loans have also Britain's population is estimated to live in
been denied for reconstruction and rapid post- flood hazard zones (Table 1) compared with about
disaster assessment by federal agencies has been Table 1. Estimatesl of Properties and Population Located in Flood
required. The context of these policies is the
need to find low budget nonstructural. approaches Risk Areas of Britain2
to flood mitigation.
Flood Type/ Properties Population Percentage of
Within the British approach to flood Protected Category Total P.P.lati-
mitigation (Parker, 1986) enhancing the post- Riverine flood plains:
disa;ter mitigation response is not currently a Unprotected 101,600 274,100 0.54
central problem. Rehabilitation of communities Protected 231,700 625,;90 1.25
after flooding almost always receives positive Coastal flood zones:
government encouragement. The state provides
strong financial incentives for structural Unprotected 56,000 150,000 0.30
pro.tection and/or flood forecasting systems: the Protected 500,000 1,350.000 2.70
usual response to flood disasters is to improve Totals: 889,300 2,399,790 4.79
flood protection and forecasting capability. In
Britain the post-disaster mitigation problem 1. Derived from figures and estimates researched by Handmer (L986)@
therefore involves overcoming barriers to rapid 2. Excluding Scotland and e-luding urban storm drainage surcharge risk.

191

8.9 percent in the United States (Handmer, 1986). adjustments have been successful in Britain. The
A larger proportion of the flood prone population comparatively docile nature of riverine flooding
is protected in Britain: less than I percent of means that it is often economically feasible to
the total population is unprotected. embank rivers to provide high standards of
protection. For reasons explained below, sea
Sea flooding -is the major risk. The largest flooding is more difficult to control and,
proportion of properties at- risk with the arguably, structural flood loss mitigation has
greatest potential for disaster are located along been less successful and a little more prone to
the south and east coasts. Sea flooding failure.
disasters dominate British flooding history
(Steers, 1953). Apart from flood forecasting and certain
warning systems, central government grants have
Inland riVerine flooding is a widespread but not been available for non-structural meas@res.
comparatively less serious risk. Most major and High population densities (325. 2 people/km in
minor urban developments contain some flood plain Britain compared to 24 people/km in 'the U.S.)
(Parker & Harding, 1974). However, only small- mean that there is a comparative land shortage
sections of most,urban centres are flood prone. leading to a need, perceived by town planners, to
Moreover_ the flood behaviour of British rivers utilize even flood prone,land., Whilethere has.
less aggressive than their North American been flood plain encroachment, post@war
counterparts and British rivers are comparatively population growth in Britain (12.7 percent for
easy to contain within embankments (Handmer, Britain compared to 50.3 percent in the U.S.)
@1986). The ratio of normal river channel means - that encroachment has -probably not
capacity to the discharge of large floods is proceeded ..at a pace comparable to that in the-
.generally much greater in the United States,, than United States (Parker & Penning-Rowsell, 1983).
in Britain (Porter, 1970).
The established state-led approach to flood
However, surcharging of storm drainage mitigation in Britain is.now being undermined by
@systems is an escalating problem due to the Thatcherite political doctrine (Penning-
urbanization and years of insufficient re- Rowsell, Parker, &.Harding, 1986). Unfortunately
investment. In most urban areas localized this doctrine of,reducing.the.role of the state
foulwater flooding is a widespread , problem in some areas is likely to lessen the potential
(Parker & Penning-Rowsell, 1983). for both effective structural and nonstructural
measures. Central government financial
Flood mitigation in Britain relies upon a incentives for structural measures. have been
mix of structural and nonstructural measures, reduced: both grant aid rates and local and
notably levees; flood forecasting; and flood central government budgets have been
warning systems (Penning-Rowsell, 1981; Parker, substantially reduced. Planning controls are
1981). There is no national flood insurance being dismantled and it is unlikely that
program. Private industry has offered flood regulatory measures such as building regulations
insurance since 1961 to prevent the will be strengthened. Public acquisition of
nationalization of the insurance industry flood plains is less likely than ever since
(Arnell,, .1986). Flood insurance has been central government is discouraging local
purchased by most householders and businesses: authority property holdings and,is pressuring the
household.,policies automatically cover flood loss local governments to sell real estate assets to
at no ad.ditional premium. There has been no the private sector. Government plans to
attempt, as in the United States, to make the 11privatise" the Water Authorities threaten to
sale of flood insurance conditional upon the seriously weaken their regulatory power and are
adoption of land use regulations. bound to place more emphasis on the self-
financing of flood mitigation without also
Because of land shortage and related urban providing the necessary controls and incentives
and countryside planning problems, there has been to make this approach effective.
a national system for controlling urban
development since 1947 (Penning-Rowsell, 1981).
This system also applies to flood plains. In MITIGATION RESPONSES FOLLOWING COASTAL
such areas Water Authorities advise local FLOOD DISASTERS
planning authorities about developments likely to
worsen the flood hazard. Although there is Three examples of coastal flood mitigation
growing evidence that the development control illustrate the British experience. London's
system has failings, the need to encourage Thames barrier is the most recent major addition
communities to adopt land use management has not to Britain's east coast flood defences and
been present (Whittle, 1986). Nor has there been exemplifies par excellence the British structural
as much concern in Britain as in the United approach. Coastal levees in Whitstable and
States about rising flood losses (Parker & Swalecliffe in the county of Kent, and Chesil in
Penning-Rowsell, 1983). Institutional arran- the county of Dorset, demonstrate deficiencies in
gements favour structural remedies. Incentives the structural approach.
for structural flood mitigation have come through
a central government grant system which removes
much of the cost of protection from the direct The Thames Barrier and East Coast Flood Defences
beneficiaries (Penning-Rowsell, Parker, & The Thames tidal surge barrier became
Harding, 1986). operational Jin 1983 (Horner, 1978). The project
Generally, in a riverine context, structural was implemented following the 1953 east coast

192

floods; the ensuing government appointed Waverley causes of the 1953 flood reco,funended protection
Commission report (Home Office, 1954); and the standards (Home Office, 1954) which have been
subsequent increase in London's flood risk. adopted and remain important 30 years later.
Broadly 'Waverley standards' relate to the value
Britain's east coast is defended against of property at risk. A protection standard to
erosion and flooding for approximately 2000 prevent the recurrence of the 1953 flood (a 200
kilometres. Large areas of reclaimed prime year event) was recommended and subsequently
agricultural and urban development, much of which adopted for urban areas and valuable agricultural
is below sea level, lie behind this protected land. Elsewhere protection standards may be
coastline. The flood defences include earthen lower or, in a few circumstances, higher.
..embankments, some armoured; flood walls; beach Somewhat prophetically the 'Waverley standards'
and groyne systems; and a series of moveable were criticized at the time for being too low
tidal exclusion barriers. The Thames barrier is (Davey, 1954) and, sure enough, these standards
the largest of seven barriers constructed in the have since been revised upwards.
Thames estuary since 1974. The 1978 tidal surge presented the most
East coast protection policy is primarily severe test of the east coast defences since
structural and is directed at land and property 1953. Although surge levels were higher than
protection. However, this policy is also heavily 1953 levels in the north, they were somewhat
dependent upon the East Coast Storm Tide Warning lower in the south. Compared with the 1953
Service, established on Waverley Commission event, flood losses were limited but nevertheless
recommendations. This service triggers barrier sea defences were breached or overtopped in
closures and local public warning systems, and is several locations. Consequently, over 3100
directed principally at protecting life. properties and over 2500 hectares of agricultural
land were flooded (Wakelin, 1978; Briant, 1978.).
East coast protection and the defence of In London the 1975 and 1978 surges almost
London. against floods is of national strategic overtopped flood defences.
importance. The reliance upon structural
protection is due to the severe coastal erosion Over 30 years elapsed after the inception of
problems and threat of land loss faced by a the barrier project before its Completion.
nation with a comparative land shortage. Design problems, negotiations over navigational
Protection policy clearly favours defence against needs, funding, and the need to promote a special
abandonment to the sea and no other approach Act of Parliament together with labour union
could achieve this. In addition sea levels are tactics during the latter construction phaSE@S
rising relative to land because of polar ice cap combined to delay implementation. In the
melting, and the slow tilting of Britain toward interim, and because of the progressive worsening
the southeast, and because London is sinking on of the flood risk, a major effort was made to
its clay foundations. Tides are rising by about establish an effective public flood warning
0.76 metres per century at London bridge. --system for London. However, the extensive and
unprecedented advertising and public education
Some 115 kilometres of central London are efforts failed to adequately raise public
now below highest recorded flood levels. This awareness of the flood warning system and
area contains London's commercial core, the seat appropriate responses (Barrett, 1980).
of government, homes for 750,000 people, 70
'tube' stations, and countless public service
buildings. One hundred deaths occured in the Protection for Whitstable and Swalecliffe
Thames estuary following the 1953 tidal surge
which caused $250-410 million damage (at 1985 Whitstable and Swalecliffe are adjacent
prices) and over 300 deaths along the east coast. coastal towns on Britaints east coast,
approximately 80 kilometres from London. The
The Thames barrier cost 435.6 Million (at towns' combined population is approximately
1982 prices). To prevent navigational obstacles 20,000, 25 percent of which is located in flood
the barrier is only closed following a tidal prone areas mainly in Whitstable. Whitstable's
surge warning. Closures are expected 2 or 3 commercial centre, with many buildings of
times per year in the 1980s, rising to 10 historic value, is flood prone as is a recently
closures per year after 2000. The barrier has a constructed old people's home and century-old
protection standard of 1:1000 years - much higher housing which are located on the lowest land
that is the usual practice in Britain. (Parker & Penning-Rowsell, 1981). In Swalecliffe
Construction of the.barrier has-reduced the need post-1945 single-story 'retirement' housing has
to heighten floodwalls in central London which been seriously flooded together with seafront
would have a major negative impact. caravan and chalet parks (Parker, Penning-
Rowsell, & Green). New retirement and mobile
Completion of the barrier has necessitated home developments are particularly common in
an additional 62.5 Million expenditure (at 1982 flood prone coastal communities in Britain.
prices) for increasing the height of downstream
estuary defences. About 75 percent of the cost Owing to falling land levels there is a
of the barrier was funded by central- government documented 900 year long history of coastal
as part of a grant aid policy for flood defence erosion, sea flooding, and sea defence on this
and coastal protection works. The remainder was coast. Despite this, low-lying land in
raised on local rates. Whitstable has been reclaimed in recent
centuries. Development has advanced in a seaward
The Waverley Commission inquiry into the direction - sometimes forward of sea defences

193

taking advantage of storm generated beach shingle Atlantic and arrive almost announced. These 50
accumulation. year events seriously erode the beach and
inundate Chiswell with both shingle and
Whitstable was last seriously flooded in floodwater.
1953 when the present sea walls were being
constructed. However, the 1978 floods which Severe structural damage was caused by the
seriously affected unprotected Swalecliffe, 1978 and 1979 floods: some buildings were
brought Whitstable close to disaster. Now both destroyed. The mainroad was closed for up to
Swalecliffe and Whitstable have new sea wall and four days causing major economic disruption to
coast protection proposals which are about to be the surrounding@ region. The floods occurred
implemented. Whitstable's 30 year old sea wall without warning; residents and drivers were
is now structurally unsound and too low to rescued in sometimes desperate circumstances. In
protect against the severe events now envisaged. the aftermath many houses, shops and public
houses were temporarily abandoned and boarded up.
There is no evidence of any measures other Some remained abandoned for several years.
than structural ones combined with a public flood Fearful for their lives and suffering from
warning system being considered for Whitstable or extreme anxiety, some residents were rehoused
Swalecliffe. Each flood disaster has led to elsewhere at their own request; others remained
progressive strengthening of defences and new to form a resident's action group to fight for a
developments have been permitted into flood prone structural mitigation Itsolution". Many
areas making the control system fail when single- Portlanders are proud of their island traditions
story housing was permitted in an unprotected and are totally opposed to the deterioration and
flood risk area. abandonment of the historic site of Chiswell.

Both Whitstable and Swalecliffe have Despite the misgivings of some local
encountered severe difficulties and delays in politicians, the mitigation approach adopted for
gaining local support and central government Chiswell has been -one 'of reconstruction,
funding to improve sea defences. Politi:cal rehabilitation, and structural defence against
opposition and successive proposals have split further sea flooding. Buildings have been
.the communities. Wh,ile nearly all favor a reconstructed, repaired, and refurbished. With
structural remedy, some have argued effectively local government funding, infrastructure
on cost and amenity grounds against successive improvements have followed. With a central
proposals. The saga developed into a protracted government grant, a 4.5 Million sea defence
struggle during the 1970s and 1980s when 3 public project was implemented within 4 years of the
inquiries were necessary to examine proposals and last flood. It consists of beach gabions, a new
counter-proposals. sea wall and a 'monsoon' ditch behind the beach.

Providing that the sea defence project could
THE CHESIL PROBLEM be demonstrated to be economically efficient the
authorities were predisposed towards a structural
Chesil beach is a 28 kilometre long natural' solution even though such a solution is widely
shingle bar some 200 kilometres southwest of acknowledged to be technically problematic at
London which connects the Isle of Portland to Chiswell. The performance of the gabions on a
Britain's southern mainland. Because of its possibly unstable shingle beach is untested and
environmental and amenity significance, Chesil the design life of the gabions is no more than
beach is a Site of Special Scientific Interest. about 15 years.
Chiswell, a community of 130 people protected by
the natural shingle bar, is part of a NATO naval Chesil is perhaps one of the few cases in
base and the only main road linking the Isle Britain where a.floodplain acquisition policy
community of 16,000 people to the mainland. The
linked to community relocation might havebeen a
Isle has other important defence establishments. logical option. Although considered by' local
Historically Chiswell buildings were constructed officials, this option was never seriously
to withstand severe sea flooding. These entertained because of the strong local
ingenious flood proofing features in evidence in opposition, community heritage factors and
old buildings have been ignored in new building institutional barriers to acquisition and
design. relocation.

I Chesil beach is today subject to a variety
of natural and man-made pressures which combine LESSONS AND RECOMMENDATIONS
to weaken its protective qualities. Commercial
shingle extraction is just one factor thought to Nine lessons and recommendations follow from
be leading to the gradual inland movement of the these three examples and the previous analysis.
shingle bar and to the fall in the bar's crest These lessons apply equally to coastal and
level. Prior to 1970, Chiswell experienced riverine settings in Britain:
flooding on at least 10 occasions but in the
1970s at least 7 floods occurred. Shallow 1. Structural approaches are particularly
finuisance flooding" occurs most years because of appropriate -under the following c 'ircum-
sIeawater seepage through Chesil beach. Storm stances: where there is land shortage;
surge floods, as in 1978, threaten to breach the where communities are long-established;
beach and swamp Chiswell: these event have a where there are urban heritage values to
return period of about 5 years. Ocean swell protect (as in Whitstable and Chesil);
floods, as in 1979, originate far out in the and where very high standards of

194

protection are justifiable (as in protected areas.
London). 9. Present Thatcherite policies undermine
2. Structural mitigation measures must be various components of British flood
combined with effective flood warning mitigation policy. What is required is a
systems to guard against structural continuation of the state-led structural
failure (as on the east coast), approach more strongly combined with
wider regulatory powers and mitigation
3. Britain is locked into a long term cycle measures for protected zones (see 5
of protection; development inten- above).
sification in protected areas; and
subsequent increased protection needs (as CH PR TORITIES
in Whitstable and London). The problem RESEAR
is worsened on the east coast by falling
land. levels and everywhere by wealth 1. Evaluation of development trends and
accumulation. -increasing damage potential in different.
types of flood risk areas: riverine/
coastal; protectled/unprotected.
This cyclical process is reminiscent of the
United States prior to its shift toward a 2. Evaluation of the effectiveness of the
regulatory policy. In the case of Britain, current development control system for
continued development in coastal and other flood flood risk areas including identification
risk zones is inevitable with current social and of deficiencies and improvement needs.
economic trends. However, development controls
must be strengthened to "weed out" proposed 3. Evaluation of the performance of selected!
development which could be located elsewhere and flood protection works including a
to enforce more restrictive elevation and other comparison of achievements against.
flood proofing measures in protected zones. original expectations.
4. More specifically, development control 4. Evaluation of the pattern of financial
procedures must be strengthened to avoid incentives of various, kinds (e.g.,
the location of non flood-proofed old mortgages, loans, government subsidies,
people's homes, retirement dwellings etc.) for development in flood risk
(particularly single story), and caravan zones.
and chalet parks (as Swalecliffe and
Whitstable) in protected and unprotected, 5. Evaluation of flood proofing costs and
zones. benefits specifically linked to British
construction methods.
5. Further attention must be given to
financial incentives for non-structural
mitigation measures employed as "back up" LESSONS FOR THE UNITED STATES
to protection measures. Financial
incentives could ensure that new homes, What can the United States learn from
local , government property and other British experience and vice versa, and in what
buildings incorporate flood proofing areas may cooperative international research be
measures in order to reduce the growth in profitable? We must proceed with caution here in
flood damage potential and to break out Britain in applying U.S. techniques. The post-
of the cyclical process described in 3 disaster mitigation context in Britain is very
above. Further attention should also be different from that in the United States. . Thus,
.given to . providing technical and the transfer of experience must proceed only in
financial assistance to local authorities carefully selected areas.
and to the police to improve the
dissemination of public flood warnings. 1. Britain has been comparatively successful
in avoiding catastrophic flood losses by
6. The existing development control system combining structural flood protection
should be modified to give strengthened measures with flood forecasting and
powers to Water Authorities to control public warning systems. While
flood plain development. Local planning differences in success rates between the
authorities currently have too little United States and Britain may be due
regard for the flood risk (e.g., partly to "local factors", the reasons
Swalecliffe). for the British experience might be
profitably explored. Similarly, in
7. Consideration should be given to those evaluating the performance of structural
exceptional cases where floodplain measures, United States experience is
acquisition and propertyrelocation may likely to be valuable to Britain.
be feasible (as in Chiswell).
2,. British buildings are comparatively
8. Further experimentation is required resistant to flood damage: structural
regarding public education to improve failure is rare. Again, accepting the
public awareness of flood warning differences in the hydraulic characteris-
procedures and actions (following tics of British and North American
London's experience), especially in rivers, further examination @of

195

construction methods and materials used Lewis, J. 1979. Vulnerability to a Natural
in Britain might be fruitful. There is Hazard: Geomorphic, Technological, and
also experience in Britain of building Social Change at Chiswell, Dorset. Natural
elevation and structural flood proofing Hazard Research Working Paper 37, University
and comparative studies of building of Colorado, Boulder, CO.
designs, costs, and benefits may be
worthwile. Again United States Parker, D.J. 1986. The institutional and policy
experience in this area is also likely to context. In J. Handmer (Ed.), Flood Hazard
be useful to Britain. Management: British and International
Perspectives, Chapter 3. Geobooks, Norwich,
3. The British development control system is U.K.
largely alien to the United States but
there may be some advantage in Parker, D.J. 1981. Flood mitigation through non-
investigating the 38 year British structural measures: A critical appraisal.
experience with land use regulations and, In Proceedings of the International
particularly, changing attitudes toward Conference on Flood Disasters, Vol 1.
regulations over time. This may provide National Academy of Sciences, New Delhi.
a useful context in which to plot the
path and direction of United States Parker, E.J. and E C. Penning-Rowsell. 1983.
regulatory policies and to evaluate their Flood hazard in iritain, Progress in Human
successes. Geography, 7, 2:182-202.

Parker, D.J. and E.C. Penning-Rowsell. 1983.
REFERENCES Flood risk in the urban environment. In D.
Herbert and R. Johnson (Eds.), Geography and
Arnell, N.W. 1986. Flood insurance and floodplain the Urban Environment, 201-39. Wiley &
management. In J. Handmer (Ed.), Flood Sons.
Hazard Management: British and International
Perspectives. Geobooks, Norwich, U.K. Parker, D.J., Penning-Rowsell, E.C., and C.H.
Green. 1983. Swalecliffe Coast Protection
Arnell, N.W., Clark, M.J., and A.M. Gurnell. Proposals: Evaluation of Potential Benefits,
1984. Flood insurance and extreme events: Middlesex Polytechnic Flood Hazard Research
The role of crisis in prompting changes in Centre, Enfield, U.K.
British Institutional response to flood
hazard, Applied Geography 4:167-81. Parker, D.J. and E.C. Penning Rowsell. 1981.
Whitstable Central Area Coast Protection
Barrett, S. 1980. London's flood peril - Is the Scheme: Benefit Assessment, Middlesex
public well warned? Information Design Polytechnic Flood"Hazard Research Centre,
Journal 1:174-81. Enfield, U.K.

Briant, D.W. 1978. Performance of the north Kent Parker, D.J. and D.M. Harding. 1974. Flooding at
sea defences under storm tide conditions and Shrewsbury, U.K. In G.F. White (Ed.),
implications for design and further action. Natural Hazards: Local, National, and
Paper presented at the River Engineers Global. Oxford University Press.
Annual conference, Cranfield, U.K.
Penning-Rowsell, E.C., Parker, D.J., and D.M.
Davey, R.H.R. 1954. The Waverley Report, The Harding. 1986. Floods and Drainage: British
River Boards Association Yearbook for 1954. Policies for Hazard Reduction, Agricultural
London. Improvement and Wetland Conservation. Allen
and Unwin, Hemel Hempstead, U.K.
Federal Emergency Management Agency. 1981.
Evaluation of Alternative Means of Penning-Rowsell, E.C. and D.J. Parker. 1983. The
Implementing Section.1362 of the National changing economic and political character of
Flood Insurance Act of 1968. Washington, water planning. In T. O'Riordan and R.K.
DC.. Turner (Eds.), Resource Management and
Environmental Planning, Vol IV. Wiley &
Handmer, J. (Ed.). 1986. Flood Hazard Management: Sons, 169-99.
British and International Perspectives.
Geobooks, Norwich, U.K. Penning-Rowsell, E.C. 1981. Non-structural
approaches to flood control: Flood plain
Horner, R.W. 1978. Thames tidal flood works in land use regulation @and f 'lood warning
the London excluded area, Journal of the schemes in England and - Wales. In
institution of Public Health Engineers, 16- Proceedings of the International Cftmission
24. on Irrigation and Drainage (11th Congress),
193-211.
Home Office. 1954. Report of the Departmental
Committee on Coastal Flooding, Cmnd 9165, Penning-Rowsell, E.C. and D.J. Parker. 1980.
London. Chesil Sea Defence Scheme: Benefit
Assessment, Middlesex Polytechnic Flood
Kusler, J.A. 1982. Regulation of Flood Hazard Hazard Research Centre, Enfield, U.K.
Areas to Reduce Flood Losses, Volume 3, U.S.
Water Resources Council.

196

Porter, E.A. 1970. The Assessment of Flood Risk
for Land Use Planning and Property
Insurance. Doctoral Dissertation,
University of Cambridge, U.K.

Steers, J.A. 1953. The east coast flood January
31-February 1, 1953, The Geographical
Journal 119:280-98.

Wakelin, M.J. 1978. Performance of east coast sea
defences under storm conditions and
implications for design and further action.
Paper presented at the River Engineers
Annual Conference, Cranfield, U.K.

Whittle, 1. 1986. Urban flood problems: Their
scale and the policy response. In J.
Handmer (Ed.), Flood Hazard Management:
British and International Perspectives.
.Geobooks, Norwich, U.K.

197

CH,kPIrER VHONVEEH
LEGALISSUES

Legal issues in post-disaster mitigation result in or exacerbate hazard losses (e.g.,
may be grouped in three general categories: 'construction of an emergency levee which blocks
flood flows). Liability is an increasing
1. Issues pertaining to the scope and concern worldwide on the part of architects and
interpretation of legislation, rules, regula- engineers who design buildings in hazard zones
tions, and government plans and policies and of national, state, and local governments
establishing the framework for post-disaster which construct and maintain dams, levees,
mitigation including goals, techniques, lines warning systems and other mitigation measures.
of authority, and funding. This legal frame-
work may be incorporated in constitutions, This chapter examines some of the major
statutes, local ordinances, executive orders, legal issues in both developing and developed
and other policy.documents. The lack of legal nations.
framework authorizing, requiring and providing
incentives for post-disaster mitigation is a It begins with a paper by Franklin
serious problem in both developed and develop- McDonald examining legal issues in disaster
ing nations. Suggestions for elements in mitigation in developing countries.
legislation establishing a more satisfactory
framework are contained in the appendix of this This is followed by a paper by Errol Chase
report. examining legislation as it affects disaster
preparedness in Barbados.
2. Issues pertaining to the constitution-
ality of government regulations and actions in James Huffman next examines government
post-disaster mitigation such as moratoria on liability for harm resulting from disaster loss
rebuilding, building codes, use of eminent mitigation.
domain to acquire lands for flood control
structures, and compulsory relocation. Most James Slossen considers the role of the
governments (in the U.S. and abroad) have forensic geologist/expert witness in encourag-
adopted constitutions protecting the rights of ing government mitigation.
individuals against the taking of private pro-
perty without compensation and due process of Jon Kusler provides an overview paper in a
law, discrimination, and arbitrary government question and answer format addressing major legal
action. Courts determine whether various questions in a post disaster context in the U.S.
government actions violate these rights.
Richard Hamman concludes with a discussion
3. Private tort actions by thosed damaged of the constitutionality of land use restrictions
by natural hazards against governments or pri- in post-hurricane reconstruction planning in the
vate individuals for negligence, breach of U.S.
contract, trespass or other actions which

198

'Some Legal Issues in Disaster Mitigation in Developing Countri
es

Franklin McDonald
Office of Disaster Preparedness
Prime Minister's Office
Kingston, Jamaica
"The law can, in various ways, direct new organized. Where settlements are being
human settlements away from hazard prone established for the first time, -such data may in
areas and also assist in mitigating the risk fact be non-existent orvery .hard to obtain.
of disasters in presently occupied areas.
In the absence of coherent legal policies A second problem assoc .iated with traditional
for disaster pre ,vention, the law might have land use or building control/mitigation measures
the effect of actually facilitating in developing states is the need for strong
disasters, . indeed to some extent administrative infrastructure - preferably at the
guaranteeing them." (UNDRO 1980; Disaster local or municipal level - to monitor, enforce,
Prevention and Mitigation: A Compendium of and continuously update the mitigation measures.
Current Knowledge, Vol .9: Legal Aspects) The lack of enforcement of planning regulations
and building, standArds'is one of the weakest
aspects of hazard,-.mi-tiga-tion. The UNDRO report
INTRODUCTION on Legal Aspects,elaborates effectively on this
point, and concludes that in many countries
The.impact of floods and other disasters on Itzoning and subdivision regulations are hardly
the countries of the Third World is now enforced at all."
recognized as a major developmental issue.
Disasters have profound physical, social, In a similar fashion, though building
economic, and even political impacts whenever regulations may- exist; they may cover only
they occur. In the case of developing countries, geographically restricted-areas or prove impotent
disasters impact states which have significant due to the lack of adequate building inspectors.
problems in implementing preparedness,
prevention, and mitigation measures.
This paper attempts an overview of some : of Public Acquisition of High Ri6k,Lands
the important issues and seeks to identify some The acquisition by government of high risk
areas for possible action or further research. floodways is an established mitigation technique
p in the United States. In many countries, the
state has the right to acquire land for the
MITIGATION MEASURES benefit of the community at large and to
compensate the former owners appropriately.
Land Use and Building Regulations Hindrances to this mitigation technique include
the availability of adequate technical data, the
The overall purpose of mitigation is usually financial cost of acquisition and the problem of
the reduction of the effects of a disaster. preventing iliegal occupation (squatting) on the
Mitigation therefore must include actions that land once it is in government hands.
wili reduce the human suffering, social or
economic disruption, or physical damage. Widely
accepted mitigation measures include land use Role of Land Tax Legislation
control measures (subdivision, planning, and
zoning regulations) and building regulations to
ensure hurricane or earthquake resistance design Taxation policies inevitably 'influence land
or flood proofing. In many developing countries use. The potential therefore exists for
these measures - exist and are based on governments to use tax incentives-and penalties
conventional systems for monitoring and enforcing as a part of a national strategy for flood damage
the laws of the land. mitigation. Developing countries can only make
use of this tool if, in addition to having the
In developing countries, according to appropriate. legally based tax regime, there
studies done by the U.N., the existence of such exists adequate infrastructure in the form of a
laws has not guaranteed adequate hazard land title registry, cadastral maps, valuation
mitigation programs. Fot instance, the system, and an effective system for land tax
implementation of zoning regulations assumes the ... collection. In addition, of course, adequate
existence of historic,. technical, and scientific knowledge of the spatial distribution of flood
data on the potential effects of hazards (e.g., (or other) risk is required in order to implement
floods) at particular locations. In many an effective Land Tax based mitigation regime.
countries, the collection and dissemination of
such information is less than optimally

199

Liability of Public Agencies (for "Acts of God" subject in greater depth. I will conclude with a
or Neglect of Man) second verbatim quotation from that report: '1he
dearth of legal studies on almost all aspects of
Where local or municipal agencies can be disaster prevention and mitigation clearly
sued for the consequences of their decisions in supports the conclusion that comparative research
flood or other natural hazard related matters, into these areas of law is urgently required."
the quality of their decisions and sensitivity to
public safety concerns improve. The exposure of
developing societies to societies such as the
U.S. where there is a high propensity for such
-legal action is likely to lead to the expansion
of such suits (providing the legal regime allows
for such action). If public agencies can be
legally challenged, this may increase the pace of
implementation of effective mitigation measures.
Grounds for such suits can include issuance of
planning permits in hazardous areas, government
development activities which increases natural or
technological hazard vulnerability, or the
failure to adequately design (and maintain)
public infrastructure such as flood control
works.

Legislation in the U.S. which forces
disclosure of information on hazards to affected
interests may also prove influential. The- U.N.
in its review of legal issues suggests that
.public participation in the land use planning
process is desirable and should facilitate
mitigation measures at the local government and
municipal levels.

CONTROL OF POST DISASTER RECONSTRUCTION

The period immediately after a disaster is
one of great opportunity for instituting
effective mitigation measures for the next event.
Taking advantage of this opportunity requires
that a coherent strategy be evolved and held in
readiness for.just that eventuality. Ideally
such post disaster reconstruction action should
be guided by legislation ensuring that repairs,
reconstruction, and longer term development
incorporate relevant mitigation measures.

Disaster management legislation, which
defines the roles and functions of. emergency
services, is often silent on the matter of the
mitigation standards to be followed by the lead
agency (often an emergency response office)
responsible for decisions in the post emergency
phase..

DISASTERS AND DEVELOPMENT

Perhaps the most crucial legal issue in
Disaster Management is this: Can sound economic
development be legally influenced? One of the
greatest potential areas of leverage presently
available to citizens of developed "donor"
countries is to influence their agencies in the
underwriting of projects in the developing world
to insure mitigation is included in economic
development projects.

This very superficial overview has, I am
afraid, not done justice to the complex subject.
A careful review of the UNDRO report on Legal
Aspects of Disaster Prevention and Mitigation is
recommended for persons wishing to examine the

200

Legislation Affecting Disaster Preparedness As It Relates to Barbados

Errol Chase
Ministry of Legal Affairs
Barbados, West Indies

INTRODUCTION State Disaster Committee. This Committee
consists of senior government bfficials, such as
When I began preparing my material for this the Director of Emergency Services, Director-
morning's presentation, I examined some of the General of Health Services, Director of Public
literature on the subject of disaster Works, the State Fire Control Officer, Deputy
preparedness, and I was immediately struck by two Commissioner of Police, etc.
statements which I would like to share with you.
The Committee's function is to advise aYLd
The first appears in the 1984 United Nations assist the Minister and the Director of Emergency
Compendium of Current Knowledge Vol. 11 of the Services in the planning and implementation of
series entitled "Disaster Prevention and all measures considered necessary or desirable to
Mitigation" at p.1, and is as follows: plan for and to counter the effects of disasters
(section 7).
Preparedness is not limited only to the
short-term measures which are taken during a Another agency, known as the State Disaster
warning period before the impact of a Executive consists of the Commissioner of Police,
disaster event: it must be supported by Director of Emergency Services who is the
legislation and be concerned with executive director of the agency, and one other
operational planning, education and training officer (section 9). The functions of the
of the population at large, and the Executive Director include:
technical training of those who will be
required to help in a relief operation, (a) assisting and advising the Minister on
stockpiling of supplies, and emergency matters relating to counter-disaster
funding arrangements. The more effectively measures; and
these tasks are carried out in advance, the
more readily will it be possible to take (b) translating into action the
also the action necessary during the instructions of the State Disaster
emergency phase itself and in later phases Executive; and ensuring that those
of relief, rehabilitation, and recon- instructions are conveyed to and
struction. carried out by the persons to whom they
are directed whether prior to, during.,
The other appears at p.7 of the same volume or subsequent to the occurrence of a
under the caption "Legislation" and states as disaster or emergency (section 12).
follows:
It will be essential for the effective There is also The State Emergency Service,
operation of the plans that sufficient legal and the functions of this body include the
powers exist for their execution. The following:
conferment of responsibility without power
is, in terms of disaster preparedness and (i) the education and training of
relief, worse than its opposite. government departments and other
bodies, members of the public,
With these statements in mind, I propose volunteers, and volunteer groups for
giving you a brief overview of two legislative counter-disaster purposes;
models which seem to have incorporated some of (ii) the evaluation of emergency equipment
the guidelines contained in the foregoing and facilities and the dissemination of
statements, and thereafter I will examine the the results of such evaluation;
Barbados legislation. The two models are the
Tasmania Emergency Services Act 1976 and the (iii) the coordination, direction, and
Commonwealth of Virginia Emergtn@r@vices and control of members of the public,
Disaster Law, f-973. volunteers and volunteer groups,
materials, and resources for counter-
TASMANIA MODEL disaster purposes.

