52839 Safer Homes, Stronger Communities A Handbook for Reconstructing after Natural Disasters Abhas K. Jha with Jennifer Duyne Barenstein Priscilla M. Phelps Daniel Pittet Stephen Sena GFD RR GLOBAL O GLOBAL FACILITY FOR DISASTER REDUCTION AND RECOVERY Safer Homes, Stronger Communities Safer Homes, Stronger Communities A Handbook for Reconstructing after Natural Disasters Abhas K. Jha with Jennifer Duyne Barenstein Priscilla M. Phelps Daniel Pittet Stephen Sena © 2010 The International Bank for Reconstruction and Development / The World Bank 1818 H Street NW Washington DC 20433 Telephone: 202-473-1000 Internet: http://www.worldbank.org E-mail: feedback@worldbank.org All rights reserved 1 2 3 4 12 11 10 09 This volume is a product of the staff of the International Bank for Reconstruction and Development/ The World Bank. 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ISBN: 978-0-8213-8045-1 eISBN: 978-0-8213-8268-4 DOI: 10.1596/978-0-8213-8045-1 Library of Congress Cataloging-in-Publication Data has been applied for. iv CONTENTS The Process of Response and Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viii A Note to the Policy Maker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix A Note to the Project Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xxiii Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxvii Guiding Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 PART 1 Reconstruction Tasks and How to Undertake Them . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Section 1 Assessing Damage and Defining Reconstruction Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Chapter 1 Early Recovery: The Context for Housing and Community Reconstruction . . . . . . . . . . . . . 7 Chapter 2 Assessing Damage and Setting Reconstruction Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23 Annex 1 How to Do It: Conducting a Post-Disaster Housing Sector Assessment . . . . . . . . . . . . . . . . . . . . . . 38 Annex 2 How to Do It: Assessing Post-Disaster Housing Damage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Chapter 3 Communication in Post-Disaster Reconstruction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45 Annex 1 How to Do It: Conducting a Communication-Based Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Annex 2 Culture and Other Contextual Factors in Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 Chapter 4 Who Gets a House? The Social Dimension of Housing Reconstruction . . . . . . . . . . . . . . . . .59 Annex 1 How to Do It: Considerations in Designing a Social Protection System for Natural Disasters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 Annex 2 How to Do It: Conducting a Post-Disaster Social Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 Chapter 5 To Relocate or Not to Relocate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .77 Annex How to Do It: Developing a Post-Disaster Resettlement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 Chapter 6 Reconstruction Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .93 v Section 2 Planning Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Chapter 7 Land Use and Physical Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Annex 1 How to Do It: Undertaking a Comprehensive Planning Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Annex 2 How to Do It: Post-Disaster Planning Where Planning Law and Institutional Capacity Are Weak . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 Chapter 8 Infrastructure and Services Delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 Chapter 9 Environmental Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Annex 1 How to Do It: Developing a Disaster Debris Management Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Annex 2 How to Do It: Carrying Out Environmental Impact Assessment and Environmental Monitoring of Reconstruction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 Chapter 10 Housing Design and Construction Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 Annex Adapting Vernacular Building Technologies: Some Good Practices. . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Chapter 11 Cultural Heritage Conservation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Section 3 Project Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 Chapter 12 Community Organizing and Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Annex 1 How to Do It: Establishing a Community Facilitation System for Post-Disaster Housing and Community Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 Annex 2 How to Do It: Developing a Community Participation Pro ile. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 Chapter 13 Institutional Options for Reconstruction Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 Chapter 14 International, National, and Local Partnerships in Reconstruction . . . . . . . . . . . . . . . . 207 Chapter 15 Mobilizing Financial Resources and Other Reconstruction Assistance . . . . . . . . . . . . . 221 Annex 1 How to Do It: Deciding Whether to Procure and Distribute Reconstruction Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236 Annex 2 How to Do It: Establishing a Grievance Redressal System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238 Chapter 16 Training Requirements in Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 PART 2 Monitoring and Information Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 Chapter 17 Information and Communications Technology in Reconstruction . . . . . . . . . . . . . . . . . 253 Annex 1 How to Do It: A Primer on Acquiring Satellite Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 Annex 2 A Primer on GIS and GIS Data Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267 Chapter 18 Monitoring and Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Annex 1 How to Do It: Conducting an Impact Evaluation of a Reconstruction Project . . . . . . . . . . . . . . . 278 Annex 2 How to Do It: Conducting a Social Audit of a Reconstruction Project . . . . . . . . . . . . . . . . . . . . . . . 282 Chapter 19 Mitigating the Risk of Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 Annex 1 How to Do It: Developing a Project Governance and Accountability Action Plan . . . . . . . . . . . 295 Annex 2 How to Do It: Conducting a Corruption Risk Assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Annex 3 How to Do It: Conducting a Construction Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 vi PART 3 Information on World Bank Projects and Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303 Chapter 20 World Bank Response to Crises and Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305 Annex Processing Steps for Emergency Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 Chapter 21 Safeguard Policies for World Bank Reconstruction Projects . . . . . . . . . . . . . . . . . . . . . . . 313 Annex Selected Safeguard Policy Summaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 Chapter 22 Financial Management in World Bank Reconstruction Projects . . . . . . . . . . . . . . . . . . . 323 Chapter 23 Procurement in World Bank Reconstruction Projects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 PART 4 Technical References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337 Disaster Types and Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339 Disaster Risk Management in Reconstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 Sources of Disaster Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354 Matrix of Disaster Project Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357 Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367 vii The Process of Response and Reconstruction DISASTER EVENT Initial Response (2 weeks) Establish Engage Conduct Carry out Define Issue rapid Launch/ coordination agencies initial public initial outline appeal and orchestrate mechanism communication assessment strategy subsequent emergency appeals response Assessment and Policy Making (2 months) Initiate/coordinate Define Announce Carry out Maintain joint rapid and update reconstruction detailed monitoring and damage reconstruction policy assessments feedback system assessment policy Reconstruction (2+ years) Designate Designate Establish Establish Analyze Maintain Institutional lead lead agencies local NGO/civil society institutional monitoring and Strategy reconstruction in key sectors government coordination governance feedback systems agency collaboration mechanism risks See Chapters 1, 2, 13, 14 Issue financial Estimate Mobilize Define and Establish Maintain Financial appeals reconstruction financial implement financial monitoring and Strategy (recurrent) cost resources housing management feedback systems assistance scheme system See Chapters 4, 15, 20, 22, 23 Design and Carry out Establish Establish Maintain Maintain Community implement consultations community/ community effective monitoring and Participation communication with affected NGO/CSO facilitation participation feedback systems plan communities collaboration system See Chapters 3, 12 Reconstruction Define Carry out Develop Plan and execute Maintain Reconstruction begins and reconstruction land use and reconstruction relocation and monitoring and Approach continues approaches site planning training and infrastructure feedback systems throughout and relocation exercises oversight reconstruction requirements systems projects See Chapters 5, 6, 7, 8, 10, 11, 16 Establish system Establish Establish system Establish system Identify Maintain Risk for governance system for to ensure disaster for social risk safeguard policy monitoring and Management and corruption environmental risk reduction assessment framework feedback systems risk management risk management in reconstruction to apply See Chapters 9, 17, 18, 19, 21, DRM RECONSTRUCTION COMPLETE viii S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S A NOTE TO THE POLICY MAKER Background Safer Homes, Stronger Communities: A Handbook for Reconstructing Handbook Guiding Principles after Disasters was developed to assist policy makers and project 1. A good reconstruction policy helps reactivate managers engaged in large-scale post-disaster reconstruction programs communities and empowers people to rebuild their make decisions about how to reconstruct housing and communities after housing, their lives, and their livelihoods. natural disasters. 2. Reconstruction begins the day of the disaster. 3. Community members should be partners in policy As the handbook demonstrates, post-disaster reconstruction begins with making and leaders of local implementation. a series of decisions that must be made almost immediately. Despite 4. Reconstruction policy and plans should be financially the urgency with which these decisions are made, they have long-term realistic but ambitious with respect to disaster risk impacts, changing the lives of those affected by the disaster for years to reduction. come. 5. Institutions matter and coordination among them improves outcomes. As a policy maker, you may be responsible for establishing the policy 6. Reconstruction is an opportunity to plan for the future framework for the entire reconstruction process or for setting and to conserve the past. reconstruction policy in only one sector. The handbook is emphatic about the importance of establishing a policy to guide reconstruction. Effective 7. Relocation disrupts lives and should be minimized. reconstruction is set in motion only after the policy maker has evaluated 8. Civil society and the private sector are important parts his or her alternatives, conferred with stakeholders, and established the of the solution. framework and the rules for reconstruction. 9. Assessment and monitoring can improve reconstruction outcomes. As international experience--and the examples in the handbook--clearly 10. To contribute to long-term development, demonstrate, reconstruction policy improves both the ef iciency and the reconstruction must be sustainable. effectiveness of the reconstruction process. In addition to providing advice The last word: every reconstruction project is unique. on the content of such a policy, the handbook describes mechanisms for managing communications with stakeholders about the policy, for improving the consistency of the policy, and for monitoring the policy's implementation and outcomes. The handbook does not tell you exactly what to do, but it should greatly improve the likelihood that the reconstruction policy that is established leads to good outcomes. Defining the Reconstruction Policy The handbook begins with a statement of guiding principles (shown in the adjacent box). These guiding principles encapsulate the handbook's advice and re lect some of the key concepts behind it, including participation, collaboration, sustainability, and risk reduction. Reconstruction begins the day of the disaster. Therefore, one of the principal challenges of the policy maker is to work quickly to establish the policy basis for reconstruction, while taking time to confer with stakeholders and plan the reconstruction properly. The purpose of this Note is to summarize some of the important parameters of the policy-making exercise and to provide a conceptual framework for the reconstruction policy. Reconstruction policy needs to be de ined in ive principal areas: (1) the Institutional Strategy, (2) the Financial Strategy, (3) the Community Participation Approach, (4) the Reconstruction Approach, and (5) Risk Management. The handbook's low chart (shown after the table of contents and in miniature below) graphically represents this process. It also includes one other critical activity, common to all of these policy areas: implementation of a monitoring and feedback system. Also shown in the low chart are the other critical activities in each of the ive policy areas. The following sections summarize the key policy issues within each of the components of the reconstruction policy. ix Institutional Strategy. People make reconstruction happen, but they will act mostly through different types of organizations. Beginning with government itself, one of the most critical early steps for the policy maker is to identify who will do what and how the numerous organizations that may be involved in reconstruction will work together. A second critical set of decisions has to do with the rules under which reconstruction will take place, that is, what are the laws, regulations, and institutional arrangements, both formal and informal, that will apply and will regulate what reconstruction agencies do. For instance, will projects be subject to existing building codes or environmental law, or will exceptions be made? How will nongovernmental organizations (NGOs) be involved, and how formal should their agreements to provide assistance to affected communities be? The institutional strategy must also evaluate the capabilities of the organizations involved and decide how their activities will be coordinated. What reconstruction responsibilities will local governments handle, for instance, and how will they report back? Whether an effective, coordinated institutional strategy is established, and is then monitored and adjusted as reconstruction proceeds, can determine the success or failure of the entire reconstruction program. The handbook provides guidance on institutional strategy in several chapters, covering everything from how humanitarian agencies and reconstruction agencies work together (Chapter 1) to providing guidance on institutional options for organizing reconstruction (Chapter 13). In each chapter, the Key Decisions section identi ies the roles and tasks that need to be assigned and proposes the appropriate agency to assign them to. Ultimately, many of these decisions need to be made by policy makers and re lected in the institutional element of reconstruction policy. (The chapters that correspond to each policy area are shown in the low chart.) Financial Strategy. Without inancial resources, there will of course be no reconstruction. But a shortage of resources is not the greatest risk in managing the inancial aspects of reconstruction. Greater risks are found in the lack of control of inancial resources and in the lack of effectiveness of the resources that are spent. Most of the resources spent on reconstruction are not government's. Yet once they are pledged to the reconstruction effort, good post-disaster inancial management requires that these commitments be taken into consideration in planning and that their expenditure be tracked. This points out once again the importance of coordination among agencies involved in reconstruction, as well as the need for systems that will permit accurate programming and tracking of expenditures, no matter the funding source. Resources must not only be mobilized, programmed, and tracked, but some must be allocated and delivered directly to those affected by the disaster. For this population, the design and execution of the assistance strategy for housing is their principal concern and may be the sole metric by which they evaluate the policy framework, since it is the decision that will most directly affect them. Yet for the policy maker, this is, in fact, a complex set of decisions that have social, economic, and logistical implications. The assistance strategy must be tailor-made to the country and the disaster, and take into account existing social policy, as well the social equity and development objectives established for reconstruction. Lastly, preventing the misuse of resources must be a priority of policy makers, and anticorruption measures must be planned for and implemented throughout the reconstruction process. The handbook provides guidance on mobilizing inance, tracking expenditures, and allocating and delivering resources to households, and includes measures for qualifying recipients of assistance and redressing their grievances (Chapter 15). It also suggests criteria for designing the assistance scheme (Chapter 4) and explains how inancial management and procurement are handled in World Bank projects (Chapters 22 and 23). An entire chapter is dedicated to measures to mitigate corruption (Chapter 19). Community Participation Approach. What is the role of affected communities in reconstruction and who decides on that role? Government cannot control what people do after a disaster, but the reconstruction policy can establish an approach to communication and interaction with affected communities that puts them in the center, capitalizing on the community members' wisdom, experience, and energy, or, alternatively, an approach that frustrates and disempowers all involved. Engagement with affected communities begins with communication, and a two-way consultative form of communication is strongly encouraged. Affected communities should have the opportunity to participate in policy making, including in the institutional and inancial elements described x S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S above. Working "as a community" in reconstruction will be The Process of Response and Reconstruction a foreign concept in many places, and there can be capture of these processes and the resources that are provided. DISASTER EVENT Therefore, facilitation and oversight are critical to ensuring that Initial Response (2 weeks) community-based efforts are effective, properly governed, and Launch/ Establish Engage Conduct Carry out Define Issue rapid truly participatory. coordination agencies mechanism initial public initial outline appeal and communication assessment strategy subsequent orchestrate emergency appeals response Guidance is found throughout the handbook on putting and Assessment and Policy Making (2 months) keeping affected communities in the driver's seat during Initiate/coordinate Define Announce Carry out Maintain reconstruction, recognizing that there will be pressures to joint rapid damage and update reconstruction reconstruction policy detailed assessments monitoring and feedback system assessment policy establish a more "ef icient," top-down approach and that the commitment to participatory reconstruction needs to come Reconstruction (2+ years) from the top. Chapters and case studies demonstrate different Designate Designate Establish Establish Analyze Maintain models of participation and advice on recruiting community Institutional Strategy lead reconstruction lead agencies in key sectors local government NGO/civil society coordination institutional governance monitoring and feedback systems agency collaboration mechanism risks facilitators (see in particular Chapter 12). Also provided are See Chapters 1, 2, 13, 14 practical tools, such as guidelines for training (Chapter 16), Issue financial Estimate Mobilize Define and Establish Maintain participatory assessment (Chapter 2), and social auditing Financial Strategy appeals (recurrent) reconstruction cost financial resources implement housing financial management monitoring and feedback systems assistance scheme system (Chapter 18). See Chapters 4, 15, 20, 22, 23 Design and Carry out Establish Establish Maintain Maintain Reconstruction Approach. If reconstruction begins the day Community implement Participation communication consultations with affected community/ NGO/CSO community facilitation effective participation monitoring and feedback systems plan communities collaboration system of the disaster, what does it mean for government to de ine See Chapters 3, 12 the reconstruction approach? This element of reconstruction Reconstruction Define Carry out Develop Plan and execute Maintain policy addresses how physical reconstruction will be carried Reconstruction begins and Approach continues reconstruction approaches land use and site planning reconstruction training and relocation and infrastructure monitoring and feedback systems out at the community level, starting with the important issue throughout and relocation exercises oversight reconstruction requirements systems projects See Chapters 5, 6, 7, 8, 10, 11, 16 of the role of affected households in the actual reconstruction. Depending on the respective roles of households and Risk Establish system Establish for governance system for Establish system to ensure disaster Establish system for social risk Identify safeguard policy Maintain monitoring and Management and corruption environmental risk reduction assessment framework feedback systems reconstruction agencies, different forms of support will risk management risk management in reconstruction to apply be needed, whether it is inance, training, or community See Chapters 9, 17, 18, 19, 21, DRM facilitation. One critical issue that the reconstruction policy RECONSTRUCTION COMPLETE must address is whether transitional shelter will be provided to affected households. Transitional shelter can smooth the transition from disaster to permanent housing, but it has dif icult cost and logistical implications See full size version on page viii. that must be analyzed. The reconstruction policy may need to create incentives to ensure the coordination of housing and infrastructure reconstruction. It will absolutely need to establish the goal of improving the safety of rebuilt housing and infrastructure, starting with de ining standards to reduce the vulnerability to future hazards for all reconstructed and repaired housing and establishing the means for implementing these standards as broadly as possible. This must apply to housing built with public reconstruction funds, and should ideally extend to all rebuilt and repaired or retro itted housing, no matter the funding source. In some cases, risk reduction will imply relocation of households or entire communities, and the policy must de ine the conditions for this. Again, coordination among agencies on these issues is key, so that households cannot circumvent the safety standards by seeking an alternative funding source. Land use is almost always a dif icult issue in reconstruction, and the reconstruction policy should anticipate this. The issues that may arise include, among others, (1) the need to replan land uses for housing and infrastructure, (2) the demand for tenure security, (3) the need for land for reconstruction, and (4) price escalation of land. In countries with extensive informal settlements and poor land administration and land use planning, solving these problems can hold up reconstruction. The policy should identify solutions or at least the means of reaching them. Handbook chapters provide guidance on all policy issues related to the reconstruction approach, including the use of transitional shelter (Chapter 1), relocation (Chapter 5), land use and planning (Chapter 7), infrastructure reconstruction (Chapter 8), and housing design and technology (Chapter 10). Risk Management. Finally, the reconstruction policy must ensure proper risk management in a number of areas, including (1) governance and corruption risk, (2) environmental risk, (3) disaster risk reduction, and (4) social risk. This is a disparate set of risks, but they share the common xi characteristic that poorly managing them during reconstruction can result in unforeseen or undesirable outcomes, delays, and loss of credibility for the individuals and institutions involved. These risks can be anticipated and measures can be taken to reduce vulnerability to them. This begins with establishing a culture of risk management in reconstruction and ensuring that tools to analyze and mitigate risks are widely understood and diligently applied. Risk reduction begins with analysis and extends to project design and implementation. Each component of the policy should incorporate monitoring, which serves as a risk reduction tool by providing early signals that project design or implementation is poor or that communities are dissatis ied with outcomes. Some of the activities mentioned as good practice in the other policy areas also serve to reduce risk, for instance, the use of two-way communication, training, or good inancial tracking. The handbook provides additional tools speci ically identi ied as tools for risk management. These include methodologies for corruption risk assessment (Chapter 19), disaster risk management (Technical References), environmental management (Chapter 9), and social risk assessment (Chapter 4). While it might seem logical that experts in disaster management would take a risk management approach to reconstruction, this is not always the case. However, the authors strongly encourage policy makers to do so, and to incorporate this approach through the inclusion of a risk management component in the reconstruction policy. How Policy Makers Can Use the Handbook Policy makers can use the handbook in a number of ways to help improve reconstruction outcomes. The handbook can assist in the design of the reconstruction policy by offering a systematic approach and a comprehensive set of options. The handbook can serve as a shared frame of reference for specialists with diverse backgrounds who may be called on to assist government in proposing speci ic policies or in implementing reconstruction. Policy makers can also encourage the use of the handbook by central and local government of icials and of icials of NGOs and civil society organizations to help them develop a common understanding of goals and the means to reach them and to improve the consistency of their interventions and, therefore, the ef iciency of reconstruction. The assessment methodologies and other guidelines included in the annexes can serve as useful tools for joint action by a range of actors. Please note that the house icon is used throughout the handbook to alert the reader to related information elsewhere in the chapter or in another chapter. The handbook is supported by a Web site, http://www.housingreconstruction.org, and a community of practice. The Web site contains additional materials related to each chapter and other relevant topics. Copies of the handbook can also be downloaded from the Web site. The handbook will be updated periodically as comments are received from users and as the disaster reconstruction ield and its best practices evolve. As you read and use the handbook, please feel free to comment on its contents at the Web site. User comments are most appreciated and will be taken into consideration to improve the next version of the handbook. We sincerely hope that this handbook gives you the guidance you need to accomplish your goals and to provide the policy leadership in challenging post-disaster situations. The Authors Washington, DC December 2009 xii S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S A NOTE TO THE PROJECT MANAGER Background Safer Homes, Stronger Communities: A Handbook for Reconstructing Handbook Guiding Principles after Disasters was developed to assist project managers and policy 1. A good reconstruction policy helps reactivate makers engaged in large-scale post-disaster reconstruction programs communities and empowers people to rebuild their make decisions about how to reconstruct housing and communities after housing, their lives, and their livelihoods. natural disasters. 2. Reconstruction begins the day of the disaster. 3. Community members should be partners in policy As the handbook demonstrates, post-disaster reconstruction begins with making and leaders of local implementation. a series of decisions that must be made almost immediately. Despite 4. Reconstruction policy and plans should be financially their urgency, these decisions--and the manner in which they are realistic but ambitious with respect to disaster risk implemented--will have long-term impacts that will change the lives of reduction. those affected by the disaster for years to come. 5. Institutions matter and coordination among them improves outcomes. As a project manager or task manager, you will be responsible for 6. Reconstruction is an opportunity to plan for the future implementing government policy decisions and for making many and to conserve the past. operational decisions on the ground. The handbook provides information on the options that should be considered in various aspects of 7. Relocation disrupts lives and should be minimized. reconstruction and insight into what has worked elsewhere. It does not 8. Civil society and the private sector are important parts tell you exactly what to do, but it should improve the likelihood of good of the solution. outcomes from the work that is done. 9. Assessment and monitoring can improve reconstruction outcomes. The handbook's low chart (shown after the table of contents and in 10. To contribute to long-term development, miniature below) graphically represents the entire reconstruction process. reconstruction must be sustainable. The last word: every reconstruction project is unique. Content of the Handbook by Chapter The handbook begins with a statement of guiding principles (shown in the adjacent box). These guiding principles encapsulate the handbook's advice and re lect some of the key concepts behind it, including participation, collaboration, sustainability, and risk reduction. The handbook is divided into four parts. Below is an overview of some of the key concepts and guidance presented in each part. Part 1, Reconstruction Tasks and How to Undertake Them, provides both policy and practical advice on critical reconstruction issues. Part 1 contains three sections that correspond to the principal stages of reconstruction: (1) assessment and policy making, (2) planning, and (3) implementation. Below are summaries of the chapters contained in each of these three sections. Section 1. Assessing Impact and De ining Reconstruction Policy In Chapter 1, Early Recovery: The Context for Housing and Community Reconstruction, the handbook offers an overview of the institutional landscape project managers are likely to encounter in a post-disaster setting beginning with the disaster event, when humanitarian agencies are likely to be most prevalent, and of the sequence of events that are likely to unfold. It also describes the roles that affected populations and various agencies take on in the post-disaster environment. This chapter also presents the arguments in favor of and against providing transitional shelter. A number of common gaps or bottlenecks in the reconstruction process, including the funding gap, the planning gap, the implementation gap, and the participation gap, are described here. This chapter sets the tone for the rest of the handbook by arguing for a reconstruction approach that puts affected communities in the center, helping to set policy and organizing the entire reconstruction process. xiii Chapter 2, Assessing Damage and Setting Reconstruction Policy, discusses the assessment process and explains some of the common types of assessments. It focuses on three types of assessments: (1) multisectoral assessments (such as the damage and loss assessment); (2) housing sector assessments, which can be used to diagnose the land administration and affordable housing policy and institutional framework in the country and to identify capacity issues that may arise in reconstruction; and (3) local housing assessments, including housing damage assessments. Housing damage assessments are the door-to-door assessments that are often used to allocate housing assistance. This chapter shows how assessment results are used to de ine reconstruction policy and discusses the political economy of the reconstruction process. An outline for a reconstruction policy is provided, as are two good examples of reconstruction policies: those used in the aftermath of (1) the 2001 earthquake in Gujarat, India; and (2) the 2004 Indian Ocean tsunami in Tamil Nadu, India. The annexes in this chapter provide detailed methodologies on how to conduct (1) a housing sector assessment and (2) a housing condition assessment. The proposed housing condition assessment methodology recommends a number of activities to also assess the overall condition of the neighborhood, including the "village transect." This assessment should be conducted with the participation of affected communities. Chapter 3, Communication in Post-Disaster Reconstruction, provides guidelines on the development of a comprehensive post-disaster communications strategy. This chapter encourages the use of continuous, two-way communications following a disaster to constantly monitor the relevance and quality of the outcomes of the reconstruction program. The communications strategy that was implemented following the 2005 North Pakistan earthquake is used as an example throughout this chapter, and case studies are presented on various aspects of this experience, including the importance of assessing the cultural context when designing communications activities and the use of bene iciary feedback as a monitoring and evaluation tool. Two annexes are included in this chapter: (1) a methodology for conducting a communications-based assessment and (2) a table that summarizes the cultural factors that affect communication. Project managers will ind information in Chapter 4, Who Gets a House? The Social Dimension of Housing Reconstruction, that will help ensure that housing assistance reaches its intended bene iciaries and has the desired social impact on the ground. This chapter presents a table of all the tenancy categories that might be assisted by a housing assistance program and includes matrices of criteria that can be used to design a housing assistance scheme. These matrices address the following questions: Who is entitled? What form of assistance are they entitled to? How much assistance should they receive? Each case study explains the logic of a different approach to providing reconstruction assistance. Annexes to this chapter cover (1) considerations for designing a social protection system for natural disasters and (2) a detailed methodology for conducting a social assessment of a disaster-affected community. Chapter 5, To Relocate or Not to Relocate, is intended to guide project managers to minimize instances of relocation and to minimize the scope and impact when relocation is absolutely necessary. Relocation is frequently used as a risk reduction strategy even when the risks are not site-speci ic, because a rigorous disaster risk assessment is not conducted. This chapter should be read together with the Disaster Risk Management in Reconstruction chapter in Part 4, Technical References, which explains how a disaster risk assessment should be conducted and how to compare risk reduction options. Relocation is not the same as "resettlement" as de ined in the policies of many international organizations, including the World Bank, and this chapter explains the difference in these concepts, the different types of displacement, and the implications for project design, such as the ways in which assistance may be provided. At the same time, an argument is made in favor of a relocation approach that carefully identi ies both social and economic impacts for households and attempts to mitigate them, as provided in resettlement policies. Numerous case studies demonstrate the impacts of well- and poorly planned relocation, and the annex provides a systematic planning procedure for a resettlement project based on the International Finance Corporation resettlement policy. Chapter 6, Reconstruction Approaches, presents a typology and a comparison of six of the most common approaches to housing reconstruction, ranging from full owner-driven (or owner- managed) to full agency-driven approaches. It explains the advantages and disadvantages of each one in particular situations and provides case studies for each of the approaches. The same tenancy xiv S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S categories are considered in this chapter as in the discussion of housing assistance in Chapter 4. It is explained that different circumstances make one or another reconstruction approach preferable. For instance, an owner-driven approach is probably infeasible for a high-rise urban apartment building, even if the residents are owners of the units. One of the approaches discussed entails reconstruction in a relocated site (agency-driven reconstruction in relocated site), and therefore has most of the same disadvantages as relocation in general, as discussed in Chapter 5. Section 2. Planning Reconstruction The section on planning reconstruction begins with Chapter 7, Land Use and Physical Planning, which describes why planning of both sites and local land use is important, even in the post-disaster context. The content of a traditional land use plan is described, as are the challenges that arise in post-disaster planning, which include the lack of time, information, and capacity. This chapter explores the complex issues associated with the need for access to land and secure tenure in reconstruction and presents recommended solutions. Case studies include one that discusses the planning process Bhuj City, India, during which a number of residents were moved from the urban core to the periphery, and another that describes the innovative community-driven land adjudication process that took place in Aceh, Indonesia following the 2004 Indian Ocean tsunami. Annexes provide methodologies for planning (1) in situations where prior planning has taken place and institutions are experienced with planning methods and (2) in situations where this is not the case. Chapter 8, Infrastructure and Services Delivery, explains both the short-term (lifeline) and longer- term (restoration/reconstruction) measures to restore infrastructure. It includes a chart that shows the most common types of damage from different types of infrastructure and the degree of severity of the damage. The coordination of housing and infrastructure reconstruction is dif icult in a post- disaster environment, and some guidance is given on minimizing the risks of this situation. The chapter also presents an infrastructure planning methodology designed to improve the disaster resiliency of infrastructure during reconstruction or rehabilitation, and recommends that local service providers be strengthened both inancially and in terms of their institutional capacity during the reconstruction process so that they are capable of maintaining the viability and the disaster resilience of rebuilt infrastructure over time. The case studies in this chapter explain various instances where infrastructure and housing reconstruction were not well coordinated and the practical solutions that were arrived at. Chapter 9, Environmental Planning, alerts project managers to a range of environmental risks that may have been created by the disaster itself, or are likely to be encountered or created in the reconstruction process. It describes the types of environmental damage that are likely to result from different types of disasters and highlights common management problems, such as the handling of disaster debris and the planning of new settlements in a way to incorporate ecological considerations. A wide range of planning and analytical tools are described, including environmental risk assessment, eco- and hazard mapping, and environmental management plans, and links to resource information for these tools are provided. A summary on the risk of encountering asbestos in reconstruction and on the laws and regulations that govern its handling and transport is also included. Annexes provide instructions on (1) the development of a disaster debris management plan and (2) conducting an environmental impact assessment and preparing an environmental monitoring plan. Chapter 10, Housing Design and Construction Technology, covers the range of critical issues associated with the design and construction of housing. Project managers will frequently need to decide, or help government decide, whether or to what extent construction methods will be upgraded in reconstruction, and this chapter is intended to provide support to those decisions. Issues covered include the choice of materials and building methods, the decision whether to repair/ retro it or rebuild, and the potential for incorporating universal design standards in reconstruction. Material is included on the use of vernacular construction methods, the controversies that surround this option, and the approaches that can be taken to improve their disaster resilience. To assist the project managers who may be deciding whether to support the use of local building methods in reconstruction, the chapter lists contact information for experts and institutions working to improve housing that uses local materials and vernacular building methods. xv The Process of Response and Reconstruction Chapter 11, Cultural Heritage Conservation, discusses the social and economic bene its for communities associated DISASTER EVENT with including cultural heritage conservation in post- Initial Response (2 weeks) disaster reconstruction. The chapter explains that cultural Establish Engage Conduct Carry out Define Issue rapid Launch/ heritage can include not only traditional historic sites, but orchestrate historic housing, cultural landscapes, and aesthetic assets, coordination agencies initial public initial outline appeal and mechanism communication assessment strategy subsequent emergency appeals response such as the architectural style of housing. The chapter Assessment and Policy Making (2 months) explains how cultural assets conservation its into larger Initiate/coordinate Define Announce Carry out Maintain community reconstruction projects and discusses their joint rapid and update reconstruction detailed monitoring and damage assessment reconstruction policy policy assessments feedback system social and economic value. If no planning for the treatment of cultural assets in a disaster has taken place beforehand, Reconstruction (2+ years) there are still interventions communities can carry out, Designate Designate Establish Establish Analyze Maintain and the chapter explains what some of these are. However, Institutional the text explains that the effort to salvage cultural assets lead lead agencies local NGO/civil society institutional monitoring and Strategy reconstruction in key sectors government coordination governance feedback systems agency collaboration mechanism risks See Chapters 1, 2, 13, 14 can cause as much damage as the disaster itself, so expert Issue financial Estimate Mobilize Define and Establish Maintain support is likely to be needed, and extensive resource material is provided to assist communities in inding help. Financial appeals reconstruction financial implement financial monitoring and Strategy (recurrent) cost resources housing management feedback systems assistance scheme system See Chapters 4, 15, 20, 22, 23 In reconstruction, there are also efforts that should be Design and Carry out Establish Establish Maintain Maintain made, such as adopting building codes that are compatible with cultural assets and vernacular building practices and Community implement consultations community/ community effective monitoring and Participation communication with affected NGO/CSO facilitation participation feedback systems plan communities collaboration system See Chapters 3, 12 providing inancial incentives to encourage the conservation Reconstruction Define Carry out Develop Plan and execute Maintain of built vernacular heritage that may be in private hands but that may have public value. Reconstruction begins and reconstruction land use and reconstruction relocation and monitoring and Approach continues approaches site planning training and infrastructure feedback systems throughout and relocation exercises oversight reconstruction requirements systems projects See Chapters 5, 6, 7, 8, 10, 11, 16 Section 3. Project Implementation The project implementation section is of particular value to Establish system Establish Establish system Establish system Identify Maintain Risk for governance system for to ensure disaster for social risk safeguard policy monitoring and Management and corruption environmental risk reduction assessment framework feedback systems project managers, due to its practical, operational focus. risk management risk management in reconstruction to apply See Chapters 9, 17, 18, 19, 21, DRM The handbook authors strongly favor a community-based RECONSTRUCTION COMPLETE approach to reconstruction. Chapter 12, Community See full size version on page viii. Organizing and Participation, provides guidance on how to operationalize this concept and empower communities to lead their own reconstruction effort. It includes an overview of the ways in which communities can manage the reconstruction process or otherwise participate in reconstruction, beginning with conducting participatory assessments and participating in the de inition of reconstruction policy. The chapter emphasizes that communities need support to lead reconstruction, and it provides in annexes (1) a methodology for analyzing the existing organization and leadership structure of the community and the assets it has to contribute to the reconstruction process (the Community Participation Pro ile) and (2) a detailed description of the community facilitation process that has been used very successfully in Indonesia, beginning with the post-Indian Ocean tsunami reconstruction. Chapter 13, Institutional Options for Reconstruction Management, addresses options for organizing the overall reconstruction program and explains the situations in which they are most suitable and their advantages and drawbacks. While the typology of options presented is focused on the overall reconstruction effort, the concepts (creating a new entity versus using existing agencies) are relevant to the housing sector and may be useful in organizing the institutional response, even in a single community. The chapter explains that the entity managing reconstruction needs a mandate, a reconstruction policy, and a reconstruction plan in order to be effective. This chapter also recommends that, wherever possible, a central role be given to local government in reconstruction and emphasizes the need to ensure coordination between local of icials and of icials managing the overall reconstruction effort. The case studies are correlated with the institutional typology to show how the various structures have worked in actual disaster situations. From Chapter 14, International, National, and Local Partnerships in Reconstruction, project managers can gain insight into the requirements for successfully working with the variety of nongovernmental entities that are often at work in the reconstruction environment. While Chapter 2 explains the roles of agencies on a chronological basis, beginning immediately after the disaster, this chapter describes in more operational terms how these agencies can organize and coordinate their interventions. The chapter also explains how nongovernmental and civil society organizations xvi S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S get involved in reconstruction and provides guidelines on formalizing the relationship between central or local government and these organizations to help ensure that their actions contribute to larger development goals. One technique suggested is a registration system for nongovernmental and civil society organizations to improve transparency and accountability. Another is a process for formalizing the commitments of these organizations to help affected communities. Case studies provide a sampling of the numerous approaches nongovernmental organizations (NGOs) use to support the reconstruction effort. While the parameters on the use of inancial resources will be de ined by policy makers, project managers can have an enormous in luence on the effective use of these resources. Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance, provides guidelines on qualifying recipients, delivering inancial and other resources, and tracking their use at the project level. The chapter reviews the various forms of assistance that may be provided to affected households, including, cash, vouchers, in-kind materials, and even whole houses. It also explains normal mechanisms that households use to support reconstruction, including micro inance and migrant remittances, both of which can be interrupted after a disaster and may need support. The annexes to this chapter are intended to assist project managers with two common issues: (1) whether to import or procure and distribute construction materials and (2) how to establish a grievance redressal system. The chapter points out the importance of coordinating and monitoring reconstruction inance, whatever its source, even at the project level, where agencies can inadvertently compete or duplicate efforts, both of which create disincentives for households and reduce the effectiveness of the overall reconstruction effort. Chapter 16, Training Requirements in Reconstruction, provides instructions on developing a large-scale training program aimed at improving the quality of housing condition assessments and of reconstruction, whether the builder is a contractor, a homeowner, or a combination of the two. The approach described in this chapter incorporates the initial and detailed assessment of housing condition, the design of training materials, and the use of model buildings as a training tool. One of the most important concerns in implementing training or facilitation at the project level in a large disaster is scaling up these interventions to ensure that the reconstruction effort is not delayed. The methodology described in this chapter depends on the training of trainers, which allows the scale of the training and assessment system to grow quickly. A second important concern is quality control. This system entails using the trainers as inspectors once the initial training period is over, as a means to ensure quality control. Part 2, Monitoring and Information Management, helps project managers with advice about technology use in reconstruction, project monitoring, and involving affected communities in project oversight. Chapter 17, Information and Communications Technology in Reconstruction, describes the wide variety of technologies being used in post-disaster assessment and monitoring. The chapter explains that these technologies, and their use in the post-disaster environment, are constantly changing, but that currently they are being used to improve coordination, communications, assessment, planning, and monitoring. However, successful information and communications technology use should conform to protocols that improve the interoperability of equipment and the standardization of data. Tools that are described as useful for post-disaster communications include Web 2.0, mobile telephones, and ham radios. Detailed annexes to the chapter explain (1) considerations for procuring satellite data and (2) the organization of geographic information systems and their use in reconstruction. Using Chapter 18, Monitoring and Evaluation, project managers should be able to de ine the parameters of monitoring in reconstruction and decide whether and how to evaluate project impact. This chapter explains how monitoring and evaluation can be useful in reconstruction projects and the levels at which they may be conducted (household, project, program, and sector). The chapter advocates for the use of a mix of qualitative and quantitative data, including data collected in a participatory manner, and household survey data. Different agencies use different ways to organize and manage their monitoring data. The chapter contains explanations of two common systems. While impact evaluation of disaster projects is not common, a framework developed by the World Bank for the impact evaluation of slum upgrading projects is proposed as an important resource for xvii those interested in evaluating post-disaster housing and community projects, as explained in the chapter's irst annex. This annex also includes a table of potential monitoring indicators for housing and community projects. Annex 2 explains participatory performance monitoring, and includes a methodology for a social audit and a summary of other participatory performance monitoring methods. A case study summarizes of the results of the evaluation of a reconstruction project inanced by the World Bank following the 1999 earthquake in Armenia, Colombia. There is a signi icant risk of corruption in reconstruction, and Chapter 19, Mitigating the Risk of Corruption, contains guidance and a range of tools on mitigating this risk. It recommends emerging practices to reduce corruption, such as codes of conduct in the public sector and integrity pacts between the public sector and the private sector and NGOs. Mechanisms of social control are explained, such as systems to encourage whistleblowers and to protect their identity, explaining that these mechanisms can be used on a situational basis or as part of a more comprehensive integrity system. Extensive information is provided on the use of audits, along with an explanation of the different types of audits and the auditing standards they apply. The three annexes in this chapter provide the means to improve transparency in various aspects of post-disaster reconstruction. They are (1) instructions for developing a project governance and accountability plan, as de ined by the World Bank; (2) guidelines for conducting a corruption risk assessment, which focuses on organizational inancial controls; and (3) instructions for ordering a construction audit at the project level. Part 3, Information on World Bank Projects and Policies, provides an overview of how the World Bank assists governments after disasters and of the policies and procedures that apply in World Bank projects. Chapter 20, World Bank Response to Crises and Emergencies, explains Operational Policy/Bank Procedure (OP/BP) 8.00, including the forms of Bank response, the features of Bank response, and the processing steps for emergency operations. Chapter 21, Safeguard Policies for World Bank Reconstruction Projects, includes a summary of the Bank's safeguards policies and an explanation of their application in normal and emergency operations. Chapter 22, Financial Management in World Bank Reconstruction Projects, explains the Bank project cycle and the policies and procedures for inancial management in Bank operations. The chapter also includes a summary of the inancial management issues that can arise in emergency operations and means to address them, and includes a discussion of the inancial management aspects of OP/BP 8.0. Chapter 23, Procurement in World Bank Reconstruction Projects, provides an overview of Bank procurement rules and a summary of how the Bank assesses country procurement capacity at the country and agency levels. The chapter also describes the procurement issues that can arise in emergency operations and proposes ways to address them. Part 4, Technical References, includes technical information that may be useful in various aspects of reconstruction. This part of the handbook includes a glossary and the following sections. Disaster Types and Impacts describes global disaster impacts and the impact of disasters on poverty and includes historical disaster data. It is included to provide a longer-term economic context for decisions and discussions within government about disaster-related risk reduction, policy, planning, and public investment. Disaster Risk Management in Reconstruction includes a framework for evaluating both short- and long-term mitigation options for housing and infrastructure and a comparative risk assessment methodology. This information is especially relevant to all chapters dealing with reconstruction planning. This chapter also provides guidance on how to organize a community-based hazard mitigation planning process and includes case studies on how disaster risk management has been used in speci ic disaster-related situations. xviii S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Matrix of Disaster Project Features is based on a matrix originally developed by the government of Pakistan to compare the policy decisions in a variety of disaster reconstruction projects between 2001 and 2005. It demonstrates the range of options governments select in these situations. How Project Managers Can Use the Handbook Project managers can use the handbook in a number of ways to help improve reconstruction outcomes. The handbook can assist project managers who are participating in policy decisions by offering a systematic approach and a comprehensive set of options to inform policy decisions. Project managers can also share the handbook with affected communities at the project level and use the information it contains to make more sound decisions in consultation with them. In addition, the handbook can be provided to local government of icials and of icials of nongovernmental and civil society organizations. Using the options and