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Heather M. Colvin and Rachel M. Taylor, Rapporteurs Planning Committee on Workforce Resiliency Programs Board on Health Sciences Policy
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THE NATIONAL ACADEMIES PRESS • 500 Fifth Street, NW • Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Gov- erning Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This study was supported by Contract No. HSHQDC-08-C-00111 between the National Academy of Sciences and Department of Homeland Security. Any opinions, findings, conclusions, or recommendations expressed in this publica- tion are those of the author(s) and do not necessarily reflect the view of the or- ganizations or agencies that provided support for this project. International Standard Book Number-13: 978-0-309-25511-0 International Standard Book Number-10: 0-309-25511-2 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. For more information about the Institute of Medicine, visit the IOM home page at: www.iom.edu. Copyright 2012 by the National Academy of Sciences. All rights reserved. Printed in the United States of America The serpent has been a symbol of long life, healing, and knowledge among al- most all cultures and religions since the beginning of recorded history. The ser- pent adopted as a logotype by the Institute of Medicine is a relief carving from ancient Greece, now held by the Staatliche Museen in Berlin. Suggested citation: IOM (Institute of Medicine). 2012. Building a resilient workforce: Opportunities for the Department of Homeland Security: Workshop summary. Washington, DC: The National Academies Press.
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal gov- ernment on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of out- standing engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engi- neering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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PLANNING COMMITTEE ON WORKFORCE RESILIENCY PROGRAMS1 LIEUTENANT GENERAL JAMES PEAKE (RET. ARMY) (Chair), CGI Federal JOSEPH BARBERA, The George Washington University SCOTT A. MUGNO, FedEx Ground KAREN H. SEXTON, University of Kentucky, Chandler Medical Center DAVID N. SUNDWALL, University of Utah School of Medicine CATHERINE ZURN, Orange County Sheriff-Coroner Department Study Staff CATHARYN T. LIVERMAN, Senior Program Officer HEATHER M. COLVIN, Program Officer RACHEL M. TAYLOR, Research Associate PAMELLA ATAYI, Senior Program Assistant JUDY ESTEP, Program Associate GARY WALKER, Financial Associate 1 The planning committee’s role was limited to planning the workshop, and the workshop summary has been prepared by the workshop rapporteurs as a factual summary of what occurred at the workshop. v
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Reviewers This summary has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published summary as sound as possible and to ensure that the summary meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this summary: Amy B. Adler, Lead Scientist and Science Coordinator, United States Army Medical Research Unit-Europe Bryan W. Flynn, Associate Professor, Center for the Study of Traumatic Stress, Department of Psychiatry, Uniformed Services University of the Health Sciences Dennis Holley, Supervisory Air Marshal in Charge, Transportation Security Administration, Office of Law Enforcement/Federal Air Marshal Service Amy L. Kristof-Brown, Professor and Director, PhD Program in Management and Organizations, Henry B. Tippie Research Professor of Human Resource Management, The University of Iowa Although the reviewers listed above have provided many constructive comments and suggestions, they did not see the final draft of the workshop summary before its release. The review of this summary was vii
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viii REVIEWERS overseen by Linda Hawes Clever with the California Pacific Medical Center and Stanford University School of Medicine, who was responsible for making certain that an independent examination of this summary was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this summary rests entirely with the rapporteurs and the institution.