The cumulative effect of all these
The Tasman`@a model provides for the provisions is to ensure that measures are in
establishment of . number of state agencies with place to minimize or prevent the effects of a
varying functions. There is, for example, the disaster. Quite apart from providing for

201

measures aimed at prevention and disaster with responsibility for administering the
preparedness, the Tasmania model also empowers disaster preparedness programs which include the
the Governor, on the recommendation of the promulgation of plans and programs that are
Minister responsible, to declare that a state of conducive to adequate disaster preparedness.
disaster exists in respect to any region or to
the whole State if at any time it is made to Here again we see an attempt being made to
appear to the Governor that the extent or provide for the early phases of the "disaster
severity of a disaster or impending disaster is continuum".
or is likely to be so great that the counter-
disaster measures necessary or desirable with
respect to the disaster are beyond the resources The Barbados Model
of the Statutory Services.
In Barbados the position is quite different.
Statutory. Services refers to bodies whose The legislative provisions are embodied
roles include counter-disaster operation. The principally in an enabling Act. That is an Act
term "counter-disaster" is defined as meaning:. which established broad provisions, the details
of which are left to be provided for in orders
The planning, organization, made by the Cabinet after a state of public
coordination, and implementation of measures emergency. has been declared by the Governor-
that are necessary or desirable to prevent, General.
minimize, or overcome the effects of a
disaster upon members of the public or any The. Barbados Act is entitled the Emergency
property in the State and includes the Powers Act, and contemplates a . post-disaster
conduct of or participation in training for situation, i.e., the emergency relief and
those purposes.. re.habilitation and reconstruction phases. The
Act provides in part that:
When a declaration of a state of disaster is
,-made, it continues in force for 14 days, and may Where the Governor-General is satisfied:'
be extended for such-periods not exceeding 14
days as the Governor thinks fit.
(a) that a public emergency has arisen ... as
a result of the occurrence of any
It-is during this period that those measures earthqua ke, hurricane, flood, fire,
which comply with the directions and orders of outbreak of pestilence, outbreak of
the State Disaster Executive and with disaster infectious disease or othercalamity,
contingency. plans are instituted for the whether similar to the foregoing or
protection of the community. not,
Brief as this overview may be, it
nonetheless indicates that legislation can be
designed not only to deal with the post-disaster the Governor@General .may, by proclamation.
situations of-,relief and reconstruction, but also declare that a state of public emergency
..with @the phases of prevention and preparedness
which are an integral part of the "disaster exists (section 2(l)).
continuum" which is described as the phases of It is to be noted that although the words
disaster prevention, preparedness, - emergency "Where the Governor-General is satisfied" would
relief, rehabilitation, and reconstruction. import an element of subjectivity, thereby giving
the Governor-General a wide discretion in the
The Commonwealth of Virginia Model exercise of his power to declare a state of
emergency, nonetheless the exercise of that power
The other model to which I have already is circumscribed by reference to the objective
referred is that of the Commonwealth of Virginia criteria embodied in.the words "that a public
Emergency Services and Disaster Law, 1973. One emergency has arisen as a result of the
of the declared purposes of this legislation is: occurrence of an earthquake, hurricane, flood,
etc.
That all emergency service functions of
the state [are to] be coordinated to the These latter words reflect what I term the
maximum extent possible with the. comparable jurisdictional facts or grounds upon which the
functions of the Federal Government, other Governor-General may rely for the exercise of his
states, and private agencies of every type, power to declare a state of emergency after a
and that the Governor shall be empowered to hurricane, earthquake, flood, or fire, etc. has
provide for enforcement by the State of occurred.
national emergency services programs, to the It is clear, therefore, that under the terms
end that the most effective preparation and
use may be made of the nation's resources of the Barbados Emergency Powers legislation the
and facilities for dealing with any disaster Governor-General has no legal power to authorize
the execution of emergency measures until after a
that may occur (section 3).
disaster has occurred. This post-disaster
Apart from conferring powers on, and requirement at once distinguishes the Barbados
assigning duties to the Governor to deal with positLon from that of the two models examined
disasters, this legislation also provides for the earlier.
establishment of an Emergency Services Agency

202

Procedural Requirements extent that the law in question authorizes
the taking during a period of public
In terms of procedure, the Barbados emergency of measures that are reasonably
legislation requires that both Houses of justifiable for the purpose of dealing with
Parliament be informed of the state of emergency the situation that-exists during that period
immediately after the Proclamation has been made. of public emergency (section 13(5)).
If at the date of the Proclamation, Parliament is
prorogued or either House is adjourned to a day In this context, it should be noted that one
beyond 5 days from that date, then the Governor- of the meanings assigned by the Constitution to
General is required to summon both Houses, or the the phrase "period of public emergency" is a
House that is adjourned, to meetwithin 5 days. period during which "there is in force a
proclamation by the Governor-General declaring
When this procedural requirement has been that a state of public emergency exists (section
fulfilled, and during the period that the 25(l)(b)).
proclamation is in force, the legislation
empowers the Cabinet to make any orders that it As regards protection from forced labor, it
considers desirable in the public interest, is provided that:
notwithstanding the provisions of any other law
(section 3(l)). No person shall be required to perform
forced labour (Section 14(2)).
Before focusing on the kinds of orders that
Cabinet may contemplate making under these The Constitution further provides, however,
provisions, it may, perhaps, be more than of a that the expression "forced labour" does not
little interest to consider the effects of these include:
enabling provisions on the Bill of * Rights
provisions enshrined in the Constitution of (d) any labour required during any period
Barbados. when Barbados is at war, or in the
event of any hurricane, earthquake,
As you are no doubt aware, subject to flood, fire or other like calamity that
certain conditions, those provisions guarantee threatens the life or well-being of the
certain fundamental rights and freedoms to the community,. to the extent that the
individual; that is to say, the right to: requiring of such labour is. reasonably
justifiable, in *the circumstances of
(i) life, liberty, and security of the any situation arising or existing
person; during that period or as a result of
that calamity, for the purpose of
(ii) protection for the privacy of his or dealing with that situation (section
her home and other property, and from 14(3)).
deprivation of property without
compensation.; Similar provisions allowing measures to be
taken as reasonably justifiable in the interests
(iii) protection of the law; and of public safety are reflected in the
Constitution in relation to deprivation of
(iv) freedom of conscience, of expression, property, and to. entry on, and search of
and of assembly and association. property.
However the Constitution acknowledges that the The presence of these provisions, therefore,
enjoyment of those rights and freedoms must in in the -Constitution would seem to support the
certain given cases be limited so as to ensure view that orders made during a period of public
that such enjoyment does not prejudice the rights emergency which reasonably and justifiably
and freedoms of others or the public interest. deprive an individual of his or her property or
of his or her liberty to move freely or requires
The Constitution therefore permits the him or her to undertake unusual work, would be
taking of certain measures under the authority of valid within the constitutional framework of
legislation (and only under the authority of Barbados.
legislation) which would in the ordinary case, be
in conflict with the Bill of Rights provisions. I turn now to the kinds of orders that
Cabinet may reasonably and justifiably make to
To illustrate this Constitutional license, I deal with a post-disaster situation, that is to
would refer you to the following provisions as say, after a state of public emergency has been
they relate to certain fundamental rights and declared by the Governor-General. In this
freedoms. regard, section 3(2) of the Emergency Powers Act
sets out the areas in respect to which orders may
With respect to the provisions protecting be made. Included in that section are the
the right to personal libertyo the Constitution following:
provides that: (a) the supply and distribution of food,
water, fuel, light, and other
Nothing contained in or done under the necessities;
authority of any law shall be held to be
Inconsistent with or in contravention of the (b) maintaining the means of transportation
foregoing provisions of this section to the by land, air, or water, and the control
of the transport of persons and things;

203

(c) (i) the taking of possession or (xi) imposing penalties,for contraventions
control of any property or or failures to comply with the orders
undertaking; so made.
(ii) the acquisition of any property
other than land; This list is not exhaustive, but is
illustrative of the points raised in connection
(d) the entering and search of any with the effect which an order made under a state
premises;. of public emergency may have on the rights and
freedoms of the individual.
(e) . . .

(f) the payment of compensation and Tabling of Orders in Parliament
remuneration to persons affected by any
order. Where any such orders are made by Cabinet,
they must be tabled in Parliament as soon as
On the basis of the legislative power possible after being made. When tabled, these
conferred on Cabinet by the enabling Act, orders orders remain in force for 7 days from the date
can be drafted and made generally for the purpose of tabling, unless both Houses resolve that they
of: should continue in force for a further period.

(i) requisitioning any form of transport It should also be recognized that the
from the owner, e.g., a motor car, enabling Act prohibits the bringing of any action
motor lorry, mini-bus, etc., tractor or in a court of law against a person for anything
motor van; done in good faith in exercise of any power
conferred by an order made under the Act.
(ii) requisitioning supplies, such as food,
articles, and property other than lands
and buildings; CONCLUSION

(iii) requisitioning lands and buildings; From our examination of the Barbados
legislation within the context of a post-disaster
(iv) imposing additional duties on public situation, there appears to be adequate machinery
officers, and on statutory employees, for dealing with that part of the "disaster
or requiring the performance of continuum" that 'relates to the . relief,
additional work by these persons; rehabilitation, and reconstruction phases. Even
within this context, however, one can only
(v) the control.of traffic, both vehicular contemplate and prepare in draft legislative form
...and pedestrian; the kinds of emergency orders that would be
reasonable and justifiable to deal with the
(vi) reserving areas, and prohibiting access situation. Consequently, any such orders can
.to those areas, e.g., the Garrison only be effectively made after a state of public
areai Deep Water Harbour area, Cable emergency has been declared by the Governor
and Wireless stations, 'Utility General.
Companies, privately owned warehouses,
etc. In terms of the pre-disaster situation or
the taking of counter-disaster measures, however,
(vii) providing for shelter, refuge-control, it is patently clear that in Barbados there is
e.g., to. ensure good discipline and no juridical.base to.support the putting in place
behavior.in an emergency shelter; of any legally enforceable measures that would
reasonably ensure a degree of disaster
.(viii)- controlling the level of rents which a. preparedness to the extent that is compatible
landlord may fix during a, state of with the developmental objectives and independent
public emergency; status of Barbados.
(ix) requiring the owner or Ioccupier of a Whether or not this lacuna in,our law should
-warehouse to be rectified is a.matter for the policy makers;
house, shop, store, or
sweep and clear the road'area adjoining but in my view, rectification is indeed desirable
his or her premises, etc.@ in the interests of the life and well-being of
our community.
(x) prohibiting persons in essential
occupations from being dismissed or
leaving their employment without the FOOTNOTE
consent of the Chief Labour Officer,
e.g., persons employe&by the Barbados This paper was prepared for a seminar on
Water Authority, Light and Power Emergency Planning for Senior Administrators co-
Companyi. Telephone Company, Barbados sponsored in Barbaros in May, 1985 by the Central
External Telecommunications Company Emergency Relief Organization (CERO) and
Linited, or, by a bakery, food PanCaribbean Disaster Preparedness and Prevention
distribution company, or dairy; and Project (PCDPPP).

204

Government Liability for Harm Resulting from Disaster Loss Mitigation

James L. Huffman
Lewis and Clark School
Portland, Oregon

INTRODUCTION mitigate disaster. After all, they said, they
were doing their best to protect people from
One hundred years ago people in most parts disaster. However, Japanese government has
of the world accepted the devastating conse- frequently been sued by unhappy victims of
quences of natural disasters as the inevitable disaster, and in several instances has been
result of forces beyond human control. The required to pay damages.
only role for government, if government was
thought to have'any role at all, was to provide From 1981 through 1985 the Government
post-disaster relief. Liability Project at Lewis and Clark Law School
was involved in a comparative study of govern-
Twenty years ago people in many parts of meat liability law in the context of disaster
the world began to believe that they could loss mitigation. We studied the laws of six
mitigate future disaster losses. The role of countries: China, Japan, New Zealand, Peru,
government was expanded to include pre-disaster the Soviet Union, and the United States. I
activities designed to avoid or limit future will draw upon that study in the remainder of
losses. Building codes were adopted. Land use my comments.
regulations were increasingly proposed and
enacted. Disaster relief planning was
improved. Governments began to contemplate THE PROSPECTS FOR GOVERNMENT LIABILITY
disaster prediction as a mitigation tool.
First, it is important to recognize that
Today, disaster loss mitigation is an the prospect of liability is not limited to
agenda item for most governments in the world reputedly litigious countries like the United
although the specifics of these programs differ States. , Indeed, significant government lia-
greatly. The recent earthquakes in Mexico and bility in the United States is a relatively
Tadzhikistan remind us of the importance of recent development due to the persistence of
these governmental efforts to mitigate disaster the doctrine of sovereign immunity. Countries
losses. whose legal systems are rooted in the civil law
of western Europe have a much longer history of
The task of mitigating disaster losses is government liability. Even the culturally non-
formidable, but it is not the only problem litigious countries have provided legal mecha-
faced by governments in the context of natural nisms for seeking compensation from an alleged-
disasters. Governments throughout the world ly negligent or careless government.
are being challenged on the adequacy of their
mitigation efforts. Governments are being sued The prospects for government liability are
in courts of law by complainants who seek to as much a function of the nature and extent of
recover damages for losses allegedly sustained government activity as they are a function of
because of inadequate or improper governmental the nature of the legal system. In Peru, for
response to the threat or reality of hazard example, where the civil law provides few doc-
losses. Ironically, governments which have trinal obstacles to suits against the govern-
most aggressively pursued disaster loss miti- ment, such suits are, nevertheless, unusual.
gation may be the ones most likely to be sub- The Peruvian government is relatively small in
ject to claims of liability. scale, a fact reflected in the country's modest
and feldgling disaster mitigation program. The
-People not familiar with recent trends in government has limited resources, and popular
the law of government liability will no doubt expectations of government assistance are not
be surprised to learn that governments may be high. In the United States, on the other hand,
liable for damages to the parties they are where the common law erected numerous obstacles
trying to protect. This surprise may become to suits against the government, such suits are
disbelief when it is suggested that government commonplace.
may be liable to individuals to whom the gov-
ernment offers assistance during or after a Governments in the United States have
natural disaster. During a 1982 interview with greatly expanded their functions in recent
officials of the Disaster Prevention Section of decades, an expansion evidenced in the area of
the Hokkaido Prefectural Government of northern disaster mitigation. United States citizens
Japan, I was told that it was unimaginable that tend to. rely heavily on governmental assis-
they would be sued for failing to adequately tance, particularly in times of'natural disas-

205

ter. I would, therefore, suggest that coun- collection to implementation. The prospects
tries which, like Peru, have only recently for liability vary with both the types of miti-
undertaken significant programs of social gation activity and the particular stage of
assistance, are'likely to experience increasing that activity.* For example, an allegedly
numbers of suits against government as they negligent disaster prediction is less likely to
expand their disaster loss mitigation activi- be the basis for government liability than the
ties. allegedly negligent operation of a rescue
The government liability laws .in the six vehicle. A negligent decision to undertake a
rescue is less likely to be the basis for
very diverse countries we have studied are il- governmental - liability than the negligent
lustrated in Table 1, which is taken from our operation of the rescue vehicle.
final report. I include this table only to
underscore the pervasive nature of the problem, The reasons for these variations in the
not to explore the intricacies of the law. Of prospect of liability are illustrated in Figure
more importance to. our purposes here, are the 2. Governmental decision- making'is a multi-
contexts in which liability may be an issue for step process influenced by empirical.-and norma-
disaster officials. , Figure 1, also from our tive factors at each step. As a general mat-
final report, identifies four types of disaster ter, governments are more likely to be liable
loss mitigation within.the broad categories of for empirical errors. than they are for norma-
direct government action-and government regula- tive errors. The basic reason is reflected in
tion of.private action. Each of@these types is, the distinction between empirical and normative
broken into- sequential stages 1rom data factors. It is difficult for courts to,articu-

odogrovey, WvEff1W "malmlITT WWM 1. IMIL ITT STArJFMV LIABILITY MIS W tionorT ffriomTew anits comqlnwf MINES timitiTT OF avicilLs
Total I-It, on Ito 1.41-41- that No pre,19114 elvW code Liability far lahlat- Constitution (Art. 20 ft specific lialts. but Of flelals arm orlalmso IV
I.,- ,.1 Ch one. 9_0 .I- of ;wovI.Iom - orawar- 1-1 is. bar mat Imposens defy to prevent polenfl.1 womakIc liable aml may be -
CRIM '.Of olloyapplyto, -.9 liability. . forzfftnt.. Same %mard., bay probably lose. mr. 11.1ted by Wred to Ind-1 tv
Do facto lament g.:,-I. her for-th, -0 .feet degree .1 does of Imply prl,.+. -101- 1-4 of gowareelf.
cominj 0,01,cft "toommov ft "I" @lofht .1 -ft-. 11i.- private property.
-7 cer fy $esp. be Interpreted farical remadlem ft-
1982 Code *0 Procedure been pllt8c.l.
way radical. .I-.

Since Car- I- Ganertif Ime,of blir- Article. or of tlblllty for 10.0- 0-1api.9 #hear 111-ter 11-1c I- Under hworl'itat.
for f,11.1
..all- 1-.Ity Wors Ppll" where consiltuffoll mandef" lon.1 scf. and wker. 14.61 rely eve limits caspensetica, to Is vocaplously liable
J11PA" 11.0fed to ect. .1,00p. 9--.t 1. not. liability for welamful star* or official Is to act wow are% df,-t losses. Same for .#1- .0 0110.1.,.
:rnm -1... provided act, of let.. st fault. ft&-* I-. be# 1954 $felt may apply to 0111.1.1s may be
Practl-I 1-.11Y.'amolf- by later.. Slrprame Coart dwlsf- damages ."w St." personally limmor and
1.9 from general at-. Imploomelood by State Trend 1. to rare. %.I+ trend. R.&-. L- may be re,wirml to
of mc* mati-f leglisfe, Reepals, Lew .1 1947. -1 standard .1 led- Irv government.
t "I fg- We
at 1.
6ft.

Treat .1 a.- pro- so Ism. of generef 1.1ablMy of ft. Crew. 0-.1 -1. 1. c- Some Plablifty far Par @.o I.J_V come- offocoV.,..
IT be
I I sort , apply bwe b 1. and
ft. -.1 T 1. and Ito "-*a under Iaw ..0419- M Ives, +. mc, 1. P.= Ion --.IV move I
floor dotrlne soon ;Xlfl ... t F am, be r."Irled 9.
wXn+ Is mi Crops Promeardlogs Act madifled by policy lead -0 b.11,11. restricted
KAIJW 11.1t. 0- 1 of 19SO. ."fall-. ".I Accident ctespenwallom, Indemnify govarmem...
be . ::tv owed to Act.
Crown Proceedings Act Accident Compares-flon parif ler Individuals.
1950 g .. led sojor ..I- Act abandon. f-It
of Immw.$ ty. -far -favit liability.

ft formal Immensity ands, I I gowermamat 1. found No pr-1.1- for Admialstrattwe acts ft I"dlc.tlm of any no express trolls older Oftl clate may be
pm @1,11 In., bar d. facto not reasons. prover. liability under Civil mmsl be sm,arblir". liability for failure Civil Code. A4dWl kW liable under Clvl1
1-Ity, for Political Idw, of obllgtl-. clod.. to acI tr.+I- P,-d-. Act Cod. Ipw a# W1901ons.
and __I@ 0. civil code fit prohibits recovery for
ppiv. Some wt Ick. amy be conseme.11.1 ameng...
broutt nmr &far.-
#,at we cost.

Rover- Ime granted Where 9-".t 1960 Civil Code (1091 1927 Cod. rejected No provers right of No specific bt Off1clat. may be
WVI1T Imem.1tv Ior governmental not I--, Tom- I ::k -.11, 11 ab 1. and
1::**+ot* I;sble. faulft - I w - far pt.wol.1 --I. - per
tolcm actoons. r.1- of Civil Code th- c_.' .1 1.+w'fU eampt where I--- are limited b, may be r."I,.d.to
(109) .101 apply. provided. Ior wt. of liability. mandatory odelal.- r,latlm lack of Indeenot, gover-t.
Imew try p-.I,fd 1. pobllc .0.1.1.1-fice. tr.t I - -is mr. not prope,ly.
S-I:t Iew ..111 1960. ad 1961 Cod. (feel par formed.
me, ,wcIrlc I-nilles _1-I.,- I-It as
beer. .1 llsollfty.

0lq14 *,,h-*- on 1"911** Wher. go.p,man.t 1. rd-.t lart CT_ Owneral 0. 1. c- "., be liability I- Imr-pt her. limited by Hl.t-y .0 .1-w-
,mew.", , me as
trl nor 1-. general Act *1 ::6 11 of @t star.#.. compe-allon "worm of -19,
p .:her.
..d-1,1.9 principle. ft be snoullmd t-
URI "M Principles of tort 9- o :ml=.Ig concer. P_ 1Z., I may oseemity by official
STATES Ise apply. Insanity with broad for pi.l.fiff'. need parties k.. reasonably --Ic and liability Ilk Inaver-
S19.1fl-I weIver of .-.Ptl-. far cospensatim. r.1ld. No general P-.nl-y I-es. IfIc.flon by 9- - -
1 194 ramlewel Other polky con-as duty mod to pblic Potential compa-mbl. ment.
170 cf. as Act. J- relevant. .1 large. I..- mr. vary oarps.

From J. Huffman, Government Liability and Disaster Mitigation: AComparative Study at
743 (1985).

206

F I G RE 1

THE CONTEXT OF GOVERNMENT LIABILITY FOR DISASTER MITIGATION

1. Government action to 11. Government regulation of
mitigate and compensate private mitigation and
for natural disaster losses. compensation actions.

A. Prediction and Forecasting

1. Date collection Evaluation of,prediction
Data analysis 2. Regulation of Prediction
3. Decision to predict content and communication
4. Prediction Communicatin 3. Implementation and
enforcement

B. Advising and Mandating Action

1. Data collection 1. Evaluation of warning
2. Date analysis 2. Regulation of content
3. Decision to warn or Issue order
- Decision to arm or Issue order 3. Implementation and and
4.Content of warning enforcement
or order
5 Comunication of warning
or order
6. Enforcement

C. Mitigation Action

1. Data collection 1. Evaluation of warning
2. Date analalysis 2. Regulation Content
3. Decision to act or 3. Implementation and
at act enforcement
4. Implementation of action

D.Compensation for Loss

1. Date collection 1. Evaluatopm of Private action
2. Data Analysis 2. Regulation content
3.Decision to compensate 3. Implemention and
4 lmplemmentation enforcement
From J. Huffman, Government Liability and Disaster Mitigation: A
Comparative Study at p. 708 (1985).

late standards of normative behavior against described as problem identification,. program
which liability can be tested. Indeed, in most design, and -program evaluation in Figure 2.
governmental systems the determination of norms These are functions, like deciding whether or
.is committed to the political, not the judi- not to undertake. flood, control and deciding
cial, institutions. where and how to accomplish flood control,
which involve the making of political choices
In the six countries we have studied, it for which the standard of performance is set by
is not unusual for the government to be held the political process itself.
liable for harm which results from functions
described as problem assessment and program It is interesting, but not surprising,
implementation in Figure 2. These are that one can generalize in these terms about
like. the gathering.of streamflow or the six very diverse countries we. have
weather information and the operation of flood studied. Each legal system has its own
control facilities, for which standards of doctrinal approach to accomplishing these
reasonable care can be judicially determined. similar results, and the practical consequences
It is unusual, however, for governments to be of liability vary in response to several
liable for- harm which results from functions factors independent from the basic issue of

207

F I G U R E

THE PROCESS OF GOVERNMENTAL DISASTER MITIGATION

PROBLEM IDENTIFICATION

Natural disasters are perceived
to be a problem by government.

PROBLEM ASSESSMENT

Goverment Investigates the
nature and extent of the natural
disaster threat.

FACTS VALUES

PROGRAM DESIGN

Facts related to
natural disaster
risk, mitigation Government decldes.what It s1i6uld Values of those
alternatives, and do (If anything) In response to with Influence on
government.
disaster Impacts. the natural disaster threal:@.

'@PROGRAM IMPLEMENTATION

Government Implements the
disaster mit lgatlon program.

PROGRAM EVALUATION

From J. Huffman,
Government Liability and Government evaluates the mitigr-
ation program In relatlon to Its
Disaster.blitigation: A Impact on the disaster mitigation
Comparative Study, at p.: goa I S.
719 (1985).
PR06R

208

liability. The most important independent It might be suggested that the diary
variable is recoverable damages which are farmer will be hard pressed to prove that he
dependent upon legal limitations, other gov- would not have lost his cows anyway, in other
ernment entitlements, and existing circum- words that his loss is the result of the flood,
stances of parties who might suffer harm at the not the government's negligence. But that does
hands of government. not change the underlying principle if he can
prove that his loss was a result of the govern-
ment's error. Surely, we would not say that
.A POLICY PERSPECTIVE ON GOVERNMENT LIABILITY the innocent person, hit by a negligently
driven rescue vehicle. is not entitled to
Disaster officials can approach the prob- recover for his losses. Where the government
lem of goverment liability -from one of at acts to benefit the many, as it does in
least two perspectives. They can view lia- disaster loss mitigation, the costs should be
bility as a result to be avoided, and adjust borne by the society as a whole, not by
their mitigation efforts on the basis of their individuals who suffer unintended but
understanding of the controlling law. Alterna- inevitable costs of government action.
tively, they can view liability as one of
several ways in which the costs of disasters
are distributed. . This- latter perspective, THE VALUE AND LIMITS OF COMPARATIVE STUDY
which I urge as the better one, means that
government liability, i 's a factor to be con- This policy focus on government liability
sidered in the formulation of disaster miti- can benefit from comparative study and the
gation policy. It may be in the society's interchange of ideas. Although the laws of all
interests for- the government to undertake countries vary in often significant ways and,
activities which may lead to future government more importantly, the cultural and historical
liability for damages. roots of legal systems are diverse, all legal
systems exist for the purpose of resolving the
I will illustrate my argument with a hypo- common problems of social existence. It would
thetical example. Assume that agovernment is be a drastic mistake to believe that the rules
debating the implementation of a flood warning of legal systems, institutions, or individual
system. Streamflow data is to be collected. rules can be transplanted from one country to
through remote electronic measuring devices another with clearly predictable results.
with the data sent by telemetry to a central However, I am convinced that there is much to
station for processing and. analysis. If the be gained by comparative legal study in the
analysis. indicates a flood is imminent, a context of disaster law mitigation. Every
warning is to be communicated by special country is dealing with the same consequences
telephone and radio facilities to emergency of disaster: destroyed housing, economic
officials and the broadcast media. Government disruption, human suffering, and disrupted
decision makers,know that occasionally a mech- urban services like water, sewage, and elec-
anical. failure attributable to human negligence tricity. We should' not assumethat our own
will occur. . If,.,under the applicable law, the legal system is the only one to have responded
government would be liable for resultant harm to these problems. We have much to learn from
- say a dairy. farmer has relied upon the each other.
warning system to advise him of the need to
move his cows from the river bottom lands, a
decision he would have made on his own infor- RECOMMENDATIONS
mation prior to the implementation of the
warning system - should the government choose Governments, at all levels should
not to implement the system? Should the govern- recognize that under particular circumstances
ment resist the farmer's claim for compensation their laws will require payment of compensation
.if they do implement the system and the hypo- to individuals injured by-governmental disaster
thetical harm results? loss mitigation activities. Although the cir-
cumstances and extent of liability vary among
The answer to both questions should be countries, they are important issues in most
maybe, and maybe not. Both are policy ques- countries. Where there is no history of cases
tions which should be resolved in terms of the in which liability has been found, there may
underlying goals,-of the disaster loss mitiga- nevertheless be existing laws upon which find-
tion program. If.mitigabed flood losses exceed ings of liability can be based in the future.
the. costs of mitigation$-inclu.ding the antici-
pated costs of prospective liability, then the 2. The prospect of liability should be
flood warning system should.be implemented. If viewed as a question of loss mitigation policy,
the dairy farmer can demonstrate that he would rather than as an evil to be avoided. Like
not have lost his cows had he not been induced disaster loss mitigation, liability law has as
to rely on the government's warning system, central purposes the avoidance of losses and
there is no more reason for himto bear that the redistribution of losses which have occur-
indirect cost of mitigation than for him to be red. In terms of the goals of disaster loss
taxed for the entire cost of t@eAelemetry mitigation, it will sometimes be appropriate
system. A central purpose of-governmental and desirable for government to compensate
disaster loss mitigation is cost spreading, an individuals who are injured by government
objective which can be achieved as well through activity. Policy makers should endeavor to
the collection of taxes or the payment of understand the impact of liability law on the
damages. goal of disaster loss mitigation.

209

3. - Governments should look to the laws
and experience of other countries in seeking to
understand their own situation. Although the
-laws of all countries vary in important ways.
there are many similarities which allow one
country to benefit from the experience of
another. The basic problems of disaster loss
mitigation are similar in all countries, amking
a comparative approach particularly useful.
Where laws differ, a comparative approach will
often suggest new approaches to solving common
problems.

210

Encouraging Government Mitigation: The Forensic Geologist/ Expert
Witness Perspective

James E Slosson
Slosson and Associates
Van Nuys, California

INTRODUCTION the type of losses that we have witnessed over
the past few decades can be reduced by 90% to
One of the great frustrations in working as almost 100% through adequate land use control.
a forensic geologist or expert witness for measures.
government is the realization that the majority
of disaster losses could have been avoided if Cost/benefit studies performed by Dr.
government had done a responsible and prudent job William J. Petak (University of Southern
in regulating land uses. As my good friend, California), the U.S. Geological Survey,
Michael F. Richman, Esq. (Salt Lake City, Utah) California Division of Mines and Geology, this
has often stated: "Governments have a monopoly on author, and others have shown that the!
the issuance of land use, grading, and development of effective codes/ordinances/
construction permits. They are the responsible regulations coupled with appropriate quality
bodies in the creation and promulgation of codes, control can result in savings of tens to hundreds
regulations, and ordinances. They have authority of dollars (loss avoidance) for every one dollar
to assure compliance. Government also has an spent on mitigation. An outstanding example of
obligation to do a reasonably good job." this is the current litigation involving a
landslide in Malibu in which there are claims and
Why then do we have losses such as those cross-complaints estimated at $500 million to $1
caused by the 1985 Mexico City earthquake billion. In the first, or test case, of a series
(approximately $4 billion and 8 to 10 thousand of 200+ cases, the judge found the County of Los
lives); the 1971 San.Fernando earthquake ($500 Angeles responsible for the loss. The court
million and 64 lives); the high intensity rains, assessed a value of $2.1 million to this loss.
floods, landslides, etc., that plagued San The County's legal defense via outside legal
Francisco in 1982 and caused hundreds of millions counsel cost the County an estimated $3.2
of dollars damage and loss of approximately a million, including an estimated cost for
dozen lives; and the Malibu landslide which is engineering and geologic experts of $960,000.
now in litigation with an estimated $500 million Additionally, the County will be required to pay
to $1 billion in claims and cross-complaints for the fees of the plaintiff's attorney and
expert witness - to date, the expert witness
(Daily Journal, 1985)?
costs are $800,000 and legal fees may exceed $1.5
Some, because of ignorance, ambivalence, or million. It is interesting to note that due to
vested interest, will argue that more research is the lack of a $300,000-$400,000 investment by the
necessary to determine the cause and effects of developer, not the government, in sewage
disasters and how best to reduce losses. Some facilities and storm drains during the
will foolishly argue that "every man has the development stage in 1963, the County is now
right to use his land as he wishes without facing losses of $500 million to $1 billion in
interference from-government." Others may argue damage claims plus additional legal costs (L.A.
that "it was caused by an Act of God." still Times, 1985).
others will suggest that government and its Without mitigation, escalation of population
representatives have immunity for their actions. and inflation will cause:
These arguments are responsible for the lack of
concern by government when people want to build - greater losses of structures, facilities,
on an active landslide, floodplain, active surf
zone, or any other hazardous site. All of these etc.;
arguments or excuses are without. justification - greater total dollar losses in value of
and only exacerbate an already cavalier attitude. these structures and facilities;

The monetary losses resulting from the - greater number of people killed or
loss of structures, roads, dams, reservoirs, injured; and
etc., and the accompanying injuries and deaths
could be readi 'ly and significantly reduced if - greater costs (or losses) to society.
government would only accept the leadership role
that it seems to want to avoid. The cost to
government for its errors is skyrocketing.
Losses can only increase, considering the EXAMPLES OF MITIGkTION
population trends, unless government exercises
its responsibility and society recognizes that The engineering and science communities have

211

the capability, knowledge, and technology to - Many local governments will not, for a
mitigate, through design and/or land-use variety of reasons, hire the experts
planning, most of the losses from natural needed to prevent known problems, even
hazards. For example: though such experts are readily
available. Some local governments
- The City of Los Angeles, through the plagued with landslides and even
development of realistic codes and litigation related to landslides doggedly
prudent enforcement, has reduced losses refuse to hire even one engineering
from landslides by an estimated 97%. geologist and one civil engineer
experienced in soil engineering although
- Depending on the degree of quality they may have dozens of civil engineers
control, some Southern California on their staff.
jurisdictions have reduced the losses
from expansive soils by 90% to 99+% - In many cases, government employees lack
(state regulations require soil the desire and/or incentive to do a
engineering analyses of the expansive professional job.
factor; loss reduction is keyed to this
regulation, plus the efficiency of local - Many government employees lack
government's report reviews and administrative support, and complain that
enforcement). their supervisors are reluctant to
support staff.personnel or even oppose
- Many jurisdictions have dramatically their own staff.
reduced flood losses by strictly adhering
to prudent floodplain management Often the elected officials will, because
procedures related to location of of the cherished position of
structures and the design construction of contributors, make life miserable for
flood control facilities. The City of efficient and effective civil servants
Los Angeles requires all new subdivisions over whom they have direct control and
to design their flood control facilities whose job security rests in their hands.
for a 1000-year flood; the County of Los
Angeles requires design for a 100-year Some civil servants are simply waiting
flood. In contrast, Louisiana only for retirement and therefore have no
requires design for the 10-year flood. desire to do anything - some even refuse
to visit the construction site in
- Although not completely realistic and question or the site of the hazardous
effective, coastal zone management condition.
procedures adopted by the California
Coastal Commission have had some effect The built-in efficiency depressor called
on reducing coastal erosion losses. The "immunity to error and/or negligence"
limited nature of mitigation achieved is which creates a mental attitude of "why
related to the California Coastal do anything that will cause someone or
Commission's failure to hire and utilize anyone to give you a bad timeil syndrome.
talented/knowledgeable. staff personnel.
For the entire coastal area of - Inadequate budget is allotted to quality
California, only one engineer and one control.
engineering geologist comprise their
staff expertise. Conversely, there are - Governmental tort immunity statutes which
ample attorneys available for litigation offer government employees immunity for
and prosecution. their actions or inactions can encourage
professional negligence.
- Hawaii has taken effective action in
design, land use, and emergency
procedures to reduce losses from tsunamis Additional problems which contribute to a
(tidal waves). lack of consistent professional performance
include actual retirement, anticipated
- Many other examples are available. retirement, promotions, changes in elected
officials, and general. lack of motivation
("institutional inertia") and lack of interest.
All of these examples highlight the benefits When these conditions prevail, many attorneys for
of mitigation in the loss prevention process. plaintiffs suffering losses learn about the
Reference can also be made to U.S. Geological situation and become very aggressive, thus
Survey Circular 832 entitled "Estimating the perpetuating the cycle of disinterest and
Costs of Landslide Damage in the United States", inefficiency. Additionally, the lack of
which again addresses the question of reduction cost/benefit analysis prevails, giving a false
or mitigation of losses from landslides. sense of low potential losses.

REASONS FOR INADEQUATE MITIGATION REDUCING POTENTIAL LIABILITY
Why aren't we mitigating these costly losses What can be done in the post-disaster
if we already have the ability, knowledge, and situation to reduce government's legal exposure?
technology? Some factors include: The obvious is to learn from each disaster and

212

then take action to reduce or hopefully avoid Cooperative action is needed of experts with.
losses from similar hazards in the future. expertise in various disciplines. For example,
Experience gained from research and from forensic the collective efforts of the Association of
analysis of floods, landslides, earthquakes, Engineering Geologists and the American Society
subsidence, and other similar hazards has greatly of Civil Engineers during the early 1960's in
enhanced our understanding of the causes and studying the cause and effects of landslides
effects of the various natural hazards. This, triggered by the high intensity rainfall of 1958
coupled with a knowledge of engineering design and 1962 assisted local government in preparing
and construction and their relationship to guidelines for professional reports and
codes/ordinances/regulations, has allowed a giant recommended code amendments for the mitigation of
step forward in geographic areas where@ progress slope failures. Following the actions of these
is preferred rather than repetition of the same professional societies, the International
problems and losses. Conference of Building Officials generated
grading codes and land use concepts. From these
To reduce potential liability and losses, it efforts came Chapter 70 of the 'Uniform Building
is imperative that the best expertise possible be Code. The effective utilization by government of
assigned to the collection, collation, and Chapter 70 has had a dramatic effect on the.
analysis of all of the data available. From this reduction of losses from landslides.
.,can evolve -new technology and improved
codes/ordinances/regulations as well as better Currently, the American Society of Civil
educated engineers and scientists. This Engineers in California has developed a program
sequential method of analysis resulted in and cadre of top flight experts (civil engineers
promulgation of Chapter 70 of the Uniform and engineering geologists) to assist local
Building Code (the hillside grading chapter) government in the post-earthquake evaluation of
following the rainfall/landslide disasters of the damage to lifelines and to suggest methods of
Southern California in 1952, 1958, and 1962. The mitigating damage in the future. This will
1925 Santa Barbara and the 1933 Long Beach include recommendation to government for the
earthquakes stimulated the first earthquake- modernization of codes.
resistant construction (seismic safety codes)
which went into effect immediately following the Government at all levels should draw upon
1933 earthquake. After the 1971 San Fernando the examples and make greater use of the
earthquake, there was also quick reaction by expertise offered by the professional societies
local and state government agencies which to assist in collecting data, evaluating the
initiated new seismic safety codes based on data data, and . modernizing codes/ordinances/
from studies by their own staffs as well as by regulations. This upgrading should be put into
professional organizations such as the Earthquake effect before any rehabilitation, reconstruction,
Engineering Research Institute and the Structural or additional new construction is allowed.
Engineers Association of California. Other Failure of government to act responsibly and in a
disasters and subsequent@ studies have prudent manner may cause the courts to place the
brought knowledge and technological development blame for losses squarely on governments with
related to all natural disasters. Unfortunately, subsequent expansion of the California "deep
mitiIgation of natural hazard disasters usually pockets" concept to other jurisdictions.
lags far behind the capabiliEy to mitigate.

To assure a closer relationship of SUMMARY
knowledge/technology and mitigation, all
available recoverable information has to be In summary, it is unfortunate, but
recorded by knowledgeable engineers and litigation has already become an important factor
scientists who are allowed to collect, collate, in encouraging governments to mitigate losses
and make these data available to all involved in from natural hazards. Litigation will likely
recovery,. analysis, mitigation, and the become an even more important factor as sovereign
development of codes/ordinances/regulations. One immunity is further reduced throughout the nation
of the best examples is the data collection permitting land landowners to win additional
program utilized by the Structural Engineers massive awards as in the recent Malibu cases.
Association of California following the 1971 San Government can no longer be complacent with the
Fernando earthquake. This volunteer program made other defenses of the past decades such as the
available to local and state government some of "Act of God", lack of knowledge of past episodes
the finest structural engineers in the United or the potential of future activity, or other
States. In addition..to collecting valuable excuses based on ignorance of existing conditions
seismic and structural engineering data, they or lack of review.
also provided an all-star team of structural
engineers to assist local governments to quickly
evaluate the safety of buildings affected by the FOOTNOTE
earthquake. From this effort evolved the modern
seismic safety design criteria and seismic codes. The author wishes to express his
.Similar efforts are being achieved by this same appreciation to the following for their review
organization in the post-disaster analysis.of the
and comments: Michael F. Richman, Esq., Arthur
1985me-ilco City earthquake. The author has been Keene, Jon Kusler, Esq., Bill Brown, Arnold
involved with similar volunteer efforts (or Graham, Esq., Gerard Shuirman, and William
assistance) by this and, other professional Kockelman.
societies - all with beneficial results to
government and the mitigation of future losses.

213

REFERENCES

Big Rock: Where damages, lawyer fees are soaring.
1985. Daily Journal.

Petak, W.J. University of Southern California.

U.S. Geological Survey (p.2).

Estimating the costs of landslide damage in the
United States. U.S. Geological Survey,
Circular 832.

California Division of Mines and Geology.

Slosson, J.E.

