Building Resilient Communities

Transcription

1 Building Resilient Communities Risk Management and Response to Natural Disasters through Social Funds and Community-Driven Development Operations

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3 Building Resilient Communities

4 The findings, interpretations, and conclusions expressed herein are those of the author(s), and do not necessarily reflect the views of the International Bank for Reconstruction and Development / The World Bank and its affiliated organizations, or those of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. For more information, please contact the Social Protection Advisory Service, The World Bank, 1818 H Street, N.W., Room G7-703, Washington, D.C Telephone: (202) , Fax: (202) , socialprotection@worldbank.org.

5 Table of Contents Abstract...v Acknowledgments...vii Acronyms and Abbreviations...ix Foreword...xi How To Use The Toolkit...xiii Modules Module 1: The Role of Social Funds and Community-Driven...1 Development Operations in Disaster Risk Management Module 2: Integrating CBDRM into The Project Cycle...31 Module 3: Disaster Risk Reduction (Prevention, Preparedness,...43 and Mitigation) Module 4: Disaster Response (Rescue and Relief)...75 and Early Recovery Module 5: Longer-Term Disaster Recovery (Rehabilitation and Reconstruction) Module 6: Monitoring and Evaluation Module 7: Gender in Community-Based Disaster Management Module 8: Focus on Disability Module 9: Focus on Older People, Children, and Minorities Case Studies Case Study 1: Decentralized Disaster Risk Management in Bangladesh Case Study 2: Fondo Hondureño de Inversión Social in Honduras Case Study 3: Kecamatan Development Program, Indonesia iii

6 Building Resilient Communities Toolkit Case Study 4: Community Development Project, Madagascar Case Study 5: Malawi Social Action Fund Case Study 6: Pakistan Poverty Alleviation Fund Annexes Annex 2.1: Tools for Assessing Hazard-Induced Vulnerability Annex 3.1: Communication Methods for Risk Awareness Raising Annex 3.2: Some Key Elements of Community-Based Disaster Preparedness Annex 4.1: Role of Remittances in Natural Disasters Annex 4.2: Sample Hour Emergency Assessment Forms Annex 4.3: Global Disaster Response Coordination Mechanisms Annex 5.1: Transitional Settlement and Reconstruction Principles Annex 5.2: Livelihoods Considerations in Sheltering Assistance Annex 6.1: Results Framework for Asian Urban Disaster Management Program (AUDMP) Annex 6.2: JSDF Thailand Tsunami Project Monitoring and Evaluation Matrix Annex 6.3: TRIAMS: Tsunami Disaster Recovery Outputs and Performance Indicators Annex 8.1: Mainstreaming of Disability into Pakistan Poverty Alleviation Rehabilitation and Reconstruction Project Glossary of Terms References iv

7 Abstract The Toolkit Building Resilient Communities: Risk Management and Response to Natural Disasters through Social Funds and Community-Driven Development Operations is designed to help Task Teams on World Bank social funds and community-driven development (CDD) operations to identify disaster risk management issues in their programs and projects and to design and implement appropriate responses. It introduces the concepts and components of Community Based Disaster Risk Management (CBDRM) and their key relationship to the achievement of the development and poverty reduction objectives of the World Bank. The contents draw upon the experience of social funds and CDD operations, as well as international good practice, to identify operational areas where social fund/cdd operations have a comparative advantage for achieving successful results in reducing natural disaster risks and impacts on poor and vulnerable communities. The Toolkit also provides guidance from past and current social fund/cdd operations about the most effective ways to manage operational challenges when implementing CBDRM activities, such as the rapid mobilization and scaling up of emergency response operations. v

