IFAD. Disaster Early Recovery Guidelines. Disaster Response Working Group
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- Philippa Blankenship
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1 IFAD Disaster Early Recovery Guidelines Disaster Response Working Group
2 The Disaster Early Recovery Guidelines were prepared by an interdepartmental working group under the leadership of Henock Kifle, Chief Development Strategist (CDS) with the following membership: Khalid El Harizi, Working Group Leader, Office of the CDS Katiuscia Fara, Main Writer, Office of the CDS Michael Hamp, Policy and Technical Advisory Division Itziar Miren Garcia Villanueva, Office of the General Counsel Silvia Donato, Environment and Climate Division Mohamed Bousselham, Controller s & Financial Services Division Charlotte Goemans, Office of the CDS Vincent Sineau, Office of the CDS The Working Group acknowledges with thanks the contribution of staff in the field and at headquarters that willingly shared their valuable insights on their own experience with disaster response and reviewed the various drafts of these guidelines. 1
3 Table of Contents Introduction 3 1. Background 5 2. Disaster Risk Management Framework 8 3. Principles of Engagement Contingency Planning Selection of instruments Disaster response: a step by step approach Support to operations Monitoring the early recovery process 36 REFERENCES 38 Annex I: Countries at extreme risk 39 2
4 Introduction 1. During the last decades the world has witnessed an upsurge in the incidence of disaster events with increasing loss of life and significant social and economic consequences 1. Disasters undermine development progress, constrain economic growth and threaten food production while exacerbating existing poverty conditions. At a national level, it may take several years for developing countries to recover from a disaster and be able to invest resources in development activities. The risk of disasters in developing countries is expected to rise in the future 2 as a result of both higher levels of vulnerability of the population and increases in the intensity and frequency of hydro-meteorological events due to climate change 2. Poor people in developing countries have been affected disproportionately by these events as they find themselves more exposed to natural and non-natural hazards and have less capacity to cope with their impacts. Disasters will continue to affect vulnerable people in poor countries, particularly in fragile states 3, often locking them into endemic poverty traps. These challenges cannot be ignored by the Fund, whose mandate places poverty reduction at the forefront of its activities. While IFAD does not engage in relief operations, it does acknowledge the strong recursive relationship between poverty and disasters. Its experience with supporting livelihoods in rural areas positions the organization as an effective actor to support a swift transition from relief to recovery with a focus on building people s resilience to disasters. In developing countries, vulnerability to hazards is increasing due to poverty, population expansion in unsafe areas and environmental degradation 3. The timely implementation of recovery and subsequent developmental activities is essential and IFAD past policies have already advocated the need for a more systematic approach and faster procedures to respond to emergencies of all types. However, IFAD s actual response continues to be ad hoc and often lengthy. Building on the Fund s and other organization s experience, the Disaster Early Recovery Guidelines advocates a more systematic and collaborative approach to disaster risk management. These Guidelines provide guidance to the staff along three dimensions. First, they provide an analytical framework in support to daily decision making. Secondly, the guidelines illustrate how this analytical framework can be used in typical programmatic situations such as for example, contingency planning, or the selection and sequencing of financial instruments. Finally they provide clear indications on the practical steps to be taken to ensure a rapid and coordinated response in the aftermath of a disaster event. 1 UNDP, (2004); UNEP/GRID web reference: 2 Oxfam (2009). 3 Fragile states are countries characterized by poor governance, limited institutional capacity, weak policy framework and civil or border conflict ( ) Rural poor people living in fragile states are particularly vulnerable as they lack the resources to contend with natural or other types of disasters. REPL.VIII/4/R.5 3
5 4. The specific objectives of the Guidelines are to: Clarify the principles for IFAD engagement. Ensure speed with quality. Broaden interagency coordination and cooperation. Make a more efficient use of existing human and financial resources. Ensure effective communication with all concerned stakeholders. More specifically: Section 1 provides an overview on disasters and their impacts on rural poor people and presents key points of relevant IFAD policies. Section 2 describes the Disaster Risk Management Framework and highlights IFAD s role in early recovery. Section 3 presents IFAD s Principles of Engagement in a post-disaster context. Section 4 focuses on contingency planning and illustrates those activities that can be taken in advance at headquarters and in the field to ensure IFAD preparedness to future disaster events. Section 5 reviews the funding instruments available for IFAD interventions in a crisis/post-disaster context, with particular reference to the selection and sequencing of these instruments as the disaster situation evolves. Section 6 illustrates step by step the activities that need to be taken at headquarters and the field in case of an imminent crisis/disaster and in its aftermath. Section 7 clarifies the role of non-operational IFAD divisions in supporting IFAD disaster response bringing them fully as part of the disaster response team to handle a variety of issues in a pro-active way including security, human resource mobilization, procurement, disbursements, legal aspects and communication. Section 8 focuses on the ways and means to ensure proper monitoring and supervision of disaster early recovery activities. 4