concepts presented in the handbook as a frame of reference, it should be easier to de ine common goals and the means to reach them, as well as to establish better systems for coordination. In particular, the assessment methodologies and other guidelines included in the annexes can be starting points for joint action by a range of actors. Please note that the house icon is used throughout the handbook to alert the reader to related information elsewhere in the chapter or in another chapter. The handbook is supported by a Web site, http://www.housingreconstruction.org, and a community of practice. The Web site contains additional materials related to each chapter and other relevant topics. Copies of the handbook can also be downloaded from the Web site. The handbook will be updated periodically as comments are received from users and as the disaster reconstruction ield and its best practices evolve. As you read and use the handbook, please feel free to comment on its contents at the Web site. User comments are most appreciated and will be taken into consideration to improve the next version of the handbook. We sincerely hope that this handbook gives you the support you need to accomplish your goals and that it empowers your work as a project manager in any future post-disaster situation. The Authors Washington, DC December 2009 xix ACKNOWLEDGMENTS Gathering the current thinking on the best way to carry out post-disaster housing and community reconstruction from the experts on the subject--an itinerant group, often found in the remote corners of the world--was a challenging task. Nevertheless, many of them went out of their way to point out the pitfalls and to provide guidance and advice on the realities of post-disaster housing and community reconstruction. For their invaluable suggestions, interviews, participation in review meetings, comments, coordination, and case studies, we would like to thank: Irvin Adonis, Jean-Christophe Adrian, Cut Dian Agustina, Kamran Akbar, Mr Mohammad Alizamani, Dr. Shoichi Ando, Raphael Anindito, Shahnaz Arshad, Raja Rehan Arshad, Anand S. Arya, Tency Baetens, Kraig H. Baier, Judy L. Baker, Lee Baker, Rick Bauer, Bakri Beck, Janis D. Bernstein, Chuck Billand, Judy Blanchette, Giovanni Boccardi, Lars Büchler, Sandra Buitrago, Ana Campos Garcia, Omar D. Cardona, Iride Ceccacci, P. G. Dhar Chakrabarti, Andrew Charlesson, Elena Correa, Saurabh Dani, Samantha de Silva, Sergio Dell'Anna, Katalin Demeter, Leslie Dep, Bruno Dercon, Rajendra Desai, Amod Mani Dixit, Alireza Fallahi, Wolfgang Fengler, María Fernández Moreno, Anita Firmanti, Thomas Fisler, Mario Flores, Francis Ghesquiere, Heiner Gloor, Joseph Goldberg, Sumila Guiliani, Iwan Gunawan, Manu Gupta, Maryoko Hadi, Muhammad Waqas Hanif, Paul Harvey, R. Ivan Hauri, Rasmus Heltberg, Carlos Herz, Andre Herzog, Montira Horayangura, Sushma Iyengar, Christopher Jennings, Saroj Jha, Rohit Jigyasu, Christianna Johniddes, Roberto Jovel, Dodo Juliman, Dr. Kalayeh, Hiroyuki Kameda, Sima Kanaan, Hemang Karelia, Shailesh Kataria, Rajesh Kumar Kaushik, Amir Ali Khan, Pankar Khana, Victoria Kianpour, Axel Kiene, Joseph King, Eberhard Knapp, Michael Koeniger, Tejas Kotak, Imam Krismanto, Jolanta Krispin-Watson, Santosh Kumar, Benny Kuriakose, Reidar Kvam, Robert Laprade, Joe Leitman, Esteban Leon, Stephen Ling, Barbara Lipman, Satprem Maïni, James Malakar, Ruby Mangunsong, Graham Matthews, Steve Matzie, Robert Maurer, Jock Mckeon, Vandana Mehra, Barjor Mehta,Vinod Menon, Provash Monda, Teungku Muhammad, Lulu Muhammad, Isabel Mutambe, Dr. Tatsuo Narafu, Ahmadou Moustapha Ndiaye, Rosanna Nitti, Kenji Okazaki, Klaus Palkovits, Al Panico, Parveen Pardeshi, Jeong Park, Ron Parker, Ayaz Parvez, Thakoor Persuad, Anna Pont, Esther Pormes, Robin Rajack, Fernando Ramirez Cortes, Priya Ranganath, Mohsen Rashtian, Vivek Rawal, Geoffrey Read, Kathryn Reid, Ritesh Sanan, C. V. Sankar, Shyamal Sarkar, Maoni Satprem, Graham Saunders, Charles Scawthorn, Tom Schacher, Theo Schilderman, Charles Setchell, Fatima Shah, Anshu Sharma, George Soraya, Maggie Stephenson, Wm. B. M. Stolte, Jishnu Subedi, Sri Probo Sudarmo, Parwoto Sugianto, Zeeshan Suhail, Aswin Sukahar, Bambang Sulistiyanto, Akhilesh Surjan, Fabio Taucer, John Tracey-White, Zoe Elena Trohanis, Etsuko Tsunozaki, Azmat Ulla, Simone van Dijk, Alexander van Leersum, Krishna S. Vatsa, Victor Vergara, Sandeep Virmani, Antonella Vitale, Gaetano Vivo, Hyoung Gun Wang, Doekle Geert Wielinga, Norbert Wilhelm, Berna Yekeler, Jaime Yepez, and Xiulan Zhang. Special acknowledgement is due to those organizations who have agreed to be partners with the World Bank in the handbook project: Asian Disaster Preparedness Center, Earthquakes and Megacities Initiative, Habitat for Humanity International, Royal Institution of Chartered Surveyors, Shelter Centre, and World Housing Encyclopedia. xxi ABOUT THE AUTHORS Mr. Abhas K. Jha (lead author and task manager) is a housing and urban inance specialist. He is currently Lead Urban Specialist and Regional Coordinator, Disaster Risk Management for the World Bank's East Asia and the Paci ic Region. He is responsible for managing the Bank's disaster risk management practice in the region. Mr. Jha has been with the World Bank since 2001, leading the Bank's urban, housing, and disaster risk management work in Turkey, Mexico, Jamaica, and Peru, and serving as the Regional Coordinator, Disaster Risk Management, for the Europe and Central Asia region. He earlier served for 12 years in the Indian Administrative Service (the national senior civil service of India) in the government of India (in the Federal Ministry of Finance and earlier in the state of Bihar). Mr. Jha holds graduate degrees in inance from Johns Hopkins University and in economics from the University of Madras. Principal Contributors Dr. Jennifer E. Duyne Barenstein (anthropologist) is an expert in the socioeconomic and cultural dimensions of post-disaster reconstruction, rural infrastructure development, and water management, with extensive professional and research experience in Argentina, Bangladesh, India, Indonesia, Italy, Mexico, the Philippines, and Sri Lanka. She is the head of the World Habitat Research Centre of the University of Applied Science of Southern Switzerland in Lugano, Switzerland (http:// www.worldhabitat.supsi.ch). She served as principal consultant for the handbook and contributed chapters on reconstruction approaches, cultural heritage, social issues, and resettlement. Ms. Priscilla M. Phelps (project manager) is an expert in local development, affordable housing, and municipal inance who works for TCG International (TCGI) in Silver Spring, Maryland. She served as chief technical editor for the handbook and contributed chapters on inance, governance, and infrastructure. Her experience with post-disaster housing includes lending for post-disaster housing reconstruction after Hurricane Mitch in Honduras and the 2001 earthquakes in El Salvador while at the Inter-American Development Bank, and working for the Low-Income Housing Fund in San Francisco after the Loma Prieta earthquake. TCGI advises governments and donors on affordable housing, municipal and infrastructure inance, and community and economic development internationally and domestically in the United States (http://www.tcgillc.com). Mr. Daniel Pittet (housing design and technology specialist) is a civil engineer with a master's degree in architecture and sustainable development from the Swiss Institute of Technology in Lausanne. Since 2005, he has worked as a researcher at the World Habitat Research Centre of the University of Applied Science of Southern Switzerland in Lugano, Switzerland (http://www. worldhabitat.supsi.ch). His areas of interest are sustainable architecture, housing environmental impact, and energy ef iciency, issues that he has researched and applied in post-disaster reconstruction projects and in developing countries, including in Nepal and India, where he has worked extensively. He provides advice to municipalities on energy management and sustainability for the Swiss national program SwissEnergy. Mr. Pittet is a photographer with several photographic publications and exhibitions to his credit. In addition to serving as a member of the core team of consultants, he provided most of the photographs in the handbook. Mr. Stephen Sena (information technology and Web site development) is an economic development consultant with TCG International (TCGI) in Silver Spring, Maryland, with a focus on information technology and communications. As a member of the core team of consultants, he contributed the chapter on information and communications technology in post-disaster reconstruction, coordinated the development of the handbook Web site, and managed design and production issues. TCGI advises governments and donors on affordable housing, municipal and infrastructure inance, and community and economic development internationally and domestically in the United States (http://www.tcgillc.com). xxiii Other Contributors Mr. B. R. Balachandran (urban planner) heads Alchemy Urban Systems in Bangalore, India (www.alchemyurban.com). He is an architect and urban planner actively engaged in professional practice since 1990. Beginning with his work on post-earthquake reconstruction of Bhuj (Gujarat, India) in 2001, post-disaster reconstruction planning has become one of his principal areas of specialization, including his current involvement in reconstruction from the 2008 lood in the Kosi region, Bihar, India. He contributed the chapter on land use and physical planning and provided advice on other planning issues. Dr. Bernard Baratz (safeguards specialist) holds a Ph.D. in chemical engineering from Princeton University and has worked for 40 years addressing the environmental impacts of energy, industrial, and infrastructure projects. A World Bank staff member for almost 30 years, he was the irst Europe and Central Asia Regional Safeguards Coordinator and one of the original authors of the World Bank policy for environmental assessment. Dr. Baratz has worked as an environmental specialist on disaster recovery and disaster management projects in China, Turkey, and Romania. Dr. Camillo Boano (architect/urban planner) is an architect and urban planner who teaches, conducts research, and provides policy advice on topics of urban development, design and urban transformation, shelter and housing, reconstruction and recovery in con licted areas and divided cities, architecture and planning in contested spaces, and linking emergency recovery and development. He is currently af iliated with the Development Planning Unit at the University College of London. Mr. William Bohn (disaster risk reduction) is an engineer and GIS Specialist with Tetra Tech (http:// www.tetratech.com/tetratech/). He has more than 10 years of experience in 19 countries providing disaster management services to the World Bank, the International Finance Corporation, the United States Agency for International Development, the U.S. Federal Emergency Management Agency, the U.S. National Oceanic and Atmospheric Administration, and the U.S. Environmental Protection Agency. He has authored numerous technical papers and publications on risk assessment, hazard analysis, vulnerability, mitigation, climate change, computer modeling, and geographic information systems. Mr. Roberto Carrion (monitoring and evaluation) is an Ecuadorian architect and urban planner. He worked for CHF International in Honduras after Hurricane Mitch in 1998, and managed post- disaster housing reconstruction processes for and for the United States Agency for International Development in El Salvador after the 1986 earthquake, in Colombia after the 1999 earthquake in Armenia, and in the Dominican Republic after Hurricane Georges in 2000. Mr. Carrion contributed to the chapter on monitoring and evaluation and provided case studies from Latin America Ms. Natalia Cieslik (communications) has worked in communications and journalism for the last 19 years, focusing on con lict and development issues in sub-Saharan Africa, Asia, and the Middle East. She has worked as a communications specialist for several nongovernmental organizations and is currently part of the World Bank team preparing the World Development Report 2011. Ms. Cieslik holds a BA in social and business communication from the University of Arts in Berlin and a master's in security studies from Georgetown University. Dr. Tom Corsellis (partnerships and humanitarian assistance) is Co-Director of Shelter Centre, a nongovernmental organization (NGO) supporting the humanitarian community of practice by developing policy and technical guidance, training, and resources for and with the humanitarian shelter and reconstruction sector, informed by ongoing operational collaborations worldwide with donors, the United Nations (UN), international organizations, and NGO partners. Shelter Centre guidance developed with the UN Of ice for the Coordination of Humanitarian Affairs includes "Shelter after Disaster: Transitional Settlement and Reconstruction." Shelter Centre sector resources include a one-stop library of 2,000 publications from 200 agencies (http://www.shelterlibrary.org). Mr. Ian Davis (shelter) has specialized in post-disaster shelter and reconstruction since 1972. He authored numerous publications on post-disaster housing; edited the irst United Nations (UN) Guidelines on Shelter after Disaster; and provided consultancy advice to governments, UN agencies, and nongovernmental organizations in 38 countries. Mr. Davis has a special interest in disaster risk reduction and recovery at the community level. xxiv S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Ms. Kirti Devi (infrastructure and services delivery) is an architect and urban planner who works as an infrastructure inance specialist with TCG International (TCGI) in Silver Spring, Maryland. She contributed to the chapter on infrastructure and services delivery and organized the ield reviews of the draft handbook. In 2001, she provided technical assistance to the state government for post-earthquake infrastructure reconstruction in 14 towns, under the Asian Development Bank- funded Gujarat Earthquake Rehabilitation Project in Gujarat, India. TCGI advises governments and donors on affordable housing, municipal and infrastructure inance, and community and economic development internationally and domestically in the United States (http://www.tcgillc.com). Mr. Jeff Feldmesser (editor) has been a writer/editor and publications specialist for more than 25 years. For the last 15 years, he has specialized in the production of publications in the ield of international development. Mr. Earl Kessler (community-based development) is an urban development expert who has developed shelter and urban programs since being a Peace Corps volunteer in Colombia in 1965. His post-disaster work with the United States Agency for International Development (USAID) includes the 1977 Guatemala earthquake reconstruction program; the Solanda, Ecuador housing project; and the assessment of USAID's role in Nevada de Ruiz after the explosion that buried Armero, Colombia. He directed USAID's Regional Urban Development Of ices in Thailand from 1988 to 1993 and in India from 1993 to 1998. He also served as Deputy Executive Director of the Asian Disaster Preparedness Center. Currently, he is preparing a community-based disaster risk management guide for tsunami-affected communities in Thailand and is one of the authors of the World Bank "Climate Resilient Cities Primer for East Asia." Mr. Richard Martin (monitoring and evaluation specialist) has specialized in housing in Africa for more than 30 years and has undertaken evaluations of a wide range of internationally funded projects. He has advised on housing in emergencies in Madagascar and South Africa, and has a special interest in the creative and effective involvement of communities. He contributed to the chapter on monitoring and evaluation. Ms. Gretchen Maxwell (art director) is creative principal of GLM Design in Falls Church, Virginia. She designed and produced the handbook and was the contributing art director for the accompanying Web site. She has run her design studio for 15 years, focusing on publication design, including annual reports, research guides, and books. Ms. Savitha Ram Mohan (research assistant) is an architect and urban planner with more than ive years of experience in urban land development, environmental management, post-disaster reconstruction planning, and architecture. She contributed to India's irst-ever climate change status report and also worked as a short-term consultant to the World Bank's South Asia Environment and Social Unit. Ms. Brigitte Marti Rojas Rivas (research assistant) studied social anthropology in Switzerland and Ecuador, and has a degree in applied anthropology from the Universidad Politécnica Salesiana in Quito. She is working on various projects for the World Habitat Research Centre of the University of Applied Science of Southern Switzerland in Lugano, Switzerland (http://www.worldhabitat.supsi. ch), including researching the viability of resettlement as a hazard mitigation strategy in the City of Santa Fe, Argentina. Dr.-Eng. Norbert E. Wilhelm (training) is a civil engineer with a Ph.D. in European standards for structural steelworks. Since 1982, he has worked in design, supervision, and training for development projects in the buildings and civil works sector in Africa, Asia, and Europe. He has worked on reconstruction projects for public buildings, education buildings, health facilities, roads, bridges, and housing. He has published papers on traditional building, appropriate technology, climatic appropriate design, and rehabilitation. As senior advisor for Grontmij-BGS Consultants (http://www.bgs-ing.de/), he has worked on reconstruction projects in India, Sri Lanka, and Pakistan with German inancing though KfW that have provided a total of more than 20,000 units of housing. xxv Mr. Rajib Shaw (environmental management) is an Associate Professor in the Graduate School of Global Environmental Studies of Kyoto University, Japan. He works principally in Asia with the local communities, nongovernmental organizations, governments, and international organizations, including the United Nations, and conducts research on such topics as community- based disaster risk management, climate change adaptation, urban risk management, and disaster and environmental education. He has written books on disaster risk management, indigenous knowledge, and river basin management. Mr. Fred Zobrist (disaster risk reduction) is an expert in international development and a professional engineer who has worked on projects in more than 100 countries on risk management related to housing and infrastructure and on hurricane and lood damage rehabilitation. He has served as a damage evaluation expert for hurricanes, loods, and tornados for the U.S. Federal Emergency Management Agency ; has developed loodplain maps; and served as risk management expert on disasters related to loods, tsunamis, earthquakes, high winds, high seas, and volcanoes for the U.S. Corps of Engineers. xxvi S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S ABBREVIATIONS ADB Asian Development Bank ADPC Asian Disaster Preparedness Centre ADRIS Agency-Driven Reconstruction in-Situ ADRRS Agency-Driven Reconstruction in Relocated Site ALNAP Active Learning Network for Accountability and Performance ATC Applied Technology Council AusAID Australian Agency for International Development BP Bank Procedure BRCS British Red Cross Society BRR Rehabilitation and Reconstruction Agency of the Government of Indonesia CA Cash Approach CADRE Centre for Action, Development, Research and Education (India) CAP Communications Action Plan CBA Communication-Based Assessment CBO Community-Based Organization CDR Community-Driven Reconstruction CENOE National Emergency Operation Center (Mozambique) CEPREDENAC Center for Coordination for the Prevention of Natural Disasters in Central America CL Cluster Lead COSO Committee of Sponsoring Organizations of the Treadway Commission CPAR Country Procurement Assessment Report CPR Con lict Prevention and Reconstruction Unit CPZ Coastal Protection Zone CRC Citizen Report Card CRED Centre for Research on the Epidemiology of Disasters CSC Community Score Card CSO Civil Society Organization CWGER Cluster Working Group on Early Recovery DAC OECD Development Assistance Committee DAD Development Assistance Database DaLA Damage and Loss Assessment DCD OECD Development Cooperation Directorate DFID Department for International Development (United Kingdom) DRM Disaster Risk Management DRR Disaster Risk Reduction DTM Digital Terrain Model EA Environmental Assessment EC European Commission ECHA Executive Committee for Humanitarian Affairs ECLAC United Nations Economic Commission for Latin America and the Caribbean EERI Earthquake Engineering Research Institute EIA Environmental Impact Assessment EM-DAT Emergency Events Database EMI Earthquakes and Megacities Initiative EMMA Emergency Market Mapping and Analysis EMP Environmental Management Plan EO Earth Observation ERC Emergency Relief Coordinator ERL Emergency Recovery Loan xxvii ERRA Earthquake Reconstruction and Rehabilitation Authority (Pakistan) ESC Emergency Shelter Cluster ESSAF Environmental and Social Screening and Assessment Framework FAO Food and Agricultural Organization FEMA Federal Emergency Management Agency (United States) FHH Female-Headed Household FOREC Reconstruction Fund for the Coffee Region (Colombia) FORSUR Fund for the Reconstruction of the South (Peru) GAAP Governance and Anticorruption Plan GAC Governance and Anticorruption GAO General Accountability Of ice (United States) GCM Global Circulation Model GFDRR Global Facility for Disaster Reduction and Recovery GHP Global Humanitarian Platform GIS Geographic Information System GLTN Global Land Tool Network GPS Global Positioning System GSDMA Gujarat State Disaster Management Authority (India) GUDC Gujarat Urban Development Company (India) HC Humanitarian Coordinator HFA Hyogo Framework for Action 2005­2015 HFHI Habitat for Humanity International HIC Humanitarian Information Center IAASB International Auditing and Assurance Standards Board IAEE International Association for Earthquake Engineering IASC Inter-Agency Standing Committee ICCROM International Centre for the Study of the Preservation and Restoration of Cultural Property ICOMOS International Council of Monuments and Sites ICRC International Committee of the Red Cross ICT Information and Communications Technology ICVA International Council of Voluntary Agencies IDA International Development Association IDB Inter-American Development Bank IDP Internally Displaced Person IEG World Bank Independent Evaluation Group IFAC International Federation of Accountants IFAD International Fund for Agricultural Development IFC International Finance Corporation IFI International Financial Institution IFRC International Federation of Red Cross and Red Crescent Societies IHSN International Household Survey Network INEE Inter-Agency Network for Education in Emergencies InterAction American Council for Voluntary International Action IPSASB International Public Sector Accounting Standards Board IRP International Recovery Platform ISDR International Strategy for Disaster Reduction ISDS Integrated Safeguard Data Sheet ISO International Organization for Standardization ITU International Telecommunications Union LENSS Local Estimate of Needs for Shelter and Settlement LICUS Low-Income Country under Stress M&E Monitoring and Evaluation MANGO Management Accounting for NGOs MFI Micro inance Institution MIS Management Information System MOU Memorandum of Understanding NCPDP National Centre for People's Action in Disaster Preparedness (Kashmir) xxviii S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S NCRC NGO Coordination and Resource Center (India) NFI Non-Food Item NGO Nongovernmental Organization NZAID New Zealand's International Aid & Development Agency O&M Operation and Maintenance ODR Owner-Driven Reconstruction OECD Organisation for Economic Co-operation and Development OFDA Of ice of U.S. Foreign Disaster Assistance OHCHR United Nations Of ice of the High Commissioner for Human Rights OP Operational Policy PACS Project Anti-Corruption System PDNA Post-Disaster Needs Assessment PEFA Public Expenditure and Financial Accountability PFM Public Financial Management PIU Project Implementation Unit PPA Project Preparation Advance PPAF Pakistan Poverty Alleviation Fund RCM Regional Circulation Model REA Rapid Environment Impact Assessment RICS Royal Institution of Chartered Surveyors RRC Rapid Response Committee SAG Shelter Advisory Group SDR Safeguard Diagnostic Review SIFFS South Indian Federation of Fishermen Societies (India) SPP Simpli ied Procurement Plan SRTM Shuttle Radar Topography Mission SSG Shelter Support Group (India) TEC Tsunami Evaluation Coalition TNSCB Tamil Nadu Slum Clearance Board TOR Terms of Reference UN OCHA United Nations Of ice for the Coordination of Humanitarian Affairs UN United Nations UN-APCICT United Nations Asian and Paci ic Training Centre for Information and Communications Technology for Development UNDAC United Nations Disaster Assistance and Coordination System UNDP United Nations Development Programme UNDPCPR United Nations Development Programme Crisis Prevention and Recovery UNEP United Nations Environment Programme UNESCO United Nations Educational, Scienti ic and Cultural Organization UN-HABITAT United Nations Human Settlements Programme UNHCR United Nations High Commissioner for Refugees UNICEF United Nations Children's Fund UNIDO United Nations Industrial Development Organization UNISDR United Nations International Strategy for Disaster Reduction UNNATI Organization for Development Education (India) UNOOSA United Nations Of ice for Outer Space Affairs UPLINK Urban Poor Linkage Indonesia USACE United States Army Corps of Engineers USAID United States Agency for International Development USGS United States Geological Survey WANGO World Association of Non-Governmental Organizations WEDC Water, Engineering and Development Centre WEF World Economic Forum WFP World Food Programme WHE World Housing Encyclopedia WHO World Health Organization WHRC World Habitat Research Centre xxix This handbook is dedicated to all those women who have had to put their households back together after a disaster, in the hope that in the future fewer women have to do the same, and that those who do feel more empowered during the entire process. PERSPIRE, HONDURAS, 1998 HURRICANE MITCH PHOTO BY CHRISTOPHER JENNINGS xxxi Post-Disaster Housing and Community Reconstruction GUIDING PRINCIPLES 1 A good reconstruction policy helps reactivate communities and empowers people to rebuild their housing, their lives, and their livelihoods. A reconstruction policy should be inclusive, equity-based, and focused on the vulnerable. Housing reconstruction is key to disaster recovery, but it depends on the recovery of markets, livelihoods, institutions, and the environment. Diverse groups need diverse solutions, but biases will creep in, so a system to redress grievances is a must. 2 Reconstruction begins the day of the disaster. If traditional construction methods need to change to improve building safety, governments must be prepared to act quickly to establish norms and provide training. Otherwise, reconstructed housing will be no less vulnerable to future disasters than what was there before. Adequate transitional shelter solutions can reduce time pressure and should be considered in a reconstruction policy. Owners are almost always the best managers of their own housing reconstruction; they know how they live and what they need. But not all those affected are owners and not all are capable of managing reconstruction; so the reconstruction policy must be designed with all groups in mind: owners, tenants, and landlords, and those with both formal and informal tenancy. 3 Community members should be partners in policy making and leaders of local implementation. People affected by a disaster are not victims; they are the irst responders during an emergency and the most critical partners in reconstruction. Organizing communities is hard work, but empowering communities to carry out reconstruction allows their members to realize their aspirations and contribute their knowledge and skills. It also assists with psychosocial recovery, helps reestablish community cohesion, and increases the likelihood of satisfaction with the results. This requires maintaining two-way communication throughout the reconstruction process and may entail the facilitation of community efforts. A real commitment by policy makers and project managers is needed to sustain effective involvement of affected communities in reconstruction policy making and in all aspects of recovery, from assessment to monitoring. 4 Reconstruction policy and plans should be financially realistic but ambitious with respect to disaster risk reduction. People's expectations may be unrealistic and funding will be limited. Policy makers should plan conservatively to ensure that funds are suf icient to complete reconstruction and that time frames are reasonable. Rebuilding that reduces the vulnerability of housing and communities must be the goal, but this requires both political will and technical support. Housing and community reconstruction should be integrated and closely coordinated with other reconstruction activities, especially the rehabilitation and reconstruction of infrastructure and the restoration of livelihoods. 5 Institutions matter and coordination among them improves outcomes. Best practice is to have de ined a reconstruction policy and designed an institutional response in advance of a disaster. In some cases, this will entail a new agency. Even so, line ministries should be involved in the reconstruction effort and existing sector policies should apply, whenever possible. The lead agency should coordinate housing policy decisions and ensure that those decisions are communicated to the public. It should also establish mechanisms for coordinating the actions and funding of local, national, and international organizations and for ensuring that information is shared and that projects conform to standards. Funding of all agencies must be allocated equitably and stay within agreed-upon limits. Using a range of anticorruption mechanisms and careful tracking of all funding sources minimizes fraud. 1 6 Reconstruction is an opportunity to plan for the future and to conserve the past. What has been built over centuries cannot be replaced in a few months. Planning and stakeholder input help to establish local economic and social development goals and to identify cultural assets for conservation. Even a modest amount of time spent designing or updating physical plans can improve the overall result of reconstruction. Reconstruction guidelines help ensure that what is valued is preserved, while encouraging more sustainable post-disaster settlements. Improving land administration systems and updating development regulations reduces vulnerability and improves tenure security. 7 Relocation disrupts lives and should be kept to a minimum. Relocation of affected communities should be avoided unless it is the only feasible approach to disaster risk management. If relocation is unavoidable, it should be kept to a minimum, affected communities should be involved in site selection, and suf icient budget support should be provided over a suf icient period of time to mitigate all social and economic impacts. 8 Civil society and the private sector are important parts of the solution. The contributions of nongovernmental organizations (NGOs), civil society organizations (CSOs), and the private sector to reconstruction are critical. Besides managing core programs, these entities provide technical assistance, advocacy, and inancial resources of enormous value. Government should encourage these initiatives; invite NGO, CSO, and private entity involvement in reconstruction planning; and partner in their efforts. Government should also require accountability and make sure that these interventions are consistent with reconstruction policy and goals. 9 Assessment and monitoring can improve reconstruction outcomes. Assessment and monitoring improve current (and future) reconstruction efforts. Unnecessary assessments can be minimized if there are policies that require institutions to share assessment data and results. Local communities should participate in conducting assessments, setting objectives, and monitoring projects. Using reliable national data to establish monitoring baselines after the disaster increases the relevance of evaluations. Monitor both the use of funds and immediate physical results on the ground and evaluate the impact of reconstruction over time. 10 To contribute to long-term development, reconstruction must be sustainable. Sustainability has many facets. Environmental sustainability requires addressing the impact of the disaster and the reconstruction process itself on the local environment. The desire for speed should not override environmental law or short-circuit coordination when addressing environmental issues. Economic sustainability requires that reconstruction is equitable and that livelihoods are restored. Livelihood opportunities in reconstruction should be maximized. Institutional sustainability means ensuring that local institutions emerge from reconstruction with the capability to maintain the reconstructed infrastructure and to pursue long-term disaster risk reduction. A reliable low of resources is essential and institutional strengthening may be required. The last word: Every reconstruction project is unique. The nature and magnitude of the disaster, the country and institutional context, the level of urbanization, and the culture's values all in luence decisions about how to manage reconstruction. Whether government uses special or normal procurement procedures, how it weighs the concerns of speed versus quality, and what it considers the proper institutional set-up and division of labor will also vary. History and best practices are simply evidence to be weighed in arriving at the best local approach. 2 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S PART 1 RECONSTRUCTION TASKS AND HOW TO UNDERTAKE THEM PART 1 RECONSTRUCTION TASKS AND HOW TO UNDERTAKE THEM SECTION 1 ASSESSING DAMAGE AND DEFINING RECONSTRUCTION POLICY Guiding Principles 1 A good reconstruction policy helps reactivate communities and empowers people to rebuild their housing, their lives, and their livelihoods. 2 Reconstruction begins the day of the disaster. 3 Community members should be partners in policy making and leaders of local implementation. 4 Reconstruction policy and plans should be financially realistic but ambitious with respect to disaster risk reduction. 5 Institutions matter and coordination among them improves outcomes. 6 Reconstruction is an opportunity to plan for the future and to conserve the past. 7 Relocation disrupts lives and should be kept to a minimum. 8 Civil society and the private sector are important parts of the solution. 9 Assessment and monitoring can improve reconstruction outcomes. 10 To contribute to long-term development, reconstruction must be sustainable. The last word: Every reconstruction project is unique. Assessing Damage and Defining Reconstruction Policy EARLY RECOVERY: THE CONTEXT FOR HOUSING 1 AND COMMUNITY RECONSTRUCTION Introduction This Chapter Is Reconstruction of housing and communities following a disaster is a continuous process that Especially Useful For: begins immediately after the disaster, and often lasts for years.1 It is important to understand how Policy makers affected populations and institutions will react after a disaster, and what roles and responsibilities Project managers stakeholders will take on throughout the post-disaster reconstruction process, so that institutions Lead disaster agency and affected populations can work in a coordinated and complementary way to accomplish their Humanitarian agencies desired outcomes. At the beginning of the response to a disaster, humanitarian agencies, including the United Nations (UN), are ordinarily the organizations that are most in contact with government, conducting initial assessments, mobilizing aid, and discussing options for how the recovery will be organized. The World Bank and other international inancial institutions (IFIs), including regional development banks, may not be directly involved and may not commit resources this early in the process. However, it is essential that these organizations enter the process as soon as possible, especially so that they can be present during the early strategic planning with government that is normally led by the UN and the other humanitarian agencies, since--as discussed in this chapter--that planning will in luence the entire reconstruction process. The post-disaster reconstruction process almost always takes much longer than expected or planned. Except in life-threatening situations, compromises that ignore the need for integration, or for quality, safety, or good governance of the reconstruction, should not be made with the belief that they will save time. Time is rarely saved, and people will live for years with the consequences of those decisions. This chapter introduces the context and process of reconstruction following natural disasters, referring to the guiding principles established at the beginning of this handbook, as well as to other handbook chapters. It offers guidance on assisting the entire affected population, both those who are displaced and those who are not displaced. The chapter discusses such issues as the need to integrate housing and community reconstruction, the sequence of activities that reconstruction entails both for individuals and agencies, the roles and responsibilities of stakeholders and mechanisms of coordination, and the risk of losing continuity between the immediate response and long-term development and reconstruction. Achieving People-Centered, Integrated Reconstruction Post-disaster reconstruction is a complex process involving a number of interrelated activities. The level of complexity will vary, depending on the scale and nature of the disaster and the corresponding response of the population and the institutions involved. Like most humanitarian and 1. What this handbook calls "housing development activities, the process tends to entail a cycle: assessment, planning, project development, and communities" is referred to by other names as well, including implementation, and monitoring. Different project cycles are likely to be occurring simultaneously "shelter and settlements" and at different levels and for different purposes wherever people are organizing some element of the "housing and habitat." The meanings of these phrases are response. It can't be emphasized strongly enough that the affected population should be at the center essentially identical, and they all seek to acknowledge that of the reconstruction process and should have a preferential right to make the decisions that will reconstruction entails not simply affect their lives. In one increasingly accepted vision of how post-disaster reconstruction should work rebuilding a physical structure--the house--but restoring the entire (which the authors generally subscribe to), government's irst job after a disaster, with the help of social, economic, natural, and humanitarian and development agencies, is to determine what the community wants to do and is cultural environment in which the house and household was or will capable of doing. The government should then do the rest. be located. 7 This may be an oversimpli ication of a very complex process; however, adopting this approach means that there are two overriding project cycles that are set in motion after a disaster: the one for the community's work and the one for government's work. Government has to conduct the macro-level assessments, set policy, coordinate nongovernmental organizations (NGOs) and humanitarian agencies who will support recovery, engage IFIs and other funders, organize the inancing mechanisms, ensure all affected communities have adequate support, and so on. The community has its own work to do: assess its local needs, identify vulnerable members, salvage materials, develop a community-level plan, agree on housing designs and immediate infrastructure improvements, reconstruct its governance system, and plan how to manage reconstruction funds once they are available. An integrated approach to reconstruction is one that harmonizes these efforts, simultaneously addressing both what needs to be done (with respect to land use, reconstruction approach, environmental management, infrastructure rehabilitation, choice of housing design and technology, and cultural and natural heritage conservation, for example) and how it will be done (including institutional roles, levels of citizen participation, and management of project inancing). Each chapter in Part 2 of 2. United Nations Of ice for the this handbook, Reconstruction Tasks and How to Undertake Them, covers one of these elements. Coordination of Humanitarian Affairs (UN OCHA), Shelter Centre, 2010, Shelter Aafter Disaster: Strategies for Transitional The Steps in Response and Reconstruction Settlement and Reconstruction The experience from recent disasters shows that common steps are generally followed by (Geneva: UN OCHA), http:// www.sheltercentre.org/library/ government to organize a large disaster response, as shown below.2 Steps where the affected Shelter+After+Disaster. population is likely to be involved are marked with *. Activity in response timeline Description of activity Time frame 1. Coordination* Development and maintenance of a coordination mechanism From the disaster event through the end of reconstruction 2. Engagement* Collaboration with stakeholders From the disaster event through the end of reconstruction 3. Initial assessment* Gathering of initial information and evaluation of local capacities Week 1 following the disaster 4. Outline strategy* Developing a framework for cooperation (see description below) Week 1 following the disaster 5. Rapid appeal First call for funding Week 1 following the disaster 6. Emergency relief distribution Coordinating emergency distribution based on the initial Throughout month 1 assessment activity 7. Program- and project-level work plan* Specific shelter programs and projects Periodic, starting in week 2 8. Program- and project-level Implementation of the work plans based on work plan Beginning week 2 through the end implementation* of reconstruction 9. Joint rapid needs assessment (such Formally coordinated assessment based on initial assessment First 4-6 weeks as Post-Disaster Needs Assessment (see Chapter 2, Assessing Damage and Setting Reconstruction [PDNA])* Policy, for a discussion of various assessment methodologies) 10. Full policy or strategy* Detailed strategy built on outline strategy (see Chapter 2, First 4-6 weeks Assessing Damage and Setting Reconstruction Policy, for a discussion of the parameters of a reconstruction policy) 11. Revised appeal Further detailed calls for funding based on rapid needs assessment First 4-6 weeks 12. Detailed assessments Formally coordinated assessments building on rapid needs Periodic, throughout reconstruction (generally sector-specific)* assessment (see Chapter 2, Assessing Damage and Setting Reconstruction Policy, for a discussion of various assessment methodologies) 13. Revised policy or strategy* Revision of strategy based on detailed assessments Periodic, throughout reconstruction 14. Public financing and additional appeals Arrangement of multilateral and bilateral loans and grants, and Periodic, throughout reconstruction ongoing humanitarian appeals 15. Achievement of agreed goals* Completion of benchmarks set with government and communities End of reconstruction in the strategies 8 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S By understanding and recognizing these common steps, different stakeholders can ensure better cooperation and coordination, which in turn will support a more consistent and ef icient response that better meets the needs of the affected population. Who Does What? Stakeholder Roles and Responsibilities Following a major disaster, government frequently seeks external support, initially from the hu- manitarian community and later from IFIs, such as the World Bank. These same institutions are also involved in an increasing number of smaller-scale disasters, albeit in different ways. It is essential that these stakeholders work together in post-disaster reconstruction and that each understand the capaci- ties, roles, responsibilities, and contributions of the others. Some speci ic efforts to improve coordina- tion are mentioned in Chapter 14, International, National, and Local Partnerships in Reconstruction. The Affected Population People affected by a disaster are not victims; they are the irst responders during an emergency and the most critical partners in reconstruction, undertaking the majority of work on their own recovery, without governmental, humanitarian, or IFI support. A good reconstruction strategy is one that focuses on empowering communities, families, and individuals to rebuild their housing, their lives, and their livelihoods. To make this work, community members should be partners in policy making and leaders of local implementation. They may need support to play these roles. Real representation of the affected communities in the policy-making body and in all aspects of recovery is a must. At the same time, it is crucial that agencies do not succumb to the misconception that the affected population is a single entity, ignoring differences in needs and capacities. Communities are composed of numerous social and economic groups, each with its own characteristics, vulnerabilities, and ability to in luence outcomes. Key points about populations affected by disasters (with reference to the handbook's Guiding Principles [GPs]) include the following. People affected by a disaster need to secure shelter and rebuild their livelihoods. Infrastructure such as roads, schools, and power generation is as fundamental to recovery and livelihoods as housing is. Also important is the rebuilding of the sense of community and of social capital. Responses should re lect an understanding that reconstruction is not only about shelters and homes but also about reconstructing entire communities. (GP 1) People affected must have shelter during the time in which reconstruction takes place. While a tent, for example, only lasts a year, other transitional shelter options can be employed that last until permanent housing is available. (GP 2) For people who have not been displaced, reconstruction begins almost immediately, usually with the recovery of materials to recycle in building their shelter. (GP 2) People's expectations regarding the time frame for reconstruction are often overly optimistic; reconstruction and recovery will probably take a number of years. (GP 4) Some people will be displaced by the disaster and others won't be, and the ways to help these two groups may differ. At the same time, people may not wish to return to their pre-disaster circumstances, depending on changes in their lives and in their livelihoods. Some social groups are more vulnerable than others. The most vulnerable, poorest, and hardest to reach members of society are usually those most affected and most in need. Gender and age are also determining factors when assessing vulnerability. Government Central government is always responsible and accountable for managing a disaster response and for establishing policy to guide the reconstruction program. This does not mean government will do everything, but it does mean that de ining a strategy that establishes "who will do what and how" is a governmental responsibility. Government, however, is not a monolith; it consists of different branches; public entities with different levels of autonomy; and usually different levels, e.g., central, state, provincial, local. Even if government's management capacity is adequate under normal circumstances, it can be overwhelmed immediately following a disaster, especially at the local level. These realities must be taken into account in developing the response and in de ining the reconstruction policy. See Chapter 2, Assessing Damage and Setting Reconstruction Policy, for a discussion of the parameters of a reconstruction policy. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 9 In certain situations, especially after a large-scale emergency, Dilemmas of Reconstruction government may establish a dedicated organization The most complex tasks for recovery managers are to determine and or taskforce to coordinate, reinforce, or in some cases to implement the appropriate approach to reconstruction of buildings temporarily replace the responsibilities of line ministries. and infrastructure. Considerations include the wider political context, The taskforce can sometimes better coordinate tasks among the operational requirements, and the expectations and preferences ministries and departments. The taskforce is usually created of the people most affected. Reconstruction poses many demands for a speci ic period of time and will return responsibilities and dilemmas for officials. These include whether to emphasize to the relevant line ministries, either gradually or when short-term basic reconstruction needs or longer-term needs to reduce speci ic objectives are met. For a detailed discussion of risk, whether to engage the affected population in rebuilding their these options, see Chapter 13, Institutional Options for own houses with technical guidance or engage professional building Reconstruction Management. contractors to do the work, and whether reconstruction should be carried out in the original, disaster-prone location, or relocated to a new and possibly less vulnerable location. The National Military The national military can sometimes be an effective partner Another important dilemma concerns the stages of shelter to employ before reaching permanent reconstruction. Experience demonstrates in housing reconstruction. It may be able to quickly carry out that it is generally better to avoid the process of building substantial initial rebuilding of bridges and essential infrastructure, and temporary dwellings. Dialogue with the public may help identify more generally has better and faster logistics capability than any viable, and locally suited, immediate post-disaster shelter options. governmental entity, including rapid assessment capabilities Without some intermediate step, extraordinary measures may be needed and excellent communications. The military may maintain to accelerate the construction of permanent residential buildings. large stockpiles of goods and may be able to deliver materials None of these questions have easy answers, and much depends on the even when roads are impassible by others. The military may views of government officials responsible for the recovery process, relative also have high levels of local support, and can add a sense of to those of local people who will finally determine by their acceptance or security and order to early recovery. rejection the success of any official decisions that are made. There can also be challenges with military involvement. In Source: Ian Davis, 2007, adapted from Learning from Disaster Recovery: Guidance for Decision Makers (Geneva and Kobe: International Recovery Platform). some countries, the cost of the military's support is high and it may get charged against assistance budgets. The military is not always used to operating in the complex, multi-stakeholder environment of a disaster recovery situation, and may have little experience in listening to community concerns or accepting civil authority. Having the military run camps is usually not an appropriate long-term strategy, although the military's assistance in setting up these camps and their infrastructure can be crucial. Also, the military is generally not experienced in coordinating housing recovery and reconstruction, although there are notable exceptions, such as after the 2004 North Pakistan earthquake, where the military coordinated certain aspects of the inspection system for housing reconstruction. Lastly, where there is a prevalence of NGOs involved in reconstruction, con licts may arise between the NGO culture (especially that of NGOs with paci ist origins) and the culture of the military. The Humanitarian Community Coordination of the response is the responsibility of government; however, support is often offered by the humanitarian community. Government usually establishes coordination mechanisms, and the humanitarian community, led by the Resident Representative or Humanitarian Coordinator assigned by the UN, often implements those mechanisms. A sector coordination team may involve information managers and technical specialists. There are two kinds of mechanisms used to establish coordination: Pre-agreed frameworks, such as those set up in contingency plans by government or the UN through the Inter-Agency Standing Committee (IASC) clusters system; and Ad hoc frameworks, such as those set up by government, the UN, other agencies, or communities at the national or local level when contingency plans do not exist and the cluster system is considered inappropriate. Coordination within the humanitarian community has recently been reformed through the IASC and the creation of its 11 "clusters," such as for "Emergency Shelter" and "Early Recovery," which together constitute a framework of responsibilities at both global and response levels. UN agencies, international organizations, and the International Federation of the Red Cross and Red Crescent (IFRC) take the lead role in each cluster, with a series of partner agencies, representing other UN agencies, international organizations, and NGOs, supporting each cluster. Although this framework is intended to prevent overlaps and gaps in responsibility, operational coordination at the response level for reconstruction has not yet been clari ied. A more detailed description of the cluster system, including a list of the cluster leads, is found in Chapter 14, International, National, and Local Partnerships in Reconstruction. 10 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S United Nations agencies. In most countries, the UN maintains its own presence and that of the United Nations Development Programme (UNDP), under a Resident Representative. In large emergencies, the UN may expand its capacity by including a Humanitarian Coordinator, while agencies like the United Nations Children's Fund (UNICEF) and the United Nations Of ice for the Coordination of Humanitarian Affairs (UN OCHA) may also establish of ices or increase capacity. Immediately following a disaster, a speci ically mandated UN team often arrives to support coordination and assessment. The UN and the humanitarian community will agree together on a coordination structure and commitments as providers of last resort, in support of government. Under the cluster system, UNDP works with government to coordinate "Early Recovery" activities following a disaster, including conducting a PDNA and developing an Early Recovery Framework. Assessments are discussed in Chapter 2, Assessing Damage and Setting Reconstruction Policy. The Red Cross Movement and international organizations. Under the cluster system, the IFRC coordinates the activities of the Emergency Shelter Cluster following a disaster, although these responsibilities may be handed over EARL KESSLER to UN partners, such as the United Nations Human Settlements Programme (UN-HABITAT) and UNDP, for reconstruction and early recovery. For a detailed description of how the Emergency Shelter Cluster is mobilized following a disaster, see Chapter 14, International, National, and Local Partnerships in Reconstruction. National and international NGOs. A number of national and international NGOs increase capacity after a disaster, offering--along with the IFRC and other international organizations--support for implementation of response and reconstruction programs. Additional NGOs without an established presence in the country often arrive in the days immediately after a disaster and may, or may not, maintain a presence until reconstruction is completed. (See Mind the Gap, below.) NGOs often play a major role in facilitating the activities of communities or in serving as executing agencies for all funding sources. Bilateral and Multilateral Donor Organizations Technical and nontechnical representatives of bilateral donor organizations, such as the United States Agency for International Development (USAID) (directly or through the Of ice of U.S. Foreign Disaster Assistance [OFDA]) and the UK Department for International Development (DFID), and of multilateral donor organizations, such as the Organisation for Economic Co-operation and Development (OECD)- Development Cooperation Directorate (DCD), UNDP, and the World Food Programme (WFP), often arrive almost immediately following a disaster, participating in coordination structures from the outset of the response. These agencies can be important partners with IFIs in reconstruction. In some policy areas, bilateral agencies, working alone and in partnership, have also successfully taken the lead in developing, analyzing, and promoting post-disaster best practices.3 IFIs: The World Bank and Regional Development Banks IFIs traditionally became involved in reconstruction after a number of months. However, this time frame is changing, and many IFIs now become involved in the early stages of a response. The resources and mechanisms offered by IFIs are also evolving, in order to support a diversity of responses. For a description of World Bank mechanisms, see Chapter 20, World Bank Response to Crises and Emergencies. Defining the Outline Strategy Agreeing on a common strategy with government is key to ensuring that early decisions make a positive contribution to the longer-term reconstruction process, recognizing that reconstruction usually begins right away. In the absence of a common strategy, agencies that enter later in the process may be unaware or even discount the value of agreements made before they arrived; this is especially easy for larger agencies to do. 3. Many examples of recent analytical work by bilateral and multilateral An outline strategy must be agreed to within the irst weeks of the disaster for stakeholders to organizations are listed in the Resources sections throughout this collaborate effectively and manage the needs of the affected population. It is generally developed by handbook. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 11 government and the lead disaster agency, in collaboration with affected communities and with the support of humanitarian agencies. This strategy is then reviewed and updated regularly as new and more detailed assessment information becomes available, until a full policy or strategy is de ined, as described in #10 in the "The Steps in Response and Reconstruction" table, above. See Chapter 2, Assessing Damage and Setting Reconstruction Policy, for a description of the assessment process and the content of a housing and community reconstruction policy. Reconstruction strategies are agreed to on a response-by-response basis. Within the humanitarian community, certain topics are commonly included in strategy documents. The same themes are common in situation reports ("sitreps") and funding proposals. Terminology will vary and additional topics are often included. The common elements of a reconstruction outline strategy include (1) introduction and context analysis, (2) goals (or strategic objectives), (3) needs assessment, (4) priorities for the sector, (5) activities, (6) projected outputs and outcomes, (7) projected impact (also called indicators), (8) intersector linkages, (9) timeline, and (10) resources. While humanitarian agencies are likely to take the lead in helping government articulate the outline strategy, IFI participation (or, at a minimum, IFI review and revision of the strategy) is essential if IFI inancing is expected to be utilized in reconstruction. It is only through early involvement that IFI knowledge and policy perspectives can be incorporated in early decisions. Urban versus Rural Disasters Disaster response and recovery in urban areas will be of larger scale, more concentrated, and more complex than in rural areas. Almost every aspect of reconstruction must be tailored to urban reality. Rural disaster programs pose their own unique problems. A disaster that has affected both urban and rural areas can be especially challenging to plan and execute. Factors that in luence the reconstruction approach in urban areas include: Higher population density and the resettlement options available to displaced persons More informal housing, much of it located in high-risk areas More multi-family housing and a larger proportion of renters Ownership and titling issues may require legal procedures to resolve More and generally more capable public sector organizations, including those responsible for disaster management, but often not used to working together Potential for disaster risk reduction (DRR) measures to be based on planning and regulation Higher income levels and living standards of the affected population, potentially requiring more generous assistance strategies Higher land values and less undeveloped land Unique and more challenging environmental risks Higher value and more infrastructure investments More complex social structures that are likely to give rise to con licts and to complicate participation in reconstruction planning More clearly de ined economic and social interests and more sophisticated political organizations Economic effects from the urban disaster that affect the rest of the country Factors that in luence the reconstruction approach in rural areas include: Lower land values Ownership and titling issues that can sometimes be resolved through negotiation The major role that the social structure plays in the dynamics of reconstruction The relative ease with which community participation can be achieved A higher sense of ownership The lack of institutional capacity for planning and regulation Housing that is usually designed and built by owners themselves or by masons, so DRR measures should be based on building awareness and on training construction workers The differences between planning processes in urban and rural areas are discussed in more detail in Chapter 7, Land Use and Physical Planning. The case study on the 2003 Bam earthquake, below, describes the differential approach to reconstruction taken in urban and rural areas of Iran. 12 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The Options Facing Displaced and Non-Displaced Populations The process that people and households go through after a disaster to stabilize their housing situation can be quite lengthy, convoluted, and complex. People affected by the same disaster will be affected differently and will respond differently. Some will begin reconstruction of their partially damaged housing in the irst days after the disaster, while others will be displaced for a period of time, even inding their situation changing from week to week for many months or even years. It is not uncommon that households affected by a disaster never again attain the level of prosperity and security they had before the event. It is important to understand the range of options people face and not to impose arti icial "phases" on diverse situations. These phases are sometimes more indicative of the bureaucratic practices and capacities of the agencies involved in response and reconstruction than they are of the priorities of the affected population. For example, in some past responses, support for reconstruction began only months after a disaster, after the affected populations themselves began rebuilding, because some agencies believed that reconstruction did not contribute to humanitarian objectives, or even distracted from them. The following twelve options--six for displaced populations and six for non-displaced populations--are often used by the humanitarian community. The Six Options for Displaced Populations People displaced from their original location have different sheltering options that are important to consider in planning and implementing reconstruction programs. The six options for displaced populations are listed and described below.4 FEMA NEWS PHOTO Settlement option Description Host families The displaced are sheltered within the households of local families, or on land or in properties owned by them. Urban self- The displaced settle in an urban area, occupying available public or private property settlement or land. Rural self-settlement The displaced settle in a rural area, occupying available public or private property or land. Collective centers The displaced shelter in collective centers, or mass shelters, often transitory facilities housed in pre-existing structures. Self-settled camps The displaced settle independently in camps, often without services and infrastructure. Planned camps The displaced settle in purposely-built sites, where services and infrastructure are 4. The six options for displaced offered by government or the humanitarian community. populations were irst described in Tom Corsellis and Antonella Vitale, 2005, Transitional Settlement: Displaced Populations (Cambridge: Following disasters, it is imperative to minimize the distance and duration of displacement, Oxfam), http://www.sheltercentre. org/library/transitional+settlemen while keeping safety in mind. This allows people to better maintain their livelihoods and allows t+displaced+populations. households to protect their land, property, and possessions. The displacement typology should not Displaced and non-displaced options are both described in be perceived as describing a phase of resettlement, but instead as describing subcategories of the United Nations Of ice for the Coordination of Humanitarian affected population. Displacement can continue long after post-disaster risks have receded, due to Affairs (UN OCHA) and Shelter (1) the inability of households to document their property rights, which may be a prerequisite to Centre, 2010, Shelter After Disaster: Strategies for Transitional reconstruction; (2) inappropriate reconstruction strategies, such as one that ignores the variety of Settlement and Reconstruction needs within the affected population; or (3) the lack of resources and capacities of government and (Geneva: UN OCHA), http:// www.sheltercentre.org/library/ agencies to assist the displaced population. Shelter+After+Disaster. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 13 The Six Options for Non-Displaced Populations Households that were not displaced or that have returned also will be found in diverse situations, especially in urban areas, where the proportion of tenants to owner-occupiers often exceeds 50 percent. Although the situation and context vary greatly from disaster to disaster, six options to describe the status of non-displaced populations are generally accepted within the humanitarian community.5 Settlement option Description House owner-occupant The occupant owns his/her house and land, or is part-owner, such as when repaying a mortgage or a loan. Ownership may be formal or informal. House tenant The occupant rents the house and land, formally or informally. Apartment owner-occupant The occupant owns his/her apartment. Ownership may be formal or informal. Apartment tenant The occupant rents the apartment, formally or informally. Land tenant The occupant owns the house, and rents the land, formally or informally Occupancy with no legal The occupant occupies land or property without the explicit permission of the owner. status (squatter) Also called informal settlers. Before the disaster, an affected household belonged to one of the categories listed above. After the disaster, it may move through one or more of the options for displaced or non-displaced population, and will eventually cycle back to one of the categories listed above. For example, the owners of an urban house that is badly damaged (house owner-occupant) may temporarily camp in another part of town (urban self-settlement), but eventually decide to resettle by buying an urban apartment (apartment owner-occupant). The number of paths through these options is almost in inite. The ultimate goal of housing reconstruction is to ensure that all those affected by a disaster, whether they have been displaced or not, are eventually situated in a "durable solution." If transitional resettlement has relocated a signi icant percent of the population away from the affected area, an effort may be required to ascertain how many plan to return, so that the housing need is not overestimated. If reconstruction begins spontaneously and is being carried out in a way that creates unacceptable risks, the reconstruction strategy may need to compensate families for work already done in order to enlist their collaboration in improving the safety of construction. The implementation of the housing and community reconstruction policy must incorporate and equitably support the needs of those in all categories. See Chapter 4, Who Gets a House? The Social Dimension of Housing Reconstruction, and Chapter 6, Reconstruction Approaches, to see how these categories can be used when de ining the assistance strategy. Resolving property rights issues often needs to be a high priority at the beginning of reconstruction programs, requiring considerable capacity from national and international stakeholders. See Chapter 7, Land Use and Physical Planning, for a list of strategies to address property rights issues and case studies of good practice. The Transitional Shelter Approach 5. Because the handling of displaced populations is not a focus of this The transitional shelter approach can be used with both displaced and non-displaced populations.6 handbook, most of the handbook Transitional shelter is not a phase of reconstruction, but is a philosophy that recognizes that uses categories similar to those for non-displaced populations. reconstruction usually takes years to complete and that shelter is required throughout this period. 6. This section is adapted from The transitional shelter approach responds to the fact that post-disaster reconstruction can take a United Nations Of ice for the Coordination of Humanitarian signi icant amount of time and that it is the affected population that does most of it. Affairs (UN OCHA) and Shelter Centre, 2010, Shelter After Disaster: Strategies for Transitional Transitional shelter is used to house affected households with habitable, covered living space and Settlement and Reconstruction (Geneva: UN OCHA), http:// a secure, healthy living environment with privacy and dignity during the period between a natural www.sheltercentre.org/library/ disaster and the availability of a permanent shelter solution. Communities have differing capacities Shelter+After+Disaster; and Tom Corsellis and Antonella Vitale, to cope until permanent reconstruction is completed. The decision to employ transitional shelter 2005, Transitional Settlement Displaced Populations (Cambridge: should be made in consultation with the affected populations, keeping in mind that the preference Oxfam), p. 41. for transitional shelter may be community-speci ic. 14 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Transitional shelter provides incremental support from the moment recovery begins, and gives households mobility and autonomy. Advocates seek also to coordinate all shelter efforts from immediately after the disaster. It is distinct from temporary shelter (which is occupied immediately after a disaster and understood to be time-limited), in that it offers shelter on-site until the completion of reconstruction for those not displaced or throughout the displacement period for those displaced. Transitional shelter shares some characteristics with what is called "semi-permanent shelter," but, because it is generally moveable, may provide more lexibility as conditions change after the disaster and during the reconstruction period. For an example of an ambitious temporary shelter program, see the case study on the temporary housing built following the 2009 L'Aquila, Italy earthquake, below. Strengths of Transitional Shelter Programs The normal pattern There are several potential advantages with transitional shelter as an assistance method from the in major disasters point of view of executing agencies, including the following. is for relief and 1. Transitional shelter programs can be implemented by humanitarian organizations without emergency experience in transitional settlement or reconstruction. While the initial cost is similar to some traditional temporary solutions, such as tents, the operating costs may be signi icantly assistance--not lower (compared to running a camp, for example). reconstruction-- 2. Because the designs almost always use local materials, the resources that are spent in to receive the construction circulate in the local economy and help jump-start supply chains needed for overwhelming the reconstruction phase, possibly reducing the need for purchasing and warehousing of proportion of building materials by agencies. human, material, 3. Production of shelters can start the process of educating builders and the public on hazard- resistant construction principles and techniques, which will later be employed in reconstruction. and financial 4. The designs are suf iciently lexible to accommodate differences in family size, location, resources. culture, and availability of materials. Transitional shelter can be advantageous for the affected population as well, for the following reasons. 1. If transitional shelters are suf iciently durable to last until the completion of reconstruction, which may take a number of months or even years, the need for multiple moves by a family between the disaster and the completion of reconstruction is reduced. 2. Transitional shelters--being mobile, lexible, and under the control of the family--permit households to quickly return to the site where they have land rights or tenure, once it is deemed safe, allowing them to protect whatever assets still remain, to begin on-site reconstruction, to reestablish their livelihoods, and to preserve social networks. 3. The best designs allow the household to upgrade or incorporate the shelter into permanent reconstruction (for instance, as an extra room or a storage area), or permit the reuse of the majority of materials in permanent reconstruction. The case study, below, on reconstruction following the 2005 North Pakistan earthquake demonstrates how transitional shelter materials can be reused in permanent housing. With respect to design, transitional shelters can usually be constructed quickly, with simple tools and local, relatively low-skilled labor, including that of the family itself. While designed for local materials and construction techniques, transitional shelter designs should also re lect agreed- upon standards that provide adequate safety and protection to the users. Often, the materials for transitional shelters are assembled and distributed as kits, which is helpful for affected families who may need to transport them. In fact, transitional shelter is designed to be disassembled and relocated. This may be advantageous if there are delays in the resolution of land rights or tenure, households can't return immediately to their land (until loodwaters recede, for example), decisions are pending as to whether a household must be resettled, or on-site reconstruction progresses to the point where the transitional shelter is in the way. Weaknesses of Transitional Shelter Programs There are risks and challenges involved in using transitional shelter as an assistance method, including the following. 1. A transitional shelter strategy does not exempt government from addressing the need for water, sanitation, and electricity at the sites where families locate their shelters. This may require providing interim services, such as water delivery and storage and latrines, until infrastructure and services are permanently restored. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 15 2. Some families' land rights may not be readily resolved, leaving families settled inde initely occupying the land where their transitional shelter is located, but with no legal status. 3. Government may become complacent with the transitional shelter solution and offer no other support, especially if resources for reconstruction fall short during the "transitional" period. 4. Even if local materials are used, production of the shelters may overtax supply channels, driving up prices or extending production times. 5. The transitional shelters may themselves represent a risk, especially if there is insuf icient experience among those implementing the program. Units may be poorly constructed or fabricated of unsafe materials, unsafely sited, or located in areas with insuf icient basic services. The case study, below, on the 2004 Indian Ocean tsunami reconstruction in Indonesia summarizes the indings of a transitional shelter program evaluation that showed that the positive economic impact of transitional shelter declined if it was occupied for too long. International Experience Transitional shelter is a rapidly evolving area of humanitarian assistance. Extensive technical resources are available and best practices continue to accumulate. Some knowledgeable organizations are listed in the Resources section of this chapter. Additional resources are available from the handbook Web site, http://www.housingreconstruction.org. Unequal Distribution of Resources within the Post-Disaster Cycle Viewing disaster management from a distance, one might think that each phase of the disaster cycle receives equal resources; this is not the case. The normal pattern in major disasters is for emergency response and relief to receive the overwhelming share of human, material, and inancial resources. This can lead to funding shortfalls for reconstruction in certain regions or sectors over time and to bad decisions as agencies (including government) attempt to accelerate reconstruction, without suf icient planning, while resources for relief are still plentiful. In addition, when resources are insuf icient for reconstruction, funds for preventive and disaster risk reduction (DRR) measures may be severely constrained, so vulnerability is just built back. Overloading response and relief with resources, while short-changing DRR, is a serious reconstruction pitfall. Government must work with its funders to resolve this dilemma. The case study on the 1963 Skopje reconstruction, below, recounts how temporary housing was occupied for so long after the earthquake it eventually affected the physical development of the city. Minding the "Gaps" The gaps between the emergency lifesaving effort and post-disaster reconstruction are of particular importance in housing and community reconstruction and deserve careful management. The transitional shelter and reconstruction approach is an attempt to bridge these gaps by acknowledging that for affected families the division is arti icial; therefore, interventions should be planned to better integrate response. The Funding Gap The irst gap that may appear is in the continuity of funding between the contributions of the humanitarian community and funding from IFIs, such as the World Bank. The implementation of programs by government and the humanitarian community may face interruptions if this occurs. Some humanitarian organizations may even be forced to withdraw. Throughout reconstruction, funding from different sources will go through peaks and troughs. Emergency contingency funds, such as the UN Central Emergency Response Fund (CERF), are made available almost immediately, while money from public appeals will low early on, although not immediately. Government often injects substantial funding initially, although this funding is often 7. Wolfgang Fengler, Ahya Ihsan, reduced as funding from other sources, such as IFIs, including the World Bank, is mobilized. and Kai Kaiser, 2008, Managing Post-Disaster Reconstruction Finance: International Experience To avoid this gap and to ensure consistent availability of funds, it is imperative that relationships in Public Financial Management, Policy Research Working Paper with all funding sources are carefully managed and that funds are carefully programmed and 4475 (Washington, DC: World tracked.7 The programming of funds should include, to the greatest extent possible, the funding of Bank). http://go.worldbank.org/ YJDLB1UVE0. bilateral agencies and NGOs whose initial preference may be to operate outside of the government 16 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S coordination system, since this funding is sometimes the most lexible and readily available. Other solutions are discussed in Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance. Arrangements available through the World Bank are described in Chapter 20, World Bank Response to Crises and Emergencies. The Planning Gap Poor or uncoordinated strategic planning--the "planning gap"--may result in unnecessary costs. For instance, if more than one plan is developed, shifts in policy and funding approaches may take place. In the process, commitments made to the affected population may be forgotten. Involving IFIs as early as possible in the planning process both resolves this strategic planning gap and helps resolve the funding gap, by ensuring that one continuous plan is produced, rather than developing two or more plans for different "phases" that may not integrate adequately. The Implementation Gap Another gap concerns specialist implementation capacity. Some hAnother gap concerns specialized implementation capacity. Some humanitarian agencies that are specialized in, or funded for, emergency lifesaving activities may need to withdraw after the post-disaster situation has stabilized. These entities should then hand over their responsibilities and caseloads to government or agencies involved in reconstruction, or the coordination, ef iciency, and consistency of the response may be jeopardized. It is common that a number of agencies leave under these circumstances, so an effective coordination mechanism is essential to ensuring a smooth transition. The British Royal Institution of Chartered Surveyors proposes, in its report, Mind the Gap! Post- Disaster Reconstruction and the Transition from Humanitarian Relief, that chartered surveyors, geographic information systems (GIS) technicians, disaster risk professionals, and other "built environment" experts with expertise in planning and management of complex projects can play a crucial role in closing the implementation gap between humanitarian relief and reconstruction and development.8 The Participation Gap Another gap, which is often overlooked and is often the most signi icant, is in the capacity of the affected population itself to participate in the response. After the initial response, shock and trauma may limit the contributions of some members of the affected population. However, in the subsequent weeks, months, and years, the affected population constitutes the largest contributor of labor to the reconstruction effort. Yet as the population begins to recover its livelihoods, families affected by the disaster should not be forced to choose between reestablishing their inancial independence and participating in reconstruction. This gap may come and go suddenly due to internal or external Emergency contingent funds; eg. CERF International Financial Public appeals Institutions (IFIs) amount Government funds Bilateral donations to agencies Consolidated Appeals Process (CAP) 8. Tony Lloyd-Jones, 2006, Mind the Gap! Post-Disaster Reconstruction and the Transition from Humanitarian Relief (London: Max Lock Centre at the University of Westminster), http://www.rics. org/site/scripts/download_info. Post-disaster aspx?downloadID=1979. Pre-disaster expenditure expenditure on maintaining on construction infrastructure Source: Shelter Centre Training, time http://www.sheltercentre.org/ Disaster Goal node/3555. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 17 factors, for example, the onset of a rainy season in a farming community or the decision to accept work opportunities elsewhere. Certain factors that may cause this gap, such as crop harvests, can be planned for. The Emergency Market Mapping and Analysis (EMMA) can be used to identify how the labor supply may luctuate during the year.9 An explanation of the EMMA methodology is included in Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance, Annex 1, Deciding Whether to Procure and Distribute Reconstruction Materials. Good coordination by government, with support from the humanitarian community, can help mitigate these gaps. The indicators proposed by the OECD Development Assistance Committee (DAC) in 1991 for the evaluation of humanitarian programs (as updated) include an indicator for program "connectedness."10 As explained by the Active Learning Network for Accountability and Performance in Humanitarian Assistance (ALNAP) in its evaluation guide based on these indicators, "connectedness" refers to the need to ensure that activities of a short-term emergency nature are carried out in a way that takes longer-term development requirements into account.11 However, the guide also states that while the need for DANIEL PITTET linkages among humanitarian action, recovery, and development are well understood, no consensus exists on how lifesaving humanitarian action should support longer-term needs, mentioning natural disasters as an example of where this objective is particularly dif icult to achieve. Recommendations 1. Agencies should be cognizant and respectful of planning, strategies, and coordination mechanisms that have already been established when they begin operations in the disaster zone. 2. Agencies should realize that every disaster is unique in its complexity, impact, and cultural context, and should work toward an integrated approach that responds irst and foremost to the needs of those affected. 3. Address the unique situations and requirements of those affected, whether displaced or not, without discriminating against any sub-group of the population. 4. Seriously consider implementing the transitional shelter approach, which addresses shelter needs over the entire period from the disaster to a permanent housing solution, rather than addressing needs in phases. 5. Make every effort to minimize the gaps between humanitarian programs and reconstruction and development, by getting all key funding institutions involved early in planning and by anticipating the transitions in delivery that will inevitably occur. 6. Expect reconstruction to take a long time, and encourage communities to think in those terms without undermining their determination to recover. Design interim shelter solutions based on realistic assumptions about time. 9. The Emergency Market 7. Don't shortchange reconstruction. Adequate inancial and material resources must be made Mapping and Analysis tool, http://www.sheltercentre.org/ available throughout the response, recovery, and reconstruction process. Governments should meeting/material/The+Emerg work with funding sources to plan the distribution of available resources over a realistic ency+Market+Mapping+and+A nalysis+tool+EMMA. reconstruction period. 10. OECD-DAC, 1991, "DAC Principles for Evaluation of Development Assistance," http://www.oecd.org/ document/22/0,2340, en_26 Case Studies 49_34435_2086550_1_1_1_1 ,00.html. 1963 Skopje Earthquake, FYR Macedonia 11. ALNAP, 2006, "Evaluating The In luence of Early Decisions on Long-Term Recovery Humanitarian Action Using the OECD-DAC Criteria. An More than 1,000 residents of Skopje, Macedonia, perished in the 1963 earthquake, and more than ALNAP Guide for Humanitarian Agencies," pp. 20­21, http:// 3,300 persons were seriously injured. With the vast majority of its 36,000 housing units destroyed www.odi.org.uk/alnap/pubs/ or damaged, 76 percent of Skopje's population was left without shelter. Decisions made immediately pdfs/eha_2006.pdf. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 18 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S after the disaster had a major impact on Skopje's reconstruction. Vladimir Ladinski, an architect and urban planner who lived in the city throughout the recovery process, has written a detailed, 30-year longitudinal study of the transition from relief to full reconstruction. He notes that the relief operation was probably one of the most ef icient on record, with minimal aid being wasted and with authorities having very clear priorities. But despite such achievements, Ladinski raises "serious doubts [about] whether the rapid initial planning decision on the location of new settlements was correct." His reference is to the decision, within a few days of the earthquake, to locate temporary housing in sites surrounding the city. It was naively expected that these temporary houses would be subsequently demolished to make way for permanent dwellings some nine months after the disaster. However, in modi ied form, many remained in place much longer and had a negative impact on the development of the overall city plan. Sources: Ian Davis, 1975, "Skopje Rebuilt-Reconstruction following the 1963 Earthquake," Architectural Design, vol.11, pp. 660-663; V. Ladinski, 1997, in A. Awotona, Reconstruction after Disaster, Issues and Practices (Aldershot: Ashgate), pp. 73-107; and United Nations, 1970, Skopje Resurgent (New York: United Nations). 2004 Indian Ocean Tsunami, Indonesia Evaluation of a Transitional Shelter Program The 2004 Indian Ocean tsunami left more than 550,000 people displaced in the province of Aceh, Indonesia. The IFRC responded by implementing a transitional shelter program. From August 2005 to December 2007, some 19,920 transitional shelters were built for families that were still living in tents or shacks. The purpose of this transitional shelter program was to provide a solution that would " ill the gap" between an emergency shelter solution, such as tents, and permanent houses. The steel- framed houses with wooden walls and loor and a sheet-metal roof were intended to provide shelter for a period of 2­4 years. A study initiated by the IFRC and the Netherlands Red Cross showed that the program had a strong positive social impact and a slight positive economic impact on the bene iciaries. This positive impact continued even after the household moved to a permanent house, which shows that the bene its of transitional shelter can go beyond only being a temporary solution for housing after a disaster. However, the positive impact is seen only when a household lives in the transitional shelter for a relatively short period. Transitional shelter should be kept as a short-term solution because it does not meet the needs of a family over a longer period of time. There was a noticeable decrease in economic impact when a family lived in a transitional shelter for a longer period. Source: S. G. van Dijk, 2009, A Socio-Economic Impact Study on a Transitional Housing Program. Case Study of a Red Cross and Red Crescent Housing Program in Indonesia (research report, Eindhoven University of Technology, in collaboration with the IFRC and Netherlands Red Cross). 2003 Bam Earthquake, Iran Differences in Urban and Rural Shelter Approaches The large-scale destruction caused by the 2003 earthquake in Bam, Iran, made it unlikely that affected communities would soon have permanent housing. Authorities estimated that at least two years of temporary shelter would be needed before permanent housing would be available, at least in urban areas. National relief agencies pushed to establish camps, despite the strong desire of the people to erect shelters on or close to their own land. The justi ication of the agencies was that camps would simplify the delivery of services and lower their costs. Yet worldwide, experience has shown that establishing camps for displaced people following AP disasters has negative socioeconomic impacts on reconstruction and long-term development, and only makes sense when concerns such as security make other alternatives impossible. Therefore, a national strategy for housing reconstruction was formulated and made public. It entailed (1) in urban areas, providing interim or transitional shelters--including prefabricated units on vacant urban lots or the family's land--that would address housing needs for a 2-year period for the entire affected population, and (2) in rural areas, building permanent housing on original housing plots as soon as practicable. Permanent shelter in urban areas would not be built until the city master plan was updated and reconstruction guidelines were approved. Prefab houses measuring 18 square meters were provided to all urban households who could prove (using, among other things, the testimony of other residents) that they lived in the area prior to the disaster. For households with more than four people, two prefab houses were provided. An additional unit was available for purchase. The cost for a prefab house was around US$2,000, including transport. Each was installed on the land designated by the household. Source: Victoria Kianpour, UNDP Iran, 2009, personal communication, http://www.undp.org.ir/. C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 19 2005 North Pakistan Earthquake, Pakistan Reusing Transitional Shelter Materials in Permanent Homes In October 2005, a strong earthquake and several aftershocks struck Pakistani-controlled Kashmir, northern Punjab, and the North West Frontier Province, devastating poor communities in towns and villages located in harsh, mountainous terrain. Even with winter approaching, many homeless families decided not to leave their villages for government camps because of concerns about their land and livestock, the sources of their livelihood. To help these families, Habitat for Humanity Pakistan (HFHP) introduced a dome-shaped transitional shelter made with materials that could be reused later in permanent houses. The shelters consisted of a tubular pipe structure, galvanized corrugated iron sheets attached using metal ties, and foam insulation. The transitional shelters were easy to assemble and cost about as much as a tent. Approximately 400 of them were erected in the mountainous areas around Balakot and Muzaffarabad. During the spring of 2006, HFHP began building new, earthquake-resistant homes, following guidance from the government's Earthquake Reconstruction and Rehabilitation Authority. Around Balakot and other villages in the Union Council area, HFHP implemented a new construction program that included recycling heavy timber from the destroyed houses into lighter wooden construction elements, using mobile sawmills that were transported from village to village. The galvanized corrugated iron sheets from the transitional shelters were used as roof elements in the new homes. More than 345 new homes were built and an additional 5,500 families were assisted with sawmill services. Sources: Mario C. Flores, Habitat for Humanity International, 2009, personal communication; and Habitat for Humanity Pakistan Earthquake, http://www.habitat.org/disaster/active_programs/pakistan_earthquake_2005.aspx. 2009 Abruzzo Earthquake, L'Aquila, Italy Temporary Housing Solution Implemented by the Italian Civil Protection Soon after the April 6, 2009, Abruzzo earthquake, whose epicenter was near the city of L'Aquila, Italy, the Italian government began to analyze the feasibility of a temporary housing project. The irst estimate after the earthquake was that 20,000­25,000 people would need temporary shelter. Later, it was agreed that 4,500 units would accommodate the temporary housing demand of all families with three or more members whose houses were destroyed or severely damaged by the earthquake. Previous Italian experience with earthquakes had shown that reconstruction in a historical center can take 5­10 years, and sometimes longer, which creates a dif icult situation for the affected population. While L'Aquila is in a cold mountainous area, the earthquake occurred in April, the beginning of six months of good weather for construction. This made the option of building comfortable temporary housing much more feasible. Another consideration was that, because there are approximately 15,000 students seeking housing in L'Aquila every year, the temporary apartments could eventually be reused as student dormitories. Government approved the temporary apartments project, called Progetto C.A.S.E (Complesi Antisismici Sostenibili ed Ecocompatibili or Antiseismic, Sustainable, and Ecofriendly [housing] Complexes), at a cost of 700 million euro (US$929 million). The aim was to build energy-ef icient, seismically sound temporary apartments in 3-story buildings. A total of 16 irms won design contracts. The new houses needed to be available within six months and to have expected useful lives similar to normal houses. While different designers used different materials (timber, steel, or concrete), all the units were prefabricated and had to meet a rigid time completion schedule. The design criteria and construction process were planned to allow this accelerated construction schedule. The foundations of the houses are composed of a double platform: the lower one is a foundation plate that rests directly on the ground, and the upper platform lies on more than 7,000 seismic isolators mounted on steel columns ixed at the foundation plates. The design drastically reduces seismic forces and makes the buildings almost completely earthquake-resistant. The covered area between the two plates is designed for underground parking. Besides paying for Progetto C.A.S.E., government is covering the repair costs, including seismic retro itting, of all permanent housing. Source: Prof. Mauro Dolce, General Director of Seismic Emergency Unit, Italian Civil Protection, 2009, personal communication. DANIEL PITTET 20 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Resources Bekta, Esra. 2006. "A Post-Disaster Dilemma: Temporary Settlements in Düzce City, Turkey." Paper presented at I-REC 2006 international conference, Florence. http://www.grif.umontreal.ca/pages/ BEKTAS_Esra.pdf. IFRC, Sichuan Earthquake Support Operations. 2008. Shelter Assessment Report Sichuan Province, China. http://www.scribd.com/doc/9666212/sichuan-shelter-assessment-report- inal- report?autodown=pdf. International Federation of Red Cross Societies is the lead cluster agency with responsibility for shelter following natural disasters. http://www.ifrc.org. International Recovery Platform (IRP) identi ies gaps and constraints in disaster recovery and serves as a catalyst for the development of tools, resources, and capacity for resilient recovery. IRP has a range of resources that address reducing risks in recovery. http://www.recoveryplatform.org. Lloyd-Jones, Tony. 2006. Mind the Gap! Post-Disaster Reconstruction and the Transition from Humanitarian Relief. London: Max Lock Centre at the University of Westminster. http://www.rics. org/site/scripts/download_info.aspx?downloadID=1979. ProVention Consortium seeks to reduce the risk and social, economic, and environmental impacts of natural hazards on vulnerable populations in developing countries in order to alleviate poverty and to contribute to sustainable development. Excellent guidelines on earthquake recovery management. http://www.proventionconsortium.org. UN-HABITAT promotes socially and environmentally sustainable towns and cities and adequate shelter for all. Its disaster management program helps governments and local authorities rebuild from war or natural disasters. http://www.unhabitat.org/categories.asp?catid=286. United Nations Development Programme Crisis Prevention and Recovery (UNDPCPR) works around the world to restore the quality of life for people who have been devastated by natural disaster or violent con lict. http://www.undp.org/cpr/. United Nations Development Programme. "Preliminary Post-Disaster Recovery Guidelines." http://www. proventionconsortium.org/themes/default/pdfs/social_analysis/UNDP_Recovery_Guidelines.pdf. United Nations Development Programme. 2007. "Guidance Note on Early Recovery." http:// www.humanitarianreform.org/humanitarianreform/Portals/1/cluster%20approach%20page/ clusters%20pages/Early%20R/ER_Internet.pdf. United Nations Of ice for the Coordination of Humanitarian Affairs (UN OCHA). 2010. Shelter after Disaster: Strategies for Transitional Settlement and Reconstruction. Geneva: UN OCHA. http://www. sheltercentre.org/library/Shelter+After+Disaster. U.S. Federal Emergency Management Agency (FEMA) has extensive resources on disaster preparation and response and on training of local of icials. http://www.fema.gov. Information on Transitional Shelter Strategies Organization Area of expertise Contact information IFRC IASC Emergency Shelter Cluster co-convener for http://www.ifrc.org natural disasters Shelter Centre Sector support resources, including shelter library http://www.sheltercentre.org and global shelter community of practice UN OCHA Humanitarian Reform Support Unit, Emergency http://www.humanitarianreform.org/ Shelter humanitarianreform/Default.aspx?tabid=77 UNHCR IASC Emergency Shelter Cluster co-lead for conflicts http://www.unhabitat.org C H A P T E R 1 : E A R LY R E C O V E R Y: T H E C O N T E X T F O R H O U S I N G A N D C O M M U N I T Y R E C O N S T R U C T I O N 21 Assessing Damage and Defining Reconstruction Policy ASSESSING DAMAGE AND SETTING 2 RECONSTRUCTION POLICY Guiding Principles for Assessing Damage and Setting Reconstruction Policy This Chapter Is Especially Useful For: For early, rapid assessments, timely presentation of assessment data takes precedence over Policy makers exhaustive analytical precision. However, rapid assessments are generally followed by more Lead disaster agency detailed, sector-speci ic assessments. Assessment teams Joint (multi-donor) assessments and standardized assessment methodologies produce bene its in Agencies involved in terms of ef iciency, quality, and common understanding of the disaster situation. reconstruction Data collected during assessments--whether multi-sectoral or sector-speci ic--should be shared, if possible, to reduce duplication of efforts. Consultation with affected communities is essential and is possible even in rapid-onset emergencies. Affected communities may want to conduct their own assessments. A detailed housing condition assessment is always necessary to estimate the total cost of reconstruction and to allocate the resources. Assessment should focus not just on bricks and mortar; the social condition of the people, their working ethos, their willingness to participate, and cultural values all affect reconstruction. The particular needs of different groups and individuals (e.g., men, women, the elderly, children) should be evaluated during assessments. Marginalized and vulnerable populations must be sought out and their needs and interests incorporated into reconstruction policy. The reconstruction policy is pivotal because it establishes the expectations of the affected community and provides the framework for intervention by local and international actors. Communicating the reconstruction policy effectively to those affected by it is almost as important as de ining it well. The added value of communication is highest when included from the beginning. Introduction Until the impact of a disaster is assessed, no signi icant or systematic response can be mobilized. For that reason, assessment is one of the most powerful tools in the disaster response tool kit. Assessments help to establish the extent of post-disaster damage, loss, and needs, and they come in many forms: rapid, detailed, multi-sectoral, and sector-speci ic. In housing and community reconstruction, a house-to-house assessment of housing damage should always be done. In addition, an assessment of the housing sector may be done. Many assessment methodologies exist; numerous efforts are under way to improve and standardize them. The principal tradeoff in conducting a rapid assessment is timeliness versus accuracy and completeness. Early data will be more subject to revision over time, but having early information on damage and needs and estimates of reconstruction costs facilitates the initial appeals and response. Once a disaster's impact is understood and can be quanti ied, reconstruction planning can begin. Ideally this is coordinated with government's de inition and announcement of its reconstruction policy. Reconstruction policy lays out the "rules of the game" for reconstruction, especially the roles of various actors and how they will coordinate, the forms of support that will be provided, and the risk reduction measures that will be taken against future disasters. This chapter presents the current state of the art of post-disaster assessments and provides some good examples of methodologies. It also explains what the scope and content of a post-disaster reconstruction policy should be and summarizes two examples. 23 Key Decisions 1. Government must designate the agency responsible for assessment; this is often the lead disaster agency, but it may be a statistical or technical agency in government or academia. 2. The agency responsible for assessments must decide how it wants the assessment process to be organized and coordinated, the assessment instruments it prefers, and whether and how assessment data will be shared. Humanitarian agencies usually provide assistance with rapid assessments in the early weeks. 3. The agency responsible for assessments should coordinate with local government, agencies involved in reconstruction, and the affected communities to de ine the rights of the communities with respect to assessment, including the management of their personal data, and their participation in the assessment process. 4. Government must designate the agency responsible for reconstruction policy, which will vary depending on the scale of the disaster and the institutional roles de ined in national disaster policy. For a localized disaster where subnational government is strong, the responsible agency may be subnational government. 5. The agency responsible for reconstruction policy should decide how it will consult with stakeholders, including affected communities and agencies who wish to be involved in reconstruction, before announcing the reconstruction policy. 6. The agency responsible for reconstruction policy must establish the basic parameters of the reconstruction policy, including the household assistance strategy, before making its initial policy announcement, but may re ine the policy over time. 7. Agencies involved in reconstruction should decide with government how to make project plans consistent with housing and infrastructure sector policies. Public Policies Related to Assessment and Reconstruction Policy If government has preplanned its disaster policy and institutional response for housing and community reconstruction, this plan--and the assessment process it contemplates--has only to be activated. If this has not been done, decisions on assessment procedures and policy will need to be made extemporaneously. If a country has good social and economic data on the population and built environment affected by the disaster, the initial assessment can be greatly accelerated and its quality can be improved. Information and communications technology (ICT) is increasingly being employed in this way. The initial damage and loss assessment (DaLA) after the 2008 Wenchuan, China, earthquake was conducted exclusively using government data sources and satellite imagery. This does not eliminate the need for on- the-ground assessments, but greatly accelerates initial assessments. Existing social and economic databases can also provide a baseline for post- disaster assessments, making the quanti ication of damage more reliable. The reconstruction policy should take into consideration existing sector strategies and capital investment plans in the sectors affected by the disaster, such as housing, infrastructure, health, education, and transport. Government should coordinate with agencies involved in reconstruction to ensure that project plans based on assessments are also consistent with sector policies. The government of the Indian state of Tamil Nadu, for example, made a policy decision to include thousands of vulnerable households not affected by the 2004 Indian Ocean tsunami in the post-disaster housing reconstruction program and to require that sanitation was provided in all reconstruction EARL KESSLER sites, as described in the case study below. 24 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Technical Issues Assessment Types and Definitions Type Definition1 Damage assessment An assessment of the total or partial destruction of physical assets, both physical units and replacement cost. Loss assessment An analysis of the changes in economic flows that occur after a disaster and over time, valued at current prices. Needs assessment An assessment of the financial, technical, and human resources needed to implement recovery, reconstruction, and risk management. Usually "nets out" resources available to respond to the disaster. Rights-based assessment An assessment that evaluates whether people's basic rights are being met. Has its origins in the United Nations Universal Declaration of Human Rights.2 Rapid assessment An assessment conducted soon after a major event, usually within first two weeks. May be preceded by an initial assessment. May be multi-sectoral or sector-specific. Provides immediate information on needs, possible intervention types, and resource requirements. Detailed assessment An assessment undertaken after the first month to gather more reliable information for project planning. Often takes about a month to conduct, and is usually sector-specific.3 Housing damage A damage assessment that analyzes the impact of the disaster on residential communities, living quarters, and land used assessment for housing (see details, below). Housing sector assessment An assessment of the policy framework for housing, the post-disaster housing assistance strategy, and the capability of housing sector institutions to carry it out (see details, below). Communication-based An assessment that analyzes how the context will affect reconstruction and the way in which communication with the affected assessment (CBA) community can support the reconstruction effort. It includes government and political risk analysis, stakeholder analysis; media, communication environment, and local capacity analysis; and social and participatory communication analysis.4 Convergence of Assessment and Analysis Methodologies Experts working in the disaster ield have been confounded in recent years by the array of post- disaster assessments, assessment terminology, and assessment methodologies they encounter. As a result, the United Nations (UN) clusters and other international agencies, including the World Bank, are engaged in various efforts to standardize and improve assessment and analytical tools at all phases of an emergency and to establish indicators, de initions, improved methodologies, 1. Charles Kelly, 2008, Damage, Needs or Rights? De ining What Is Required standardized information requirements, and accepted thresholds for humanitarian action. A related After Disaster, Ben ield UCL Hazard effort is under way to build partnerships for joint assessments and information consolidation. All Research Centre Disaster Studies and Management Working Paper No. of these initiatives aim to address needs for better information for sectoral programming and more 17 (London: Ben ield UCL Hazard timely information at the onset of an emergency. Two of these efforts are especially signi icant, as Research Centre), http://www. reliefweb.int/rw/lib.nsf/db900sid/ discussed below. FBUO-7HWHG9/$ ile/Ben ield- Jul2008.pdf?openelement; and International Federation of Red Cross Assessment and Classi ication of Emergencies. The UN Of ice for the Coordination of and Red Crescent Societies (IFRC), 2005, Guidelines for Emergency Humanitarian Affairs (UN OCHA) established the Assessment and Classi ication of Emergencies Assessment (Geneva: IFRC), http:// (ACE) project in 2008 in an attempt to map the various humanitarian assessment initiatives www.proventionconsortium.org/ themes/default/pdfs/71600- currently under way and to facilitate the development of an overarching approach to assessment. Guidelines-for-emergency-en.pdf. 2. United Nations, "The Universal In February 2009, UN OCHA issued its "Mapping of Key Emergency Needs Assessment and Analysis Declaration of Human Rights," Initiatives: Final Report," which analyzes the main assessment and analysis framework initiatives http://www.un.org/en/documents/ udhr/. under way at the global level.5 However, a wide variety of multi-sectoral and/or sector-speci ic tools 3. Information on sector-speci ic used by particular organizations in the ield were not analyzed, including those of donors. assessments is found in several chapters of this handbook. 4. For a detailed explanation of a Communication-Based Assessment, The report organizes the various assessment initiatives in three categories: refer to Chapter 3, Communication 1. standards-related initiatives, which serve as a foundation for assessment tools and data in Post-Disaster Reconstruction. 5. UN OCHA, 2009, "Mapping of Key collection (for example, the Sphere Project6); Emergency Needs Assessment and 2. primary data collection, distinguishing between rapid and in-depth assessments (for example, Analysis Initiatives: Final Report," http://www.humanitarianinfo. the Local Estimate of Needs for Shelter and Settlement [LENSS], described below, being org/iasc/downloaddoc. aspx?docID=4927&type=pdf. developed by the Inter-Agency Standing Committee [IASC] Emergency Shelter Cluster); and 6. Sphere Project, 2004, Humanitarian 3. analysis frameworks, where information and data generated by the two previous categories are Charter and Minimum Standards in Disaster Response (Geneva: Sphere integrated into a framework for analysis and/or planning (for example, the Post-Disaster Needs Project), http://www.sphereproject. Assessment [PDNA] project, described below, being carried out by the UN, the World Bank, and org/component/option,com_ docman/task,doc_view/gid,12/ the European Commission [EC]). Itemid,203/lang,english/. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 25 As part of this effort, the ACE working group prepared a sequencing framework, which is useful for understanding when the various needs assessment initiatives (not all of which are yet in use) are being or would be applied within the emergency timeline. The timeline includes 24 separate assessments instruments or initiatives. Needs Assessment Task Force. Since the issuance of the ACE report, a Needs Assessment Task Force (NATF) has been appointed, co-chaired by UN OCHA and the International Federation of Red Cross and Red Crescent Societies (IFRC).7 NATF was created to strengthen decision making and to improve response by harmonizing and promoting cross-sector needs assessment initiatives that produce consistent, reliable, and timely data on humanitarian needs. Initially focusing its work on preparedness, Phase I ( irst 72 hours), and Phase II ( irst 2 weeks) in sudden onset emergencies, NATF will later work on Phase III (second 2 weeks) onward, including early recovery, and will address slow onset emergencies, as progress is made on the irst phases. Local development, If the effort to harmonize assessment methodologies is successful, future results will include (1) housing, and land development of a consolidated needs assessment "tool box," including standardized tools, such as forms and questionnaires that can be adapted for speci ic contexts; (2) better data management tenure issues that and reduction in the unnecessary collection of similar information; (3) the development of a emerge after a core set of indicators per sector, which would be consistently collected, thereby improving data disaster are often not aggregation, prioritization of needs across sectors, and equitable response; and (4) multi-sectoral new, but the disaster needs assessment tools to collect core common data for decision making and immediate life-saving may exacerbate interventions. In the meantime, governments and agencies working in reconstruction will encounter any weaknesses a variety of assessment methods and tools, and should carefully evaluate the quality of the outputs from these methodologies before acting on them. in the system. Reconstruction Post-Disaster Needs Assessment project. The PDNA project is a cooperative effort between United challenges such as Nations agencies (led by the United Nations Development Programme as the Chair of the Cluster widespread poverty, Working Group on Early Recovery8 [CWGER]), the World Bank, and the EC to develop a practical extensive informality guide to a multi-stakeholder PDNA and a recovery framework (RF). in the housing The objective of this project is to develop a shared understanding of the impact of a natural disaster system, or a large by integrating assessment methods used by international inancial institutions (IFIs) (primarily the number of housing DaLA methodology developed by UN Economic Commission for Latin America and the Caribbean units that need to [ECLAC], which was published in 1991 and reissued in an updated format in 2003), which focus be reconstructed, on macro-economic issues, and those used by the IASC humanitarian clusters, UN agencies, and will just make the nongovernmental organizations (NGOs), which tend to be sectoral and to have a humanitarian problems more focus. It ultimately aims to improve coordination and capacity at national and international levels to conduct recovery-oriented needs assessments and to carry out recovery planning, in order to visible. connect national plans with the delivery of recovery programs at the local level. Expected outputs from the PDNA project include (1) protocols of cooperation between the United Nations, the World Bank, and the EC covering joint missions and capacity building; (2) a practical guide to multi-stakeholder PDNA and the RF; and (3) ield-testing and training on the framework in high-risk countries with national and international recovery partners. In addition, sectoral assessment methods that are relevant to PDNA will be adapted to enable them to better determine early recovery needs in each sector. Review of Selected Assessment Methodologies Governments and agencies involved in housing and community reconstruction should be familiar with some of the common or especially useful assessment methodologies. The following section presents a brief description of some common assessment types, including multi-sectoral assessment (DaLA and community-led assessment), housing sector assessment, and community-speci ic 7. IASC, "Terms of Reference for the IASC Task Force on assessment (LENSS and housing damage assessment). Needs Assessment," http:// www.humanitarianinfo. org/iasc/downloaddoc. Good practice in conducing assessments is universal, regardless of the type of assessment. This aspx?docID=4928&type=pdf. includes the need to compose assessment teams so that they incorporate the appropriate expertise 8. Cluster Working Group on Early Recovery, "Early Recovery," http:// and representation, including representation of the affected community, and the importance of www.humanitarianreform.org/ humanitarianreform/Default. properly training assessors in the use of the assessment instrument, the de initions of assessment aspx?tabid=80. terms, and the peculiarities of the assessment environment, so that the results are consistent. 