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9 Acknowledgments The preparation of this Toolkit was managed by Samantha de Silva (HDNSP). HDNSP would like to acknowledge the contribution of Naila Ahmed (SASRD) as well as Myrtle Diachok and Daniel Owen (CDD Group, SDV). The principal author of the Toolkit was Cynthia Burton (Consultant, HDNSP); the modules on Gender and Disability were written by Anna Dimitríjevics and Anne Kuriakose (HDNSP) and by María Verónica Reina (Consultant, Disability Team, HDNSP), respectively. The authors wish to thank the Global Facility for Disaster Reduction and Recovery (GFDRR), the ProVention Consortium Secretariat, Rasmus Heltberg (SDV/TFESSD), and Julie Van Domelen for formal peer review of the Toolkit. They would also like to acknowledge contributions from Cecilia Costella, Marc Maleika, and June-wei Sum (HDNSP); Sarah Adams, and Evelyn Stark (CGAP) who provided input towards overall content of the Toolkit. Nilufar Ahmad (SDV), Kamran Akbar (Pakistan Poverty Alleviation Fund), Victor Bottini (EASIS), Paul Chipeta (Malawi Social Action Fund), Stephen Commins (SASHD), Marc Maleika (HDNSP), Bam Razafindrabe (Kyoto University) and Marc Van Imschoot (ILO EMP/INVEST) contributed to the case studies. Input from participants at the Workshop Building Resilient Communities: Risk Management and Responses to Natural Disasters held in Bangkok, June 2008, greatly enriched the Toolkit. Linda Starke copyedited the toolkit and Francine Pagsibigan (HDNSP) provided overall support. Rajib Shaw, Ian Davis and Paul Venton (Kyoto University) provided input to earlier versions of the toolkit. This work program managed out of HDNSP was supported by GFDRR and TFESSD. vii

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11 Acronyms and Abbreviations ADB ALNAP AusAID BP CAS CBDM CBDRM CBEWS CBO CDD CFW CGAP CGI CVA CWS DFID DRM DRR FHIS GDP GFDRR GHD GPS HFA HVCA IBRD ICRC IDA IDP IEG IFIs IFRC ILO Asian Development Bank Active Learning Network for Accountability and Performance in Humanitarian Action Australian Agency for International Development Bank Procedure Country Assistance Strategy community-based disaster management community-based disaster risk management community-based early warning system community-based organization community-driven development cash for work Consultative Group to Assist the Poor corrugated galvanized iron community vulnerability analysis Christian World Service Department for International Development (U.K.) disaster risk management disaster risk reduction Honduran Social Investment Fund gross domestic product Global Fund for Disaster Risk Reduction Good Humanitarian Donorship Geographic Positioning System Hyogo Framework for Action hazards, vulnerability, and capacity analysis International Bank for Reconstruction and Development (World Bank) International Committee of the Red Cross International Development Association internally displaced person Independent Evaluation Group International Financial Institutions International Federation of Red Cross and Red Crescent Societies International Labour Organization ix

12 Building Resilient Communities Toolkit ACRONYMS AND ABBREVIATIONS IPCC Intergovernmental Panel on Climate Change JDLNA Joint Damage, Loss, and Needs Assessment Mission JSDF Japan Social Development Fund KALAHI-CIDSS Linking Arms Against Poverty-Comprehensive and Integrated Delivery of Social Services KDP Kecataman Development Program LGSP Local Governance Support Project MASAF Malawi Social Action Fund MDG Millennium Development Goal M&E monitoring and evaluation MFI microfinance institution NGO nongovernmental organization OP Operational Policy PID Project Identification Document PM&E Participatory Monitoring and Evaluation PPAF Pakistan Poverty Alleviation Program PRSP Poverty Reduction Strategy Paper RRC Rapid Response Committee SIRC Solomon Islands Red Cross SRM Social Risk Management SRRF Standby Recovery Financing Facility TEC Tsunami Evaluation Coalition TFESSD Trust Fund for Environmentally and Socially Sustainable Development TRIAMS Tsunami Recovery Impact Assessment and Monitoring System VCA vulnerability and capacity analysis UNDP United Nations Development Programme UNEP United Nations Environment Programme UNESCO United Nations Educational, Scientific, and Cultural Organization UNFCCC United Nations Framework Convention on Climate Change UNHCR United Nations High Commissioner for Refugees UN-IASC United Nations Inter Agency Standing Committee UN-ISDR United Nations International Strategy for Disaster Reduction UN-OCHA United Nations Office for Coordination of Humanitarian Assistance USAID United States Agency for International Development x