6 1. Background 5. A crisis or emergency is a threatening condition, requiring urgent action that has a direct or indirect impact on people s livelihoods. The inability to prevent and/or respond to emergencies can often result in a disaster of wider proportions. A disaster can be defined as an unforeseen and often sudden event that causes great damage, destruction and human suffering. Not all disasters are brought about by sudden or unforeseen events (i.e. famines are often the result of difficult socio-economic contexts and recurrent/long-term drought). A crisis or disaster can result from a natural or non-natural hazard including those arising from conflict and civil unrest 4. Whatever their causes, what disasters have in common is that they result in a serious disruption of the functioning of a community or society (regional/national levels) causing widespread human, material, economic or environmental losses that exceed the community s or society s ability to cope using its own resources While worldwide and media attention tend to be focused on large scale disaster events it is the succession of smaller scale but more frequent disaster events combined with partial or slow recovery that severely undermines the coping capacity of people living in poverty. Disasters contribute to increased poverty in developing countries not only because they push poor people further down the poverty line 6 but also because many of the near poor are often forced into poverty after a disaster 7. Recovery is often slow and fewer households may be able to rebuild their livelihoods and assets and, even so, the impacts of following hazards, even if not on a large scale, might be enough to force them again below the poverty line. Key points of relevant IFAD policies 7. The development of these Guidelines is guided by the Framework for bridging post-crisis recovery and long-term development (1998) and the Policy on crisis prevention and recovery (2006). Disasters result from a combination of hazards, vulnerability and exposure to risk. Hazard - A potentially damaging physical event, phenomenon or human activity that may cause the loss of life or injury, property damage, social and economic disruption or environmental degradation (UNISDR). Risk The probability of harmful consequences, or expected losses (deaths, injuries, property, livelihoods, economic activity disrupted or environment damaged) resulting from interactions between natural or humaninduced hazards and vulnerable conditions (UNISDR). 8. Both documents aim at positioning IFAD as a bridge and facilitator of the transition from relief to recovery while advocating closer inter-agency cooperation. In particular the two documents focused on: 4 Complex crisis that linger over many years are not considered as disasters for the purpose of these Guidelines. 5 From UNISDR Terminology of Disaster Risk Reduction. 6 Rural Poverty Report, IFAD (2010) 7 In Honduras, the percentage of poor rural households increased from 69.2 to 74.6 per cent as a consequence of Hurricane Mitch in October 1998, with an increase in the number of rural households living in extreme poverty or indigence of 5.5 percentage points. These estimates based on labour forces surveys, are probably an underestimation since surveys do not capture very well the income of small farmers who suffered the most from Mitch, may not take into account the consequences that loss of assets have for future poverty, and populations at risk are often underrepresented in labor force surveys, (Morris, S. et al. 2002). 5 Vulnerability: The conditions determined by physical, social, economic and environmental factors or processes, which increase the susceptibility of a community to the impact of hazards (UNISDR)
7 Importance of development interventions following a crisis. Need to have timely involvement in post-emergency situations. Coordination with all partners involved in disaster response is essential to ensure complementarity. Need to focus on restoring livelihoods (and particularly agricultural productivity) to jump start resumption of development activities. 9. An emerging concern for a more pro-active role and for the need to adapt internal procedures to crisis situations is manifest in the 2006 Policy on Crisis Prevention and Recovery which recognises among others the need to: i) mitigate the impact and manage the risk associated with natural disasters, violent conflict and state fragility; and ii) the need for crisis sensitive operating procedures and for specific financing modalities and resource mobilization measures. Portfolio restructuring, the reallocation of existing loan proceeds, supplementary funds, retroactive funding of loans under preparation combined with an intensive search for co-financing solutions are indicated as the primary financing options available for post-crisis situations. 10. IFAD Strategy on Climate Change (2010) further recognises the importance of disaster risk management in building resilience to climate change and the greater role that disaster prevention and recovery will have in the future. The strategy calls for improving risk management and preparedness and, like the two other policies, it acknowledges the importance of collaborating with other agencies in particular FAO and WFP 8..Even relatively small shocks can push into poverty people who live just above any given poverty line. However, it is often combinations and sequences of shocks and stresses that cause the most permanent damage. Rural Poverty Report, IFAD (2010), pg By making more use of FAO s analytical capacity and collaborating with WFP on disaster preparedness and early recovery. 6
8 Figure 1: Number of Natural Disasters Reported,