26 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Methodology Considerations Multi-Sectoral Assessment Damage The principal multi-sectoral preliminary assessment methodology used in recent years by IFIs, such as the World Bank, is the DaLA and loss methodology developed by ECLAC. The assessment process is sometimes referred to as a "joint rapid assessment." This is generally assessment conducted as soon as possible after the initial disaster response is over.9 A DaLA is a detailed assessment methodology that estimates Rapid, joint, the direct economic impact (lost wealth), indirect economic impact (effect on gross domestic product), and secondary effects (fiscal multi-sectoral impacts) of a major natural disaster. The methodology provides guidelines for social sectors, including housing, infrastructure, economic ­ 1st month sectors, and damage assessment.10 Numerous examples of completed DaLAs are available from the World Bank. A DaLA is a detailed yet rapid assessment that is conducted as early as possible after a disaster. It is not a substitute for either detailed, sector-specific assessments or a detailed, door-to-door housing condition assessment, both of which come later. DaLA results are often used by donors to establish initial financial commitments for housing and community reconstruction. Community-led After any disaster, affected communities are the primary responders. Yet once organized relief operations get under way, communities assessments may not be consulted on important aspects of the relief and recovery.11 Detailed, Complementing traditional agency-led assessments with community-led assessments (CLAs) provides a more complete view of the multi-sectoral needs and capacities of the affected population. CLAs will help capture the social and psychological impacts on a community, including ­ 1st quarter livelihoods, and the resources available to survivors. Because these factors affect reconstruction, they should not be overlooked; reconstruction can only begin once the household is stabilized. The CLA team must include representation of all community groups in the assessment area and be coordinated by an entity trusted them all (e.g., local government, or local or international NGO). The Community Damage Assessment and Demand Analysis (CDADA), developed by the All India Disaster Mitigation Institute, is a very good CLA methodology.12 It is a detailed multidisciplinary, multi-sectoral, multicultural assessment that is adaptable to every disaster type, and can produce sector-specific outputs. The CDADA applies the Sphere Project principles and the IFRC Code of Conduct13 and emphasizes the role of affected communities, local governments, and community organizations. Housing Sector Assessment Housing sector A housing sector assessment can be very useful after a disaster to analyze the capacity of an affected region's institutional framework for land assessment tenure and housing and community development, its housing production and finance system, and the impact of the disaster on this system. Detailed, If it is conducted early (within the first few weeks of the disaster) in parallel with other assessments, the results of the housing sector sector-specific assessment can be used in the formulation of the overall reconstruction policy and in defining the housing assistance strategy. If reconstruction ­ 1st quarter has already begun and stakeholders are not satisfied with the results, a housing sector assessment will diagnose what is going wrong. The importance of a housing sector and land tenure analysis may not be recognized early on. People may assume that recovery will not conform to "normal" procedures anyway, but will instead be done using "special" arrangements. However, this may not be the most sustainable reconstruction approach. Outside agency support to post-disaster reconstruction rarely runs long enough, or provides sufficient resources, for full recovery. Local development, housing, and land tenure issues that emerge after a disaster are often not new, but the disaster may exacerbate any weaknesses in the system. Reconstruction challenges--widespread poverty, extensive informality in the housing system, or a large number of housing units that need to be reconstructed--will just make the problems more visible. A housing sector assessment can also help government and agencies involved in reconstruction identify longer-term housing sector reform initiatives. A detailed methodology for a post-disaster housing sector assessment is included in Annex 1, How to Do It: Conducting a Post- Disaster Housing Sector Assessment. Other Detailed Sector Assessments Detailed, Detailed sector assessments are likely to be carried out in other sectors as inputs to housing and community reconstruction sector-specific planning, as discussed in other handbook chapters. These assessments can include, among others, environmental assessments, ­ 1st quarter communications-based assessments, cultural heritage assessments, social assessments, and corruption risk assessments. Local Housing Assessment Local Estimate The LENSS methodology is designed for rapid shelter and settlement needs assessment in the immediate aftermath of a disaster and of Needs for before the recovery phase.14 It provides a systematic assessment methodology and a series of extremely clear formats for collecting and Shelter and organizing shelter data for a specific locality, which may be collected directly or extracted from other sources. Settlement The tool kit is intended to be used to conduct a needs assessment of and by a locality, in whatever way the population is able to organize Rapid, sector- itself after the disaster, so that it is prepared to deal with agencies that offer to assist, but it could also be used by an agency itself. One specific ­ innovation in the LENSS methodology is the use of a storytelling approach to explaining the shelter situation in the community. 1st month 9. For example, the 2009 Bhutan earthquake occurred on September 21, 2009. A joint of the International Response to the Indian Ocean Tsunami: Synthesis Report (London: rapid assessment was conducted by the government of Bhutan, the World Bank, and The Active Learning Network for Accountability and Performance in Humanitarian the UN, using a combination of the DaLA and PDNA methodologies, between September Action), http://www.alnap.org/initiatives/tec.aspx. 30 and October 14, 2009, http://gfdrr.org/docs/Bhutan_Rapid_Needs_Assessment_ 12. Mihir R. Bhatt and Mehul Pandya, 2005, Community Damage Assessment and Report_Oct_09.pdf. Demand Analysis (Ahmedabad: All India Disaster Mitigation Institute), http://www. 10. UN ECLAC, Handbook for Estimating the Socio-economic and Environmental Effects of proventionconsortium.org/themes/default/pdfs/AIDMI_ELS-33.pdf. Disasters (Mexico: ECLAC), http://www.eclac.cl/cgi-bin/getProd.asp?xml=/publicaciones/ 13. International Red Cross and Red Crescent Societies, "Code of Conduct," http://www.ifrc. xml/4/12774/P12774.xml&xsl=/mexico/tpl-i/p9f.xsl&base=/mexico/tpl/top-bottom.xsl. org/publicat/conduct/. 11. An evaluation of the response to the 2004 Indian Ocean tsunami noted that the 14. IASC Emergency Shelter Cluster, 2009, "LENSS Tool Kit, Field Version" (Nairobi: UN- involvement of the communities in needs assessment, planning, and implementation HABITAT), http://www.unhabitat.org/pmss/getPage.asp?page=bookView&book=2738. was never made a priority. See Tsunami Evaluation Committee, 2006, Joint Evaluation C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 27 Methodology Considerations Housing A housing damage assessment is the necessary first step that will eventually permit the reoccupancy of residential buildings. It provides damage (or the evidence needed to support decisions about providing housing assistance, training, and technical assistance for reconstruction. The condition) assessment process is made up of a predictable set of activities, and procedures for a number of them can be established ahead of assessment the disaster to speed up the initiation of the post-disaster housing damage assessment process. A detailed methodology for a housing Detailed, damage assessment is included in Annex 2, How to Do It: Assessing Post-Disaster Housing Damage. sector-specific Beside demonstrating to citizens that recovery is beginning, housing assessments serve other purposes: (1) public safety: identify ­1st to 2nd whether houses can be occupied during reconstruction (a housing safety inspection process may be required); (2) planning: to quantify month the funds, time, and other resources required for recovery; (3) technical: provide information of the types of damage and the technical skills required in reconstruction; and (4) economic and social: to provide data on the impacts of the disaster at the household level. Other chapters of the handbook provide information related to damage assessments, including Chapter 5, To Relocate or Not to Relocate (decisions about relocation of housing and communities); Chapter 10, Housing Design and Construction Technology (how disasters damage housing and how design and technology affect housing disaster resistance); and Chapter 16, Training Requirements in Reconstruction (how reconstruction training is designed and executed using the housing damage assessment results. Data Management Issues in Assessment Managing data. Different organizations and agencies collect post-disaster data independently at different periods and on different scales, often duplicating efforts and collecting data in a way that hampers data integration and comparison. Multiple assessments may fail to yield comprehensive, accurate, reliable, and timely assessments that are adequate to support a smooth transition between relief, recovery, and reconstruction. Geo- referencing is an example of a practice that improves the value of information and its ability to be shared, if it is collected using agreed-to standards. Sharing disaster assessment data reduces duplication of effort and cost. UN OCHA is promoting the use of Humanitarian Information Centers (HICs), geographic information systems (GIS), data standardization, and other tools to make post- disaster data collection more ef icient.15 See Chapter 17, Information and Communications Technology in Reconstruction, for a discussion of HICs and other information and technology-related strategies relevant to reconstruction. EARL KESSLER Managing assessment data is not without its risks. Some consider that assessment data should be treated effectively as a "public good," and the merits of this point of view are easily understood with respect to avoiding the duplication of data collection efforts. "Assessment fatigue" on the part of affected communities is frequently mentioned, and sharing data can help reduce this problem as well. However, data collected in assessments need to be handled and presented with care, since they represent personal information and in some cases may be of a nature that they are protected by con identiality laws. The fact of the emergency should not override these rights. Information collected in assessments will also re lect the biases of both the informants and the assessors, and biases may affect the interpretation of data collected as well. If the assessors are not experienced, training will be needed before they conduct the assessment. Lastly, assessment data should be compared to baseline information, which may reside in government, but and be readily available. Good assessment design, data collection protocols, and data management procedures can help control the risks mentioned above. Assessment design and data collection should anticipate how the information will be used. Rules for data con identiality and disclosure should also be established. If a HIC or other common data management system is established, its functions can include review of assessment instruments, tabulation and interpretation of data, securing and management of baseline data, and de inition of rules for data management and disclosure. 15. A variety of tools related to information management are available atUN OCHA's Information Ensuring data quality. For primary data, it may be advisable that data collection be organized at Management Web site, http://www. humanitarianinfo.org/IMToolBox/ an interagency level and led by government, with one government department taking the lead in index.html. coordinating and managing data collection across departments and with agencies to ensure that: 28 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S data are collected on the basis of an agreed-to and mutually consistent analysis plan; damage classi ication criteria and categories are consistent across sectors; damage classi ication criteria are consistent within a sector, and across various administrative/ geographical divisions; data are validated using empirical tools and plausibility checks; and baseline asset classi ication, such as de initions of various types of houses and categories of infrastructure, such as primary, secondary, and tertiary infrastructure, is consistent among assessments and with public accounts. If independent assessment teams are concurrently determining damage levels or reconstruction needs, then guidelines and tools should be made available to ensure the consistency of the estimates of need, such as use of common rates and uniform reconstruction benchmarks for housing and infrastructure. Templates can be developed to ensure that damage data are being collected in a structured and uniform manner. Orientation sessions for assessors are essential to train them on the meaning of terms used in the templates, as well as on collection methods. Assessment teams should practice on damaged houses until their results are consistent. See Chapter 16, Training Requirements in Reconstruction, for more advice on training assessors. The Needs of Vulnerable Groups in Assessments Vulnerable groups include displaced people, women, the elderly, the disabled, orphans, and any group subject to discrimination. Vulnerable groups may be omitted from assessments unless an effort is made to ensure their involvement. This is not just a quantitative issue, but a qualitative one, since addressing the post-disaster needs of these groups may require that special measures be taken in reconstruction. Good practices include: involving vulnerable group members in assessment and in all stages of decision making; obtaining information about the needs of the affected group from both men and women; collecting data disaggregated by sex, age, health status, economic class, etc., and then using the disaggregated data in both program planning and monitoring; paying special attention in assessments to groups that experience social exclusion (such as the handicapped, widows, and female heads of household); and assessing disaster impact on the informal social protection systems that vulnerable groups depend on, not just the "bricks and mortar" impacts. Defining Reconstruction Policy and Programs Governments who have put emergency management plans, structures, and Hyogo Framework for Action arrangements in place for preparedness and response are better prepared to Priorities for Action de ine the institutional arrangements and reconstruction policy for any particular 1. Making disaster risk reduction a priority. disaster. If the emergency management plan includes safeguard measures to help 2. Improving risk information and early at-risk communities prepare for disasters, those communities not only are likely warning. to be less affected by the disaster, they will be in a better position to manage 3. Building a culture of safety and resilience. reconstruction. For these reasons, it's critical that governments--especially those in 4. Reducing the risks in key sectors. vulnerable countries--make a serious commitment to implementing, or continuing 5. Strengthening preparedness for to implement, the Priorities for Action of the Hyogo Framework for Action, shown response. at right.16 Technical assistance is available from the Global Facility for Disaster Source: International Strategy for Disaster Reduction (ISDR), 2006, "Words Into Action: Implementing Reduction and Recovery (GFDRR), the International Strategy for Disaster Reduction the Hyogo Framework for Action Document for (ISDR), and other international agencies to design and implement disaster risk and Consultation," http://www.preventionweb.net/ english/professional/publications. emergency management plans. The lowchart entitled "The Process of Response and Reconstruction" included after the handbook's table of contents provides an overview of the types and sequence of decisions policy makers will be required to make in reconstruction. Individual chapters of this handbook discuss sector- speci ic policy options that should be considered, such as policies for environmental management, land use planning, and disaster risk management, to name a few. However, this section stresses the importance of elaborating an integrated reconstruction policy and strategy to guide the 16. International Strategy for Disaster Reduction (ISDR), reconstruction program and communicating it broadly. While this is needed for all sectors, this 2006, "Words Into Action: section focuses speci ically on the policy for housing and community reconstruction. Implementing the Hyogo Framework for Action Document for Consultation," http://www. preventionweb.net/english/ professional/publications/v. php?id=594. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 29 The political economy of reconstruction. In recent analytical The Six Dimensions of Governance work conducted on improving the results of policy reform Governance is defined as the traditions and institutions by which related to poverty reduction, the World Bank has de ined authority in a country is exercised. This includes the process by "political economy" as the study of the interactions between which governments are selected, monitored, and replaced; the political processes and economic variables.17 A political economy capacity of government to effectively formulate and implement perspective provides insight into the dynamics of reform sound policies; and the respect of citizens and the state for processes within a country or locality. Stakeholders' interests, the institutions that govern economic and social interactions and the power relations between social actors, in luence their among them. WGI measures six dimensions of governance that support or opposition to reforms. According to the Bank, the correspond to this definition. sequencing and timing of actions associated with policy reforms 1. Voice and Accountability: the extent to which a country's can also determine the level of tension and con lict, the duration, citizens are able to participate in selecting their government, as well as freedom of expression, freedom of association, and a and ultimately the success or failure of reforms. free media 2. Political Stability and Absence of Violence: the likelihood Reconstruction may not be viewed as policy reform per se, that government will be destabilized or overthrown by especially due to the accelerated nature of the reconstruction unconstitutional or violent means, including politically motivated process. However, to the extent that the way in which violence and terrorism reconstruction is carried out changes the power relationships 3. Government Effectiveness: the quality of public services, the or allocation of resources within society, it has many of the same quality of the civil service and the degree of its independence effects as traditional policy reform. For instance, if tenure security from political pressures, the quality of policy formulation is provided to affected communities in reconstruction (as this and implementation, and the credibility of government's handbook recommends), there is an economic transfer to those commitment to such policies communities, which, as a result, gain social standing and potential 4. Regulatory Quality: the ability of government to formulate and implement sound policies and regulations that permit and future in luence. promote private sector development 5. Rule of Law: the extent to which agents have confidence in Political economy factors will be brought to bear on the and abide by the rules of society, and in particular the quality of reconstruction process as economic and social interests vie for contract enforcement, property rights, the police, and the courts, in luence in many areas, including (1) setting the reconstruction as well as the likelihood of crime and violence agenda, (2) managing the message through communications with 6. Control of Corruption: the extent to which public power is the public, (3) allocating the resources among social groups, and exercised for private gain, including both petty and grand forms (4) gaining access to the resources being spent. Governments of corruption should analyze how political economy factors constitute risks or opportunities for the reconstruction program--including looking at how stakeholders are using their position to protect or strengthen their political or economic interests by building coalitions, negotiating, building consensus, and bargaining to generate outcomes that are favorable to them--and be prepared to manage this aspect of reconstruction. This may require the assistance of political scientists or political economy experts. Because, inevitably, reconstruction bene its some more than others, and because government itself is part of a country's political economy, it is impossible to inoculate the reconstruction process from 17. World Bank, 2008, The Political Economy of Policy Reform: political economy in luences. Good governance of the reconstruction process is the best antidote. Issues and Implications for Policy Therefore, the goal in reconstruction should be to establish and orchestrate a reconstruction process Dialogue and Development Operations (Washington, whose outcomes promote social equity and re lect good governance practices. The dimensions of DC: World Bank), http:// siteresources.worldbank.org/ governance used in the Worldwide Governance Indicators (WGI) project,18 shown in the text box, EXTSOCIALDEV/Resources/ above, have become widely accepted. Good governance practice material is cited throughout Political_Economy_of_Policy_ Reform.pdf. Chapter 19, Mitigating the Risk of Corruption, and its annexes. 18. World Bank, 2009, "Governance Matters, 2009: Worldwide Governance Indicators, 1996­ Challenges in de ining reconstruction policy. Data collected during assessments are critical 2008," http://info.worldbank. org/governance/wgi/index. evidence for establishing the reconstruction policy. However, it is highly likely that not all the necessary asp; and Daniel Kaufmann, information will be available when the policy is irst outlined and even announced publicly. For Aart Kraay, and Massimo Mastruzzi, 2009, Governance instance, a rapid assessment of housing damage may give government a estimate of the number of Matters VIII: Aggregate affected households, and perhaps of the extent of housing damage, but is unlikely to provide reliable and Individual Governance Indicators,1996­2008 estimates of the cost of repairing or the number of houses that will need to be demolished. That (Washington, DC: World Bank), http://papers.ssrn.com/sol3/ requires a housing damage assessment. This "information lag" creates a number of challenges that papers.cfm?abstract_id=1424591. policy makers are forced to confront in de ining and announcing reconstruction policy. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 30 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Policy making challenge Advice to policy makers The reconstruction policy will be a work in progress that will need Avoid announcing the details of assistance schemes before collecting relatively to be updated as more information becomes available. reliable data on the households affected, to avoid making commitments to the affected community that may become difficult to keep for logistical or financial reasons. Affected communities and other stakeholders should be consulted Avoid presenting the reconstruction policy as final before a substantive dialogue with about the parameters of the reconstruction policy before concerning reconstruction has taken place with stakeholders. those parameters are finalized. Avoiding this step can establish a See the case study on Tamil Nadu reconstruction, below, for examples of how dynamic of mistrust that will be difficult to overcome later. stakeholder consultation was used before reconstruction policies were announced. Decisions made early in the response may affect how Realize that early shelter decisions may affect the options available later in the reconstruction can be carried out. As explained in Chapter reconstruction program and think carefully about the longer-term implications of 1, Early Recovery: The Context for Housing and Community short-term solutions. Reconstruction, government--working with the humanitarian A decision to move the entire population to camps, as opposed to providing in-situ community in the first two weeks after the disaster--is likely to transitional shelter solutions, for example, could disperse an affected community have conducted the initial assessment, announced a rapid appeal, to such a degree as to make a community-led reconstruction approach nearly and defined project level work plans. impossible. Announcing the assistance scheme before assessments are Conduct at least an initial census and housing damage assessment before conducted may create an incentive for homeowners to damage announcing housing assistance schemes. their houses in order to receive the announced benefit, and result in multiple assessments and extensive processing of grievances. The lack of involvement in these early assistance policy discussions of the IFIs who may provide the inancing to government for reconstruction has been identi ied as an international coordination issue that needs to be addressed. This is one of the motivations for the efforts to harmonize assessment methods discussed earlier in this chapter. The parameters of the reconstruction policy. Two case studies of successful reconstruction policies are included below. While there is no template for a reconstruction policy, the chapters of this handbook represent the critical areas that need to be covered in such a policy, and each provides relevant advice for policy makers. Particularly important are the chapters in Section 1, Assessing Impact and De ining Reconstruction Policy, and Section 2, Planning Reconstruction. The scope of the policy, and the corresponding handbook chapters, include the following. Policy section Content Reference in handbook Background and Context Context for reconstruction Overview of the response and early recovery. Roles and Chapter 1, Early Recovery: The Context for responsibilities of agencies involved to date. How early Housing and Community Reconstruction decisions and actions will be coordinated with reconstruction policy Assessment of damage Concrete definition of the scope and nature of the disaster Chapter 2, Assessing Housing Damage and and disaster impacts that the reconstruction policy needs to Setting Reconstruction Policy address Goals and objectives Physical, social, and economic goals and objectives of the Chapter 2, Assessing Housing Damage and reconstruction program Setting Reconstruction Policy Based on the initial damage and loss assessment and sector- Chapter 4, Who Gets a House? The Social specific assessments as they become available Dimension of Housing Reconstruction Institutional Strategy Program implementation Definition of the institutional arrangements for managing Chapter 13, Institutional Options for reconstruction, including the role of local governments Reconstruction Management NGO/CSO role and coordination Definition of the role of international, national, and local NGOs Chapter 14, International, National, and Local and CSOs in reconstruction, and mechanisms for coordination Partnerships in Reconstruction Financial Strategy Housing assistance scheme Special measures to address the housing and reconstruction Chapter 4, Who Gets a House? The Social requirements of vulnerable households and groups Dimension of Housing Reconstruction C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 31 Policy section Content Reference in handbook Financial mobilization, tracking, Sources of financing and means for coordinating and Chapter 15, Mobilizing Financial Resources and management monitoring expenditures and results and Other Reconstruction Assistance Financial assistance delivery and The financial assistance concept and the assistance scheme Chapter 22, Financial Management in World materials facilitation for different categories of the affected population Bank Reconstruction Projects The policy for the facilitation and provision of construction Chapter 23, Procurement in World Bank materials at the locality or household level Reconstruction Projects Community Participation Communications strategy The modes of communication to consult with affected Chapter 3, Communication in Post-Disaster communities and the general public, to receive feedback and Reconstruction suggestions, and to share reconstruction decisions and updates Community organization and How households and communities will be mobilized to Chapter 12, Community Organizing and participation participate in reconstruction. The roles of households and Participation communities in reconstruction Reconstruction Approach Relocation policy The basis for relocation decisions, including criteria, decision Chapter 5, To Relocate or Not to Relocate process Reconstruction approach (Defined The role of households, contractors, and agencies in Chapter 6, Reconstruction Approaches in consultation with the affected reconstruction households) Need for transitional or temporary shelter Land use and infrastructure Improving the disaster resilience of land use and construction Chapter 7, Land Use and Physical Planning reconstruction The regulatory framework to ensure the safety of Chapter 8, Infrastructure and Services reconstruction and the allocation of responsibilities between Delivery the public and private sector for compliance "Build back better" in housing The strategies to apply "build back better" principles in housing Chapter 10, Housing Design and Construction reconstruction reconstruction Technology Chapter 11, Cultural Heritage Conservation Grievance redressal Information on the means by which households and Chapter 15, Mobilizing Financial Resources affected communities may have their grievances heard and and Other Reconstruction Assistance addressed Technical assistance and training The nature of the technical assistance and training to be Chapter 16, Training Requirements in provided to local governments, communities, and households Reconstruction Risk Management Environmental management How the environmental impact of the disaster will be Chapter 9, Environmental Planning Environmental and social addressed and the environmental, social, and economic impact Chapter 21, Safeguard Policies for World safeguard policy framework of reconstruction and relocation will be minimized Bank Reconstruction Projects Disaster risk management Means for establishing standards for disaster risk reduction in Part 4, Technical References, Disaster Risk reconstruction for relocated and unrelocated communities and Management in Reconstruction mitigation measures to be employed Anticorruption strategy Define the measures to be taken by government other agencies Chapter 19, Mitigating the Risk of Corruption to minimize corruption Monitoring and evaluation The information and communications technologies to be Chapter 17, Information and Communications employed in reconstruction Technology in Reconstruction The means to ensure transparency, permit the reporting of Chapter 18, Monitoring and Evaluation any perceived corruption or other wrongdoing, and involve stakeholders in monitoring progress For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 32 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Risks and Challenges No single competent government agency designated to manage assessments after the disaster; leaving it instead to individual agencies. Government overpromising in the early days after the disaster before suf icient information is available. Inaccuracies in the damage assessment caused by the lack of baseline data (original condition of infrastructure and housing) or inconsistencies of data from various sources. Proliferation of assessments and the resulting assessment fatigue among the affected population. False expectations being created in the assessed population. Failure of agencies to share assessment data. Inadequate assessment quality because assessors are not suf iciently trained. Local requirements not re lected because community or other local data are not incorporated in national assessments. Needs of vulnerable populations not highlighted in assessments. Owners who damage their own housing in order to qualify for housing assistance because the assessment of housing damages takes place after the assistance scheme is announced. Assessment data not objectively analyzed. Assessments carried out simply to justify agency decisions, not to inform them. Reconstruction policy that does not take sector investment plans and long-standing needs into account. Lack of stakeholder consultation in the process for establishing the reconstruction policy. Recommendations 1. Conduct multi-donor assessments whenever possible, using standardized assessment methodologies. 2. In designing the assessment and data collection, take into consideration how the information will be used and shared, the biases of the assessors, and the need for training. 3. Treat national and sector-speci ic data collected during assessments as public information, while respecting principles of con identiality, to reduce duplication of data collection efforts. 4. Evaluate the needs of different groups and individuals (such as men, women, the elderly, and children) during assessments. Seek out marginalized groups and evaluate their needs and interests as well. 5. Advocate for a Communication-Based Assessment at the beginning of the project cycle to ensure that the reconstruction program is designed based on its results. 6. Consult with the community regarding the need for information and consider using community- led assessments to complement the information gathered from traditional assessment methodologies. 7. Establish a clear system of damage categories for housing, and try to carry out housing damage assessments before announcing the housing assistance scheme. 8. Observe the warnings regarding the announcement of reconstruction policy, such as the need to consider the impact of short-term shelter decisions on longer-term reconstruction. 9. Understand that the reconstruction policy should be one of the primary messages to be passed along to the public through the communication plan. Remember that what's important is what people hear, not what is said to them. 10. If reconstruction is not going well, or there are concerns about institutional capacity for reconstruction, conduct a housing sector assessment to identify whether assistance may be needed. Case Studies 2004 Indian Ocean Tsunami, Tamil Nadu, India Tamil Nadu State Tsunami Reconstruction Policy The 2004 Indian Ocean tsunami had a widespread impact on the ishing villages and towns along the coastline of Tamil Nadu, India. The state had never seen a calamity of this nature. More than 8,000 lives were lost and 1 million people were affected. Most of the 54,000 housing units affected were destroyed. More than 400 schools, health clinics, and other public buildings were destroyed and many more were damaged, as were roads and other infrastructure. The impact was spread over 13 districts and 350 towns or villages. The entire coastal economy of Tamil Nadu was affected. The Tamil Nadu State Tsunami Reconstruction Policy19 addressed a wide range of issues, focusing 19. Government of Tamil Nadu, 2008, "Tiding Over Tsunami, particularly on the environment, livelihoods, and shelter, and included all the measures the government Part II," http://www.tn.gov.in/ of Tamil Nadu was taking to bring the lives of the affected people back to normal. The responsibility tsunami/TidingoverPART2.pdf. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 33 for managing reconstruction was assigned to a Project Implementation Unit within the Revenue Administration, Disaster Management, and Mitigation Department of the state government. Numerous state agencies and the federal government collaborated in the effort. The cost of rebuilding in Tamil Nadu was estimated at US$880 million. Of this, US$566 million was borrowed from IFIs. Assessment. A questionnaire was developed by the state and administered by district of icials to ascertain the number of affected families in each zone, the type of construction, the ownership of the structures, the number of family members, etc. The survey covered 278,000 families who lived within 1,000 meters of the coast. The survey included families whose houses were not damaged, but whose livelihoods had been affected by the tsunami. The survey results formed the basis of the choices before government in terms of the area, the average size of houses to be built, the general nature of construction, and the approximate cost. The survey showed that tenancy was an issue mainly in the urban areas, so a policy decision on this aspect of reconstruction was postponed until further input could be gathered. Housing sector policy. Within two weeks of the tsunami, the Revenue Administration, Disaster Management, and Mitigation Department had issued a government order20 that announced a comprehensive village development model. The order promoted private participation in reconstruction, limiting the role of government to providing land, speci ications for housing, and common amenities. The order included the parameters for the projects and solicited NGO proposals. Media advertisements were issued calling for support. The speci ic policies established to guide reconstruction included extensive consultation with stakeholders, community choice on relocation decision, agency-driven reconstruction with NGOs providing resources and assisting communities, a strong role for district governments with support from the state, adherence to coastal zone regulations, safe rebuilding according to building codes and guidelines, and inancial assistance for a core house with a choice of models. Disaster risk reduction. Government acknowledged that most of the buildings damaged by the tsunami were built with construction practices that were not appropriate for the area, given the hazards it was exposed to. To mitigate future risks, the reconstruction policy for housing and infrastructure would strongly promote use of disaster-resistant technologies. The decision about whether the community would relocate was left to the community itself. Relocated communities were given free parcels of land in urban and rural areas. Assistance packages. Assistance was provided by NGOs and was the same for all. The amount was suf icient to provide a core house and basic infrastructure. This approach was used both for equity purposes and because the property records would not have permitted a fair valuation of the property that was lost. The state decided to adhere to the Coastal Regulatory Zone regulations under the Environment Protection Act, which regulate building activity up to 500 meters from the high tide line. The only exceptions were for ishers, who were allowed to stay if not willing to relocate beyond 200 meters, but who were not allowed to rebuild, only repair, their houses, and were not given housing assistance. Building codes. The state relief commissioner's of ice set up a committee of experts to study the National Building Code and the guidelines developed in Gujarat after the earthquake. They suggested modi ications based on the windy conditions prevailing along the Tamil Nadu coast. These were used to develop the core house designs. Institutional arrangements. While owner-driven construction was permitted, in the end, NGOs, donors, and government built most of the housing with a high level of community involvement. District governments were given responsibility for coordination of the reconstruction, with signi icant inancial and technical support from the state. NGOs of various kinds were invited 20. Government of Tamil Nadu, 2005, "Revenue (NC.III) Department, to provide reconstruction resources and to assist communities. In those cases where NGOs or Government Order Ms.No.25," http://www.tn.gov.in/gorders/ corporations did not come forward, reconstruction was coordinated by district collectors and rev/rev-e-25-2005.htm. inanced by government after organizing the families into self-help groups. 34 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The government of Tamil Nadu committed itself to carrying out the following measures. Commitment Significance 1. Temporary Government provided a grant of Rs 8,000 (US$180) for temporary shelters to be built by shelters government as well as by NGOs. 2. Core houses Instead of adopting "compensation" as the basis for entitlement, a core house was provided irrespective of the size of the original house. NGOs were asked to spend an average of Rs 150,000 (US$3,500) for a house of 325 square feet, plus infrastructure and livelihood activities. 3. Building codes The state Public Works Department developed plans for the model core houses and made them and guidelines widely available. Some were two floors. 4. NGO The state provided district officials with guidelines to assess the genuineness of the NGOs operating guidelines in the post-disaster environment and a model format for a detailed memorandum of understanding (MOU) between the district and the NGOs.21 Several respected NGOs reviewed the draft MOU and proposed clarifications. Local officials could make minor changes to suit local conditions. 5. Land The state provided funds to districts for land acquisition up to 200 percent of value in order to acquisition relocate owners from the coastal zone and other high-risk areas. There were no lawsuits by property owners. Land for relocated houses was provided by the state. EARL KESSLER Insurance and title. The housing assistance included payment for 10 years of property insurance on the new houses. The ownership of the houses passed to both the husband and wife after construction was completed. Communications with stakeholders. Several rounds of consultations were held by the districts with the community regarding the housing aspirations of the affected families, especially women. Five housing models were developed. When the original designs did not have a staircase, this was subsequently changed based on consultations. The results of assessments, the names of assistance recipients, the reconstruction guidelines, and the housing reconstruction policy were widely publicized and made available on the Web sites of the districts and states. 2001 Gujarat Earthquake, India The Gujarat Earthquake Reconstruction and Rehabilitation Policy When an earthquake measuring 6.9 on the Richter Scale struck Gujarat, India, on January 26, 2001, and was followed by more than 500 aftershocks, the effect was devastating and somewhat unexpected, given the geological characteristics of the location where it struck. Approximately 13,800 people died and approximately 167,000 were injured. More than 1.2 million houses were damaged or destroyed and nearly all the civic facilities--schools, hospitals, health centers, and public buildings--were damaged, some extensively. The utility infrastructure, including water supply, electricity, and telecommunications, was completely disrupted. The government of the state of Gujarat announced the Gujarat Earthquake Reconstruction and Rehabilitation Policy22 four months after the earthquake. The policy document, only 30 pages long, included the creation of the Gujarat State Disaster Management Authority. (It had actually been created in the month following the earthquake; the policy document formalized the entity). It proposed different reconstruction approach for urban and rural reconstruction and in different regions of the state, depending on their seismic zone. The cost of rebuilding was estimated at US$1.77 billion, of which more than half was to be borrowed from IFIs. Policy objectives. The stated objectives of the policy included building, retro itting, repairing, and 21. Government of Tamil Nadu, 2005, "MOU for Public Private strengthening houses and public buildings, and improving the earthquake resistance of what was Partnership," http://www.tn.gov. in/tsunami/MOU_for_Public_ rebuilt. Other objectives related to revival of the local economy, reconstruction of community and Private_Parthership.pdf. social infrastructure, health support to those affected by the earthquake, restoration of lifeline 22. State of Gujarat, 2001, "Gujarat Earthquake Reconstruction and major infrastructure, gender empowerment, social attention to the poor, implementation of and Rehabilitation Policy," a comprehensive disaster preparedness and management program, and the need for long-term http://www.gsdma.org/ pdf/Earthquake%20 mitigation of a variety of risks to which the population was exposed. Rehabilitation%20Policy.pdf. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 35 Guiding principles. Among the guiding principles of the policy were the need to involve people and representative institutions in decision making; the strengthening of civil society institutions; the importance of ensuring that the needs of the vulnerable were addressed; the necessity to give people information to make informed choices in rebuilding, including about disaster risk reduction; and the importance of involving the private sector, NGOs, and expert institutions in the reconstruction program. Lastly, it called for the highest levels of transparency and accountability in the reconstruction program through the use of appropriate institutional mechanisms and practices. Housing sector policy. The housing sector was de ined as encompassing debris removal, salvage, and recycling; construction of temporary shelters; reconstruction of more than 230,000 houses; repairs and strengthening of more than 1 million houses; and reconstruction and repairs of government staff quarters. The policy established that there would be a community-driven housing recovery process, under which earthquake-affected communities would be given a range of choices from complete or partial relocation to in-situ reconstruction. While acknowledging that there existed a predominant sentiment for minimal relocation, this policy gave communities the responsibility for deciding on their preferred option, using a participatory process. Selection of new sites would be undertaken with the support of village of icials and the NGO or other agency assisting the village. Other aspects of the policy included: delegation of technical and inancial powers for the housing reconstruction process to the district administration or Area Development Authorities; use of a community-based, owner-driven approach, with technical assistance from engineers provided by government, building centers, NGOs, etc.; and basing reconstruction on a tripartite partnership, including the government of Gujarat, the private sector (including NGOs), and the bene iciaries. The government of Gujarat committed itself to carrying out the following measures. Commitment Significance 1. Removal of rubble Included the commitment to environmental management and recycling to reduce construction costs 2. Setting up of temporary/interim Shelters for urban and rural homeless, provided through government agencies shelters or NGOs, or provision of shelter material 3. Full reconstruction of collapsed Provision of financial entitlement package adequate for core house, to which and demolished houses owners could contribute additional resources from their own resources or by borrowing 4. Repair of damaged units Provision of financial entitlement package for repair 5. Retrofitting of undamaged units Technical assistance to owners or cooperatives wanting to retrofit their properties for earthquake or cyclone resistance 6. Rebuilding of social and Reconstruction of minimum infrastructure for each village, including primary community infrastructure school, water storage, roads, electricity, and building of infrastructure at relocated site and repair/retrofit for in-situ reconstruction Assistance packages. The government of Gujarat announced ive packages of assistance for reconstruction, retro itting, and repairs of approximately a million houses destroyed or damaged in the earthquake. The amounts varied depending on the type of house, the extent of damages, and the location. Package 1: For villages in seismic Zones IV and V, where more than 50 percent of the houses collapsed Package 2: For villages in Zones IV and V, which opted for in-situ reconstruction Package 3: Villages situated in areas other than Zones IV and V, where individual houses were destroyed or damaged Package 4-A: Reinforced cement concrete frame structures (low- and high-rise) in urban areas, which include municipal corporations, urban development authority areas, and other municipalities (excluding Bhuj, Bhachau, Rapar, and Anjar in the Kutch District) Package 4-B: Load-bearing structures in corporation areas, urban development authority areas, and municipalities (except Bhuj, Bhachau, Rapar, and Anjar in the Kutch District) Package 5: Rehabilitation in the four worst affected municipal towns of Bhuj, Anjar, Bhachau, and Rapar in the district of Kutch, with a stress on urban town planning 36 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Urban rehabilitation. In Kutch, four towns--Bhuj, Bhachau, Anjar, and Rapar--suffered large-scale devastation. The collapse of a large number of multistory buildings and the limited availability of land in these towns called for a different strategy for rehabilitation. Congested inner towns were redeveloped, and the residents were given the option of relocation. A number of residents living in multistory buildings were asked to construct houses on new plots, in view of new town planning rules, development regulations, and a reduced loor space index. A number of public buildings were also proposed for relocation. The urban infrastructure was to be expanded and upgraded. Construction in these towns was owner-driven. Government facilitated the process by providing technical guidance, material speci ications, and technical supervision for building earthquake-resistant buildings. See the case study on the planning process for the redevelopment of Bhuj in Chapter 7, Land Use and Physical Planning. Resources American Society of Civil Engineers. 2009. "Post-Disaster Assessment Manual." http://www.asce. DANIEL PITTET org/inside/TCERP_Manual_Final.pdf. Bhatt, Mihir R. and Mehul Pandya. 2005. Community Damage Assessment and Demand Analysis. Ahmedabad: All India Disaster Mitigation Institute. http://www.proventionconsortium.org/themes/ default/pdfs/AIDMI_ELS-33.pdf. ECLAC. Handbook for Estimating the Socio-economic and Environmental Effects of Disasters. Mexico: ECLAC. http://www.eclac.cl/cgi-bin/getProd.asp?xml=/publicaciones/xml/4/12774/P12774. xml&xsl=/mexico/tpl-i/p9f.xsl&base=/mexico/tpl/top-bottom.xsl. Global Risk Identi ication Program. http://www.gripweb.org/grip.php?ido=1000&lang=eng. IASC Emergency Shelter Cluster. 2009. LENSS Tool Kit, Field Version. Nairobi: UN-HABITAT. http:// http://www.unhabitat.org/pmss/getPage.asp?page=bookView&book=2738. IFRC. 2005. Guidelines for Emergency Assessment. Geneva: IFRC. http://www.proventionconsortium. org/themes/default/pdfs/71600-Guidelines-for-emergency-en.pdf. International Recovery Program Initiative on Early Recovery. "OCHA Disaster Response Preparedness Toolkit." http://ocha.unog.ch/drptoolkit/PPreparednessEarlyRecovery.html. International Strategy for Disaster Reduction (ISDR). 2006. "Words Into Action: Implementing the Hyogo Framework for Action Document for Consultation." http://www.preventionweb.net/english/ professional/publications/v.php?id=594. Kelly, Charles. 2008. Damage, Needs or Rights? De ining What Is Required After Disaster. Ben ield UCL Hazard Research Centre Disaster Studies and Management Working Paper No. 17. London: Ben ield UCL Hazard Research Centre. http://www.reliefweb.int/rw/lib.nsf/db900sid/FBUO- 7HWHG9/$ ile/Ben ield-Jul2008.pdf?openelement. National Development and Reform Committee. 2008. "The Overall Planning for Post- Wenchuan Earthquake Restoration and Reconstruction." http://en.ndrc.gov.cn/policyrelease/ P020081010622006749250.pdf. Tsunami Evaluation Committee. 2006. Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report. London: The Active Learning Network for Accountability and Performance in Humanitarian Action. http://www.tsunami-evaluation.org/. Tsunami Global Lessons Learned Project. 2009. "The Tsunami Legacy: Innovation, Breakthroughs, and Change." Banda Aceh: Tsunami Global Lessons Learned Project Steering Committee. http:// www.undp.org/asia/the-tsunami-legacy.pdf. United Nations Human Settlements Programme (UN-HABITAT). "Disaster Assessment Portal: Assessments for Disaster Response and Early Recovery." http://www.disasterassessment.org/ resources.asp?id=6&cid=1. This site includes a variety of assessment methodologies and other tools. World Bank. 2007. Tools for Institutional, Political, and Social Analysis of Policy Reform: A Sourcebook for Development Practitioners. Washington, DC: World Bank. http://go.worldbank.org/GZ9TK1W7R0. World Bank. 2008. The Political Economy of Policy Reform: Issues and Implications for Policy Dialogue and Development Operations. Washington, DC: World Bank. http://siteresources.worldbank.org/ EXTSOCIALDEV/Resources/Political_Economy_of_Policy_Reform.pdf. World Bank. n.d. "Guidelines and Sample Damage and Needs Assessments." http://go.worldbank. org/KWCRRCKA20. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 37 Annex 1 How to Do It: Conducting a Post-Disaster Housing Sector Assessment Having a coherent understanding of an affected region's pre- Objectives of a Housing Sector Assessment disaster housing and community development system and the The general objective of the assessment is to assist government likely impact of a disaster on this system is often essential for at all levels to improve the quality of outcomes from the developing an effective post-disaster housing and community response in the area of housing and community reconstruction. reconstruction strategy or for diagnosing what is going wrong if The assessment will increase the awareness of the agencies reconstruction has begun and local actors are not satis ied with involved with reconstruction of the strengths and weaknesses the results. Local development, housing, and land tenure issues in the local housing sector and land administration systems and that emerge in the aftermath of a disaster are often not new, show how they may affect recovery, while providing speci ic but the disaster will exacerbate the weaknesses in the system, recommendations on short- and medium-term actions to be especially when there are challenges such as widespread taken to improve the effectiveness of reconstruction program poverty, extensive informality in the housing system, or a large implementation that will contribute longer-term strengthening number of housing units that need to be reconstructed. of the housing sector and improvements in the quality of the housing that is reconstructed. When to Conduct a Housing Sector Assessment A housing sector assessment should be carried out during The speci ic objectives of the assessment include the following: the irst few weeks after a disaster in parallel with other A. Provide a comprehensive analysis of the country's policy assessments and should be used in the formulation of the and institutional frameworks for the housing sector and the overall reconstruction policy and longer-term housing sector land administration system, with particular emphasis on: reform.1 The importance of a housing sector and land tenure the adequacy of these frameworks under normal analysis may not be recognized early on, as people assume conditions and their ability to be adapted to the that the recovery process will not conform to "normal" demands of the post-disaster housing reconstruction processes, but instead will be carried out using a series of process; "special" arrangements. However, this is seldom the best the implications of any relevant policies announced or most sustainable reconstruction approach. The focused, since the disaster; humanitarian period of post-disaster reconstruction rarely the capacity of the organizations involved in the runs long enough, or provides suf icient resources, for full housing reconstruction; and recovery. As a result, the reconstruction process should be able the speci ic challenges that have already arisen, or to "run itself" after the formal reconstruction period is over. may be expected to emerge, as the post-disaster A more sustainable approach is one that improves on--but is housing reconstruction program is planned and still based on--normal reconstruction practices in the country. executed. Such a strategy also mobilizes local actors, such as small-scale B. Provide concrete and speci ic recommendations on builders, and gives them training and livelihood opportunities. how to improve the response to the disaster in such During this time, they can be enlisted in improving longer-term areas as: policy modi ications, institutional roles and construction practices. Therefore, helping government gain the responsibilities, coordination mechanisms, and needs for insight on how prior practices led to the disaster outcomes, and institutional strengthening, including capacity-building how they can be improved, can stimulate efforts to improve activities, inancial strategies, or other areas. "normal" housing construction policies, procedures, and conditions. Methodology for a Housing Sector Assessment The assessment should focus on the policy and institutional Critical Elements of the Housing Sector frameworks for housing and community reconstruction. The critical elements of the process by which housing It is not intended to be a housing damage assessment, and communities are constructed and reconstructed are although the extent and nature of the damage may affect the considered to be the following: (1) local governance, (2) land recommendations, so this data should be analyzed and taken into administration, (3) housing construction system and practices, consideration in the assessment. Similarly, while the principal (4) housing inance, and (5) local infrastructure construction area of concern is the reconstruction of permanent housing and operation. While this guidance puts relatively equal solutions for the affected population, not temporary shelter emphasis on all of these elements, one or more of them may solutions, the two cannot be analyzed in isolation. Therefore, the need to be emphasized in the assessment, depending on the consistency between the temporary housing strategy (if any) and prior conditions in the country. the permanent reconstruction strategy should be analyzed. Housing reconstruction takes place on a very local and even personal basis. The concerns and perspectives of local actors should have a strong in luence on the reconstruction approach. 38 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The consultants should use a variety of data collection Sources of Information methods to capture different types of information and social 1. Documentation. Previous studies of the housing sector perspectives, and it should have a bias toward capturing the should be reviewed and may serve as the starting point perspective of households, local government of icials, and other for this assessment. Key documentation includes, among local actors. A reconstruction approach not based on local others things, at the national level, disaster damage, loss, reality, and not seen as workable at the local level, is unlikely and needs assessments; pronouncements and policies to succeed. For that reason, it is suggested that the consultants related to the disaster; laws and other material related to reside in the disaster area while conducting the assessment. the legal framework for housing and land; and national policy documents; and, at the local level, local damage, Expertise Required loss, and needs assessments; registers of affected persons; Specialists should be hired to carry out this assessment, policy documents; land use plans and policies and related due to the complexity of the issues and the need to organize ordinances; capital investment plans; and procedures and interpret a wide range of information. The speci ic related to building permitting and inspection. expertise may vary, depending on the disaster situation. 2. Interviews. National and regional government of icials In general, a team of 5­7 people will be required to carry (including representatives from appropriate ministries); out this assessment in a timely manner. The team should municipal authorities (mayor, technical experts, public include members with expertise in housing policy, housing service organizations, counsel members); social leaders inance, post-disaster reconstruction, local government and social movement representatives; the affected administration, and local service provision. The team leader population and their representatives; locally active should have post-disaster housing reconstruction experience. international organizations; civil society organizations and One member should be responsible for handling poverty and NGOs; academic institutions; and representatives of the social safeguards issues, including the analysis of social policies private sector. related to housing provision for low-income and vulnerable 3. Observations. Time should be dedicated to observations populations and the differential effects of the disaster and the in the ield and to taking testimony from unof icial actors, reconstruction policies being proposed. both of which can reveal needs and problems that might otherwise be overlooked. A counterpart in government who understands the policy 4. Other. Collect and provide photographs and other issues related to the work and who can facilitate contacts documentation that contribute to illustrating the principal and access to information must be appointed. Ideally, this indings and/or supporting the conclusions of the person is supported by a technical committee that includes assessment. representation from the affected population. Scope of a Housing Sector Assessment Topic Issues A. Overview of the disaster and disaster zone 1. Present a list of the disaster-affected zones identified by local government jurisdiction. 2. Analyze the socioeconomic characteristics of the affected area, including income levels, economic base, quality of major and basic infrastructure. 3. Provide data for the disaster zones on distribution and type of housing and infrastructure damage, and numbers of housing units and population affected, by income level and other relevant social characteristics. 4. Provide maps of the disaster zones showing distribution of affected infrastructure, housing units, and population. 5. Analyze and describe the legal and institutional framework that defines the roles and responsibilities of the relevant agencies in reconstruction. Describe the lead agency responsible for reconstruction and any specific tasks identified for it related to local reconstruction. Include in an annex any relevant degrees, policy statements, announcements, etc. B. Policy frameworks and organizational arrangements General 1. With particular emphasis in the zone affected by the disaster, provide an overview of the roles and responsibilities of central, local, and any intermediate levels of government; the state of both operational and fiscal decentralization in the country; and the normal mechanisms for fiscal mobilization and distribution. 2. Describe the pre-disaster situation of the municipalities, including information on financial, human, and technical capacities. 3. Provide information on losses and damages of the municipality caused by the disaster, the functioning of the municipality after the disaster, and coping strategies. 4. Based on the roles and responsibilities defined in the legal framework, analyze the capacity and magnitude of local government to comply with its obligations. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 39 Topic Issues Land use 5. Summarize the principal elements of land use policy, particularly with respect to planning; land use regulation; subdivision of land; planning risk management; and the roles of the central, regional, and local governments. 6. Describe the framework for disaster risk management (DRM) as it applies to land use planning and regulation, and the effectiveness of its implementation. 7. Identify specific land use issues caused by the disaster, including the need for relocation of housing or infrastructure. Housing sector 8. Summarize the principal elements of housing sector policy, particularly with respect to housing construction and financing; and the roles of the central, regional, and local governments. 9. Analyze government policy concerning the provision of housing to low-income and vulnerable populations, including any subsidy programs or direct provision efforts that might be relevant to the reconstruction process. 10. Analyze and show graphically the normal process for land development and for both single- and multi-family housing construction, identifying common bottlenecks. 11. Describe the procedures for approving and issuing building permits for housing construction and improvement, especially as it relates to housing quality and DRM in housing design, materials, siting, etc., and the effectiveness of its implementation. 12. Analyze the engineering and non-engineered construction practices normally used in housing in the disaster zone, the practices for contracting construction, and the capacity of the construction industry. Local 13. Summarize the principal elements of policies that govern the provision of basic local infrastructure, particularly with respect to infrastructure operations and financing (both capital and operational), and the roles of the central, regional, and local governments or other entities. 14. Analyze the requirements and/or any programs already contemplated for post-disaster infrastructure reconstruction and the suitability of these programs for the reconstruction of local infrastructure in the communities affected by the disaster, for both in- situ reconstruction and relocated housing. Land 15. Summarize the principal elements of policies that govern the provision and ownership of land; especially with regard to the state ownership of the private market; the formal and informal institutional arrangements for sale, titling, registry, and inheritance of land; and the and tenure roles of the central, regional, and local governments or other entities. 16. Provide a typology of the official legal land tenure options in the country. 17. Describe particular local socio-cultural customs regarding land ownership and titling and any problems with land ownership and tenure commonly experienced before the disaster. 18. Analyze the impact of the disaster on these problems and any additional land tenure problems that have emerged since the disaster. This analysis in this and the prior item should cover problems related to the following issues: collective ownership; legal and illegal possession of private land; occupation of public land; tenancy, including problems related to inheritance and death from the disaster; land titling; land registration; loss of land from the disaster; rural versus urban land; and proof of ownership, including loss of records at the household or municipal level, among others. Housing 19. Analyze and describe the systems used to finance housing construction by different social classes and for both single- and multi- finance family housing and identify the impact of the disaster on this system. Include the use of property insurance if a system exists in the country. 20. Describe and analyze any financial assistance strategies announced or being contemplated by government to facilitate post- disaster housing reconstruction. Analyze the effectiveness of the strategies and their likely differential impact by type of housing, social class, or other relevant factor. C. Post-disaster reconstruction process 1. Present a chronological summary of the concrete steps that have been taken to provide temporary or transitional shelter and/or to mitigate the housing-related impacts of the disaster on the affected population, identifying the agency responsible and the source of funding. 2. Describe the coordination mechanisms established between the central, regional, and local governments to organize the reconstruction program or to address land tenure issues. 3. Analyze intermunicipal linkages and describe collaboration among different municipalities, noting whether these bonds existed before the disaster or were created as a response to it. 4. Summarize the role of NGOs in the shelter sector and their anticipated role in reconstruction. 5. Describe any financial strategy for housing and community reconstruction announced at the national or local level and analyze its implementation to date. 40 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Presentation of Findings and Recommendations An effective review process will help guarantee the success of For each topic above, the consultants should provide a the consultancy, and the consultants should take an active role systematic summary of their indings and corresponding in carrying it out, with assistance from government and the short- and medium-term recommendations that will improve sponsor of the consultancy. This may entail various meetings the outcomes of the housing reconstruction program. The with government, community, and other stakeholders; use recommendations should be grouped in the way that the of information technology; or other means to ensure wide consultants believe will make them the most understandable distribution of the draft report and collection of feedback. during the review process and, in the inal report, most useful Meetings may also be required once the report is inalized to for implementation. Once subject to an initial review, the more widely disseminate the indings and recommendations. recommendations should be presented in the inal report as a work plan that identi ies both the sequence of activities and the party or parties responsible for carrying them out. The work Annex 1 Endnote plan should include an initial budget for the implementation of 1. The assessment methodology proposed here is based on Land Ownership and Housing, the activities recommended. Final Report (Informe Final, Tenencia de la Tierra y la Vivienda), conducted in Peru to analyze the effect of the Ica/Pisco earthquake in 2008 by Centro de Estudios y Promoción del Desarrollo, under the supervision of UN-HABITAT and in collaboration with the Department for International Development and the Ministry of Housing, The work plan and budget form the basis of an ongoing Construction and Sanitation. dialogue between government and the organizations that are providing inancial support to the reconstruction program. Expected Results and Outputs The principal output is an in-depth housing sector and land tenure assessment for the disaster-affected area that contributes to a comprehensive understanding of strengths and limitations that are likely to in luence the post-disaster housing reconstruction process, accompanied by related recommendations regarding policy and operational reforms that should be implemented in the short and medium term. In the initial report, the consultants will present their strategy, plan, and schedule for the consultancy. The assessment should be presented in draft and inal forms. Time will be of the essence in carrying out this assessment. The following schedule allows the consultancy to be completed in approximately two months. The following time intervals are ambitious, but can be adjusted, depending on the particular situation. Outputs will include: an initial report, within 7 days of the contract, in which the consultants present any recommendations for modi ication of the scope of work as well as a work plan and schedule for the presentation of outputs; a draft report, presented within approximately 21 days of the acceptance of the initial report; and a inal report, presented within the earlier of 21 days of the receipt of comments on the draft report from the party or parties responsible for overseeing the assessment or 30 days of the presentation of the draft report. The draft and inal reports should be presented along with an executive summary or abbreviated version that can be widely circulated, in a language and format easily understandable by stakeholders. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 41 Annex 2 How to Do It: Assessing Post-Disaster Housing Damage A housing damage assessment is the necessary irst step sustained and therefore the types of technical interventions, that leads to the eventual reoccupancy of buildings and that technical expertise, and training that will be required in supports decisions about providing other housing solutions reconstruction; and (4) economic and social: provide data on after a disaster. The assessment process is made up of a the impacts of the disaster at the household level. predictable set of activities, and procedures for a number of them can be established ahead of the disaster in order to Developing an appropriate methodology for housing damage speed up the initiation of the post-disaster housing damage assessment is one of the most critical aspects of the post- assessment process. disaster response.1 The process must be made transparent and participatory to establish trust with the affected community and Beside demonstrating to citizens that the recovery period is to ensure that local knowledge is fully incorporated. It should beginning, housing inspections serve other purposes, including contribute to disaster risk reduction (DRR), social inclusion, and (1) public safety: identify whether houses can be fully or gender neutrality. The tools should be tailored to local conditions partially occupied, or must be vacated until reconstruction and be designed to ensure reliability and accessibility by the takes place (generally the result of a separate housing safety affected population for both collection and review of data. The inspection; see box, below); (2) planning: use the results to approach described here also has the bene it of providing a view quantify the funds, time, and other resources required for of the situation from various perspectives. While the content and recovery, particularly when damage to housing makes up a sophistication of the assessment tools will vary from one disaster large component of reconstruction; (3) technical: provide to another, it is recommended that all of the following tools be information about the speci ic types of damage that have been employed in most cases. Housing Damage Assessment Tools Tool How the tool is applied Output 1. Initial reconnaissance The initial reconnaissance entails a walk through the affected area to get a general sense Initial impression of types walk of the type, extent, and range of damages. The intelligence gathered at this stage will help and extent of damage. in the design of the household survey instrument and the damage classification system. Who does it? Assessors with engineers, local officials, and community members. 2. Habitat mapping2 Use habitat mapping to create a "bird's-eye" view of the disaster damage based on Visual representation of local information by identifying each house, locating it geographically, and providing an location of damaged and initial categorization of damage. The map shows how the damaged houses relate to undamaged houses and each other and to public buildings and common areas. Mapping can be carried out using initial damage categories. any technology, from hand drawing to high-resolution GIS data, so long as the needed List of properties, addresses, information is gained, although local information will be lost by using only a high-tech and relation to built approach. Information from the habitat map should be transformed into a list that is environment. cross-checked against a cadastre or the civil registry database. One mapping technology can also be used to validate another (artisanal mapping against the cadastre or GIS data). In a community with caste or other social distinctions, this activity can be conducted by sector and aggregated later. Who does it? Trained assessors, some of whom may be local officials and/or community members. 3. Village transect3 Use the village transect to identify patterns of housing damage and relate the damage Site-specific data and to settlement patterns, the local geography, environmental features, and other land relation of damage to uses. Elevation drawings or other visual tools can be used to convey the degrees and environmental features and types of damage as they relate to these features. This information is used to make land uses. decisions about environmental management, as well as relocation, resettlement, and the organization of the reconstruction process. Who does it? Trained assessors together with community members. 42 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Tool How the tool is applied Output 4. Household-level survey The household-level survey provides data for both administrative purposes (tenure of Detailed property and property, family characteristics, category of damage) and technical purposes (housing household data. materials, location and specific nature of damage, potential for repair). These data are collected on a standardized form tailored to the disaster, and the data are later entered into a database for the project. Several examples of standardized short and long forms are available.4 As part of this process, building damage levels are assigned. A wide range of persons can conduct the survey, if properly trained. However, even if engineers, architects, or building inspectors are brought in to conduct the surveys (their involvement is strongly recommended), they must be sufficiently trained and tested on the use of the survey instruments to ensure consistent results across surveyors. Involving in the surveying those who will later train builders is strongly recommended. The assessment must explain the physical mechanisms that caused the damage in order to provide data for reducing the vulnerability in designing reconstruction. Who does it? Trained assessors (chartered surveyors, engineers or architects) together with local officials and/or designated community members. 5. Photographic Create a photographic database of each damaged house, ideally with the owner present Visual documentation of documentation in the photo. This helps to validate other data and can serve as the baseline for a visual damage at the household monitoring system for the reconstruction process.5 Who does it? Photographers trained level. in the documentation process (can be local). 6. System to number, If no numbering system exists for lots in the affected communities, create a simple Universe of numbered and classify, and label temporary numbering system for the purpose of managing the reconstruction process classified houses. buildings and assign numbers to houses during the household survey. Who designs it? Local officials with community input. Develop the classification system6 for levels of damage and train the surveyors in its use. Generally, there should be no more than three categories. The surveyors should be sufficiently trained and tested in the use of the classification system to ensure consistency in its application. Who designs it? Engineers/building surveyors with local input. Building Safety Inspections Building safety inspections are a public safety measure that is taken very soon after a disaster, to reduce the risk of death and injury to users, residents, and passersby due to building collapse, falling interior or exterior materials and equipment, or other unsafe conditions. They are more necessary in urban contexts where population is dense and buildings have multiple stories. A placard is commonly affixed to each house once it has been inspected. The placard shows that the house has been surveyed and warns residents and others if there are limitations on its use. A common labeling system uses green/yellow/red placards corresponding to the level of risk. The use of local language and/ or visuals will be necessary in contexts where illiteracy or multiple languages are found. Public officials or private sector volunteers (engineers, inspectors) may carry out the inspections, but, as in the case of damage assessments, inspectors should be sufficiently trained to produce predictable results. Safety inspections are provisional and are not meant to provide ATC-20/45 Post-Disaster Building Placards information about the value of the damage or the building's potential Source: Japan Council for Quick Inspection of Earthquake Damaged Buildings, for being repaired. This information is gained during the housing n.d., Post-Earthquake Quick Inspection of Damaged Buildings. damage assessment and/or later engineering studies. C H A P T E R 2 : A S S E S S I N G DA M A G E A N D S E T T I N G R E C O N S T R U C T I O N P O L I C Y 43 Annex 2 Endnotes Next Steps 1. Vivek Rawal and Dinest Prajapati, 2007, "Assessing Damage after Disasters: A It is important that the data collected via the assessment Participatory Framework and Toolkit" (Ahmedabad: Organization for Development Education [UNNATI]), http://www.unnati.org/pdfs/books/damage_assessment_toolkit. process be properly validated from secondary sources, pdf. The UNNATI tool kit also provides methodologies for assessing damage to including through consultation with the residents and community infrastructure and the environment, and impacts on human life, livelihoods, health, and psycho-social status. This "How to Do It" section covers only housing. owners. Given its potential value, the data should be entrusted 2. Common participatory appraisal methods can be applied in carrying out this activity. 3. A transect is a line following a route along which a survey is conducted or observations to professionals in data management to ensure that their are made. A transect is used to analyze changes in human and/or physical reliability and safety are preserved. (Remember that because characteristics from one place to another. An urban transect usually follows one or more streets and will show changes in land use; the nature of buildings, such as houses this data will form the basis of assistance schemes, there may and shops; or features such as schools, churches, community centers, and parks. A be incentives to access and manipulate it, especially once the rural transect might follow a road, a section line, or a stream, and may show the kinds of crops in adjoining ields, farm buildings, vegetation, or changing features along a assistance scheme is announced.) riverbank. For an explanation of the use of the transect in urban planning and zoning, see http://www.newurbannews.com/transect.html. 4. See Applied Technology Council, "ATC-20 Procedures for Post-Earthquake Safety Depending on the construction technology in the area, Evaluation of Buildings" and companion "ATC-20-1 Field Manual: Post-Earthquake Safety Evaluation of Buildings, Second Edition," "ATC-20-2 Rapid Evaluation Safety engineering and architectural expertise will likely be needed Assessment Form," ATC-20-2 Detailed Evaluation Safety Assessment Form for to translate the assessment data into estimates of time and Earthquake Assessment"; "ATC-45 Field Manual: Safety Evaluation of Buildings after Wind Storms and Floods"; "ATC-45 Rapid Evaluation Safety Assessment Form"; and materials required to carry out at least minimum safety repairs. ATC-45 Detailed Evaluation Safety Assessment Form, https://www.atcouncil.org/index. php?option=com_content&view=article&id=63&Itemid=80. In addition to repairs, the program may cover retro itting 5. A good example of a household-level system for monitoring reconstruction is the of buildings at risk of future damage. This work should be Yogyakarta, Indonesia, reconstruction. Java Reconstruction Fund, "Community-Based Settlement Reconstruction and Rehabilitation Project for NAD and Nias," http://www. speci ied and the costs estimated as well. rekompakjrf.org (in Bahasa), and "Progress Report 2008, Two Years after the Java Earthquake and Tsunami: Implementing Community Based Reconstruction, Increasing Transparency," http://www.javareconstructionfund.org/ducuments/pdf/2008-07- Numerous critical activities can be initiated once the housing 07_JRF-2nd%20Progress%20Report_ENG.pdf. 6. See Chapter 9, Housing Design and Construction Technology, for a discussion of assessment has been conducted, the results analyzed, damage categories. recommended DRM measures identi ied, and cost estimates made. These include, among others: decisions regarding the reconstruction approach that government will promote, and the need for relocation and for transitional shelter options to be provided; design of the inancial assistance strategy; determination of technical assistance requirements for builders; design of the training program for builders and construction inspectors; and design of the communications plan related to the assistance program and DRR measures. Chapter 16, Training Requirements in Reconstruction, explains how housing damage assessment data are used in developing training for builders. The housing assessment process does not necessarily eliminate the need for individual homeowners to hire engineers, contractors, or both to provide speci ications and cost estimates for their speci ic reconstruction projects, particularly for engineered buildings. Preparing for the Next Disaster In anticipation of a future disaster, central and local governments can establish many of the tools used in the housing damage assessment and safety inspection processes, including mapping and assessment methodologies, design of survey instruments, design and printing of placards, procedures and systems for the management of statistical and photographic databases, and a reconstruction monitoring system. 44 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Assessing Damage and Defining Reconstruction Policy 3 COMMUNICATION IN POST-DISASTER RECONSTRUCTION Guiding Principles for Communication in Reconstruction This Chapter Is Effective communication in a reconstruction project is not about what governments and project Especially Useful For: managers "say," but what bene iciaries "hear." Policy makers Two-way information low builds trust, consensus, and active participation, key factors Lead disaster agency for positive outcomes in development programs, and limits the potential for setbacks and Communications specialists misunderstandings. An understanding of people's perceptions is crucial to designing a communications strategy since these perceptions can dominate behavior, whether or not it seems rational to an outsider. The cultural and social context affects communications. Inadequate or improper understanding of this context can create risks to project implementation. The largest bene its from communication are realized when it is made an integral part of a development or reconstruction project from the irst day. Communication experts should be at the table when decisions about reconstruction are made, giving them access to the information they will need to develop the external messages that support the desired outcomes. The communication campaign is always a work in progress that will need to be adapted as additional input is received from stakeholders and results on the ground are monitored and evaluated. Introduction The task of rebuilding homes and communities is complex, challenging, and fraught with potential pitfalls. In post-disaster situations the status quo shifts constantly, a challenge that makes strategic communication a crucial element in the response and reconstruction environment. Two-way information low facilitates recovery and limits the potential for setbacks and misunderstandings. Good communication also helps ensure understanding and buy-in from governments, agencies involved in reconstruction, and the affected population. The messages that governments and project managers send out to the affected community about reconstruction have less in luence over how the community behaves than the messages these communities receive, whether from government or other sources. In other words, if project leaders and communication specialists do not engage stakeholders in the process, they will not be able to formulate messages that will be understood by the people they want to help and the results may be unpredictable. Strategic communication builds trust, consensus, and active participation, key factors for positive outcomes in development programs. It promotes credibility, transparency, legitimacy, and ownership for the project and ensures that the right messages are reaching all relevant stakeholders.1 Particularly in a post-disaster situation, good communication is the foundation for acceptance, sustainability, and mutual understanding when rebuilding people's lives. This chapter shows why communication should be initiated as early as possible in reconstruction projects and 1. World Bank Independent provides project managers, partner organizations, and governments with tools and guidelines for Evaluation Group, 2006, Hazards of Nature, Risks to Development, development and carrying out a successful communications strategy. The communications strategy (Washington, DC: World Bank), used after the 2005 North Pakistan earthquake is use to illustrate many of the points made in the p. 116, http://www.worldbank. org/ieg/naturaldisasters/docs/ chapter. natural_disasters_evaluation.pdf. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 45 Key Terminology Communication Communication encompasses all forms of human interactions, from the interpersonal to the mediated, and from the one-way linear flow to the two-way dialogic process.2 For development purposes, communication components include (1) external communication, (2) media relations, (3) grassroots communication, (4) institutional coordination, (5) capacity building, (6) community development, and (7) coordination with program implementation units. Types of A Communication-Based Assessment (CBA) is an assessment in any sector that communication uses a variety of communication techniques to detect political risks, contextual issues, assessments and perceptions in that sector that are not easily recognized by a normal assessment. The World Bank emphasizes the need for a CBA at the beginning of the project cycle. Although a CBA can be performed at any stage of the project, its value is highest when conducted early. A CBA uses two-way communication techniques (dialogue, focus groups, open questions, discussion groups) and generally provides qualitative findings. It takes about two weeks to conduct. A Communication Needs Assessment (CNA) is carried out to analyze the communication sector and understand its capacity and common practices. It focuses only on the media environment, infrastructure, communication policies, capacities, gaps, information flow, and networks. A CNA is part of a CBA. Key Decisions 1. Government should decide on the lead agency to develop and coordinate the post-disaster communications strategy and assign staff to carry it out. Other public agencies and levels of government may also designate focal points for communications activities. 2. The lead communications agency should decide with the lead disaster agency whether there is a need for technical assistance or institutional strengthening in communications, how the communications strategy will be inanced, and whether and how to mobilize additional resources. 3. The lead communications agency should decide with the lead disaster agency whether communications should be included as an element of the initial post-disaster assessment. 4. The lead communications agency should decide what assessments will be conducted before de ining the communications strategy. 5. The lead communications agency should confer with key stakeholders and the local private communications sector to agree on the role of the community, local governments, nongovernmental organizations (NGOs), and the private sector in de ining and carrying out the communications strategy. 6. Agencies involved in reconstruction and other key stakeholders should agree on the outcomes that are being sought from the community (disaster risk reduction [DRR], changes in construction practices, community participation, etc.) and on the messages and forms of communications that should be used. 7. The lead communications agency should collaborate with agencies involved in reconstruction and other stakeholders to design the monitoring and evaluation (M&E) plan for the project communications strategy and agree on feedback mechanisms to be used during reconstruction. 2. Paolo Mefalopulos, 2008, Development Communication Technical Issues Sourcebook, Broadening the Boundaries of Communication One-Way versus Two-Way Communication (Washington, DC: World Although the value of communication in development projects is widely recognized, it remains an Bank), p. 8, http:// siteresources.worldbank.org/ underutilized tool that often focuses too narrowly on informing people rather than communicating EXTDEVCOMMENG/Resources/ DevelopmentCommSourcebook.pdf. with them.3 3. Paolo Mefalopulos, 2008, Development Communication Sourcebook, Broadening the Two divergent conceptions of communication predominate in the ield. Boundaries of Communication One-way communication: the practice of disseminating information. Messages are put out to (Washington, DC: World Bank), p. 8, http:// inform recipients about the reconstruction process. siteresources.worldbank.org/ EXTDEVCOMMENG/Resources/ Two-way communication: a model that allows project managers, governments, and all other DevelopmentCommSourcebook.pdf. stakeholders to communicate with each other about the reconstruction process. 46 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S These may seem to be opposing approaches, but they're not. In post-disaster situations, the need for information dissemination and dialogue are both pressing. Project managers and government of icials should agree as early as possible on a communications strategy that includes­as appropriate to the communications culture of the location­both one-way and two-way elements. Communication should also be viewed as contributing to other goals of the reconstruction program, including transparency, accountability, good governance, community participation, consensus, and trust-building and as mitigating risks, such as corruption, excess bureaucracy, and political and reputational risks for agencies such as the World Bank and government.4 The case study on the Nation of the Cree, below, demonstrates how inadequate communications can delay a development project. Communication Capacity within Government Communications are used in various ways by government and the responsibility for communications may be found in various locations within the bureaucracy. The most visible locus for EARL KESSLER communications may be the public relations function of the Of ice of the President. Effective post- disaster communications is less about public relations and more about social communications; that is, meant not to simply publicize or create impressions, but to enlist certain groups to cooperate or change behavior. This distinction should be kept in mind when the lead communications agency is designated. Ideally, the lead communications agency will have the internal expertise to coordinate all communication activities, including assessment, strategy de inition, and implementation. However, assistance may be needed. Resource can include staff seconded from international organizations, or experts hired externally. The World Bank has development communication specialists who can help government conduct the CBA or CNA and de ine the communications strategy. Communication experts should be part of the reconstruction decision-making process. They should develop protocols for communication with the affected population and should have access to the information that will allow them to develop the external messages that will support the desired outcomes. The lead communications agency may also have a role in facilitating information low within government and among government, donors, and other agencies involved in recovery and reconstruction. By developing protocols for government communication with partners and maintaining institutional relationships, the agency can help improve the consistency among institutions of both the messages to the affected community and the actual implementation on the ground. It is important that government view the communication campaign as a work in progress that will need to be adapted as feedback is received from stakeholders and results are analyzed. The lead community agency should establish a knowledge-management system to process this feedback, which is then used to support timely corrective actions being taken on the ground. Case Study: 2005 North Pakistan Earthquake, Pakistan 4. Nobuya Inagaki, 2007, Assessing the Cultural Context before De ining Communications Strategy "Communicating the Impact of Communication for Development. Communities affected by the North Pakistan earthquake were spread out over 20,000 sq. km. of Recent Trends in Empirical mountainous and rough terrain. Most communication infrastructure, including radio and television, Research," (working paper No. 120, Washington, DC: World was damaged or destroyed. Within weeks, the Earthquake Reconstruction and Rehabilitation Bank), http://www-wds. Authority (ERRA) and the donor community realized that a large communication effort was worldbank.org/external/default/ WDSContentServer/WDSP/IB/2007 necessary to start an ef icient owner-driven rural housing reconstruction project. A CBA was /08/10/000310607_20070810123 306/Rendered/PDF/405430Comm conducted by ERRA with support from a communication specialist working with the World Bank- unic18082137167101PUBLIC1.pdf; administered Water and Sanitation Program in India. The CBA concluded that people would need and Larry Hass, Leonardo Mazzei, and Donal O'Leary, 2007, "Setting to be motivated to rebuild their lives and would have to be sensitized to new and safer methods of Standards for Communication building homes in this disaster-prone area. Survivors were rooted in a very traditional and--from and Governance. The Example of Infrastructure," (working an outsider's point of view--conservative lifestyle. Traumatized by high levels of mortality and paper, No. 121, Washington, DC: World Bank), http://www-wds. destruction, people feared that their value system was also threatened. The reconstruction strategy, worldbank.org/external/default/ therefore, had to address prejudices and fears over "new ways." WDSContentServer/WDSP/IB/2007 /08/10/000011823_20070810125 Source: Vandana Mehra, M. Waqas Hanif, and Moncef Bouhafa, 2008, "Strategic Communications and ERRA: Overall Approach," (Presentation, 218/Rendered/PDF/405620Setting February 28, 2008) and conversation with Vandana Mehra, May 2009. 018082137169501PUBLIC1.pdf. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 47 Communication-Based Assessments People will likely be affected by the disaster in many ways: lost homes; injured or dead family members, neighbors, and friends; destroyed livelihoods; food-insecurity and suffering from mental and physical health problems. These experiences will affect people's needs, opinions, and perceptions, which in turn will affect their ability to participate in the programs that will help them recover. A CBA is used to identify knowledge, perceptions, fears, and expectations of main stakeholders, and contextual and situational knowledge, much of which cannot be easily detected with other forms of assessment. An understanding of stakeholders' perceptions is crucial to designing a communications strategy since these perceptions can dominate behavior, whether it seems rational to an outsider, or not. A CBA captures this qualitative information and can help government and other agencies tailor the communications strategy for the reconstruction program. But more than that, it also provides knowledge that can be used to improve the design of reconstruction projects. Using this type of information helps ensure broader impact and sustainability of interventions and helps mitigate political and reputational risks. See Annex 2, Culture and Other Contextual Factors in Communication. The critical areas to analyze and understand in order to develop an effective communications strategy are listed brie ly in the following table. For detailed instructions on conducting a CBA, see Annex 1, How to Do It: Conducting a Communication-Based Assessment.5 Area to analyze Considerations Political risk, challenges, Includes such issues as perceptions of government's disaster response and plans, and opportunities and perceptions of how government and other service providers have performed since the disaster Stakeholder analysis Inventory and analysis of stakeholders who will be directly and indirectly affected by the reconstruction program Media, communications Analyzes the range of ways groups communicate formally with one another in the channels, and local society being assessed, as well as issues related to local capability and acceptability of capacity6 media institutions Social and participatory Provides an understanding of informal systems and community communications communication practices Who should conduct the assessment? A CBA can be conducted by communication specialists within the lead agency, outside consultants (hired locally or internationally), or quali ied members of a donor project team. National experts with communications experience in prior emergencies may be available, even if they are no longer acting in an of icial capacity. Timing the assessment. World Bank research shows clearly that the largest bene it of strategic communication is gained when communication is considered an integral part of the project or program from its inception.7 Ideally, a CBA is conducted as an integral part of the initial multi-sector damage and loss assessment. When the CBA is conducted at a later stage or separately from the initial assessment, governments and project managers should be prepared to make revisions later so that the 5. Paul Mitchell and Karla Chaman- Ruiz, 2007, "Communication- recommendations of communication specialists can be implemented. Various assessment methodologies Based Assessment for Bank Operations," Working Paper No. are described in Chapter 2, Assessing Damage and Setting Reconstruction Policy. 119 (Washington, DC: World Bank), pp. 20-30, http://www-wds. worldbank.org/external/default/ Time pressure will be great and key actors may consider communications a peripheral concern. Be WDSContentServer/WDSP/IB/20 aware that a focus on speed and physical damage can be costly if perceptions, knowledge, attitudes, 07/08/10/000310607_2007081 0124552/Rendered/PDF/405610 and expectations are not taken into account. Communic18082137165701PUB LIC1.pdf. 6. This element of the assessment Designing the Communications Strategy is the CNA mentioned in the key de initions. Once the CBA is completed, the objectives of a communications strategy should be formulated. The 7. Paolo Mefalopulos, 2008, Development Communication indings of the CBA may produce a numerous objectives that need to be pursued to achieve the Sourcebook, Broadening the project goals. However, they might not all need to be pursued at the same time. Boundaries of Communication, (Washington, DC: World Bank), p. 9, http://siteresources.worldbank. The communications strategy for a program or project should answer the following questions: org/EXTDEVCOMMENG/Resources/ DevelopmentCommSourcebook.pdf. Which audiences need to be reached and which stakeholders need to be engaged? What is 48 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S the required behavior change? What messages are appropriate? Which channels/tools of communication will be most effective? Over what time frame will implementation take place? How will implementation of the communication strategy be monitored and evaluated? Implementation includes all activities necessary to engage stakeholders (for example, design, production, and distribution of communication materials and training and hiring of staff).8 When task managers Who should design the strategy? The communication capacity of the lead communications agency were asked what needs to be evaluated and, if necessary, complemented by hiring staff or acquiring additional can be done to services, whether of outside consultants or staff on secondment from other agencies. An experienced increase ownership strategic communication specialist should draft and design the strategy in cooperation with project of disaster prevention managers and local counterparts with experience in the disaster ield. It is advisable that the communication specialists who conducted the assessment be involved in designing the strategy. and mitigation components in Throughout the design phase, the lead communications agency should consult closely with natural disaster- communities to determine whether the strategy is addressing the right audiences and stakeholders related projects, they with the right messages. The steps and associated activities and tools in the design of the mentioned "Develop communications strategy are shown in the following table. good communication Throughout the design phase, the lead agency should consult closely with communities to determine strategies" more often whether the strategy is addressing the right audiences and stakeholders with the right messages. than any other action. The basic steps in designing the communications strategy are the following. World Bank Independent Evaluation Group, 2006, Hazards of Nature, De ine and formulate the objectives (SMART: speci ic, measurable, achievable, realistic, and Risks to Development. timely) and then transform those objectives into outcomes. De ine primary and secondary stakeholders/audiences. Evaluate whether the changes sought are related to awareness, knowledge, attitudes, behaviors, mobilization, collaboration, or mediation. See Chapter 16, Training Requirements in Reconstruction, to understand the importance of communications in builder training programs. De ine whether the communication approaches/tactics are linear, interactive, or both. Select the appropriate media from among those available. Design key content/message and determine the most effective way to package it. De ine realistic results for the strategy and develop a means to monitor and evaluate progress toward their achievement. Implementing the communications strategy. A Communications Action Plan (CAP) guides the implementation of the communications strategy. The CAP covers institutional coordination, media relations, grassroots communication, capacity building, external relations, and coordination with program implementation units (environmental, resettlement unit, etc.). The CAP details the production, training, hiring, budgeting, and timing of all initiatives. The nature of a post-disaster intervention will lead to overlaps and doubling of messages. Lessons learned show that too much communication is better than too little. However, retracting or correcting information can be dif icult. "Silence" promotes rumors that can be exploited for political or economic reasons, which can lower community participation levels. The case study, below, on three earthquakes in Iran shows how a carefully planned community-based communications program overcame public unrest over the perceived lack of information from government. A system to collect feedback should be implemented as part of the plan. Messaging, audiences, and tools will have to be adapted according to feedback from bene iciaries and implementing agencies. Agencies should also share the feedback they are getting. In the case of the Pakistan earthquake, the need for internal communication was quickly recognized, and a meeting schedule, knowledge management cells, and workshops were held to promote unity and synergies among all partners. 8. Paolo Mefalopulos, 2008, Development Communication Who should implement the strategy? Depending on the institutional situation, a wide set Sourcebook, Broadening the of actors may be involved in implementing the communications strategy and tasks should be Boundaries of Communication (Washington, DC: World distributed to take advantage of the capabilities of various actors while being cost effective. The lead Bank), p. 129, http:// siteresources.worldbank.org/ communications agency will be in charge of the overall approach and budget for the campaign. This EXTDEVCOMMENG/Resources/ agency is likely to de ine scopes of work for any outside services hired and to oversee procurement. DevelopmentCommSourcebook.pdf. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 49 The Communications Action Plan for the 2005 North Pakistan earthquake9 Activity Details of approach 1. Review and confirm objectives Motivate and make people aware of available assistance including eligibility Ensure that people build better/earthquake resistant houses Ensure that people know about training and information tools to qualify for assistance 2. Review and confirm primary and Affected population, households secondary audiences 3. Activities and Approaches Advertisement in print media and electronic media What activities are needed (media Media coverage production, message design, air time Media PR booking, translation, etc.) Road shows (live programs in affected areas) Billboards, posters, brochures (multilingual) Social mobilization with events at mosques, etc Helpline, website Information kiosks Grievance redress mechanism (helpline numbers -- an excellent two-way communication tool with beneficiaries providing valuable feedback, resulting in resolution turnaround within a week) Village reconstruction committees Workshops and seminars 4. Resources needed (human and Post-Earthquake Public Information Campaign: US$1.8 million (little more than 1% of the housing reconstruction material total budget (US$1.4 billion) as of November 2007 Experts in audiovisual design and WSP/World Bank communication specialist provided client support to kick start a public information campaign production (experts in training, (including hiring firm for design and dissemination) related materials, etc.) The World Bank communication specialist worked with counterparts of the ERRA the central institution that was tasked with the response Outsourcing versus capacity building. Due to limited time (approaching winter and thousands still without shelter) the implementing agency hired skilled communication staff internally A knowledge management unit was established after about one year, headed by a senior manager and 5-6 researchers and writers Training sessions were held for government communications staff in media relations, interviews, case studies, presentation, and community participation 5. Party responsible (action promoter) ERRA established by the Pakistani government Who is the source and initiator for the action? 