This dissertation contributes to the disaster resilience policy literature by examining the diffusion of hazard mitigation policy in the U.S. Using the three-paper model, it investigates the adoption of local hazard mitigation plans (LHMPs) from an intergovernmental perspective. The first paper focuses on horizontal diffusion in hazard mitigation planning among local communities. Special attention is paid to the potential factors affecting the adoption of FEMA-approved LHMPs, Hazard Mitigation Grant Program (HMGP) projects and Pre-Disaster Program (PDM) projects at the county level. The Event History Analysis (EHA) Logit Model and Spatial Autocorrelation Models test the hypotheses corresponding to external factors such as the neighboring effects and internal factors, including disaster risks, neighborhood disadvantage and affluence, government capacity, local disaster resilience advocacy groups, and political support. The empirical results confirmed the significant influence of neighboring effects, indicating that counties are more likely to implement the same mitigation strategies if neighboring counties have done so. The results also revealed that disaster experience, government capacity, and strong democratic support significantly impact the likelihood of adopting LHMP and HMGP. Additionally, the results suggested that disadvantaged communities were more likely to adopt mitigation policies, while affluent communities were less likely to adopt such policies. The second paper evaluates the effectiveness of the FEMA's Program Administration by State Pilot (PAS). By integrating the Propensity Score Matching (PSM) technique with the Difference-in-Differences (DID) analysis, the empirical evidence demonstrated a significant reduction in the approval times for both LHMP and HMGP in pilot states compared to non-pilot states, with an average reduction nearing 30%. This suggests that the PAS program has effectively streamlined administrative processes, thereby enhancing efficiency in disaster management within pilot states. The analysis also indicated that the impact of PAS on the actual funding received through HMGP was insignificant, suggesting that while administrative processes were expedited, the allocation of financial resources remained unaffected. The third paper attempts to understand how local governments respond to top-down policy pressures in vertical diffusion by analyzing the text similarities of hazard mitigation strategies between state hazard mitigation plans and county LHMPs in Ohio using the word embedding technologies. The study employs the Word2Vec algorithm to assess the policy similarity between the hazard mitigation goals outlined in LHMPs and SHMPs. Building on this initial analysis, this research further uses the Beta Regression model to examine the textual similarities within LHMPs in Ohio, focusing on how the type of author - government versus private consultants, and the nature of the goals, whether action-based or hazard-based, affect these alignments. The regression analysis shows that LHMPs authored by government entities tend to exhibit higher textual similarity, reflecting the influence of standardized approaches driven by state and federal guidelines. This suggests a compliance-driven alignment in government-written plans. Conversely, LHMPs authored by private consultants display greater variability, suggesting that these plans are customized to the specific needs and risk assessments of local communities. Additionally, the regression results indicate that action-based and mixed-goal LHMPs are associated with higher textual similarity across counties. To carry out the empirical analysis mentioned above, this dissertation builds a panel dataset for all counties from 2000 to 2020, which contains data on LHMPs, HMA projects, disaster risks, socioeconomic characteristics, regional economic and political indicators, etc. / Doctor of Philosophy / Hazard mitigation in the United States is a critical issue, especially as the frequency and cost of disasters continue to rise. This dissertation investigates the dynamics of hazard mitigation planning within a multi-level governmental framework, focusing on the adoption of Federal Emergency Management Agency (FEMA) approved Local Hazard Mitigation Plans (LHMPs), Hazard Mitigation Grant Program (HMGP) projects, and Pre-Disaster Program (PDM) projects. across U.S. counties and the influence of federal and state policies on these local initiatives. The first paper examines the horizontal diffusion of LHMPs among local communities, revealing the significant influence of neighboring counties. This "neighboring