9 2. Disaster Risk Management Framework 11. Historically the focus of interventions after a disaster event has focused on relief and emergencies operations. More recently though, the importance of integrating disaster risk reduction in reconstruction and development activities has become obvious and the focus shifted from relief to the development of a framework for disaster risk management (DRM). 12. Disaster risk management is based on a cycle with four phases: mitigation, preparedness, response and recovery. The four phases are interrelated and actions can be taken at different levels, sometimes simultaneously, to plan for and reduce disaster losses. When adequate resources are invested on all four phases, disaster risk is effectively reduced. While these Guidelines focus on IFAD early intervention during the Recovery phase, it is important to understand that these activities are part of the overall disaster risk management framework. 13. Since activities undertaken during the response phase focus on humanitarian and emergency activities, they do not aim at addressing the underlying causes that resulted in the disaster or promoting rapid recovery and, at times, they may even exacerbate existing vulnerabilities. It is during the recovery phase that the focus shifts from saving lives to restoring livelihoods and building the necessary conditions for development. 14. However, there is often a considerable lapse of time before implementation of recovery activities starts. The time required to carry out studies and assessments, reprogramming of existing programmes or design of new programmes and projects, negotiation of loans and the timeframe for their approval generates a gap between the initial response phase and the beginning of reconstruction activities. During this time people begin to recover spontaneously, and there is often a risk that the same pre-disaster risk conditions are reproduced during the recovery efforts. 15. To ensure that both developmental and risk reduction considerations are effectively taken into account during the initial recovery efforts and that decisions taken in the aftermath of a disaster do not compromise future development interventions, IFAD needs to respond rapidly by engaging in early recovery activities, often while response activities are being carried out. 16. Through early recovery IFAD will be able to: Bridge relief and development activities, thus effectively avoiding a gap whereby communities might take decisions that affect their capacity for long-term recovery. Response (or relief) focuses on the provision of emergency services and public assistance during or immediately after a disaster with the aim of saving lives. Recovery focuses on the restoration, of facilities, livelihoods and living conditions of disaster affected communities, including efforts to reduce disaster risk. The recovery process can take months or even years. Mitigation activities are aimed at preventing or mitigating damage when a disaster strikes. Preparedness activities are engaged in anticipation to an imminent, likely or potential disaster situation with an aim to ensure the most effective and efficient response and recovery. 8 All Definitions adapted from UNISDR terminology of Disaster Risk Reduction
10 Share relevant information about disaster risk at community and district levels so that it can be integrated into spontaneous recovery initiatives. Uphold the principle of build back better to avoid the rebuilding of risk into recovery activities. Ensure that rural poor people, especially those living in remote areas, are not excluded by post disaster interventions and that knowledge on rural poverty and on factors influencing the vulnerability of rural poor people are taken into account and inform recovery programming. Promote the early recovery of socio-economic activities by supporting people self-reliance strategies. Plan for long-term recovery and development through early needs assessments, participatory planning, strategic partnerships at community/government levels, and capacity building at national and local levels. 17. IFAD interventions during early recovery will be focused on food security (including agricultural, forestry and fisheries sectors), production systems and rural infrastructures, interventions to restore markets (including financial markets) and people s access to them. During the early recovery stage, IFAD will support and take part when possible in needs assessments together with relevant partners to identify priorities and begin designing both short and long-term development interventions aimed at supporting livelihoods recovery. Early recovery aims at generating selfsustaining nationally owned and resilient processes for postcrisis recovery This must start as soon as possible in the humanitarian or emergency phase. (The Inter-agency Cluster Group on Early Recovery) Fig. 2 the Disaster Risk Management Framework and relevance to IFAD 9 9 Diagram Adapted from Chris Piper/TorqAid 2010 DRMC version XIII 9
11 3. Principles of engagement 18. The 2006 Policy on Crisis Prevention and Recovery states that IFAD engagement is premised on providing support for the development and restoration of livelihoods, particularly those based on agricultural and rural sectors. In doing so it will support the recovery of the agricultural production capacity, enhance food security and help build the capacity of poor rural people to cope with future crisis by rebuilding their asset base and social capital. IFAD s interventions in the immediate post-disaster situation will therefore focus on assisting affected communities to move from a reliefbased existence to restoring normal livelihoods conditions, with a view to longer-term sustainable development 10. When to use these Guidelines? 19. The decision to intervene in early recovery activities will be taken by the Interdepartmental Disaster Response Task Force on the basis of the recommendations of the CPM of the affected country and the regional director concerned (see Section 6). Generally, the implementation of more expedite procedures as detailed in these Guidelines will be necessary for: Countries that are highly vulnerable to natural disasters and the effects of climate change (Annex 1). Crisis/emergencies that require early recovery interventions to support livelihoods rehabilitation that would be otherwise jeopardised by a lenghtier response-time. In no cases will IFAD intervention be undertaken until such time as the minimum requirements for security of project implementation and supervision staff are in place. Conditions for IFAD engagement 20. Generally, IFAD interventions will follow the declaration of disaster/state of emergency by the relevant government and a request to IFAD for assistance. In other cases IFAD might make an official offer of assistance to the affected Government or it may intervene following a UN appeal after a declaration of emergency. 21. In particular, early recovery interventions will be warranted when a disaster affects target groups of on-going IFAD funded operations and where IFAD has a field presence or an active programme in the country. 22. More specifically, situations that will prompt IFAD intervention in early recovery activities include: 10 The 1998 Framework for bridging post crisis recovery with long term development also stresses that IFAD s interventions in a post-disaster situation should be designed to assist the affected communities to move from a relief based existence to restoring subsistence production, rebuilding their capital base and, from there, to longer term sustainable development. 10
