Appendix A

Study Methods

At the request of the Alfred P. Sloan Foundation, the Doris Duke Charitable Foundation, the Howard Hughes Medical Institute, and the National Institutes of Health (NIH), the National Academies of Sciences, Engineering, and Medicine (the National Academies) convened the Committee on Strengthening the Disaster Resilience of Academic Research Communities to explore the effects of disasters on the academic research community (i.e., biological and biomedical) and to provide guidance to individual researchers, research institutions, and sponsors regarding potential actions to be taken that may mitigate the impact of future disasters.

COMMITTEE EXPERTISE

The National Academies formed a committee of 13 experts to deliberate on and respond to the statement of task for the study. The committee was composed of members with expertise in disaster preparedness, the continuity of operations, academic administration, research facilities management, information technology, structural engineering, capital planning, earth and life sciences research, and the veterinary sciences. Appendix F provides biographical information for each committee member.

MEETINGS AND INFORMATION-GATHERING ACTIVITIES

The committee held five in-person meetings from March 2016–February 2017 (March, April, October, November, and February) and conducted one regional site visit to New York City (July). The March, April, and Novem-

ber meetings included portions open to the public; the agendas for these open sessions are included at the end of this appendix. The meeting in July was a 2-day site visit to New York City which included portions open to the public. The committee meetings in October and February were held only in closed session.

To inform its deliberations, the committee gathered information through a variety of mechanisms: (1) the 2-day meeting in March, which included an open public comment session; (2) the 1-day public workshop held in conjunction with the April meeting, which included an open public comment session; (3) the regional site visit to New York City, which included a 2-day public meeting; (4) the 2-day meeting in November, which included an open public comment session; (5) reviews of the literature on previous disasters that have affected the academic biomedical research community, as well as on guidance and best practices; (6) solicitation and consideration of written statements from stakeholders and members of the public through the committee’s Current Projects System (CPS) website and e-mail; and (7) personal communications among committee members, staff, and individuals who have been directly involved in or have special knowledge of the issues under consideration. All written information provided to the committee from external sources is available by request through the National Academies’ Public Access Records Office.

LITERATURE REVIEW

The National Academies’ staff conducted a literature review on topics that (1) explored the impacts of prior disasters on the academic biomedical research community; and (2) potential best practices, guidance, and policies that individual researchers, research institutions, and sponsors have implemented to mitigate the impact of future disasters. Other targeted literature reviews were conducted as novel issues arose throughout the committee’s deliberations.

Literature Search

Search Parameters:

• Date Parameters: 1980–present
• English only
• International materials—developed nations, UN documents
• State reports

Databases:

• Cochrane Database of Systematic Reviews
• Embase

• Homeland Security Library
• PubMed Medline
• Scopus
• Web of Science
• Gray literature reports (National Institutes of Health and the Federal Emergency Management Agency)

Search Strategy:

Part I: Impact of prior disasters on the academic biomedical research community:

• Disaster resilience planning at academic research communities: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction for resilience” OR “disaster resistant” OR “emergency management”) AND (“academic biomedical research institutions” OR “biomedical research facilities” OR “biomedical sciences” OR laboratories OR laboratory OR “academic laboratories” OR research OR “academic research” OR “academic research programs” OR “research facilities” OR “laboratory facilities” OR “research laboratories and institutions” OR researchers OR sponsors OR “safety manuals” OR “industry laboratory emergency plans” OR “non-profit organizations emergency plans” OR “university emergency plans” OR “college emergency plans” OR “university laboratory safety manuals” OR “college laboratory safety manuals” OR “pharmaceutical laboratory facilities” OR “university disaster preparedness plans” OR “private sector laboratory emergency plans”) AND (guidance OR “building codes” OR “laboratory design” OR “infrastructure design” OR “disaster resilience characteristics” OR “characteristics of disaster resilience” OR “disaster recovery plans” OR “disaster resilience codes” OR “general university disaster plans” OR guidelines OR “guidelines and standards” OR “long term planning” OR measurements OR “mitigation guidance” OR standards OR “state regulations” OR “local regulations” OR “community regulations” OR “local jurisdictions” OR evaluation) AND PUBYEAR > 1980
• Impact of disasters on academic research communities: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction for resilience” OR “disaster resilience structures”) AND (“academic biomedical research institutes” OR “biomedical research facilities” OR “biomedical science institutes” OR “medical centers” OR “academic medical centers” OR “medical facilities” OR “medical laboratories” OR “research facilities” OR “research laboratories” OR “research institutes” OR “research laboratories

Part II: Disaster mitigation:

• Disaster-mitigation planning for academic research communities: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction for resilience” OR “disaster resilience structures”) AND (“contingency plans” OR “disaster medicine” OR “disaster planning” OR “disaster plans” OR “emergency contingency plans” OR mitigation OR “mitigation actions” OR “hazard mitigation plans” OR “public health planning” OR “rebuilding” or “recovery” OR “response”) AND PUBYEAR > 1980
• Continuity planning for academic research communities: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction for resilience” OR “disaster resistant” OR “emergency management”) AND (“academic biomedical research institutions” OR “biomedical research facilities” OR “biomedical sciences” OR “laboratories” OR “laboratory” OR “academic laboratories” OR “research” OR “academic research” OR “academic research programs” OR “research facilities” OR “laboratory facilities” OR “research laboratories and institutions” OR “researchers” OR “sponsors” OR “safety manuals” OR “industry laboratory emergency plans” OR “non-profit organizations emergency plans” OR “university emergency plans” OR “college emergency plans” OR “university laboratory safety manuals” OR “college laboratory safety manuals” OR “pharmaceutical laboratory facilities” OR “university disaster preparedness plans” OR “private sector laboratory emergency plans”) AND (“contingency plans” OR “insurance” OR “disaster insurance” OR “capital funding” OR “continuity of operations planning” OR “emergency plans” OR “emergency management plans” OR “disaster medicine” OR “disaster planning” OR “disaster planning” OR “disaster plans” OR “emergency contingency plans” OR “public health planning” OR “environment health and safety” OR “rebuilding” OR “recovery” OR “response” OR “hazard identification and risk assessment” OR “hazard vulnerability assessments”) AND PUBYEAR > 1980

Part III: Guidance for individual researchers and research institutions that may mitigate the impact of future disasters:

• Academic research communities “best practices” for disaster resilience plans: (“disaster resilience” OR “disaster risk and

• resilience” OR “disaster risk reduction” OR “disaster risk reduction for resilience” OR “disaster resistant” OR “emergency management”) AND (“academic biomedical research institutions” OR “biomedical research facilities” OR “biomedical sciences institutes” OR “laboratories” OR “academic laboratories” OR “medical centers” OR medical facilities” OR “medical laboratories” OR research OR “academic research” OR “academic research programs” OR “research facilities” OR “laboratory facilities” OR “research laboratories” OR “research laboratories and institutions” OR researchers” OR sponsors OR “laboratory safety manuals” OR “industry laboratory emergency plans” OR “nonprofit organization emergency plans” OR “university emergency plans” OR “college emergency plans” OR “university laboratory safety manuals” OR “college laboratory safety manuals” OR “pharmaceutical laboratory facilities” OR “university disaster preparedness plans” OR “college disaster preparedness plans” or “private sector laboratory emergency plans”) AND (“adoption and implementation” OR implementation OR “best practices” OR “case studies”) AND PUB YEAR > 1980

• Research facility guidelines for disaster resiliency: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction for resilience” OR “disaster resilience structures”) AND (“academic biomedical research institutes” OR “biomedical research facilities” OR “biomedical science institutes” OR “medical centers” OR “academic medical centers” OR “medical facilities” OR “medical laboratories” OR “research facilities” OR “research laboratories” OR “research institutes” OR “research laboratories and institutes”) AND (“building codes” OR “guidelines” OR “standards” OR “planning” OR “measurements” OR “guidance” OR regulations) AND PUBYEAR > 1980
• Disaster response and recovery templates for academic research communities: (“disaster resilience” OR “disaster risk and resilience” OR “disaster risk reduction” OR “disaster risk reduction for resilience” OR “disaster resistant” OR “emergency management”) AND (“academic biomedical research institutions” OR “biomedical research facilities” OR “biomedical sciences institutes” OR “laboratories” OR “academic laboratories” OR “medical centers” OR “medical facilities” OR “medical laboratories” OR “research” OR “academic research” OR “academic research programs” OR “research facilities” OR “laboratory facilities” or “research laboratories” OR “research laboratories and institutions” OR researchers” OR sponsors OR “laboratory safety manuals” OR “industry laboratory emergency

PUBLIC AGENDAS

AGENDA

Wednesday, March 2, 2016

National Academy of Sciences Building
2101 Constitution Ave., NW
Washington, DC 20418
Room NAS 120

OPEN SESSION

Session II: Sponsor Briefing: Discussion of the Committee’s Charge

Session objective: To hear from the sponsors of the study regarding their perspectives on the charge to the committee.

Session III: Additional Context for the Study—Defining the Problem

Session objective: To obtain additional background information and context for the study.

AGENDA

Monday, April 25, 2016

National Academy of Sciences Building
2101 Constitution Ave., NW
Washington, DC 20418
NAS Lecture Room

OPEN SESSION

Workshop objectives: To explore perspectives and gather information on:

• An overall vision for academic biomedical research community preparedness;
• The differences and similarities in preparing academic research communities for intentional disasters and natural disasters;
• The role of university leadership in supporting disaster planning for academic research communities;
• The process of priority setting to address the specific challenges and barriers that adversely influence mitigation, preparedness, response, and recovery for academic research communities;
• The opportunities to strengthen academic biomedical research community preparedness;
• How the academic biomedical research community fits into the overall university mitigation, preparedness, response, and recovery policies and practices in place; and
• The importance of obtaining financial support for mitigation, preparedness, response, and recovery actions for academic research communities.