Westside section, L.A. Times, Oct. 13, 1985.

214

Legal Questions in a Post Disaster Context

Jon Kusler, Esq.
consultant to the American Bar Association

The following legal questions are commonly ance if your community is not participating in
raised in the U.S. after a natural disaster. the flood insurance program. A court has held
The first set of questions are raised by those that eligibility for National flood Insurance
suffering damage (referred to here as disaster is a priviledge rather than a right and land-
victims). -The second-set are raised by govern- owners can claim no.taking of their property if
mental entitie -s. The two sets overlap since they are denied such insurance because their
many law suits after a disaster are between community failed to qualifv for the flood.
victims and government entities. insurance program or was suspended from the
program. However, if your community is validly
The discussion broadly reflects the law of participating in the program and you meet all
the U.S. and not that of a particular jurisdic- legal requirements for insurance, you are
tion. Constitutional and statutory provisions entitled to such insurance.
as well as case law, of course, differ in other
countries. For case cites see J. Kusler and R. 3. Do I have a claim against the federal
Platt, The Law of Wetlands and Floodplains, The government, state, or local government foi-
American Bar Association; J. Kusler and R. failing to construct flood control, landslide
Platt, Common Legal Questions Pertaining to the protection, mudflood control, erosion control
Use of Floodplain and Wetlands, the Association or other hazard reduction measures? In gener--
of State Floodplain Managers; and, J * Kusler, al, no. Ordinarily government has no duty to
Natural Hazards and the Courts (unpublished remedy natural hazards occurring on public or
report) prepared for the Federal Emergency private lands. However, government may have a
Management Agency. duty to remedy natural hazards if the govern.-
mental unit has aggravated such hazards in the
first place. For example, it may have a duty
QUESTIONS OF DISASTER VICTIMS to reduce flooding at least to natural levels
if it constructed a drainage ditch which
1. Do I have a right to federal, state, or increased flooding.
local loans, grants
, free food, debris removal
or other disaster assistance? In general, no. Government may also be responsible for
You have no legal right to disaster assistance damages for naturally occurring hazards where
unless a statute or regulations explicitly there is a special relationship between govern-
create such a right. In general, disaster ment and the injured individual. For example,
statutes create no rights. a local government might be liable if it con-
structs an industrial park in the floodplain
Although disaster victims have few and rents or sells space in the park.
11rights" to assistance, you might compel
government action if you can show that gov- Several recent cases from California sug-
ernment is authorized to provide assistance and gest broader concepts of public liability in
is doing so in situations like your own and that state for failure to remedy known natural
government is flagrantly discriminating against hazards on lands that damage adjacent lands.
you. Citing earlier decisions holding governments
liable for damage caused by trees on public
2. Do I have a right to national flood lands which fell into private lands, the
insurance payments or to purchase national California court held that a landowner who
flood insurance? You have a right to flood failed to remedy a drainage condition which
insurance payments if you suffer a loss and resulted in mudslide damage on adjacent land
have a flood insurance policy in effect and you could be liable for failing to act "unreaSOTL-
qualify under the terms of the insurance con- ably". The extent to which governments will be
tract. However, certain types of losses are held liable for inaction in other states or
not covered under your contract such as those even California remains to be seen, but a rapid
from wind, cyclic erosion, etc. A considerable expansion of this doctrine seems unlikely.
amount of litigation has already occurred con-
cerning the interpretation of specific contract 4. Can I sue an adjacent private land-
@language with landowners prevailing in some owner for failing to correct a natural hazard
cases and FEMA in others. on his or her land such as erosion or floodira
which damages my land? Probably not. But see
You have no right to purchase flood insur- discussion of question 3 above.

215

5. Do I have a claim against an adjacent Service broadcast an inaccurate boating report.
landowner or governmental body for aggravating A boat was lost due to hurricane force winds
damages caused by a natural hazard? In general, and the relatives of the.fishermen sued NOAA.
yes, although there are exceptions. A landowner The problem here was inoperative equipment, not
must not, through his or her action, substan- the failure to exercise judgement in forecast-
tially increase flooding, drainage, erosion or ing -- an important distinction since most gov-
other hazards on adjacent lands. But liability ernmental entities are liable for negligence in
depends upon the type of hazard, the nature of ministerial actions but not those discretionary
the activity aggravating the hazard, and the in nature (policy-making, interpretive). This
overall circumstances: judgment was reversed on appeal. . I
Type of hazard. At common law, landowners 7. Do I have a claim against government
could not block the flow of a stream with for inadeq`uate hazard maps? Probably not, but
resulting damage to other landowners. this depends upon the level of government and
However, landowners could, in some juris- the circumstances. Several courts have dis-
dictions, alter the flow of diffused-sur- missed claims against federal agencies for
face waters without liability because of a flood damages when- areas were excluded on
11common- enemy" theory applied to flood inaccurately drawn federal flood maps. The
waters not in water courses. Over the courts in these cases held that federal flood
last two decades,- courts have, in most maps were, in fact, "flood control measures"
jurisdictions, -shifted from a common enemy and therefore subject to Section 702(c) of the
theory to one of-"reasonable" use so that Flood Control Act of 1936 (discussed below)
landowners now alter surface drainage at which exempts the federal government from
their peril. This is not to say that they damages for flood control measures. Arguably,
cannot somewhat increase runoff; but they state and local governments, which are required
must act reasonably. A similar "reason- to rely on federal maps by the National Flood
able use" concept has been applied to Insurance Program, could also claim immunity
erosion, mudslide-, landslide, and other under this broad statute. But they might be
hazards in most jurisdictions. held liable for gross disregard of errors or
for dissemination of information they knew to
Nature of the activity. What is reason- be inaccurate.
able depends in part on the nature of the
activity. Courts have been willing to Whether a state or local government could
allow some grading, leveling, channel be held liable for inaccurate flood maps pre-
modification or other hazard-reduction pared at state or local levels is a different
measures which increase damage to other matter since there is no comparable statute
lands if economic use of the land is limiting state or local liability for flood
impossible without such improvements, the control. A California- court held that'the
measures are designed to reduce offsite state might be held liable, under a theory of
impact, and the offsite damages are not negligence, for disseminating erroneous infor-
great. mation concerning potential flood elevations to
a marina. But liability would depend on the
Overall circumstances. Liability depends circumstances, the law of the state, and the
upon the reasonableness of a landowner's nature of the inaccuracy. In many states,
actions. This is determined by the over- state agencies and local governments are not
all circumstances including the magnitude liable for governmental actions of a "discre-
of the threatened harm. The greater the tionary" nature. It could be argued that
threatened harm, the greater the care that errors in drawing maps are ministerial while
must be exercised. For example, courts in judgemental errors in analysis of flood hazards
a fair number of jurisdictions have im- are discretionary.
posed strict liability on the owners of 8. Do I have a claim against government
dams because they pose great risks in the for negli@ently maintaining or operating a dam,
event of a failure. levee, debris basin, drainage ditch, or other
6. Do I have a claim against government hazard reduction measure? Maybe, depending
for inadequate flood or other hazard warRIMS? upon the unit of government. In a long line of
In general, no. Absent a statute mandating consistent cases, courts have held that the
warnings, governmental agencies have no duty to federal government is..not.liable for negligent
provide flood or other warnings. However, if operation of a dam, dike, levee or other flood
government bodies do warn, they may be held to control measures due to the federal limitation
a standard of "reasonableness". on liability under section 702(c) of the Flood
Control Act of 1936 which provides in part:
Several courts have held federal agencies No liability of any kind shall attach to
free of liability for inadequate flood warnings or rest upon the United States for any
because such warnings were, in the courts view,
"flood control measures" under a federal flood .,damage from or by floods or floodwaters at
control exemption on liability-discussed below. any place...
Nevertheless a lower federal district court in Traditionally courts have also held that states
New Bedford, Massachusetts held the U.S.Weather and local governments participating in such
Service liable for an inadequate storm warning. projects are not liable although courts in
Due to an inoperative weather buoy, the Weather several recent decisions disagree.

216

Liability for a state or local project is seller would probably not be liable. If he or
another matter. . Liability depends on the law she knew the land was subject to hazards and
of the jurisdiction and the specific circum- either lied to you about it or concealed infor-
stances. Under most state "tort claim acts", mation, he or she would be liable (fraud). If
states and localities can be sued for certain he or she knew the land might be subject to
types of negligence. For example, courts have hazards and represented the land as suitable
often held that municipalities.can be sued for for "residences" or other purposes, he or she
inadequately maintaining a storm drain (minis- could be liable under a theory of "constructive
terial function) or failing to maintain a dam fraud", or perhaps "implied warranty."
(ministerial function). But it is unlikely a
court would hold a municipality liable for If you purchased a property with a fin-
deciding to release water from a municipally ished house or other structure, seller lia-
owned dam when, after careful evaluation of all bility would depend upon the age of the struc-
factors, city fathers decided that less damage ture, its type, and the law of the jurisdic-
would be done through the release than if all tion. If it was an old structure constructed
the water were retained (a judgemental and before flood maps or other evidence of hazards
discretionary decision). were available, the seller would not be liable
unless he or she lied or concealed facts. On
9. Do I have a claim against my architect the other hand, if it was a new residential
@or engineer for failing to provide protection structure constructed by the seller after haz-
from earthquake, flood, or other hazards in ard information became available, he or she
designing my house or business structure? You could be liable in an increasing number of jur-
might, depending upon your contract with the isdictions under various theories of "implied
architect or engineer, the building code and warranty" or "implied habitablity". Your
other codes in effect at the time of construc- chances of recinding the sales contract or
tion, and the prevailing architectural or collecting damages would be even greater if the
engineering practices. If your architect or structure did not conform with floodplain zon-
engineer agreed in writing (as part of your ing, earthquake resistance or other design
design .contract) that the structure was to be standards in force at the time of construction.
"hazard-resistant" or would withstand a parti-
cular magnitude of hazard and it did not, the 11. Could I recover against my bank for
architect or engineer would be liable. failing to inform me of floodplain zoning
restrictions or other hazards at the time they
If natural hazards were not mentioned in provided my mortgage? Unlikely. In general,
the contract, the architect or engineer should, banks are not responsible for assessing the
at a minimum, have met requirements of building condition of lands prior to a sale and sharing
codes and zoning regulations. Failure to fol- this information with purchasers. Federal
low minimum regulatory requirements has, in appellate courts have held that the so-called
general, been considered__ ne.gligence,prbreach ...Jones amendment to the National Flood Insurance
of- professional contract and the basis for Act which requires that federal and federally
liability. insured banks notify buyers if a property is in
a FV%'degignated and regulated. floodplain does
Courts. have also held that architects and not create a private cause ot action by mort-
engineers must, in order to provide adequate gagees who are later flooded. But failure to
services, perform as a "reasonable" or "pr6- notify could still be evidence in a private
dent" architect or engineer in the profession fraud action if the bank were financially
would perform in the circumstances considering involved with the developer or concealed
standard professional practices and all factors information.
including the intended use for the structure
and known or reasonably foreseeable hazards. 12. Do I have a claim against my city,
Particular care must be exercised when a high town, village, county for failing to qualify
risk structure such as a dam or levee is for flood insurance program and, as a result, I
involved or where a building is to be used for cannot-purchase flood insurance? Probably not.
refuge during a disaster and loss of life may However, a few states such as Minnesota have
occur if the building fails. Although the adopted statutes requiring communities to adopt
design professional is usually not responsible regulations meeting the minimum standards of
for conducting independent flood or other the flood insurance program. A community fail-
surveys, he or she should be aware of published ing to adopt such standards would not meet
maps. As a result of widespread design guide- statutory duties. - Failure to comply with an
lines for flood and earthquake resistant struc- express statutory duty could subject the commu-
tures now available, design professionals are nity to liability. Even without such a statute,
being held to an increasingly high standard of a court and/or jury might give weight to the
care. community's failure to qualify for flood insur-
ance in a suit against a municipality for
10. Do I have a claim against the indivi- negligence in operation of flood control works,
dual who sold me the property for natural haz- etc.
.ard damage Perhaps. Again, this depends on
what you bought, the circumstances, and the law 13. Can I bring suit against my local
of the jurisdiction. If you bought raw land government for approving a subdivision which
and the seller had no reason to believe that increases flooding or other hazards on 91
the land was subject to natural hazards, the lands? Perhaps. Courts in several jurisdic-

217

tions have allowed claims against governmental (i.e. unreasonably). What is reasonable in a
units for issuing permits or approving subdivi- time of great stress might be unreasonable at
sions plats with inadequate drainage. However, another time.
courts in other jurisdictions have held that
approval of plans and plats is a discretionary 4. Are we, as a local government, liable
function and does not subject a municipality to to FEMA if we fail to enforce our floodplain
liability. regulations consistent with minimum standards
of the flood insurance program and this failure
14. Can I recover damages from my munici- results in increased flood insurance claims?
pality for having approved a variance for my Possibly. FEMA -is now suing more than-forty
property and this property later suffers local governments based on various theories to
natural hazard damages? Probably not. -fo-uare recover for -increased flood damages due to
in a poor position to claim damages due to failure to administer or enforce flood plain
flooding or other natural hazards if they are regulations.
caused wholly or in part by the variance you
requested. On the other hand, if a prior owner 5. Can we adopt a moratoria to prevent
requested this variance and it was illegally rebuilding or reconstruction after a disaster?
issued (did not conform to regulatory standards Yes, but there are limitations. -Moratoria for
for a variance) you may have a claim. Simi- relatively short periods of time have been
larly, if the community planning department adopted by many local governments pursuant to
negligently approved building plans or issued statutes specifically authorizing such mora-
an occupancy permit for a structure not in toria or more general home rule or statutory
conformance with floodplain regulations or zoning, subdivision control or building code
other hazard reduction regulations you may have powers. Courts have upheld moratoria for
a cause of action. periods of six months to three years. Exten-
sions have also been allowed in some instances.
However, the moratoria must be of reasonable
QUESTIONS OF GOVERNMENTAL ENTITIES length, for a valid purpose such as permitting
your municipality to undertake more intensive
Many, of the liability questions raised by data gathering and planning and to prepare more
disaster victims are also raised by government- permanent regulations before rebuilding begins.
al. entities - the targets of many suits. Con-
versely, many of the constitutional questions 6. Can we upgrade zoning and other regu-
raised by governmental entities are also of lations after a disaster? Yes. But statutory.
interest, to landowners who wish to rebuild. procedures pertaining to regulatory amendments
after a disaster. must be followed. In some instances, this re-
quires written notification of affected land-
1. Can our government unit enter private owners.
lands to carry out rescue and relief operation. 9,
Usually yes. Entry onto private land.in emer- 7. Can we require that unsafe buildi .ngs be
gencies has been sustained as a valid exercise. razed after a disaster or ourselves raze such
of the police,powe .r. buildings in the event a landowner fails to do
so? In general, yes. Courts have often.held
However,. such entry. may not be valid if, that governments ran require abatement of
landowners specifically prohibit such entry nuisances or unsafe structures. However, struc-
(unusual) and public health or safety are not tares must be nuisances in fact not simply
threatened., Government. cannot permanently .-damaged. Although @c6urts have sustained sum--'
occupy private land after the disaster and is mary abatement procedures, they also examine
limited in its reconstruction activities with-@ them with care.
out landowner permission. For example, a,New
Jersey court, held that a government agency 8. Can @w@nt rebuilding in high risk
could not rebuild a dune on private land with-
out landowner permission. areas without taking" property Perhaps. The
answer to this depends upon the circum tances.
Courts, in general, have held that regulations
2.. . If our local government.suffers flood are a taking -if they prevent all economic-use
damage, may it sue private landowners or other
of entire properties. An exception is where
governmental entities which have aggravated o are hazardous- or cause
all economic uses
such damages through grading, flood control nuisances. Courts have sustained very restric@
measures, etc.? Probably yes. As public land- tive regulations where such restrictions are
owners, you are usually in the same position as needed to protect public safety or prevent.
private owners to, sue other landowners or nuisances. A California court'upheld open space
governments which may aggravate your damages.' -zoning adopted for a portion of Klamath,
However, in. some states, local governments California where buildings were destroyed by
such, as counties have no standing to sue the severe flooding. Similarly, a New Jersey court
state since the local government is considered
upheld a beach setback line,for an area occu-
a part of,the state. pied by apartment buildings destroyed by a
"Northeaster."
3. Are we -liable if private landowners
are injured in evacuation, rescue or relief 9. Can' we require disclosure of hazards
operations? You may be if such injuries are. in the deeds of damaged properties? Maybe, de--:
caused by municipal negligence. However, the. pending on the circumstances and the law of the
injured party must show you acted negligently

218

jurisdiction. A local govern ment can require (2) Document disaster losses through air
that hazard areas be indicated on plats for new photos, maps, etc. Such evidence is
subdivisions and that these plats be recorded particularly persuasive before a
prior to sale. Whether the recording of hazard court determining the reasonableness
information could be required prior to the sale of regulations applied to an area.
of individual lots without a subdivision or
could be required as a condition to issuance of (3) Prepare accurate hazard maps and keep
building permits is not so clear. State real the field notes and other background
estate laws often preempt local ordinances re- information in a form suitable for
gulating real estate transactions. However a introduction in court. A solid data
court might find ways to sustain a local re-,. base can held support regulations
cording req uirement if it could be shown that against claims of unreasonableness or
such a requirement was necessary to prevent "taking".
fraud or protect public safety.
(4) Apply a "performance standard" ap-
10. Can we prohibit subdivision of high proach to rebuilding or new develop-
risk areas or require that prior to subdivision ment where few economic uses remain
risks be reduced through levees, fill, retain- for the land. Such an approach has
ing walls, etc.? In general, yes. Courts have been broadly upheld.
uniformly upheld regulations prohibiting the
subdivision of properties unsuitable for their (5) Coordinate community regulatory, in-
intended purposes or posing threats to public frastructure, and real property tax
safety. They have also uniformly upheld policies. For example, if rebuilding
requirements that subdividers install drainage is to be prohibited in an area, sewer
facilities or provide "fees in lieu" of such and water assessments and tax poli-
facilities if the requirements are reasonable cies need to be modified to reflect
and related to the needs of the subdivision.@ such restrictions.

1 11. Can we require that landowners tear 14. Can we reduce potential municipal
down, repair or rebuild damaged or unsafe dams liability if a natural disaster again occurs?
or' levees after a disaster? Probably, yes. Yes. Your best way of reducing liability is by
Such a requirement could be adopted pursuant to reducing future private damages. You will not
home rule or broad statutory powers of most be sued if individuals are not damaged. You
cities and villages. However, at least one can reduce liability in a number of ways:
court has held that state laws pertaining to
licensing and repair of dams preempted local (1) Map hazard areas to help guide future
regulations. private development and public infra-
structure repair, rebuilding, and new
12. Should we regulate development in services.
hazard prone areas now with possible resulting
suits by unhappy developers or wait to regulate (2) Require retrofitting and other
with possible claims by landowners when new damage-reduction measures in building
construction is damaged by a later hazard repair.
event? In general, regulate now. Based upon
existing trends in the law, there is a very low (3) Prohibit rebuilding and new develop-
porbability of a successful claim of taking by ment in the highest risk areas.
a developer against your community now if you
reasonably regulate. But there is quite high (4) Adopt performance standards for re-
probability of a successful damage suit based building and new buildings in lower
upon negligence if no regulation occurs and risk areas.
hazard losses follow. Hazard-related regula-
tions, particularly those of a performance- (5) Submit to your governing body impor-
standard nature, have invariably been upheld. tant decisions with regard to miti-
On the other hand, successful liability suits gation measures such as the capacity
against municipalities by landowners damaged by of a storm sewer system (e.g., suffi-
inadequate drainage systems, inadequate warn- cient to accommodate a 5-year storm?
ings, etc. are increasing. 10-year storm? etc.). Once approved
by the municipal body, such decisions
13. Can we reduce successful challenges are likely to be characterized by a
to regulations? Yes. Measures to reduce the court as "discretionary" and not sub-
successful constitutional challenges to regula- ject to a liability.
tions include:
(6) Qualify the community for national
(1) Follow statutory procedures carefully flood insurance (if this has not al-
in adopting, amending, and adminis- ready been done). Also, encourage
tering regulations. Provide ample purchase of private insurance. Land-
notice and hearing..'Careful involv "e owners damaged by a flood, earth-
ment' of affected property owners will quake, etc. are less likely to sue if
help reduce future challenges to their losses have already been com-
regulations on "due process" grounds. pensated.

219

Land Use Restrictions in Post-.Hurricane Reconstruction,Planning:
Weathering the Storms of Constitutional Challenges

Richard Hamman, Esq.
Holland Law Center
University of Florida
Gainesville, Florida

INTRODUCTION have been uniformly upheld by the courts.
Protecting the safety of those who might occupy
The disastrous aftermath of a coastal coastal structures or be struck-by their debris
storm offers a significant challenge to state or who would be endangered in rescue missions
and local officials charged with land use are well recognized, legitimate police power
responsibilities-. They can use the momentum of objectives.1 Protecting the public health
the experience to avoid recreation of the against the discharge of inadequately treated
problems by control of the reconstruction sewage is recognized as valid.2 Aesthetics'3
process but they must do so in a manner recreational access,4 water quality,5 fish and
which will withstand legal challenges. -Proper wildlife habitat6 and the integrity of the
advance planning and utilization of scientific beach/dune system 7have all been treated as
and technological expertise can result in legitimate objectives in recent cases. Unitl
effective post-disaster reconstruction the last decade, many of these objectives were
regulations which can remain in effect despite not considered valid. The growth of scientific
constitutional challenge. and technical data and its translation into
popular understanding has led to he expansion of
regulatory goals as legitimate and necessary.
WHAT ARE SOME OF THE TOOLS FOR POST-DISASTER

RECONSTRUCTION REGULATION? States or communities that adopt post-
hurricane regulations enjoy tremendous advan-
A variety of regulatory measures can be tages in a court setting. The problem address-.
used. Building codes can be upgraded to ed by the regulations is not speculative or
require deeper foundations, stronger bracing abstract: it has happened. The causes and
and tiedowns or higher construction eleva- results Are clearly evident. If buildings
tions. Requiring the relocation of buildings failed because of inadequate foundations, the
further inland from the shore through reasonableness of strengthened building codes
increased oceanfront setbacks, can allow for is not likely to be even seriously questioned.
dissipation of storm forces and for movement of The courts will not seek to second guess an
the dune/beach system. If experience has expert determination that new setbacks should
proven there were too many people to evacuate be 300 feet from the water rather than 100
safely, then an effort can be made to reduce feet.
the number of allowable dwelling units in
rebuilding. The reuse of certain parcels for Nevertheless, severe restrictions on
construction purposes might be deemed so unsafe future land use, and particularly prohibitions
or so consumptive of public resources (for on rebuilding, may be carefully scrutinized,
infrastructure) that rebuilding of structures particularly if they have severe impact on
would not be allowed. To use an extreme landowners. The probability of a successful
example, the rebuilding of a house on a parcel defense can be enhanced if constitutional con-
permanently submerged offshore of a beach by an siderations are taken into account in drafting
avulsive shoreline change can be prohibited. and implementing post-hurricane reconstruction
plans. The planning process should anticipate
and prepare to counter legal.challenges.
Government might also choose to reduce its
own exposure to future loss. Publicly owned
structures and facilities can be redesigned, BASIC CONSTITUTIONAL ISSUES
relocated or abandoned to reduce the costs of
repair and avoid probable future losses. If, State and local authority over post-
for example, the expense of rebuilding a disaster reconstruction is based on the police
destroyed bridge is excessive, considering use power -- the inherent, sovereign authority,
levels, available funds and the probability of reserved to the states by the Constitution, to
recurring damage, it might be replaced by a promote the public health, safety and welfare
ferry. through regulation or other means. Balanced
against this reservation of public power are
The scope of permissible objectives for various individual rights and liberties guar-
regulation is very broad. The commonly ac- anteed by amendments to the Constitution. Of
cepted goals of coastal development regulation primary relevance are the rights of due process

220

and equal protection and the prohibition There can no longer be any question that
against "taking" private property. the "police power" may be exercised to
protect and preserve the environment ....
Due process and equal protection are The wetlands and coastal areas are places
guaranteed by the Fourteenth Amendment. Due of critical concern because of their
process requires that an exercise of the police important role in protecting the inland
power be properly authorized by enabling regions against flooding and storm dan-
statutes and procedurally fair. Of more sub- ger. The ordinance in this case passes
stantive importance, due process requires that constitutional muster because it was not
the exercise of power bear a reasonable rela- shown to be in any way arbitrary or dis-
tionship.. to the attainment, of valid govern@ criminatory, or more severe or strict than
mental objectives.8 Equal protection analysis necessary to achieve a valid police power
is similar, requiring that all classifications purpose.
of persons be rationally based.9
Where the reasonableness of an approach is
The Fifth Amendment. provides "nor shall not well documented, however, particularly
private property be taken for public use, where substantial interference with use of
without just compensation." Although intended property results, the courts have been willing
to prevent uncompensated -seizures of title or to invalidate regulation.
of physical possession, the Supreme Court has
interpreted the clause to prohibit police power In City of Boca Raton v. Boca Villas
actions that have an equivalent effect.10 Corp-, 15 the citizenry established by initiative
and referendum a 40,000 unit cap for the entire
Basic tests for due process inland use @city. A property owner sued, claiming there
cases require that the means chosen.for imple- was no rational relationship between the densi-
mentation be reasonably necessary to accom- ty cap and a permissible municipal purpose.
plishment of the purpose.'I They must bear "a
real and substantial relation to the object The court agreed, noting that the city
,.sought to be attained."12 planning department had never been consulted on
the need for the cap. The court also found it
Because' the reasonableness of an ordinance significant that the director of the planning
can only be@evaluated after considering a broad department testified that other than "community
range of factors, the courts have not developed choice" he knew of no compelling reason for
and probably cannot articulate specific criter- imposing a permanent fixed limitation on popu-
ia for defining the limits of substantive'due lation or dwelling units.16 Finally, the court
process. Determination is made on a case-by- considered the relationship of the cap to such
case basis by reference to the facts and cir- aspects of community welfare as utility ser-
cumstances of the situation. What is reason- vices, schools,, fiscal soundness, water
able for one situatio'n.,may well be unreasonable,-.,, resources, air quality, noise levels and
in another. comprehensive planning. In each case, the
court found the evidence inadequate to show
that the cap promoted that aspect of community
Meeting the "Reasonableness" and welfare.17
"Rational Relationship" Tests In a more recent case, however, another
coastal community was able to prove a rational
Regulations. based on well'accepted tech- relationship between a density cap and the
.nical principles are most likely to be accepted health, safety, and welfare of the people. In
by the courts. Courts are not likely to City .2f Hollywood v.Hollywood, Inc. 18Florida's
second-guess expert opinion, but without it, Fourth District d@urt of App@a_lag'ain decided
they will more closely scrutinize regulations. the validity of a cap. In that case, the City
The following three cases illustrate this. of Hollywood placed a 3,000 unit cap on an area
adjacent to the Atlantic Ocean, which was held
In Indialantic v. MeNulty,13the property reasonable because it was based on rational
in question was located between a road and the consideration and study:19
Atlantic Ocean. The town had established a
regulatory dune line running approximately 20 A multitude of factors was taken into con-
feet seaward of the road and required resi- sideration over and above traffic. Water
dences to be set back 25 feet landward of the and sewer capacities were measured as was
'line. Building was thus effectively prohibit- the provision of services such as fire and
.ed.. The owner sought a variance to construct a police protection. The questions of how
house on stilts over the dune which was denied. to evacuate the residents in a hurricane
with only two possible escape routes to
The opinion of Florida's Fifth District is the mainland, one at each end, was also
exceptionally well reasoned. In utilizing the considered concomitantly with maintenance
applicable legal principles, the court consi- of the dune line to protect against storm
dered the important natural resources functions,- The fact that this, as the devel-
of the dune system: stabilizing the beach and oper admitted, "is the last undeveloped
protecting life and property from erosion and beach area on the Gold Coast," is filled
storm surge. In addition, the dune system is a with desirable rare flora, is ecologically
hazardous location for building. As the court sensitive and crying out for environmental
stated: 14

221

protection, is in desperate need of open hazards to life a*nd property, unsanitary
space and easy public access to the ocean, conditions, beach erosion or impediments to the
were all addressed and considered in public' use of public beaches would arguably
agonizing detail .... The question of fall within the scope of permissible regulation
shadow on the public beach from these despite the loss of expected profits by an
proposed monolithic structures was also affected landowner.
addressed .... Last but not least, the
record shows that much thought was given The effect of regulation on the monetary
to aesthetics ... The record is replete value of 'property is a.majo.r factor in takings
with comprehensive plans, studies, analysis Decisions invalidating *land use
reports, public meetings and actual regulations as taking have done so primarily
discussions with the developer over a because property values were too severely
period of years. . Unlike the Boca Raton affected. The law is clear, however, that
case, the City of Hollywood did not aiminution in the value of regulated property
present its community purpose in the does not, in and of itself, establish a taking.21
abstract, but presented a more than ade- It is only one factor to be considered by the
quate case for the proposition that the courts. Numerous decisions have sustained
proposed cap would contribute substan- stringent regulations against taking challenges
tially to the public health, morals, even though property values were very substan-
safety and welfare of its citizens. tially reduced. 22

The quality of study and of documentation From another perspective, the courts look
was an important factor distinguishing the two to whether any value or practical use remains
cases. There is little doubt that police power for the parcel. A taking occurs only when
action to prevent recurrence of a disaster will there has been a virtual destruction of the
receive sympathetic judicial review. But property interest. If the potential exists for
significant levels of interference with future the owner to make some reasonable use of the
use receive stricter scrutiny in the balancing regulated property, then no taking will be
process and their reasonableness should. be found .23 Recent versions of this test require
supported by thorough, detailed study. consideration of whether the government action
results in a loss of economically viable use of
Considerations of public policy are impor- the property24 or whether it forecloses all
tant. The courts are, in essence, balancing reasonable investment backed expectations.25
two conflicting interests: the right of the
public to protect social and environmental The courts have incorporated several
interests and the needs of landowners. To important qualifications in takings theory. An
determine whether an ordinance is reasonable, entire parcel is examined, not just-the portion
the courts arast weigh- the strength of public subject to' 'the ' 'great ,est, restrictions.26 In
interest factors supporting the regulation. A examining land subject to oceanfront setbacks,
court's perception of the public interest will for example, the remaining value and usefulness
depend on its understanding of the facts of the of the entire lot is considered. Assuming
case and of how the development at issue fits valuable economic uses are left to the remain-
into larger patterns of land and water use. der, a taking is unlikely to be found.

But what about the situation where appli-
Avoiding Conflict with the Fifth Amendment: cation of the necessary setbacks results ina
lot with no.remaining buildable portions? The
Restrictions That Are Takings owner is likely to argue loss of reasonable use
or of all reasonable investment backed expec-
The taking of private property is obvi- tations. An appropriate response is that it is
ously to be avoided; it will result in invali- not reasonable to build in a dangerous loca-
dation of the regulation or the requirement of tion. 27 Further, one has no legitimate expecta-
compensation to the landowner, which may be tion of being able to rebuild or otherwise use
prohibitory. As with the determination of property if to do so would threaten harm to the
reasonableness, however, no clear test has property of others or to public resources.28
emerged from hundreds of taking cases as to Denial of an unreasonable use is not a taking.
when regulation or other police power action
takes private property. Determination depends In S 29
_piegle v. Borough of Beach Haven, the
upon the specific facts and circumstances of application of a- dune pr6tec't-ion setback to
each particular case. Most opinions reflect a several lots was challenged as a taking. There
balancing of the factors and the use of several was a prohibition against building residences
tests. seaward of the setback line. The court looked
at the circumstances of each lot individually.
The taking clause was enacted to prevent On one lot, the court found that it was fea-
government from acquiring unjustified bene- sible to build a residence and held it was a
fits. Many cases have held that it does not taking to deny that use.. As to the other lots,
prohibit the government from preventing harmP there was no taking:30
The distinction between prevention of harm and
acquisition of benefits is important in taking Our review of the evidence as to the phy-
cases. There is a long tradition of using the sical characteristics of this tract and
police power to prevent nuisance-like or the hazardous conditions to which it might
otherwise harmful effects. The abatement of

222

be subjected because of its location sa- park, can be used as evidence against the
tisfied us that although it'may be possi- regulation.
ble from a strictly engineering standpoint
to erect a residential structure on the 4. Base the plan on the best available
site with supporting utilities, it would technical information. Plan comprehensively,
not be safe ot economically feasible to do relating individual cases to larger issues and
so from a common sense standpoint. As objectives. Here, the role of the scientist or
with any health or safety regulation, the planner is most critical. Not only should the
interest of one property owner must be best possible plan be developed, but it must be
subjected to some degree to the welfare of well substantiated.
the general public. Weighing the interest
of the property owner against that of the The magnitude of problems addressed by the
public, we are satisfied that this tract plan should be well documented. Preparations
has no present beneficial use for resi- should be made in advance to gather information
dential construction, absent an outlay of on the effects of the storm that triggers
money out of all reasonable proportion to implementation of a reconstruction plan. The
the use to be derived from it and the consideration of less restrictive alternatives
imposition of an unreasonable hazard on should also be documented. Remember that some-
the public. We conclude that plaintiffs day these documents may need to be introduced
are entitled to no compensation as to this as evidence in court in support of the plan.
property.
5. Summarize the data and conclusions in
A similar type of restriction, prohibiting clear ' concise language that anx lay person can
building in the floodway of the Klamath River, understand. Use photographs, drawings, maps
was upheld in Turner v. County of Del Norte.31 and other illustrations. The plan should be
There was evide@n_ceof .previous fl7oodi@ng and popularized and communicated to the general
that if buildings were constructed they would public to the greatest extent possible. A plan
likely be destroyed, endangering their occu- that is widely understood and supported is
pants and owners of other property. Rejecting likely to be upheld. Good facts make good law.
a claim of taking, the court noted the ordin-
ance "imposes no restrictions more stringent
than the existing danger damands." 32 FOOTNOTES

1. Turnpike Realty Company v. Town of Dedham,
APPLICATION OF LEGAL PRINCIPLES TO _@84 N.E.2d 891 (Mass. 1972).

PRACTICAL PLANNING OBJECTIVES 2. Milardo v. Coastal Resources Management
Council of Rhode Island, 434 A.2d 266
The balancing of public and private in- (R.I. 1981).
terests inherent in constitutional analysis of
police power action is somewhat subjective. 3. City of Hollywood v. Hollywood, Inc., 432
The results of litigation are therefore dif- So.2d 1332 (Fla. 4th DCA, 1983).
ficult to predict. The following suggestions
result from an analysis of the current legal 4. Sea Ranch Ass'n v. California Coastal
_@O-Mmi _@2_7 7F.- S -
standards and basic constitutional issues as upp. 390, 395 (N.D.
applied to planning goals: Cal. 1981).

1. Leave open the possibility of develop 5. City of Annapolis v. Annapolis Waterfront
ment. ther than prohibit reconstruction, Zo., 396 A.2d 1080 (Md. App. 197@_).
impose performance standards and restrictive
criteria that are sufficient to protect the 6. Potomac Sand and Gravel Co. v. Governor of
public interests. The denial of an application Maryland, 266 Md. 358, 293 A.2d 241
for one proposal does not foreclose the possi- (1972).
bility of a future approval made possible
through changes in design or improvements in 7. Indialantic v. McNulty, 400 So.2d 1227
technology. (Fla. 5th DCA, 1981).

2. Attempt to accommodate development on 8. Mugler v. Kansas, 123 U.S. 623 (1887).
at least portions of each parcel. Although it
may not always be possible to allow reconstruc- 9. See, J.M. Mills, Inc. v. Murphy, 352 A.2d
tion and attain planning objectives, owner's 661, 668 (R.I. 1976); Sands Point Harbor,
needs should be carefully considered. Inc. v. Sullivan, 136 N.J. Super 436, 346
A.2d 612 71-975); Responsible Citizens v.
3. Offer the owner incentives for com- City .2f Asheville, 302 S.E.2d 204 (N.C.
pliance with the plan. An* opportunity to 1983).
transfer or sell density credits may be an
appropriate incentive- or may,serve as,mitiga- 10. Penns_ylvania Coal Co. v. Mahon. 260 U.S.
tion of financial impacts for the owner. If '@_9_3, (1922).
purchase is considered, be aware that saying or
writing anything that can be construed as an 11. Goldblatt v. Town of Hemp tead, 369 U.S.
underlying intent to reduce the costs of 590, 594 (1962)-.
acquiring the property for use as a public

223

12. Nebbia v. New York, 291 U.S. 502, 524
(934).

13. 400 So.2d 1227 (Fla. 5th DCA, 1981).

14. Id. at 1232.

15. 371 So.2d 154 (Fla. 4th DCA, 1979).

16. Id. at 155.

17. Id. at 156-157.

18. 432 So.2d 1332 9 Fla. 4th DCA, 1983).