13 Foreword Disasters are increasingly recognized as a threat to sustainable development, poverty reduction, and achievement of the Millennium Development Goals. Poor households are particularly vulnerable to negative shocks arising from disaster events for a number of reasons: the poor own fewer productive assets; are more likely to reside in hazardous locations and in substandard housing; and are primarily dependent on their own labor to meet their livelihood needs. Such risk profiles give them fewer options to cope with and recover from the loss of assets, or the death or disability of household members in the event of a disaster. In such situations, poor households may use sub-optimal or even harmful coping strategies such as reducing consumption expenditures on food, health, and education or trying to increase incomes by sending children to work. This can have long-term implications in the form of negative human development impacts and lower future income streams, and thus poverty traps. Informal arrangements constitute the main form of risk management for the majority of the world s poor. When a disaster occurs, communities are typically the first line of defense for poor households. Social Funds have been at the forefront of helping build community resilience to shocks through a wide range of social protection interventions. These include provision of productive infrastructure (e.g., small-scale irrigation, feeder roads), livelihood support, and provision of microfinance services, for risk reduction and mitigation. Social Funds have enabled risk coping for poor households through innovative community-managed safety net programs (e.g., cash for work programs, conditional cash transfers). Social Funds key contribution to social risk management, however, is in the form of their investments in local institution-building over the long term, investments that spring into action when disasters strike and communities need to target assistance, rebuild damaged infrastructure, and link to other forms of government support, in a transparent and efficient manner. The design characteristics and the institutional set-up of Social Funds, including organizational presence at both local and national levels, offer significant advantages for responding to both rapid and slow-onset disasters. A landmark evaluation of the Bank s experience in disaster management entitled Hazards of Nature, Risks to Development (2006), found that Social Funds have been among the most flexible and inno- xi

14 Building Resilient Communities Toolkit vative of instruments available for both responding to natural disasters and reducing disaster risk through the use of community-based approaches. This Toolkit presents best practice in designing and implementing disaster risk reduction, response and recovery programs in a Social Funds context, and offers examples of community-driven development operations responding to disasters globally. The Social Protection Unit and the Global Facility for Disaster Reduction and Recovery (GFDRR) anticipate that the Toolkit will become a key reference for Bank task teams, clients, and other partners seeking to support community-based approaches to disaster risk reduction. We invite your feedback and comments as part of an ongoing dialogue on this topic. Robert Holzmann Sector Director Social Protection and Labor, HDN Saroj Kumar Jha Program Manager Global Facility for Disaster Reduction and Recovery FOREWORD xii

15 How To Use The Toolkit The Toolkit Building Resilient Communities: Risk Management and Response to Natural Disasters through Social Funds and Community-Driven Development Operations is designed primarily to help Task Teams on World Bank social funds and community-driven development (CDD) operations identify disaster risk management issues in their programs and projects and to design and implement appropriate responses. The Toolkit introduces the concepts and components of Community Based Disaster Risk Management (CBDRM) and their key relationship to the achievement of the development and poverty reduction objectives of the World Bank, including those of social funds and CDD operations within this context. The contents draw upon the experience of social funds and CDD operations, as well as international good practice, to identify operational areas where social fund/cdd operations have a comparative advantage for achieving successful results in reducing natural disaster risks and impacts on poor and vulnerable communities. The Toolkit also provides guidance and examples from past and current social fund/cdd operations about the most effective ways to manage operational challenges in undertaking CBDRM activities, particularly in relation to the rapid mobilization and scaling up of emergency response operations. The nine modules of the Toolkit correspond to key thematic areas of CBDRM. Each module can be used separately or in combination with other modules. In addition to providing information on CBDRM programming issues and options for social fund/ CDD operations, the modules contain references and Web links to guidelines, checklists, and other tools that the World Bank or other organizations have found effective. Module 1, The Role of Social Funds and CDD Operations in Disaster Risk Management, introduces the main concepts and components of CBDRM and provides an overview of current trends in disasters, with a specific focus on climate change. It includes information on hydro-meteorological and geological natural hazards, but not on biological disasters, as this topic is covered in other areas of the World Bank. Key policies and initiatives to support the enhancement of the disaster risk management capabilities of the Bank and its partners are outlined. The areas of comparative advantage of social fund/cdd operations in CBDRM are described, such as vulnerability reduction and faster and more-efficient disaster response. xiii