effect" shows that counties are more likely to adopt similar mitigation strategies if their neighbors have done so, emphasizing the role of regional collaboration in spreading effective disaster resilience practices. Additionally, the study found that counties with more disaster experience and greater governmental capacity are more likely to implement LHMPs, highlighting the importance of preparedness and resources in driving policy adoption. Furthermore, this research finds counties with higher socioeconomic disadvantages are more proactive in adopting mitigation policies, which could be attributed to the higher perceived risks and available federal funding targeted at these communities. The second paper evaluates the impact of FEMA's Program Administration by State (PAS) pilot program on the administrative efficiency of LHMP and HMGP approvals. The findings indicate a significant reduction in approval times in pilot states, suggesting that the PAS program has successfully streamlined administrative processes. However, this expedited process did not lead to increased funding or broader adoption, pointing to the need for further policy enhancements to ensure that administrative improvements translate into real-world benefits for disaster preparedness. The third paper explores the vertical diffusion of policy from state to local governments, using Ohio as a case study. It employs advanced text analysis to measure the similarity between state and local hazard mitigation plans. The results show that government-authored LHMPs tend to closely follow state guidelines, indicating a top-down influence that ensures compliance with federal and state objectives. In contrast, LHMPs authored by private consultants were more varied and aligned to the specific needs and risks of local communities. This suggests that a balance is needed between standardized policies and local customization to effectively address the unique challenges of different regions. By integrating these findings, this dissertation provides a comprehensive overview of how hazard mitigation policies are adopted and implemented across various governmental levels. The research concludes with policy recommendations that advocate for sustained reforms in hazard mitigation funding, emphasizing the need for equitable resource distribution among disadvantaged communities. It also offers critical insights into improving intergovernmental cooperation and policy effectiveness, ensuring that all communities, regardless of their socio-economic status, can enhance their resilience and better prepare for future disasters. This research ultimately serves as a guide for policymakers to refine strategies that foster robust, community-centered resilience practices, enhancing the nation's overall disaster preparedness and response capabilities.

As of 2007, according to the Census Bureau, there were more than 37 million people over the age of 65 and 38.22 million people with disabilities (5 years and older). In 2008, the National Response Framework (NRF) replaced the National Response Plan (NRP). One of the criticisms that lead to this change in policy is that during Hurricane Katrina, response to a number of vulnerable populations was not effective as should have been. This thesis addresses the concern for vulnerable populations in regards to planning and preparing for emergencies by assessing their inclusion in the state emergency plans of FEMA Region IV. Vulnerable populations is defined (in this paper) as individuals living with a disability, individuals 65 years or older and individuals with combination of the two. This research is based upon the assumption that there is a need for emergency management at all levels of government for all residents. In order to assess the inclusion of specific vulnerable populations in state emergency plans this thesis will look at the policy change made in the national plans. Using a content analysis, comparative analysis of national plans and an overall analysis of FEMA Region IV States, a standard of measurement is identified and significant influences affecting state emergency management are found. The Region IV states being compared are Alabama, Georgia, Florida, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee. The claim is that the inclusiveness of state emergency plans in regards to response to vulnerable populations does not match that of the NRF. This research also suggests there are issues with the guiding documents for state emergency plans. The findings of this analysis can lead to a number of future research endeavors related to how states improve emergency preparedness and response.