12 IFAD funded projects have been severely disrupted by the emergency/disaster and development objectives are no longer possible without investments in recovery. Livelihoods opportunites for rural poor people have been severely hampered by the emergency/disaster event. The crisis/emergency has not had a direct impact on IFAD funded projects but it has had severe indirect repercussions on IFAD target group, warranting interventions for livelihoods recovery. Imminent crisis or emergencies where a rapid response is necessary to avert or mitigate major human and economic impacts. 23. Caution should be exercised in the following situations: When IFAD has no field presence 11 in a disaster-stricken country. IFAD has a small programme and/or there are no IFAD funded projects under implementation in the affected areas. Countries in arrears 12. When access to the affected area(s) is not possible/authorized to IFAD representatives and consultants. 24. In these cases, IFAD should engage in early recovery activities only where it has a comparative advantage and in very close coordination with leading UN agencies or International Financing Institutions. Principles of IFAD approach in post-crisis situations Timing, flexibility and simplicity. Speed of response without compromising on quality. In uncertain situations, the principle of do no harm should prevail. Avoid the restoration of unsustainable livelihoods. Maximize synergies with other agencies and specialised (relief), avoiding duplication of efforts. IFAD will not engage in peacemaking or peace enforcing operations and in humanitarian relief operations. Mitigating or better managing the probability of shocks occurring what we define as risk is just as critical in the lives of poor rural women and men as improving their resilience to these events when they occur... Rural Poverty Report IFAD (2010), Pg This refers to out-posted CPMs and Country Presence officers 12 IFAD Policy Framework for Managing Partnerships with Countries in Arrears, GC21/L.7 11
13 Countries at extreme risk 4. Contingency planning 25. There are several measures that can be taken before a crisis or a disaster to support a rapid, timely and effective response. By identifying in advance clear objectives, approaches and procedures to respond to postcrisis/disaster situations it will be more likely that IFAD interventions will successfully link early recovery interventions with its long term poverty reduction objectives in rural areas. 26. Contingency planning in the context of these guidelines will refer to those activities that can be implemented in advance by IFAD to anticipate and prepare for challenges brought about by a crisis/disaster. While it is advisable that contingency planning is done for all countries, it becomes particularly important for countries that present a high risk profile 13, where IFAD operations are most likely to be hampered by disaster events. 27. Responsibility for contingency planning lies with the regional division and the process should be led by CPMs; however this should be supported by key staff at headquarters 14 and IFAD field staff 15. If necessary, additional technical expertise should be available during the planning process through the recruitment of experts or through a secondment programme. 28. Considering in advance what type of crisis or disasters are likely to affect a country or a region within a country, will enable the identification of what the likely impacts will be on rural poor people, taking into account existing differences in vulnerability 16 and the country context. Early recovery interventions should be planned with a view to ensure that they do not reproduce/reinforce vulnerabilities but rather strengthen people s own coping capacities. They should also reduce immediate risk by implementing activities that diminish threats to livelihoods and assets. Finally they should support longer term recovery that enable people to retain/rebuild their assets and livelihoods. 29. The following sections identify actions that can be taken by IFAD before a crisis/disaster occurs to support better organizational preparedness 17. (By decreasing level of risk) Natural Disasters Climate Change 1. Bangladesh 1. Bangladesh 2. Indonesia 2. India 3. Iran 3.Madagascar 4. Pakistan 4. Nepal 5. Ethiopia 5. Mozambique 6. Sudan 6. Philippines 7.Mozambique 7. Haiti 8. Haiti 8. Afghanistan 9. Philippines 9. Zimbabwe 10. Colombia 10. Myanmar 11. India 11. Ethiopia 12. China 12. Cambodia 13. Sri Lanka 13. Viet Nam 14. Myanmar 14. Thailand 15. Afghanistan 15. Malawi 16. Pakistan Box 1 - Countries at extreme risk of natural disasters and climate change 13 An overview of the top 35 countries that have been identified by Maplecroft as being at high risk to natural hazards and future climate change can be found in Annex. I, together with an explanation of the assessment. 14 In particular representatives from the security team, CFS, LEG, PTA, HR, ECD and staff from other regional divisions with experience in disaster response/early recovery interventions. 15 In addition to IFAD field presence, where available, inputs from project staff would be particularly relevant. 16 Vulnerability is complex and dependent on the interaction of several factors such as: geographical location, age, gender, ethnicity, health, environmental degradation, access to natural resources, safety nets, etc. 17 While some of these activities might support risk proofing in IFAD operations, they are not a comprehensive Source: Maplecroft ( see also Annex I) approach to disaster risk management, which is beyond the scope of these Guidelines. 12