16 Building Resilient Communities Toolkit Module 2, Integrating CBDRM into the Project Cycle, offers guidance on incorporating disaster risk management, using community-based approaches, into the World Bank s country programs and social fund/cdd projects in countries at high risk of natural disasters. The Bank s broad policy directions in this area are outlined, along with some of the key areas of information and analysis required for effective mainstreaming of CBDRM into social funds and CDD operations. Guidance is provided on communitylevel risk assessment, specifically tools and methods for conducting multi-hazard risk analysis and hazard, vulnerability, and capacity assessments to inform the development of country programs and social fund/cdd projects and sub-projects. Module 3, Disaster Risk Reduction (Prevention, Preparedness and Mitigation), gives an overview of the main principles of CBDRM, with a particular focus on disaster risk reduction (DRR). Potential DRR areas for social fund/cdd operations are outlined, including capacity-building of government and communities to plan and implement CBDRM activities; structural and non-structural measures to mitigate disaster risks, especially hazard-resistant construction; diversification of livelihoods; risk financing and transfer methods; and adaptation to climate change. Solutions to some specific operational challenges faced by social fund/cdd operations are explored, such as building government and community support for CBDRM, fostering public-private partnerships, and undertaking information, education, and communication activities to increase disaster risk awareness and to change risk behavior. HOW TO USE THE TOOLKIT Module 4, Disaster Response (Rescue and Relief) and Early Recovery, focuses on immediate post-disaster response and early recovery. It summarizes key issues and actions that may be taken by social fund/cdd operations to help government manage and coordinate disaster response with the full and active participation of affected communities, such as emergency needs assessments, vulnerability/gender targeting, and beneficiary communications. The strengths and limitations of various cash and commoditybased options for the delivery of relief and early recovery assistance are considered, as are methods to increase the speed and efficiency of emergency response (e.g., procurement systems, human resources, logistics, and fiduciary safeguards). Module 5, Longer-Term Disaster Recovery (Rehabilitation and Reconstruction), discusses key issues in longer-term post-disaster recovery (rehabilitation and reconstruction). The range of forms and methods for social fund/cdd operations to deliver recovery assistance are described, specifically the restoration of communal assets, livelihoods, shelter/housing, and natural resources. Actions to incorporate DRR and climate change adaptation activities into recovery programming are outlined within this context. The module also provides guidance on the integration of recovery programming into regular social fund/cdd operations (that is, exit strategies for emergency operations). xiv

17 How to Use the Toolkit Module 6, Monitoring and Evaluation, outlines some of the key challenges in measuring the performance of CBDRM programming. Information and examples are provided on the development of results-based performance frameworks at the project and sub-project levels (including objectives, expected results, and performance indicators). The application of monitoring and evaluation (M&E) methods and tools to disaster contexts is discussed, including M&E plans, participatory M&E, social accountability mechanisms, measurement of institutional performance, impact assessments, technical and financial audits, management information systems, and data collection instruments. Module 7, Gender in CBDRM; Module 8, Focus on Disability; and Module 9, Focus on Older People, Children and Minorities, provide an overview of the particular needs and capacities of women, the disabled, older people, children, ethnic minorities, and migrants when designing CBDRM strategies and projects. The risks and consequences of excluding these groups are explored in these modules and actions are identified for increasing inclusiveness in CBDRM processes. xv HOW TO USE THE TOOLKIT

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19 MODULE 1

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21 MODULE 1 The Role of Social Funds and Community Driven Development Operations in Disaster Risk Management What is Disaster Risk Management?... 2 Risk Reduction... 3 Response... 4 Recovery... 5 The Role of Social Funds/CDD Operations... 6 Key Global Natural Disaster Issues... 9 The Growing Scale and Impact of Disasters... 9 Disasters and Poverty Rising Disaster Risk Impact of Climate Change World Bank Policy Response Hyogo Framework for Action and Global Facility for Disaster Reduction and Recovery Policy on Rapid Response to Crises and Emergencies Future Directions for Social Fund/CDD Operations Implementing Community-based Disaster Risk Management Initiatives Increasing the Speed and Efficiency of Disaster Response and Recovery Addressing Vulnerability Further Resources