The main objective of this study was to investigate and quantify the impact of extreme hydrodynamic forces, similar to those generated by tsunami-induced inundation, on structural elements. As part of a comprehensive experimental program and analytical study, pressures, base shear forces, and base overturning moments generated by hydraulic bores on structural models of various shapes were studied. In addition, the impact force induced by waterborne wooden debris of different shapes and masses on the structural models was also investigated. Two structural models, one with circular and the other with square cross-section, were installed individually downstream of a dam-break wave in a high-discharge flume. Three impounding water heights (550, 850 and 1150 mm) were used to produce dam-break waves, which have been shown to be analogous to tsunami-induced coastal inundation in the form of highly turbulent hydraulic bores. Time-history responses of the structural models were recorded, including: pressures, base shear forces, base overturning moments, lateral displacements, and accelerations. In addition, the flow depth-time histories were recorded at various locations along the length of the flume. Regular and high-speed video cameras were used to monitor the bore-structure interaction. The effect of initial flume bed condition (“wet” or “dry” bed) on the forces and pressures exerted on the structural models were also investigated. Moreover, the vertical distribution of pressure around the models was captured. Simple low-height walls with various geometries were installed upstream from the structural models to investigate their efficiency as tsunami mitigation measures. The experimentally recorded data were compared with those estimated from currently available formulations. The results and analysis of the simulated tsunami-induced bore presented in this study will be of significant use to better estimate forces exerted on structures by tsunami-induced turbulent bores. It is expected that this work will contribute to the new ASCE7 Chapter 6 - Tsunami Loads and Effects in which two of this author’s academic supervisors, Drs. Ioan Nistor and Dan Palermo, are members.

The topic of this thesis is base isolation. The purpose of this thesis is to offer a relative understanding of the seismic performance enhancements that a typical 12-story steel office building can achieve through the implementation of base isolation technology. To reach this understanding, the structures of a fixed-base office building and a base-isolated office building of similar size and layout are designed, their seismic performance is compared, and a cost-benefit analysis is completed. The base isolation system that is utilized is composed of Triple Friction Pendulum (TFP) bearings. The work of this thesis is divided into four phases. First, in the building selection phase, the structural systems (SMF and SCBF), layout, location (San Diego, CA), and design parameters of the buildings are selected. Then, in the design phase, each structure is designed using modal response spectrum analysis in ETABS. In the analysis phase, nonlinear time history analyses at DBE and MCE levels are conducted in PERFORM-3D to obtain the related floor accelerations and interstory drifts. Finally, in the performance assessment phase, probable damage costs are computed using fragility curves and FEMA P-58 methodology in PACT. Damage costs are computed for each building and seismic demand level and the results are compared.

The performance of nonstructural components in critical infrastructure, such as nuclear power plants (NPPs), has been primarily based on experience and historical data. This topic has been attracting increased interest from researchers following the Fukushima Daiichi nuclear disaster in 2011. This disaster demonstrated the importance of using batteries in NPPs as an auxiliary power system, where such systems can provide the necessary power to mitigate the risk of serious accidents. However, little research has been conducted on such nonstructural components to evaluate their performance following the post- Fukushima safety requirements, recommended by several nuclear regulators worldwide [e.g., Nuclear Regulatory Commission (NRC), and Nuclear Safety Commission (NSC)]. To address this research gap, this dissertation investigates the lateral performance of an auxiliary battery power system (ABPS) similar to those currently existing/operational in NPPs in Canada. The ABPS was experimentally tested under displacement-controlled quasi-static cyclic fully-reversed loading that simulates lateral seismic demands. Due to the presence of sliding batteries, the ABPS was then tested dynamically under increased ground motion levels on a shake table. The experimental results demonstrated that the design guidelines and fragility curves currently assigned to battery rack systems in the FEMA P58 prestandards do not encompass all possible failure mechanisms. A 3D numerical model was also developed using OpenSees software. The model was validated using the experimental results. The model results showed that the lateral performance of ABPS with different configurations (i.e. different lengths, tiers, and seismic categories) is influenced by the capacity of the L-shaped connection between the side rails and the end rail. However, the model was not able to predict all the damage states from the dynamic experimental tests, since the rocking/sliding/impact behavior of the batteries is a highly complex nonlinear problem by nature and beyond the scope of this study. The model presented is limited to the assessment of the lateral performance of different ABPS statically. This dissertation demonstrated the difference between the observed behavior of laboratory-controlled lateral performance tests of ABPSs operational/existing in NPPs and the behavior of ABPSs found in the literature that relied on limited historical and experience data. Finally, this dissertation laid the foundations for the need to further investigate the behavior of other safety-related components in NPPs and assess their compliance with new post-Fukushima design requirements. / Thesis / Doctor of Philosophy (PhD)