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Acknowledgments The Workforce Resiliency Programs workshop series would not have been possible without the Department of Homeland Security’s (DHS’s) Office of Health Affairs (OHA) sponsorship of the Standing Committee on Health Threats Resilience. Dr. Alexander Garza’s leadership was critical in bringing attention to this timely issue. Dr. Kathryn Brinsfield and Alisa Green’s dedication and attention to detail made it possible to ensure that all stakeholders participated in the workshops. The planning committee’s hard work created a dynamic environment to present a broad array of views on a complex topic. The planning committee wishes to express its gratitude to all the speakers and panelists for their thoughtful and stimulating contributions. The reviewers’ thoughtful comments helped clarify and focus the written summary. Finally, the support of the Institute of Medicine staff ensured a collaborative and productive planning process. ix
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Contents ACRONYMS xv 1 INTRODUCTION AND OVERVIEW 1 Organization of This Summary, 3 Background, 4 Resilience Within the Department of Homeland Security, 6 2 OVERVIEW OF THE DEPARTMENT OF HOMELAND SECURITY RESILIENCE ISSUES AND PROGRAMS 9 An Overview of DHS Resilience Programs, 10 Department of Homeland Security’s Human Capital Framework, 23 Understanding the Effect of Occupational Stressors on Operational Readiness, 28 Communicating the Security Clearance Process and Requirements, 30 Resilience Issues in Program and Policy Personnel Panel Discussion, 34 References, 41 3 AN OPERATIONAL DEFINITION OF RESILIENCE 43 Defining Resilience for Communities and Organizations, 44 The Resilient Organization, 49 Integrating Resilience into Health and Safety, 51 Defining Long-Term Resilience Panel Discussion, 55 References, 58 xi
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xii CONTENTS 4 FACTORS INFLUENCING WORKFORCE EFFECTIVENESS AND RESILIENCE 61 Sleep and Performance, 62 High-Reliability Organizations and Complex Adaptive Systems, 65 Organizational and Cultural Changes for Employee Work–Family Effectiveness, 70 Teams Under Stress: Cues, Consequences, and Corrections, 72 Leadership Effectiveness and Resilience, 76 Wellness and Resilience in the National Security Agency, 84 Chairman’s Total Force Fitness Framework, 86 Factors Influencing Workforce Effectiveness and Resilience Panel Discussion, 88 References, 92 5 RESILIENCE PROGRAMS AND INTERVENTIONS 95 Comprehensive Soldier Fitness, 96 Resilience Research in the Military, 102 First-Responder Research and Workforce Resilience, 106 Resiliency Science Institutes, 112 Resilience Programs Panel Discussion, 118 References, 123 6 LEVERAGING EXISTING SERVICES AND PROGRAMS TO SUPPORT RESILIENCE 125 Wellness Programs, 126 Employee Assistance Programs, 130 Leveraging Existing Services and Programs Panel Discussion, 136 References, 138 7 UNDERSTANDING INDIVIDUAL AND ORGANIZATIONAL RESILIENCE AND PERFORMANCE MEASURES 141 Assessment of Organizational and Individual Stressor and Resilience Factors in Operative and Nonoperative First-Responder Personnel, 142 Measures of Employee Experience, 148
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xiii CONTENTS Organizational Management and Measurement: Lessons Learned from 40 Years of FedEx Employee Survey, 156 Understanding Individual and Organizational Resilience and Performance Measures Panel Discussion, 160 References, 165 8 PERSPECTIVES ON PRIORITIES AND NEXT STEPS 167 Key Comments from the September Workshop, 168 Perspectives of Department of Homeland Security Components on Resilience, 179 Closing Comments, 192 APPENDIXES A Workforce Resiliency: A Workshop Series: Workshop Agendas 195 B Workforce Resiliency Programs: A Workshop Series: Planning Committee Biographies 205 C Speaker Biographies 211 D Standing Committee on Health Threats Resilience 231
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Acronyms CBP Customs and Border Protection CDC Centers for Disease Control and Prevention CHCO Chief Human Capital Office DCoE Defense Centers of Excellence for Psychological Health & Traumatic Brain Injury DHS Department of Homeland Security DOD Department of Defense EAP employee assistance program EMS emergency medical services EPA Environment Protection Agency EVS Employee Viewpoint Survey FAMS Federal Air Marshal Service FEMA Federal Emergency Management Agency FLETC Federal Law Enforcement Training Center HRO high-reliability organization ICE Immigration and Customs Enforcement IOM Institute of Medicine NIOSH National Institute for Occupational Safety and Health NRC Nuclear Regulatory Commission NSA National Security Agency xv
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xvi ACRONYMS OCHCO Office of the Chief Human Capital Officer OCSO Office of the Chief Security Officer OEF Operation Enduring Freedom OHA Office of Health Affairs OIF Operation Iraqi Freedom OMB Office of Management and Budget OPM Office of Personnel Management PSD Personnel Security Division PTSD post-traumatic stress disorder SES senior executive service START National Consortium for the Study of Terrorism and Responses to Terrorism TSA Transportation Security Administration USCG U.S. Coast Guard USCIS U.S. Citizenship and Immigration Services USSS U.S. Secret Service