19. Id. at 1334-1336.

20. Graham V. Estuary Properties, Inc., 399
So.2d 1374 (Fla. 1981).

21. Penn. Central Transportation Co. v. New
York City, 438 U.S. 104, 131 (1978).

22. In Euclid v. Ambler Realty Co., 272 U.S.
365 (1926), zoning was upheld despite a 75
percent diminution of value. The owner of
the regulated brickworks in Hadacheck v.
Sebastian, 239 U.S. 394 (1915), sustained
a 93 percent loss in the value of his-
property (from $800,000 to $60,000), yet
the regulation was sustained. The
practical effect of Goldblatt v. Town of
Hampstead, 369 U.S. 590 (1962), was to
prohibit further operation of a rock and
gravel mine. Finally, in Miller v.
Schoene, 276 U.S. 272 (1928), the
regulated property, cedar trees, was
completely destroyed.

23. See, Moskow v. Commissioner of the Dept.
of Environmental Management, 427 N.E.2d
750 (Mass. 1981); Loveladies Harbor, Inc.
v. Dept. of Environmental Protection, 176
N.J. Super. 69, 422 A.2d 107 (N.J. Super.
Ct. App. Div.980).

24. Agins v. City of Tiburon, 447 U.S. 255
(1980).

25. Penn Central Transportation Co. v. New
York City, 438 U.S. 104 (1978).

26. Graham v Estuary Properties, Inc., 399
So.2d 1374 (Fla. 1981).

27. See, Spiegle v. Borough of Beach Haven,
281 A.2d 377 (N.J. App. 1971)Turner v.
County of Del Norte, 24 Cal. App.2d 311,
Rptr. 93
101 Cal. (Cal. App. 1972).

28. Just v. Marinette County, 56 Wis.2d 7,
201, N.Q.2d 761(1972).

29. 281 A.2d 377 (N.J. App. 1971).

30. Id. at 387.

31. 24 Cal. App. 2d 311, 101 Cal. Rptr. 93
(Cal. App. 1972).

32. Id.

224

CHAPTER, FOURTEEN
TRAINING AND EDUCATION

Inadequate..training and dissemination of Various post-disaster and pre-disaster
information is not confined to developing training and education approaches have been
nations or rural areas of the U.S. with small applied in developed and developing nations.
numbers of experts. In a developed nation such The most common include dissemination of writ-
as the U.S.., the extent and seriousness of ten materials; one-onm-one discussions with
'hazard events are often discounted or forgotten landowners and contractors; workshops; and
by area occupantsin both large city and rural demonstration of projects.
settings and may be unknown to new landowners
or residents. Manuals, guidebooks and other This chapter examines post-disaster edu-
.sources of information concerning hazard miti- cation. The first paper by Donald Schramm,
gation options which are available after a discusses "distant learning" approaches.
disaster are often lost or misplaced as the
memory of the disaster wanes. Next, Mary Ellen Williams discusses the
U.S. Geological Surveyts international training
Dissemination of hazard information on a program for geologic and hydrologic hazards.
long term basis is not easy. Decision-makers
come from many sectors both within and outside The chapter concludes with a paper by
-of ..the hazard area: landowners, bankers, local Donald Geis describing the American Institute
government officials, architects, engineers, of Architects Latin American workshops on
etc. Many have little interest as well as ex- natural hazardprotection design.
pertise in mitigation.

225

The U.S. Geological Survey's Training Program in Geologic and
Hydrologic Hazards for International Participants

Mary Ellen Williams and Olga H. Marinenko
Office of International Geology
US, Geological Survey
INTRODUCTION Reston, Virginia The first of the three teams left in
August for the Philippines, Thailand, Burma,
The U.S. Geological Survey (USGS) has been Nepal, and Bangladesh. The second team visited
involved with the transfer of geoscience exper- Algeria, Portugal, Spain, Italy, Greece,
tise to the foreign community for more than 40 Yugoslavia, and Turkey in September and
years. Through a variety of programs sponsored October. The third'team left late in September
by the Department of State,foreign governments, for Latin American giving briefings in Costa
and international organizations,scientists have Rica, Ecuador, Chile, Peru, Argentina,
provided training in-country and at facilities Paraguay, Uruguay, and Bolivia.
in the U.S. either in workshops or seminars, or
on-the-job. In keeping with this tradition, the The Embassies cabled assessments of the
Geological Survey developed a scheduled train- briefings. In msot cases the meetings were
ing course in Geologic and Hydrologic Hazards. well-attended, very well-received, and gener-
The purpose of this training program was to ated considerable interest inr the hazards
develop 'hazard-abatement expertise in order to training program.
save lives and reduce economic losses in
countries where geologic and hydrologic hazards Upon return of the team , an evaluation
are prevalent. meeting was held in Reston in.October 1983.
During that meeting, team leaders presented
overall team assessments and participant slots
DEVELOPMENT OF COURSE were allocated to countries. A number of
suggestions for improvement and expansion of
With the concurrence of the Agency for the program were discussed.
International Development's Office of Foreign
.Disaster Assistance (AID/OFDA), a cable was During November and December 1983, the
sent to diplomatic posts announcing the pro- course participant selection was-underway and
posed course and requesting indications of the lecturers identified. By early February
interest. An interest questionnaire was also 1984 participant acceptances had, for the most
circulated overseas by the Office of Inter- part, been confirmed by the Embassies and the
national Geology, USGS. Responses were includ- lecture schedule circulated. Lecturers received
ed in a proposal presented to AID/OFDA in a letter outlining requirements for preparing
December 1982. The proposal was favorably course notes and the format for the open file
received and an agreement signed by AID/OFDA report. Bibliographies and USGS publications
and the USGS in February 1983. were assembled for distribution at the course.

Between January I and March 1, 1983, two
drafts of a course syllabus were prepared and THE GEOLOGIC AND HYDROLOGIC TRAINING COURSE
circulated for comments in the various USGS
Divisions as well as among Regional Coordina- DENVER, CO MARCH 5-30, 1984
tors in the Office of International Geology.
Three scientific teams were organized who would
travel to specified regions of the world. Spe- Participants and Observers
,cialists on each team included the following
disciplines: seismology, volcanology, engineer- All 42 invited candidates accepted- the
ing geology, and hydrology. invitation and attended for the entire training
session. Thirty-one were funded by OFDA; ele-
Countries were selected for team visits in ven were funded from other sources including
each of three regions: Europe/Near East, UNESCO. The participants represented 28 coun@
Eastern Asia, and Latin America. Cables were tries from the three regions of the world
sent to each Embassy to arrange for briefings. visited by the scientific teams.
These prearranged briefings were to include
high level officials as well as scientists at The participants were a carefully selected
the technical level. It would be an opportu- group. Team members and leaders established a
nity to explain the program, to make contacts pool of potential candidates based on their
with those working in the hazard-abatement being at a high enough technical level to be
efforts, and to identify potential candidates able to interact and be a part of hazard pro-
for the course. gram development in their country. Also

226

required would be sufficient knowledge of The seven who went to Mt. St. Helens had
English to enable them to comprehend and inter- good weather and were able to have an over-
act. Team leaders submitted these names to the flight of the volcano as well as a field trip
Project Chief who established a balance by to surrounding areas. The weather held for the
region and discipline. OFDA also suggested landslide trip south of San Francisco where
candidates. The participants were from diverse nine participants observed a half-a-dozen land-
backgrounds (seismology, engineering, volcan- slides in the fault area. The Albuquerque
ology, hydrology, emergency management), but at Seismological Laboratory was visited by six
a high enough technical level to profit from with seismology interests. The eleven who went
the multidisciplinary approach and comprehend to Washington, D.C. spent four days visiting
wider hazard problems. The participants worked seven agencies (USGS, OAS, NOAA, PENA and its
very diligently as individuals and over the associated Federal Emergency Management Agency,
month developed cohesiveness as a group. AID/OFDA, and the American Institute of Archi-
tects Foundation).

Lecturers
SUMMARY
The course syllabus was organized through
the efforts of four discipline coordinators. Several evaluations of the course were
Discipline coordinators were charged with made, one by Susan Tubbesing (Natural Hazards
determining the content of their portion and Research and Applications Information Center,
obtaining a commitment from would-be lectur- University of Colorado, Boulder), Training
ers. If a particular subject was not within Section, Office of International Geology, USGS,
the area of expertise of the USGS, outside and Stephen Bender, who attended as an observer
experts were invited to participate in order to from the Organization of American States. The
complete the coverage. All lectures were to be evaluations support the concept of formalized,
incorporated in a USGS Open-File Report and scheduled training either in the U.S. or over-
available in the fall of 1984. seas. The caliber of information provided at
the course was generally considered to be ex-
Over half of the 50 lecturers were U.S. cellent; some participants felt it was perhaps
'Geological Survey employees from the three too technical. The overall concept of studying
:regions in the U.S. FEMA provided eight several interrelated hazards in one course was
lecturers to cover the hazard-response por- considered to be of value. Attendees felt they
tion. There were five international speakers had gained a greater knowledge of these disci-
invited with hazard expertise from various- plines, how they may be integrated on a region-
regions of the world. There were also five al or global basis, and how they could be
speakers from NOAA, and the USDA Forest Service utilized in hazard mitigation techniques in
and four consultants from the private sector. their particular countries.

Participants wanted more time to visit
,with lecturers in their offices or in small
-conferences elsewhere. One group of four
lecturers was particularly effective at pre-
senting a three-day module of lectures and
discussions. They solicited lectures from four
-participants prior to their arrival in Denver.
They held conferences on breaks and after class
at their Denver offices. They worked on
Problems of mutual interest as a cohesive
group. This was followed up by a field trip.

Field Trips

The four field trips that were to follow
the month-long course were announced the first
deek of the course. These trips, which would
-vary in length, were offered to Mt. St. Helens,
-the landslides areas south of San Francisco,
-the Albuquerque Seismolo-ical Laboratory, and
0
agencies in the Washington, D.C.,area that are
concerned with emergency management. Thirty-
three participated in the field trips; seven at
Mt. St. Helens, six in Albuquerque, nine in San
Francisco, and eleven in the Washington, D.C.
area. All field trips were completed by April
5, the. Washington, D.C. trip being of longest
duration.

227

Post- Disaster Education and Training: Innovations in Distance Learning

Donald Schramm
Disaster Management Institute
Department of Engineering and Applied Sciences
University of Wisconsin
Madison, Wisconsin

INTRODUCTION share individual and collective insights about
disaster response. As in many fields, there is
Building on a history of work in distance a wealth of disaster management information but
teaching, the University of Wisconsin-Extension few effective ways to get that information to
(UWEX), in 1982, created the Disaster Manage- people in the field who need it. That is a
ment Center as part of its Department of Engin- role for distance education.
eering and Applied Science. With initial
development funding from the Office of Foreign To understand the evolution of distance
Disaster Assistance (OFDA) of the U.S. Agency teaching into this new multinational role in
for International Development (USAID), a group continuing professional education, it is useful
of world experts in disaster management met in to look at some definitions of "distance edu-
Madison, Wisconsin in November 1982. This cation" and a few historical precedents.
International Advisory Board was given the task
of defining the education problems in disaster
management, identifying course topics and A LOOK AT DISTANCE EDUCATION
suggesting textual materials and individuals
who could address those topics. Fifty-five Distance education is a generic term that
courses were identified and preliminary course includes a range of teaching and learning stra-
outlines were prepared by the Board. tegies variously referred to as correspondence
education or correspondence study in both
The Board's mandate to the Disaster developed and developing countries. Examples
Management Center (DMC) was to develop courses include: home study or independent study in
in a distance education format. The courses the U.S.; externalstudies in Australia; tele-
were to focus on the technical information enseignment in France; Fernstudium or Fernun-
needed for the complex situation that exists at terricht in Germany; educacion a distancia or
the time of a disaster and during the recovery ensenanza a distancia in Spanish-speaking
period. Education to mitigate against future countries; and teleducacao in parts of the
disasters was a parallel focus. All courses world where Portuguese is spoken. Distance
were to be oriented toward a Third World education can be contrasted with traditional
situation (UWEX, 1982, p.2). forms of education where teacher and students
are in a classroom lecture or laboratory situ-
Disaster Management has a variety of ation (Keegan and Rumble, 1982, p.11-12).
meanings. Disaster management includes the
relief that follows the occurrence of an The basic distinction between traditional
earthquake, hurricane or flood and the longer and distance education is a teacher/student
term reconstruction that rebuilds community separation. That separation can be in time or
systems and individual lives in the months fol- in space; it can be physical or psychological.
lowing a natural disaster. Comprehensive disas- Other elements of a distance education program
ter management includes activities in prepared- are: 1) the use of educational planning
ness,predisaster strategies to mitigate against principles through some organized educational
a disaster's impacts in hazard prone areas and institution; 2) the use of technical media,
to lessen the casualties to life and property. usually print, to transmit the educational
Comprehensive disaster management also includes content of a course; and, 3) the provision of
activities in risk reduction--the longer term, two-way communication and dialogue between
larger scale policy decisions that can prevent teacher and learner (Keegan and Rumble, 1982,
or diminish the disaster's impact. Education p.33).' There will always be an element of
and training in all phases of disaster manage- communication, a dialogue at some point,
ment are the key to successful mitigation of between teacher and learner in the distance
impact and effectiveness of response. education process. Distance education, or
independent learning, is studying on your own
Information comes from various sources on within an established context. It is not the.
all phases of disaster management activities. complete independence of teach-yourself-books
International and local disaster relief organi- or educational broadcasting, where the element
zations have documented past work. University of two-way communication is absent.
research centers have studied many aspects of
disaster impact. Journals disseminate disaster
facts and experienced disaster professionals

228

International Distance Education University of Nebraska (1909), University of
Texas (1909), University of Missouri (1910) and
Throughout the world, distance education University of North Dakota (1910). Three more
methods have been used at technical and voca- universities started programs in 1912 and 16
tional levels for more than 130 years and in followed in 1919. (DeCrow, 1972, p.4).
higher education for more than 100 years.

Examples of current distance education Delivery Media for Distance Learning
institutions abound. In the United Kingdom
there is the British Open University, begun in There is a variety of learning media
1970 and the University..of London, with its available for distance education. In any
external degree students. University level distance learning situation, the selection of
distance education is available in Australia media to deliver instructional materials will
from five universities and in New Zealand from be based on low cost, simplicity, accessibility
two institutions. In the USSR, there are 11 and availability to produce the desired learn-
distance teaching universities which enrolled ing results.
2.2 million people in non-resident university
courses in 1979 (Keegan and Rumble, 1982, The range of educational media include
,p.20). television (in its various forms including
video-tape and video-disk), computer-aided
Other examples exist throughout the instruction, telephone, radio, and satellite-
world. Canadian distance education at the delivered educational programs. However, given
,University level was initiated at Queens the situation most likely to be encountered in
University in Kingston, Ontario in 1889. the developing world, two traditional means for
Today, 20 Canadian universities have distance distance education are probably the most effec-
education departments. In France, 18 French tive: audio formats and the printed word.
universities have centres de tele-enseignment (Feasly, 1983, p.22).
universitaire (CTU), whose enrollment in 1980
was 15,000. In India, correspondence director-
ates exist in 23 universities and other insti- THE WISCONSIN DISASTER MANAGEMENT CENTER
tutions if higher education. In Columbia, the
University of Antioquia and the Javeriana. Over the past five decades, the University
University both provide educacion a distancia of Wisconsin-Extension (UWEX) has worked in
(Keegan and Rumble, 1982, p.23). continuing professional education in engineer-
ing, health sciences and business, in addition
to its traditional role in agriculture. The
Distance Learning in the U.S. Department of Engineering and Applied Science
annually conducts hundreds of seminars and
.....Correspondence education in the U.S. began--- short ' courses for engineers, scientists, archi-
at Illinois Wesleyan University in 1874. In tects, and industrial managers. The Management
1883, the Correspondence University was formed Institute offers an equivalent number of work-
in Ithaca, New York, based principally on the shops, seminars and conferences for profession-
Chautaqua movement (an educational idea started al managers at all levels, from first line
as a summer camp for Sunday School teachers) Supervisors to top executives in government and
and the experience at Illinois Wesleyan. @usiness. In Health Services, additional hun-
dreds of continuing professional education
The "Father" of American correspondence program 'a are offered in Medical Education,
teaching and the person most responsible for Nursing, Pharmacy, plus Health and Human
its acceptance as a learning method was William Service Administration.
Rainey Harper. In 1890, Harper organized and
became the first President of the University of
Chicago. He incorporated a Correspondence A New Idea
Study department as part of University
Extension (DeCrow, 1971, p.2). The Disaster Management Center (DMC) began
in November 1982 with the convening of an
From 1891, correspondence courses were International Advisory Board of disaster
offered at the University of Wisconsin. How- experts. Membership on the Board includes
ever, they were not formally organized until W. representatives of disaster-related groups from
-H. 1ighty was named head of the Home Study Australia, Belgium, China, Colombia, Ethiopia
Department in 1906. For Lighty, the University Great Britain, India, Jamaica, Philippines:
had a dual role of helping the individual to Switzerland. and the United States. The Board
@adjust to change and fostering change itself. guides course development and advises on the
This idea also led to his experiments with the establishment of professional standards for a
use of radio and the idea of organizing classes Disaster Management Diploma (which can also be
in factories. the foundation for a Professional Development
Degree in Engineering).
...During the first quarter of this century
in the United States, approximately 39 univer- The Disaster Management Center, with the
sities organized correspondence study programs. assistance of individuals and agencies experi-
Following Wisconsin were the University of enced in disaster management, is developing a
Oregon (1907), University of Kansas (1909), series of self-study courses in the areas of

229

disaster - preparedness, mitigation, and re- ers include a representative from the DMC.
sponse. More than 55 new courses were identi- Advisory Board and academic reviewers include
fied and outlined by the Advisory Board. This UWEX-Independent Study Program representa-
series of courses has two basic directions: tives. Wherever possible, courses are also
individual courses for developing expertise in evaluated by potential students for content and
specific areas and a Diploma Progra in ease of use.
Disaster Management, for a broader knowledge
base.
An Audience

Course Development People who have worked in disaster pre-
paredness, mitigation or response understand
Courses are developed as a joint effort the unique context of disasters. Individuals
between technical experts with field experience or agencies coming into disaster management for
and disaster management and' educators with the first time need to develop that understand-
experience in continuing professional education ing.
and distance teaching. Preliminary course out-
lines prepared by the Advisory Board are first The disaster management-audience-includes.
expanded at the University by educational any development agency- personnel-assigned re-
editors using materials suggested by the sponsibility for hazard-prone areas. Interna-
Board. These more detailed outlines are then tional, national and regional organizations
reviewed by a small group (2-4) of disaster (public and private) involved in health,
technical experts. Based on this expert review engineering, and public administration are
process, a final outline is prepared by a members of that audience. Members of voluntary
technical editor, who may be one of the expert agencies, local and international, are another
reviewers. key group.

With this outline in hand, course text An Educational Process
materials are either selected from existing
publications or prepared by the technical The primary emphasis -of the Disaster
editor. At the materials are collected or Management program is on worker training to
prepared, learning objectives are determined increase the professional standards in the
for the entire course. Key questions suitable field, at all levels. The Diploma will be
for testing a student's progress are also offered as an incentive for those students who
noted. desire some recognized certification for job
purposes and/or for their personal professional
Once the materials are complete, they are development.
reviewed again by the original expert panel.
Wherever outside agencies have funded course At the simplest level, a student will
development, materials are also reviewed. by complete a course, take the exam, and if
them at this point. Following the incorpora- successfully passed, receive a certificate of
tion of comments from all reviewers, the course completion@
materials are sent to the University for
development of the Course Study Guide. At the next level, a student will complete
a grouping of courses in. a particular area
The Study Guide is used to take a student (e.g., health and nutrition) and receive a
through the course text and other technical letter of commendation indicating the special-
materials. Learning objectives are refined and ized-series of courses completed.
the materials are broken into suitable indivi-
dual lessons, designed to take 1-2 hours read- The final level is the Disaster Management
ing time. Self-Assessment Tests are prepared Diploma. A student's program will consist of
from the list of key questions for each les- courses in one of two options: Natural
son. In addition, a Pre-Test is designed to Disasters or Refugee and Displaced Persons. To
test the student's level of knowledge before obtain the Disaster Management' Diploma, stu-
starting the self-study program. All these dents will be required to complete required
materials are designed for student self- care courses in Management-,@the required core.
evaluation of progress without instructor- courses in the option selected,:and a number of
student contact. electives in their area..of interest. Students-
must pass examinations in all courses taken and
Finally, to measure the student's learning prepare an Independent Study Project.
on completion of self-study, a Final Examina-
tion Package is prepared. The student requests
this package on completion of self-study. This FINANCES AND THE FUTURE
is an open-book examination and combines objec-
tive questions with a subjective, Disaster In 1985, the first self-study modules are
Development Problem, which asks the student to available. Course development was funded by
apply knowledge to a situation and select from organizations interested in disaster manage-
alternative courses of action. ment. In addition to direct funding from the
University of Wisconsin, financial assistance
These Study Guide and Final Examination from three organizations has been vital to
materials are reviewed technically and academi- early program development: Office of Foreign
cally before being published. Technical review- Disaster Assistance, U.S. Agency for Interna-

230

tional Development; the Office of Emergency
Preparedness and Disaster Relief, Pan American
Health Organization; and the Bureau of Refugee
Programs, U.S. Department of State.

Course development will continue to be
externally funded with UWEX picking up costs
for course administration. The Disaster
Management Center program in distance education
is planned to be self-supporting from student
fees after it has been established several
years.

Experience has shown that in this type of
continuing professional education effort a
collaboration of university faculty and those
with technical field experience is critical.
Those involved in a technical field (like
disaster management) on a routine basis under-
stand the needs and limitations of technical
information based on their experience. Those
involved in education on a daily basis can
establish the frameworks within which material
prepared by technical experts can be transfer-
red to distance learners.

There is a final important lesson to
remember in international distance education.
Educational tools developed in one country or
culture may not always be completely applicable
to another country or culture. Distance learn-
ing strategies provide an educational tool with
the greatest latitude for modification on a
country-by-country or culture-by-culture basis.

LITERATURE CITED

DeCrow, R. 1971. Correspondence Study. ERIC
Higher Education Research Report,
Washington

Feasly, E. 1983. Serving Learners at a
Distance: A Guide to Program Practices,
ASHE-ERIC Higher Education Research Report
No. 5, Washington:

Keegan, J. and G. Rumble (1982). The DTU's: an
appraisal. In G. Rumble and K. Harry
(eds.) the Distance Teaching
Universities. New York: St. Martin's
Press.

University of Wisconsin-Extension (UWEX). 1982.
Proceedings--Advisory Board Planning
Conference, Disaster Management Diploma
Program and Courses. Madison: University
of Wisconsin.

231

The American Institute of Architects Latin American Workshops on
Natural Hazard Protection Design: Accomplishments and
Recommendations

Donald E Geis
The American Institute of Architects Foundation
Washington, DC

INTRODUCTION abreast of new idea or to expose them to areas
of knowledge not included in architectural
Damage caused by natural disasters in the school curricula. Architectural associations
Americas continues to increase at an alarming also support strongly the use of licensing
rate. Most of this damage occurs to elements, requirements to ensure that their members are
of the built environment, notably buildings. professionally competent. In Latin America and
the Caribbean, moreover, most architectural
Each disaster, whether caused by an associations are affiliated with universities
earthquake, flooding, or other natural hazard, and can directly influence the content of
brings stark evidence that the way in which a architectural school curricula. These long-
building is designed determines in large part standing architectural association roles offer
how it performs under the forces imposed by established mechanisms for increasing the use
natural hazards. It is therefore essential of effective hazards-resistant design tech-
that building designs incorporate features to niques among both currently practicing archi-
resist these forces. tects and future architects now in school.

In the building design process the In 1982 The American Institute of Archi-
architect is usually the team leader, both tects (AIA), through its nonprofit research
organizationally and contractually. As such, arm, the AIA Foundation, initiated a program
the architect plays the major role in deter- with support from the Office of U.S. Foreign
mining a building's site plan, shape, form, Disaster Assistance to raise awareness of the
configuration, interior layout, basic struc- importance of hazards-resistant design among
tural system, materials, nonstructural systems architectural associations in the Americas and
and components, and basic mechanical and elec- to begin the process of transferring knowledge
trical systems. These decisions directly of hazards-resistant design techniques. The
determine whether the building will perform primary components of this effort thus far have
successfully when a hazard strikes. been two workshops - in Lima in February 1983
and in Antigua, Guatemala, in February 1984 -
For architects to be able to maximize held to achieve a consensus on how the program
their efforts in this regard, they must first can best proceed. The workshops were attended
be made aware of their responsibility for by the presidents of the architectural
incorporating hazards resistance into their associations in the following countries:
building designs. Second, they must have
knowledge of the specific design technologies Argentina** Honduras**
and techniques required to do so. The chal- Bahamas** Jamaica**
lenge posed by needed improvements in hazards- Barbados** Mexico*
resistant design is thus two-fold: to raise Bolivia** Nicaragua*
architects' awareness and to transfer needed Brazil** Panama*
technology. Chile* Paraguay**
ColombiO Peru*
While individual architects are ultimately Dominican Republic** Trinidad & Tobago**
responsible for the design of a nation's build- Ecuador* United States*,**
ings, a nation's architectural association pro- El Salvador* Uruguay**
vides the communication and support network for Guatemala* Venezuela*
the profession as a whole. Individual archi-
tects rely on their professional associations Lima, February, 1983
to provide needed information on new design Antigua, Guatemala, February, 1984
techniques and authoritative policy direction
concerning architects' responsibilities in the In addition, each workshop was attended by
design process. For these reasons architectur- Arq. Juan Jose Casal Rocco, president of the
al associations can be extremely effective Panamerican Federation of Architects' Associa-
mechanisms for improving hazard-resistant tions (FPAA) and vice president of the Inter-
design. For example, virtually all archi- national Union of Architects.
tectural associations in the United States,
Latin America, and the Caribbean emphasize Although all buildings should be designed
design workshops and seminars as forms of
continuing education to keep their members

232

to withstand natural hazards, the inherent language design manual on how to protect:
limitations on what the workshops could effec- buildings from the forces of earthquakes,
tively accomplish led to an emphasis on major floods, and hurricanes. Presented in draft.
public and private buildings -- those primarily form at a special session of the quadrennial
designed by architects. There were two impor- congress of the FPAA in February 1984, the
tant reasons for concentrating on this building final version of this manual will be made
type, which includes hospitals, schools, public available in reproducible form to each of the
safety, and community buildings as well as associations for distribution to their
churches and larger private buildings such as memberships and use in technical design
office, retail, industrial.and apartment build- workshops and university courses.
ings. First, a disproportionate amount of
damage and loss of life can occur in these
buildings. In the 1967 Caracas, Venezuela, PROGRAM ACCOMPLISHMENTS
earthquake., for example, 20 small residential
buildings and five major, multistory buildings The accomplishments of this program to
collapsed. Of the 266 deaths occurring in this date have far exceeded expectations. ThE!
earthquake, however, approximately 75 percent program has been highly visible among Latin
occurred in the larger buildings. The size,. American and Caribbean architects with concrete
weight, and -multistories of larger buildings, steps toward improving hazards-resistant design
and the relatively large numbers of people in taken on a variety of fronts:
them at given times, increase the damage and
loss of life they. can cause if not designed The Guatemalan association has cre-
effectively. Second, these buildings -- ated a natural hazards commission to
especially those housing public-sector further Guatemalan architects' in-
functions make up a community's volvement in this area. The associ-
infrastructure, providing public services, ation is also working with community
health care, and fire protection. These groups and public officials to deve-
functions must continue during and after a lop widespread awareness of the prob-
disaster. A community's large buildings also lem and the need for improved design
usually provide jobs and goods essential to practices. There have been a number
post-disaster recovery. of national and regional design work-
shops involving Guatemalan archi-
Although each association's president was tects, universities, and experts from.
accompanied at the workshops by a technical other countries.
associate from his country, the workshops
concentrated less- on specific hazards- The associations in Peru, Colombia,
resistant design techniques than on the poli- Mexico, Paraguay, Bolivia, El
cies and programs that architectural societies Salvador, and Brazil have implemented
can use both to increase their'members' aware- or are developing hazards programs.
ness of the importance of architectural design The Peruvian association has had a
decisions for hazards protection and to improve number of workshops and has developed
their members' ability to design for hazards a formal policy of encouraging better
effectively. The workshops were meant to lay design practices in this area. The
the groundwork for subsequent efforts to put association in Brazil will soon hold
such policies and programs into effect. a major workshop on flooding, and the
Association of Commonwealth Societies
An important feature of the workshops was of Architects in the Caribbean
the request that each association prepare a (ACSAC) will host a natural hazards
report on its country's current use of hazards- workshop in Barbados in March 1986.
resistant design, including architects' respon-
sibilities, the hazards-resistant design mea- The FPAA has formed a natural hazards
sures commonly used, most significant hazards, committee and has incorporated the
relevant building regulations, and related recommendations developed by the
matters. These reports proved extremely bene- workshops into FPAA policies and
ficial to the workshop because they led the as- goals. The new FPAA.president, Juan
sociations to examine in depth their capabili- Torres Higneras, was the Latin
ties and needs in this area. (The report out- American coordinator of the Lima
line suggested to the associations appears workshop and will be a strong sup-
later in this report. The individual associ- porter of the program over his four-
ations' reports are separately bound in the year term.
appendices.)
The AIA Foundation has just received
The results of the first workshop have a grant from the National Science
been reported separately. The results of the Foundation to develop a state-of-the-
second workshop were so similar to the first art workshop curriculum and instruc-
that no separate report has been written on tional materials on earthquake-
it.. Rather, this-overall report makes note of resistant design for U.S. architects.
differences between the two workshops where This will be made available to Latin
relevant. American and Caribbean associations
as well. The National Science
An additional element of the program thus Foundation has also encouraged the
far has been the development of a Spanish- AIA Foundation to submit a proposal

233

to establish a natural hazards build- primarily concern technology , transfer and
ing design clearing-house that would utilization. it was the consensus of the
directly benefit this program.. workshops that the exchange of information is
the single highest.'priority. While the associ-
- The individual country reports pre- ations in several of the more developed
pared for the workshops provide the countries can develop the needed information
first comprehensive picture of the without assistance, most cannot.
status and needs of hazards-resistant
design in Latin America and the
Caribbean. They providean informed Technology Transfer and Utilization Service
basis for planning needed next steps.
A centrally located technology transfer
- The workshop attendees have been and utilization service is needed to provide
identified as the key individuals for individual associations a source of up-to-date
promoting hazards-resistant design in information on available educational resources
Latin America and the Caribbean. and ongoing activities and a focus for multi-
lateral efforts in this area. This service
- The central role of the associations should have the following components:
in improving hazards-resistant design
practices has been established Data Bank and Clearinghouse. The
throughout Latin America and the collection, evaluation, and dissemi-
Caribbean, giving the program a firm nation of information on hazards-
institutional basis. resistant design for the Americas is
a critical need. The few existing
The various associations have come to clearinghouses (e.g., the University
see that they share many common prob- of Colorado's Natural Hazard Research
lems and needs concerning hazards- and Applications Information Center)
resistant design and that their do not have a design focus and have
resources can -be pooled in a number proved inadequate for U.S. designers,
of ways to increase the program's much less those in Latin America and
effectiveness. Agency for Interna- the Caribbean. The AIA Foundation
tional Development administrator has begun to serve this role infor-
Peter McPherson has Istated mally, but its resources cannot keep
(Washington Times, 6/14/83), 'As the up with the growing demands for
president saysi let's not give people assistance. An AIA Foundation
fish, let's teach them how to fish." proposal is being submitted to the
This program has not only created a National Science Foundation for
commitment to the use of hazards- support to create a formal clearing-
resistant design among the associ- house for U.S. designers. If funded,
ations, it has also shown that much there will remain a need of Spanish-
of the needed work can be accomplish- language services for this program.
ed through our own institutions with
our own resources. Newsletter. A newsletter is needed
to communicate data, ideas, news of
The recommendations in this report innovations, etc., among the various
represent a consensus of 'the various FPAA member associations. This news-
associations concerning needed ef- letter would keep each association
forts by both the United States and aware of what the others are doing.
the associations themselves. This Of perhaps equal importance, the
provides a firm foundation for existence of the newsletter will
program "d policy planning. itself be a concrete encouragement to
an increase in such communication.
(This newsletter could be published
RECOMMENDATIONS perhaps three times a year, with
articles, data, etc., solicited from
The consensus recommendations of the two the FPAA members. The AIA Foundation
workshops involve overall needs that can be should publish the first issues of
best met on a hemispheric basis and needs that the newsletter- while it is being
should be addressed by the individual associa- established; subsequently responsi-
tions. bility for publication could rotate
among FPAA members.)

Overall Needs Advice on Association Efforts. The
technology transfer and utilization
This program has been designed so that service would be in an excellent
individual associations will be able on their position to advise on educational
own to pursue needed efforts to improve materials, workshop curricula, and
hazards-resistant design practices among their other materials developed by 'the
members. There are nonetheless a number of associations for their members. This
support functions that should be provided for function would arise directly from
the Americas as a whole to ensure that each @-he service's clearinghouse role and
association's effort can be effective. These would help ensure that after the

234

technology is transferred it is ASSOCIATION NEEDS
effectively utilized.
The role of the associations in this pro-
Development of Needed Educational gram cannot be overemphasized. Their organiza-
@Gterials. Much existing useful tional stability, ties to their members, and
information in this area is not the long-term commitment they have made in this
available in formats and language program to improving their members' hazards-
that designers can use effectively in resistant design practices will be essential to
the design process. The general ensuring that hazards protection does not
Spanish-language hazards-resistant become simply last year's design fad. The
design . manual _recently developed success of this program will to a large extent
under this program provides an depend on implementation of the foregoing
excellent technical foundation recommendations to provide the associations the
document but must be supplemented by technical material, advice, and continuing
other material that provides a attention to hazards-resistant design they need
greater level of detail and that to maintain vigorous effort in this area. At
takes into account variations among the same time, the associations must be more
different countries and regions in than passive recipients of such assistance.
geography, -climate, and construction They must work actively with their members,
practices. The technology transfer their governments, and their publics to ensure
and utilization service provides a that haz6rds-resistance technology is utilized
convenient central fiduciary vehicle after it is transferred. The following recom-
for support of such work and an mendations are the consensus of the two work-
effective mechanism for coordinating shops concerning the associations' role inter-
multinational collaboration in it. nally in relation to their members and exter-
nally in relation to their governments and
publics.
Technical Advisory Teams
Another priority in international exchange Internal Association Recommendations
identified by the workshop participants is the
need for multidisciplinary teams of hazards
specialists to visit certain countries to help Hazards Instruction in Architectural Schools
the associations develop their programs in
hazards protection. It was determined that the Although a few Latin American and U.S.
various associations differ in their needs and architectural schools offer courses in seismic
other characteristics sufficiently that gener- design, most do not. There is also virtually
alized advice is inadequate to the task of no material available to students on other
helping all countrie's improve their hazards hazards. The associations should work with
protection. their countries' architectural schools to
introduce hazards-resistant design techniques
An added benefit would be that the teams into their curricula and into architectural
would increase the associations' credibility in license requirements. The U.S. National
dealings with their governments and general Council of Architectural Registration Boards
publics, facilitating the introduction of has in recent years improved to an extent its
building codes and other innovations that may registration requirements for seismic design,
be needed to improve hazards protection. but other hazards should be covered as well.

Conversations since the workshops indicate
that with adequate pre-visit preparation these Continuing Education for Practicing Architects
teams probably need to spend less than a week
in any given country and, further, that the Architects practicing today need to
@teams should be multidisciplinary (i.e., archi- receive education on hazards-resistant design
tects, engineers, planners, builders, bankers, techniques. First, design workshops or other
etc.) and multi-national. continuing education formats (e.g., self-help
study guides, slide shows) must be available
,for various skill levels. The AIA Foundation
International and Regional Workshops has recently developed a flood-resistance
design workshop and is currently developing an
The long-term success of this program, earthquake-resistance design workshop. These
like the success of its work thus far, will efforts should be expanded and used as the
depend in large part on periodic face-to-face basis for similar work elsewhere. Second,
meetings of those involved throughout the practicing architects must be made aware of the
Americas in promoting hazards-resistant design importance of hazards-resistant design and must
practices. This will require meetings every be motivated to take advantage of available
two or three years like the Lima and Antigua continuing education offerings. The associa-
workshops, probably best held in conjunction tions should do this through their policies,
with major FPAA meetings. articles in association periodicals, exhibits
and hazards seminars at association meetings,
and other means to reach the widest possible
number of their members. Recently, for

235

example, the AIA Board of Directors approved critical need for active efforts by the asso-
the policy that "seismic design is as much the ciations to place hazards-resistant design high
architect's responsibility as the structural on their communities' agendas in order to faci-
engineer's." As this policy is disseminated to litate needed changes. To this end, the asso-
AIA members their motivation to learn more ciations should become more fully involved in
about seismic design will increase accordingly. their communities' political processes, taking
full advantage of news media exposure, formal
and informal contacts with community leaders,
Multihazard Design and other community relations techniques.