14 Vulnerability and Risk assessments 30. The first step in contingency planning is the analysis of the risks faced by a country, a region or a target group. This involves identifying hazards and assessing vulnerabilities at the local level, while taking also into account the national and regional context. This should be supported by an evaluation of existing capacities to cope with/respond to a disaster event at the local, regional/district and national levels. 31. Understanding what makes rural poor people vulnerable and what coping strategies are used, will ensure that early recovery interventions will not reinforce existing vulnerabilities or interfere with existing coping strategies. Vulnerability assessments should seek to identify, among others: Factors contributing to the vulnerability of the rural poor (i.e. occupation, access to credit). Differences in vulnerability between groups (i.e. income groups, male and female headed households, access to natural resources). People s strategies to cope with and recover from disaster events. Key constraints to recovery. 32. Other issues that should be taken into account include: IFAD past interventions aimed at reducing disaster risk - their impact on vulnerability and people s capacity to cope. Impact of past disasters on levels and forms of poverty - with particular attention to movements in and out of poverty of people living just above the poverty line. Implications of climate change - exploring poor rural people resilience vis à vis increasingly frequent and intense climatological events. Incidence of phenomenon such as El Niño and La Niña. Programmatic Activities: COSOP design an in-depth disaster risk analysis should be included in the COSOP 18, together with an overview of national level framework for DRM and national capacity to respond. Appropriate 18 This would support existing environmental and climate change assessments, and could be included in the Strategic Environmental Assessment (SEA) envisaged by IFAD Environmental and Social Assessment Procedures (2009) 13
15 risk mitigation and preparedness measures should be identified and included in the COSOP, together with possible early recovery interventions tailored to the local and national contexts and that are supportive of people s own coping capacities. This should be reflected in an appropriate budget line. 19 Project design 20 - risk and vulnerability analysis should be included and complement existing poverty, social and environmental analysis. Projects should include both disaster preparedness and mitigation activities, and resources be allocated to support, if necessary, early recovery interventions tailored to the local and national contexts and that are supportive of people s own coping capacities. 1. Ensuring adequate technical capacity staff or consultants must have the necessary technical capacity and experience to carry out the risk analysis. Capacity could be ensured through collaboration with regional/national, technical/scientific institutions (including universities) or with other UN specialised agencies. 2. Reviewing secondary data including existing studies and analyses of hazard/threats, vulnerabilities and risks prepared by technical or scientific institutions, other UN/MFIs or organizations with a country presence. 3. Carrying out an analysis of hazards starting with available information on past emergencies, and taking into account the probability, frequency, location, magnitude, and potential direct and indirect consequences of disasters for the rural poor. The analysis should not rely only on historical data but also consider the possibility of extreme weather linked to climate change and major shifts in the geography of risk due to deforestation, environmental degradation, migration to fragile areas, conflict, etc. Identifying Information flows beforehand is a critical part of contingency plans: Who will be informed at IFAD headquarters and in the field? How and by whom will IFAD be informed of impending crises/disasters? Mode of communication ( , phone, radio, etc). Useful Contact Information 4. Analysing the vulnerability of people exposed to a potential hazard/threat in rural areas, with a focus on understanding what strategies are used locally to minimize disaster risk and their implications (i.e. choice of crops). 5. Carry out a risk analysis combining hazard/threat and vulnerabilities. Box 2 - Steps for hazards, vulnerability and risks analysis (adapted from IFRC, 2007). Adapted from IFRC, For countries with a high risk profile, a percentage between 5 and 10 per cent should be allocated for early recovery activities, so that following a disaster these resources could be mobilized immediately. 20 Risk and vulnerability assessments could complement the existing Environmental and Social Review Note (ESRN) and climate change checklists/screenings envisaged by IFAD Climate Change Strategy (2010). 14
16 Early Warning Systems (EWS) 33. Timely information on the development of crisis or on the probability or/occurrence of a disaster is key to support IFAD rapid response. By linking to existing systems for early detection and warning of impending crisis/disasters early warning networks at country and regional levels IFAD staff will be able to access relevant information. 34. Key partners for IFAD will be other UN agencies such as WMO, OCHA, FAO and WFP, all of which have developed effective early warning systems. Effective protocols for information sharing should be developed at country levels to ensure that IFAD country presence and project staff will be kept in the loop. Activities Identify Early Warning systems at country/global level and key organizations/agencies and develop formal protocols for information sharing. Identify key people both within IFAD and from other organizations as focal points for EWS, and keep an updated list with their names, contact details and their alternates. Ensure that all leave is entered into the existing Integrated Security Tracking System (IESECT). Ensure that EWS focal points at country level are provided with necessary communication means at all times (i.e. if travelling in areas where there is no internet or phone reception, they should have radios or satellite phones). Collaborating with the Government and other organizations 35. During a crisis or in the aftermath of a disaster, many agencies are involved in response operations. Depending on the country, these activities will be undertaken under a national framework for disaster response and coordination might be the responsibility of the Government or of the UN coordination system. Since 2005, the Inter-Agency Standing Committee 21 (IASC) agreed on the use of the cluster approach to strengthen humanitarian response, led by both non-governmental organizations as well as UN agencies. 36. In this context and in order to avoid unnecessary duplication of activities while supporting effective cost-sharing and information exchange between agencies and with Government, IFAD staff should develop appropriate 21 The primary mechanism for inter-agency coordination of humanitarian assistance. 15
