Research Seminar on
Critical Infrastructures, Technological and Natural Disasters
and Public Policy


PUBP 710.008
Spring Semester, 2003
Tuesdays, 4:30-7:00 p.m. 
School of Public Policy 
Room 109 (formerly room 250)
Arlington Campus
George Mason University
Todd M. La Porte 
Associate Professor 
Office hours: Tuesday, 2 - 4 pm and
    Thursday, 5 -7 pm; by appt. 
Rm. 248, Arlington Campus 
(202) 686-7115 (home)
tlaporte *at* gmu.edu
Kevin Thomas
Research Associate Professor
Office hours: by appt.
Rm. 206, Truland Building
(703) 993-8119
kthomas2 *at* gmu.edu

Revised February 20, 2003

Course Description

Large distributed network systems, electric power, telecommunications and data, transportation, water and waste treatment, food distribution, housing and shelter, public health and care systems, and finance and banking:  all are foundations of complex modern societies.  

Threats to these systems due to human, technological and natural causes are on the rise.  They are receiving increasing attention from civil and military leaders, since societies' dependence on such large and complex systems makes them especially attractive targets for attack. Natural disasters, too, disrupt the sometimes fragile systems on which we depend for economic growth, physical protection and  social welfare.  Research shows that the incidence, and cost, of natural disasters is on the rise.

This newly perceived vulnerability has caused designing, operating, maintaining and protecting critical systems to take on a new urgency.  Technological complexity, rapid social and regulatory change, and globalization contribute to making the protection of such systems potentially very difficult. Because of their importance to the overall task of governance of modern, complex, technological societies, critical infrastructure policies and politics will be the focus of this new course.

To begin, students will be exposed to literatures that inform our understanding of large, complex, sometimes risky technical systems.  We will read and discuss work on normal accident theory, emergency management, disaster assistance and public utility regulation and deregulation,. We will look particularly at issues of public policy that affect organizations' capacity to function at high levels of reliability.  We will examine how societies and organizations understand and manage risk through both direct government control and through systems of risk sharing and insurance.  And we will consider the extent to which the design and operation of critical infrastructures present problems of governance and values of concern to the public.  The reading and discussion phase of the semester will last approximately 8 weeks.

During the second half of the term, students will conduct collaborative research and fieldwork on critical infrastructure systems and organizations, explore how they are planned and designed, and see how they function during and after a natural or technical disaster or attack.  Students will learn to perform infrastructure vulnerability assessments by doing research on a critical infrastructure of their choice, and will learn to conduct elite interviews with agency staff and operatives in the Washington region.

This course will be conducted in association with the activities of the Critical Infrastructure Working Group.


Course Requirements and Grading

The course will be conducted as a seminar. You are expected to:

Grades will be based on the following allocation:

In-class and electronic discussion 20 %
Final paper 50 %
Presentation 30 %

In-class and electronic discussion

Class and electronic discussion group participation is an important part of this seminar. These discussions are intended to be highly interactive, open, and even irreverent (but always respectful!). Questions about many concepts are undoubtedly going to arise, and the class bulletin board is a good place to raise them.  WebCT can be accessed by clicking here , or by going to http://mason3.gmu.edu:8900/SCRIPT/ITRN701S00/scripts/serve_home.

Final paper

Students are required to submit a written paper (6,000 words) that reports on the fieldwork or problem area your group has investigated.  It should apply the concepts the seminar will address, and expand on them in light of developments you and your group have found.

This paper will be done in small groups or individually.  I encourage students to work together to master the material, and to generate useful ideas and insights.  If you work on a group paper, the contribution of each member should be equal to a regular individual term paper effort; the page length should reflect.  I may ask for individual assessments of how the group worked, to fairly allocate credit to team members.

The presentation of the group's work is also an important activity.  If you wish, you may consider as an audience for your presentation a senior official of the organization or problem owner.  Presentations will be given during the last two class sessions.  These could be used as practice sessions for a briefing to senior management on your findings and observations.

The format of the paper can be in any consistent and logical system, of which there are many.  Diana Hacker's A Pocket Style Manual or A Writer's Reference have been very useful to many students; copies are on sale in the Arlington Campus bookstore. The paper must be double-spaced on regular white paper.  Spelling, punctuation and syntax are important, and will be considered in the final evaluation. The University Writing Center can help with the mechanics of paper composition, if you have any concerns about it.  See me if you have any questions about writing, styles, etc.