The associations should increase their
efforts in "multihazard" design, which involves Inventories of Vulnerable Buildings
balancing and integrating the sometimes con-
flicting, sometimes mutually supportive, design The Anti-ua workshop also identified the
strategies needed to resist different kinds of need for the associations to develop compre-
hazards simultaneously. Multihazard design is hensive inventories of the vulnerabilities to
only beginning to be explored in some of the hazards of critical community buildings and
more developed countries. More is needed. other elements of community- infrastructure@
Such inventories would not only alert owners
and government officials to the need for spe-
Architectural Collaboration with Other cific remedial measures, but also increase
Frofessionals general community awareness of the importance
of hazards-resistant design.
The associations should work to increase
interactions early in the design process
between architects, engineers, and other Indigenous Housing
involved design professionals. Early design
decisions by the architect .(e.g., building Also emphasized at the Antigua workshop
orientation, configuration) can greatly hinder was the need to involve the associations in
the structural engineer's ability to provide public-service programs to improve the hazards
seismic resistance in later design stages, for resistance of their countries' indigenous
example. housing stock. As noted in this report's
Introduction, this program's focus has been on
larger buildings. Nonetheless, increased
Research on Hazards-Resistant Design attention to indigenous housing would again
serve the dual purpose of improving a commu-
The associations should strengthen their nity's hazards resistance and increasing
involvement in research on improved hazards- general-community awareness@of these issues.@
resistant design techniques. The research
programs that do exist are usually isolated
from both the practicing professionals who will Land-Use Regulations and Building Codes
use the research results nd other research
efforts. More cooperative efforts could The associations should actively promote
increase the cost effectiveness of the the development of local and regional land-use
generally limited support available for regulations and building codes that address
research in this area. The associations should hazards protection needs and ensure that build-
also promote the training of more disaster ing design and construction are under the
researchers among their members as well as supervision of qualified personnel. Building
engineers, geographers, and geologists, with permit systems should incorporate provisions to
provision for exchange of interdisciplinary permit the creation of a unified data base on
data among them. construction systems used in new buildings and
other relevant information.

External Association Recommendations
Governmental Functions
Hazards-resistant design does not occur in
a vacuum., The associations have a responsi- The associations should actively seek to
bility to advise the external groups that can persuade their governments of the importance of
affect whether hazards protection can be incor- publicly supported hazards bibliographic
porated into a building's design and how well. centers, distribution of regional and community
Without adequate site-specific information on maps of foundation soil conditions and
the expected reach of floodwaters, for example, flood-prone areas, etc., and the development of
a designer may not know whether flood protec- temporary housing for emergencies. The associ-
tion is needed or to what extent. Without ations should attempt to become represented in
client awareness of the need for disaster or affiliated with governmental units and other
damage prevention, designers will be dis-, official- organizations involved in these and
couraged or prohibited from using protection other hazards-related activities. The associa-
techniques that may increase a building's cost. tions should, also monitor the support made
available for these activities, actively pro-
The workshop participants, particularly moting the levels of support needed for effec-
those at he Antigua workshop, stressed the tive work.

236

funding from Outside Organizations 4. Role of the architect in hazard protection
design in your country
The associations should actively pursue
funding for needed hazards-related workshops, a. relationship with other professionals
exhibits, and other activities from the various (planners, engineers, developers,
organizations created to further relevant building officials, etc.)
national and international goals. The Inter--
American Development Bank and the World Bank, b. the architect's responsibility
for example, work with a nation's central
government to support important projects within C. improvements needed to maximize
their mandates. In the. United States, the -results
National Science Foundation, the Federal
Emergency Management Agency, and other public 5. Role of the association in hazard
and private institutions support work to protection
improve hazards-resistant design. Organiza-
tions like these, as well as business groups a. natural hazards damage reduction
with an interest -in improving the hazards design programs and policies that
resistance of buildings, should be considered your association has been involved in
when an, association's own resources are (training, data development and
inadequate to support needed activities. dissemination, awareness building,,
etc.
ISSUES ADDRESSED
b. recommended programs your association
1. Natural hazards that architects must might adopt to assist your membership
design for in your country to become more aware and
knowledgeable in hazard protective
a. characteristics of hazards design.

b. user needs in hazards 6. Methods and strategies for exchanging
information and experiences between
2. The present state-of-the-art of natural countries and associations
hazard damage mitigationn for architects in
your country (flooding, hurricanes and a. have you exchanged technical data and
earthquakes) experiences with other associations
and countries; what type of data was;
a. available technical data in your exchanged; what methods were used for
country; how effectively is it used? the exchanges

b. concepts and techniques.. being.used; b. what methods and strategies do yot@
how they are used; effectiveness of recommend for exchanging natural,
use; recommended improvements needed. hazard protection design data, and
experiences between countries and:
Examples: associations, in such a manner than
can maximize the benefits for all
building design and construction involved
techniques
land management, use and C. identification of transfer mechanisms
planning--zoning, duvdivision, T or! axample: clearinghouse, newsletters,
etc. conferences, etc.
building codes
general policies and programs
'7. Research and information sources available
C. expertise and experience available in in your country; what are your needs in
your country this area

d. public and private support available a. types of research being done and by
whom
e. present problems architects face when
designing for flooding, hurricanes b. hazard programs available in
and earthquakes universities-schools of architecture

3. Recommendations. for improving natural C. key people involved in natural hazard
hazard protection design in your country work in your country

'a. thearchitectural profession.'s needs d. important-publications

b.. available opportunities. @e. public and private agencies involved
in hazard work
C. what technical information is needed?
f. public and private programs available
d. recommended innovative concepts and in hazards areas a summary of
techniques their workings

237

8. Case studies and examples of natural
hazards protection design development

9. Multihazard design approaches being used
in your country

10. Natural hazards protection design
considerations in the licensing process

FOOTNOTES
I
American Institute of Architects Foundation,
International Workshop on Natural Hazards
Protection Design: Lima, February 2-4, 1983:
Report to the Office of U.S. Foreign Disaster
Assistance, Agency for International
Development (Washington, D.C.: AIA Foundation,
1983).
2
The Antigua workshop did differ from the
first in one important way: because the
Guatemalan association has been represented at
the 1983 Lima workshop, the Guatemalans were
already committed to the goals of the program
before the Antigua workshop. Because a number
of hazards experts would be in Antigua for the
workshop, the Guatemalans asked them to speak
at a seminar on hazard-resistant design the day
after the workshop. , This six-hour seminar
attracted over 100 local students, designers,
and community officials.

238'

MITIGATION AND BROADER PLANNING

There was agreement by symposium partici- corporations, international banks, or other
pants that long term mitigation works best countries. The incorporation of hazard loss
within a broader, multi-objective planning con- reduction including post-disaster mitigation
text. Rarely are natural hazards sufficient in into such projects may be the only way to
themselves to motivate long-term and aggressive insure a long-term perspective on mitigation.
land management including retrofitting of
structures, urban renewal, and major water pro- This chapter considers mitigation and
jects. But hazards may be an important consi- broad economic and development planning from
deration and add weight to multi-objective land several perspectives. First, Stephen Bender
use and resource management. For example, many discusses the need for hazard assessment and
U.S. communities have rehabilitated urban mitigation planning in integrated regional
waterfronts to reduce flood losses, increase development and offers suggestions for imple-
open space, provide recreational opportunities, mentation.
upgrade substandard housing, and provide
economic revitalization for downtown areas. Ovsei Gelman also makes strong arguments
that mitigation be placed in a broader planning
Post-disaster mitigation also works best context and makes additional suggestions for
when the basis for such mitigation has been mitigation planning.
provided prior to a disaster through hazard
area mapping and planning for development and John Clark urges that hazards reduction
redevelopment. Particularly successful miti- efforts join forces with natural resources
gation programs in the U.S. such as Soldier's management interests in managing the coastal
Grove, Wisconsin, Baltimore, Maryland and Rapid zones of the world since protection of natural
City, South Dakota were implemented through features such as dunes, beaches and wetlands,
multi-objective planning initiated prior to a can reduce disaster losses while achieving
serious flood. broader environmental and economic development
objectives.
In developing nations, most of the large-
scale government and private commercial, Ian Davis, one of our keynote speakers,
industrial, housing and other projects are concludes the chapter with suggestions for a
designed to promote the economy and are at model national program for economic vulner-
least partially financed by multinational ability reduction and recovery.

239

Natural Hazard Assessment in Integrated Regional Development

Stephen 0. Bender
Organization of American States
Washington, DC

In developing countries, disaster mitiga- 1. Assess natural hazard risk as part of
tion programs which are part of an integrated natural resource evaluation and
development planning process stand the best development strategy formulation;
chance of implementation. Economically sus-
tainable development is the basic activity of 2. Identify and formulate mitigation
both the public and private sectors. Prevention measures for development investment
of death and destruction will be enhanced to projects;
the degree that planning decisions and the
execution of investment projects incorporate 3. Improve information interchange, and;
disaster mitigation measures. 4. Inform planning technicians and
In the past, disaster management in lesser decision makers about risk assessment
developed countries (LDCs) has concentrated on and disaster mitigation techniques.
reacting to the damage caused by natural
phenomena. The reduction of the vulnerability The NHP is bringing to the disaster man-
levels of production facilities,infrastructure, agement area a decidedly focused approach. It
and human settlements to natural hazard risks is an effort in researching, field-testing and
was frequently not explored. As a consequence, implementing disaster mitigation measures by
the need for massive local and foreign assist- means of integrating appropriate technical
ance for post-disaster relief and reconstruc- information into real technical assistance
tion has increased as ever larger segments of activities. The NHP, recognizing the special
LDC's population - particularly the poor - and role that integrated regional development
ever greater portions of their productive capa- planning plays in LDCs, is attempting to expand
city are affected each year by disasters. While that role in the short term using the resources
disaster prevention is widely recognized as the at hand while collaborating in drawing up an
most efficient and effective means of reducing agenda for intermediate and long term mitiga-
damage and loss of life, mitigation measures tion research and implementation.
have been difficult to implement. Mitigation
implementation ought to be part of development This approach is particularly relevant in
activities and the development planning process post-disaster situations where tremendous pres-
must include natural hazard risk assessment and sures are brought to bear on local, national
mitigation measure identification if signifi- and international agencies to replace, prefer-
cant reductions in the damaged caused by natur- ably on the same site, destroyed facilities.
al phenomena are to be achieved., All too quickly the need for natural hazard and
risk assessment information and its incorpora-
tion into the development planning process
PROJECT DESCRIPTION become evident. In some instances, the
disaster and the resulting reconstruction
The Organization of American States program dictates a reassessment of national or
through its Department of Regional Development regional physical and economic plans and pro-
has undertaken an initiative to incorporate grams as, for example; in Nicaragua. In other
natural hazard risk assessment and mitigation situations, regional and local plans and pro-
measure identification into the integrated grams have to be reformulated to reflect newly
regional development planning process through recognized disaster vulnerability, as in
the "Natural Hazards Risk Assessment and Guatemala, Honduras, Peru, the Paraguay River
Disaster Mitigation Pilot Project in Latin Basin and several Caribbean Islands. In still
America and the Caribbean Basin" (NHP). This other situations, the disaster, as devastating
project is supported by the United States as it might be, is still overshadowed by pre-
Agency for International Development and its existing development problems, as in Mexico
Office of Foreign Disaster Assistance. City.

With the intention of modifying develop- INFORMATION NEEDS
ment activities so that potential disasters can To address the disaster mitigation issue,
be avoided, the NHP seeks to:

240

specific information must be incorporated into C. In Phase II specific mitigation
the various stages of the integrated develop- measures for selected investment pro-
ment planning study, including studies carried jects should be determined as well as
out in a reconstruction context. Needed data vulnerable lifeline network elements
can be grouped in four categories: for disaster preparedness activities.
The presence of hazards should affect
1. Natural Events: As part of the specific site selection, project en-
natural resource investigation, the gineerin8 design and economic feasi-
presence. and effect of natural bility of development investment pro-
phenomena on the goods and services jects.
that natural resources provide must
be determined. d. In the Implementation Phase, the
monitoring of mitigation implemen-
.2. Natural Hazard Assessment:. As part tation and disaster preparedness
of natural resource evaluation, haz- activities provides information for
ard and risk assessment information evaluation of development studies in
qualifies the impact natural events execution and the formulation of hew
can have on possible development development studies and disaster
activities. management activities.
3. Post Disaster Investigations: The information pertaining to these four
following the occurrence of natural stages is presently generated by three princi-
events which result in disasters, be pal networks: international and national,
they . major or not, post-disaster phenomena research and monitoring centers and.
investigations further describe the universities, disaster mangement entities, and.
qualitative and quantitative aspects multisectoral -and sectoral planning agencies
of natural hazards, often supplanting and operational secretaries and ministries.
historical, observations and The source of financial support, staff train-
scientific research. ing, subject areas of responsibility, and the
role in mitigation program implementation of
Lifeline Network Identification and these networks varies greatly from country to
Vulnerability Analysis: Lifeline country, as does their interrelationship. The
networks for production facilities, national situation can be generally character-
infrastructure. networks and support ized, however, as having an emerging disaster
systems to settlements define,those management program, resource constraints in the
critical segments or components ' which area of natural phenomena research and monitor-
should have the lowest damage vulner- ing, and a planning process that is under
ability or which should berecognized tremendous pressure to design and implement
as .,priority elements for rehabilita-, economic development programs in the absence of
tion following a disaster. natural hazard information.

In accordance with these groupings, the.
NHP !has identified key information pieces that @RECOMMENDATIONS
are :required' for. effective mitigation to take
place through the planning process: Based on the experiences to date of the
NHP, particularly those where field testing of
@a. In the Preliminary Mission, informs- natural hazard and risk assessment, mapping,
..tion concerning natural phenomen a, and project formulation methods have taken
the presence or absence of hazards, place, the following recommendations can be
and post-disaster damage evaluation made. They are' divided.into two categories:
of the study area should be col- those with, an institutional focus and those
lected. The presence of hazards will with a technical focus.-
indicate the need for further quali-
tative assessment as it affects A. Institutional Focus:
natural resource management and
economic development potential. 1. Give preference to existing planning
and executing agencies for post-
b. In Phase I an assessment of the risks disaster damage evaluation, risk
that natural -hazards present to the assessment, and reconstruction
study area should be prepared. Exist- projectI formulation and implementa-
ing critical segments or portions of tion rather than establishing new
production facilities, infrastructure agencies. Define the roles and tasks
and settlements' in high risk areas of these agencies as to who coor-
should be identified through examin- dinates, who executes and who
ing risk and lifeline network maps. enforces.
The vulnerability of those segments
or portions should also be deter-
mined. The development strategy is 2. Insist on participation from all
affected by the prese nce of hazards, affected sectors in the above
and hazard.mitigation is a considera- mentioned activities.
tion in the identification of sector-
al development projects.

241

3. Define realistic budgets and ensure
that approved reconstruction projects one another, a difficult task even in non-post-
complement one another. disaster circumstances.
4. Insist that natural hazard risk At a policy level, reconstruction program
assessment and mitigation -measure should strengthen efforts to include disaster
selection are part of the planning prevention as a development policy issue. This
process at the policy, program and is in recognition of the vulnerability of
project levels. existing development activities, development
capital needs, dependency on international
5. When necessary, insist that adequate investments and disaster relief assistance, and
risk assessment and mitigation selec- anticipated increased risk assessment require-
tion technical assistance, including ments from international lending and insurance
personnel training, is made available institutions. At the development program
through reconstruction activities. level, sectoral agencies should examine the
impact of disaster-related damage and repair
6. Ensure that disaster preparedness costs on yearly operating budgets and specific
officials are made aware of the development programs. Besides identifying
vulnerability levels of existing and contingency funds for disaster relief and
proposed economic production, support rehabilitation needs, the identification of
infrastructure and human settlement prevention criteria and their cost, and the
projects. form of implementation should also be
The formulation of reconstruction programs discussed.
following major disasters has had the greatest
impact on national, regional and local develop- At the project level, the appropriate
ment planning processes. The 'degree to which institutions should be encouraged to incluae
these programs have been integrated into exist- mitigation measures as part of project design
ing planning processes varies considerably from and to identify t "hose segments or portions of
country to country and occurrence to occur- their development activities which are most
rence. The most typical response has been the vulnerable to natural hazards so that disaster
creation of a reconstruction planning process preparedness actions may anticipate the loca-
in parallel with existing planning processes. tion, type, and magnitu .de of possible damage.
Reconstruction programs are often supported by The role individual specialists from
major international technical assistance and national technical agencies will play is also
funding programs, and the preference has been
to implement reconstruction programs outside of important. -Additional orientation and training
the mainstream of development activities in the in using existing risk assessment methodologies
hopes of expediting execution and avoiding and proposing. new..areas for investigation are
existing bureaucratic delays. critical to reconstruction 'development pro-
grams. Thus, international technical coopera-
The result of this dual development tion should include a. personnel training
planning approach has often led to sectoral component so that their approach is pragmatic
reconstruction efforts taking place without an and firmly rooted in incorporating natural
assessment of the overall post-disaster situa- hazard and risk assessment information into the
tion of the particular affected area. The natural resource evaluation and project formu-
natural event may have altered substantially lation stages.
the conformation of the natural resource
potential, sometimes by making clearly evident Finally, the information contained in
the natural hazard risk and the vulnerability lifeline maps identifying the critical com-
of pre-disaster development activities. Damage ponents of infrastructural and production
resulting from the event has almost always networks should be shared with sectoral and
necessitated a re-evaluation of existing devel- disaster preparedness agencies to ensure that
opment policies and sectoral projects. In many those responsible for responding to.an emerg-
cases, such policies and projects are no longer ency situation are aware of the relative vul-
appropriate to the needs of the area, nor coin- nerability of each of the networks' Icomponents.
cide with the best use of its natural B. Technical Focus:
resources. Reconstructing damaged production
.facilities, infrastructure' and settlements. 1. Immediately prepare multisectoral
without formulating a comprehensive development damage assessment and reconstruction
strategy based on the post-disaster situation needs inventories and syntheses of
has often led to missed opportunities for in- same.
corporating disaster mitigation measures and
recognizing the influence natural hazard risks 2. Define the precise geographical area
have on development planning decisions. for reconstruction activities and
In preparing policies and programs, real- ..jassign, -priorities-
istic budgets should be drawn up which will 3. Collect all available natural re-
permit execution of an integrated package of source and natural hazard analytical
reconstruction projects. This necessitates information and assess the impact of
appropriating scarce funds among sectors and the disaster on national, regional
programming sectors 11 activities to complement and local development policies, pro-

242

grams and projects. the projects at the prefeasibility stage.

4. Include natural hazard risk assess- In considering rural areas, such studies
ment and mitigation measure informa- may lead to increased investigation of alter-
tion in all sectoral reconstruction native cropping and irrigation patterns, soil
project formulation. conservation and reforestation techniques, farm
to- market road patterns, and new settlement
5. Insist that subsequent scientific loca -tion and existing settlement expansion
research and disaster preparedness programs. These programs may have been iden-
activities are focused on the geo- tified previously as possible development acti-
graphical areas,encompassing priority vities given the natural resource potential and
public and private sector invest- proposed public and private sector programs.
ments. Thus, sectoral development planners such as
water resource, agricultural, transportation
Development planning processes, in gener- and agricultural economic specialists must
al, are more highly evolved and have more in- become aware in the resource evaluation stage
fluence than disaster management processes at that natural hazards may pose constraints to
the present time in Latin America and the certain development activities and that miti-
Caribbean. ...Notwithstanding the risks posed by gation measures will have to be part of overall
natural hazards, national governments continue development project design.
to make decisions concerning major investment
projects with or without appropriate hazard CONCLUSIONS
assessment and mitigation measure information.
Thus, post-disaster studies should recognize To the extent possible scientific investi-
this situation and attempt to make disaster gation, disaster management, and reconstruction
mitigation part of policy, program and project planning activities in integrated regional
issues during reconstruction. development should be focused on the following
areas:
Following a catastrophic event, disaster
management programs usually take the lead in 1. Natural event occurrence and the re-
generating damage assessments and relief need view and synthesis of existing natur-
analysis, supported by sectoral studies for al resource and natural hazard infor-
funding rehabilitation activities. These indi- mation;
vidual investigations can be quite detailed.
But often their usefulness in formulating 2. Increased earthquake, volcano, flood-
reconstruction programs in the context of plain, landslide, and incipient
integrated 'development planning can be limited desertification hazard assessment;
if comprehensive conclusions are not drawn.
Development planning studies must contain a 3. Lifeline network mapping on a sector-
comprehensive view of the impact of the disas- by-sector basis;
ter drawn from sectoral reports in order to
define a precise geographical area for recon- 4. Review and synthesis of existing
struction activities and assign priorities post-disaster damage assessment,
based on modified predisaster needs. including local interviews and-oral
histories;
Post-disaster studies should include
timely multisectoral damage assessments and an 5. Initial lifeline network vulner-
inventory of reconstruction needs. They should ability mapping;
identify areas where no or extremely limited
development activities should take place 6. Review and synthesis of existing
regardless of the natural resource potential. structural and non-structural miti-
Previously available general natural phenomena gation programs, and;
and hazard studies may identify potentially
hazardous areas, but often lack adequate 7. Modification of land capability map-
definition to evaluate existing or proposed ping methodologies to more clearly
development activities. Further study is then manifest natural hazard information.
needed of these areas promising in terms of
natural resource potential and location yet In carrying out these activities, an
potentially disasterousin terms of the threats agenda for further investigation and evaluation
posed by natural hazards. should be created without altering the existing
organizational structure for natural science
In preparing reconstruction projects, investigation and disaster preparedness. By
planning studies should use available non- creating the need and opportunity to generate
structural and structural mitigation techniques this information, these activities forge con-
including land use zoning, performance criter- crete, operational linkages which will produce
ia, building codes, material specifications, results while strengthening the national insti-
and taxation and insurance programs. When tutional structures of all involved agencies.
absent or inappropriate, the planning team
should collaborate in their creation as modi-
fication to fit national, regional and local
needs. The cost of mitigation measures should
also be included in the economic analysis of

243

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Toward an Integration of Post-Disaster Planning into a Broader Planning
Context

Ovsei Gelman
Instituto de Ingenieria, UNAM
Mexico DF, Mexico

INTRODUCTION Continent, namely in Nicaragua, Guatemala, and
Mexico.
A disaster presents a challenge to any
country and a very special one to a developing
one, since it disrupts the normal development THE CONSEQUENCES OF INADEQUATE PLANS
process and demands, very abruptly, a tremendous
effort from the suffering nation. Our recent analysis (Gelman, 1984a) has
shown that the rather inefficient recuperation
Quite early after a disaster, even during process that lacked any plan after the Managua
the initial stage of response devoted basically Earthquake of 1972 resulted in:
to rescue and life saving operations, the
responsible authorities must cope with a wide Delay in restoration of productive
spectrum of serious and crucial tasks. In the activities due to the priority of
midst of the immediate urgencies such as the building and infrastructure
organization of medical attention to injured or reconstruction (i.e., slow maturity
the supply of water and food to survivors (just investments).
to mention a few), they must begin to
rehabilitate basic services as well as establish Shrinkage of private investment due to
a huge enterprise for future restoration. social commotion and disputes between the
different groups of entrepreneurs.
Thus any government and particularly the
unprepared one finds itself very soon in the Incongruity of the imported equipment
recuperation . stage, trying feverishly to with the reconstruction goals and the
improvise its main objectives, to invent its development programs.
basic.,,,policies, and to implement any immediate
actions that are occurring to desperate minds. Inefficient use of reconstruction funds
aggravated by consequent corruption and
Due to the lack of a previously prepared speculation due to an intermediarism
plan as well as to theshortage of time and system that lacked adequate control and.
insufficient experience in the post-disaster supervision.
situation that is aggravated by the need to take
,decisions under very strong and deep Increase of foreign debt with -a very
psychological, socioeconomical, and political unfavorable structure due to the
pressures, it is not surprising that the best commercial conditions attached to the
intentions soon fail. The whole recuperation engaged loans.
process is practically aborted and frequently
reduced to the short scope of damage Loss of confidence with the government
reconstruction merely restricted to corrective and the indignation of a wide and diverse
-actions oriented basically to fulfill just first strata of the population.
and immediate needs.
The Guatemala . recuperation after its
The world experience and particularly-, that earthquake of 1976 also lacked necessary
of Latin America consists of a multitude of planning. This was despite a completely
.1solated. and fragmentary actions directed different pattern that gave total liberty to the
primarily to -reconstruct,the damaged sectors and foreign support agencies which were trying to
,Systems without taking into account their avoid the corruption typical of the centralized
interrelations as well as their roles in and control of Somoza. The role of the government
contributions to global development. As a result was restricted to infrastructure and building
of this widespread and, in a certain sense, usual stock reconstruction. As a result there were
practice, the disastrous effects are amplified many alterations in the social, economic, and
and grow deeper in such a way that they have political life with special impacts on the
certain socioeconomic.effects and may contribute agriculture, tourist, and construction sectors --
to the, political instability of. the affected
the pillars of the national economy. Moreover,
region. the divergence between the recuperation goals as
well as the failure to take into account the long
To prove the validity of this,thesis, it may and medium range needs of national development
...be useful to examine.' some of the main produced serious consequences such as:
consequences of several recent disasters in our

245

- Increase in the foreign technological and
Preparedness that is devoted to the
economic dependency, elaboration of the PERP general outline
such as its fundamental goals,
- Disequilibrium of the human settlements objectives, strategies, policies, and
through the growth of their heterogeneity main programs of action as well as to the
due to the intensification of the preparation of the indispensable
socioeconomic differences, conditional organization, capacitation,
instrumentation, etc., that would be
- Transformation of the social and cultural necessary for its fruitful realization.
patterns in Guatemala due to the
diversity and incompatibility of the Concretization, i.e., the specification
recuperation criteria and, and tailoring of the PERP programmed
activities in accordance with the
- Alteration of the national production and conditions of the disaster and consistent
consumption patterns due to the with the nature and magnitude of the
intervention of the foreign technical and damages.
economic aid.
Adjustment, that seeks to incorporate
into the plan the necessary changes and
A recuperation process had been established adjustments that would emerge during its
in Mexico immediately after the disaster caused execution.
by the eruptions of the volcano Chichonal in
1982. A special Program of Reconstruction was
established ad-hoc which was headed by the Taking into account that the purpose of any
Federal Government. Unfortunately it was plan is to support and help implement a general
suspended at the end of the year when the Mexican management process (Gelman, 1981), 6 PERP has the
President finished his six-year term. goal of providing and sustaining the activities
and programs for reconstructing the affected zone
Meanwhile, pursuing its main goal of and to better the well-being of its population.
relocation of the surviving. population, the To reach its goal, a PERP has to help fulfill the
Program had not taken into account the social and next three objectives:
anthropologic peculiarities of the affected
nucleus of Zoque "costumbrero". As a - To substantiate, design, and organize the
consequence, the recuperation provoked a process reconstruction process.
of disintegration and acculturation of the
mentioned ethnic group due to: - To improve the safety of the affected
zone.
- The aggression it suffered from the alien
culture, To firm up the bases for future normal
and harmonic development of the whole
- The imposition of behavior patterns alien region.
to its customs, and
A rational and efficient use of the
- The physical change in its habitat. available resources could be achieved by pursuing
the four main strategies of a PERP:

Moreover, in spite of its great cost, the Rehabilitation of the basic life-support
recuperation was not linked with state plans and services in order to maintain the minimum
missed a unique opportunity to impel integral levels necessary for survival.
regional development (Gelman, 1983b).
Consolidation of the life-support
One may conclude, based upon these three services to reach the minimum level of
Latin American disasters, with their sorrowful well-being with reasonable and optimal
and dramatic experiences, that a Preliminary expenses.
Elaborated Recuperation Plan (PERP) is needed.
Restoration of the normal functioning of
The rest of this article will present some the region subsistence systems, taking
basic characteristics of the PERP (Gelman,.1984b) advantage of the opportunities and
prepared for Mexico City's Protection and cojunctures due to the relaxation of the
Reestablishment System (SIPROR) in case of restrictions in effect prior to the
Disasters (Gelman, 1978; Gelman,. 1979; Gelman, disaster as well as to the availability
1983). of the new and plentiful financial
resources.

RECUPERATION PLANS Revision of the long range regional plans
in order to incorporate a PERP and. to
The development of a PERP employing the' mesh it with normal development.
conceptual. framework of Interdisciplinary
Disaster Research (Gelman, 1982; Gelman, 1984c)
has to consider three main priorities related to As with any plan, a PERP has to establish
the periods before, during, and after a disaster: certain policies, criteria, and restrictions
crucial to selection and adoption of the recovery

246

actions.. Several of these policies include: here. This paper has elucidated its main
features as well as the reasons why PERPs are
- Maintenance of national sovereignty, needed.
especially political, social, and
economic aspects.
REFERENCES
- Consideration of the socioeconomic and
political contexts of the region as well Gelman, 0. and J.L. Montano. 1978. Planteamiento
as its development goals. General del Diseno e Implantacion de un
Sistema de Proteccion y Testablecimiento de
Active par.ti.cipationof government, the Asentamientos Humanos en Casos de Desastre.
private sector, and the population in the Memorias, IV Congreso de Is Academia
recuperation process. Nacional de Ingenieria. Merida, Yucatan.,
Mexico.
- Guarantees for individual liberties and
social stability. Gelman, 0. and J.L. Rangel. 1979. Los desastres
Vistos Bajo el Enfoque Sistemico. El Diseno
- Assurance of adequate legal foundation de un Sistema de Salvaguarda. Memorias.
for the recuperation process: this Simposio: Los Asentamientos Humanos y la
requires the existence of the pertinent Falla de San Andres. Tijuana, BCN, Mexico.
legislation as well as implementation
mechanisms. Gelman, 0. and G. Negroe. 1981. Papel de la
planeacion en el proceso de conduccion.
- Special attention to the areas and Boletin IMPOS. Instituto Mexicano de
population with scarce resources. Planeacion y Operacion de Sistemas. Ano XI,
61:1-17.
- Improvement of the population well-being
through the recuperation process. Gelman, 0. and S. Macias. 1982. Elaboracion de un
Marco Conceptual Para el Estudio
- Diminution of the consequences and Interdisciplinario de Desastres.
adverse effects that could be produced, Dipartimento di Sociologia dei Disastri.
in the long and medium range, by foreign Instituto di Sociologia Internazionale,
aid. Quaderno 82-6. Italy.

- Honest- and efficient use of resources Gelman, 0. 1983. Mexico City's Protection and Re-
with priority given to the recuperation establishment Measures in Case of Disasters.
of jobs, dwellings, services, and Natural Hazards Research and Applications
immediate productive works. Workshop, CR 83-.2. Boulder, CO.

- Access to soft loans for small and medium Gelman, 0. and S. Macias. 1983a. A general
enterprises as well as the establishment Approach to the Emergency Attention
of economic incentives for quick Planning. Natural Hazards Research and
recuperation.. Applications Workshop, HP 83-15. Boulder,
Co.
- Conservation and respect for the
cultural, social, technological, etc. Gelman, 0. and S. Macias. 1983b. Disaster
patterns of the population. Provoked by the Volcano Chiconal Eruptions:
A Field Study. Natural Hazards Research and
- Linkage andintegration of the PERP with Applications Workshop, CR 83-4. Boulder, CO.
other plans such as the Plan of
Prevention, the Mi-tigation Plan (Gelman, Gelman, 0. 1984. Earthquake Relief in the Context
1984), as well as the Plan of Emergency of Protection and Re-establishment Measures:
Attention (Gelman, 1983a). Mexico City Case. International Symposium on
Earthquake Relief in Less Industrialized
Areas. Zurich, Switzerland.
The above described general goals,
objectives, strategies, and policies constitute Gelman, 0. and A. Teran. 1984a. A Comparative
the basic level of a PERP. At this level it is Study of Post-Disaster Recuperation: The
important to identify, organize, and coordinate Latin America Lessons. Natural Hazards
all the participants of the recuperation process Research and Applications Workshop, RC-4.
as well as to make it compatible and coherent Boulder, CO.
with the General Plan of Regional Development.
Gelman, 0., Teran, A., and S. Macias. 1984b.
Moreover, any PERP has to have another level Highlights of the Mexico City General Post-
in order to foresee and to plan the activities of Disaster Recuperation Plan. Natural Hazards
subsistence systems, life-support services, and Research and Applications Workshop, RC-3.
the different participating agencies, i.e., a Boulder, CO.
PERP has to contain their partial recuperation
plans. Gelman, 0. and S. Macias. 1984c. Toward a
To conclude, the methodology for the PERP at conceptual framework for interdisciplinary
disaster research. Ekistics. The Problems
both of its levels has been briefly described and Science of Human Settlements, 51:309.

247

Collaboration for Mitigation: Combining Hazards Mitigation and
Resources Management Through Coastal Area Planning

John R. Clark
National Park Service
International Affairs
Washington, DC
INTRODUCTION HAZARDS AND NATURAL DEFENSES

A simple and effective way to strengthen Disasters are inevitable in coastal nations.
hazards prevention and mitigation in the coastal They result from cyclonic storm attack, tsunamis,
zone is to join forces with natural resources shore erosion, coastal river flooding, land and
management interests. Taking as an example the mudslides, and soil liquefaction. It is neither
United States coastal zone, hazards loss economically feasible to eliminate the hazards
reduction begins with preservation of coastal (e.g., seawalls), nor in the humanitarian and
landforms that provide natural resistance to wave economic interests of these countries to keep all
attack, flooding, and erosion from hurricanes and individuals out of the hazard zones. Most
storms. These landforms differ significantly on societies have developed social mechanisms to
our various coasts. On parts of the Atlantic and cope with extreme natural events. However,
Gulf coasts, -for example, there are barrier modern development processes increase the level
islands with special features - dunes, beaches, of coastal hazards (Hausner and Sorensen, 1984).
wetlands - that protect coastal inhabitants and
property against moderate storms and absorb some Recent tabulations show the tropical cyclone
of the more violent energy of major storms. to be equal to earthquakes in its annual death
Human activities that remove or degrade toll (34,360 persons/year in the 1970's according
.protective landforms - for instance, by removing to the Swedish Red Cross). Populations continue
beach sand, weakening coral reefs, bulldozing to grow rapidly in countries affected by
dunes, or destroying mangrove swamps - diminish cyclones, increasing the risk of community
the degree of natural protection the coast disturbance and the annual death toll. The
affords (Clark et al, 1980). Philippines, Bangladesh, St. Lucia, and dozens of
other, countries are affected. This risk, and
As experienced planners and managers already that from other hazards could be lessened through
know, the measures best suited to conserving controls on type, density, and location of
ecological resources are often the same as those settlement through initiation of effective CAMP
needed to preserve the natural landforms that programs. Of particular importance in such
serve as barriers to storms and flooding. programs is the maintenance of natural landforms
Accordingly, many communities have found that a that take the brunt of storms and therefore
combined approach to hazards and resource protect lives and community structures.
management simplifies the process of zoning and
permit reviews and leads to more predictable The short-lived but intensive winds of
decisions on what constitutes' acceptable hurricanes and cyclones exert enormous forces on
development. For example, the same setback both natural and built systems. They drive
requirement that protects beachfront homes from before them rising water, known as storm surge,
erosion and storm waves can also preserve turtle which in rare and very intense storms can elevate
nesting sites on the backbeach. Similarly, a normal water levels over 20 feet. A less intense
zoning restriction on development of mangrove storm (such as Hurricane Alicia which struck
swamps can not only conserve an economically Galveston, Texas in 1983 with maximum winds about
valuable resource, but maintain a physical 110 mph) may raise water levels 6 to 12 feet.
defense against storm waves (Clark et al, 1980).
In a final example, a seashore or coral reef park The winds build waves on top of the storm
can protect these natural landforms from both surge which, as they strike the coastline, can
hazards and natural resource perspectives (Salm increase flood elevations by as much as 55
and Clark, 1984). percent over the storm surge. In an open ocean
setting, wave heights of 40 to 60 feet and higher
The administrative approach to *combining have been observed by seamen and operators of
coastal hazards prevention and resource offshore oil rigs; but these wave heights are
management is an integrated, multi-sectoral achieved because of the great depths of water
initiative called Coastal Area Management and beneath them (a 3-foot wave needs at least 4 feet
Planning (CAMP) or Coastal Zone Management (CZM). of water depth beneath it to be sustained; a 6-
There is a well-developed CAMP program in most foot wave needs 8 or 9 feet, and so on), As the
U.S. coastal states through the Coastal Zone waves enter shallow water the sea bottom both
Management Act of 1972 - P.L. 92-583. There is slows the submerged portion of the waves and
also progress in many other countries toward decreases the wave height that can be sustained,
truly integrated CZM programs (Sorensen et al, resulting i-a a "breaking" of the wave (Miller,
1984). 1985).