WORKSHOP SESSION I: NATURAL DISASTERS PANEL

Session I objectives: To provide the committee with information on academic biomedical research community mitigation, preparedness, response, and recovery strategies for natural disasters; this session is specifically related to wildfires and earthquakes.

WORKSHOP SESSION II: INTENTIONAL DISASTERS PANEL

Session II objectives: To provide the committee with information on academic biomedical research community mitigation, preparedness, response, and recovery strategies for intentional disasters; this session is specifically related to cybersecurity, biosafety and biosecurity, and facility security.

WORKSHOP SESSION III: ADMINISTRATIVE PREPAREDNESS PANEL

Session III objectives: To provide the committee with information on administrative preparedness strategies for academic research communities; this session is specifically related to program and business continuity and university administration.

WORKSHOP SESSION IV: FINANCIAL PREPAREDNESS PANEL

Session IV objectives: To provide the committee with information on financial preparedness strategies for academic research communities; this session is specifically related to capital planning, grants, insurance, and the impacts of emergency versus non-emergency declarations.

SITE VISIT AGENDA

Wednesday, July 13, 2016
1:00–5:00 p.m.

New York University Langone Medical Center
Joan and Joel Smilow Research Center
522 First Avenue, New York, NY 10016
Smilow Room 1301

The Committee on Strengthening the Disaster Resilience of Academic Research Communities will bring together representatives from academic research communities and other key stakeholders in open session to identify best practices and gaps in current mitigation and preparedness planning activities employed by researchers, institutions, and sponsors and to discuss potential future needs to close those gaps. Invited workshop speakers will be asked to present information about the impact of previous disasters on the academic biomedical research community, their professional experience during these events, existing tools to enhance academic research resilience, and potential future needs in this area.

Specifically, the objectives of the regional site visit will be to:

• Discuss further information about how the impacts of disasters on the academic biomedical research community informed mitigation priorities and strategies;
• Share best practices for researchers, academic institutions, and sponsors to effectively prepare for, withstand, and recover from disasters;
• Identify existing tools to enhance resilience for academic research communities; and

• Discuss potential actions that could address the specific challenges and barriers that adversely influence mitigation, preparedness, response, and recovery for academic research communities.

SESSION I: FACILITIES MITIGATION PLANS AND TOURS

This session will include a brief presentation of facilities-focused mitigation measures implemented and planned since Hurricane Sandy and a tour of the facilities.

SESSION II: EMERGENCY MANAGEMENT AND ENTERPRISE RESIILENCE OPERATIONS DISCUSSION

This session will include brief presentations and discussions focused on the overall emergency management and enterprise resilience planning efforts at New York University Langone Medical Center and specifically those planning efforts related to the research mission.

SESSION III: PANEL DISCUSSION WITH THE RESEARCH COMMUNITY

This session will include discussions with individual investigators at various career stages, departmental administration, and key leaders within New York University Langone Medical Center Office of Science and Research.

SITE VISIT AGENDA

Thursday, July 14, 2016
8:30 a.m.–5:00 p.m.

New York City Office of Emergency Management
165 Cadman Plaza East
Brooklyn, NY 11201

The Committee on Strengthening the Disaster Resilience of Academic Research Communities will bring together representatives from academic research communities and other key stakeholders in open session to identify best practices and gaps in current mitigation and preparedness planning activities employed by researchers, institutions, and sponsors and to discuss potential future needs to close those gaps. Invited workshop speakers will be asked to present information about the impact of previous disasters on the academic biomedical research community, their professional experience during these events, existing tools to enhance academic research resilience, and potential future needs in this area.

Specifically, the objectives of the regional site visit will be to

• Discuss further information about how the impacts of disasters on the academic biomedical research community informed mitigation priorities and strategies;
• Share best practices for researchers, academic institutions, and sponsors to effectively prepare for, withstand, and recover from disasters;
• Identify existing tools to enhance resilience for academic research communities; and
• Discuss potential actions that could address the specific challenges and barriers that adversely influence mitigation, preparedness, response, and recovery for academic research communities.

SESSION I: INDIVIDUAL RESEARCHER AND RESEARCH SPONSOR PANEL

SESSION II: ACADEMIC RESEARCH LEADERSHIP PANEL

SESSION III: ACADEMIC INSTITUTION PANEL

SESSION IV: ADDITIONAL PERSPECTIVES PANEL

AGENDA

Thursday, November 17, 2016

Keck Center of the National Academies
500 Fifth Street, NW
Washington, DC 20001
Room Keck 209

CLOSED SESSION: Committee Only

OPEN SESSION