The final paper will be due at 4:30 pm on May 5, 2003.

Please note: All work must be your own. Where the work of others is used, even in paraphrased form, it must appropriately referenced, including (especially!) material taken from on-line sources.  When in doubt, cite!  Plagiarism is an Honor Code violation.  If you have any questions about proper referencing practice, read the information at:  http://www.indiana.edu/~wts/wts/plagiarism.html , or contact the instructors.

In order to assure a level playing field for all students, we may require that papers be submitted electronically in order to facilitate source and fact checking.  For lists of "term paper mills" that share or sell term papers, see http://www.coastal.edu/library/mills2.htm . We're sure you can do work that is much higher quality than what is purveyed here.


Readings

Readings will be available on the Web or through the Library's Electronic Reserve System.  Suggested readings will be made available by the instructors.  Electronic reserve readings are noted in the entries below.

To access the electronic reserves, go to the Library's e-reserve link:   http://oscr.gmu.edu/cgi-bin/ers/OSCRgen.cgi

Scroll through the list of courses ("PUBP 710 section 008") or instructors ("La Porte"), and enter the password "dial" to get access to the readings.  You may need to download Adobe Acrobat to view some of the files.


Discussion Topics


September 11

Homer-Dixon, Thomas, "The Rise of Complex Terrorism." Foreign Policy, January/February 2002, pp. 52-62.  http://www.foreignpolicy.com/issue_janfeb_2002/homer-dixon.html .  Accessed January 16, 2003.  Also on Electronic Reserve.

Tierney, Kathleen J., "Strength of a city: a disaster research perspective on the World Trade Center attack," Social Science Research Council/After Sept. 11, 2002.   http://www.ssrc.org/sept11/essays/tierney.htm   Also on Electronic Reserve.

Kelly, John and David Stark,  "Crisis, Recovery, Innovation:  Learning from 9/11."  Working paper for the Center on Organizational Innovation, Columbia University, May 2002.  http://www.coi.columbia.edu/pdf/kelly_stark_cri.pdf  Also on Electronic Reserve.

Steven Cohen, William Eimicke, and Jessica Horan, "Catastrophe and the public service: A case study of the government response to the destruction of the World Trade Center," Public Administration Review, vol. 62, September 2002, pp. 24- .  Draft:   http://www.columbia.edu/~sc32/CATASTROPHE%20AND%20THE%20PUBLIC%20SERVICE.pdf

Also on Electronic Reserve.

Recommended reading

Understanding September 11, [essays compiled by the Social Science Research Council], (New York:  New Press, 2002). http://www.ssrc.org/sept11/essays/  Also on Electronic Reserve.

"After-Action Report on the Response to the September 11 Terrorist Attack on the Pentagon," document prepared for Arlington County by Titan Systems Corporation under a grant from Department of Justice, Office of Justice Programs, Office for Domestic Preparedness, contract number GS10F0084K, order number 2001F_341. http://www.co.arlington.va.us/fire/edu/about/pdf/after_report.pdf .  Accessed February 7, 2003.


Hazards, disasters and emergencies

Tierney, Kathleen J., et al., eds, Facing the unexpected: disaster preparedness and response in the United States, (Washington:  Joseph Henry Press, 2001).  Available at http://print.nap.edu/pdf/0309069998/pdf_image/  (PDF-easier to download, but unofficial) or  (Open Book-hard to download, but official).  See especially:
   
    "Conceptualizing Disasters and Their Impacts," chap. 1, pp. 1-26;
    "Getting Ready:  Research on Disaster Preparedness," chap. 2, pp. 27-28, 46-79;
    "Meeting the Challenge:  Organizational and Governmental Responses in Disasters," chap. 4, pp. 121-136, 143-156;
    "Factors Influencing Disaster Preparedness and Response," chap. 5, pp. 157-166, 188-197;
    "The Wider Context:  Societal Factors Influencing Emergency Management Policy and Practice," chap. 6, pp. 199-224;
    "Where Do We Go From Here?" chap. 7, pp. 254-260.

Mileti, Dennis S., Disasters by design: a reassessment of natural hazards in the United States, (Washington, DC:  National Academy Press, 1999). Available at http://www.nap.edu/books/0309063604/html/  See especially:
   
    "A sustainablility Framework for Natural and Technological Hazards," chap. 1, pp. 17-39;
    "Economic Costs and Impacts," chap. 3, pp. 65-104 (skim);
    "Influences on the Adoption and Implementation of Mitigation," chap. 5, pp. 135-154;
    "Preparedness, Response and Recovery," chap. 7, pp. 209-240.