248

While the wave energy can be quickly taxes. Another pronounced effect is that coastal
dissipated if waves strike the coastline, development attracts additional population to and
beaches, dunes, or vegetation, structures built around the project site, increasing the number of
in the wave zone are subjected to extreme forces. lives and the amount of personal property in
At the boundary of land and sea, beaches and low- jeopardy. For a variety of reasons, the
lying dunes may be scoured to sea, level, and, principal city in most tropical nations is a
depending on the profile of the beach, scoured port. People migrate to these cities for the
sand may be washed overland hundreds.of feet, or jobs which cannot be found inland. For example,
the sand may be deposited seaward, where by development in coastal areas surrounding the Bay
decreasing the water depth it acts to "trip" of Bengal has attracted an enormous additional
waves farther from the shoreline. Moreover, sand population despite the fact that cataclysmic
may be liquefied to a depth of an additional 3 or cyclones and floods have often occurred.
4 feet during the scouring process, eliminating
or greatly reducing the ability of the sand at Dual goals of conserving coastal resources
those depths to bear the weight of structures or and maintaining- nature's hazard protection
provide friction against uplifting or overturning systems can save taxpayers money. Because of the
forces. link between development and disasters, an
important aim of CAMP is to integrate the
-Reefs, beaches and dunes, and mangroves are knowledge of coastal hazards and risks into
among the most important natural defenses against planning for on-going and future development
wave action. Reefs act to "trip" waves which programs and projects. Specific guidelines for
'cannot be sustained,,over their shallow depths. estimating how a project or program affects risk
And, the reach betweenthe reef and the shore is and coastal hazards should be applied to every
frequently too.short to permit waves to build to development proposal to insure that each project
previous heights. Beaches are also efficient does not increase risk and, further, that the
dissipators of wave energy: if the sand is project can be implemented in a way that reduces
deposited seaward, water depth is decreased and existing hazards. Development proposals should
storm waves break farther from shore; if the sand be evaluated for their "cost-effectiveness".
is deposited landward the beach is increased, Hazard assessment should be accomplished through
further reducing the danger of destructive waves. the mechanisms for project review and
environmental impact assessment under CAMP
In this context, dunes are important 'sand (Hausner and Sorensen, 1984).
suppliers. If removed by sand mining or because
of obstruction to ocean views, the risk to
coastal development behind the former dunes is USING CAMP
greatly increased. Similarly, mangroves serve to
dissipate wave energy and to stabilize the land Fully comprehensive CAMP programs target
areas behind them from the erosive forces of natural hazards prevention and mitigation as well
storms@- as- coastal resources conservation (Sorensen,
McCreary, and Hershman, 1984). Some of the
common elements of resource conservation and
DEVELOPMENT MANAGEMENT hazard mitigation include:

International and'domestic disaster- efforts 1. They both require integrated approaches
have quite appropriately been reserved for those @to influence where development is located
who are already the victims of natural disaster. and what type of structures are built at
However, -from a resource management perspective what density..
there must be a concern for potential victims of
future disasters, a matter which has received 2. They both require involvement of many
relatively little attention. In additi:on to levels of government from national to
local effects, disasters are costly-to the entire local, as well as international
nation, to-its region, and to the donor nations cooperation in some instances.
which sponsor relief and recovery programs (many 3.*Th'ey both require preservation . of the
seem to be reaching the limits . of their
generosity). Any approach, such as CAMP, that natural elements that protect coastal
can reduce the effects of future disasters will populations from cyclonic winds and storm
be beneficial to the larger community (Hausner surges, e.g., mangrove forests,
and Sorensen, 1984). dunefields, and coral reefs.
Virtually any development project in a 4. They, both require management of coastal
coastal area is affected by and can have an watersheds and river basins in order to
effect on hazards and risks. There are many reduce flooding.
examples of poorly controlled development that
.has increased potential hazard losses as well as This mutuality suggests that agencies responsible
had a serious negative effect on the value of our for prevention and mitigation of natural hazards
-coastal resources. Demands for retirement and should perhaps be as interested in advancing CAMP
..vacation housing and other@ investments in programs as agencies responsible for resource
waterfront land have been intense. Developers conservation and environmental.protection.
have encouraged and satisfied these demands and,
in so doing, have frequently imposed high capital
and servicing costs on coastal communities.
These costs are felt by the public in higher

249

REFERENCES

Clark, J., J.S. Banta, and J. A. Zinn. 1980.
Coastal Environmental Management, FIA-4.
FEMA, Washington, DC.

Salm, R.V., and J.R. Clark. 1984. Marine and
Coastal Protected Areas: A Guide for
Planners and Managers. IUCN, Gland,
Switzerland.

Sorensen, J.C., S.T. McCreary, and M.J. Hershman.
1984. Institutional Arrangements for
Management of Coastal Resources. R.P.I.,
Columbia, SC.

Hausner, B., and J.C. Sorensen. 1984.
Unpublished materials.

Miller, H. 1985. Unpublished materials.

250

A Model Program for Economic Vulnerabilitv Reduction and Recovery
Ian Davis
Disasters and Settlements Unit
Faculty of Architecture, Planning, and Estate Management
Oxford Po@ytechnic Institute
Oxford, England
INTRODUCTION 4. Possibility of increased dependence on
foreign aid: If a country cannot
Disasters represent more than the loss of internally cope with a disaster, it must
lives and property; they also,represent economic seek international aid. While foreign
hardship on people, on societies, and on assistance can be helpful, it does place
governments. There are measures, however, that additional constraints on the government
governments can take to reduce vulnerability and and may slow efforts to develop self-
ensure that post-disaster programs contribute to sufficiency.
economic recovery as well as physical
rehabilitation. 5. Competition for development funds:
Disaster refl-ef and reconstruction
This paper describes such steps to reduce compete with development projects for
economic vulnerability to major natural hazard available funds. Often a country must
events such as hurricanes, earthquakes, major postpone major development schemes in
flooding, or volcanic eruptions. The steps are order to divert funds to disaster
presented as a model, step-by-step program that recovery. If major disasters occur
could be modified and adopted by national frequently, the overall pace of
planners consistent with their own needs and development may be severely impaired.
preferences.
The economic impact of disasters may be
illustrated by the case of Fiji. In the last
WHY ADOPT A PROGRAM? decade, five hurricanes or floods have struck the
island group. A sizable portion of the national
Reducing a country's economic vulnerability budget has been reallocated after each disaster,
to disasters should be a high priority for all and expenditures for reconstruction have
governments in areas where disasters frequently increased dramatically during this period. There
occur. There are several reasons: has been a corresponding increase in foreign aid,
but only a slight total increase in the amount of
1. Economic impact of a disaster on a money available for both development and
nation's economy: Disast7ers -can sJ-erel7y reconstruction (in terms of real dollars). The
affect the total economic output of a funds available for development have decreased
country and in some cases have caused a because of the amount needed for reconstruction.
decline in the total GNP. In countries
that are highly dependent on one or two Relief operations have also contributed to
crops or economic enterprises, disasters raised expectations regarding the standard of
pose a particularly serious threat to the housing, not only of inhabitants of the disaster-
overall economy. affected areas, but also of inhabitants of the
outer islands and the rural areas of the larger
2. Impact on the balance of trade: A islands. This has required the government to
widespre@a-d disaster can have an immediate expand housing services offered to people
impact on a country's balance of trade, throughout the country to ensure equity for all.
especially if a substantial number of While this might have occurred even without the
housing units are destroyed. Unless a disasters, the disasters have increased
country has the ability to replace losses expectations and the government's burdens.
@from materials within the country, large
quantities of materials and supplies will
have.to be imported. OBJECTIVES OF A VULNERABILITY REDUCTION PROGRAM

3. Impact on the balance of payments: The objectives of an economic vulnerability
Widesprea@d_ disasters ofte-n immediately reduction program should be:
impact a country's balance of payments.
Normally the country will experience a 1. To develop methods to reduce losses.
decline in earnings from foreign
investments and must increase its volume
of borrowing.

251

2. To develop methods to reduce the economic fairly broad and may encompass whole
impact of disasters on: communities or even regions.

a. individuals and families; Within each of the areas at risk, planners
b. small businesses; should then more specifically identify
c. principal economic sectors; communities or portions of communities that
d. a country's overall economy. are threatened, their economies and
principal economic activities. This is
3. To determine the most appropriate uses known as "vulnerability analysis". A
and types of foreign aid. community-that is vulnerable to one type of
disaster may not be vulnerable to others.
4. To determine viable alternative economic Furthermore, not all sectors (e.g., housing,
activities that could reduce losses. agriculture) may be equally at risk. For
example, mountains may protect an area from
5. To identify opportunities created by high winds, but not flooding. Certain types
disasters for redirecting economic of agriculture (e.g., palm trees) may be
activities (e.g., heavy losses to coconut vulnerable to high winds but not to
plantations may provide the impetus to flooding.
change crops or to select other uses for
the land). 2. Estimate the Gross Economic Loss (GEL). The
Gross Economic Loss is the total cost of
6. To identify opportunities created by losses in each economic sector, plus the
disasters for expanding development losses in investments made by both the
program activities. public and private sector (for example, loss
of capital investments, damages to
infrastruture, and loss of raw materials).
STEPS IN PLANNING AN ECONOMIC VULNERABILITY
REDUCTION PROGRAM 3. Estimate the potential Net Economic Loss
The following are a suggested list of (NEL). Net Economic Loss is determined by
activities or steps for developing an economic calculating the total cost of replacing or
vulnerability reduction program. They are rehabilitating damages and losses from the
presented in the sequence in which they should disaster, less the percentage of the GEL
occur with each step building upon the previous that was insured, plus the percentage of the
one. GEL that is non-recoverable, plus the
increased costs of borrowing for
A. Develop an economic loss profile. This reconstruction.
profile can help officials at all levels- of
Determine the overall impact of the NEL. It
government determine what the potential
losses from a disaster will be and provides is necessary to determine the impact of the
the background information needed for NEL in order to determine which sectors
vulnerability reduction priorities in each should receive priority. The impact is
government sector. determined by:
a. Estimating the percentage of loss that
There are five steps in developing. an economic the NEL represents as a percentage of the
loss profile. They are: total output in each sector and as a
1. Conduct a hazard and risk analysis: There total of the Gross National Product
(GNP);
@@r_ethree activities involved. The first is
to identify the threats. Potential for b. Estimat .ing the country's ability to
damage from hurricanes, earthquakes and Iabsorb the losses in each sector and in
floods is fairly easy to recognize and the overall economy;
historic information, as well as data from
international scientific organizations, is c. Determining the impact on economic
usually available. For hazards that occur development. The costs to economic
less frequently (such as volcanic eruptions, development are determined by calculating
tsunamis, and the various man-made threats the cost of diverting development. funds
such as oil spills, -fires, etc.), more to relief, rehabilitation and
detailed research may be required. reconstruction, the costs that accrue
from delays to normal development
Next, determine the degree of probability activitiesi and the additional costs that
that any one of the hazards might affect a result from "accelerated modernization"
particular community. Historic records as (e.g., the replacement of traditional
well as scientific information about housing with more modern and more costly
patterns and recurrence intervals can be buildings).
used to determine the probabilities.
Comparing probabilities, location, and the The impact on economic development may not
always be negative, for disasters often
geographic areas where disasters are likely hasten the demise of a weak or declining
to occur forms the basis for a "risk map". sector. This permits the government to
A risk map is usually prepared for each focus reconstruction resources where they
hazard or threat. Risk areas are usually

252

can help strengthen or start new activities for stimulating recovery may include
that can advance overall development plans. providing "script" to disaster victims to
enable them to purchase materials through
5. Determine the social costs of economic local stores, providing temporary jobs ` for
losses. fh-esocia costs can be determined people to enable them to purchase goods
by: through local markets, and restricting the
distribution of free relief materials that
a. The impact of economic losses on compete unreasonably with goods available in
emploXment: Sectors of concern are local markets and that could be purchased in
normally agriculture, fishing, forestry, stores and markets in the affected area.
small-scale enterprise, and large
industries that provide a substantial B. Establish priorities for vulnerability_
percentage of the jobs in a community. reduction. By reviewing the economic loss
The economic consequences may not all be profile, planners should be able to
completely negative. In urban areas, a establish priorities for vulnerability
"boom economy" may develop in the reduction@ Priorities should be established
aftermath. of a disaster, especially in in each sector (industry, agriculture, small
the construction industry. The boom may business, etc.).
provide a substantial number of jobs for
those who have lost other sources of The establishing of priorities requires
income. consultation with a wide range of groups.
It is important that community leaders in
b. The impact*of relief and reconstruction each sector be consulted and that ministers,
an the society: There are numerous directors, and supervisors of the government
concerns of which planners should be organizations responsible for. both
aware. Among them are: mitigation and response have ample
opportunity to review and comment on the
1) Rising expectations: Relief priorities.
operations often foster the idea that
the standard of living will improve C. Prepare an economic mitigation plan.
in the aftermath of a disaster 'Economic ---mitigation involves examining
through the provision of better existing development plans and either
housing and substantial economic reordering priorities or initiating
assistance. For example, countries activities in sectors that require special
that have attempted to replace attention due to disaster threats. Most
damaged traditional houses with activities can be carried out as part of
modern and more costly prefabricated normal development programs. The steps of
units have often set in motion a economic mitigation planning are:
nationwide expectation and demand for
improved housing for all the people, 1. Identify and study alternatives. The
Planners must- ensure that relief various strategies for mitigating' the
operations do not encourage economic impact of disasters are:
unrealistic expectations that cannot
be met. a. Adjusting normal development program3
to reduce losses. For example 1
2) Disincentive effects of relief on certain varieties of crops that art@
recovery: Often relief operations more wind or flood resistant and that
foster a belief that government and produce higher yields can often bE!
relief agencies will assume introduced in hurricane- or flood-
responsibility for the total economic prone areas. Not only will normal.
welfare of the disaster victims for crops be improved, but disaster
an indefinite period of time. losses can be reduced.
Victims often are led to believe that
if they try to help themselves, it b. Strengthening Lhe capacities of thE
may jeopardize the amount or type of private sector to absorb To*ss@_e_s.'
assistance they will receive. This This is normally- accomplished by
serves as a disincentive and slows encouraging the private sector to
the recovery process, which in turn acquire disaster insurance or by
further increases the total costs of developing stockpiles or reserves of
recovery. important commodities. Both
approaches will enable the private
6. Determine the impact of reconstruction on sector to continue at least limited
the private sector. Relief and operations in the aftermath of a
reconstruction efforts often focus on disaster, as well as stimulate local
providing individuals and families with aid. markets.
Planners should remember that the private
economic sector is also affected. by a c.. Diversifying the economy. In
disaster and by relief operations. It is communities wh@e-re the principal or
important that, to the greatest extent sole source of income is threatened
possible, relief operations should be by disaster, governments should
designed to encourage the economic recovery attempt to diversify the economy and
of local producers, markets, etc. Methods introduce economic activities that

are less vulnerable or not as and/or recovering supplies, materials,
vulnerable to the same types of crops, etc., to reduce the total
disaster. Diversification is percentage of loss. For example, some
extremely important where economies crops may be partially salvageable. The
are based on a single cash crop. It usual problem is finding transport to
will help protect the economy not move the recovered'crops so that they can
only from natural disasters but from be processed or sold. Government
dramatic price fluctuations on the transport networks can' be extremely
internation.almarket. useful for this purpose.
d. Investing strategically. Government 2. Improvement of infrastructure that can
is often able to encourage hejR reduce losses. Certain essential
development away from hazardous areas
by investing or creating Ia favorable services or physical infrastructure can
environment for investment in less be extremely useful in salvage and
vulnerable regions or cormnunities. recovery operations. Efforts should be
made to develop or expand the necessary
e. Developing "disaster resistant" infrastructure or services so that they
economic activities. For example,. can be used in the aftermath of a
handicraft production is relatively disaster.
unaffected by disaster. Efforts 3. Development of stand-by programs for
should be made to identify enterpises
that are less vulnerable and to economic assistance. Four types of
encourage their development. stand-by programs can be developed,
including:
f. Expanding economic opportunities to a. Economic relief programs for
help mitigate losses. Studies have families, e.g.,
shown that savings-and-loan asso-
ciations. COODeratives. credit unions
and other mutual economic loans;
institutions play a key role in grants;
helping people obtain funds in the subsidies;
aftermath of a disaster. Governments material assistance;
should encourage the growth and temporary (or alternative)
development of these institutions in employment;
vulnerable areas. Both savings and loan guarantees.
credit are invaluable assets in
reconstruction and will reduce the In many cases, emergency economic
burden on government. programs for families can be based on
existing programs and require only a
2. Select mitigation strategies and begin change in eligibility criteria and
implement .ation. After reviewing the various the terms or conditions of existing
altenatives and strategies, a formal contracts. When reviewing various
-mitigation plan should be developed. alternatives, planners should be
Government and private sector leaders should careful to select programs and
review the options in a series of meetings structure them so that they will not
and determine the approaches to be used. raise unrealistic expectations,
Once these choices have been made, they increase economic dependency, or
should be incorporated into the normal create disincentives to recovery in
operating and development plans. To ensure other sectors.
that progress has been made, responsibility
for overseeing and coordinating b. Economic relief programs for farmers.
implementation should be assigned to an Farmers require speciali economic
appropriate authority within the government. assistance in the aftermath of
disasters. Programs may include:
D. Develop an economic preparedness plan.
Economic preparedness refers to the develop- loans;
ment of plans and programs to stimulate grants;
economic recovery in the immediate aftermath subsidies;
of a disaster. The actions attempt to material assistance (replacing or
reduce immediate economic hardship on repairing damaged structures);
families and institutions within the loans of equipment;
stricken community, as well as to provide temporary (alternative) employment;
methods for shaping economic recovery. provision of seeds, fertilizers,
pesticides, or chemicais/additives
Several approaches can be used to expand to treat or protect soils.
economic preparedness, including:
(For further discussion of aid to
1. Expansion of a government's ability Lo
farmers, see the. paper, "A Model
assist in salvage and recovery. In the Program to Reduce. Agricultural.
immedia-te aftermath of a disaster, a Vulnerability".)
government should assist in salvaging

254

c. Economic relief programs for small organizations, such as cooperatives.
business s. Small businesses require Governments should develop plans to
Two -types of assistance -- assistance utilize existing organizations for
to reduce or recover losses, and economic. recovery. For example, by
programs to stimulate recovery from providing loan funds to co-ops, the
lost business. cooperative movement can be expanded.
1) Programs to reduce/recover losses: Once various alternatives have been
Economic assistance to help explored, government and private leaders
businessmen replace damaged should meet to select approaches for
merchandise and repair facilities. implementation. When a concensus has been
include: reached, a formal economic preparedness plan
should be adopted. The plan should become a
loans; part of the overall national disaster
grants; preparedness plan and should be periodically
subsidies; reviewed and updated. Participating
loan guarantees; financial organizations should be kept
material aid (for recon- informed of any revisions and encouraged to
-struction -of buildings or develop, on an.ongoing basis, ways in which
facilities). they can participate in the program.

2) Programs to stimulate recovery E. Determine aid requirements. In reviewing
from lost business include: the mitigation and preparedness programs,
planners should determine if foreign
issuing coupons to disaster assistance could be helpful in pre-disaster
victims that can be redeemed or post-disaster phases. Direct assistance
through local stores. Coupons to support specific projects or schemes
can be of two types: script might be obtainable. Furthermore, foreign
redeemable in merchandise. or governments or other institutions might be
coupons that can be used for prepared to enter into standing agreements
partial payment of the normal for support of specific projects as part of
price of specific goods, their overall commitment to disaster
preparedness or response. Mechanisms for
guaranteed credit. In the activating the programs and integrating
immediate aftermath of a foreign aid on a stand-by basis should be
disaster, survivors may have established.
difficulty obtaining funds for
purchasing materials through F. Reprogram foreign aid. Some international
local.stores. A government may aid organizations permit governments to
wish to encourage store owners reprogram normal economic development
to extend credit so survivors assistance to help meet disaster needs. The
can buy needed materials. To requirements of each of the donors should be
facilitate this process, a determined, and plans for reprogramming
government can . guarantee should be developed as a preparedness
survivors credit for the store measure.
owners.
G. Restructure national debts. In the
licensing distributors of aftermath of a disaster, many international
relief aid. As a means of both lending institutions will allow a government
stimulating recovery.and con- to restructure its national debt to permit
trolling prices, the government, greater flexibility in reconstruction. Each
may wish to consider licensing government should determine what the
certain stores to sell disaster requirements are and what additional
relief materials and recon- constraints or costs may be imposed by
struction supplies. The restructuring. if restructuring is
government could provide the desirable, stand-by plans for initiating a
supplies to the stores or request to restructure should be developed
markets at a greatly reduced and the data needed to analyze and process
.price and allow them to sell such a request should be collected on a
the materials at a small routine basis.
profit. This would enable SUMMARY
materials to be distributed at
relatively low cost while at For governments in disaster-prone areas,
the same time allowing the reducing a country's economic vulnerability
small business to obtain funds should be a high priority. Emphasis should be
for recovery. upon integrating vulnerability reduction measures
with normal development programs. Mitigation
4. Establishment of progra--s for encouraging efforts should become part of the planning
institutional development. Participation process, and government officials in all sectors
in economic recovery activities can be a should include disaster preparedness and
strong stimulus to small-scale lending mitigation measures in their day to day
institutions and other economic activities.

255

CHAPTER SIXTEEN
CONCLUSIONS, RECOMMENDATIONS, RESEARCH NEEDS

256

Conclusions, Recommendations, and Research Needs

What conclusions and recommendations for contexts Speck, Platt, Gelman,
strengthening future post-disaster mitigation Cole),
can be gleaned from these many excellent papers
and discussion? What are the research needs? improved exchange of information
'To what extent do the mitigation needs of de- between government agencies,, researchers,
veloping and developed nations differ? educators, consultants, architects
engineers, legislators and others
concerning workable (and unworkable) miti-
OPPORTUNITIES FOR POST-DISASTER MITIGATION gation approaches (e.g., Geis, Schram.)

Not all future hazard losses can, of
course, be predicted or prevented. The costs
of preparedness and mitigation must be compared KEYS TO SUCCESSFUL MITIGATION
with the benefits. As emphasized by speakers
throughout the symposium (e.g., Speck), strong Successful mitigation has two major
political and social pressures to return to the requirements:
status quo as quickly as possible will undoubt-
edly continue. Mitigation must compete, in timely knowledge on the part of those
both pre- and post- disaster contexts, for who make rebuilding and repair decisions
scarce funds and will often lose to higher pri- (hazard area occupants, banks, relief
ority needs. Lack of expertise and limited organizations, builders, government
dissemination of hazard information to agencies) about what to do, and
decision-makers will be a problem -for the
foreseeable future. The tendency of both sufficient short-term and long-term.
pr ivate and public decision-makers to quickly motivation and funding to carry out
forget or minimize hazards and to focus upon mitigation activities.
the immediate, rather than the possible or
inevitable return of a statistically low More specific suggestions for
probability event, will no doubt remain. strengthening post-disaster mitigation offered
by speakers and panelists include the
Despite these problems, the opportunities following:
for cost-effective and "do-able" mitigation in
both developed and developing nations are in- 1. Establish clear goals and commitments
creasing as the result of several factors: to long-term mitigation. Long-term commit-
ments to mitigation are needed since the
improved hazard data base and hazard tendency is to quickly rebuild and return to
evaluation techniques (e.g., Hay, the status quo. (Davis, Thomas, Gelman, Hirsch,
Whetmore) Seyffert, Popkin) Such goals should be estab-
increased "how to do it" information lished by legislatures, agencies and relief
organizations and incorporated into legisla-
on a broad range of mitigation techniques tion, regulations, executive orders, plans,
including Aesign of new buildings,retro- deeds, plats and other legal instruments
fitting of existing buildings (Lash), pertaining to disaster assistance grants,
warning systems (Wright), marking of loans, public reconstruction activities,
areas, relocation (Seyffert), use of building permits, and long-term economic
insurance as an incentive (Thomas), and development and redevelopment programs.
conditioning of grants (Cole),
Equally important, those providing
increased awareness of the problems leadership in a post-disaster context must be
which have hindered or prevented mitiga- familiar with and have an incentive to follow
tion in the past and approaches fo .r over- such goals since most of the political pres-
coming those problems, sures favor return to the status quo. Appoint-
__ increased motivation of governments ment of post disaster mitigation teams with
and financial institutions (public and members having sufficient power and responsi-
private) to encourage and require mitiga- bility to formulate mitigation options and to
tion in both pre- and post-disaster act on behalf of relief and response agencies
can help counter the tendency of public and

257

private agencies to stress short-term relief it is often unrealistic or impossible to keep
(Eisel, Bond, Zensinger). occupants of hazards areas from returning to
their homes and beginning repairs within a few
2. Initiate mitigation "earl:y on". It is days of a minor hazard event and a week or two
necessary to act quickly after a disaster to of a major disasterexcept for severely damaged
assess damages, formulate mitigation options, areas.
educate decision-makers with regard to those 11triage" classification of damaged
actions, and carry out certain implementation A
activities (Zensinger, Thayer). However, not structures to guide decision-making may be
all actions must be undertaken with equal helpful (Brower).
speed. For example, less urgency exists for
permanent relocation of structures than for Evaluation of damage and mitigation
repair of partially damaged structures. potential often requires engineering and
architectural expertise not available at the
3. Adopt temporary moratoria on local level. In the U.S., the federal post
.rebuilding and repair for certain areas or flood disaster teams have proven particularly
.structures. -Often repair and reconstruction useful in providing such expertise and formu-
must be temporarily halted until mitigation lating mitigation options (1-5 days).
plans are complete and necessary resources are (Zensinger, Bond, Eisel).
located for implementation. Government regu-
lations prohibiting repair, rebuilding, and 6. Propose and evaluate specific
reoccupation. are often politically unpopular mitigation options. Successful mitigation
(Thayer) but necessary. Relatively detailed requires the formulation of timely, practical
analyses of hazards and damaged buildings and and attractive mitigation options. What can be
infrastructure can permit the imposition of done with a specific structure to reduce vul-
highly selective moratoria for specific areas nerability? Who will pay? how much? with what
or buildings which should not be rebuilt or time frame? Post flood disaster mitigation
repaired rather than a large area (Brower). teams in the U.S. have proven highly useful in
suggesting options. Engineering consultants
and agency staff trained in retrofitting and
other mitigation approaches have played similar
4. Map hazard zones at scales and degrees roles in other contexts.
of accuracy consistent with implementation Detailed analysis of not only damaged
needs. Broadscale analysis of hazard zones may buildings but those suffering little or no
be sufficient in a predisaster context to guide damage can help guide mitigation planning for
evacuation and disaster assistance activities, future disasters including the identification
especially where such broadscale delineations of buildings which may be used for shelter in
are used only as a presumption of future. future'disasters (Lash, Pace, Ruche, et. al.)
hazards. More detailed delineation of hazards
is necessary for formulating mitigation options 7. Support local government initiatives
and applying particular design standards to in mitigation. Federal agencies, states, and
specific structures and infrastructure. (Hay, private relief organizations play major roles
Whetmore, Seffert, Thayer, Lash). For example, in relief and the immediate post disaster con-
flood velocities, duration, and erosion as well text. But local governments are often princi-
as flood heights must be known if structures pally responsible for long-term land use
are to be adequately retrofitted or rebuilt decision-making and rebuilding. State,
with hazard protection. national, and international relief efforts are
often poorly coordinated with local government
Hazard information must usually must be mitigation initiatives (Rubin, Hirsch, Popkin)
developed quickly if it is to guide repair and @may, in fact, undermine their efforts. For
decisions. It is particularly important to example, relief efforts which facilitate imme-
quickly collect perishable data (Mitchell). diate repair of buildings in high risk areas
may undermine long-term relocation goals for a
Various approaches are available for redevelopment area. The promise of long-term
defining hazard zones and risks within those flood control or other subsidies by a federal
zones including onsite surveys of damage by government agency may undermine local govern-
postdisaster teams (Zensinger, Wright, Bond), ment efforts to encourage or require retrofit-
engineering studies by consultants or agencies ting or relocation.
(Hay, Kochleman), and the use of damage
questionnaires (Alexander). Support for local short and long-term
mitigation efforts may take many forms:
5. Survey damape to structures, involvement of locals in post-disaster teams
facilities, activities. Assessment of the (Bond); putting locals in charge of relief and
nature and degree of damage to structures and recovery (Alexander); working closely with
infrastructure is- needed to guide the adoption locals to discover "what they want" (Hirsch,
of building moratoria and form the basis for Seyffert); training and education (Schramm,,
reoccupation and repair decisions including Torrellva); financial assistance for acquisi-
more detailed mitigation planning for rede- tion (Strong, Thayer); demonstration projects
velopment, relocation, etc. (Brower). (Godshalk); mapping hazard zones (Hay, Thayer);
subsidized insurance and disaster assistance
In some instances such assessments must be conditioned upon mitigation (Thomas, Simeon,
carried out within days of the disaster since Cook); and technical assistance (e.g., Lash,
Pace, Wright).

258

Encouragement and support for local general, private relief organizations such as
government initiatives will do little good, the churches and the Red Cross now focus almost
lowever, unless the local governments them- exclusively upon immediate relief (Popkin).
selves. have some interest in mitigation and are Training and education of these groups with the
willing to "help themselves" (Rubin). Local aim of having them shift some of their emphasis
government initiatives to "help themselves" may and resources to long-term mitigation could
include the formation of local post-disaster help bring the message to local governments and
assessment, teams (Bond), adoption of moratoria disaster victims as well as encourage better
(Thayer), future planning for disasters (Berke, coordination of relief and long-term recovery.
Seyffert, Whetmore), formation of one or more
recovery teams (Brower), marking of hazard Bankers, contractors, developers and
areas (Thayer), acquisition (Hirsch, Seffert, hazard area occupants are also inadequately
Strong), evacuation planning (Griffiths), and involved in post-disaster mitigation planning
building surveys@(Whetmore). (Popkin, Godschalk) although they make most of
the long-term land use decisions. Options for
Encourage private retrofitting of strengthening their roles in mitigation include
partially damaged structures. Most structures their involvement on post-disaster assessment
.in a disaster area are partially damaged, not teams, the formation of redevelopment commit-
destroyed (Whetmore, Lash, Alexander). These tees (Brower, Godschalk), training and educa-
are often quickly repaired with little thought tion (Popkin), incorporation of mitigation
of future damage. conditions in grants and loans, and negotiated
development (Godschalk).
Building surveys should be conducted
quickly after a disaster to classify structures 11. Strengthen training and education for
according to degree of damage and mitigation those making rebuildInR and repair decisions.
possibilities. (Whetmore, Brower, Pace, Training and education of hazard area decision-
Lash). Guidebooks and training should be makers such as bankers, contractors, local
provided to hazard area occupants, engineers, governmental officials and hazard area occu-
architects, and other builders and contractors pants with regard to the nature of risks and
to encourage retrofitting (Lash). Financial what can be done about them are key to long-
incentives are also'needed such as preferential term mitigation (Schramm, Popkin, Godschalk,
insurance rating and disaster. assistance ..Geis). But such training and education is not
specifically earmarked for mitigation. easy since decision-makers are located through-
out a region, not simply in hazard areas; turn-
over is large (particularly among local govern-
9. Define disaster victim and local area ment officials); and decision-makers may have a
needs and- preferences. Earthquakes, floods, low level of interest except immediately after
tornados, etc. cause physical damage but the the disaster.
extent of the "disaster" depends upon the
impact of the event on people (Dyne) and their Suggestions for training and, education'
responses. IThe true nature of this i *mpact.and include the development and widespread
disaster victim needs and preferences in re- dissemination of "how to. do- it" manuals and
sponding to various sorts of damage are unfor- guidebooks on retrofitting and other mitigation
tunately poorly understood in many disaster technique (Lash), the use of demonstration
,relief and recovery contexts. Plans are fitted projects (Godschalk), and marking hazard areas
to' people and not vice versa. This undermines .(Thayer).
long-term mitigation efforts since long-term
mitigation depends. (to a considerable extent) Workshops, short courses, and special semi
upon the motivation of victims, not simply the nars also have considerable potential, particu
desires of agencies. :larly for members of professional organizations
such as architects and engineers and bankers
More attention needs to be placed upon the who deal, over a period of years, with indi-
'Vpolitics" of mitigation (Thayer). To insure vidual projects in hazard areas (Geis), post
their support for long-term mitigation, victims disaster team members (Eisel), and state agency
..must be treated equitably. Government programs personnel who deal on a continuing basis with
need to be carefully explained and reexplained many local governments and hazard area occu-
(Strong). Victims should not be given false pants (Bond).
expectations with regard to disaster assistance
or . long-term mitigation (e.j., a dam) 12. Formulate visionary" mitigation
(Lydstadt). plans. Visionary, multi-objective mitigation
plans based upon a "future image" for a com-
They must be carefully.educated and worked munity sometimes succeed where small plans do
with in formulating mitigation strategies and not (Zinsinger, Hirsch, Rubin). Some of the
options (Seyffert,,Hirsch).... major success stories in mitigation such as
Soldier's Grove, Wisconsin; Baltimore County,
More fully involve the private sector Maryland; and Denver, Colorado have involved
in formulating and helping to implement long- considerable tr vision" and imagination. A
term options '. The help, of private relief well-conceived development and redevelopment
organiza tions, bankers, developers, hazard plan for a community as a whole may tap a wide
area-. occupants and other. "private" sector variety of funding sources (Hirsch, Seyffert),
groups and individuals is needed in promoting and may draw support from groups within the
and implementing longterm mitigation. In community.

259

This is not to suggest that large scale ance programs (Simeon) to encourage mitigation
plans are always necessary or successful or such as a surcharge on repetitively damaged
that plans drafted without careful attention to properties. This surcharge might be waived or
specifics, funding potential, and client groups reduced if mitigation measures were installed.
will succeed.
Other financial incentives for mitigation
13. Formulate "factually sensitive" could include allocation of a portion of
mitigation plans. Successful mitigation ef- disaster relief funds to mitigation (e.g. 20%),
forts have, with little exception, been additional long-term loans and grants specifi-
it opportunistic" with regard to the specific cally earmarked for mitigation, favorable cost--
factual situations. They have rarely been sharing for projects involving mitigation, and
imposed solutions, but rather ones which arose favorable mortgage financing for retrofitted
when practical and do-able alternatives were structures.
identified for specific structures or activi-
ties (Seyffert, Hirsch, Rubin). In other On the other side of the coin, financial
words, the design and deployment of successful disincentives to mitigation should also be
mitigation requires a high degree of sensiti- removed or modified such as flood insurance
vity to specifics and often must be built upon policies which continue to pay whether or not
the desire of hazard occupants to improve their mitigation occurs, federal "bail out" programs
own situations. for flood control, and subsidies for redevelop-
14. Attachment mitigation conditions to ment of floodways as well as barrier islands
(Godschalk, Whilden).
insurance payments, grants, loans and other
forms of disaster assistance. The attachment 16 Implement comprehensive R;e- ter
of mitigation conditions to various forms of prepare;ness and prevention measu es!isas,,An
assistance (Gelman, Davis, Bender) is politi- ounce of prevention is..." (Alexander, Luther,
cally difficult but may be essential for long- Speck, Whetmore, Seffert, etc.). Advance
term implementation of mitigation strategies. mapping of hazard areas, adoption of design
-The conditioning of flood insurance upon adop- guidelines ' for structures in hazard areas,
tion of local floodplain regulations in the deployment of warning systems and other
United States has been very successful in measures to reduce loss of life and prop .erty
encouraging comminities to adopt floodpla@in are most effective when implemented as part of
regulations (Thomas, Platt). Progress had also the original construction..
been made in the U.S. in conditioning both
flood and nonflood disaster assistance upon the It is, of course, moot to argue after a
preparation , of disaster mitigation plans disaster that a prevention program should have
(Zensinger) and in conditioning federal activi- been in place. But the awareness and political
ties and financial assistance for activities in support generated by one disaster may permit
the floodplain with compliance with.the Flood-
-establishment of a broader*mitigation program
plain Management Executive Order (Thomas). On ..'to control new developments retrofit and reduce
the. international scene, some grants and loans vulnerability to buildings and infrastructures
have been .conditioned upon mitigation,(Co6k, over time as well as-repair and rebuild con-
Cole). sistent @with mitigation,guidelines. A disaster
prevention program..also- can.establish many of
However, the use of conditions has not
always worked, particularly where the agency-- the . policies, data base and organizational
attaching the conditions- is not in a position' responsibilities which facilitate mitigation
after a disaster.
to compel long-term compliance (Cook)@ 1To be
successful, conditions must be carefully
tailored to the mitigation objectives, the 17. Pr .evare a post-disa.ster redevelopment .
actual financial,situation, the time frame, and
plan prior to a disaster, ready for implements.
the sponsorship. (Cook) tion when and if a disaster occurs. "Ad hoc
attempts to mitigate future losses after a
15. Provide financial incentives for disaster have been much less success ,ful,than
long-term mWfatth: or remove disincentives. situations- in which redevelopment plans were,
The succ6sV b National Flood Insurance already in place (Rubin). The experiences of
program In' the U.S. promoting in 17,000 commu- Rapid City and Soldiers Grove and other areas
.nities to adopt regulations for future devel-, with prior redevelopment. plans.indicate their
opment is quite phenomenal (Platt, Thomas). value (Hirsch, Whetmore, Seyffert).,,.Having a
However, this program has been largely unBUC--@' plan and policies for redevelopment, deployment.
cessful in encouraging retrofitting for-pav- of warning systems, acquisition or other miti-
tially damaged structures and has'been largely gation matters prior to, a disaster can I guide
unsuccessful in reducing the number of existing
immediate repairs, the adoption of moratoria,
structures at'risk (Thomas, Lash) due (at least and long-term rebuilding. Preparation of such a
in part) to*lack of incentives in the insurance -plan in the pre-disaster period is complicated
rate structure. Some landowners have apparent- by- lack of staff and resources, chaos, and the
ly come to look forward to "flood insurance inability of local officials' to.make compli-
income" from repetitively damaged structures
cated decisions during the stress period.
(Strong).
As desirable as at "pre-post. disaster"
Additional financial incentives or 'dis- development plan may be, it is diffii@ult to
incentives are needed in,this and other _Insur- gain the political support to' r6`4re a
p p

:260

detailed redevelopment plan based solely upon Design standards. In developed nations,
the contingency of a future disaster. But long hazard mitigation design standards for new
range, multi-objective land and water resource construction in areas subject to earthquake,
planning with hazard mitigation as a major wind, and flood hazards are now quite widely
component and scheduled for long-term implemen- available. Few standards have been developed
tation whether or not a disaster occurs can be for privately constructed adobe or other
politically acceptable (e.g., Soldiers Grove, non-engineered structures in developing
Wisconsin). nations.

