THIS BIBLIOGRAPHY OF SELECTED research on the effectiveness of local land use planning and management for the mitigation of natural hazards was compiled and annotated by John D. Tallmadge, research assistant at the Department of City and Regional Planning, University of North Carolina at Chapel Hill.
Over 20 years ago, a national assessment of natural hazards research was undertaken to catalogue the status of research and to set funding priorities for the future, and to assess research needs in the area of land use regulations in hazardous areas.
White, Gilbert F., and J. Eugene Haas. 1975. Assessment of Research on Natural Hazards. Cambridge, Mass.: MIT Press.
The authors find that most research had been conducted on the physical and technological aspects of hazards, rather than on the social sciences. Land use management is identified as one of the primary areas of research need common to most hazards.
Baker, Earl and John McPhee. 1975. Land Use Regulations in Hazardous Areas: A Research Assessment. Boulder: Natural Hazards Research and Applications Information Center, University of Colorado.
This assessment includes a discussion of alternate techniques and research needs. The findings include a call for empirical evaluation of whether the goals sought by land use regulation have ever been realized and whether there have been adverse impacts due to existing programs.
State mandates for local land use planning has proved to be useful in achieving federal and state goals for the management of land subject to natural hazards.
Burby, Raymond J., and Peter J. May, with Philip R. Berke, Linda C. Dalton, Steven P. French, and Edward J. Kaiser. 1997. Making Governments Plan: State Experiments in Managing Land Use. Baltimore, Md.: Johns Hopkins University Press.
In this book, a team of scholars from six universities uses data collected from more than 150 cities and counties in five states to show that state planning mandates have helped local governments plan for and manage land subject to natural hazards. The authors find that the efficacy of these mandates depends on how well the states craft growth management legislation, how amply programs are funded, and how dedicated state officials are to working with localities. In local areas, they find that success turns on the quality of plans prepared and, as important, the commitment of local officials to state policy objectives. Recommendations are provided to help states craft effective planning mandates.
May, Peter J., Raymond J. Burby, Neil J. Ericksen, John W. Handmer, Jennifer Dixon, Sarah Michaels, and D. Ingle Smith. 1996. Environmental Management and Governance: Intergovernmental Approaches to Hazards and Sustainability. London and New York: Routledge Press.
This book addresses alternative ways in which national or state governments can influence actions taken by local governments to manage hazardous areas. It contrasts the ''coercive" intergovernmental approach as found in Florida's growth management program with a "cooperative" intergovernmental approach as found in approaches to hazards management in New Zealand and New South Wales, Australia. The comparisons draw attention to the need for a mix of coercive and facilitative tools in designing
governmental mandates. The book provides detailed descriptions and analysis of the different approaches as carried out in the three settings.
May, Peter J., and Walter Williams. 1986. Disaster Policy Implementation: Managing Programs Under Shared Governance. New York: Plenum Publishing.
This book addresses the "shared governance dilemma " that is brought about by differing incentives for hazard mitigation programs at federal, state, and local levels of government. The authors examine different ways in which federal agencies exert influence over state and local governments, with particular attention to flood management, earthquake preparedness, dam safety, and civil defense planning.
May, Peter J. 1993. Mandate design and implementation: Enhancing implementation efforts and shaping regulatory styles. Journal of Policy Analysis and Management 10(2):634-663.
The author examines state planning mandates in five states and concludes that there are several features that can be adapted to influence implementation at the local level. Further, the author concludes that it is easier to influence implementation efforts than regulatory style, and easier to employ formal, legalistic approaches than to foster conciliatory approaches.
Extensive research has been conducted to specifically explore the relationship between state mandates and the use and effectiveness of land use measures for natural hazard mitigation. The following study found that little hazard mitigation was undertaken in communities in states without such mandates.
Drabek, Thomas E., Alvin H. Mushkatel, and Thomas S. Kilijanek. 1983. Earthquake Mitigation Policy: The Experience of Two States. Boulder: Institute of Behavioral Science, University of Colorado.