Comfort, Louise K., "Governance Under Fire: Organizational Fragility in Complex Systems," in Governance and Public Security, (Syracuse, NY:  Syracuse University Press, 2002).  Draft: http://webdev.maxwell.syr.edu/campbell/Governance_Symposium/comfort.pdf

Recommended reading

Waugh, William L., Living with hazards, dealing with disasters: an introduction to emergency management, (Armonk, NY:M. E. Sharpe, 2000).

Chiles, James R., Inviting disaster: lessons from the edge of technology, (New York:  HarperBusiness, 2001).


Technological disasters and risk

Perrow, Charles, "Organizing to Reduce the Vulnerabilities of Complexity," Journal of Contingencies and Crisis Management, vol. 7, no. 3, September 1999, pp. 150-155.  On Electronic Reserve.

Perrow, Charles, Normal Accidents:  Living with High Risk Technologies, rev. ed., (Princeton:  Princeton University Press, 1999).  Originally published in 1984.  On Electronic Reserve.  See especially

    "Complexity, Coupling, and Catastrophe," chap. 3, pp. 62-100, and
    "Living with High Risk Systems," pp. 304-352.  

Rochlin, Gene, Trapped in the Net:  The Unanticipated Consequences of Computerization, (Princeton:  Princeton University Press, 1997).  Full text available at http://www.pupress.princeton.edu/books/rochlin/ .  Also on Electronic Reserve.  See especially:

    "The Logistics of Techno-War," chap. 10, http://www.pupress.princeton.edu/books/rochlin/chapter_10.html
    "C3I in Cyberspace," chap. 11, http://www.pupress.princeton.edu/books/rochlin/chapter_11.html
    "Invisible Idiots," chap. 12, http://www.pupress.princeton.edu/books/rochlin/chapter_12.html
   
Clarke, Lee and James Short, “Social organization and risk:  some current controversies,” Annual Review of Sociology, vol. 19, 1993, pp. 375-399.  On Electronic Reserve.

Recommended reading

Sagan, Scott D., The Limits of Safety:  Organizations, Accidents, and Nuclear Weapons, (Princeton:  Princeton University Press, 1995).

Neumann, Peter G., Computer-related risks, (New York:  Addison-Wesley Publishing Co., 1995).


Managing organizations to mitigate risk

Wildavsky, Aaron, Searching for safety, (New Brunswick, NJ:  Transaction Books, 1988).  On Electronic Reserve.  See especially

    "Anticipation Versus Resilience," chap. 4, pp. 77-103, and
    "The Secret of Safety Lies in Danger," chap. 10, pp. 205-228.

Rees, Joseph V., Hostages of each other:  the transformation of nuclear safety since Three Mile Island, (Chicago:  University of Chicago Press, 1996).  On Electronic Reserve.  See especially

    "Lessons of Three Mile Island," chap 2, pp. 11-26,
    "Institute of Nuclear Power Operations," pp. 41-64, and
    "Communal Pressure," chap. 6, pp. 91-120.

Robin M. Hogarth, "Insurance and Safety After September 11:  Has the World Become a "Riskier" Place?" in Understanding September 11, [essays compiled by the Social Science Research Council], (New York:  New Press, 2002).   http://www.ssrc.org/sept11/essays/hogarth.htm  Also on Electronic Reserve.

Recommended reading

Reason, J. T., Managing the risks of organizational accidents, (Ashgate Publishing Company, 1997).


High reliability organizations

Roberts, Karlene H., Robert Bea and Dean L. Bartles, “Must accidents happen? Lessons from high-reliability organizations,” The Academy of Management Executive, August 2001, vol., 15, no. 3, pp. 70-78.  On Electronic Reserve.  

Grabowski, Martha and Karlene Roberts, "Risk mitigation in large-scale systems: Lessons from high reliability organizations," California Management Review, vol 39, Summer 1997, pp. 152-162.  On Electronic Reserve.  

Weick, Karl E., Kathleen M. Sutcliffe, Robert E. Quinn, Managing the unexpected: assuring high performance in an age of complexity, (New York:  John Wiley & Sons, 2001).  On Electronic Reserve.  See especially

    "Managing the Unexpected," chap. 1, pp. 1-23,
    "The Expected--and the Unexpected," chap. 2., pp. 25-50, and
    "A Closer Look at Process and Why Planning Can Make Things Worse," pp. 51-83.