22 Building Resilient Communities Toolkit Module Summary This module introduces the main concepts and components of disaster management and provides an overview of current trends in disasters, including a specific focus on climate change. The module covers hydro-meteorological and geological natural disasters. It does not include biological disasters. The critical links between natural disasters, poverty, and development are described, as are the key World Bank policies and initiatives in support of enhanced disaster management capabilities. The important roles played by social funds and community-driven development operations in disaster management are outlined, as well as future directions for implementing community-based disaster risk management programming, increasing the speed and efficiency of disaster response and recovery operations, and reducing vulnerability. What is Disaster Risk Management? A disaster is defined as a serious disruption of the functioning of a community or a society causing widespread human, material, economic, or environmental losses that exceed the ability of the affected community or society to cope using its own resources. A disaster is a function of the risk process. It results from the combination of hazards, conditions of vulnerability, and insufficient capacity or measures to reduce the potential negative consequences of risk (UN/International Strategy for Disaster Reduction, 2004). Therefore, disasters are not unpredictable and unavoidable events but rather unsolved problems of development. Disaster risk management (DRM) refers to the systematic process of using administrative decisions, organization, operational skills, and capacities to implement policies, strategies, and coping capacities of the society and communities to lessen the impacts of natural hazards and related environmental and technological disasters. This includes all forms of activities, including structural and nonstructural measures to avoid (prevention) or to limit (mitigation, preparedness, and response) the adverse effects of hazards (adapted from UN/ISDR, 2004). DRM is usually divided into three main areas of activity: MODULE 1 1. Disaster risk reduction (prevention, mitigation, and preparedness), 2. Disaster response (rescue and relief), and 3. Disaster recovery (rehabilitation and reconstruction). While these areas of activity are often referred to as separate phases or components of disaster management for administrative funding and programming purposes, in reality they overlap and affect each other. 2

23 The Role of Social Funds and CDD Operations in Disaster Risk Management Table 1.1 Key Definitions Disaster risk reduction Disaster response Disaster recovery Disaster risk reduction (DRR) is a conceptual framework of elements considered with the purpose of minimizing vulnerabilities and disaster risks throughout a society in order to avoid (prevention) or to limit (mitigation and preparedness) the adverse impacts of hazards and to facilitate sustainable development. DRR is a cross-cutting and development issue. The process of DRR is a complex one consisting of political, technical, participatory, and resource mobilization components. Therefore, DRR requires collective wisdom and efforts from national policy and decision makers from various government sectors and from representatives from civil society, including academic institutions, the private sector, and the media (UN/ISDR, 2004). Disaster response refers to the provision of assistance or intervention during or immediately after a disaster to meet the needs of those affected. It is generally immediate and short-term (UN/ISDR Web site). The primary objective of this humanitarian assistance is to save lives, alleviate suffering, and maintain human dignity. It includes immediate postdisaster rescue and relief activities, such as the provision of food, water and sanitation, shelter, health services, and other assistance to the affected population. It also includes the protection of vulnerable people for example, those involuntarily displaced from their homes by a hazard event or whose access to relief assistance may be affected by factors such as a disability (The Sphere Project, 2004). Disaster recovery (rehabilitation and reconstruction) refers to the decisions and actions taken after a disaster with a view to restoring or improving the pre-disaster living conditions of the stricken community, while encouraging and facilitating necessary adjustments to reduce disaster risk. Recovery affords an opportunity to develop and apply disaster risk reduction measures (UN/ISDR, 2004). Risk Reduction Disaster risk reduction is founded on the principle that the adverse impacts of hazards can be managed, reduced, and sometimes even prevented by taking appropriate actions to decrease people s exposure to hazards and their susceptibility to hazard impacts. Conversely, understanding and increasing people s capacity to anticipate, cope with, resist, and recover from hazard impacts is an essential component of reducing vulnerability. DRR aims to enable societies to be more resilient to natural hazards and to ensure that development does not inadvertently increase vulnerability to those hazards. Therefore, recovery activities should do more than merely return disaster-affected people and institutions back to the situation that existed before a disaster. In particular, the recovery phase of a disaster response also offers opportunities to strengthen the capacity of communities and their governments to cope with the impact of disasters and to reduce their vulnerability to future hazards and shocks for instance, through restoring destroyed mangroves as protection against storm surge, increasing fishing 3 MODULE 1