The authors performed a case study of earthquake mitigation conditions and strategies in Washington and Missouri through interviews and survey questionnaires with state and local officials, and a review of documents and reports. They found that although there has been historical damage from earthquakes in both states, there has been minimal mitigation activity. Further, it appears that the level of policy activity is related to the frequency of interactions among the stakeholders.
Much of the research on planning mandates has found a strong positive correlation between the existence of a state mandate for including hazard mitigation in land use plans and the quality of local mitigation plans.
Berke, Philip R., Dale Roenigk, Edward J. Kaiser, and Raymond J. Burby. 1996. Enhancing plan quality: Evaluating the role of state planning mandates for natural hazard mitigation. Journal of Environmental Planning and Management 17(2):178-199.
The authors report that state mandates for natural hazards planning result in plans in communities that otherwise would not do planning, and in an improvement in the quality of plans. Where there is no mandate, local plans vary widely, with some communities lagging far behind.
Berke, Philip R., and Steven P. French. 1994. The influence of state planning mandates on local plan quality. Journal of Planning Education and Research 13(4):237-250.
The authors find that state mandates have a positive impact on local hazard mitigation plans. They also find that some mandates are more effective than others. These findings are based on data gathered from 139 communities in five states.
Burby, Raymond J., and Linda C. Dalton. 1994. Plans can matter! The role of land use plans and state planning mandates in limiting development of hazardous areas. Public Administration Review 54(3):229-238.
Based on data from 176 local governments in five states, the authors conclude that land use plans offer communities an opportunity to evaluate the merits and demerits of further development in hazardous areas, leading many communities to subsequent adoption of zoning and other regulations to limit such developments. Also, without state mandates that require inclusion of hazards mitigation in local plans, many local governments will ignore opportunities for risk reduction through planning and development-limiting land use regulations.
Dalton, Linda C., and Raymond J. Burby. 1994. Mandates, plans, and planners: Building local commitment to development management. Journal of American Planning Association 60(Autumn):444-461.
Based on data gathered from local communities in five states, the authors conclude that (1) plans are limited, but important tools in hazard mitigation, (2) local agency commitment and capacity do not vary with the strength of planning mandates, and (3) hazard-specific mandates have affected planning agency commitment to hazard reduction as well as adoption of different approaches to development management.
May, Peter J., and Thomas A. Birkland. 1994. Earthquake risk reduction: An examination of local regulatory efforts. Environmental Management 18(November/December):923-937.
The authors find that local willingness to undertake risk reduction programs is more closely related to local political demands and community resources than to objective risk of previous seismic events. Further, they find that state mandates have had selective effectiveness in achieving compliance with state goals. Findings are based upon data gathered from questionnaires completed by officials from a sample of cities in California and Washington subject to moderate to high seismic risk.
The first step in any planning process for hazard mitigation is to assess the likelihood of a hazardous event and the potential loss if the event were to occur. This is an important step in assessing the need for mitigation measures and for increasing the salience of the issue for interest groups and decision makers.
Burby, Raymond J., with Beverly A. Cigler, Steven P. French, Edward J. Kaiser, Jack Kartez, Dale Roenigk, Dana Weist, and Dale Whittington. 1991. Sharing Environmental Risks: How to Control Governments' Losses in Natural Disasters. Boulder, Colo.: Westview Press.
A comprehensive investigation of the magnitude and character of government losses from natural disasters, a presentation of a range of policy options for addressing those losses, and an evaluation of the opportunities for and constraints on policy innovation and reform. The study includes a chapter on physical planning strategies and a chapter looking at the state of practice based upon a survey of local officials from 481 cities.
Emmi, Philip C., and Carl A. Horton. 1993. A GIS-based assessment of earthquake property damage and casualty risk: Salt Lake County, Utah. Earthquake Spectra 9(1):11-33.