Recommended reading

La Porte, Todd R. and Paula Consolini, "Working in practice but not in theory:  theoretical challenges of high reliability organizations," Journal of Public Administration Research and Theory, vol. 1, pp. 19-47.

Schulman, Paul R., "The negotiated order of organizational reliability," Administration & Society, vol. 25, no. 3, November 1993, pp. 353-373.  On Electronic Reserve.  


Organizations and coordination

Chisholm, Donald, Coordination without hierarchy: informal structures in multiorganizational systems, (Berkeley; Oxford: University of California Press, 1989).


Critical infrastructures and assurance

Presidental Decision Directive 62, http://www.usdoj.gov/criminal/cybercrime/white_pr.htm
Presidental Decision Directive 63, http://biotech.law.lsu.edu/blaw/general/pdd62.htm
Both on Electronic Reserve.

Miriam Heller, "Interdependencies in Civil Infrastructure Systems," The Bridge [a publication of the National Academy of Engineering], vol. 31, no. 4, Winter 2001.   http://www.nae.edu/nae/naehome.nsf/weblinks/KGRG-573PLA?OpenDocument

Amin, Massoud, "National Infrastructures as Complex Interactive Networks," in Automation, Control, and Complexity: New Developments and Directions, Samad & Weyrauch (eds.), John Wiley and Sons, 2000, pp. 263-286.   http://www.complexityandpolicy.org/images/chapter14.pdf

Piller, Charles, "Hackers Target Energy Industry:  Computers: Attacks at power companies are up substantially. Some experts blame industrial spying and mischief, others fear terrorism," Los Angeles Times, July 8, 2002, n.p.  Accessed July 10, 2002.

Gellman, Barton, “Cyber-Attacks by Al Qaeda Feared:  Terrorists at Threshold of Using Internet as Tool of Bloodshed, Experts Say,” Washington Post, June 27, 2002, pp. A01-

Recommended reading

National Research Council, Making the Nation Safer:  Science and Technology to Counter Terrorism, (Washington, DC: National Academy Press, 2002).   http://www.nap.edu/html/stct/index.html .  Also on Electronic Reserve.  See especially

    "Information Technology," chap. 5, pp. 135-176,
    "Energy Systems," chap. 6, pp. 177-209,
    "Cities and Fixed Infrastructure," chap. 8, pp. 238-266 ,
    "Complex and Interdependent Systems," chap. 10, pp. 287-312.

Sandia National Labs, “Infrastructure Assurance Strategic Roadmaps,” August 1998.


Homeland Security:  Policy and government

National Strategy for the Physical Protection of Critical Infrastructures and Key Assets, February 2003, http://www.dhs.gov/dhspublic/interweb/assetlibrary/Physical_Strategy.pdf

M. Shamsul Haque, "Government responses to terrorism: critical views of their impacts on people and public administration," Public Administration Review, Washington; September 2002, pp. 170-  On Electronic Reserve.  

Waugh , William L., Jr. and Richard T. Sylves, "Organizing the war on terrorism," Public Administration Review, vol. 62, September 2002, pp. 145-  On Electronic Reserve.  

Wise, Charles R. and Rania Nader, "Organizing the federal system for homeland security: Problems, issues, and dilemmas," Public Administration Review, vol. 62, September 2002, pp. 44-  On Electronic Reserve.  


Qualitative and field work methodologies

Schutt,  R. K., "Qualitative Methods:  Observing, Participating, Listening," chap. 8 in Investigating the Social World:  the Process and Practice of Social Research, 3rd. ed., (Thousand Oaks, CA:  Pine Forge Press, 2001), pp. 263-307.  On Electronic Reserve.  

Johnson, J. B. and R. A. Joslyn, "Elite Interviewing and Survey Research," chap. 10 in Political Science Research Methods, (Washington:  CQ Press, 1995), pp. 261-293.

Recommended reading

Babbie, E., The practice of social research, (Belmont, CA: Wadsworth Publishing Co, 1989).

Creswell, J. W., Qualitative inquiry and research design: choosing among five traditions, (Thousand Oaks, CA: Sage, 1998).

Guba, E. G. & Lincoln, Y. S., Fourth generation evaluation, (Newbury Park, CA: Sage Publications, 1989).

Yin, R. K., Case study research: design and methods, vol. 5, (London: Sage Publications, 1984).