17 strategic agreements/partnerships in advance. These agreements might in particular address the following topics: Post disaster needs assessment while IFAD might lack the capacity to be involved in a country-wide post-disaster needs assessment, it could support these exercises and ensure that needs assessment reflect also the livelihoods needs of rural people living in poverty as well as issues related to food security and livelihoods based on agriculture, forestry and livestock/fisheries. Detailed needs and impacts assessment in rural areas that could be carried out, depending on the security situation, in collaboration with WFP and FAO. IFAD role in post-disaster situation - each agency has a specific role in disaster response and it would be useful to clarify from the onset the scope and level of involvement of IFAD engagement and define its role in relation to other agencies. In addition, for those countries where the cluster approach is being rolled out IFAD should be part of relevant UN clusters, in particular the early recovery and agriculture clusters. Inter-agency information sharing modalities (i.e. inclusion of IFAD staff/consultants in meetings, liaising at local level with the UN Humanitarian Coordinator, distribution lists, regular updates) and keeping an updated list of focal points of other agencies. Strengthening Governments capability for coordinating post-disaster assistance by supporting the development of online platforms at national level to identify which agencies/ngos are doing what and where in relation to agriculture and rural development. This information would then inform decision making and support Government in directing the flow of aid accordingly. Activities: Identify key governmental institutions and/or specialized agencies with field presence that could support/partner with IFAD for the delivery of early recovery interventions. Identify what IFAD s role can be in a post-disaster early recovery response setting and clearly communicate this to other agencies and government. Liaise with IASC at country level to become a member of relevant humanitarian clusters, in particular the Early Recovery and the Agriculture ones. Develop formal protocols for mutual support/information exchange with key agencies and identify focal points within IFAD (country level, HQs) and within other agencies. Contact details should be provided and updated regularly. 16
18 For countries where IFAD does not have a country office, establish formal hosting agreements with in-country UN agencies, in particular UNDP, and collaboration during emergencies with WFP/FAO. Identify collaborative modalities (especially with FAO/WFP) to assist/participate in post-disaster needs assessments 22 in rural areas and for the development of joint initiatives to support early recovery activities. Support the development/consolidation of an online aid map focusing on agricultural/rural development interventions. Logistics, Security and Banking 37. To facilitate a rapid intervention from IFAD in a post-disaster situation, there are a series of logistical arrangements that could be made in advance. These are further detailed in Section 7. Security and transportation 38. To ensure that following a disaster or crisis situation IFAD staff/consultants will be able to quickly visit/reach project areas, IFAD needs to enter into formal arrangements with agencies engaged in relief and emergencies to be able to use their security systems. While IFAD already has entered agreements with UNDP, these are not always sufficient to ensure adequate access and mobility when the pressure on scarce resources is at its maximum in the aftermath of a disaster. In a situation where speed may be paramount, IFAD may have to compete with other agencies to obtain the necessary logistical support (travel authorizations, MOSS compliant vehicles, etc) and access to the affected areas. 39. Currently, IFAD field presence is quite limited and communication often difficult with rural remote areas where there is little or no connectivity. Further investments in communication equipment are needed to ensure the safety of IFAD staff in-country or staff/consultants that will be travelling to affected areas following a disaster (see section 8). Communication 40. It will be important to clarify in advance: i) how communication will take place between IFAD staff and between IFAD and other agencies/government; ii) what media will be used to communicate in-country during emergencies (i.e. between UN agencies) and what information will IFAD staff need to do so 22 This information should be compared with information collected during the risk and vulnerability assessments (particularly data on impacts of previous recovery interventions). 17
19 effectively 23 ; iii) IFAD focal points in country for communication during emergencies. 41. Contingency planning should also be done at field level (i.e. regular back up of computer and important document) and staff should be aware of what actions should be taken during an emergency 24. Banking 42. Often after the approval of a loan directed at responding to an emergency, considerable delays can be experienced in country particularly with regard to the disbursement of money. Arrangements should be taken before hand to expedite the release of funds as far as possible. Activities that can be taken will vary from country to country, but options could include the: i) creation of a dormant account in-country to be used only for money destined to early recovery operations; ii) replenishment of existing projects accounts to support early recovery operations. Human Resources 43. The implementation of early recovery activities might require additional resources, in particular relevant national expertise. Contingency planning should identify what expertise will be needed for the design of early recovery activities and consider whether: There exist already in-house expertise that could be mobilised during early recovery activities and what arrangements are needed (i.e. if staff/consultants are working in different divisions/countries) for their release. Additional expertise is needed, in which case it would be important to have a database with national or regional experts that could be rapidly mobilised. It would also be important to have stand by agreements with other agencies/organizations (i.e. UNV programme DANIDA, CIDA etc) or to be able to rapidly access their roster of qualified professionals. Identify local NGOs or community based organizations that IFAD could be working with after a disaster event to implement early recovery activities. 23 I.e. if radio communication is to be used, IFAD staff in the field should have had adequate training and they should know (and be informed of any changes) which radio frequence will be used during emergencies, name code, etc. 24 A back-up list of potential translators to be contacted during emergencies would be very useful. 18