In a study on damage forecasting in Salt Lake County, Utah, the authors employ (1) a microzonation of the earthquake ground shaking hazard; (2) an inventory of buildings by value, structural frame type, and use; (3) earthquake damage functions defining performance of buildings as a function of ground shaking intensity; (4) data on the density of residential and employee populations; and (5) earthquake casualty functions defining casualty risk as a function of building damage.
Office of Policy Development and Research, U.S. Department of Housing and Urban Development. 1995. Preparing for the "Big One": Saving Lives through Earthquake Mitigation in Los Angeles, California. Los Angeles: U.S. Department of Housing and Urban Development.
This report provides estimates of the costs of damage from the Northridge earthquake and the costs of recommended mitigation efforts. Structures considered include schools, health care facilities, residences, and lifelines.
Based on interviews, research reports, and news articles, the authors conclude that an inventory and assessment of local building stock and additional financial resources would be necessary for successful mitigation efforts.
Organization of American States. 1991. Primer on Natural Hazard Management in Integrated Regional Development Planning. Washington, D.C.: Organization of American States.
A primer on the integration of natural hazards assessment and management with regional development planning in Central and South America. The text includes a discussion of the techniques used for natural hazards assessment: remote sensing, Geographic Information Systems, multiple hazard mapping, and critical facilities mapping.
Petak, William J., and Arthur A. Atkisson. 1982. Natural Hazard Risk Assessment and Public Policy: Anticipating the Unexpected. New York: SpringerVerlag.
Using risk analysis techniques, the authors estimate annual expected losses due to natural hazards, identify specific mitigation strategies and technologies and the costs of their implementation, and discuss several policy-making considerations and constraints. From this, the authors develop and assess policy options appropriate for addressing natural hazard risks, and recommend policy actions at the federal, state, local, and private levels.
Spangle, William, and Associates, Inc. 1979. Seismic Safety and Land-use Planning: Selected Examples from California. Washington, D.C.: U.S. Government Printing Office.
This report explains how information on seismic hazards can be effectively integrated into land use planning and decision making to reduce seismic risks. It concludes that land use planning will become a more effective risk reduction strategy as more accurate and detailed information becomes available.
Spangle, William, and Associates, Inc. 1988. Geology and Planning: The Portola Valley Experience. Portola Valley, Calif.: William Spangle and Associates.
The authors explore a case study in the use of geologic information in land use planning. By combining seismic safety goals and avoidance of rupture fault lines and steep slopes with other planning goals, local officials were able to successfully implement several effective techniques.
Much research has been conducted to assess the effectiveness of local hazard mitigation techniques and approaches. This research includes evaluations of both structural and nonstructural (e.g.., land use management) techniques for a variety of natural hazards. Most research has focused on floods, hurricanes, and earthquakes.
One common finding is that pre-disaster planning is, in fact, effective in reducing the loss of life and property in a community. This finding is drawn from research methodologies ranging from case studies of local performance of specific techniques to broad national surveys of the use and effectiveness of mitigation techniques. The research finds that past mitigation efforts have left considerable room for improvement, and recommendations are often made to that end.
California Seismic Safety Commission. 1991. California at Risk: Reducing Earthquake Hazards 1992-1996. Sacramento, Calif.: California Seismic Safety Commission's Earthquake Hazard Reduction Program.
Based on lessons learned from the Whittier Narrows and Loma Prieta earthquakes, as well as prior experience, the authors suggest that communities that consider their recovery in advance of a seismic event suffer far less social and economic disruption than communities that do not.
California Seismic Safety Commission. 1995. Northridge Earthquake: Turning Loss to Gain. SSC Report No. 95-01. Sacramento, Calif.: California Seismic Safety Commission.
In this report the authors assess the effectiveness of land use planning in mitigating losses during the Northridge earthquake. Based on background reports, testimony at hearings, issue statements, and 27 case studies of buildings damaged by the earthquake, land use planning is found to have been partially effective, and potentially very effective.
Interagency Floodplain Management Review Committee. 1994. Sharing the Challenge: Floodplain Management in the 21st Century. Washington, D.C.: U.S. Government Printing Office.