6. Time frame Phase 1: General messages on policy and rural housing program Sequence and time needed for each Phase 2: Motivate and mobilize people to access grants by rebuilding in better ways activity Phase 3: Advanced messages on training for safe reconstruction and culturally sensitive behavior change 7. Expected results from strategy Affected Population: New and safer houses Adoption of new building behavior Feeling informed of reconstruction project Developing ownership Government, partners, donors, etc.: Functioning communication protocol Conducting and ongoing communication campaign to support the flagship rural housing program 9. Paolo Mefalopulos, 2008, Development Communication Sourcebook, Broadening the Boundaries of Communication (Washington, DC: World Bank), pp. 129-134, http:// siteresources.worldbank.org/ EXTDEVCOMMENG/Resources/ DevelopmentCommSourcebook.pdf. 50 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Depending on the scope of the disaster, the lead communications agency might delegate the distribution of speci ic messages to local organizations. For example, implementation at the grassroots level could be done by local NGOs partnering with local government or by an advertising agency hired to produce and distribute communications material in speci ic areas. Communities might be asked to select representatives or form committees that will function as intermediaries with their peers. Religious or tribal leaders may agree to distribute messages in meetings and through social networks. Case Study: 2005 North Pakistan Earthquake, Pakistan Ad Hoc Communications Precede a Communications Action Plan In the aftermath of the devastating 2005 earthquake in Pakistan, ERRA and international donors quickly realized the immediate need for communicating with the surviving population, but also recognized that there was little time for developing a proper plan. The level of destruction and the dif icult terrain made it hard to disseminate information and to engage with bene iciaries. The lack of information low in both directions led people to feel frustrated over a perceived slowness in the response. To bridge this gap, the Pakistani military used helicopters to reach remote areas to distribute information to bene iciaries and to assist with the initial needs assessment. Later, local NGOs partnered with the irm that was hired by ERRA to produce and disseminate information and assisted with implementation at the grassroots level. When radio and television were restored, the irm implemented all mass media aspects of the campaign. Culturally acceptable "heroes" were developed for educational radio shows. These characters were immensely popular. For example, a wise mason was created for posters, and he became a lead igure for "correct construction." In the early days of the campaign, the radio show addressed concerns of bene iciaries, expressed either to the local authorities or via a help line set up to answer questions. This case demonstrates how, in some cases, the urgency of a situation does not permit development of a fully sequenced communication action plan. Sometimes initiatives have to be implemented ad hoc, while an actual plan (in this case, mainly the hiring of an advertising irm) is still being developed. Source: Vandana Mehra, World Bank, 2009, personal conversation. Human Resources and Professional Services One of the most challenging tasks in a post-disaster response is inding quali ied staff and support services fast enough. The procurement process recommended for long-term development initiatives might need to be adapted to the post-disaster conditions. Single-source selection and direct purchase of services and personnel might be the only viable option, particularly in the beginning of the project. However, other procurement methods can be introduced at later stages in the communications action plan, when there is more time. Procurement procedures for World Bank projects can be found online and are summarized in Chapter 23, Procurement in World Bank Reconstruction Projects.10 Hiring consultants will be one of the irst and most pressing tasks. The terms of references (TOR) must be speci ic to the disaster and the requirements of the project. Three main guiding principles should apply: (1) the TORs should contain suf icient background information on the project to enable consultants to present responsive proposals, (2) the scope of work should be consistent with the available budget, and (3) the TORs should take into account the organization of the client 10. World Bank, 2005, A Toolkit for implementing the communication component and its level of technical expertise and institutional Procurement of Communication strength.11 This chapter provides guidance for developing the scope of work. Activities in World Bank Financed Projects (Washington, DC: World Bank), http:// siteresources.worldbank.org/ The very nature of a post-disaster communication project will require personnel to show a high EXTDEVCOMMENG/Resources/ degree of lexibility and willingness to adapt to demanding circumstances. More than in non-disaster toolkitEN inal.pdf. 11. World Bank, 2005, A Toolkit for projects, the communication specialist to be hired should understand crisis communications, Procurement of Communication political risk management, and internal communications, and should have coordination skills. Other Activities in World Bank Financed Projects (Washington, bene icial skills include stakeholder mapping and engagement, communications for operations, DC: World Bank), http:// media management, spokesperson/presentation skills, and donor engagement.12 siteresources.worldbank.org/ EXTDEVCOMMENG/Resources/ toolkitEN inal.pdf. Monitoring and Evaluation 12. Samples of TORs and RFPs can be found on World Bank, 2005, The M&E process should be ongoing and should mirror the project cycle. Communications outputs A Toolkit for Procurement of are best measured if there are constant feedback channels that include quantitative and qualitative Communication Activities in World Bank Financed Projects indicators. For example, it is important not only to measure how many radio spots have been aired, (Washington, DC: World Bank), but whether stakeholders have changed behavior and adopted new technologies. Project managers http://siteresources.worldbank. org/EXTDEVCOMMENG/ and government authorities should also pay attention to whether the attitudes, perceptions, and Resources/toolkitEN inal.pdf. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 51 fears that were examined during the assessment have been successfully addressed in the campaign. Practitioners should establish ways to receive periodic feedback from stakeholders to be responsive to the highly contextual nature of the initiative. Often, the lead disaster response agency does not have the capacity to analyze the information it receives. It is important to set up an internal system of information sharing, ranging from an IT system to regular information exchange meetings that allow for vertical and horizontal low of input. This will help making necessary and meaningful changes to the project and the communications strategy at an early stage and throughout the project cycle. Case Study: 2005 North Pakistan Earthquake, Pakistan Using Bene iciary Feedback for Monitoring and Evaluation The challenging environment created by the 2005 North Pakistan earthquake and the need for fast dissemination of information made it dif icult to develop complex standards and benchmarks FEMA NEWS PHOTO for the evaluation process. However, ERRA realized that it was important to monitor feedback to detect information gaps and to adapt its information campaign. ERRA focused on analyzing calls it received at its Islamabad of ices from the 24-hour help lines that had been established all over the affected area. The feedback, questions, and comments people provided helped ERRA determine the level of understanding on the side of bene iciaries and, indirectly, whether the information campaign and stakeholder engagement had been effective. The communication team at ERRA updated its Web site and other information material accordingly. The results were shared with program managers who were able to address the issues raised by callers. Very often a query or concern that was voiced by several people would be addressed through a very popular interactive radio show. ERRA also set up an internal knowledge management mechanism that allowed for easy access to information at all administrative levels. Source: Raja Rehan Arshad, 2008, "Lessons and Experiences from Disaster Recovery in Pakistan," (presentation for "Workshop on Consultations and Strategic Communications in Water and Sanitation Sector in East and South Asia," Bangkok, March 31-April 7, 2008). Risks and Challenges Missing the full picture in conducting the damage and loss assessment by asking only quanti iable questions and using only one-way communication. Government focuses on media relations and overlooks the social aspects of communication. Leaving post-disaster communications to a central disaster agency that lacks the capacity and skill to design and execute the communications strategy. Project teams believe that they know what the affected population wants without asking, and design reconstruction projects undesirable the affected population. Assuming that if the basic goal of a reconstruction program (rebuilding homes) is widely accepted, then all other aspects of the project (management, assistance policies, intended behavior change, and reconstruction approach) are widely accepted as well. Not understanding the context and contextual factors and how they affect reconstruction (for example, language barriers, perceptions of corruption, ability of religious groups to work together). Attempting to implement a communications strategy inconsistent with normal communications culture (for example, highly dialogue-driven in a country with a history of top-down communication). Underfunding communication activities. 52 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Recommendations 1. See communications in housing reconstruction as a tool that can improve stakeholder participation and ultimately the suitability of the outcomes. 2. At the same time, realize that two-way communication (dialogue) is not only about achieving the project's objectives but also about giving voice and dignity to vulnerable and marginalized people. 3. Don't allow the urgency to implement to shortchange communications. 4. Adopt a multi-track, dialogue-driven communications strategy, which allows bene iciaries to provide input, ideas, and feedback, rather than employing a one-way (information dissemination) approach. 5. In developing the communications strategy, focus irst on the messages that will be effective with people, before selecting media. 6. Adapt communication tools to the targeted audience and its preferred and trusted ways of communicating. 7. Tailor the communications strategy to re lect contextual variables. 8. Incorporate communications as early as possible in the process and sustain it throughout the project cycle. Be willing to rede ine and adapt the strategy during the project as results are realized. 9. Ensure that communications within government and with other funders is open and results in a uni ied message to the affected population. 10. Incorporate feedback about the effectiveness of the communications strategy in a timely manner to improve reconstruction outcomes. Case Studies 2003 Bam Earthquake, 2005 Zarand Earthquake, and 2006 Lorestan Earthquake, Iran Community-Based Information Management and Communication In the aftermath of the 2003 earthquake in Bam, Iran, there was a need for an active exchange of information and viewpoints between the affected communities and local authorities. To that end, the United Nations Development Programme (UNDP) supported a community-based information management and communications initiative. This initiative became particularly important after people's perception of a lack of information on the distribution of relief items provoked demonstrations in front of public of ices early in 2004 in Bam. The aim of the communications initiative was to empower the affected communities through participation and enhanced access to information on recovery and reconstruction using information and communication technologies (ICT). Information on government policies and activities, updated damage reports, entitlements, land status, and rehabilitation schemes was made available, using VICTORIA KIANPOUR an information Web site in Persian, print and electronic information products, and ICT-based kiosks and information boards located throughout the affected areas. The project produced and published a biweekly newsletter with the help of local volunteers trained as journalists (all of whom have become professional journalists in the area). The Swiss Agency for Development and Co-operation supported the initiative, which was replicated later following the Zarand (2005) and Lorestan (2006) earthquakes, with initial support from the UNDP and subsequent support from the Housing Foundation of the Islamic Revolution. Activities in these cases also included information centers and notice boards, and distribution of such products as a pamphlet on "dos" and "don'ts" before, during, and after earthquakes. Source: Victoria Kianpour, UNDP Iran, 2009, personal communication, http://www.undp.org.ir/. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 53 2002 Hydro-Quebec vs. Nation of the Cree, Canada The Cost of Not Communicating In the early 1990s, after years of disagreement and diverging views over one of the world's largest energy infrastructure programs, the indigenous Cree population of Northern Quebec forced Hydro- Quebec, a leading company in the energy sector, to halt construction all together. According to John Paul Murdoch, Legal Counsel of the Cree Nation, Hydro-Quebec faced construction delays of almost 20 years and had to spend an additional US$268 million to adequately address communication gaps, concerns over mercury pollution, and potential loss of livelihoods to the Cree. Murdoch told an audience at a World Bank Energy Week in 2005 that the failure to communicate properly had become costly for the company. In 2002, Hydro-Quebec and the Cree Nation entered a "New Relationship Agreement" that addresses concerns over safety, economic and social bene its, and a mechanism for a permanent standing liaison committee, paving the way for the project to proceed. Sources: Paolo Mefalopulos, 2008, Development Communication Sourcebook, Broadening the Boundaries of Communication (Washington, DC: World Bank). p. 136; and John Paul Murdoch, "The Value of Communications" (conference presentation, World Bank, March 14, 2005), http:// irispublic.worldbank.org/85257559006C22E9/All+Documents/85257559006C22E985256FFF007255D2/$File/Ma ia_EW05.pdf. Resources Hass, Larry, Leonardo Mazzei, and Donal O'Leary. 2007. "Setting Standards for Communication and Governance. The Example of Infrastructure." World Bank Working Paper No. 121. Washington, DC: World Bank. http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/ 2007/08/10/000011823_20070810125218/Rendered/PDF/405620Setting018082137169501PU BLIC1.pdf. Inagaki, Nobuya. 2007. "Communicating the Impact of Communication for Development. Recent Trends in Empirical Research." World Bank Working Paper No. 120. Washington, DC: World Bank. http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2007/08/10/ 000310607_20070810123306/Rendered/PDF/405430Communic18082137167101PUBLIC1.pdf. Kalathil, Shanthi, John Langlois, and Adam Kaplan. 2008. "Towards a New Model: Media and Communications in Post-Con lict and Fragile States. Communication for Government and Accountability Program." Washington, DC: World Bank. http://web.worldbank.org/WBSITE/ EXTERNAL/TOPICS/EXTDEVCOMMENG/EXTGOVACC/0,,contentMDK:21768613~pagePK:6416844 5~piPK:64168309~theSitePK:3252001,00.html. Mafalopulos, Paolo. 2008. Development Communication Sourcebook, Broadening the Boundaries of Communication. Washington, DC: World Bank. http://siteresources.worldbank.org/ EXTDEVCOMMENG/Resources/DevelopmentCommSourcebook.pdf. Mazzei, Leonardo and Gianmarco Scuppa. 2006. "The Role of Communication in Large Infrastructure. The Bumbuna Hydroelectric Project in Post-Con lict Sierra Leone." World Bank Working Paper No. 84. Washington, DC: World Bank. http://siteresources.worldbank.org/EXTDEVCOMMENG/ Resources/wpsierraleoneebook.pdf. World Bank. 2005. "A Toolkit for Procurement of Communication Activities in World Bank Financed Projects." Washington, DC: World Bank. http://siteresources.worldbank.org/EXTDEVCOMMENG/ Resources/toolkitEN inal.pdf. Key Organizations with Best Practices and Research Development Communications Evidence Research Network. "Impact of Communications in Development." http://www.dcern.org/. World Bank. "Development Communication." http://web.worldbank.org/WBSITE/EXTERNAL/ TOPICS/EXTDEVCOMMENG/0,,contentMDK:21460410~menuPK:490442~pagePK:34000187~piPK :34000160~theSitePK:423815,00.html. 54 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex 1 How to Do It: Conducting a Communication-Based Assessment A Communications-Based Assessment (CBA) for a post- The assessment should identify and analyze all relevant disaster housing reconstruction project will take about two aspects of the social context. An open-minded approach at weeks and should be conducted either before or in parallel the beginning of the assessment is crucial for grasping the with other early assessments. Some information relevant to the complexity of the entire situation. Annex 2, Culture and reconstruction process may be readily available. Other Contextual Factors in Communication, suggests social factors that form part of the context in which communications To avoid duplicating efforts, cooperate closely with the local takes place, and may be important to consider.1 and international relief community and government agencies (not only groups working in the shelter ield). When the United The critical areas that must be analyzed and understood Nations cluster system has been activated, the Humanitarian to develop an effective communications strategy and use Information Centre (http://www.humanitarianinfo.org) will communications to improve the project design include the be both a source of information and a platform for sharing following.2 information that is collected. Scope of a Communications-Based Assessment Topic Issues to analyze Political risk, challenges, and This includes such issues as perceptions of government's disaster response and plans, perceptions of how opportunities government and other service providers have performed since the disaster, mechanisms used by government to communicate with stakeholders in general and since the disaster, and key knowledge gaps. Challenges and risks can include the geography of the affected areas, high mortality, loss of livelihood, large displacement, poverty, resistance to behavior change (introducing new and unknown forms of building techniques), necessity to resettle, unclear land rights, and complex owner-tenant relations. Obstacles can include real and perceived corruption and mismanagement, lack of income opportunities, lack of credible communication channels, absence of community representatives, non-existing local fiscal capacity for distribution, lack of building material, and lack of know-how for new techniques. Opportunities can arise from the crisis. In disaster-prone environments, beneficiaries might be open to new technologies and improved building approaches. Stakeholder analysis3 For the communications strategy, an analysis is needed of: primary stakeholders and audiences (the affected population, household and grassroots representatives, government officials, civil servants, national and international media, civil society, academic institutions, professional groups, religious groups, business community, NGOs, partner organizations, donors); "hidden" or secondary stakeholders (less-affected non-beneficiaries who might feel overlooked during the project and might act as spoilers); vulnerable groups (female-headed households, orphans, disabled, chronically ill, the extremely poor, and socially marginalized); public opinion leaders or allies (societies listen best to their own leaders); stakeholder perceptions, expectations, attitudes; socially relevant topics or controversies related to the reconstruction project (relocation, land rights issues, service delivery in new neighborhood, social/tribal/religious fabric of project area, environmental issues, cultural heritage, customs, and livelihoods); and past and ongoing stakeholder behavior in similar situations or projects. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 55 Topic Issues to analyze Media, communications channels, This element of the CBA should encompass the range of ways one group communicates with another in the society and local capacity4 being assessed, as well as issues related to local capability and acceptability of each, including: communication channels that stakeholders normally use to receive and disseminate information; the degree of trust in each channel; the availability of channels or limitations since the emergency; looking beyond mass media at alternative communications channels (for example, SMS and social media); options for face-to-face communication (particularly for affected population with trust issues and to communicate behavior change messages, for example DRR, environment issues, and new building techniques); capability and experience of media organizations and consultants, including any involved in social communications, social marketing, market research, and public relations; The nature of the relationship between government and the various media; and communications channel, including electronic (TV, radio), road shows (live programs), advertising (billboards, posters, brochures, leaflets), shuras, ceremonial and cultural events, media coverage, and mobile phones (text messaging). Social and participatory Not all communications media are formally organized, and an understanding of informal systems and community communication communications practices is an important element of the assessment. This includes: existing social communication mechanisms (such as schools, churches, markets, and social interactions); networks (such as religious, tribal, neighborhood, professional, and school); traditional forms of dialogue (such as meetings with elders, religious leaders); formal and informal ways of designating community leaders and representatives; decision-making mechanisms at the community level (are they producing communication products that can be used in a communications program?); beneficiary consultation mechanisms or involvement in development initiatives (current, past, in other areas during the post-disaster phase); prior initiatives to identify interests of or conflicts between community and/or subgroups; existing joint projects or plans of the community; and familiarity with help lines, toll-free alert numbers (to report corruption, misuse, problems). Expertise Required A CBA can be conducted by communication specialists within the lead agency, outside consultants (hired locally or internationally), or quali ied members of a donor project team. National experts with communications experience in prior emergencies may be available, even if they are no longer acting in an of icial capacity. Annex 1 Endnotes 1. See Annex 2, Culture and Other Contextual Factors in Communication. 2. Paul Mitchell and Karla Chaman-Ruiz, 2007, "Communication-Based Assessment for Bank Operations," World Bank Working Paper No. 119 (Washington, DC: World Bank), pp. 20-30, http://www-wds.worldbank.org/external/default/WDSContentServer/ WDSP/IB/2007/08/10/000310607_20070810124552/Rendered/PDF/405610Comm unic18082137165701PUBLIC1.pdf. 3. Stakeholder analysis is also discussed in Chapter 12, Community Organizing and Participation. 4. This element of the assessment is the CNA mentioned in the Key De initions section earlier in this chapter. 56 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex 2 Culture and Other Contextual Factors in Communication Misunderstanding the social and cultural context can create those attempting to communicate with the population or to risks in reconstruction. This misunderstanding may cause implement a reconstruction project understand the context to unintended consequences or make implementation more be different than what it really is. dif icult. As a result, the social and cultural factors take on great importance when the communications strategy is being The CBA is the opportunity to identify these factors, designed. evaluate their importance, and understand how they affect both perception and behavior. They should be taken into Both aid agencies and local people may have trouble identifying consideration in communicating with the public and the contextual factors. For outsiders they are dif icult to detect; for affected population about recovery and reconstruction. Some insiders they are a "given." These factors are not problematic of the contextual factors that might be evaluated include the per se; problems only arise when assumptions made by following. Contextual factors Examples of how they may affect communications Peculiarities of the disaster effect, for example: If many heads of household are lost in the disaster, non-traditional approaches to reconstruction may need to be promoted. Disproportionate loss of certain social groups If common local building materials are damaged, use of alternative materials will Affect of disaster on materials availability have to be explained and promoted. Changes in labor market due to migration Repeated disasters may make the population reticent to rebuild, so motivational Disaster history in the region messages may be needed. Institutional/governance context, for example: A conflictive relationship between local and national governments could produce contradictory messages that confuse the public. Local/national government relations Local governments may be suspected of corruption, so accountability measures Degree of sectoral and fiscal decentralization may need to be improved to give assurance to the population. Roles and responsibilities of governmental entities, Newer community-based organizations may not have the credibility in the levels of government community to deliver certain information. Maturity of community organizations Trust in government and perceptions of corruption Political context, for example: Concerns about violence may discourage community involvement. History of ongoing violence Opposition parties may politicize the disaster and affect the acceptance of messages. Role of political parties Well-organized communities may move faster than government and perceive later Level of social organization or activism government involvement as "interference." Sociological context, for example: In societies where class, race, and/or status are polarized, communication may need to be tailored to specific groups. Demographic factors Members of religious groups may prefer that messages come from their religious Relationships of religious groups body, rather than from government. Class, race, and status relationships of those affected Men may keep their wives from participating in projects that strongly promote Gender relationships gender equality. Perception of rights of disabled Cultural factors, for example: Cultural differences in the perception of time will affect planning efforts. Cultural practices and values, such as perceptions of time Relationship to money and beliefs about accepting gifts differ enormously from one culture to another. Aesthetic value systems, such as Feng Shui Individuals may have beliefs about the orientation of houses, position of doorways, Place of money in cultural life etc. that affect their interest in new houses. Superstitions Resident satisfaction surveys may not reveal families' real opinions. Language barriers Social judgments about who deserves assistance may be based on intangibles, Perceptions about social change such as a family's history in the community. C H A P T E R 3 : C O M M U N I C AT I O N I N P O S T- D I S A S T E R R E C O N S T R U C T I O N 57 Contextual factors Examples of how they may affect communications Economic context, for example: Cultural perceptions about gift-giving may affect rates of participation in assistance programs. Wealth distribution in disaster area Women may be financial decision makers of household, but not be exposed to Effect of disaster on economic base communications media that are used. Importance of homestead for livelihood The inability for women to reach markets or to go to markets alone may affect use Migration and other work/living patterns of assistance strategies, such as vouchers. Role of remittances in local economy Market culture Territorial/land use issues, for example: Expectations about the standard of housing may be quite different in urban and rural communities, even in same country. Specifics of disaster location (urban/rural) Messages about land and tenancy need to be fine-tuned to local land-ownership Access into/out of disaster location practices. Ecological context Perceptions about the natural environment vary between cultures, and affect Legal status of land occupancy of affected population environmental messages. Housing/community culture, for example: Where women don't attend community gatherings, opinions expressed in meetings may not represent the entire household. Household decision maker on housing issues Perspectives about suitable housing assistance schemes will vary from one location Adequacy of housing situation before the disaster to another. Role of communal spaces within and around the settlement Localities where income segregation in housing is the norm may not be persuaded Relationship of housing styles and settlement layout to to relocate in "mixed income" communities. culture or climate The disaster may change people's perceptions of the value of vernacular housing, in favor or against. 58 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Assessing Impact and Defining Reconstruction Policy WHO GETS A HOUSE? THE SOCIAL 4 DIMENSION OF HOUSING RECONSTRUCTION Guiding Principles for the Social Dimension of This Chapter Is Housing Reconstruction Especially Useful For: The housing assistance scheme should support the objectives established for the reconstruction Housing assistance policy program in the reconstruction policy. makers Each disaster will require its own housing assistance scheme; there is no "one size its all" approach. Project managers Decisions regarding eligibility criteria and housing assistance must be objectively applied and Agencies involved in transparently disclosed. reconstruction Post-disaster housing policy must consider the situation of people in all categories of housing Affected communities tenancy, including squatters, although all members of all categories may not receive assistance. Assistance schemes should be tailored to different levels of damage. Avoid incentives to exaggerate damage that then result in overpayment. Introduction Pre-disaster housing conditions vary widely, from luxurious to ramshackle, but no type of housing is immune to the effects of disasters. In addition, in a post-disaster environment, households have different kinds and levels of resources to rely on for rebuilding; some can rebuild solely with their own resources, while others are totally dependent on government assistance. It may also be bene icial in a post-disaster environment for government to provide assistance to households that weren't even affected by the disaster. When post-disaster housing assistance is being allocated, policy makers have to address the following critical questions1: 1. Who is entitled to housing? 2. What type of housing solution are they entitled to receive? 3. How much housing assistance will they receive? These questions have no "right" answer. While all post-disaster housing assistance is intended to help recipients solve disaster-related housing problems, the approach must be ine-tuned to the circumstances, culture, and available resources. This chapter provides guidance on the factors to consider in making these decisions and discusses some of the consequences. The discussion is focused principally on assistance to help return housing to a safe and livable condition and is meant to address the needs of the affected population, in all tenancy categories, as shown below. Tenancy categories Party normally responsible for reconstruction House owner-occupant or house landlord Owner-occupant or landlord House tenant Landlord Apartment owner-occupant or apartment Owners as a group or landlord landlord Apartment tenant Landlord (public or private) Land tenant Tenant, unless tenure is not secure 1. A discussion of the delivery of housing assistance is found in Chapter 15, Mobilizing Occupancy with no legal status (squatter) Squatter, if status remains informal; otherwise moves to another category Financial Resources and Other Reconstruction Assistance. 59 "What Is a House?" Public Policies Related to Housing A Critical Question for Assessments Assistance and Beneficiary Eligibility Few public agencies have policies on how to allocate and Program Design and distribute post-disaster housing assistance. If they How a house is defined in a given culture or location has important do, they will have to be adjusted to the particularities of implications for post-disaster surveys, such as for the damage and loss the emergency at hand. However, there may be existing assessments, and for program design. Fundamental to defining a house is inancial assistance programs related to housing and gaining an understanding of the foundational social, cultural, and economic community development (such as down-payment relationships among the disaster-affected people who live inside houses, i.e., households. This basic socioeconomic unit is the core metric used in assistance, low-interest loans, or ongoing community designing shelter and settlements interventions in the wake of disasters. revitalization programs). These programs may have data on families that can be used to facilitate the quali ication Defining the number and composition of households, and the physical process. Or an administrative system that includes structures they occupy, is often quite difficult, particularly for foreigners, who may be unfamiliar with shelter and settlement patterns in disaster-affected identi ication numbers may be in place that can be areas. In some areas, for example, multiple generations live together, often adapted to the reconstruction program. If other subsidy necessitating separate living quarters within attached or detached structures. programs are already operating, public agencies should In other areas, one or more related households might live together as a calibrate the level of assistance and quali ication rules so family household, again in attached or detached structures. These and other that the housing assistance program is seen as fair and "extended family" living arrangements might be extended further through consistent with existing public policies (not providing such practices as polygamy, still common in many countries. disaster assistance in excess of other programs that seek To the social complexity outlined above can be added economic to accomplish a similar goal). The agencies should also be complexities, for instance where structures such as granaries or workshops prepared to explain publicly how the terms of the disaster are located amidst or within living quarters, thereby combining to create program and other housing assistance programs relate.2 a set of structures--often very similar in appearance--that together constitute a form of shelter called compound housing. This example, and Speci ic laws may apply when the housing assistance is many others, underscore the claim that how various structures defined and offered to an owner by government in exchange for the are (or are not) counted as houses when assessing damage in the wake of property, for instance, to acquire a house in a high-risk a disaster will largely determine the magnitude of the disaster, as well as the scale of any formal response efforts by civil society, local and national area so that the residents relocate. If the owner objects authorities, humanitarian actors, international agencies, and donors. to government taking the property, and government can Source: Charles A. Setchell, Shelter, Settlements, and Hazard Mitigation Advisor, United argue that the property is being taken for a public purpose States Agency for International Development Of ice of U.S. Foreign Disaster Assistance (risk reduction, in this case), eminent domain law may be (USAID/OFDA), personal communication. applied.3 Governments will ordinarily avoid using eminent domain in a post-disaster situation because of the time and cost involved. Whether taken by eminent domain or another procedure, local law may stipulate the basis for the housing assistance, usually that the owner is "justly compensated" (often, paid fair market value) for his or her loss. Calculating the assistance on the basis of lost value, however, may not be equitable or politically palatable, since the wealthiest will receive the most assistance. 2. For an example of an existing program whose criteria were Technical Issues adapted to provide assistance for post-tsunami reconstruction in Social Risk Management and Disasters Orissa, India, see the Indira Awas Post-disaster housing assistance by government is an example of a public arrangement for social Yojana housing program of the Ministry of Rural Development, protection or social risk management. Social risk management arrangements are generally Government of India, http://rural. nic.in/iaygd2.htm. categorized as follows: (1) informal arrangements, such as sale of personal assets or community 3. Eminent domain (United States), self-help; (2) market-based arrangements, such as property insurance; and (3) public arrangements, compulsory purchase (United Kingdom, New Zealand, Ireland), such as assistance grants or other social safety nets. All families will use informal arrangements resumption/compulsory acquisition in their recovery and reconstruction, but they are unlikely to be suf icient. Only a select group (Australia) or expropriation (South Africa and Canada) is the inherent will generally have access to market-based arrangements. The expectation after a disaster is that power of the state to seize or expropriate property or seize rights public arrangements, in this case housing assistance, will ill the gap that remains when informal in property, with due monetary arrangements and market-based arrangements are inadequate.4 See Annex 1, How to Do It: compensation, but without the owner's consent. The property is Considerations in Designing a Social Protection System for Natural Disasters. taken to devote it to public or civic use. Source: Wikipedia, "eminent domain," http://en.wikipedia.org/ Government as Insurer wiki/Eminent_domain. 4. Robert Holzmann, Lynne Sherburne- In many countries, government acts as the principal insurer of housing after a disaster. This is Benz, and Emil Tesliuc, 2003, The common when there is an inadequate property insurance system, an insurance market that is World Bank's Approach to Social Protection in a Globalizing World unaffordable to some households, no sanctions against being uninsured or underinsured, or disaster (Washington, D.C.: World Bank), http://siteresources.worldbank. damage exceeds whatever insurance coverage people may have had. But when government plays org/SOCIALPROTECTION/ this role, the "insurance terms" are not de ined until after the disaster, which creates uncertainty Publications/20847129/ SRMWBApproachtoSP.pdf. for those affected, and the expectation that government will provide assistance creates political and economic burdens for government. 60 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The assistance policy after one disaster will be interpreted as a signal to property owners about what government will do in future disasters, but these interpretations may be incorrect, or government policy may change over time. Eventually, government may decide that the moral hazard created by repeatedly providing reconstruction funds is too great and that alternatives must be sought. Creating a private insurance market and requiring homeowners to participate is one step in the process of removing government from the role of insurer. Also important are land use restrictions that forbid the occupancy of high-risk areas. There may be situations when government decides not to provide housing assistance after a disaster; for instance, when homeowners have the opportunity to insure their property and do not do it, or have knowingly chosen to live in high-risk areas over other options available to them. These policies should be de ined before a disaster so that people have the opportunity to adjust their decision making. But the policy option of not providing assistance at all--or only for some part of the affected population (having an income cutoff, for example, as discussed below)--is one that should be evaluated even after the disaster. Reconstruction as Opportunity to Resolve Long-Standing Problems Fundamental to As part of reconstruction policy, government must decide the degree to which reconstruction defining a house will be used to accomplish longer-term development objectives. A disaster is often viewed as an is gaining an opportunity to resolve long-standing development shortcomings, and, with a signi icant in low of understanding of external assistance, the potential for correcting inadequacies in pre-disaster housing and community the foundational services obviously increases. It is clearly sound policy to rebuild houses and infrastructure that is social, cultural, less vulnerable to future disasters (``built back better"). A more complex decision in development and economic terms is whether to move disaster-affected communities "to the "head of the line" of all those waiting to have their basic needs met (e.g., providing sewerage systems or updated road con igurations), relationships thereby favoring affected communities with a standard of living higher than that in similar, but among the unaffected, communities. The savings of taking a comprehensive approach to reconstruction may disaster-affected justify it, even at the risk of political fallout. An example of when the reconstruction period was people who live used as a time to address the vulnerabilities of undamaged housing is discussed in the case study inside houses.... on the Gujarat reconstruction policy in Chapter 2, Assessing Damage and Setting Reconstruction Policy. It explains how strengthening of housing not damaged by the disaster was de ined in the reconstruction policy as an integral part of the reconstruction effort. Reconstruction as Social Policy A post-disaster housing assistance program will raise questions of equity, both among those affected and between the affected group and unaffected households with similar needs. Poor and vulnerable households are likely to need a disproportionate level of assistance after a disaster because they are otherwise less able to rebuild or reestablish their livelihoods, but they may not receive it. Assistance is likely to arrive from numerous sources--private, public, and of icial, national and international-- and to be channeled through a range of entities. Each organization may de ine housing needs or rights differently, and an organization's imperative to establish a foothold in the disaster location can produce unexpected and inequitable outcomes. Government has the right and responsibility to ensure a consistent and equitable allocation of the available resources.' The challenge of doing so effectively increases with the number of agencies involved. A useful tool to reach a common understanding of the social impacts of the disaster is social assessment. Annex 2 of this chapter contains a step-by-step explanation of how to conduct a social assessment. Choice of Criteria The task of allocating housing assistance can have unintended consequences when applied in real- world situations. Applying criteria in a logical manner is not easy, and the reality of limited resources further complicates the task. Government should develop an assistance strategy that selects among and weights these (and perhaps other) criteria in a way that re lects both governmental objectives and social values. Arriving at the proper solution is likely to be an iterative process. Government should consult with the public, especially the affected communities, on the appropriate assistance policy. Once decided, it should be announced publicly and applied objectively. Government should also monitor and publicize the results of the policy and be willing to make any needed adjustments. The tables below contain some housing-related questions that are commonly asked during the process of developing a disaster housing assistance strategy, some issues that should be taken into consideration in responding to those questions, and some recommendations on how to proceed. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 61 Who Is Entitled? Criteria Questions Issues Recommendations Should all people who suffered housing Categories may be economic, geographic, The implementing agency must have losses be entitled to aid or should or related to some aspect of pre-disaster sufficient resources and administrative assistance be targeted only to specific housing condition, but any choice can create capacity to carry out the qualification categories of people? inequitable outcomes in certain situations. process and the program. Is having legal status in the country a The case study on reconstruction requirement? following the 2004 Indian Ocean tsunami Threshold Should households not affected by the in Tamil Nadu, below, demonstrates how disaster be assisted if they have housing persistence may be needed to establish problems similar to those who were eligibility for assistance. affected? How will those with a need for housing who have migrated into the disaster region after the disaster be treated? Is the unit of entitlement the house, the If pre-disaster housing supply was Make an early decision on the unit of Unit of assistance family, or the household? inadequate, multiple households or extended assistance and the extent to which the Is a single-person household treated families may be sharing a single house goal is to address pre-disaster housing differently? unwillingly. shortcomings. How is assistance calculated for a Conversely, a single family may own or live household with multiple families? in more than one house. Is income below a certain level a Income records may be falsified, destroyed Ensure there is a feasible method for Economic status qualification or do all income levels qualify? in the disaster, or nonexistent. qualifying according to income. Do social characteristics, such as gender, Women and members of other vulnerable Consider using community members Social characteristics caste, or incapacity, override income as a groups may need housing assistance even to help identify those who truly need criterion in those cases where there is an when their income exceeds the cutoff. assistance. income cutoff? The case study on reconstruction following Typhoon Durian in the Philippines in 2006, below, describes a multi-step targeting procedure that was used to identify the poorest and most vulnerable. Who gets the assistance? Renters? It is equally important for rental housing to Consider requiring owners to let renters Renters versus Owners? Both? be rebuilt, yet during reconstruction renters return at similar pre-disaster rents as a owners may need assistance for temporary housing. condition of owners receiving assistance. Is a squatter or informal settler entitled to Squatters may need assistance in addition Ensure sufficient resources are available tenure-holders the same housing assistance as a property to housing. This assistance will require to carry out a full-service relocation Informal owner? planning for a more comprehensive set of program. It may be necessary to exclude services. families that have migrated post-disaster. Squatters often move to a disaster area after a disaster just to obtain housing assistance. Should owners living elsewhere be entitled This issue is related to the question of the Try to use housing assistance as an to housing assistance or only residents of unit of assistance. incentive for owners to sell or rent. Absentee owners versus the disaster area? If the primary motivation is to relocate owner-occupants Are owners of houses under construction residents, absentee owners may not qualify. entitled to assistance? If neighborhood stability is a concern, broader eligibility will help prevent the nega- tive effect of abandoned properties. If the owners are migrants, the remittances they are earning elsewhere may be supporting other households in the affected area. 62 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S What Type of Housing Solution Are People Entitled To? The questions regarding "type of housing solution" and "amount of assistance" are closely related. The former address issues related to the physical result being sought; the latter address issues related to the resources needed to accomplish the physical result. Neither is related to the reconstruction approach; almost any type of solution can be provided using a range of reconstruction approaches. Issue Questions Issues Recommendations For what purpose is assistance Important to avoid an incentive for Both the level and the purpose of the available? Options may include homeowners to exaggerate the extent of assistance should be related to the Use of the assistance reconstruction, repair, retrofitting, damage or to deliberately damage their condition of the house. purchase of housing or land, and even houses further. If repairs are feasible and location is rental assistance or transitional shelter. Assistance for both land acquisition and suitable, assistance should be geared housing may be necessary, if current to that cost, even if the family prefers to location is not safe. relocate. Transitional shelter solutions may allow Consider assistance for retrofitting a high families to remain on their land, thus saving priority if those not directly affected by the other temporary housing costs. disaster are to be aided. Is it best to give everyone a core This is the "core house" model, which The core house at a minimum should Standard house of standard size and features (or has been used in both agency-driven and be built for disaster-resilience, although solution resources sufficient to build one) and owner-driven projects. Experience shows additional rooms may not. This can be a let them modify it as they see fit? owners usually spend their own resources cost-effective reconstruction approach. to augment the minimum assistance. Is it better for government to provide Ensuring a minimum solution requires Consider applying the minimum standards assistance at a level that will ensure variations in total assistance levels approach for public infrastructure, even if a minimum standard of housing for according to household size. some other approach is used for housing. Minimum housing everyone (e.g., persons/bedroom, Defining an acceptable minimum level Consider targeting housing assistance to square footage of common space standard will be culturally and even neighborhood building a better housing structure only. per occupant) or a minimum level of specific. Vernacular solutions and non- safety? standard designs and materials may be rejected. Government may provide assistance only to rebuild a strong house structure, leaving it to owners to contribute the rest. Should those whose housing had a This is related to the assessment of Realize that the assistance scheme higher value qualify for more assistance damage. may send an unintentional message Pre-disaster housing situation than those whose housing had a lower Restoring pre-disaster housing status about future assistance and the type of value? means that government is providing rebuilding that should be done. Consider Conversely, should those whose pre- assistance for value--paying more to those conditioning the assistance (see note below disaster situation was substandard who had more, rather than striving for on "Conditions on assistance") and make qualify for more? equity. sure government's intentions regarding future assistance are clearly articulated and Giving more assistance to those whose pre- communicated. disaster housing had shortcomings than to those who had adequate housing means other social objectives are being pursued. Can the entitlement criteria be Value judgments are required to select and Decide whether a single weighting system weighted to produce a socially and weight the criteria. is acceptable or appropriate for all affected Customized solution economically optimal allocation of groups. resources based on the characteristics Government should persuade outside of the family? agencies to align their assistance criteria with those of government. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 63 What Amount of Housing Assistance Should Be Provided? Quantifying the amount of assistance may be the policy issue that concerns decision makers even more than what result will come of it. The factors above, such as the types of solutions sought, in luence the level of assistance. Below are other critical questions. Options Questions Issues Recommendations Should available family resources Assistance may not be necessary if a qualified Establish a consistent policy about use of be considered in setting housing household is capable of acquiring the minimum family' resources in rebuilding and decide assistance? housing solution with its own resources. whether all households will receive some Should all households be expected to If only the cost of the solution is considered, it housing assistance. make a contribution (labor, cash, in- implies no expectation of self-help. Decide whether households with capacity Need kind)? Experience with use of credit in reconstruction to borrow should be encouraged to finance is limited. It is best to avoid lending by reconstruction with credit. the public sector. Credit was used for reconstruction by all those above the poverty line after the 1999 Orissa Super Cyclone, as described in the case study, below. How should households be assisted A support system will assist households in Ensure that the monitoring system keeps different levels of capacity who have additional vulnerabilities or using the housing assistance that they are track of outcomes (appropriate housing Housing assistance for reduced capacity to manage rebuilding provided. solutions occupied by different types of and therefore need extra help in Providing extra housing assistance to households) as well as outputs (funds acquiring a desirable housing solution? these households to buy services, such as disbursed). supervision of construction, is another option, but agencies may need to support them in any case to ensure that appropriate services are in fact received. Is the housing assistance only for The house may not be occupied or the Funding agencies should understand that Replacement of other assets housing? Or should it cover furniture household sustainable unless these other the household is not just a house. It's an and other household investments, assets are replaced. economic system that needs to be rebuilt such as equipment for home-based and the agencies should provide appropriate businesses that will permit the forms of funding. restoration of livelihoods? Additional Considerations Poverty and vulnerability. People's capacity to recover from a disaster depends on their socioeconomic status. The majority of the poor are women and children who may be isolated socially and who may have less access to physical, inancial, and social capital. Members of vulnerable groups and the poor may not incur high losses in absolute terms simply because they own less, but they tend to be the most severely affected by disasters. These households often do not own the land or shelter they occupy. And their dwellings may be weaker and located in more vulnerable sites. In addition, if the house or land belonged to a husband or brother who has died in the disaster, women may be at risk of displacement and destitution. These issues need to be taken into consideration in designing assistance strategies. The vulnerability of households may be related to the loss of livelihood. The case study on reconstruction following the 1993 Maharashtra earthquake, below, explains how the priority of preserving employment in the affected villages resulted in a decision to provide more assistance to larger land owners. Family size and composition. Housing requirements are a function of, among other things, family size and composition. These characteristics change with time and vary among societies. For instance, an assistance strategy that ignores the requirements of extended families can weaken family ties that support livelihoods and that serve as informal social security systems. This is one problem with providing overly standardized housing solutions that are dif icult to customize later. Conditions on assistance. Government may decide to tie housing assistance to a requirement to comply with some condition that accomplishes a public purpose. The most common example is the requirement that the recipient improve the disaster resilience of the reconstructed house ("building back better"). Requirements could also address the reduction of environmental impact, improvement of ire safety, compliance with universal design standards for handicap 64 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S accessibility in a multi-family building, co- ownership by a couple, or conformance with architectural guidelines in a historic district. Any of these conditions may be reasonable, depending on the circumstances. Governments that condition assistance in this way must have adequate controls to ensure compliance and even- handedness in the application of the requirement. Land and housing tenure. The United Nations Of ice for the Coordination of Humanitarian Affairs (UN OCHA) recognizes six tenancy categories, shown in the Introduction section of this chapter.5 In fact, the number of categories is much larger in some places. Rural households usually own the house they occupy and have tenure security through formal land titles or customary land rights. Urban and rural residents in the same country may have different tenure and occupancy options. Owners of housing may not own their land. In many reconstruction programs, only homeowners with clear title to their land have been entitled DANIEL PITTET to housing assistance. Those designing housing assistance strategies should make sure they understand all the categories of tenancy relevant to the affected population and craft an assistance program that considers them all. The United Nations Human Settlements Programme (UN-HABITAT) identi ied 31 different tenancy situations in the affected population in Peru following the 2007 Ica/ Pisco earthquake.6 Chapter 7, Land Use and Physical Planning, contains a section on resolving land tenure issues in reconstruction. Gender issues. Generally, women spend more time in their homes than men do, and they have clearer ideas about what they need. Yet women often do not participate in public consultations or express their views in the presence of men, which can lead to errors in developing the assistance strategy. (This may be particularly true of female-headed households.) Best practice would be to place special emphasis on the particular post-disaster situation of women and to organize separate women-only community consultations. Among the gender-related housing issues to consider in housing reconstruction are (1) legal (the differential legal status of women), (2) economic (women's low economic status and the prevalence of women's home-based enterprises), (3) security (safety issues related to housing and access to services and markets), and (4) social (children's access to schools). 5. United Nations Of ice for the Coordination of Humanitarian Disaster-induced mortality and migration. If a disaster causes high rates of mortality or Affairs (UN OCHA) and Shelter Centre, 2010, Shelter After migration, it may not make sense to estimate housing requirements based on a pre-disaster census Disaster: Strategies for Transitional or to adopt a house-for-house assistance policy. More time and professional support may be Settlement and Reconstruction (Geneva: UN OCHA), http:// required before an appropriate housing assistance policy can be de ined. www.sheltercentre.org/library/ Shelter+After+Disaster. 6. Department for International The importance of social assessments. While the damage and loss assessment estimates Development and the Ministry of Housing, Construction and physical damages and needs for reconstruction, a social analysis is required to understand the Sanitation, 2008, "Final Report, social dimension of housing and to design the assistance policy. The social analysis should include Land Ownership and Housing" ("Informe Final, Tenencia de la consultations with stakeholders and affected communities. The World Bank has experience and Tierra y la Vivienda"). resources that provide conceptual and methodological guidance on conducting social analysis, as 7. World Bank, 2003, Social Analysis Sourcebook: Incorporating Social well as e-learning courses. Although none of these tools focuses speci ically on social analysis in Dimensions into Bank-Supported Projects (Washington, DC: World relation to disasters, they can be adapted for this purpose.7 Annex 2 to this chapter contains a Bank), http://go.worldbank.org/ step-by-step explanation of how to conduct a social assessment. HRXPCILR30. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 65 Examples of Recent Housing Assistance Schemes Gujarat India Sri Lanka Indonesia United States Pakistan Earthquake Earthquake/Tsunami Earthquake/Tsunami Hurricane Katrina Earthquake (2001) (2004) (2004) (2005) (2005) Not a uniform package, Uniform assistance Uniform assistance Not a uniform package. Uniform assistance leading to equity issues. package. Assistance of package. Assistance of Assistance based on package. Assistance of Assistance disbursed LKR 100,000 (US$880) IDR 20 million (US$2,000) actual value of house PKR 75,000 (US$1,250) for in three tranches. disbursed in two tranches for repairable damaged and insurance coverage. partially damaged house Compensation ranging from for partially damaged house and IDR 42 million Assistance of up to disbursed in two tranches INR 5,000 to INR 90,000 houses and LKR 250,000 (US$4,200) for full US$150,000 available for and assistance of PKR (US$126 to US$2,277). (US$2,200) disbursed in reconstruction of destroyed homeowner. 175,000 (US$2,917) for four tranches for destroyed house. destroyed house disbursed houses. in four tranches. Source: Pakistan Earthquake Recovery and Reconstruction Agency, 2007, "Global Post-Disaster Housing Reconstruction Comparative Analysis," http://www.erra.gov.pk. (See full table in Part 4, Technical References, Matrix of Disaster Project Features.) Risks and Challenges Inappropriate or inequitable housing assistance program designs created by an inaccurate understanding of the social context or of local needs and capacities. Social con licts created by a failure to establish sound and consistent program rules, apply them objectively and predictably, and communicate them clearly to the affected population. Creating an incentive for owners to overestimate damage or cause damage to their own house. Thinking that it is suf icient to create the assistance scheme and forgetting to monitor its effectiveness, including ease of access by target groups and impact on the ground. Recommendations 1. Rather than borrowing from other disaster responses, develop a housing assistance policy consistent with the speci ics of the situation and re lective of public policy and social values. 2. Base assistance policies on sound social analysis. 3. Involve local communities and stakeholders in de ining entitlement policies and make a special effort to consult with women, privately if necessary. 4. Develop a policy that contributes to equity, risk reduction, and sustainability. At the operational level, ine-tune it to the needs and capacities of different categories of affected people and their household requirements. 5. A single post-disaster reconstruction program may include various approaches to housing assistance, depending on levels of damage from one location to another, household composition, the institutional context, and other factors. However, even if a range of approaches are employed, government should ensure the available resources are being well allocated overall, promote the use of consistent eligibility criteria among organizations, and establish minimum and maximum levels of assistance. 6. Make the assistance policy easy to understand. Publicize both the policy and any conditions on the access to funds. 7. Avoid paying more than is necessary for the level of damage. Also avoid indiscriminate distribution of free houses to avoid negative socioeconomic consequences. 8. Closely monitor outcomes from application of the assistance policy and communicate them publicly. Evaluate the program and be willing to adjust the policy over time. Case Studies 2006 Typhoon Durian, Bicol, Philippines Targeting during Post-Typhoon Reconstruction Typhoon Durian hit the Philippines in November 2006, just when the country--especially the Bicol Region in the Luzon Island group--was recovering from a previous typhoon and from the eruption of the Mayon volcano. Durian, categorized as a super typhoon, caused mudslides, loods, and powerful winds that affected almost 650,000 households, displaced more than 19,000 households, and damaged approximately 540,000 houses, of which 214,000 were destroyed. Some 2,360 people were reported injured and 720 deaths were con irmed. Coordinating with government and municipalities, the nongovernmental organization Community Organization of the Philippine 66 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Enterprise Foundation (COPE) decided to focus on relocation and construction of permanent shelter in Daraga and Legazpi City, two cities that were heavily affected by the typhoon. The multiple- step targeting process was designed to identify the poorest of the poor, using information from community associations and local government units. The criteria targeted people without access to any inancial assistance for reconstruction, single parents or widows with at least four dependents, vulnerable individuals (orphaned, disabled, or ill), and poor families that had lost their major source of income. Home visits were carried out to validate bene iciary information provided by local governments. Focus groups were held to discuss relocation. Psychosocial therapy was provided to help the families overcome the disaster experience and prepare for reconstruction and relocation. To be selected, bene iciaries had to commit to provide counterpart labor during construction (the value of the labor ranged from US$60 to US$151). During the construction process, constraints included the unavailability of land for permanent shelter close to the original settlement and the constantly increasing prices due to high rates of in lation. Despite these problems, COPE provided 170 typhoon- resilient permanent housing units to the selected families. Sources: Government of the Philippines, 2006, "Philippines: NDCC media update ­Typhoon `Reming' (Durian), December 13, 2006," http:// www.reliefweb.int/rw/RWB.NSF/db900SID/EKOI-6WF8T8?OpenDocument&rc=3&emid=TC-2006-000175-PHL; and Myrna Abella-Llanes and Salve Alemania-Cadag, 2006, "Housing & Community Reconstruction, Bikol Super Typhoon" (COPE Foundation Case Study, unpublished). 2004 Indian Ocean Tsunami, Tamil Nadu, India Identifying Eligible Families in an Urban Setting Tamil Nadu was one of the Indian states most affected by the 2004 Indian Ocean tsunami. While a number of agencies were involved in the provision of temporary housing and in reconstruction in Chennai, it was principally the Tamil Nadu Slum Clearance Board (TNSCB) that worked with the isher community. The city of Chennai had an ongoing initiative, funded by the World Bank, to replace slums with tenement housing and therefore had procedures in place that were helpful in planning the apartments required by the community. The key challenges for the TNSCB were (1) getting the ishers to concur with the design of houses, and (2) developing the list of eligible families. Because the houses were to be given away, many ineligible people tried to be declared eligible (including one person who claimed ownership of 32 structures!). Approximately 11,000 people claimed to be the owners of the 6,000 properties slated for replacement. However, the ishers resisted participating in the ield survey that would validate their claims; the survey teams faced physical assault and required a police escort. When eventually the TNSCB completed the ield enumeration, each family was surveyed and photographed in front of its property. The TNSCB used an eligibility matrix to award points for current residency on site, residency immediately after the tsunami, and documentary proof of residence (current and immediately after the tsunami). No family could receive more than one housing unit. Based on the scoring, an eligibility list was inalized and presented to the families for their review. Because of the transparent manner in which the survey was conducted, development of the eligibility list--a daunting task--was eventually accomplished and approved by all stakeholders. Although this process delayed the start of reconstruction by more than two years, it produced a detailed tool that could be used to streamline the eligibility process in future disasters. Source: C. V. Sankar, India National Disaster Management Authority, 2009, personal communication. Different states in India have adopted entirely different housing assistance policies, each of which re lects an interpretation of an affected community's socioeconomic conditions and housing needs. The case studies below show how housing assistance policies can exacerbate existing socioeconomic inequalities. 1993 Maharashtra Earthquake, India Pre-Disaster Landholding as Basis for Assistance in Maharashtra The 1993 Maharashtra earthquake caused damage in 728 villages, 37 of which were completely destroyed; the collapse of 25,000 houses; and damage to another 200,000 houses. A reconstruction program was executed, largely with resources from the US$221 million World Bank loan--the Maharashtra Emergency Earthquake Rehabilitation Project. The affected villages were divided into three damage categories. Category B villages (22 villages, 10,000 houses) received inancial assistance for reconstruction in-situ. Work was stalled in some cases while people lobbied for relocation. Construction and land purchases for these villages were done largely by nongovernmental organizations. Investment in amenities was modest, but satisfaction levels were high. Category C villages (180,000 houses) used owner-driven reconstruction for repair and retro itting damaged houses, with materials distribution and extensive CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 67 supervision. The work in these villages started late, but went more quickly than the others. Satisfaction levels were high. Cash assistance to bene iciaries in Categories B and C were uniform: Rs 62,000 (US$2,000) for reconstruction, and Rs 17,000 (US$548) and Rs 34,500 (US$1,113) for repairs, depending on the level of damage. The more complex situation had to do with certain villages that were classi ied as Category A (52 villages, 28,000 houses), including the Latur villages in Killari. In these villages, houses were relocated and full reconstruction took place. For the Category A bene iciaries, the size of the plots and new houses varied, depending on the original landholdings of the bene iciary. Landless and marginal landholders got a plot of 1,575 sq. ft. and 250 sq. ft. houses. Households owning between 1 and 7 hectares of land got 2,500 sq. ft. plots and 400 sq. ft. houses. Farmers owning more than 7 hectares of land DANIEL PITTET got 5,000 sq. ft. plots and 750 sq. ft. houses. As a result, wealthier households bene itted more than poor households, regardless of their own endowments or requirements. The justi ication for this approach had to do with the characteristics of the local economy. The Latur village economy in Killari consisted of a few large Patils who owned major land holdings and lived in the village center in large stone, mud, and wooden frame gaddis. Some had up to 1-acre plots with sprawling structures. Landless dalits who provided farm labor lived on marginal land in mud and thatch huts. However, the gaddis were not only residences, they were effectively agro- processing centers. On these properties, many productive activities took place: produce of the farms was stored, cattle was milked, sugar cane was converted into jaggery, fodder was dried, and grapes were converted into resins. As a result, dozens of landless workers were employed on the gaddis. Originally, the decision was made to give everyone equal housing assistance after the earthquake. But the Patil owners refused to accept this solution, saying that they would move their dwellings out of the village to large farm plots. If they had done so, it would have destroyed the village economy, because each large house employed dozens of landless workers. To ind employment, the landless workers would then move to the city or have to move onto the Patil properties. The land owners argued that they lost the most and that to continue to live in the village they needed large houses to store and process the farm produce. Contractors were hired for all work, and amenities, including infrastructure, were extensive. There was limited community participation, which reduced the level of bene iciary satisfaction. Landless dwellers in small huts, mostly squatters with uncertain titles, not damaged by the earthquake, received ixed houses of 250 sq. ft. on 1,500 sq. ft. plots with full ownership titles. The large gaddi owners received up to 5,000 sq. ft. plots, which were nearly half or one-third of their original household plots. Thus, the gaddi owners had less than what they had before, but, by remaining in the villages, they enabled agro-processing to subsist on, and the landless (who now owned small plots) retained their livelihood. If the large land owners moved to their individual farm lands, the landless small house owners would not have been able to stay in the village as there would have been no employment. The lesson from this experience, according to those involved, is that post disaster reconstruction can improve the lot of many, but cannot resolve all pre-disaster social inequities. Sources: World Bank, "Maharashtra Emergency Earthquake Rehabilitation Project," http://web.worldbank.org/external/projects/main?pageP K=64283627&piPK=73230&theSitePK=40941&menuPK=228424&Projectid=P034162; "Latur District 1993 Earthquake," http://latur.nic.in/ html/earthquake.htm; and Praveen Pardeshi, 2009, written communication. 68 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S 1999 Orissa Super Cyclone, India Bene iciary Assistance Varies by Poverty Level The "super cyclone" that hit Orissa, India, in September 1999, affected 13 million people, killed nearly 10,000, and destroyed some 800,000 houses. Immediately after the disaster, all affected people received a minor grant. No comprehensive governmental reconstruction program was organized. Instead, government provided two types of housing assistance: free housing to 200,000 poor families through the Indira Awas Yojana, an ongoing social housing program targeting the scheduled castes and tribes and households below the poverty line, and loans to 175,000 families above the poverty line through the Housing and Urban Development Corporation. This policy re lected a recognition that the type of assistance provided to better-off households who could afford to repay the cost to rebuild should be different from the assistance provided to poor families. Source: Commissionerate of Rural Development, Gujarat, n.d., "Indira Awas Yojana," http://www.ruraldev.gujarat.gov.in/iay.html. 2001 Gujarat Earthquake, India Funds Allocated According to Damage Level The earthquake in the state of Gujarat, India, destroyed 344,000 houses and damaged another 888,000. Using World Bank funds from the Gujarat Emergency Earthquake Reconstruction Programme, government offered inancial, material, and technical support to all affected families based on the type of house they owned and the level of damage incurred. Families with completely destroyed kuchcha house (built with low-cost materials, such as mud and thatch) received a maximum grant of Rs 30,000 (US$630). Families with a completely destroyed pukka house (built with industrial materials, such as bricks and cement) received a maximum assistance of Rs 90,000 (US$1,900). While poor people received less assistance than rich people, the minimum assistance was suf icient to replace a kuchcha house with a higher-standard house; however, the maximum grant was not suf icient to replace houses of higher-income people. The housing rights of the homeless and tenants were also recognized. Source: Jennifer Duyne Barenstein, 2009, "Who Governs Reconstruction? Changes and Continuity in Policies, Practices and Outcomes," in Rebuilding after Disasters: From Emergency to Sustainability, G. Lizarralde, C. Johnson, and C. Davidson, eds. (London: Taylor and Francis). Resources Centre on Housing Rights and Evictions. 1993. Bibliography on Housing Rights and Evictions. Utrecht, Netherlands: Centre on Housing Rights and Evictions. http://www.cohre.org/store/attachments/ COHRE%20Sources%202.pdf. Centre on Housing Rights and Evictions. n.d. The Pinheiro Principles: United Nations Principles for Housing and Property Restitution for Refugees and Displaced Persons. Geneva: COHRE. http://www. cohre.org/store/attachments/Pinheiro%20Principles.pdf. Holzmann, Robert, Lynne Sherburne-Benz, and Emil Tesliuc. 2003. The World Bank's Approach to Social Protection in a Globalizing World. Washington, D.C.: World Bank. http://siteresources. worldbank.org/SOCIALPROTECTION/Publications/20847129/SRMWBApproachtoSP.pdf. Skou ias, E. 2003. "Economic Crisis and Natural Disasters: Coping Strategies and Policy Implications." World Development 31/7: 1087­1102. http://info.worldbank.org/etools/docs/ library/78330/3rd%20Workshop/Srmafrica/paristwo/pdf/readings/weather.pdf. United Nations. 2008. Transitional Settlement and Reconstruction after Natural Disasters. Field Edition. UN OCHA: Geneva. http://www.sheltercentre.org/library/Transitional+settlement+and+rec onstruction+after+natural+ disasters. UN OHCHR. The Human Right to Adequate Housing. Fact Sheet No. 21. Geneva: United Nations. Of ice of the High Commissioner for Human Rights. http://www.ohchr.org/Documents/Publications/ FactSheet21en.pdf. World Bank. 2003. Social Analysis Sourcebook: Incorporating Social Dimensions into Bank-Supported Projects. Washington, DC: World Bank. http://go.worldbank.org/HRXPCILR30. World Bank. 2003. A User's Guide to Poverty and Social Impact Analysis. Washington, DC: World Bank. http://go.worldbank.org/IR9SLBWTQ0. World Bank. 2009. "Social Analysis at the World Bank." http://go.worldbank.org/UDVDOCK3X0. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 69 Annex 1 How to Do It: Considerations in Designing a Social Protection System for Natural Disasters Natural disasters are external shocks that can have a major include mechanisms as wide-ranging as labor market policies impact on the social and economic welfare of populations and or pension schemes. None of these other mechanisms is households. Social risk management (SRM) refers to the use addressed in this annex.) of a range of social protection mechanisms to prevent and mitigate risk (ex ante strategy) or cope with its impacts after a This annex presents some of the issues to consider in designing shock such as a disaster has occurred (ex post coping strategy). a disaster-related social safety net program. While social In the context of poverty reduction, SRM is a set of tools that protection and livelihood support have been considered an improve the management of vulnerability by households, and important part of post-disaster response for years, there has may even lead to poverty reduction. The focus of SRM in the been little ex ante planning of these disaster interventions by post-disaster context is on restoring and rebuilding both assets government. Yet planning ahead to anticipate post-disaster and livelihoods of households and affected communities. demands has signi icant bene its, since trying to create an effective social safety net program from scratch immediately Social safety nets are a type of program within the broader after a disaster is virtually impossible. At least four months range of social protection. Social safety nets generally refer is needed to design a quality social safety net program; the to non-contributory transfers (in cash or in kind), targeted special challenges that arise in the aftermath of a disaster may at both populations at risk of economic destitution and the require additional time. The World Bank can provide extensive permanently poor, designed to keep their income above a technical and inancial assistance to governments on designing speci ied minimum. In a post-disaster situation, social safety social protection systems.1 nets are almost always publicly funded transfers that help households avoid irreversible losses and decline into poverty The two best options for putting a post-disaster social safety by providing basic income and employment support. Social net system in place are to adapt a system that is already safety net support is often accompanied by other public or operating or to create a system to provide a short-term private resources provided for reconstruction and recovery. response while simultaneously designing a better system to (Other instruments of social protection and social policy be implemented in the medium term. Options for Implementing Safety Nets in the Context of a Disaster Adapt existing systems Expand existing safety nets to provide a short-term option for offsetting the immediate effect of a natural disaster with minimum negative impacts on economic incentives. Provide immediate productive activities that lead to more sustainable activities in the medium term (phasing out). If necessary, temporarily relax standards, but maintain a minimum level of requirements. Expand existing monitoring systems to detect immediate impacts and problems in any program design adapted to the disaster. Set up response systems for future disaster risks during the reconstruction process. Example: After Hurricane Mitch in 1998, the Honduras Social Investment Fund (Fondo de Inversión Social [FIS]) played a crucial role in rebuilding the country's infrastructure. Regional offices and technical experts quickly estimated the need to clean up the debris, repair water and sanitation systems, and provide access to roads, bridges, health centers, and schools. To respond to the urgency of the situation, the FIS simplified its subproject requirements while maintaining minimum standards. Within 100 days, more than 2,100 projects were approved for a total value of US$40 million. Labor accounted for 70 percent of the clean-up activities and 25­30 percent of the value of most subprojects. The FIS created 100,000 person-months of employment in the first three months after Hurricane Mitch.2 Provide a suboptimal immediate safety net while developing a more optimal longer-term system Be aware that time constraints and poor planning for disasters may result in suboptimal programs. Begin to build an effective safety net for the medium term. Put systems in place to monitor negative impacts of the disaster, such as indebtedness. Use rapid surveys and spot-checks to assess if assistance is reaching vulnerable groups. Example: Increased indebtedness was identified in disaster-affected villages in Myanmar six months after the Cyclone Nargis. Villagers worried that they would not be able to meet loan obligations and satisfy consumption needs in the following year. Although relief assistance reached all villages, much more assistance was needed for communities to recover, particularly in the form of cash grants. Without a way for people to manage their indebtedness, there was a risk of a loss of family assets.3 70 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Balancing Speed and Design Quality time, disasters affect entire communities and tend to destroy It is crucial to evaluate the disaster impact on households the informal safety nets and personal arrangements that while also considering pre-existing vulnerabilities. The impacts traditionally provide "insurance" for poorer households. 4 Since of a natural disaster are not uniformly distributed within protection is a function of vulnerability, targeted programs a population, and the effects on different people--and on are preferable to untargeted ones. The design process should their ability to cope--are strongly correlated with their pre- include considerations of equity, cost-effectiveness, incentive disaster situation. The social protection response depends on compatibility, and sustainability. the relative intensity of those impacts and needs. At the same Consideration Recommendations5 Context and disaster impact Analyze disaster impact and needs of the population. Analyze impact of disaster on the economy and employment. Evaluate markets and access to market. Evaluate supply availability for key goods and inflation consideration. Evaluate whether traders can respond to additional demand. Country conditions Analyze national priorities and needs. Analyze available safety protection mechanisms, formal and informal, and program design, including targeting. Identify safety nets structures that are flexible enough to cover the affected areas. Identify programs that can be quickly scaled up and that can rapidly channel additional resources to vulnerable groups. Use household-level data on program access, targeting, and benefit incidence. Vulnerabilities of the Analyze vulnerabilities such as: population hazardous locations, substandard housing; availability of ex ante risk management instruments; loss of jobs and income; lack of income-generating activities and resources for rebuilding income-generating activities (micro-finance, savings clubs, etc.); and lack of savings and other assets. Focus on the chronically poor, the temporary poor, and people living in the affected areas (and, within these groups, children, orphans, the elderly, the disabled, and women). Targeting beneficiaries Identify populations already covered by a safety net program and the eligibility criteria for those programs. according to vulnerabilities Identify targeting methods that can be used (geographic, demographic, community-based) to channel resources to and defining eligibility the affected areas. criteria Identify eligibility criteria for affected populations that can be combined with existing targeting criteria. Avoid criteria that could create friction between groups and grievances. Develop criteria that are easy to explain and administer. Consider criteria such as loss of assets for immediate support, shifting to poverty criteria for medium-term support. Benefit level Make sure level is adequate for subsistence. Avoid benefit level that could jeopardize work incentives or distort markets or prices. Provide larger amounts only as one-off compensation, for example, for loss of house. Duration May vary by target group and nature of emergency. Provide cash or in-kind support for a limited period, longer only for the most vulnerable. Consider large initial transfer to all those affected, followed by a second, smaller transfer for those who still need it (e.g., after three months). Target later transfers to vulnerable/poor households. In large emergencies, consider targeting all transfers. Provide additional social services for the most vulnerable groups (such as orphans and disabled people). CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 71 Social Safety Net Program Options A detailed discussion of criteria to be used in allocating Social safety net programs can be carried out (1) to support reconstruction assistance is provided above in this chapter. For a immediate household and livelihood needs following a disaster, discussion of the options for mobilizing and delivering inancial (2) as part of a scheme to facilitate housing and community resources and other assistance to support reconstruction, reconstruction, or (3) to provide a combination of the two types see Chapter 15, Mobilizing Financial Resources and Other of support. The forms of assistance that can be provided are Reconstruction Assistance. similar in the three cases. Because this handbook focuses on reconstruction, this annex is intended to complement the rest of The table below summarizes the three principle safety net the handbook by explaining the options for immediate support. options for providing immediate support to sustain household and livelihoods following a disaster and some considerations to take into account when choosing among them. Safety Net Options for Immediate Support Program Feature Cash and Near-Cash Transfers In-Kind Transfers Public Works Simplest way to channel resources to In-kind transfers (food, clothing, and Generates income in targeted areas while the most vulnerable households temporary housing) preferable if producing desired outcome: removing debris, markets are not functioning or supply opening roads, or restoring services Description Increases households' real income of basic goods is limited Can be implemented at any time from response Normally designed for a limited time until economic activities generate and reconstruction employment Should not be considered for long-term income support Chronically poor working families Chronically poor who cannot afford Unemployed at the margins of the labor market People not expected to work: children, necessary commodities Temporarily poor, short-term unemployed the elderly, the disabled Highly affected people needing Target Self-targeting is effective when wage is low6 Those needing temporary assistance nutritional support, commodities (blankets, clothing) All affected households or households selected by geographical targeting When beneficiary group is limited Low administrative cost Effective in life-saving situation Needed infrastructure built or maintained Transfer can directly meet critical Compensates for food shortages, Contributes to resumption of basics services household needs alleviates hunger, improves nutrition (roads, hospitals) Benefits can be tailored according to Mitigates temporary shortages of Politically popular programs Pros the level of need and household size essential goods Provides beneficiaries with a greater Can be used to provide tools to freedom of choice enable families to undertake reconstruction Targeting methods can be information High logistical cost in terms of Administratively demanding if linked to large- intensive, especially if the affected storage, transport, and distribution scale infrastructure programs population is dispersed Errors of inclusion, depending on the Tradeoff between infrastructure development Risk of moving cash targeting methods and poverty alleviation Cons Transfers are fungible, subject to Beneficiaries have no choice of Serves vulnerable, able-bodied households, unintended usage commodities not those in which no one can work (children, Procurement difficulties and long elderly, disabled) supply chains in remote areas Only when markets are functioning and In emergency situations for life- When unemployment is high, after a disaster or goods are available saving interventions the collapse of the labor market When prices are too high and Context markets are inefficient When markets are not accessible (transport, logistics) or affected areas are cut off 72 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Program Feature Cash and Near-Cash Transfers In-Kind Transfers Public Works Defining benefits levels for different Reaching most needy (especially in Setting correct wage rate (lower than types of beneficiaries very remote areas) alternative employment opportunities) Reaching intended beneficiaries, Procurement, storage, and avoiding Setting the right labor intensity to make the including those in temporary shelters waste, spoilage, and pilferage program cost-effective or camps Challenges Determining whether approach is Identifying projects with high labor needed requirements Maintaining projects if there is no community involvement in the planning and design or sense of local ownership Cannot always be set up quickly due to adverse weather and other conditions Program should be simple and easy Use for shortest term possible in Target disaster-affected regions and produce to verify and should use available order to avoid creating dependency infrastructure desired by local communities technology and suppressing the resumption of Develop community-driven programs using economic activities Recommendations Clear implementation arrangements participatory approach whenever possible should include eligibility criteria, Ensure community ownership of assets and payment amounts, and duration of system for maintenance payments Avoid displacing people from other economic Transaction costs for beneficiaries activities (harvest or other employment) should be kept to a minimum Ensure participation of women, since their Immediate cash delivery avoids the participation produces larger improvements in delays of opening bank accounts child welfare and family health7 Experience with cash transfer: After the South Asia Annex 1 Endnotes 1. Margaret E. Grosh et al.,2008, For Protection & Promotion: The Design and earthquake in 2005, the government of Pakistan allocated a Implementation of Effective Safety Nets (Washington, DC: World Bank), http:// go.worldbank.org/I0JA2JIMV0. monthly cash grant of US$50 to each eligible household. The 2. Tara Vishwanath and Xiaoping Yu, 2008, "Providing Social Protection and Livelihood amount was established based on a calculation of needs for Support," World Bank, http://siteresources.worldbank.org/CHINAEXTN/ Resources/318949-1217387111415/Social_Protection_en.pdf. an average household of seven persons. A policy decision was 3. Tripartite Core Group (Government of the Union of Myanmar, Association of Southeast made by government that the payment would be uniform for all Asian Nations, United Nations), 2008, "Post-Nargis Social Impacts Monitoring," http:// www.aseansec.org/CN-SocialImpactMonitoring-November08.pdf. bene iciary households and would continue for six months.8 4. Ruchira Bhattamishra and Christopher C. Barrett, 2008, "Community-Based Risk Management Arrangements: An Overview and Implications for Social Fund Program," World Bank, SP Discussion Paper No. 0830, http://siteresources.worldbank.org/ Experiences with in-kind assistance: After Cyclone Nargis SOCIALPROTECTION/Resources/SP-Discussion-papers/Social-Funds-DP/0830.pdf. 5. Renos Vakis, 2006, "Complementing Natural Disasters Management: The Role of in Myanmar in 2008, people monetized some of the in-kind Social Protection," World Bank, SP Discussion Paper No. 0543, http://siteresources. assistance given to them through exchange or sale.9 worldbank.org/SOCIALPROTECTION/Resources/SP-Discussion-papers/Social-Risk- Management-DP/0543.pdf; Rasmus Heltberg, 2007, "Helping South Asia Cope Better with Natural Disasters: The Role of Social Protection," Development Policy Review, vol. 25, no. 6, pp. 681­98; and "The World Bank's Experience With Cash Support In Some During the 1998 Bangladesh loods, in-kind food relief Recent Natural Disasters," Humanitarian Exchange Magazine, Issue 40, http://www. operations were aimed at increasing nutrition levels and odihpn.org/report.asp?id=2937. 6. Carlo Del Ninno, Kalanidhi Subbarao, and Annamaria Milazzo, 2009, "How to Make avoiding starvation of targeted groups. Public Works Work: A Review of the Experiences," World Bank, SP Discussion Paper No. 0905, http://siteresources.worldbank.org/SOCIALPROTECTION/Resources/SP- Discussion-papers/Safety-Nets-DP/0905.pdf. The use of multiple targeting methods Experiences with public works: In Indonesia, some 18,000 makes the identi ication of the neediest more accurate and comprehensive. The pure self-selection might be insuf icient in reaching vulnerable groups in poor areas participants were involved in public works programs in or when the demand for participation is very large and some form of employment approximately 60 villages after the 2004 Indian Ocean tsunami. rationing is needed. 7. Carlo Del Ninno, Kalanidhi Subbarao, and Annamaria Milazzo, 2009, "How to Make Public Works Work: A Review of the Experiences," World Bank, SP Discussion Paper Following the 2001 earthquakes in El Salvador, Catholic No. 0905. 8. Tara Vishwanath and Xiaoping Yu, 2008, "Providing Social Protection and Livelihood Relief Services and Caritas ran a 2-year program in which Support," World Bank, http://siteresources.worldbank.org/CHINAEXTN/ Resources/318949-1217387111415/Social_Protection_en.pdf. communities were organized to build 1,300 houses as well as 9. Tripartite Core Group (Government of the Union of Myanmar, Association of Southeast schools, health centers, and roads in exchange for food.10 Asian Nations, United Nations), 2008, "Post-Nargis Social Impacts Monitoring," http:// www.aseansec.org/CN-SocialImpactMonitoring-November08.pdf. 10. Sultan Barakat,2003, "Housing Reconstruction after Con lict and Disaster," Literature review by Iride Ceccacci. Humanitarian Practice Network Paper, Overseas Development Institute, http://www. odihpn.org/report.asp?id=2577. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 73 Annex 2 How to Do It: Conducting a Post-Disaster Social Assessment The implementation of any post-disaster reconstruction and interpret a wide range of information. The team project can have technical, physical, environmental, economic, should consist largely of experts in the social sciences, or social impacts. Some of the impacts are desired and such as sociologists, anthropologists, geographers, social planned, others are unforeseen. These impacts may become psychologists, or other persons experienced in social data obvious immediately during the project implementation or collection and analysis of complex socio-cultural structures, show up months or even years later. While the technical and as well as experts in political science and law. The environmental impacts of projects have long been analyzed in composition of the team will vary, depending on the nature detail during project preparation, only since the 1990s have of the disaster and the project being analyzed. international organizations such as the World Bank used social A suitable counterpart in government should be assessment (SA) to systematically analyze and adjust for the appointed who understands the importance of the work potential social impacts of projects.1 Project outcomes improve and who can facilitate contacts and access to information. when potential risks from social impacts are analyzed early This government of icial should be supported by a while projects are still being designed and the indings are used technical committee that includes representation from to ine-tune project design. SA helps all involved understand the affected population, key government agencies, and the the social and economic context, incorporate the perspectives sponsoring agency. and interests of those whom the project is intended to assist, anticipate the project's social impacts (both positive and Sources of Information negative), and prepare to mitigate them, when necessary. SA is not a single method but can incorporate various approaches and tools to obtain, verify, and analyze data. Objectives of the Social Assessment Validating data in the post-disaster situation may be a The general objective of SA is to improve the long-term challenge but should not be neglected. Data-gathering issues social development outcomes of post-disaster reconstruction include the following. policies, programs, or projects by analyzing and managing The socio-cultural, historical, and political context of the their social impacts and by mitigating risks. project will in luence the data that is gathered, and the tools used, as will the complexity of social structures and The speci ic objectives are to (1) analyze the contextual factors perspectives that need to be incorporated. of a particular project or sector policy and information on how The strengths and limitations of data-gathering tools these socio-cultural, institutional, historical, economic, and should be evaluated with respect to their validity, political factors may in luence development outcomes; (2) ef iciency, and social acceptability during the planning of identify the project's social impacts on all relevant stakeholders, the assessment. including bene iciaries and other populations affected, and their While the affected population is the principal subject of corresponding strengths, vulnerabilities, and risks; (3) analyze the SA, it may also be engaged in data-gathering, analysis, implementing institutions and the institutional framework; (4) mapping, focus groups, or other activities, and should be identify opportunities and speci ic constraints the project may represented in the technical committee. encounter; and (5) make concrete recommendations of actions Given the dif iculty of data gathering in post-disaster that will mitigate any adverse social impacts or improve social situations, the technical committee should strongly outcomes during implementation and monitoring of the project consider requesting that the consultant team (1) collect or policy. The process of social assessment can itself enhance data in such a way that it can be used as the baseline for project equity and strengthen social inclusion and cohesion, by later project monitoring and evaluation, and (2) propose facilitating the participation of relevant stakeholders, including concrete indicators and benchmarks to be used in the poor and socially excluded, in project analysis, design, and/ monitoring and evaluating the project. or implementation. In addition to the initial SA (described here), ongoing SAs should be carried out simultaneously with the execution Methodology for Preparing a Social Assessment of the project. The success of SA depends on the ability and capacity of the expert team to capture the multiple dimensions of the Scope of the Social Assessment community social reality and to use this information to After reaching agreement on the principal objectives and estimate social impacts and possible mitigation measures. methodology, the consultants should familiarize themselves with It is fundamental that the team have suf icient experience in the most current version of the post-disaster reconstruction both the qualitative and quantitative aspects of social analysis, policy, program, or project under consideration, if one has ideally in a post-disaster or similarly volatile context, and is already been proposed, or otherwise with the broad goals of comfortable working under time pressure. Below is a list of the reconstruction program. Based on this, the team will gather recommendations for conducing SA. and analyze information on (1) the socio-cultural, institutional, Specialists should be hired to carry out this assessment, historical, and political context where the project takes place; (2), due to the complexity of the issues and the need to organize the legal and regulatory context; and (3) the key social issues, 74 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S including economic factors and income distribution, diversity and project, as well as an analysis of obstacles to equitable access to gender, the roles and behavior of community groups and affected and bene it from institutions and their resources. The reasons stakeholders, the types of social participation, and any potential for exclusions can include local customs, intergroup relations, social risks. A detailed list of topics to be analyzed is shown in the formal and customary laws, or information and communication table below. The relative weighting of these issues in the analysis systems, and may be intentional or unintentional. depends on the project being considered and the context. Social and economic diversity and gender. The information Further Guidance on the Social Assessment and analysis presented should be disaggregated by gender and Institutions, roles, and behavior. This component of the income level, and vulnerabilities and their causes for each group analysis should consider both formal and informal institutions, should be identi ied. A special focus should be put on social the political and administrative apparatus, and "rules of the equity impacts and on the distribution of impacts across the game" at various levels of government, as well as the in luence different identi ied social groups. Quantitative analysis should of private sector institutions, community, kin, and solidarity be accompanied by con idence intervals and signi icance levels. rules. Macro-institutional issues may also be relevant to the The following concepts should be kept in mind. Topic Elements to analyze A. Institutions, roles, 1. Examine social groups' characteristics, intragroup and intergroup relationships, and the relationships of those groups with and behavior public and private institutions. 2. Describe formal and informal behaviors, norms, and values that have been institutionalized through these relationships and how they affect the implementation of the project. 3. Describe possible opportunities to influence behavior of such groups. 4. Point out constraints or potentials among these institutions for the project's implementation. 5. Summarize historical facts that are directly linked with the project framework and outcome range. 6. Describe the political framework relevant to the project. B. Legal and regulatory 1. Review and summarize all national, local, and intermediate legislation and regulations pertinent to the project. considerations 2. Highlight in particular legislation and regulations that provide social assistance to poor and excluded groups. C. Social and economic 1. Describe the most significant social and cultural features that differentiate social groups in the project area. diversity and gender2 2. Examine how people are organized into different social groups, based on the ascribed status (ethnicity, clan, gender, locality, age, language, class, or other marker), achieved status, or chosen identity (ideology, education, citizen, political affiliation). 3. Analyze the economic structure of the community and other factors that may influence local political decision making related to reconstruction, such as the allocation of assistance and public expenditures. 4. Describe the assets and capabilities of diverse social groups. 5. Analyze dynamic social and political power relations and their implications for the realization of the project. 6. Explore current visible or underlying conflicts among the groups. 7. Describe their different interests in the project and their level of influence. D, Stakeholders 1. Identify and characterize the various stakeholders.3 2. Explore the different stakeholder's' interests, motivations, and incentives in the project. 3. Describe the impacts the project will have on the different groups of stakeholders. 4. Analyze their existing and lacking assets and capabilities, both material and intangible, and present them in a table. E. Participation 1. Describe the local traditional systems of participation and its mechanisms of inclusion and exclusion, and evaluate its legitimacy to serve as project participation from. 2. Based on the asset and capability table (see D, Stakeholders), explore opportunities and conditions for participation by stakeholders, particularly the poor and vulnerable, in the project process. 3. Develop mechanisms to enhance marginalized groups' skills and encourage them to participate in the project. 4. Develop communication strategies to inform stakeholders and a feedback mechanism to include stakeholder's' reactions. The communication of information is a basic asset to be able to participate. F. Social risks and 1. Analyze all economic and social effects the project may have on the poor and excluded. vulnerability 2. Examine specific social risks4 according to the different social groups identified, especially on vulnerable groups. 3. Analyze the perceptions of the affected groups regarding vulnerability and social risk and compare this data with results from other activities. 4. Identify the country risks caused by political instability; conflict; ethnic, religious, or social tensions; endemic corruption; etc. CHAPTER 4: WHO GETS A HOUSE? THE SOCIAL DIMENSION OF HOUSING RECONSTRUCTION 75 Practical gender needs vs. strategic gender needs. report, most useful for implementation. After an initial review "`Practical gender needs'" are based on local traditional by the technical committee and other stakeholders, as directed gender roles and responsibilities and focus on immediate by the technical committee, the recommendations should be practical needs, such as water, food, shelter, and health. In presented in a inal report as a work plan that identi ies both contrast, "strategic gender needs" analyze systemic factors the sequence of activities and the party or parties responsible that limit women's access to resources and bene its for carrying them out, focusing particularly on modi ications in compared to men's. The analysis and comparison of these project design or social risk mitigation activities. two types of needs may help facilitate a sustainable, long- term mitigation response. Expected Results and Outputs Intrahousehold dynamics and relations. It may be helpful to of the Social Assessment picture the household as a system that allocates resources The principal output is an in-depth SA for the policy, program, among individuals, each of whom is supported by her or or project that will permit government and/or other agencies to his own internal and external relations. In such a system, mitigate any adverse social impacts or improve social outcomes the modi ication of one part can affect the whole. Hence, by making adjustments in project design and designing a system a holistic understanding of the system is fundamental for project monitoring. In the initial report, the consultants will to estimate multiple social impacts of an external present a strategy, plan, and schedule for the consultancy. The intervention. assessment itself should be presented in draft and inal forms. Stakeholders. The stakeholder analysis should include the Time will usually be of the essence in carrying out this characteristics, interests, incentives, and mode of in luence consultancy. The following schedule allows an SA to be over the project, particularly elements that adversely affect the completed in approximately 2 months. The following time allocation of resources and control over the quality of design intervals are ambitious, and, if necessary, can be adjusted, and implementation. Note that the degree of organization depending on the particular situation. Outputs will include: often affects the degree of visibility and the ability of groups 1. an initial report, in which the consultants any to express and defend their interests. Vulnerable social groups recommendations for modi ication of the scope of work as are often not organized and for this reason need more support well as a work plan and schedule for the presentation of to be heard and included. outputs, presented within 7 days of the contract signing; 2. a draft report, presented within approximately 21 days of Participation. The development of communication strategies the acceptance of the initial report; to share information and ensure the continuous low of 3. a inal report, presented within 21 days of the receipt of information contributes to participation. See Chapter 3, comments on the draft report from the party or parties Communication in Post-Disaster Reconstruction. Beside a responsible for overseeing the assessment or 30 days of communication strategy that reaches all stakeholders, the the presentation of the draft report, whichever is earlier. skills of vulnerable and marginalized groups may need to be enhanced to ensure their participation in the project. The draft and inal reports should be presented along with an Procedures to involve stakeholders in monitoring and executive summary or abbreviated version that can be widely evaluation are important. Be aware that participation, while circulated, in language(s) and a format that stakeholders can a fundamental element for project planning, implementation, easily understand. and evaluation, does not guarantee the desired results. An effective review process will help guarantee the acceptance Social risks and vulnerability. Make sure that the particularly of the SA, and the consultants should take an active role in vulnerable groups are identi ied, de ining vulnerability beyond carrying it out, with assistance from government and the the traditional so that is includes groups that are socially sponsor of the assessment. This may entail various meetings stigmatized (such as battered women) or marginalized (people with government, the community, and other stakeholders; infected with HIV or suffering from AIDS). The analysis should use of information technology; and/or other means to ensure examine the nature and roots of these vulnerabilities in the wide distribution of the draft report and collection of feedback. context of socioeconomic trends in the country or region. Meetings may also be required once the report is inalized, to more widely disseminate the indings and recommendations. Presentation of Findings and Recommendations For each topic in the table above (and others the consultants Annex 2 Endnotes 1. World Bank, 2003, Social Analysis Sourcebook: Incorporating Social Dimensions into may identify during the assessment), the consultants should Bank-Supported Projects (Washington, DC: World Bank); John Twigg, 2007, Tools for Mainstreaming Disaster Risk Reduction, Social Impact Assessment, Guidance Note 11 provide a systematic summary of (1) their indings as they (Geneva: International Federation of Red Cross and Red Crescent Societies and the relate to the housing reconstruction policy, program, or project ProVention Consortium), http://www.proventionconsortium.org/themes/default/ pdfs/tools_for_mainstreaming_GN11.pdf; and International Association of Impact under consideration; and (2) the signi icant corresponding Assessment, 2003, "Social Impact Assessment. International Principles," Special social impacts they have identi ied. The team should present Publications Series No. 2, http://www.iaia.org/publicdocuments/special-publications/ SP2.pdf. short- and medium-term recommendations for improving 2. According to the World Health Organization (WHO), "gender" refers to the socially the social outcomes or mitigating any adverse social impacts constructed roles, behaviors, activities, and attributes that a given society considers appropriate for men and women. Gender is an important consideration in SA. of the project. The recommendations should be grouped in 3. The term "stakeholder" includes the people affected by the project (bene iciaries, affected population) and people able to in luence it (organizations, institutions). See also the way that the consultants believe will make them the most Chapter 12, Community Organizing and Participation, for a discussion of this topic. understandable during the review process and, in the inal 4. "Social risks" include country risks, political economy risks, institutional risks, exogenous risks, and vulnerability risks, among others. 76 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Assessing Damage and Defining Reconstruction Policy 5 TO RELOCATE OR NOT TO RELOCATE Guiding Principles for Relocation This Chapter Is An effective relocation plan is one that the affected population helps develop and views positively. Especially Useful For: Relocation is not an "either/or" decision; risk may be suf iciently reduced simply by reducing the Policy makers population of a settlement, rather than by relocating it entirely. Lead disaster agency Relocation is not only about rehousing people, but also about reviving livelihoods and rebuilding the Agencies involved in community, the environment, and social capital. reconstruction It is better to create incentives that encourage people to relocate than to force them to leave. Affected communities Relocation should take place as close to the original community as possible. The host community is part of the affected population and should be involved in planning. Introduction Relocation is de ined as a process whereby a community's housing, assets, and public infrastructure are rebuilt in another location. Relocation is sometimes perceived to be the best option after a disaster for one or more of the following reasons: (1) people have already been displaced by the disaster, (2) their current location is judged to be uninhabitable, or (3) relocation is considered the best option to reduce vulnerability to the risk of future disasters. In fact, relocation may be appropriate when the disaster is the result of site-speci ic vulnerabilities. Informal settlements in urban areas, for instance, are often located on sites where topography makes the site's vulnerabilities impossible to mitigate. In rural areas, settlements on fault times or in lood zones have vulnerabilities that may also be impossible to address. However, relocation is often not the right solution: not all risks are site-speci ic and relocation itself entails numerous risks. Finding adequate sites for relocating disaster-affected communities can be an enormous challenge. Unsuitable new sites can lead to lost livelihoods, lost sense of community and social capital, cultural alienation, poverty, and people abandoning the new sites and returning to the location of their original community. The economic, social, and environmental costs of relocation should be carefully assessed before the decision to relocate is inalized, and other mitigation options should be considered. For instance, sometimes relocating only a portion of an at-risk community may be suf icient. This chapter discusses the reasons for and against relocation of disaster-affected communities following a disaster, as well as the risks and risk mitigation strategies that can be used if relocation is necessary. It warns against choosing relocation out of organizational convenience without taking into consideration its potentially dramatic negative social consequences. This chapter is not about "resettlement" as de ined by the World Bank and other international inancial institutions (IFIs), nor is it a summary of IFI resettlement policies (which are discussed below). However, the approach recommended in this chapter is consistent in many ways with these policies. Key Decisions 1. The lead disaster agency should coordinate with appropriate government agencies, including local government, to initiate an inclusive in-depth comparative analysis of disaster risk management (DRM) options that includes mitigation at the existing site. 2. As soon as relocation is raised as a serious post-disaster risk mitigation strategy, the lead disaster agency should initiate a process for de ining the policy framework for relocation, the inancing plan, the assistance strategy for those relocated, and the criteria for household selection and relocation site selection. 