24 Building Resilient Communities Toolkit Figure 1.1: The Relief to Development Contiguum Disaster Response/Relief Recovery Development Disaster Risk Reduction opportunities, or developing the disaster management skills of local government authorities. Likewise, DRR should be incorporated into regular development planning and programming to reduce or avoid the negative impacts of future hazard events. DRR is implemented using DRM approaches. Response Disaster-affected populations initially will require critical life-saving support. At the same time, their communities, institutions, and livelihoods will have been physically destroyed or weakened by the impact of the crisis. Many households and communities will begin a process of self-recovery as soon as possible after a disaster, out of practical necessity. The vulnerabilities that turned a hazard into a disaster in the first place often get recreated in the process. For example, homes may be reconstructed using the same building techniques that caused them to collapse. Poor households may resort to selling off their scarce productive assets in the immediate aftermath of a disaster in order to meet their basic needs and become even more vulnerable to future shocks. MODULE 1 International experience also has demonstrated the close links between relief and recovery. The choices made regarding the kinds of relief assistance to be provided, and how it is provided, can facilitate or hinder the recovery of affected communities (Christoplos, 2006a). For instance, following the 2005 Pakistan earthquake, instead of distributing expensive winterized tents with a limited lifespan, the Pakistan Poverty Alleviation Fund (PPAF) provided affected communities with corrugated galvanized iron sheets and tools. The tools and materials were used by communities to build themselves temporary shelters using wood and other materials salvaged from the rubble. They could be used later in permanent home reconstruction. 4

25 The Role of Social Funds and CDD Operations in Disaster Risk Management The choices made regarding the provision of relief also can have positive or negative impacts on reducing disaster risks for example, undertaking a rapid environmental impact assessment to identify whether toxic substances have been released into the environment following an earthquake (e.g., the chemical leaks from factories damaged by the May 2008 earthquake in China 1 ) and then mounting a campaign to reduce the threat to nearby communities. For these reasons, relief needs to be carried out with a view to supporting and reinforcing the early recovery and risk reduction of disaster-affected populations. Recovery When a natural disaster strikes in a poor community, not only does it cause serious loss of life and property, it often takes away or threatens the livelihoods and futures of those who survived. This is especially the case where productive household members have been lost or permanently disabled. For many households, not only will their short-term economic and social vulnerability be increased, but their ability to cope with future shocks may also be eroded. These pressures can contribute to increased poverty and marginalization in a society. They can aggravate tensions or conflicts that may have already existed within or between communities prior to the disaster. In the case of slow-onset or regularly recurring hazard events or shocks, many poor communities live in a constant state of recovery, where temporary relief has become a permanent coping strategy. For example, in Malawi drought occurs with such frequency that people have little time to recover before another drought hits. This has resulted in deepening poverty, chronic food insecurity, and aid dependency. Thus, in order to be effective and sustainable, recovery initiatives must be linked to the national and local development context and processes, as well as an understanding of the economic, social, and political conditions that existed prior to the disaster. Some of these are likely to have been contributing factors to the risk and vulnerability that turned the hazard event into a disaster; others for instance, underlying structural issues may have an impact on the strategies adopted for recovery. Lack of understanding of these processes can lead to poorly targeted and inappropriate assistance. This is equally the case for infrastructure rehabilitation and reconstruction. There are many examples of schools and health centers rebuilt after natural disasters that could not afford ongoing maintenance costs or the staff to run them. 1 SBS Australia television news coverage, 23 May MODULE 1