This national report makes several findings on the effectiveness of various engineering strategies during the flood of 1993. Recommendations are also made for land use management strategies that would effectively achieve risk reduction, economic efficiency, and environmental enhancement in the floodplain.
Orians, Carlyn E., and Patricia A. Bolton. 1992. Earthquake Mitigation Programs in California, Utah and Washington. Seattle, Wash.: Battelle Human Affairs Research Centers.
This document provides a catalogue of selected seismic hazard mitigation programs in communities in the states of Washington, Utah, and California. The goals and objectives of each strategy are described along with specific mitigation measures. The authors also include other information, where available, such as a brief evaluation of effectiveness, estimated costs of implementation, and procedural and organizational information.
Other studies have been broader in scope, assessing the use and effectiveness of specific mitigation techniques for a variety of hazards in communities across the country. The research reveals that land use management does play an important role in reducing the risks to people and property from natural hazards.
Berke, Philip R., and Timothy Beatley. 1992. Planning for Earthquakes: Risk, Politics and Policy. Baltimore, Md.: Johns Hopkins University Press.
Berke, Philip R., and Timothy Beatley. 1992. A national assessment of local earthquake mitigation: Implications for planning and public policy. Earthquake Spectra 8(1):1-15.
Results presented in these two documents were drawn from a nationwide survey of mitigation efforts of local government planning programs and three case studies of such programs. The authors conclude that land use management can play an important role in reducing local seismic risks. They examine a variety of land use management tools and techniques that can be used to reduce seismic risk, and also look at the effects of internal and external factors on the adoption of these techniques. They find that there is much room for adoption of such programs to improve seismic hazard mitigation, particularly through post-earthquake recovery plans.
Burby, Raymond J., Scott A. Bollens, James M. Holway, Edward J. Kaiser, David Mullan, and John R. Sheaffer. 1988. Cities Under Water: A Comparative Evaluation of Ten Cities' Efforts to Manage Floodplain Land Use. Boulder: Institute of Behavioral Sciences, University of Colorado.
The authors assess data from ten cities in terms of their implications for three land use management goals: (1) decreasing future development in the floodplain; (2) increasing the use of protective measures in whatever development occurs in the floodplain; and (3) increasing the proportion of property owners who purchase flood insurance. Research findings were based on comparison of 1985 floodplain conditions with those established in a 1976 study, and on a survey of three groups of decision makers (landowners, developers, and consumers).
Burby, Raymond J., and Steven P. French, with Beverly Cigler, Edward J. Kaiser, David H. Moreau, and Bruce Stiftel. 1985. Floodplain Land-use Management: A National Assessment. Boulder, Colo.: Westview Press.
The authors assess the state-of-practice of floodplain land use management in the United States. Their conclusions are based on two national surveys of localities conducted in 1979 and 1983, and on three case studies. Primary findings include: (1) simple regulations, like those required in the National Flood Insurance Program, are not likely to be effective; (2) the scope of floodplain land use management programs is strongly associated with program effectiveness; (3) land use measures can be effective at preventing flood
damage to future development, but not to existing development; and (4) structural measures (especially dikes and levees) can often lead to more development in the floodplain than would otherwise occur.
Godschalk, David R., David J. Brower, and Timothy Beatley. 1989. Catastrophic Coastal Storms: Hazard Mitigation and Development Management. Durham, N.C.: Duke University Press.
The authors find that the single most effective local strategy for hurricane and coastal storm hazard mitigation is to incorporate mitigation objectives into a multi-objective land use management program. The authors also discuss a variety of hazard mitigation policy options with a special emphasis on land use management strategies. The results are based on findings from a national survey of 598 coastal localities and three case studies.
L. R. Johnston and Associates. 1992. Floodplain Management in the United States: An Assessment Report. Volume II: Full Report. Washington, D.C.: U.S. Government Printing Office.