20 Activities: Identify key staff/consultants in house with the necessary expertise and discuss their involvement during a crisis/after a disaster. Build capacity of field level staff to support development of early recovery activities. Contact potential consultants, and after an initial screening, request necessary information (medical certificates, CVs, banking details) and create a profile in peoplesoft. Draft general TORs/retainer contracts to be tailored/released when needed. In the measures that there is funding/supplementary funding available with specific donors explore the possibilities of developing stand-by agreements for the rapid deployment of professional staff to support IFAD. Identify and certify possible partners in-country (i.e. local or international NGOs, community based organizations, etc) to support the design and implementation of early recovery activities and as grants recipients. If possible, obtaining relevant documentation in advance. Country briefs 44. The above information should be included in a country disaster preparedness brief and be regularly updated (i.e. every six months, each year). The brief should detail clearly what arrangements are in place with partners, what activities we should be focusing on to promote early recovery, which people need to be contacted both within IFAD and in other agencies and what they are supposed to be doing. The brief would help maintaining institutional memory over time and in case of staff changes. IFAD s support to post-crisis recovery was conceived to help the target groups resume their normal production activities and, as such should be seen as the first phase of a longer-term development process IFAD Framework for linking post-crisis recovery with long term development (1998) 19
21 Box 3 - Some useful questions to ask when preparing a contingency plan 1. Is the programme or project area affected by natural or other hazards and where? What could happen and how severe are the events likely to be? 2. What would be the impact on IFAD beneficiaries? What actions would be required to support livelihoods recovery and what resources would be required? 3. Do we have an overview of the situation, current country context and existing inter-agencies coordination/contingency plans? Are there arrangements in place for sharing information with other agencies? What level of coordination with other agencies is required and who is responsible for it? 4. Who are the key people with whom IFAD will need to communicate and who is responsible for communicating with them? What media will be used to communicate (e.g. , radio, telephone, in person, etc.) and whether these are available to key IFAD staff in-country and at headquarters. 5. What arrangements are in place to ensure in-country staff safety and security (including consultants) during and after disaster events? 6. Are there administrative arrangements in place to support early recovery activities (staffing, vehicles, telecommunications, back up of data, etc.) including access to affected areas? 7. Is there a roster of consultants at national/regional levels that could be brought in after an emergency to support rapid needs assessments? Are there institutional arrangements with other agencies/organizations to mobilise professional expertise? 20
22 5. Selection of instruments 45. IFAD rapid response should be adapted in form and scope to the emergency s own circumstances, the country socio-economic context (and how it has been changed by the disaster), impact of the disaster on IFAD target group and ongoing projects, government requests and IFAD s development strategy for the country. 46. Considerations on the preferred instruments for financing disaster preparedness/prevention and recovery should be developed in the COSOP for the most exposed countries. 47. Possible options, based on current instruments, for IFAD interventions in a crisis/post-disaster context include: Small grants being approved by the President of IFAD can be processed faster than large loans requiring Executive Board approval. Project portfolio restructuring and/or reallocation of resources within existing projects. Small grants and supplementary funds. Loans and large grants. Portfolio Restructuring/Loan Reallocation 48. In countries where IFAD has an operational portfolio, particularly if there are projects in the affected area/region, a first option is the restructuring/reorientation of the existing portfolio to support early recovery activities. This is the fastest instrument for mobilizing resources and implementing early recovery activities, when resources are adequate. 49. The revision of the portfolio following an emergency should be carried out together with the government, and it should take into account the effects that such restructuring will have on the achievement of the programme/project goals In evaluating whether portfolio restructuring is a feasible option, it will be necessary to take into account the following: Portfolio restructuring/reallocation should be consistent with ongoing development priorities and activities. Projects that should be considered first as candidate for restructuring are: loans unlikely to achieve their development objectives as a consequence of the disaster; loans that are having a relatively low economic/financial impact; loans with low implementation/ disbursement levels 26 after an analysis of underlying causes of poor performance and existing opportunities for improvement. 25 IFAD Policy on Crisis and prevention (2006) 26 However caution should be exercised for loans with a very high development impact 21