The Staffing for Adequate Fire and Emergency Responders (SAFER) Grant Program: An Analysis of Fiscal Federalism and How Local Governments Utilize SAFER Grant Funding. Thomas J. Layou ABSTRACT This dissertation presents a comprehensive analysis of the Staffing for Adequate Fire and Emergency Responders (SAFER) grant program's impact on Virginia's local governments, emphasizing their fiscal strategies, emergency management practices, and demographic relationships. By incorporating theories of fiscal federalism and the political economy, this study explores how SAFER grants, provided by the FEMA, influence local tax policies, economic stability, and the staffing levels in fire and emergency medical service departments, against the backdrop of a critical need for enhanced public safety post the 9/11 terrorist attacks. The second chapter provides a review of the literature tracing the evolution of fiscal federalism from its roots in the political philosophies of the Federalist Papers to its contemporary interpretations and applications. The study found gaps in the literature, providing opportunities for further exploration of how the current scholarship has been built upon the different generations of fiscal federalism. This study seeks to contribute to the literature by examining the relationship that federal grants have with local governments' preparation for emergencies through their local fire and emergency medical service staffing. The dissertation constructs a novel dataset covering SAFER grant allocations, local tax rates, and fire and emergency medical service budgets across Virginia's cities and counties from 2016 to 2022. It evaluates the grants' effects on budgetary decisions and staffing levels, utilizing a methodological framework that includes regression analysis, correlation coefficients, and event series analysis. The third chapter focuses on the socio-political and economic determinants affecting the distribution of the SAFER grant funding, revealing that jurisdictions with higher median household incomes receive more funding, contrary to expectations that economically disadvantaged areas are prioritized. This chapter also highlights the disparities in resource allocation and examines the equitable distribution between volunteer and professional fire departments and the relationship of political leanings on fund allocation. The fourth chapter explores the SAFER grants within the principal-agent framework, investigating their impact on local government tax policy and economic stability. It explores whether SAFER grants lead to changes in local tax policies and how they contribute to fiscal stability, especially during crises such as the 2007-2008 financial crisis and the COVID-19 pandemic. The fifth chapter assesses the SAFER grants' effectiveness in increasing the number of full-time equivalent (FTE) employees and improving public safety. It scrutinizes whether these grants supplement or supplant local budgets and their broader implications for budget allocations and incident reduction, which tie closely with the federal government's national preparedness goals. This dissertation advances emergency management scholarship by offering new insights into the allocation of SAFER grants in Virginia and its impact. It provides a multifaceted understanding of how federal funding influences local emergency services, fiscal policies, and community welfare, contributing valuable knowledge for policymakers, grant administrators, and scholars interested in enhancing public safety and preparedness. / Doctor of Philosophy / The Staffing for Adequate Fire and Emergency Responders (SAFER) Grant Program: An Analysis of Fiscal Federalism and How Local Governments Utilize SAFER Grant Funding. Thomas J. Layou GENERAL AUDIENCE ABSTRACT This dissertation investigates how federal money, specifically the SAFER grants aimed at improving fire and emergency services, impacts local communities in Virginia. The SAFER grants are designed to provide a financial boost to a community's fire department in hiring more firefighters. This study goes beyond hiring to determine who receives the grant money and why. It examines if richer areas are more likely to receive funds than poorer ones. The study also considers whether a community's size or the number of emergencies they handle influences the amount of funding they receive. By analyzing the data from Virginia, this study sheds light on the process behind these grants. It finds that wealthier areas often receive more funding, supporting prior research and challenging the idea that such grants primarily benefit economically disadvantaged regions. Additionally, the study examines whether there exists a fair balance in funding between volunteer-based and professional fire departments and how politics may play a role in who receives more or less funding. Furthermore, this dissertation explores the ripple effects of the SAFER grants. It assesses whether these grants encourage local governments to adjust their spending and tax policies. The findings suggest that receiving a SAFER grant does not necessarily lead local governments to increase taxes or decreases spending in other areas. Instead, these governments appear to use these funds strategically to enhance public safety without overburdening local taxpayers. Ultimately, this dissertation not only provides valuable insights into the allocation and impact of the SAFER grants but also raises important questions about equity, fairness, efficiency, and the role of government at all levels in ensuring public safety.