This report is a comprehensive look at floodplain management approaches and techniques used in the United States. Although it found that past floodplain management efforts have accomplished much, losses from flooding continue to rise, and negative effects are seen from traditional structural approaches to modifying flooding. Improvements are suggested to a variety of mitigation strategies, and a coordinated, yet flexible, approach is recommended for a unified national strategy.
Mader, George C., and Martha Blair Tyler. 1993. Land use planning. In Improving Earthquake Mitigation: Report to Congress as Required Under Public Law 101-614 Section 14(b), National Earthquake Hazards Reduction Act. Washington, D.C.: Federal Emergency Management Agency, Office of Earthquakes and Natural Hazards.
An assessment of land use and planning strategies that can be used to reduce earthquake losses. A matrix describing 11 general strategies, the extent of their use, and their general effectiveness is included.
Platt, Rutherford H., H. Crane Miller, Timothy Beatley, Jennifer Melville, and Brenda G. Mathenia. 1992. Coastal Erosion: Has Retreat Sounded? Boulder: Institute of Behavioral Science, University of Colorado.
The authors look at strategies to protect property from the hazard of coastal erosion. They find that the strategies most commonly employed are requirements regarding elevation of new or rebuilt structures and minimum setbacks from shore. Both strategies have shown to have some effectiveness, yet neither strategy is found to be used adequately. The authors offer recommendations for improving federal, state, and local mitigation programs.
Contrary to this line of research, a report was published in 1985 that questions whether in fact it is even possible to measure the effectiveness of hazard mitigation measures.
Natural Hazards Research and Applications Information Center. 1985. Evaluating the Effectiveness of Floodplain Management Techniques and Community Programs. Boulder: Natural Hazards Research and Applications Information Center, University of Colorado.
This report presents the proceedings of a 1985 conference to discuss the state of knowledge about the effectiveness of individual floodplain management techniques and community programs. This conference found that for a number of reasons it is very difficult, if not impossible, to determine the extent to which a particular technique or program will minimize losses and prove cost-effective.
Other research has found that the effectiveness of a specific mitigation technique is often affected by the type of hazard. Depending upon local conditions and the hazard to be addressed, different combinations of techniques often demonstrate greater effectiveness than techniques used singly.
Reitherman, Robert. 1992. The effectiveness of fault zone regulations in California. Earthquake Spectra 8(1):57-77.
The subject of this paper is the effectiveness of the Alquist-Priolo program in California and its applicability to other states and hazards. The author finds that land use planning and engineering techniques are effective in combination but demand differing emphases depending upon the seismic hazard (e.g., surface rupture versus liquefaction versus ground shaking).
Spangle, William, and Associates, Inc. 1989. The Post-Earthquake Hazard Mitigation Process: A Revision and Recommendation Following the Whittier Narrows Earthquakes of 1987. Portola Valley, Calif.: William Spangle and Associates.
This report, based on interviews with local officials and a review of reports on the Whittier Narrows and the Alaska earthquakes, determined that the type of damage sustained during an earthquake affects the strategies considered for post-earthquake response. The Alaskan earthquake, which resulted in ground failure, led local officials to consider amending building codes and rezoning hazardous land.
Recently, researchers have begun to evaluate the effectiveness of hazard mitigation measures by a new yardstick: sustainability. The following work begins to probe how this might change our view of past and current management practices and offers suggestions for future innovation.
Beatley, Timothy. 1995. Planning and sustainability: The elements of a new (improved?) paradigm? Journal of Planning Literature 9(May):383-395.
Beatley, Timothy. 1994. Promoting sustainable land use: Mitigating natural hazards through land use planning. In Natural Disasters: Local and Global Perspectives. Boston, Mass.: Insurance Institute for Property Loss Reduction.
These two articles summarize literature on the state of the art of land use and development planning techniques to mitigate hazards and promote sustainable land use patterns. The author recommends incentives to localities to explore how new planning tools might work. Such tools include: transfer of development rights, clustering, traditional neighborhood development ordinances, greenway systems, innovative acquisition efforts, promotion of more compact and contiguous development patterns, hazard mapping, emphasis on multiple objectives, and linking hazard mitigation to the sustainable communities movement.