23 51. Projects at design stage at the moment a disaster strikes, may be modified to include early recovery activities and disaster prevention/mitigation measures. Small grants and supplementary Financing 52. When resources available for reallocation are inadequate or when the opportunity cost of reallocation is high in terms of loss of development results, portfolio restructuring should be of limited magnitude and combined with small grants, and/or supplementary funding. Small grants 53. There are inherent limitations to the degree to which the grant instrument can support disaster recovery interventions. Being focused on promoting propoor research on innovative approaches and on building the pro-poor capacities of partner institutions, the revised IFAD Policy for Grant Financing 27 does not specifically address the issue of disasters recovery. However, there is a definite possibility to finance, amongst others, specific needs and impacts assessments and capacity building efforts at institutional/community levels within the context of disaster recovery. 54. Small grants (country specific grants, up to USD 500,000) have a considerably shorter clearance process and approval period than large grants. They could be used in the very early stages of recovery to provide funding for: Without fast track procedures small grant projects can be approved within 4 to 5 months. Should specific fast-track procedures be adopted a small grant could be approved within one/two weeks. Impacts and needs assessment at the household level in rural areas. Capacity building at institutional/community level to ensure that early efforts at reconstruction include disaster risk reduction measures and do not recreate vulnerabilities. Local capacity building relevant for project implementation. Supplementary Funds 55. Depending on the existing country portfolio and impacts of the event, supplementary financing should be sought to replace resources used to support early recovery activities and ensure implementation of development activities. This type of financing is extremely flexible when available. 56. Whenever, supplementary funds are envisaged, it is advised to seek to enter in framework agreements (memorandum of understanding) with the concerned donors that spell out how the resources will be mobilized in case of a disaster. Countries that are most at risk of disasters are often the ones that are targeted by the donors for Aid. As a result, donors that are traditionally engaged in relief operation have an objective interest in early recovery 27 EB 2009/98/R.9/Rev.1 22
24 activities that minimize the burden and risk of lingering relief as well as the associated dependency on assistance. These agreements can be defined at regional or country levels depending on the particular context. Investment Loans and large grants 57. Depending on the country context (i.e. IFAD portfolio, security, access, etc) the development of a top-up loan and/or long-term investment loan, either as a follow up to portfolio restructuring/grants or on its own, might be deemed necessary. 58. Large grant funding can be used to finance early recovery activities and support the start up phase of a recovery loan if necessary. While funding through supplementary funding or small country specific grant will generally focus on supporting the recovery capacities of target groups and their representative organizations, a large grant and/or top-up loan could cover the bulk of the needs of the transition from relief to recovery at a larger scale, followed by a regular investment loan to support the long-term development objectives in a post-disaster situation. 59. In practice, there will always be situations where the use of instruments overlaps, however the idea of a sequencing of these instruments may help building a momentum of IFAD interventions in disaster situations. Fig. 3 - Suggested sequencing of Financial Instruments for disaster response 23
25 6. Disaster response: a step by step approach 60. IFAD s objectives in engaging in early recovery interventions are to help IFAD target group to jump-start resumption of the development process, while enhancing their resilience to future crisis 28. To achieve this, greater speed and coordination at institutional level are needed throughout the different response stages. 61. IFAD response will be greatly influenced by the extent of the disaster and the country context. While each situation will present its own challenges, the following sections detail the actions to take in the event of a disaster. Initiation and planning of IFAD Disaster Response 62. Initiating the response is the responsibility of the Country Programme Manager (CPM) and the Director of the Regional Division. However, in view of the high media exposure, the Regional Division concerned must provide ample and regular information to Senior Management and the Communication division to help shape clear communication messages on what IFAD is doing. 63. Within 48 hours from the disaster, the Associated Vice President PMD will convene a meeting of an Inter-departmental Disaster Response Task Force to decide whether to declare the emergency for IFAD or not. While the leadership of the overall response process remains with the CPM and the Director of the Regional Division, staff from other divisions will be proactively engaged in supporting and directly contributing to the development of the disaster response. 64. In this section, we consider successively the case of an imminent emergency, what to do in the first two days following a disaster, and the response for each type of instruments identified in the previous chapter. In case of an imminent emergency/disaster 65. The CPM should: Keep regular contact and exchange information with field presence officer, or equivalent IFAD field representative, and government authorities. Revisit contingency and security plans, gather all relevant (and available) information including past needs assessments, identify key expertise in-house or within disaster response expert roster. Liaise with IFAD security. 66. IFAD country presence staff should similarly: The Interdepartmental Disaster Response Task Force basically declares the emergency for IFAD. The Task force is Chaired by the Head of IFAD Operations and composed of the heads of the following units or their representatives: Regional Division Concerned CPM PTA ECD LEG CFM Security Human Resources COM ITC SEC 28 IFAD Framework for bridging post-crisis intervention and recovery (1998); IFAD Policy on crisis and prevention (2006). 24 Resource Person (s) as required
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