18. Implement measures to provide long- Building codes and building permit
term landowner and institutional awareness of systems. Developed nations have, in general,
hazards. Landowners and other decision-makers adopted planning, zoning and building codes
often quickly forget or ignore hazards (Thayer) which can be used to control (at least to some
unless reminded on a continuing basis. Possi- extent) the location of structures and their
bilities for improving long-term awareness design. Developing nations have rarely adopted
include putting signs in hazard areas; con- such codes except for larger cities.
struction of monuments; indicating high water
marks (for flooding) on trees, public buildings Construction materials. Steel and con-
and telephone poles; including descriptions of crete are widely used in developed nations.
hazards in deed restrictions and notations, and Adobe, wood, and other local materials are more
plat restrictions and notations; incorporation common in developing nations.
of hazard maps into zoning maps; and the condi-
tioning of mortgates and other forms of long- Engineered versus nonengineered struc-
term financial assistance upon the purchase of tures. Larger commercial, industrial and
hazard insurance or other mitigation measures. residential structures in developed nations are
constructed with plans prepared by architects
19. Incorporate hazard mitigation into and engineers. Single family residences and
long-term comRrehensive and multisectoral smaller commercial structures in developing
planning. Hazard mitigation should be incor- nations are often built by landowners or local
porated in long-term economic development, artisans without the benefit of engineering or
housing, infrastructure and other types of architectural help.
planning. (Luther, Berke, Brower, Bender,
Gelman, Davis). In developing nations much of Landowner and builder literacy. In
the development is planned and financed through developed nations, most landowners, craftsmen,
such programs. Considerable engineering, and builders can read hazard warnings, con-
architectural and other forms of expertise of struction standards, etc. Literacy is less
the sort not typically available on an indi- common in developing nations and poses special
vidual small project basis can be brought to problems for the use of maps, codes, etc.
bear in such planning efforts. Large scale
development programs for infrastructure, Hazard maps. Most developed nations have,
economic development and housing often offer to some extent, mapped hazard areas. In some
opportunities for mitigation also not available instances this mapping has involved a statis-
on a building by building basis. tical analysis of the hazard probability (e.g.,
the 100 year flood). Few systematic hazard
maps are available for developing nations
although general records of flooding, earth-
quakes and other disasters may be available.
DEVELOPED AND DEVELOPING NATION NEEDS
Land ownership. Statutory survey and land
To what extent do these suggestions for title systems have been adopted in developed
strengthening post disaster mitigation differ nations. Ownership and boundaries are often
for developed and developing nations? Speakers less clear in developing nations, complicating
repeatedly emphasized that mitigation policies the application of building codes and reloca-
and techniques must be modified to reflect ac- tion schemes and the construction of hazard
tual conditions whether in developed or deve- reduction measures such as dams.
loping nations (e.g., Seyffert, Whetmore). See
Appendix B of this report. Careful tailoring Communication. In developed nations,
is needed of techniques and approaches to the hazard warnings and information concerning
cultural context (Dyne), available funding, post-disaster mitigation measures may be com-
local materials, expertise and other factors. municated to threatened areas and indiviuals
Nevertheless the overall 'framework needed for through television, radio, and telephone. Com-
mitigation -- clear policies, hazard maps and munication systems are less effective in deve-
data, post-disaster surveys, guidelines for loping nations although widespread electrifi-
reconstruction, incentives, education cation and broadened radio and television
appears much the same. networks have improved the situation.

Available disaster funds. Larger sums are
Differences available for disaster prevention and response
including the repair of buildings in developed
Some differences between developing and nations . This facilitates the construction of
developed nations include: "structural" hazard reduction measures such as
dikes and dams in a post-disaster context. Less

261

expensive approaches and more care in setting losses may be more easily absorbed by victims
priorities is needed in developing nations. in developed nations but such victims also have
more to lose. It is not clear that the loss
Foreign aid. Large amounts of foreign aid suffered by a homeowner of an adobe structure
are rarely needed or sought by developed worth $800 (a year's income) is more serious
nations. In contrast, developing nations often than that of a homeowner in a developed nation
seek or are offered large amounts of technical with a structure worth $40,000 (a year's
assistance, food, blankets, and temporary hous- income) although the developed nation homeowner
ing, grants, etc. This aid may or may not be may find financing more easily.
linked to the actual needs of the disaster
victims. ... Victim needs in both developed and
developing nations include the following:
Insurance. Disaster victims in developed
nations are often partially or wholly insured. (a) Need for food and water. Obtaining
Insurance is less common in developing nations. basic sustenance both immediately after
and the longer term is more of a problem
Local coping mechanisms@ In developing in developing nations.
nations, disaster victims rely more upon
family, neighborhood, friends, and other local (b) Need for immediate shelter, clothing,
coping mechanisms. In developed nations the blankets. Again, meeting this need may be
national government, other governments, insur- a more serious problem in a developing
ance, and other mechanisms play larger roles. nation.
Available expertise. In developed nations, (c) Desire to rebuild or reestablish a
large numbers of architects, engineers, plan- "home" as soon as possible. This seems
hers and other experts are often available for universal.
hazard mitigation planning or rebuilding. Much
smaller numbers are available in developing (d) Concern for well-being of family and
nations. friends. This is universal.

Liability. In developed nations the (e) Desire to be in familiar surroundings
threat of law suits by disaster victims claim- and with friends and neighbors as soon as
ing that government failed to provide adequate possible. This is universal.
warnings, construct adequate hazard mitigation
measures, or otherwise prevent or mitigate (f) Desire for a job or income as soon as
hazards is a major stimulus (and/or) limitation possible to provide funds for day-to-day
upon government action. Government liability requirements to replace lost personal
is a less serious problem in developing items, - and to permit repair and
nations. rebuilding. This may be a higher priority
in a developing nation without a long-term
Accountability for funds. Charges that welfare or relief system.
disaster relief funds find their way into pri-
vate pockets is more common for developing (g) Desire for fair and even-handed
nations although misallocation of funds is treatment by governmental officials and
sometimes a complaint elsewhere. relief organizations so that one group
does not disproportionately benefit from
Impact of the disaster and disaster aid on relief and rebuilding. This is universal.
the local economy. Disasters such as floods or
volcanoes which destroy.crops may cause famine Hazard Characteristics. Despite differ-
in developing nations highly dependent upon ences based upon climate, topography and other
local food sources. In contrast, famine is factors, a flood is a flood. The overall char-
rarely a problem in developed nations. The acteristics of the physical phenomenon and
impact of disaster aid also differs. Disaster sorts of damages caused to similar structures,
aid such as food. in developing nations may infrastructure, crops, etc. are pretty much the
suppress local agricultural activities while same world-wide. Because the physical pheno-
such aid rarely has much impact on food menon are the same, the prediction techniques,
production in a developed nation where food is mapping techniques, and mitigation needs and
marketed nationally. options are also pretty much the same, although
materials costs, levels of expertise and avail-
able finances differ.
Similarities
Options for Mitigating Losses. Overall
Despite the differences, and they are options to reduce hazard losses are much the
significant, there are also many similarities same although specific designs, building
in hazard mitigation needs between developed and materials, available expertise, and methods for
developing nations: construction differ. For example, several
major options are available to reduce flood
Victims needs. In some respects, disaster damages world-wide: mapping and warnings;
victim needs are similar world-wide. Is the relocation outside of the floodplain; elevation
-pain and suffering caused by loss or injury of on fill, pilings, etc.; structural floodproof-
a loved one or friend any different in a ing; or hazard reduction (e.g., dams). The
developed or a developing nation? Economic engineering and architectural design formulas

262

for stress and loading are universally as incorporated into more formal regulations
applicable although materials differ. and design manuals.

Structural (engineering) measures to 3. Damages and miti.Ration measures for
reduce hazards are similar world-wide. Flood multiple loss structures. Further study is
hazards can be reduced through dams, dikes, needed of mitigation needs for multiple loss
levees, sea walls, channelization. The options structures, investigation of types of damage
are limited. Earthquakes cannot be reduced, and magnitude of damage suffered by such
although damage from them can be., Landslides, structures over time, and the preparation of
mudflows and mudslides can be reduced through retrofitting and relocation criteria (Lash, et
debris basins and dewatering of formations. al.). What sorts of damages do multiple loss
The technical design requirements are pretty structures typically suffer? What mitigation
much the same country to country although measures might be practical for such structures
materials and construction practices again and in what circumstances?
differ.
4. The evaluation of U.S. post-disaster
Problems - With Post-Disaster Mitigation. mitigation teams and their possible applica-
Problems with or impediments to post disaster bility to other nations. The U.S. Federal post
mitigation noted in Chapter 1 above are also flood disaster teams should be studied to
-quite similar. -Some progresshas been made in determine how they can be made more effective
both developed and,developing nations in reduc- with regard to the formulation and implements-
ing vulnerability in reconstruction after tion of mitigation options (Platt, Eisel,
disaster through relocation, upgraded building Bond). Are state and local interests adequate-
standards or other techniques. But effective ly represented? The possible applicability of
post-disaster mitigation ;is still uncommon in the U.S. experience to other types of disasters
both developed and developing nations. and to other nations should also be examined.

In summary,. then, the overall policy, 5. Guidelines for mitigating losses to
legal and economic framework and approach for internationally financed projects. Studies
'hazard mitigation in similar in developed and should be carried out to determine the rate of
developing nations. The required technical actual losses for major development projects
analyses are also quite similar. The specifics financed by international loans and grants and
of implementation with -regard to funding to establish improved guidelines for reducing
levels, training and education and losses to projects (Bender, Davis, Cole).
dissemination of information differ.
6. Impact of relief, insurance and other
assistance and subsidies on local leadership,
RESEARCH NEEDS coping mechanisms, retrofittinp, and long-term
mitigation. Research should be carried out on
Most post-disast6r''-tesearch to date has the impact of various types of relief efforts
focused on response, not the effectiveness of on local leadership, local support mechanisms,
various mitigation measures including those for retrofitting and long-term recovery (Rubin,
only partially damaged structures. Priority 'Berke, et. al.). It should examine and suggest
research needs include alternative approaches for national and inter-
national relief agencies to help support rather
1. Goal-oriented and specific post- than undermine local leadership and to
disaster assessments. More careful, goal- encourage long-term mitigation.
oriented post-disaster assessments are needed
to better determine the effectiveness of.vari- 7. Mitigation guidelines for long-term,
ous mitigation approaches, the nature of multi-obiective, economic planning. Research
damages, victim needs, accuracy of maps and should be carried out to help establish guide-
,hazard prediction models, and the effective- lines for incorporating hazard mitigation mea-
.ness of public education and information trans- sures into long-term economic planning for
.fer approaches. Much of this research should agriculture, forestry, recreation, industry,
be carried out quickly after a disaster but and other activities (Bender, Gelman, Davis,
@follow-up studies 3, 5, 10 years afterwards are Brower). Cost-benefit studies with regard to
also needed. Research should be goal and mitigation techniques should be one component.
@hypothesis-oriented, and must be carried out by
experts (Mitchell, et. al.).
8. Techniques for promoting long-term
awareness of hazards. Research should be con-
2. Guidelines for retrofitting damaged ducted into the effectiveness of various tech-
buildings. Additional research is needed to niques for promoting long-term awareness of
Aevelop building and retrofitting guidelines. hazards by the occupants of hazard areas,
.(Lash, Pace, et. al.) These guidelines should planners, government officials, etc. What
apply to partially damaged structures and for techniques such as marking areas, zoning, deed
retrofitting in advance' of disasters in restrictions, workshops work best to establish
-earthquake, flood, 'mudslide and other'natu'ral long-term awareness? At what cost?
hazard areas. Guidelines should be prepared for
both engineered and nonengineered structures. 9. Calibration of hazard prediction
After preparation, guidelines should be dis--; models. Post-disaster studies should be
seminated in simple "how to do" manuals as well carried out to help calibrate various models

263

and mapping approaches for floods, mudflows,
landslides, avalanches, and earthquakes. 14. Legal/institutional mechanisms for
Actual hazard events should be compared with financing and promoting self-help. Legal re-
predictions to suggest weaknesses in existing search and institutional studies should be
approaches and help refine them for application carried out to analyze alternatives and suggest
in various conditions. specific legislative options for self-help by
hazard area occupants or communities in financ-
10. Improved mitigation planning. The ing recovery and long-term mitigation through
various phases and types of mitigation planning bonding mechanisms, creation of special taxing
now underway should be examined and compared to districts (e.g. levee districts) or creating
suggest a satisfactory sequence of planning rehabilitation districts.
prior to and after disasters and an adequate
hierarchy of planning involving the private 15. Identification of areas or activities
sector, local governments, the states or in developing and developed nations needing
provinces and national governments (Zensinger, similar mitigation strategies. Further efforts
Gelman, Davis, Berke, et. al.). Such a study should be made to identify similarities and
should consider the interrelationships between differences in developing and developed nation
the following: hazard mitigation efforts and to suggest mech-
anisms for improved coordination and coopera-
predisaster planning of both a tion where there are similarities. For
general nature and specifically for example:
rebuilding after the next disaster,
Developing nations and rural states
formulation of post-disaster may share similar mitigation needs
mitigation options by post-disaster due to limited resources, limited
mitigation teams, financial expertise and an agrarian
economy. Could guidebooks be pre-
post-disaster mitigation planning by pared which would be of use to both
states and communities after a groups? How could they better share
disaster, pursuant to section 404 information?
(the U.S.), and
Large cities in developing and devel-
longer term infrastructure, economic oped nations have much in common
development, housing and other plann- including high land values, building
ing. code systems and considerable engin-
eering: and architectural expertise.
11. Establishing priorities for mitiga How could information on hazard miti-
tion activities. Given limited funds and gation approaches including their
manpower, what approaches should be taken by effectiveness (e.g., performance of
developing nations, local governments, private. earthquake resistant design in the
industries, etc. to mitigate future losses Mexican earthquake) be better shared?
including selection of priority communities and
areas, selection among various mitigation Island nations and larger coastal
techniques, etc.? islands in developed countries may
have much in common including evacu-
12. Quantification of costs and bene- ation problems during a meteorologic
fits. Further study is needed to quantify the disaster, large scale flood problems,
costs and benefits of mitigation measures. water supply problems after a disas-
What losses will likely result to particular ter, and tourism as a principal
activities conducted in areas with particular industry. Could special guidebooks
levels of risk? What are the costs, benefits serve both types of areas?
(loss- reduction attributes) of various
mitigation techniques for these areas? A Arid and - semiarid regions in
careful analysis of disaster losses in various developed and *developing nations
identified (quantified) hazard zones is needed share similar problems and needs
to provide this information. including flash flooding due to the
lack of vegetation', mudslide and
13. Low cost methods for risk assess-- mudflow problems, desertification,
ment. The effectiveness of alternative etc. What sorts of common research
approaches for predicting and mapping hazards and information transfer might be
(e.g. use of satellite imagery) in various appropriate here?
management contexts should be investigated. Are
low cost methods for mapping risk areas includ-
ing mudslide, earthquake, flood, or other haz-
ards of any value in regulation, acquisition,
warning? What degrees of accuracy are needed
for what techniques? How can inaccuracies be
best dealt with through data gathering on a
.case-by-case basis as development proposals are
submitted? other approaches?

264

Appendix,

265

Appendix A

Speakers, Moderators, and Panelists

Prof. David Alexander Dr. William Brown
Morill Science Center U.S. Geological Survey
University of Massachusetts 345 Middlefield Road
Amherst, MA Mail Stop 22
413/545-2095 Menlo Park, CA 94025
415/856-7112
Dr. William A. Anderson
National Science Foundation Errol Chase
1800 G. Street, N.W. Room 321
Washington, D.C. 20550 Ministry of Legal Affairs
202/357-9780 Marine House
Hastings CH. CH.
Osca DeLasse Avellana Barbados, West Indies
Secretario de Gobernacion 809/427-8714
Buca del 99 2nd Piso
Mexico, D.F. C.P. 06699 John R. Clark
P.O. Box 99
Stephen Bender Hollywood, MD 20636
Organization of American States 202/343-7048
1889 F Street, N.W., Room 350B
Washington, D.C. 20006 Frederick M. Cole
202/789-3005 U.S. Office of Foreign Disaster Assistance
Agency for International Development
Prof. Phillip R. Berke Department of State
College of Architecture & Environmental Design Washington, D.C. 20523
Texas A&M University 202/647-8746
College Station, Texas 77843-3137
409/845-2946 Carl Cook
Federal Emergency Management Agency
Martha Blair Region X, Federal Regional Center
Spangle and Associates 130 228th Street, S.W.
3240 Alpine Road Bothell, WA 98021-9796
Portola Valley, CA 94025 206/483-7285
415/854-6GO1
Prof. Ian Davis
Teddy Boen Oxford Polytechnic Institute, England
Kompleks B.D.N. Disasters and Settlements Unit
Jalan Faculty of Architecture, Planning and
Letjen. S. Parman 0.12 Slipi Estate Management
Jakarta, Indonesia Headington, Oxford, England OX30BP
0865/64777
Leslie A. Bond
Association of State Floodplain Managers Prof. Russel Dynes
Dept. of Water Resources Disaster Research Center
Department of Water Resources University of Deleware
99 E. Virginia Avenue Newark, Delaware 19716
Phoenix, AZ 85004 302/451-6618
602/255-1566
Dr. Leo Eisel
Prof. David J. Brower Wright Water Engineers
University of North Carolina @2420 Alcott Street
Hickerson House 067A Denver, CO 80211
Chapel Hill, NC 27514 303/480-1700
919/962-3074

266

Ralph M. Field Thomas Hirsch
Ralph M. Field Associates, Inc. Wisc. Dept. of Health and
68 Church Lane , Social Services
Westport, CT 06880 1 West Wilson Street, Room 314
203/227-7979 P.O. Box 7851
Madison, Wisconsin 63707
Prof. Raymond R. Fox 608/266-7797
George Washington University
Washington, D.C. 20052 William C. Holliday
202/676-6915 Planning Division
U.S. Army Corps of Engineers
Dr. Neil Frank 20 Massachusetts Avenue, N.W.
National Hurricane Center Washington, D.C. 20314
1320 South Dixie Highway
Coral Gables, FL 33146 Prof. James Huffman
305/666-4612 Lewis and Clark Law School
10015 S.W. Terwillinger Blvd.
Donald E. Geis Portland, OR 92719
The American Institute of Architects 503/244-1181
Foundation
1735 New York Avenue, N.W. Rebecca Hughes
Washington, D.C. 20006 Department of Natural Resources
202/626-7409 Tawes State Office Building
Annapolis, MD 21401
Dr. Ovsei Gelman 301/269-3825
Instituto de Ingenieria, UNAM
Apdo. 70-472, Coyoacan, 04510 Chris Jones
Mexico, D.F., Mexico 05410 University of Florida
336 Weil Hall
Prof. H.H. Givin Gainesville, FL 32611
University of Southern California 904/392-2460
2649 Vistosa Place
Calsbad, CA 92008 Zhad Kej:'Lng
Ministry of Water Resources
Prof. David R. Godschalk P.O. Box 2906
University of North Carolina Beijing, China
Hickerson House 067A
Chapel Hill, NC 27514 Prof. Fred Krimgold
919/962-3893 Virginia Polytechnic Institute
Alexandria Center
Prof. Tom Goemans 101 N. Columbus Street
SIBAS Alexandria, VA 22314
Postbus 177 703/548-0099
2600 MH Delft
Netherlands Richard W. Krimm
015/567398 or 015/569353 Federal Emergency Management Agency
SLPD-NT
Porter Goss 500 C Street, S.W.
3849 Golf Drive Washington, D.C. 20472
Sanibel, Florida 202/646-2871
813/472-2234
Dr. Jon Kusler
David Griffths Box 528
Research Alternatives, Inc. Chester, VT 05143
966 Hungerford Drive, Suite 31 802/875-3897
Rockville, MD 20850
301/424-2803 Doug Lash
Federal Emergency Management Agency
Prof. Eve Grundfest 500 C Street, S.W.
University of-Colorado-Colorado Springs Washington, D.C. 20472
Austin Bluffs Parkway 202/287-0192
P.O. Box 7150
Colorado Springs, CO 80933-7150 Scott Luther
303/593-3513 Instituteo Dominicano de Desarollo Integral,
Dominican Republic
Richard Hamann, Esq. Apartado 22282
University of Florida Santo Domingo
Holland Hall Center Dominican Republic
Gainesville, FL 32611 809/682-6120
904/30-2237

267

Dr. Mary Lystad Prof. Rutherford H. Platt
National Institute of Mental Health University of Massachusetts
5600 Fishers Lane Department of Geography/Geology
Rockville, MD 20857 Amherst, MA 01003
301/443-1910 413/545-2296

Franklin McDonald Roy Popkin
Office of Disaster Preparedness Popkin Associates Consultants
Prime Minister's Office 2111 Hanover Street
2A Devon Road Silver Springs, MD 20910
Kingston 10 Jamaica 301/587-5079
809/929-7251
Olga Marinenko Dr. Clair B. Rubin
Office of International Geology Gelman Library,.Room 714
George Washington University
U.S. Geological Survey Washington, D.C. 20052
917 National Center 202/676-7386
Reston, VA 22092
703/860-6551 Prof. Carlton Ruch
Nina Avramidou Miao Texas A&M University
Research Division
Dipartimento De Processi e Metodi College of Architecture and
.de Is Produzione Edilizia Environmental Design
University of Florence College Station, TX 77843
Via Cavour 82 409/845-3061
50142 Florence, Italy
283580 John Schiebel, Esq.
Federal Emergency Management Agency
Crane Miller, Esq. 500 C Street, S.W.
Consultant, American Bar Association Washington, D.C. 20472
3401 Lowell Street, N.W. 202/287-0387
Washington, D.C. 20016
202/966-0686 Prof. Donald Schramm
University of Wisconsin Disaster Management Institute
Prof. James Kenneth Mitchell Department of Engineering and Applied Science
Rutgers University 432 N. Lake Street
Department of Geography Madison, Wisconsin 53706
School of Urban and Regional Policy 608/262-2061
New Brunswick, NJ 08903
201/932-4103 Alicia Susana Schupak
Cabinet Advisor
James Murley Secretariat of Housing of Environment
State of Florida Ministery of Health and Social Action
Department of Community Affairs Buenos Aires, Argentina
1720 South Gadsen Street
Tallahassee, FL 32301 John D. Seyffert
904/488-2356 Maryland Environmental Services
2020 Industrial Drive
Boris Oxman Annapolis, MD 21401
Departamento De Recursos Naturales 301/269-3281
Venus 32, Atlantic View
Santurco, Puerto Rico 00913 Paul Simeon
809/726-2888 15, Square Max-Humans
7571 Paris Cedex 15
Dr. Carl Pace France 331-320-1410
U.S. Army Engineer Waterways Experiment Station
Structures Laboratory Dr. James E. Slossen
P.O. Box 631 Slossen and Associates,
Vicksburg, MS 14046 Oxnard Street
601/634-3221 Van Nuys, CA 91403
ProIf. Dennis J. Parker 818/787-4555
Flood Hazard Research Center, England Samuel Speck
Queensway Director, State and Local Programs
Enfield U.S. Federal Emergency Mgmt. Agency
Middlesex EN3 45F Washington, D.C.
England 202/646-3692
01-804-8131

268

Temo Stewart
Director, Office of Housing and
Rural Development
Ministry of Rural Development
P.O. Box 2219.
Government Buildings
Suva, Fiji

Randall B. Strong, Esq.
City Attorney
P.O. Box 424
Baytown, TX 77522
713/482-8281

Alan Swan
U.S. Agency for International
Development
Washington, D.C. 26523
202/647-8746

Nona Thayer
1827 Michael Lane
Ft. Collins, CO 80526
303/482-7932

Dr. Frank Thomas
Federal Emergency Management Agency
500 C Street, S.W.
Washington, D.C. 20472
202/646-2717

Prof. Tolles
Intertect
2541 Folsom Street
San Francisco, CA 94110
415/821@7924

Daniel'Torrealva
Pontificia Universidad Catolica del Peru
DPTO Ingenieria
Apartado Postal 12543
Lima, Peru

French Wetmore
Association of State Floodplain Managers
300 North State, Room 1010
Chicago, IL 60610
312/793-3864

Mary Ellen Williams
U.S. Geological Survey
Office of International Geology
917 National Center
Reston, VA 22092
703/860-6551

Stewart Wright
Susquehanna River Basin Commission
1721 N. Front Street
Harrisburg, PA i7102
717/238-0422

Larry Zensinger
Federal Emergen6y Management Agency
500 C Street
Washington, D.d@ 2W2

269:

Appendix B

Elements of a Post- Disaster Mitigation Statute or Policy ...

ion Kusler, Esq

What provisions should be contained in a Major@ differences developing and'
statute or regulation designed to provide a developed nations will occur:in the implements-
satisfactory . administrative framework for tion, but not, necessarily--in- the-, statutory
post-disastei mitigation? The following framework. For example, . inadeveloping-nation
recommendations are distilled from, speaker with limited resources, more emphasis might be
presentations and discussion in the symposium. @placed upon
An overall statutory framework is first
presented and then more detail is suggested for prioritizing hazard a:reas . for
individual elements. However, there is. no mapping, adoption of cod6s,' etc. It
attempt to provide actual statutory language. may be unrealistic 'to embark on a
These elements could be incorporated into local nationwide program;
ordinances, administrative regulations, or
agency policies as well as a statute., The identifying and supporting local
elements are grouped into, major.and somewhat (neighborhood) and family "coping"
overlapping categories. mechanisms;

coordinating international disaster
THE FRAMEWORK relief (e.g. food supplies) with the@
needs of the local economy;
A statute establishing a post-disaster
mitigation program for either a developed or developing codes and educational
developing nation should materials: for nonengineered
.--structures and the onsite training of
Establish cleat statutory goals for craftsmen and local builders-
short-term . and long-term post-
.,disaster mitigation for all agencies implementing 11nonstructural
and . organizations involved with approaches" for loss reduction such
predisaster preparedness and post- as building standards rather than
disaster relief, repair and, long-term expensive hazard reduction measures
recovery; such as dikes, dams, debris basins,
etc.;
Authorize an agency or agncies to
coordinate relief and post@disaster creatingdemonstration projects.
mitigation;
Authorize. an agency or agencies to A statute can, at best, establish a
commitment to and framework for strengthening'
adopt moratoria on rebuilding and post-disaster -mitigation. The success- of
repairs. mitigation will depend upon appropriation of
necessary financial resources, the commitment
Authorize an agency or agencies to and expertise of the-administering agency, and
conduct immediate post-disaster the - cooperation of disaster victims who
assessment of hazard zones, damages ultimately determine the content of most -post-
and mitigation options;
disaster reconstruction decisions.

Authorize an agency or agencies to
establish guidelines for redevel- STATUTORY ELEMENTS
opment, retrofitting, relocation;

Authorize an agency or agencies to individual elements may include the
S
sist landowners and others in following:
short-term mitijzation;
Statutory Goals
Promote long-term rebuilding and
economic development consistent with
itigation goals. A statute for either a developed or
mi developing nation should establish clear goals
to guide agencies, local governments, and
relief organizations, in pre-disaster planning

270

and post-disaster response and counter some of
the pressure to quickly return to the status the field to delineate hazard areas,
quo. These goals should: assess the severity of hazards within
the areas; assess damages to struc-
promote and (in some instances) ture and infrastructure; and identify
require mitigation measures in mitigation options (see discussion
sho:rt-term and long-term r ebuilding, Ibelow);
:@ ir, recovery and economic
Tepa, coordinate and condition immediate
development to reduce future losses
including loss of life, economic government loans and grants to
losses, disruption of the economy; encourage short-term and long-term
post-disaster mitigation.
establish clear lines of responsi-
bility for pre-disaster mitigation Adopt Moratoria on
and post-disaster response including
designation of a lead agency with Rebuilding and Repairs
sufficient power and expertise to
insure that a mitigation perspective
will in fact be incorporated in the The lead agency, responsibl ie for post-
.-actions of -all relief and recovery disaster mitigation (civil defense, natural
agencies; resource, planning, finance, etc.) or another
cooperating agency.should be authorized to
coordinate disaster relief and
recovery with local economic needs to adopt a moratorium or moratoria on
create jobs for victims as soon as repair and rebuilding until the
possible and encourage maximum use of primary assessment of hazards and
local materials in the recovery mitigation options is complete. Such
process; moratoria may be of varying length,
depending upon the severity of the
encourage and @support local "coping damage to structures, the preliminary
mechanisms" and local leadership in assessment of mitigation options and
predisaster planning and other factors.
post-disaster response.

Conduct Immediate Post-Disaster Assessment
Coordination of Relief and
of Hazard Zones, Damages, Mitigation Options
Post-Disaster Mitigation

reduce victim uncertainties and provide
The statute should direct the agency or the basis for long-term mitigation, a lead
a
gencies responsible for ' immediate relief agency should quickly identify mitigation
activities to consider long-term mitigation in options in the post-disaster context. This
their activities. This will encourage a long- lead agency should, in cooperation with other
term perspective. One approach is to require agencies and organizations, be authorized to
the agency or agencies responsible for relief form one or moreinteragency mitigation teams
civil defense, emergency preparedness) to for- (as suggested above) which would be sent into
mulate long-term mitigation plans with.other the disaster area within a designated time
period to.
agencies (planning, natural resource, etc.)
More specifically, a lead agency should conduct an assessment of the extent
identify organizations (both prior to of the damaged area (e.g., boundaries
and after a disaster)which may assist of a slide area, flooded area, etc.)
with repair and long-term rebuilding; and the seriousness of the hazard
(velocities, depths, etc.) within the
form one or more short and long-term area;
post-disaster recovery and mitigation
coordinating committees consisting of map or otherwise document hazard
representatives of principal organi- areas @at sufficient scale to guide
... zations and. agencies with potential repair and rebuilding;
long-term mitigation goals;
inventory structures and infrastruc-
provide emergency shelter, food and ture in the disaster area to deter-
temporary housing consistent with mine which are safe for immediate
possible long-term mitigation options reoccupation, which will require
(e.g., possible relocation for some short-term or long-term repair, and
areas); which should be relocated or razed;
establish expert interagency mitiga- formulate standards for retrofitting
tion teams with the help of the and repair of structures (if they
coordinating committee to be sent have.not already been developed);
diately after the disaster into
imme

271

make recommendations for emergency disaster relocation plans for high
housing consistent with long-.term .,risk areas (where appropriate).
mitigation;

suggest broader mitigation options. Assist Landowners-and Others in
such as levees, debris-, basins,
warning systems, or relocation to Short-TermAitigation
prevent the reoccurrence of future
disasters;
The lead agency should assist landowners
suggest how disaster relief and and others in carrying out'short-term mitiga-
recovery can be used to encourage tion. It should
mitigation of future losses,
including conditions which should be restore, on an emergency. or more
attached to loans, grants, other permanent basis, roads, electrical
forms of disaster relief; power. sewers, and water supply, or
provide technical assistance,
materials,. or loans to- facilitate
assess the impact of the disaster and such restoration;
possible relief on jobs and the undertake or assist with the removal
economy and make suggestions for of debris and. structures damaged
quickly reestablishing jobs; beyond repair;
identify local "coping mechanisms". pIrovide. disaster assistance funds
and suggest ways to support these (loans, grants) with a specific
mechanisms. portion of such funds earmarked for
mitigation and with legally
enforcable conditions attached to
Establish Guidelines for Redevelopment, such funds.
Retrofitting, Reloca .tion provide architectural and engineering
advice to local governments,
architects, engineers and disaster
The statute should authorize the lead victims to encourage short and
agency responsible for mitigation, or other long-term mitigation;
agency to
house victims as close-t.g,repairable
establish guidelines for construc- structures as p.ossi.ble to facilitate
tion, repair and rebuilding of public self-help;
infrastructure (roads, sewers, water
supply) in risk areas (e.g., the
Floodplain Management Executive Order Promote Long-Term Reb .uilding, Recovery_
in the U.S.);
develop, in cooperation with engin- Economic Devel02ment Consistent With
eering and architectural organiza- Mitigation Goals
tions, design standards for retro-
fitting or rebuilding various types
of private structures -including The lead mitigation agency should estab-
single family 'rn-.nengineered" struc- lish policies for long-term rebuilding and
tures; recovery and the integration of short-term and
long-term disaster response. However, the
develop guidelines for condemming operational responsibilities for much of the
severely, damaged structures and rebuilding and recovery may be placed in
preventing reoccupation; another planning or development agency. The
agency should
develop broader guidelines for state
and local planning and regulation of specify what will not as well as what
land use in hazard areasi including will be done in long-term rebuilding
not only building standards (see and recovery so that local govern-
above), but also location of indus- ments and landowners do not develop
tries and commercial uses, to reduce false expectations concerning
disruption of jobs during a disaster; government hazard reduction efforts
standards for hazard reduction (e.g. construction of dams and levees
measures such as dikes, dams, debris to remedy all flood hazards);
basins-; establishment of warning
systems; multiple use of hazard areas establish hazard mitigation as an
for recreation, etc; and element in all economic development
planning, infrastructure improve-
prepare, in cooperation with local ments, and low income housing
governments,. states, and private construction and reconstruction;
organizations, plans for post-

272

have authority to undertake or fund establish priorities for pre-disaster
public acquisition of selected high mapping and marking based upon a pre-
risk areas and relocate residents; liminary assessment of risks in the
country, degree of hazard, popu-
undertake additional mapping, vulner- lation at risk and other factors (see
ability analysis, guidance of new vulnerability analysis below);
construction; predisaster planning: map and
and disaster preparedness planning of mark hazard areas through
the sort outlined below;. signs, high water marks, etc. both
after disasters, when the physical
where necessary, research and pro- evidence of hazards is available, and
mulgate building standards for both in pre-disaster contexts as part of
new structures and the retrofitting pre-disaster mitigation efforts;
or repair of existing structures
which address the full range of reflect relative risk in such mapping
hazards and elements of risk; (to the extent practical) to indicate
areas where no reconstruction after a
provide grants or low interest loans disaster or new development should be
to assist .,private and local permitted (e.g., the immediate fault
government repair consistent with in an earthquake zone; the moving
mitigation guidelines; portion of a landslide; a floodway)
and areas of lesser risk where
utilize (to the extent practical), buildings may be reconstructed after
disaster victims in repair to provide a disaster or new buildings may be
jobs, stimulate the local economy, constructed consistent with damade
and provide education and training in reduction guidelines;
mitigation approaches; publish and disseminate hazard maps
utilize local materials, local sup- to emergency management personnel,
pliers (particularly those damaged by local governments, developers,
the disaster) to stimulate self-help,- private landowners, etc.
recovery;
7- construct "demonstration buildings" 2. Vulnerability Analysis
to illustrate design guidelines and
recommended building materials and
practices. Government buildings The statute should authorize the lead
(e.g.,. post offices, administrative agency to prepare "vulnerability analyses" for
offices) under construction for other various communities, transportation corridors,
purposes may be used for such demon- key industries, electrical power supplies, etc..
stration. Publicly financed low in- based upon areas of risk, magnitudes of risk,
come housing is another possibility. population levels, probable impacts of disaster
events on key sectors in the national economy,
food supply, etc.
Promote Comprehensive Disaster ,

Prevention, Preparedness and Response 3. Preparedness

Post-disaster mitigation works best as a The statute should authorize the lead
part of broader disaster prevention, prepared- agency to (the list is not exhaustive):
ness and response. A legislature could best
reduce future disasters by establishing a prepare evacuation plans or, if
comprehensive program incorporating not only evacuation is not possible, a plan
the elements suggested above but the following for refuge during the disaster (e.g.
broader measures. A lead agency for post- vertical refuge in public building
disaster mitigation or another agency could during a hurricane);
best be given broad powers including the
following: certify public and private buildings
as 11refuges" during disasters and
1. Mapping and Marking Areas able to withstand expected winds,
flooding, etc.;

Broader mapping and marking of hazard design and operate prediction and
areas could be authorized for both pre- and warning systems;
post-disaster contexts. Particularly detailed
maps are needed to guide__recovery and post- prepare emergency access plans for
.disaster efforts,. The statute should authorize rescue and relief for areas where
an agency to normal access will be cut off due to
flooding, destruction of bridges,
etc.;

273

acquire and maintain emergency grants-in-aid to local governments or
vehicles and equipment;. hazard area@:occupants for hazards
identification,, mitigation planning,
stockpile or identify sources of adoption and implementation of build-
food, blankets, medical supplies, ing permit systems;
emergency water supply which will be
used during or immediately after the grants-in-aid on a cost-share
disaster event; basis, for various hazard reduction
measures such as dikes and levees;
stockpile and identify sources of and
materials needed for emergency hazard
reduction such as sandbags for initiation of long term research and
levees; training programs in universities and
technical schools concerning design
stockpile or identify sources of standards and techniques for loss
temporary shelter or housing such as reduction.
existing 11safe structures," tents,
mobile homes, etc.;

identify sources of expertise and
manpower for emergency rescue and
relief;

identify personnel for policing of
the disaster scene to prevent
looting, maintain order;

prepare contingency plans for
secondary hazards such as fires or
dam breaks resulting from an
earthquake;

establish emergency communication
facilities for use during and after a
disaster;

establish lines of organization-and
authority for coordinating agencies
during and after a disaster.