保障人民的生命財產安全向來為政府的基本職責之一，而要如何在重大災害發生之際，擬訂周全的處理計畫，確保人民的生命財產安全，則取決於政府的「緊急災難管理」（emergency management）能力。 我國政府自民國八十三年由行政院頒佈「災害防救方案」後，無疑為我國「緊急災難管理」的體系與決策運作制度立下新的里程碑。然而此一體系在歷經了民國八十五年「賀伯風災」、八十六年「溫妮風災」、台北縣汐止鎮「林肯大郡災難」、八十七年桃園縣「華航大園空難」，直至去年（民國八十八年）「九二一大地震」的嚴苛挑戰後，卻如殘垣破瓦般不堪一擊。政府雖於今年（民國八十九年）六月底完成「災害防救法」三讀程序，然而其內容除了在提高災害防救委員會的層級，以及擴增消防署之功能上有所建樹外，仍多半延續舊有的災害防救體制，是否真能一掃以往「災害防救方案」在執行過程中所產生的缺失，仍有待時間來加以檢驗，但吾人不難從今年七月二十二日「八掌溪事件」，政府救災體系的複雜，以及決策運作的紊亂中看出端倪。 本論文的研究目的在探討我國如何建立一個足以防範多元災害的整合性緊急管理體系，並成立從中央至地方一條鞭式，運作順暢的災難決策運作模式。本論文的研究方法主要是透過文獻資料分析，從制度面、決策面與程序面三面向進行美、日兩國的個案比較。制度面旨在探討緊急災難管理之組織體系與架構；決策面旨在分析中央至地方的決策運作模式；程序面則是從美、日之救災實例過程中尋求可供我國政府參考，提高救災績效的運作程序。在此舉美國政府處理加州北嶺大地震（又稱洛杉磯大地震）以及日本政府處理阪神大地震之經過為例。 本論文除透過文獻分析進行美、日兩國的個案比較之外，更於其後藉由「德菲法」（Delphi technique）問卷調查的方式，設計開放式問卷以供專家學者針對如何改進我國目前災害防救體系做出具體回應，以收集思廣益之效。最後則綜合專家學者之意見並取得共識，找出最可行的方案，以作為本論文之政策建議。 本論文的政策建議仍分為制度面、決策面與程序面三面向分別加以探討。除建議我國政府可倣效美國「緊急災難管理」體系，成立台灣之FEMA（緊急管理總署）外，必須將決策層級改為中央－地方兩級制以利決策管道之順暢，至於培訓專業人才、健全法源依據、賦予地方政府較大的決策自主性、加強緊急通訊設備等課題，都是攸關「緊急災難管理機制」健全與否的重要因素，政府千萬不可等閒視之。 「緊急災難管理」是一門「科際整合」的（inter-disciplinary）學問，本論文僅從組織的觀點切入，建議後續研究人員可從法制層面、軍事民防層面與都市計劃層面進行研究探討，使我國「緊急災難管理」體系與制度更趨完備。

In this dissertation project, I examine the experiences of displaced Hurricane Katrina survivors in the context of post-disaster housing policies and practices. This research is based on two years of in-depth interviews with Katrina survivors who were displaced to Austin, Texas. I analyze these interviews to understand the raced, classed, and gendered implications of post-disaster housing policies and to consider what these implications reveal about the relationship between social policies, housing, and social inequality more broadly. This project is informed by an intersectional understanding of social stratification systems and inequalities and a critical analysis of neoliberal social policy. First, I outline the gender, family, and class ideologies embedded in government-run post-Katrina housing policies and practices, and show how they specifically disadvantaged people who did not conform to them. I identify temporal domination as a specific aspect of class oppression evident in respondents’ experiences with the Federal Emergency Management Agency’s (FEMA) rental assistance programs. Next, I specifically examine respondents’ experiences settling into their new neighborhoods and searching for jobs. I found that many black survivors ended up in segregated remote areas of the city, far from jobs and public transportation. Their job searching experiences suggest that employers used racist stereotypes about Latino workers to coerce them to work for low wages. This reveals the complex and interrelated racial dynamics of low-wage urban housing and labor markets. Finally, I explore how survivors got by in the face of such difficult and in some cases dire circumstances. One primary way survivors coped with the uncertainty caused by their displacement was relying on their social networks. While women tended to depend on adult child - parent and other familial relationships, men tended to distance themselves from the potential support of their mothers and other relatives. Respondents also constructed fictive kin relationships to provide support to others, sometimes for the explicit purpose of ensuring one or both members of the relationship had access to stable housing. This reveals how both gender and family relationships can shape disaster recovery and everyday experiences of poverty. Overall, this project contributes to the study of race/class/gender inequality, social policy, housing, and disaster recovery. / text