Research has shown that a number of factors, in addition to state planning mandates, often influence the effectiveness of hazard mitigation measures. One such factor is the extent to which the mitigation approach is linked with other community goals or with the mitigation of other hazards. This often happens through the normal land use planning process.
Comerio, Mary C. 1992. Impacts of the Los Angeles retrofit ordinance on residential buildings. Earthquake Spectra 8(February):79-94.
The author evaluates the Los Angeles Earthquake Hazards Reduction Ordinance of 1981. Upon examination of the compliance rate, costs of implementation, and effects on rents for residential buildings, she suggests that seismic safety policy must be linked with affordable housing goals. If this strategy is to succeed in other cities, innovative financing strategies must be considered for retrofit ordinances of unreinforced masonry buildings.
Quarantelli, Enrico L. 1991. Disaster response: Generic or agent-specific? In Managing Natural Disasters and the Environment, Alcira Kreimer and Mohan Munasinghe, eds. Washington, D.C.: World Bank.
The author finds that although the technical and physical aspects of disaster mitigation planning are agent-specific (i.e., particular to the type or class of disaster), the human, group, organizational, community, and social aspects tend to be generic. The author argues that a generic, or all-hazards, approach to disaster planning would be more effective than a hazard-by-hazard approach.
Wyner, Alan J., and Dean E. Mann. 1986. Preparing for California's Earthquakes: Local Government and Seismic Safety. Berkeley, Calif.: Institute for Governmental Studies, University of California.
The authors of this research report use case studies to understand how selected California communities have planned and implemented seismic hazard mitigation strategies. They find that use of land use measures in the Seismic Safety Elements (SSEs) of local comprehensive plans in California has become routine for many communities. Seismic hazards are considered when evaluating a development proposal, yet rarely do such concerns prevent approval of the development.
Much research has been conducted to examine the political, economic, and technological conditions and processes that influence the effectiveness of local mitigation strategies.
Alesch, Daniel J., and William J. Petak. 1986. The Politics and Economics of Earthquake Mitigation. Boulder: Institute of Behavioral Science, University of Colorado.
The authors conducted case studies and surveys of three California cities (Long Beach, Los Angeles, and Santa Ana) to examine the development, enactment, implementation, and effects of a code to reduce the number of unreinforced masonry buildings. Their findings relate to political, economic, and technological conditions that contribute to effective use of seismic safety techniques.
Berke, Philip R. 1989. Hurricane vertical shelter policy: The experience of Florida and Texas. Coastal Management 17(3):193-217.
The author examines case studies of Texas and Florida to explore the political conditions under which communities consider using vertical shelters (multistory buildings structurally reinforced to withstand hurricane forces) as an emergency evacuation option. He finds that certain conditions can be promoted to enhance the likelihood of adoption and the effectiveness of implementation.
Burby, Raymond J., and Steven P. French. 1981. Coping with floods: The land use management paradox. Journal of the American Planning Association 47(3):289-300.
The authors identify a paradox in floodplain land use management: the same local conditions that might stimulate adoption of such programs also serve to create development pressures in the floodplain, thus compromising the effectiveness of land use strategies. Based on a survey of 1,203 local jurisdictions, they find that land use measures are less effective when there is little vacant land available for future development. Thus if land use measures are to be effective, they must be put in place well before pressures for floodplain development begin to mount.
Rossi, Peter H., James D. Wright, and Eleanor Weber-Burdin. 1982. Natural Hazards and Public Choice: The State and Local Politics of Hazard Mitigation. New York: Academic Press.
The authors use survey techniques to examine the salience of natural hazard problems to elites, the assessment of risks from hazards among the larger population, and the patterns of elite and group activity in hazard mitigation policy formulation. They found that natural hazard mitigation is of low political salience to the general population and to elites, and that very little opinion is held about the various mitigation options.