4. Incentives for Mitigation

The statute could also authorize the
agency to administer a variety of programs to
encourage pre- and post-disaster mitigation
such as

federally or state subsidized insur-
ance for communities or individuals
undertaking construction consistent
with minimum hazard reduction guide-
lines (e.g., the U.S. National Flood
Insurance Program),

withholding of government subsidies
for insurance, infrastructure, disas-
ter assistance and other aids or in-
centives for certain high risk areas
(e.g., the U.S. Barrier Resources
Act) for redevelopment or new devel-
opment.

income tax write-offs for the incor-
poration of hazard mitigation mea-
sures in new construction or retro-
fitting of existing construction;

274

Appendix C
Resolution
Considerations Regarding Natural Hazard Mitigation in Developing
Countries
Drafted by Scott Luther and others and
Presented to Symposium Participants

Natural hazards are not, in and of themselves, disasters but rather agents that trans-
form a vulnerable condition into a disaster.

In developing countries the condition of vulnerability that produces so many disasters
is a result of the poverty that exists in these places. This situation of mass poverty is
actually on the increase because of the following reasons, some of which vary in intensity
from country to country. These are:

population growth (uncontrollable) urbanization (mass)
-political instability and paternalism debt crisis

When the majority of the population of the Developing Countries (which are a majority
in the world) are barely living at subsistence levels, to talk about natural hazard mitiga-
tion is almost a waste of time. In the Dominican Republic, for example, 85% of the housing
.construction occurs in the informal sector. This sector is that which is outside of the le-
gal and banking system and is therefore unregulated and uncontrollable. They build inade-
quate houses, on potentially dangerous sites (which are usually illegal) in high density
urban areas of sizes that that are almost uninhabitable.

Taking into account these and other factors so common throughout the Third World we
feel that it is necessary to consider the following:

(1) If natural hazard mitigation measures are to have any success, they must be inte-
grated into the ongoing development process.

(2) These programs should have an integral focus taking into account not only hazard
mitigation but also.education, food, employment, housing, and other basic needs.

(3) The natural hazard mitigation programs must be in accord with the social, cultural
and.economic context if they are to be successful.

(4) Within the informal sectorp these programs must emphasize the capacity of the
people to act themselves in making their own decisionsv for self-help and self-
development.

(5) The programs, as much as it is feasible, should use local financial resources to
fund the activities.

(6) Safe housing construction affordable for the poor must be developed and the option
of subsidizing additional costs to make housing safe must be studied.

(7) In urban areas, techniques for upgrading squatter settlements to incorporate ef-
fective mitigation measures should be studied.

Alternative land-use planning must be studied as a means of protecting vulner-
able communities taking into account social, economic and political implications.

(9) Natural hazard mitigation programs must be understandable and easily comprehended
by communities. They must also be easily replicable.

In summary, in developing countries the "best" solution if often not possible. This
must be foremost in the mind of anyone attempting natural hazard mitigation.

Signed:

Fred Krimgold Ian Davis Scott Luther
Franklin MacDonald Armando Morales Roberto Centemo
Daniel Torealva Teddy Boen Alicia Schupak
Roy Tolles Don Schramm Dennis Parker
Fernando Aguilar Orlando Malabanam Philip Berke
John Handmer James L. Huffman Ovsei Gelman
Marguerite Whilden John Seyffert Claire B. Rubin
David Alexander

275

Appendix D

A Selected Bibliography with Annotations
Post Disaster Response and Mitigation-of Future Losses

Mary Ellen Vollbrecht, Consultant
Special Committee on Housing and Urban Development Law
American Bar Association

A Bibliography on Disaster Mitigation Techniques for Housing and Cuny, P.C. 1978. Scenario for a Housing Improvement Program in
Urban Redevelopment - Selected and Annotated. Disaster Prone Areas. INTERTECT, Dallas, Texas.

Entries focus primarily on the legal and related institutional Step-by-step, discussion of the considerations involved in
aspects of disaster mitigation. For easy location and comparison of development of a housing improvement program In a disaster prone
particular experiences or techniques the entries are arranged as developing country; available in English or Spanish.
follows:
Cuny, F.C. 1977. Strategies and Approaches Which Can Be, Used by
GENERAL REFERENCES contains items-that compare different types of Voluntary Agencies to Provide Post-Disaster Shelter and Housing.*
hazards or provide an overview of housing issues or legal INTERTECT, Dallas, Texas.
perspectives. Periodicals likely to contain pertinent articles from
time to time are listed here. A review of approaches used in providing post-disaster shelter
and in-reconstruction programs@ including common problems and
FLOODS - CASE STUDIES/TECHNIQUES/BIBLIOGRAPHIES contains recommended solutions.
descriptions, analyses, and sources of information on earthquakes.
volcanoes and other ground failures. Davis, 1. (Ed.). 1981. Disasters and the Small Dwelling. Pergamon
Press, New York.
OTHER HAZARDS - CASE STUDIES/TECHNIQUES/BIBLIOGRAPHIES contains
descriptions, analyses, and sources of information on disasters A collection of papers on social and economic problems with
ranging from hurricanes and tornadoes to drought to avalanches. disaster relief, including the long-terarimpact of aid on housing
patterns and types.

Davis. 1., 1978. Shelter After Disaster. Oxford Polytechnic Press,
General References Oxford, U.K.
Butler, J.A.G. and D.P., Doessel., 1983. Natural disaster relief and
horizontal equalization in Australia. The Journal of Federalism, An overview of relief and housing reconstruction.
13 (WinterY:55-72. Huberts D.T. and R.L. Johnston (kds.). 1982. Geography and the Urban
Describes the Commonwealth's disaster relief financing @program Environment: Progress in-Research Applications Volume.5. John
including the impact of various federal policies on local Wiley and Sons, New York.
government mitigation efforts. Three essays in the volume address urban disaster Issues*
Cuny, F.C. 1983. Disasters and Development. Oxford University Press, "Natural Hazards and Urban Planning" by Grapham A. Tobin; "Flood
Risk in the Urban Environment" by D. Parker and E. Penning-
New York.. Ro.sell and "Earthquake Hazard Information: The Experience of
Examines mitigation measures and disaster response program Mandated Disclosure" by Rise Palm.
planning and management in the international aid context. International Disaster Institute Pe riodical. Disasters The
Includes case study of an innovative housing program. International Journal of Disaster Studies and Practice.
Cuny, F.C. 1978. Disasters end the'Small Dwelling. IN.TERTFCT., Dallas, Focuses on socioeconomic aspects of hazards and disasters.
Texas.
Reviews common problems, identifies knowledge gaps and recom ends International Sociological Association Periodical. Mass Emergencies.
actions, including research to improve the quality of disaster
aid. In addition to material on social and behavioral aspects of
natural disasters, the journal features contributions dealing
Cuny, F.C. and- P. Thompson. 1981. Economic Issues in Housing with technical hazards, resource shortages and human-conflicts.
Reconstruction. INTERTECT, Dallas, Texas. INTERTECT. 1981. Coordination: Issues and Problems in Coordinating
Presents the basics of the economic issues involved in housing Fost-Disaster Programs. INTERTECT, Dallas, Texas.
reconstruction.. Discusses the process of coordinating relief activities and means
Cuny, F.C. and A.J. Taylor, 1979. Evaluation of Humanitarian of improving cooperation between agencies in post-disaster
Assistance. INTERTECT, Dallas, Texas. programs.

Assesses the need for program evaluation, type of information INTERTECT. .1981. Establishing Needs After a Disaster: Assessment.
that should be sought and evaluation procedures to obtain it. INTERTECT, Dallas, Texas.
Cuny, F.C. and P. Thompson. 1981. Formulating Policies for disaster A description of the role of*disaster assessment and methods for
Management. INTERTECT, Dallas, Texas. more effective assessment.

Manual presenting a step-by-step plan for developing a policy INTERTECT. 1981. Land Acquisition Strategies for Post-Disaster Housing
framework to guide relief/reconstruction programs. The manual is Programs. INTERTECT, Dallas, Texas.
designed for use by government officials in emergency
preparedness. In addition to describing strategies in general, the effects of a
disaster on land prices and innovative methods for obtaining use
Cunv, F., 1. Davis, and F. Kringold. 1978. Issues and Problems in the of land before actual transfer of title are presented.
Provision of Shelter and Housing: A Review of Experience and
Lessons from Recent Disasters. INTERTECT, Dallas, Texas. INTERTECT. 1981. Land Issues in Reconstruction. LNTERTECT, Dallas,
Texas.
Identifies issues and lessons learned in provision of emergency
shelter and housing including responsibility for actions, A briefing paper describing what happens to land and land costs
resources available and recommendations for improvement; the and other land issues following natural disasters; land issues
analysis is based on an intensive review of international relief and land tenure are major problems confronted by reconstruction
operations over the past 15 years. agencies.

TNTERTECT. 1981. Post-Disaster Housing: A Conceptual Framerwork for
Program Planning. INTERTECT, Dallas, Texas.

276

Jones, B. G. and M. Tomazevic, (Eds.). 1982. Social and Economic Geologic Hazards - Bibliographies
Impacts of Earthquakes and planning to Mitigate their Impacts.
Cornell University Urban and Regional Studies Program, Ithaca,
New York. Jones, B. and E. Weeks. 1983. The Social and Economic Aspects of
Earthquakes and Other Natural Disasters: Risk Assessment, Hazard
"Government Roles in Reducing Vulnerability", "Planning as a Mitigation, and Emergency Management, Reconstruction and
Tool", "Emergency Management as Mitigation", "Financing Recovery. Vance Bibliographies, Monticello, Illinois.
Reconstruction", and "Reconstruction ?olicv" were among the
headings for papers at this U.S. - Yugoslav c;nference. One of the few earthquake bibliographies that gives major
attention to non-engineering solutions.
Hader, G. et al. 1980. Land Use Planning After Earthquakes. William
Spangle & Associates, Portola Valley, California.
Other Disasters - Mitigation Techniques
Focuses on actions taken and decisions made after an earthquake
that led to permanent reconstruction; identified situations where
land use change was more appropriate than structural response. McElyea, W.D., D.J. Brower and D.R. Godschalk. 1982. Before the Storm:
Development to Reduce Hurricane Damages. Office of
Margerum, T. 1979. Will Local Government he Liable for Earthquake Managing
Losses? Association of Bay Area Governments, San Francisco, Coastal management, Raleigh, North Carolina.
California. Identifies tools available to local governments and outlines a
planning process as well as many specific aspects (assessment,
Presents survey results on local officials' perception of enforcement, legislation).
liability; describes liability issues and how local governments
can minimize them in California. Minor, J.E. 1981. Hurricanes and Houses: Hazard and Solutions. Texas
Tech University Institute for Disaster Research, Lubbock, Texas.
1979. Earthquake Hazards and Local Governments' Liability.
7-----Association of Bay Area Governments- 'San Francisco, California. The effects of wind an& engineering techniques are well known;
the author examines factors that determine whether or not they
An overview of four documents prepared for local government are adopted.
liability study, including legal reference review, survey of
local officials and administrative/legislative recommendations. Niemczyk, K.L. 1982. Inventory and Evaluation of Land Use controls
4intier, J.L. and P.A. Stromberg. 1983. Seismic safety at the local Addressing Snow Avalanches. Kenneth L. Nieczyk, South Royalton,
Vermont.
level: does planning make a difference?. California Geology
36(7):148-154. Establishes a reference base of land use management techniques
addressing snow avalanche hazards to human settlements.
Studies seven California jurisdictions to determine the
effectiveness of the state requirement for a seismic safety Sutter, J.H. and M.L. Hecht. 1974. Landslide and Subsidence Liability.
element in local plans. California Continuing Education of the Bar, Berkeley, California.

Moore, G.B. and R.K. Yin. 1983. Innovations in Earthquakes and Gives lawyers useful discussion of legal issues as well as a
Natural Hazards Research: Local Government Liability. Cosmos basic appreciation of engineering and geologic problems.
Corporation.
Walker, G.R. 1981. Mitigation of the Effects of Hurricanes on Human
Analyzed the Association of Bay Area Governments' local Settlements: An Australian Perspective. Texas Tech University
government liability project to gauge its use. Institute for Disaster Research, Lubbock, Texas.
Nakano, I. and 1. Matsuda. 1980. Earthquake damage, damage prediction, An overview of the hurricane threat to Australia's developing
and countermeasures in Tokyo, in Essays in Geography of Tokyo: coast with comments on the variety of mitigation mechanisms taken
Geographical Reports of Tokyo Metropolitan University, No. up by all levels of government.
14/15:141-153.

Describes the compulsory regional survey and mitigation methods
mandated by the Tokyo Earthquake and Fire Protection Ordinance
adopted in 1971.
National Academy of Sciences. 1984. Debris Flows, Landslides and Other Disasters Case Studies
Floods in the San Francisco Bay Region, January 1982. National
Academy Press, Washington, .DC. Apeldoorn, G.J. 1981. Perspectives on Drought and Famine in Nigeria.
Summary of a conference that produced many recommendations for George Allen and Univin, Inc., Boston, Massachusetts.
red.ucing future damages. This study proposes a policy alternative that increases self-
Ofiice of Earthquake Resistance. 1982. P.R.C. - U.S. Joint Workshop on reliance throughout society in order to prepare for future
Earthquake Disaster Mitigation through Architecture Urban disasters.
Planning and Engineering. State Capital Construction Commission,
P.R.C. Britton, N.R. 1981. Darwin's Cyclone "Max": An Exploratory
Investigation of a Natural Hazard Sequence on the Development of
An exchange of information and experiences on urban earthquake a Disaster Subculture. James Cook University of North Queensland
mitigation, one part of which focused on planning and land use in Centre for Disaster Studies, Queensland, Australia.
reconstruction. A unique opportunity to observe and compare disaster precautions
Schwartz, G.T. 1978. Legal References on Earthquake Hazards and Local between "Max" and cyclone "Tracy" seven years earlier.
Government Liability. Association of Bay Area Governments, San
Francisco, California. Chin, A.N. at al. 1983. Hurricane Iwa, Hawaii - Nover.ber 23, 1982,
Prepared for the Committee on Natural Disasters, National Academy
History, summaries of cases and statutes dealing with tort Press, Washington, DC.
liability of local governments in the event of an earthquake.
An overview of Hawaii's disaster preparedness measures and
Scott, S. (Ed.). 1979. What Decision Makers Need to Know: Policy and response to the most costly - but not the strongest - hurricane
Social Science Research on Seismic Safety. Institute of to hit the islands.
Governmental Studies, University of California, Berkeley,
California. Francaviglia, R.V. 1978. Xenia rebuilds: The effect of predisaster
conditions on postdisaster redevelopment. American Institute of
Based on a workshop, the report identifies seismic safety issues Planners Journal 44(January)zl4/15.
in need of policy and social science research.
Comprehensive case study exploring reasons for Xenia's inability
Southern California Earthquake Preparedness Project (SCEPP). 1982. to itigate even when the opportunity as realized.
Japanese Earthquake Prediction/Preparedness Program. Seismic
Safety Commission, Van Nuys, California. Palacio, J.0. 1982. Posthurricane resettlement in Belize, in
Involuntary Migration and Resettlement - The Problems and
The Japanese program integrates policy, educational, and Responses of Dislocated People.
technical aspects of mitigation; the SCEPP team recommended
elements for transfer, including legal and institutional Describes three resettlement projects undertaken by the Belize
elements. government following Hurricane Hattie (1961); factors in success
or failure are distilled from the comparison.

Windsor, Connecticut. 1980. The Phoenix Study: A Community Response to
Disasters, Windsor, Connecticut.

Study of the long-term response to a t-nado includes financial
assessment and citizen surveys.

277

Bennett, G. 1979. Reports from China - mass campaigns and earthquakes:. Kockelman, W.J. 1983. Examples of -the Use of-Geologic and Seismologic
Hai Chang, 1975. China Quarterly, 77:94-112. Information for Earthquake Hazard Reduction in Southern
Contains the findings of a group of American seismologists California. U.S. Geological Survey.-Denver, Colorado.
studying the political. social, and economic infrastructure of Five examples contain a problem. summary, the earth science
Chinese disaster mitigation in the aftermath of a successfully information used and the mitigation actions taken.
predicted earthquake. Lazario, H.J. and G. Mader. 1981. Earthquake in Campania-Basilicata,
Blair, M.L. and W.E. Spangle. 1979. Seismic Safety and Land Use Italy. November 23, 1980: Architectural Planning Aspects.
Planning: Selected Examples from the San Francisco Bay Region. Earthquake Engineering Research Institute, Berkeley, California.
U.S. Geological Survey, Department of the Interior, Washington,
DC. The report discusses a reconstruction Is. adopted six months
after the tragedy (late 1980). Guidelines for organizing the
Shows typical planning responses and federal, state, regional, executing post-earthquake planning studies.
and local roles in mitigation.
Leeds, A. (Ed.). 1983. Al-Asna. Algeria Earthquake of October 10.
California Seismic Safety Commission. 1983. Preliminary Reports 1980. 'National Academy of Sciences/'Earthquake Engineering
Submitted to the Seismic Safety Commission on the 'fay 2, 1983 Research Center, Washington. DC.
Coalinga Earthquake (proceedings of the June 9, 1983 Seismic
Safety Commission meting). California Seismic Safety Commission, Oliver-Smith, A. 1982. "Here there is life- the social and cultural
Sacramento, California. dynamics of successful resistance to resettlement in post-
disaster Peru", in A. Hansen and A. A. Oliver-Smith (Eds.),
Reports from public agency and professional groups on-site Involuntary Migration and Resettlement - The Problems and
indicate major areas of concern including performance of hazard Responses of Dislocated People, Westview Press, Boulder,
reduction programs and long-term reconstruction. Colorado.
Cuny, F.C. (Ed.). 1977. The OXFAM/World Neighbors Housing Examines resistance to resettlement in a. highly vulnerable,
Reconstruction Program: Guatemala 1976-77. INTERTECT, Dallas, densely populated region.
Texas.
Scholl, R.E. 1982. BERT delegation to the People's Republic of China:
A detailed report on Programs Kuchuba'l documenting objectives, An Information Exchange in Earthquake Engineering and Practice.
goals, and priorities of the program. Earthquake Engineering Research Institute, Berkeley, California.

Davis, I.R. 1975. Emergency Shelter and Natural Disasters. INTERTECT, The delegation was given a description of the 1976 Jangshan
Dallas, Texas. earthquake including the water plan for rebuilding and the
actual reconstruction. Earthquake hazard mitigation in the PRC
Summary comparison of post-disaster reconstruction following is discussed.
earthquakes in Skopje and Managua .
Stratta. J.L. et al. 1981. Earthquake in Campania - Basilicata, Italy
Drabek. T., A. Muslikatel, and T. Kilijanek. 1983. Earthquake - November 23, 1980: A Reconnaissance Report. National Academy
MitiRation Policy: The Experience of Two States. Institute of Press, Washington, DC.
Behavioral Science, University of Colorado, Boulder. The findings of a tem of observers who analyzed the reasons for
Examines policies in Washington State and Missouri, including extensive damage resulting from a relatively mild quake.
various types of implementation barriers. Tarry, W.I. 1980. Urban earthquake hazard in developing countries:
Earthquake Engineering Research Institute. 1980. The 1976 Tangshan squatter settlements and the outlook for Turkey. Urban Ecology
Earthquake. Earthquake Engineering Research Institute, Berkeley, 4(4):317-327.
California.
Documents sow of the difficulties and makes recommendations for
A collection of papers written by delegates from the People's reconstruction and delivery of relief in poor urban areas where
Republic of China discussing lessons learned from the event and suitable political structures do not exist.
mitigation measures being taken.
Thompson, C. and P. Thompson. 1977. Post-Disaster Reconstruction of
Eliingwood, B.R. 1980. An Investigation of the Miyagi-Ten-ogi, Japan Housing in Latin America. INTERTECT, Dallas, Texas.
Earthquake of June 12, 1978.-Prepared for the Center for Building
Technology, National Bureau of Standards. U.S. Government Analysis of post-disaster housing programs based on case studies
Printing Office, Washington, DC. in Chile, Peru, Nicaragua, Honduras, and Guatemala; background
research included examination of 70 post-disaster housing
Contains a concise, informative section on goverment response to programs for both short- and long-term impacts.
the disaster under Japan's Disaster Countermeasures Act of 1977.
Urban Regional Research. 1982. Land Management Guidelines in Tsunami
Geipel, R. 1982. Disaster and Reconstruction. George Allen and Union, Hazard Zones. Urban Regional Research, Seattle, Washington.
Inc.. Boston, Massachusetts.
Three regional cases are studied to identify the framework for
An analysis of the response to, earthquakes that struck the Friuli implementing mitigation procedures: Kodiak, Alaska; Hilo, Hawaii,
region of Italy in 1976. and Kauai, Hawaii, north shore.

Hirotada, H. 1982. Community Reconstruction and Functional Change
Following a Disaster in Japan. Ohio State University Disaster
Research Center, Columbus, Ohio.
Geologic and Earthquake Disasters - Mitigation Techniques
The study provides a theoretical framework for disaster recovery
based on the rapid response and long-term renewal following a
volcanic eruption. Arnold, C. 1982. Earthquake Disaster Prevention Planning in Japan.
Building Systems Development, Inc., San Mateo, California.
Jackson, E.L. 1982. The Laki eruption of 1783: impacts on population
and settlement in Iceland. Geography, 67(294):42-50. Part of a multidisciplinary study attempting to identify the
information necessary for earthquake mitigation in urban areas;
This rural example is included because it is one of the few Japan's countermeasure laws are studied in communities including
I
historic examples where settlement patterns were studied. Study Tokyo, Yokohama, and Osaka.
of historic disaster provides a long@term perspective unavailable
through much current disaster research. Evans, J.G. 1979. Attorney's Guide to Earthquake Liability.
Association of Bay Area Governments, Berkeley, California.
Kartez, J.D. 1982. Emergency Planning Implications of Local
Governments' Responses to Mount St. Helens. Institute of In response to local officials' concerns. the study examined
Behavioral Science, University of Colorado, Boulder, Colorado. whether liability was a disincentive to earthquake mitigation..
One of the study objectives was to identify the institutional Gari, P.L. and W.W. Hays (Eds.). 1983. A Workshop on "continuing
constraints faced by local officials. Actions to Reduce Losses from Earthquakes In the Mississippi
Valley Area. U.S. Geological Survey, Reston, Virginia.
Keller, S.A.C. (Ed.). 1982. Mount St. Helens: One Year Later.
Eastern Washington University Press, Cheney, Washington. Topics .,discussed included the politics of earthquake policy and.-
the forms and functions of seismic safety organizations.
One third of the papers in this set of proceedings explores the
human consequences of the eruption, including housing damage and Heikkala, S.F. (Ed.). 1982. Urban Scale Vulnerability. Proceedings of
planning for low probability events. the U.S. - Italy Colloquium on Urban Design and Earthquake Hazard
Mitig@tion. Universities of Rome and Washington, Rome/Seattle.

Urban vulnerability issues and a research agenda are identified;
paper topics include Italian earthqoake legislation and urban
development regulation and planning.

278

Critiques Ontario's floodplain management program including Office of Mitigation and Research, U.S. Federal @mergeocy Management
financial incentives and institutional framework, among other Agency. 1981. Evaluation of Alternative Means of Implementing
factors. Section 1362 of the National Flood Insurance Act of 1968. Federal
Emergency Management Agency, Washington, DC.
Higgins, R.J. and D.J. Robinson., 1981. An Economic Comparison of
Different Flood Mitigation Strategies in Australia: A Case Study. Identifies economic, social, legal, and environmental
Australian Government Publishing Service,-Canberra. considerations inherent in acquisition of flooded property.

A comprehensive evaluation of methods to,distribute relief and Olson, J.M. 1983. Observations on community based flood hazard
mitigation resources in flood-prone areas. mitigation in the United States. Disasters, 7(2):83-85.

Minnesota Department of Natural Resources - Division of Waters. 1980. A descriptive report by a participant in disaster response.
Reducing Flood Damages by Acquisition and Relocation- The Includes observed limitations on flood insurance ability to
Experiences of Four Minnesota Communities. Department of Natural change settlement patterns.
Resources, St. Paul.
Parker@, D.J. and E.C. Penning-Ros.ell. 1983. Flood hazard research in
Specific problem solving methods used in relocating the four Britain. Progress in Human Geography, 7(2):132-202.
communities are described.
Examines and compares a broad range of research needs including
Parker, D.J. and E.C. Penning-Rowsell. 1981. Whitstable Central Area assessment methods for complex urban areas.
Coast Protection Scheme: Benefit Assessment. Flood Hazard
Research Centre, Middlesex Polytechnic, Middlesex, U.K. Platt, R. and W. Rechamen. 1983. Flood Loss Reduction through
Interstate Compacts: An Underutilized Method. Water Resources
The analysis identifies the real resource gains resulting from Research Center, University of Massachusetts, Amherst.
avoiding future flood damage.
Effectiveness and potential of interstate compacts are assessed.
Platt, R. and G. McMullen. 1980. Post Flood Recovery and Hazard Legal and political issues are examined.
Mitigation: Lessons-from the Massachusetts Coast, February, 1978.
Water Resources Research Center, University of Massachusetts, Platt, R.H. at al. 1980. Intergovernmental Management of Floodplains.
Amherst. Institute of Behavioral Sciences, University of Colorado,
An overview of federal flood policv. 1478 storm impacts. and Boulder.
post-disaster reconstruction after the storm. Investigates factors determining intergovernmental coordination
among jurisdictions with conflicting interests through case
Rubin, C.B. 1981. Long Term Recovery from Natural Disasters: A studi a
Comparative Analysis of Six Local Experiences. Academy for
Contemporary Problems, Washington, DC. Rossi, P.R., J.D. Wright, and E. Weber-Burden. 1982. Natural Hazards
and Public Choice: The State and Local Politics of Hazard
A literature review and case studies; recommendations for federal Mitigation. Academic Press, Ne. York.
interaction with local disaster managers.
Presents findings of a survey of state and local officials on a
U.S. Federal Emergency Management Agency. 1982. Harlan County variety of mitigation issues, including patterns of local
Kentucky: Flood Hazard Mitigation Plan, Volume I - Final Report. political power.
Federal Emergency Management Agency, Washington, DC.
Smith M T 1979. Litigation on the national flood insurance program.
This comprehensive plan includes many elements addressing insurance La. Journal. September(680):524-533.
regulation, institutions, and financing.
Documents legislative, administrative, and judicial history of
the NFIP, including examination of its constitutionality.
Floods - Kitigation Techniques U.S. Army Corps of Engineers Institute for Water Resources. 1981.
Burby, R. and S.P. French. 1981. Coping with floods: the land use Implementation Aspects of Flood Warning and Preparedness
management paradox. Journal of the American Planning Association, Planning. U.S. Department of Defense, Fort Belvoir, Virginia.
July 1981:289-300. An extensive chapter on legal considerations emphasizes liability
This study determined that mitigation involving land use factors including many recommendations.
management stimulated encroachment into hazard zones. Policy
elements to remedy this paradox are discussed. Floods - Bibliography
Clay, G. (Ed.). 1979. Water and the Landscape. McGraw-Hill, New York. Brown, R.J. 1980. Flood Control, August 1977-80 (citations from the
Five articles in this anthology from Landscape Architecture National Technical Information Service), U.S. Department of
magazine deal with planning around natural hazards-,- including Commerce, Washington, DC.
some innovative financing and regulatory schemes. 223 entries including research on urbanization and urban planning
Committee on Natural Disasters, National Academy of Science and zoning and land use management.
Environmental Quality Laboratory, California Institute of I
Technology. 1982. Storms, Floods, and Debris Flows in Southern National Technical Information Service. 1982. Flood History and
California and Arizona, 1973 and 1980. National Technical Floodplain Management: 1977-May 1982 (citations from Selected
Information Service. Springfield, Virginia. Water Resources Abstracts). U.S. Department of Commerce,
Washington, DC.
Flood control and disaster mitigation policies are one of the
major headings for contributions to this symposium proceedings. 306 citations including historic floods as well as management
techniques including the National Flood Insurance Program.
Federal Insurance Administration. 1981. Evaluation of the Economic,
Social, and Environmental Effects of Floodplain Regulations. U.S. National Technical Information Service. 1982. Floods: Insurance 1977
Federal Emergency Management Agency, Washington, DC. to June 1982 (citations from the Selected Water Resources
Abstracts). U.S. Department of Commerce, Washington, DC.
Describes results of modeling of losses under several regulatory Federal, state, and local regulations as well as floodplain
regimes. Includes an appendix of court decisions recognizing the
effects of floodplain regulations. zoning issues are including in the 118 citations.
Kusler, J. 1982. Floodplain Regulation and the Courts. Institute of Vance, M. 1982. Floods, Flood Control, and Flood Damage Prevention: A
Behavioral Sciences, University of Colorado, Boulder. Bibliography. Vance Bibliography, Monticello, Illinois.
Highlights judicial approaches of the 1970's and considers A wide sampling of materials dealing with technical solutions to
important issues such as taking and discrimination in depth. flood problems.
Includes recommendations for avoiding legal entanglements.
Kusler, J. 1970, 1972, 1984. Regulation of Flood Hazard Areas to Ge ologic, and Earthquake Disasters - Case Studies
Reduce Flood Losses - Vol I, II, III. U.S. Water Resources
Council. U.S..Go,vernment Printing Office, Washington, DC. Alexander, D. 1981. Disaster in Southern Italy: November 1980.
Comprehensively examines floodpliin regulations to reduce flood Geographical Magazine, 53(9):553-561.
losses. Suggests strategies for improving the quality of Overviews the damage and reconstruction following the severe
regulations including upgrading of interim' regulations and earthquake; the province of Naples, the most densely populated
developing post disaster plans. area In Europe, was significantly damged.

Bates, F.L. 1982. Recovery Change and Development: A Longitudinal
Study of the 1976 Guatemalan Earthquake (three volumes),
University of Georgia, Athens.

279

Provides a step-by-step procedure for selecting an appropriate Taylor, A.J. 1977. Disaster Housing Aid: A Program Planning Model from
housing reconstruction program following a natural disaster. Guatemala. INTERTECT, Dallas, Texas.

INTERTECT. 1981. Program Evaluation: Suggested Criteria for Addressing Reviews agency response to emergency housing needs and available
Post-Disaster Programs. INTERTECT, Dallas, Texas. alternatives for content@.. style@ and timing based on the
approaches taken in Guatemala-.
Describes methods and suggested evaluation criteria, including
vulnerability analysis. United Nations Children's Fund.. 1981@. Disasters: Devastation and
Opportunity. United Nations, New York.
INTERTECr. 1981. Program Planning Options for the Reconstruction of
Disaster Resistant Housing. INTERTECT. Dallas, Texas. Thirteen articles examine disaster relief experiences for lessons
learned with major findings in the housing field.
Discussion of the various approaches used by agencies rebuilding
housing after a national disaster. United Nations Disaster Relief Coordinator Periodical UNDRO NEWS.

Joint Assistance Centre Periodical. Disaster Management. Joint This bimonthly newsletter reviews current disaster relief efforts
Assistance Centre, Delhi, India. by the U.N.

Provides a form for the disaster relief and mitigation field on United Nations Disaster Relief Coordinator. 1980. Disaster Prevention
the Indian subcontinent and in Asia. and Mitigation: A Compendium of Current Knowledge - Volume 9.
Legal Aspects. United Nations, 'law York.
Krimer, A. 1979. Emergency, temporary, and permanent housing after
disasters in developing countries. Ekistics, 46(279):361-365. As the name implies this volume is a broad overview of
legislation, constitutional, and administrative issues.
Examines the impact of current housing trends, including
urbanization, on the three shelter classifications. United Nations Disaster Relief Coordinator. 1982. Shelter after
Disaster: Guidelines for Assistance. United Nations, New York.
Kunreuther, H. et al. 1978. An interactive modeling system for
disaster policy analysis. Institute of Behavioral Science, A major review of conventional emergency shelter concepts.-
University of Colorado, Boulder. including mitigation and financing aspects.

Describes and analyzes an interactive modeling system. U.S. General Accounting Office. 1979. Report by the Comptroller'
General; The Federal Drive to Acquire Private Lands Should be
Le.is, J. 1982. Natural disaster mitigation: environmental approaches Reassessed. GAO Document Handling and Information Center,
in Tonga and Algeria. The Environmentalist, 2(3):233-246. Washington, DC.
A policy study with implications for acquisition of. floodplains,
Points up social and institutional mitigation opportunities in dam sites, coastal zones; includes examination of selected land
two areas very highly vulnerable to different natural disasters. protection techniques.
Morentz, J.W., H.C. Russell, and J.A. Kelly. 1982. Practical U.S. Congress Office of Technology Assessment, 1980. U.S. Disaster
4itigation@ Strategies for Managing Disaster Prevention and Reduction. AssIstance to Developing Countries: Lessons Applicable to U.S.
Research Alternatives, Inc., Rockville, Maryland. Domestic Disaster Programs. Government Printing Office,
This manual examines mitigation elements including agency Washington, DC.
regulations and economics on the basis of 81 detailed case Compares objectives and draws administrative conclusions
studies of all types of hazards. applicable to U.S. aid programs.
Morton, D.R. 1981. A Selected Bibliography on Disaster Planniag and U.S. Department of Commerce. 1982, Disasters: Effects, Preparedness,
Simulation. University of Colorado, Boulder. Assessment, and Recovery - 1976-1982. National Technical
Information Service, Washington, DC.
Housing and urban development are among the problems to which the
selected planning techniques and simulations apply. Abibliography of agency publications on disaster relief,
including organizational performance,
National Academy of Sciences. 1983. Multiple Hazard Mitigation: Report
of a Workshop on Mitigation Strategies for Communities Prone to U.S. Federal Emergency Management Agency periodical Emergency
Multiple Hazards. National Academy Press, Washington, DC. Management. Federal Emergency Management Agency, Washington, DC.
Participants suggested methods of mitigating economic loss, A quarterly publication for the information of government and
including budgeting tools and other administrative techniques. private sector emergency management personnel.
Pryor, L.D. 1982. Ecological mismanagement in.national disasters. The U.S. State Department. 1981. Housing Survey for Disaster Relief and
Environmentalist, 2, Supplement 2. Preparedness - Latin America. Prepared for the Office of Foreign
Disaster Relief Agency for International Development. U.S. State
The author identifies ecological management practices including Department, Washington, DC.
extension of infrastructure and certain land uses that aggravate
natural disaster. Focuses on low income housing types and patterns along with
Quarantelli, E.L. 1982. Development of Collaborative Japan-United financing and building institutions.
States Socio-Behavioral Disaster Research. Disaster Research U.S. State Department. 1981. Transition Housing for Victims of
Center, Columbus, Ohio. Disaster - Disaster Assistance Manual - Volume 1. Prepared for
Office of Foreign Disaster Assistance, Agency for International
In addition to an inventory of Japanese Research, the author Development. U.S. State Department, Washington, DC.
comments on future research directions and on the importance of
cultural differences. Vance, M. 1982. Disaster Preparedness and Disaster Relief: A
Bibliography. Vance Bibliographies, Monticello, TL.
Quarantelli, E.L. 1982. Sheltering and Housing After Major Community
Disasters: Case Studies and General Observations. Ohio State This bibliography attempts to cover the entire spectrum of
University Research Foundation, Columbus, Ohio. disaster management.

An intensive literature review that identifies problems specific
to housing provision, including three major case studies.
Floods - Case Studies
Ressler, E.M. 1978. Accountability as a Program Philosophy. INTERrEcr,
Dallas, Texas Beyers, W.B. et al. 1980. Nonstructural Approaches to the Management
Discusses accountability to disaster victims as both an of the Snohomish River Basin Flood Hazard. Geography Department,
operational method and a program philosophy and recommends ways University of Washington, Seattle.
to use the principle in positive relief/reconstruction programs. Describes elements of laws that enable the nonstructural approach
Ressler, E@M. 1978. Post-Disaster Technical Information Flow for the as well as the institutional framework to flood hazard
Reconstruction of Housing. INTERTECT, Dallas, Texas. mitigation.
Committee on Natural Disasters, National-AcAdemy of Sciencesi 1982.
Analyzes, through interviews with relief agency personnel in The Austin, Texas Flood of May 24-25, 1981. National Academy
Guatemala, post-disaster availability of technical information, Press. Washington, DC.
information needs and ways of meeting needs.
Taylor, A.J. 1978. Coordination for Disasters. TNTERTECT, Dallas, Presents information on local government policies and the
Texas. response to government agencies to a specific disaster.
Discussion of the necessity for coordination in general and Gardaer, J.,yand B. Mitchell. 1980. Floodplain regulation in Ontario:
n as sis f existing and proposed policy in the Grand and
factors that inhibit it. Credit River watersheds. Journal of Environmental Management,

280

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