Natural disasters are increasing in both number and severity, causing the number of people being displaced by disaster to rise as well. Hurricane Katrina provides a particularly poignant example of the human impact of disaster, and of inadequate disaster response, especially where housing is concerned. The Federal Emergency Management Agency’s response to Hurricane Katrina in New Orleans exposed a gap in the approach to housing survivors of natural disasters, especially at the interim housing level. The FEMA trailer - which was only intended to house survivors temporarily but, in many cases, became a long term housing solution, - provided shelter for survivors, but did not account for their psychological well-being. The loss of one’s home can be a traumatic experience, as people identify their sense of self with their home. Therefore, it is crucial to reinstate this sense of home, and in turn provide continuity to the sense of self, early on in the recovery process. Rebuilding after a natural disaster is a long process. Because of this, disaster housing needs to be able to evoke a sense of home and ownership so that inhabitants can connect with their environment and reinstate their daily routines. This helps them to rebuild their lives. The proposed project attempts to do this by allowing for flexibility and choice in both the design and daily use of the house. The house transitions from temporary to permanent housing, allowing for a dialogue between inhabitant and environment to begin early on in the recovery process, and to persist. The design is informed by theories on place making, elements of home, dwelling, as well as loss and the grieving process.

Natural disasters are increasing in both number and severity, causing the number of people being displaced by disaster to rise as well. Hurricane Katrina provides a particularly poignant example of the human impact of disaster, and of inadequate disaster response, especially where housing is concerned. The Federal Emergency Management Agency’s response to Hurricane Katrina in New Orleans exposed a gap in the approach to housing survivors of natural disasters, especially at the interim housing level. The FEMA trailer - which was only intended to house survivors temporarily but, in many cases, became a long term housing solution, - provided shelter for survivors, but did not account for their psychological well-being. The loss of one’s home can be a traumatic experience, as people identify their sense of self with their home. Therefore, it is crucial to reinstate this sense of home, and in turn provide continuity to the sense of self, early on in the recovery process. Rebuilding after a natural disaster is a long process. Because of this, disaster housing needs to be able to evoke a sense of home and ownership so that inhabitants can connect with their environment and reinstate their daily routines. This helps them to rebuild their lives. The proposed project attempts to do this by allowing for flexibility and choice in both the design and daily use of the house. The house transitions from temporary to permanent housing, allowing for a dialogue between inhabitant and environment to begin early on in the recovery process, and to persist. The design is informed by theories on place making, elements of home, dwelling, as well as loss and the grieving process.