3. The lead disaster agency, in coordination with local government, should quantify the population subject to relocation through their joint participation in assessments that will provide these estimates. 4. Local government should carefully identify relocation sites, in the context of the post-disaster land use planning process, that offer the best potential to provide sustainable living and livelihood conditions to the relocated population. 77 5. Agencies involved in reconstruction should decide how to collaborate with government to establish common policies and criteria for relocation, and on the common procedures for applying them. 6. Agencies involved in reconstruction should decide and plan how their relocation projects will ensure the full restoration of livelihood and social conditions in the relocation site, including special attention to squatters and vulnerable groups. 7. Populations subject to relocation and receiving communities should demand that agencies involved in reconstruction give them a lead role in identifying sites and organizing relocation. 8. Agencies involved in reconstruction should decide how to organize and inance joint monitoring of relocation projects, and how to ensure that indings will be incorporated into ongoing projects. Public Policies Related to Relocation Public agencies at the national and local government levels in disaster-affected countries may have relocation or involuntary resettlement policies that apply in post-disaster situations or that can easily be adapted. Using them helps ensure that post-disaster relocation criteria and assistance schemes are consistent with other instances of relocation in the same country or state. If policies were established in connection with infrastructure projects, such as highway widening when squatters needed to be relocated from a public right-of-way, policy implementation may fall within the jurisdiction of the Ministry of Public Works or the Social Investment Fund. At the local government level, resettlement or relocation policy may be established in connection with slum upgrading, local infrastructure projects, city development master plans, or DRM plans. The local agency with jurisdiction may be the planning department, the public works agency, or the agency responsible for environmental management. Policies intended to guide relocation from high-risk areas or to disperse illegal settlements may be readily applicable or may need to be modi ied to apply in a post-disaster situation. Such policies may include useful methodologies for selecting among mitigation options. The World Bank safeguard policy on involuntary resettlement (Operational Policy 4.01), as well as those of many international and bilateral agencies and regional development banks, is designed to assist displaced persons in their efforts to improve or at least restore their income and standard of living after displacement; however, it may not apply in a post-disaster situation. (See Chapter 21, Safeguard Policies for World Bank Reconstruction Projects, for a description of how safeguard policies are applied in emergency [disaster] operations.) Resettlement policies are discussed later in this chapter. International frameworks should be taken into consideration when the possibility of relocation arises, including the Pinheiro Principles on Housing and Property Restitution for Refugees and Displaced Persons.1 Whatever policy framework or frameworks are used to de ine the relocation policy, the policy and related procedures should be transparently and publicly reviewed with and communicated to the affected population throughout planning and implementation. See Chapter 3, Communication in Post-Disaster Reconstruction. 1 . Pinheiro Principles on Housing and Property Restitution for Refugees and Displaced Persons, Technical Issues http://www.cohre.org/store/ attachments/Pinheiro%20 The Typology of Reasons for Displacement Principles.pdf; and "World Disasters are only one cause of displacement, whether economic or physical. Others reasons for Bank Operational Policy 4.12: Involuntary Resettlement," displacement that countries experience, and that countries may have policies and know-how to http://web.worldbank.org/ WBSITE/EXTERNAL/PROJECTS/ address, include the following: EXTPOLICIES/EXTOPMANUAL/ Development-induced involuntary resettlement,2 including: 0,,contentMDK:20064610~page PK:64141683~piPK:64141620 Relocation or loss of shelter ~theSitePK:502184,00.html. The Loss of assets or access to assets World Bank safeguard policies address the risks associated with Loss of income sources or means of livelihood, whether or not the affected persons must involuntary resettlement. However, they are not always applied in post- move to another location disaster housing reconstruction Disaster-induced relocation projects. 2. World Bank OP/Bank Procedure Voluntary (BP) 4.12, "Involuntary Involuntary Resettlement," apply principally to these instances of resettlement. Cyclical relocation, due to seasonal looding, drought, or other factors Refugees from con lict 78 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S This chapter focuses on disaster-induced relocation, whether voluntary and involuntary. Development- induced involuntary resettlement is discussed below. Who Lives in Disaster-Prone Sites and Why The urban poor in particular often inhabit hazardous areas because they can't afford to live elsewhere. The primary concern of people living in poverty is their immediate survival, which requires them to ind affordable housing in close proximity to livelihood opportunities. For people with marginal incomes, even minor additional costs of rent, utilities, or transportation that might result from living in a safer location may be unaffordable. Safe and affordable sites are hard to ind in areas where jobs are located, where land is likely to be scarce and prices higher. Poor urban dwellers often settle informally on public lands not suitable for development because of their inherent risk factors and then remain there for inancial or political reasons until a disaster strikes. DANIEL PITTET Why Relocation Is Sometimes Necessary Disasters will continue to displace people, often leaving no alternative but relocation. Relocation of vulnerable communities to physically safer places is often the best way to protect them from future disasters. Some locations are inherently unsafe, e.g., loodplains, unstable hillsides, and areas where soil is likely to liquefy as a result of seismic tremors. In particular, informal settlements of the urban poor are often located on highly vulnerable sites. In some cases, a disaster may have changed the topography, making a community's original site unsuitable for habitation. Finally, it may be too costly to provide safety to communities located in areas likely to be subject to future disasters. Risk-mapping is a tool that can provide data on the degree, probability, and characteristics of these risks. However, a relocation process that incorporates international lessons learned can prevent avoidable human suffering. In Aceh, Indonesia, following the 2004 Indian Ocean tsunami, changes in topography greatly complicated site selection for new housing, as described in the case study, below. Why Relocation Is Often Unsuccessful Inadequacy of new sites. One of the chief reasons for relocation failure is underweighting the welfare of the population as a criterion for the selection of the relocation site. Inappropriate land may be chosen for a relocation project because it can be acquired quickly, is owned or controlled by government, or is easily accessible with topography that favors rapid construction. For similar reasons, people resettled to protect them from one risk (e.g., tsunamis) may ind themselves exposed to new ones (e.g., risks to livelihood, high crime, lack of services). The Disaster Risk Management section in Part 4, Technical References, describes the process for comparing risk mitigation options. Distance from livelihoods and social networks. A lack of affordable land in areas close to sources of employment often necessitates relocation to peripheral areas where land is less expensive. Yet a key cause for unsustainable relocation solutions is the distance of the new site from vital resources (grazing land, food sources), relatives, social networks, livelihoods, and markets. In addition, bringing infrastructure and services to these remote areas may be extremely expensive, even when the land is cheap. The full cost analysis of new sites should include both infrastructure investment and the provision of services, such as public transportation. The case study on the 2004 Indian Ocean tsunami in Sri Lanka, below, reveals how livelihoods can be affected when vendors relocate further away from markets. Socio-culturally inappropriate settlement layouts. Housing design, layouts, and construction are often to blame for the rejection or failure of post-disaster relocation projects, in particular in rural areas. The following are frequently cited reasons for the abandonment of a new site by a resettled community. Settlements are designed using unfamiliar land use patterns that do not permit the clustering of kin and neighborhood groups vital to social cohesion in rural areas. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 79 There is insuf icient space for tool sheds, livestock, and other agricultural needs, as well as poor soil conditions, along with lack of irrigation, tools, agricultural inputs, and livestock, making it is dif icult to reestablish farm-based livelihoods in agricultural areas. Faulty house design and construction (such as the lack of thermal protection), limited plot dimensions, dif iculty of extending and upgrading houses, and lack of space for domestic and livelihood activities. Poor access and lack of public transportation, particularly to markets and social facilities. Con licts and competition with host or adjacent communities that do not receive any bene it from the relocation and lack structures for the governance of resources. Social con licts caused by moving communities with different ethnic, religious, or social backgrounds into close proximity. Widows and female-headed households exposed to sexual and physical abuse. Most of these risks also apply to reconstruction in-situ if the reconstruction plan entails land consolidation, changes in settlement layout, or introduction of new house designs and building technologies. A relocation plan (albeit abbreviated) may be needed even in these situations. Lack of community participation. Consulting the people of a community, involving them in the selection and planning of a site, understanding their needs and values, and gaining insight from local experience and knowledge of the local environment can help reduce relocation risks. Importing outside labor to construct new settlements discourages community participation and deprives members of the community of employment opportunities. A lack of community participation can also hinder the Populations development of a personal sense of ownership or responsibility for the home and settlement, which subject to may lead to feelings of alienation and a prolonged dependency on external aid. The case study on the relocation should 2004 Indian Ocean tsunami reconstruction in India, below, describes a time-consuming, but successful, demand that instance where communities took responsibility for selecting relocation sites. agencies give Underbudgeting of relocation costs. Underestimating the cost of relocation is common and can them a lead role undermine the entire process. Both hard costs (infrastructure, housing construction) and soft in identifying costs (facilitation, training, social assistance, temporary public services) should be estimated using and sites and conservative assumptions, and funded over a period of years, until communities fully adapt to their organizing new location and livelihoods are reestablished. The estimates should include adequate provision for relocation. costs associated with assisting squatters or those without proof of land ownership and other land tenure issues. See the discussion of land tenure challenges in reconstruction in Chapter 7, Land Use and Physical Planning. What Contributes to Successful Relocation? Relocation of communities requires risk mitigation through well-planned and adequately inanced programs that include such elements as land-for-land exchange, employment generation, ensured food security, improved access to health services, transportation to jobs, restoration of common properties, and support for community and economic development. Relocation is more likely to be successful when: affected communities participate in critical relocation and implementation decisions (site selection, identi ication of basic needs, settlement planning, housing designs, and implementation); livelihoods are not site-speci ic and so are not disrupted; water, public transport, health services, markets, and schools are accessible and affordable; people are able to bring with them items of high emotional, spiritual, or cultural value (religious objects, salvaged building parts, statuary or other local landmarks); people belonging to the same community are resettled together to a new site; emotional, spiritual, and cultural attachment to the old site is not excessively high; housing designs, settlement layouts, natural habitat, and community facilities conform to a community's way of life; social, environmental, and hazard risk assessments con irm that risk cannot be mitigated in the old location, while the community can be assured of the suitability of the relocation site; communication with target groups is frequent and transparent, and mechanisms to resolve grievances are effective; and relocation and assistance to mitigate its economic impacts are adequately funded over a reasonable period of time. 80 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Unjustified Relocation Relocation to new sites is often decided for "practical reasons" that ignore risk management considerations and result in a massive waste of inancial and natural resources. Examples include: Relocation to avoid rubble removal, simplify land tenure issues, or minimize the number of stakeholders "interfering" in the reconstruction project Relocation to reduce construction costs, without accounting for the cost of basic infrastructure and services, which can result in the building of houses or entire settlements that are later abandoned, sold by bene iciaries, or left unoccupied, due to the lack of services or costs to acquire them Involuntary Resettlement Policies De inition of involuntary resettlement. Resettlement is a term used to describe direct economic and social losses resulting from displacement caused by land taking or restriction of access to land, together with the consequent compensatory and remedial measures.3 Resettlement activities in World Bank loans and projects are governed by the Safeguards Policy on Involuntary Resettlement, including Operational Policy (OP) and Bank Procedure (BP) 4.12. 4 The policy promotes the participation of displaced people in resettlement planning and implementation and prescribes compensation and other resettlement measures. Countries that borrow from the Bank often prepare resettlement plans; therefore, numerous examples are available.5 For guidance on preparing a resettlement plan, see the annex to this chapter, How to Do It: Developing a Post-Disaster Resettlement Plan. Other international institutions, such as the Asian Development Bank6 (ADB) and the Inter-American Development Bank,7 have policies similar to OP/BP 4.12. Resettlement policies may not apply following a disaster, because time does not allow for it or because the situation may not trigger the policy. Chapter 21, Safeguard Policies for World Bank Reconstruction Projects, describes how the World Bank's safeguard policies are applied in emergency (disaster) operations. In resettlement policies, relocation is identi ied as one of several strategies to consider when either economic or physical displacement is taking place, generally as the result of public investment projects or other changes in land use. The ADB Involuntary Resettlement Policy includes the following matrix of types of losses from displacement and the mitigation measures that should be evaluated in resettlement plans to compensate for them.8 Type of loss Mitigation measures Loss of productive assets, Compensation at replacement rates including land, income, and Replacement for lost incomes and livelihoods 3. World Bank, 2004, Involuntary livelihood Relocation Sourcebook: Income substitution and transfer costs during reestablishment plus income Planning and Implementation in Development Projects (Washington, restoration measures in the case of lost livelihoods DC: World Bank), http:// publications.worldbank.org/ Loss of housing, possibly entire Compensation for lost housing and associated assets at replacement rates ecommerce/catalog/product?item_ community structures, systems, id=2444882. Relocation options, including relocation site development 4. World Bank OP/BP 4.12, 2001, and services "Involuntary Resettlement," http:// Measures to restore living standards go.worldbank.org/ZDIJXP7TQ0. 5. World Bank, "Resettlement Loss of other assets Plans," http://go.worldbank.org/ Compensation at replacement rates HRF9IQRLT0. Replacement 6. Asian Development Bank, 1995, "Involuntary Resettlement," http://www.adb.org/ Loss of community resources, Replacement Documents/Policies/Involuntary_ habitat, cultural sites, and goods Resettlement/involuntary_ Compensation at replacement rates resettlement.pdf. 7. Inter-American Development Bank, Restoration measures 1999, Involuntary Resettlement in IDB Projects: Principles and Guidelines, http://www.iadb.org/ sds/doc/Ind-ADeruytterePGIRPE. Comparing development-related and disaster-related displacement. Post-disaster relocation, PDF. like resettlement, may also be involuntary, and the same strategies used to reduce or avoid 8. ADB, 1998, Handbook on Resettlement: A Guide to Good involuntary resettlement impacts can sometimes be applied in relocation. These include Practice (Manila: ADB), http:// (1) mitigating the risks that are causing relocation to be evaluated as an option, using physical www.adb.org/Documents/ Handbooks/Resettlement/ preventative or physical coping and adaptive measure (see Part 4, Technical References, Disaster Handbook_on_Resettlement.pdf. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 81 EARL KESSLER Risk Management in Reconstruction, for more on disaster risk reduction options); (2) redesigning or replanning the physical site to accommodate all residents (internal relocation); and (3) providing incentives for residents to relocate themselves (voluntary relocation). At the same time, the situation that confronts government, agencies, and households involved in infrastructure-related relocation is different from that encountered in a disaster-related resettlement, for a number of reasons that may affect the quality of the outcomes. In the case of a disaster, for instance, the land that is taken is often left vacant, rather than being transformed into something else, e.g., a roadway overpass, as it is with development-related resettlement, making it possible for the displaced population to return and making it necessary for local jurisdictions to prevent this from happening. There is ordinarily less time available to plan and implement a disaster-related relocation than there is a development-related resettlement program, which creates the risk that the full range of options may not be evaluated. If the property market has been affected by the disaster, voluntary resettlement may not be realistic, without the affected household moving a signi icant distance away from the area affected by the disaster. Properly planned resettlement may be a requirement of IFI inancing for development projects, and, if so, technical and inancial support are likely to be provided to assist in carrying it out, in contrast with post-disaster relocation, where neither of these factors may be present. Last, the population affected by a disaster may have been dispersed, making it more dif icult to develop an approach to relocation that satis ies the entire community and keeps it intact, in contrast to a development-related resettlement project where there is time for participatory resettlement planning. Risks and Challenges 1. Underestimation by decision makers of the social consequences of post-disaster relocation, in spite of the growing body of research that shows that it is rarely successful. 2. Loss of livelihoods, impoverishment, social and cultural alienation, loss of social coherence, increased morbidity, and loss of access to common property for the relocated community. 3. Con licts and competition with hosting communities over scarce resources, such as land, food, fuel, water, and fodder for livestock. 4. Abandonment of relocation sites by relocated populations and return to areas where there may be inadequate provision for them or unsafe conditions. Failure of local of icials to anticipate this event. 5. Insuf icient consideration of the option of providing incentives to encourage voluntary relocation. 6. Government inaccurately reporting that relocation has taken place voluntarily in order to avoid the preparation of social and environmental impact assessments and relocation action plans. 7. Failure to recognize and mitigate risks of reconstruction projects in the same location that entail land consolidation, major demolition, and development of new settlement layouts. 82 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Recommendations 1. Avoid relocation if at all possible. Especially avoid relocation to distant sites. Work hard to keep communities together. 2. If relocation is being considered, carry out a detailed participatory assessment of the environmental, social, and economic risks of relocation and of the cost of risk mitigation strategies for alternative sites. 3. Governments should not only avoid relocation in their own housing programs but should also regulate relocation in the reconstruction projects of nongovernmental agencies (private corporations and nongovernmental organizations [NGOs]), which often opt for relocation to gain visibility and for managerial convenience. 4. If relocation is unavoidable, involve the community in the decision-making processes by creating a community relocation committee, among other means. 5. Agencies should engage the services of quali ied and experienced relocation specialists to design and implement relocation plans. 6. The technical, inancial, and institutional feasibility of providing basic services such as water, electricity, health services, schools, markets, policing, and public transport in the relocation site must be demonstrated during project planning, and all arrangements put in place in advance of the relocation. 7. Use the relocation plan to carefully de ine, with the assistance of experts, how people will be assisted to restore their livelihood activities or develop alternative livelihoods in the relocation site. 8. Plan for the relocation of individual or collective cultural properties. 9. Assess and mitigate the impact of relocation on the hosting community, and be prepared to prevent social con licts and problems of crime, delinquency, and secondary displacement. 10. Design, budget for, and implement measures to prevent the return of the relocated community or others to the site from which the relocation took place. 11. Be conservative when estimating the time a relocation program will take and the costs entailed. Case Studies 1998 Hurricane Mitch, Honduras The Consequences of Relocation without Prior Infrastructure Planning As a camp-exit strategy, families living in temporary shelter camps in Tegucigalpa, Honduras, after Hurricane Mitch, were assisted with a voucher program that provided US$600 for the acquisition of a new house. This voucher program was to be combined with generous subsidies being offered by local and international NGOs in new relocation projects that they were building. The only affordable land available for the relocation projects was located in the Amarateca Valley, 35 kilometers from the center of Tegucigalpa. NGOs developed housing projects for more than 1,200 families who could contribute the voucher amount, and provided them with varying amounts of additional subsidies. However, these efforts were uncoordinated and poorly planned. The lack of planning was evident in the fact that at many of the sites there had been no arrangement with government and public utilities to provide infrastructure services (e.g., water, sewerage, electricity, and solid waste collection) and social services (e.g., schools, transportation, and health clinics) on a timely basis. Under pressure from the relocating families and from government (which was pushing to get families out of the shelters), relocation took place with improvised, temporary solutions (e.g., pit latrines and water supplied by tanker trucks). In some cases, individual housing projects included internal piped networks for water supply and sanitary sewerage, but the deep wells required for water supply and the facilities for wastewater treatment were not completed until years after the families had occupied the projects. As a result, there were sanitation and health hazards, defaults on house payments, loss of livelihood opportunities, disruption of social networks, and even social unrest and insecurity in the new settlements, all of which represented obstacles to developing a real sense of community. Ten years after the emergency, however, the Valley of Amarateca had attracted new employment opportunities ranging from textile factories, grain processors, and automobile parts assembly, attributed partly to the concentration of population in this location. Source: Mario C. Flores, Habitat for Humanity International, 2009, personal communication, http://www.h hi.org. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 83 2004 Indian Ocean Tsunami, Sri Lanka The Impact of Post-Tsunami Relocation on People's Livelihoods and Housing Choices After the 2004 Indian Ocean tsunami, the government of Sri Lanka announced that no reconstruction would be allowed within a buffer zone, which varies from 100 to 200 meters, along the water. As a result, thousands of households had to be resettled. Research conducted in 2008 using a random sample of 211 households selected from 17 relocation sites in the Hambantota district of the country found that, while 96 percent of the households in the sample considered their new houses similar or superior in quality to their pre-tsunami houses, relocation generally had had an impact on their livelihoods. This was due to several factors, among them that in their pre-tsunami homes, many of the families had goats, cattle, and poultry; homestead gardens; and coconut trees (a staple food in Sri Lanka). They also enjoyed access to free ish. Livestock and poultry provided food security and constituted critical assets in case of inancial emergencies. This changed in the relocation sites, where people were not able to keep the same number of animals. The number of animals owned by the sample households decreased from more than 6,400 before the tsunami to only 107 after the tsunami. People reported that they were consuming less ish, vegetables, and fruits than before the tsunami. Second, relocation led to a reduction in earning opportunities, in particular for women and the poor. The distance to markets from the relocation sites meant that the small incomes generated from micro- businesses in their homes, such as food processing, were now not suf icient to cover the transport expenses from their new homes to the market. As a result, there was a 59 percent decrease in the number of family members who were earning anything among the 211 households in the sample. Reconstruction in Hambantota was unusual in that it produced more houses than were needed for the disaster-affected population, for several reasons. Being the home constituency of the country's president, it attracted generous resources from national and international NGOs; some families were not willing to relocate to new sites for reasons not picked up in the needs assessments; and delays in developing relocation sites led some families to purchase lands and construct their own houses using the housing grants before the abolition of the buffer zone policy. Also, because some people had not relinquished their pre-tsunami property, they were able to move back to their original housing sites after the buffer zone was reduced. For these reasons, some houses that were built outside the buffer zone by international NGOs for tsunami-affected communities in Hambantota were later given to non-affected households, for example, to people displaced by the construction of a new port. As of mid-2009, 63 percent of houses in the 17 relocation sites analyzed were occupied by people affected by the tsunami. Of icials involved in this reconstruction program in Sri Lanka have pointed out the importance of addressing the following issues in reconstruction: (1) the need to engage NGOs and to align their priorities with larger reconstruction program objectives; (2) the importance of clarity in public policies regarding relocation and occupation of environmentally sensitive areas, such as the buffer zone; and (3) how to simultaneously weigh and address the livelihood and housing reconstruction requirements of the same population. Sources: World Habitat Research Centre and Centre for Environmental Studies, University of Peradeniya, 2009, "Preliminary Findings of an Ongoing Research Project on Post-Tsunami Resettlement and Livelihoods in Sri Lanka," http://www.worldhabitat.supsi.ch; and Narayanan Edadan, 2009, written communication. 2004 Indian Ocean Tsunami, Nagapattinam, India Finding Land for Relocation through Community Participation More than 30,000 families being suddenly rendered homeless is a nightmare under any circumstances. But in a backward district like Nagapattinam, India, it is a disaster--even worse when diverse cultures and livelihood systems are thrown into the mix. Although relocation from vulnerable coastal areas was deemed necessary after the 2004 Indian Ocean tsunami, moving ishing communities whose lifeline is the waterfront was not so easy. Relocation decisions needed to factor in safety, proximity to traditional livelihoods, and safeguarding the community cohesion that remains strong in traditional communities like ishers. The basic tenet of relocation decisions in Nagapattinam was that a hamlet--usually consisting of the same community--would be treated as an indivisible unit. While the decision to proceed in this manner was unanimous, two-thirds of Nagapattinam is below sea level and much available vacant land was considered inappropriate for housing, so the identi ication of suitable land took nearly six months. Ten teams of local administration of icials searched geographically demarcated areas for appropriate land and initiated negotiations. However, no agreement could be inalized by the local administration until the community approved the land. On some occasions, as many as eight rounds of negotiations with 84 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S the community were necessary before inal approval was won. There were also cases where land was rejected by the community. In one case, where the land was away from the sea front, the local administration agreed to widen the backwater channel to allow boats to be brought to the site. In another case, the community objected to the proximity of the land to a cremation site, so a wall was built to separate the two. In a third case, prime property that had earlier belonged to Tata Steel Rolling Mills was handed over to the community when it was the only property the community could agree on. In all, 364 hectares were bought by the government of Tamil Nadu through negotiation with the land owners at a cost of US$5 million. The local administration's willingness to be sensitive to the communities' needs may have delayed relocation, but it ensured that citizens were satis ied with their decisions, and their basic right to a digni ied life was preserved. Source: C. V. Sankar, India National Disaster Management Authority, 2009, personal communication. 2008 Typhoon Frank, Iloilo City, Philippines NGO Support for Relocation of Vulnerable People Using Low-Interest Loans The looding that resulted after Typhoon Frank lashed the Western Visayas region of the Philippines in June 2008 covered 80 percent of Iloilo City, a city of more than 400,000 people. The typhoon killed 24 people, damaged more than 6,000 houses, and affected 53,000 families. While Typhoon Frank was obviously an extreme event, the urban poor located on Iloilo's river banks actually face looding every year during the monsoon period. The Homeless People's Federation Philippines (HPFP), one of the biggest NGOs collaborating with the urban poor in the Philippines, had previously organized a city-wide network, the Iloilo City Urban Poor Network (ICUPN), consisting of three major Iloilo NGOs (HPFP; Iloilo City Urban Poor Federation, Inc. [ICUPFI]; and the Iloilo Federation of Community Associations). ICUPN had been working with local government units (LGUs) for some time to develop a lood control plan to address the exposure of poor households to the looding problem. When implementation of the plan began after Typhoon Frank, land for relocation originally acquired by the LGUs in early 2000 was assigned to the Typhoon Frank-affected families. The land covered 16.2 hectares and was both in the city and within 6 km of where people had originally lived. Various organizations received land for reconstruction: HPFP received 1.5 hectares and constructed 172 housing units. The affected families, selected by HPFP and ICUPN in collaboration with the communities, could choose from among three housing models, with prices between US$1,770 and US$3,650. The houses were purchased using low-interest loans (between 3 percent and 6 percent) from the Urban Poor Development Fund. A key factor in the success of the program was that, before the typhoon, the community had been organized into saving groups. These groups are now purchasing the land, and each family will receive its individual land title only after the loan is paid back. Families who cannot manage the loan payments can provide "sweat equity" during construction. While this approach has many positive aspects, one issue was the lack of infrastructure on the relocation sites when irst settled. The aim is to complete the infrastructure incrementally over the next 3­5 years. Source: Sonia Cadornigara, 2009, "Thinking City-Wide in Iloilo City, Philippines, Notes on a Visit to Iloilo City," HPFP (unpublished). DANIEL PITTET For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 85 2004 Indian Ocean Tsunami, Aceh, Indonesia Unsustainable In-Situ Reconstruction due to Topographic Changes Aware of the undesirable social consequences of relocation, the Indonesian NGO Urban Poor Linkage Indonesia (UPLINK) successfully advocated against government's resettlement plan and for people's right to return to their native villages in Aceh, Indonesia, after the 2004 Indian Ocean tsunami. Yet the tsunami had caused signi icant changes in local topography that made in-situ reconstruction inadvisable in some cases. In several villages, houses were uninhabitable due to water intrusion, and signi icant land areas had also been lost to the sea. As a result, people returning to their villages were forced to build houses in former JENNIFER DUYNE BARENSTEIN paddy ields, despite the fact that the land was too low for homebuilding before the tsunami and was even more so after the topographic changes. The Rehabilitation and Reconstruction Agency of Aceh and Nias (Badan Rehabilitasi dan Rekonstruksi [BRR]) took some measures to mitigate this problem, but they often did not have the desired effect. For example, in Lam Awe, BRR built an embankment that ended up impeding the runoff of both storm water and sewage, due to the lack of drainage outlets or sluices. In other villages, land- illing activities carried by the BRR actually increased the vulnerability of some houses previously built by UPLINK. The photo, above, shows some results from these missteps. They illustrate the risks associated with the lack of land use planning and demonstrate that there are cases when post- disaster in-situ reconstruction is not the most appropriate approach, since the consequences can be as devastating as the disaster itself. Source: Jennifer Duyne Barenstein, Methodius Kusumahadi, and Kamal Arif, 2007, "People-Driven Reconstruction and Rehabilitation in Aceh. A review of UPLINK's Concepts, Strategies and Achievement" (evaluation by World Habitat Research Centre under contract to Misereor). Resources Cernea, Michael. 1997. "The Risks and Reconstruction Model for Resettling Displaced Populations." World Development 25, no. 10: 1569­87. http://ideas.repec.org/a/eee/wdevel/ v25y1997i10p1569-1587.html. Cernea, Michael, ed. 1999. The Economics of Involuntary Resettlement: Questions and Challenges. Washington, DC: World Bank. http://www-wds.worldbank.org/external/default/ WDSContentServer/WDSP/IB/1999/06/03/000094946_99040105542381/Rendered/PDF/multi_ page.pdf. Downing, Theodore E. 1996. "Mitigating Social Impoverishment when People Are Involuntarily Displaced." In Understanding Impoverishment: The Consequences of Development-Induced Displacement. Ed. Christopher McDowell, 33­48. Providence/Oxford: Berghahn Books. International Finance Corporation (IFC). Environmental and Social Development Department. 2002. Handbook for Preparing a Resettlement Action Plan. Washington, DC: World Bank. http://www-wds. worldbank.org/external/default/WDSContentServer/WDSP/IB/2002/09/13/000094946_0209040 4022144/Rendered/PDF/multi0page.pdf. Schacher, Tom. 2009. "Retro itting: Some Basics." Presentation, SHA Construction Course, Walkringen. Swiss Agency for Development and Cooperation. http://www.sheltercentre.org/library/ Retro itting+some+basics. This presentation provides very clear technical advice on vulnerability assessment and decision making regarding retro itting interventions. World Bank. 2004. Involuntary Resettlement Sourcebook: Planning and Implementation in Development Projects. Washington, DC: World Bank. World Bank, "Safeguard Policies." http://go.worldbank.org/WTA1ODE7T0. Particularly OP 4.12, Operational Policy on Involuntary Resettlement. http://go.worldbank.org/64J6NBJY90. 86 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex How to Do It: Developing a Post-Disaster Resettlement Plan Systematic early planning should be used to identify the Methodology for Preparing a Resettlement Plan potential adverse impacts of resettlement and to mitigate The resettlement plan process can use multiple tools them. The resettlement plan (also called a resettlement and techniques, and can incorporate new and innovative action plan) is a useful tool used by both the World Bank techniques, as desired. Some recommendations on organizing and the International Finance Corporation for planning the process follow. resettlement. Rebuilding houses is a priority in resettlement. The development of a resettlement plan can take several But a community is made not only of physical structures; it has months and should be overseen at the senior level by the social, economic, and cultural dimensions that are fundamental manager of the reconstruction program or, preferably, a for its well-being and functioning. The resettlement plan resettlement manager. can assist in addressing the entire scope of the resettlement To oversee development and implementation, it is useful impact. A summary of all World Bank safeguard policies is that a resettlement unit be established, managed by found in Chapter 21, Safeguard Policies for World Bank the resettlement manager. The resettlement manager Reconstruction Projects. supervises staff and any consultants, oversees activities of the task force involved with planning resettlement Objectives of a Resettlement Plan activities, and ensures involvement of the community and Resettlement can have its bene its and its costs. The coordination among all parties. resettlement plan is used to identify ways to maximize Consultants with relevant expertise are often needed improvements in the quality of life of the resettled community to help the task force conduct surveys and examine the and to minimize and compensate for the costs. The general complex social, environmental, economic, and physical objective of the resettlement plan is to plan a resettlement dimensions of resettlement. Consultants can provide process so that can be effectively carried out in a way that objective input to a process that may become con lictive. supports of the long-term development objectives of the A resettlement task force should be created and may assist affected population.1 directly in the preparation of the plan (see Resettlement Preparation Activities and Potential Agencies Responsible, The speci ic objectives of a resettlement plan are to below, for a proposed breakdown of tasks). The task force operationalize resettlement by outlining eligibility criteria should include representatives of the project sponsor, for the affected parties, analyzing and proposing appropriate relevant government line and administrative departments, levels of assistance, and helping program and schedule the local governments, community organizations, and activities that will take place during the resettlement process, NGOs involved in support of resettlement, as well as well as to detect and minimize possible adverse impacts as representatives of the affected communities. The and involve the population in designing and implementing the importance of direct involvement of implementing resettlement program. agencies in the development of the plan cannot be underestimated. A community resettlement committee should be created to articulate the interests and needs of the affected population and to facilitate the communication among the community, the consultants, and the resettlement task force. Sources of Information A combination of qualitative and quantitative methods should be used to obtain diverse information re lecting the complexity and multi-dimensionality of the relocation experience. Suggested tools include surveys, census, interviews, mapping, photographic documentation, and participatory data gathering, among others. C H A P T E R 5 : T O R E L O T T L E O R N OT T O R E S E T T L E S E C AT L O C AT E 87 Resettlement Preparation Activities and Agencies Involved Activity2 Actions Agency involved 1. Relocation policy Develop resettlement policy and minimum National government standards by considering national law, Resettlement unit international agreements, and donor requirements. International humanitarian and financial institutions Local governments International and local NGOs Affected population 2. Census and socioeconomic surveys Conduct detailed survey and data analysis. Resettlement unit Local government officials NGOs Consultants for design of survey and analysis of survey data 3. Land acquisition assessment Conduct detailed land survey of plots to be Resettlement unit acquired and confirm ownership. Land registry office NGO (field verification) 4. Determination of eligibility criteria Determine legal obligations for compensation Project agency or resettlement unit and resettlement entitlements and resettlement. Government agencies (legal, financial, technical, and Agree on additional assistance for administrative) compensation and resettlement. 5. Consultations Inform DP population. Resettlement unit Discuss project area or route and extent of land NGOs acquisition. Discuss valuation and grievance procedures. Establish committees. 6. Feasibility study of resettlement Determine viability of residential, commercial, Resettlement unit sites and agricultural relocation sites. NGOs Relevant government agencies (land use planning, soils, urban development, water and sanitation, and so forth) 7. Feasibility of livelihood restoration Determine the technical, economic, and Resettlement unit measures financial feasibility of each proposed livelihood Relevant government agencies for livelihood restoration restoration strategy before it is included as an (planning, social departments) option to be made available to affected people. Labor agency Employment agency Welfare agencies Finance and microfinance organizations Consultants to conduct the economic feasibility studies of proposed strategies NGOs 88 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Various elements of the resettlement plan will require careful described in the following table. These descriptions can also be analysis, often by experts with experience in post-disaster used in the development of consultant terms of reference. resettlement. Some of the most important technical inputs are Technical Inputs Needed for Resettlement Plan Topic Technical input A. Identification of affected 1. Census that enumerates all affected people (including seasonal, migrant, and host populations) and registers them population and project according to location. This census will be used to determine eligibility for resettlement assistance and to exclude the impacts ineligible. 2. Thematic maps that identify population settlements, infrastructure, soil composition, natural vegetation areas, water This information will serve as resources, and land use patterns. the baseline to monitor and 3. Inventory of lost and affected household, enterprise, and community assets, including land use/land capability, evaluate the impacts of the houses and associated structures, other private physical assets, private enterprises, common property resources, resettlement plan and the infrastructure, and cultural property. resettlement project 4. Socioeconomic analysis of income sources and livelihood strategies to serve as the basis for developing livelihoods restoration program. B. Resettlement policy 1. Identification and analysis of minimum standards to be applied as required by government or funding sources. development 2. Summary of local laws, decrees, policies, and regulations as they apply to resettlement and comparison with the minimum standards. 3. Development of policy and standards, and consultation with affected groups and stakeholders. C, Determination of eligibility 1. Analysis of any compensation guidelines announced by government or project sponsors, and development of criteria and resettlement alternatives, including estimates of eligibility numbers, estimated cost, and delivery mechanisms. Common forms entitlements of compensation are land-for-land and cash. However, the post-disaster reconstruction assistance program may substitute for any resettlement compensation scheme. 2. Analysis and strategy for addressing difficulties in applying eligibility criteria, such as absence of legal title to land. An entitlement matrix can identify the losses classified according to land tenure situation (owner, renter, squatter, etc.) and the scope of any difficulties. Include disadvantaged groups, such as women, the elderly, the handicapped, or ethnic minorities, in this analysis. 3. Review of compensation guidelines with affected population and final proposal. 4. Announcement of method of compensation delivery. D. Land acquisition assessment 1. Preparation of criteria for identification and analysis of sites that covers: Quantity of land required Location of land required Use of land required Estimated number of residential Tenure status of present users Presence of public or community infrastructure E. Feasibility study of 1. Methodology for technical feasibility studies for resettlement sites (topographical, soil, irrigation, groundwater, land resettlement sites use planning, and public services issues). 2. Methodology to reach agreement on social acceptability of sites, which may require direct work with community to clarify criteria and establish decision-making processes. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 89 Topic Technical input F. Design of livelihood 1. Analysis of any livelihood restoration strategies announced by government or project sponsors, or proposed by restoration program economic groups (such as farmers, fishers, tradespeople) and development of alternatives, if necessary, including estimates of eligibility numbers and estimated cost, and delivery mechanisms. 2. Development of livelihood restoration plans, by subgroups, for major types of livelihood: Land-based livelihoods Wage-based livelihoods Enterprise-based livelihoods 3. Analysis of need for special assistance for vulnerable and socially marginalized groups and those whose livelihood is especially affected by relocation. 4. Identification of assistance that can be provided by specialized organizations (professional, trade, marketing chains) and means of coordination. 5. Identification of livelihood assistance that may be needed in addition to compensation for lost assets (financial support, technical assistance, retraining). This may be combined with long-term efforts to overcome deep-rooted problems with economic ramifications, such as poverty or social discrimination. G. Participation, consultation, 1. Design of participation strategy for all phases of relocation program. and communication 2. Identification of stakeholders and process for consultation with them. 3. Development of two-way communication strategy, to inform the affected population and to involve them in monitoring and providing feedback to executing agencies. H. Grievance redress 1. Development of registration process. 2. Establishment of policy and operational procedures to address grievances. This may include provision for civil courts procedures if other options fail. 3. Communication plan for familiarizing population with grievance procedures. I. Resettlement implementation 1. Identification of roles and responsibilities of public and private entities involved in implementation, including funding agencies of individual projects, local governments, NGOs, the affected population, and the task force and advisory group. 2. Identification of needs for training, technical assistance, or institutional strengthening to improve the implementation of the resettlement plan. 3. Development of and agreement on work plans for each group or entity, using the resettlement plan as the overall frame of reference. 4. Agreement on coordination mechanisms to be used during project implementation. 5. Identification of needs, funding, and terms of reference for consulting services needed during implementation, including those necessary to implement the monitoring plan. J. Monitoring, evaluation, and 1. Development of a monitoring plan that covers inputs, process, outputs, and impacts. (See Note 1, below.) completion audit 2. The following aspects of the resettlement plan should be monitored: The physical progress of resettlement activities The disbursement of compensation The effectiveness of public consultation and participation activities The sustainability of income restoration and development efforts 3. Using census data and other information, development of the project baseline before implementation begins. 4. Assurance that sufficient resources have been budgeted to monitor the affected population for an extended period post-resettlement and to carry out an ex post audit. 5. Design of mechanisms to involve the affected population in monitoring and evaluation activities. K. Project budget and financial 1. Development of a program budget based on realistic assumptions about eligible population, per household procedures assistance costs, program administration costs, and time to implement. 2. Analysis of options for indexing financial assistance to mitigate effects of local currency fluctuation and price inflation. 3. Establishment of a system that links project budget with the implementation schedule and that can monitor disbursements and disbursement patterns. 4. Design and implementation of financial procedures to disburse funds to implementing agencies, communities, and/ or households, depending on financial assistance strategy. 90 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Monitoring Resettlement resettlement plan and its implementation in responding to Permanent monitoring identi ies problems or potential the affected communities needs; and (3) completion audit-- con licts early and allows adjustments on time. Monitoring to measure output indicators, such as productivity, gains, should be carried out by an independent entity for a number livelihood restoration, and development impact against of years beyond the completion of the resettlement plan to baseline. This is undertaken when all resettlement plan evaluate the long-term impacts. Three suggested components activities are completed. Suggested information sources and of the monitoring system are (1) performance monitoring--an indicators are shown below. For more guidance on post- internal management function to measure input indicators disaster reconstruction monitoring and evaluation, see against proposed timetable (or milestones) and budget; Chapter 18, Monitoring and Evaluation. (2) impact monitoring--to gauge the effectiveness of the Sources of Resettlement Monitoring Information Activity Source of information Examples of indicators Performance Information from monthly or quarterly narrative Public meetings held monitoring (inputs, Census, inventories, assessment, interviews completed process, and outputs) Grievance redress procedures in place and functioning Compensation payments disbursed Housing lots allocated, infrastructure completed Income restoration and development activities initiated Monitoring and evaluation reports submitted Impact monitoring Quarterly or semiannual quantitative and Quantitative qualitative surveys Education: primary school attendance Agriculture: average land/household, production Consultation of affected population regarding Work: employment, wage, income their experiences, if possible, to develop baseline indicators Health: birth and death rate, infant mortality, incidence of diseases Qualitative Interviews Focus group discussions Completion audit External assessment based on performance and The same indicators are used as during the performance monitoring and impact monitoring reports, independent surveys, impact monitoring, with a particular focus on surveys and consultations. and consultation with affected persons Expected Outputs The principal output of the resettlement planning process is a resettlement plan that is viewed positively by the affected population and is acceptable to other stakeholders. Acceptability by both groups will be a function of the level and quality of participation that has taken place during the development of the plan. The resettlement plan then serves as a guide during implementation. The resettlement plan must re lect the unique features of the project context, disaster scale, and institutional capacity, and must be open to modi ications during implementation, as needs and priorities emerge Annex Endnote 1. If the World Bank safeguards policy on resettlement (OP 4.12) applies in a post-disaster reconstruction project, a Policy Framework and a Process Framework will need to be prepared, in addition to a Resettlement Plan. This annex uses World Bank and IFC frameworks for resettlement to provide general guidance on good practice. Refer to World Bank, 2004, Involuntary Resettlement Sourcebook: Planning and Implementation in Development Projects (Washington, DC: World Bank), for extensive guidance on World Bank requirements. 2. World Bank, 2004, Involuntary Resettlement Sourcebook: Planning and Implementation in Development Projects, (Washington, DC: World Bank), 232. C H A P T E R 5 : T O R E L O C AT E O R N OT T O R E L O C AT E 91 Assessing Damage and Defining Reconstruction Policy 6 RECONSTRUCTION APPROACHES Guiding Principles for Reconstruction Approaches This Chapter Is Households begin reconstruction the day of the disaster and government--guided by its Especially Useful For: reconstruction policy--may have to play catch-up in order that households and builders conform Policy makers to, or participate in, any proposed reconstruction approach. Lead disaster agency Communities and households must have a strong voice in determining the post-disaster Agencies involved in reconstruction approaches and a central role in the reconstruction process. reconstruction The reconstruction policy must address the needs of households in all categories of tenancy: Affected communities owners, tenants, and those without legal status. More than one reconstruction approach will probably be employed. The building approaches adopted after disasters should be as similar as possible to those used in normal times for similar households and should be based on their capacities and aspirations. Building codes and standards for reconstruction should re lect local housing culture, climatic conditions, affordability, and building and maintenance capacities, and improve housing safety. Reconstruction should contribute to economic recovery and the restoration of local livelihoods. Good planning principles and environmental practices should be incorporated, whatever the reconstruction approach. Introduction Post-disaster housing reconstruction can be undertaken through different approaches, which vary principally in terms of a household's degree of control over the reconstruction process. The choice of the best reconstruction approach--or approaches--to be employed is context-speci ic and should take into consideration (1) reconstruction costs; (2) improvement in housing and community safety; (3) restoration of livelihoods; (4) political milieu; (5) cultural context; and (6) people's own goals for well-being, empowerment, and capacity. Consultation with the community and evaluation of requirements and capacities is critical before deciding on any reconstruction approach. For analytical purposes, this chapter makes a distinction among ive reconstruction approaches that may be pursued after a disaster. These approaches are not mutually exclusive and should be understood as luid categories that are often found in combination. In addition to the construction of permanent houses, these approaches apply to projects of substantial repair and retro itting and to transitional shelter. Considerations in deciding whether to formally incorporate support for transitional shelter in the reconstruction approach are discussed in Chapter 1, Early Recovery: The Context for Housing and Community Reconstruction. Cash Approach: Unconditional inancial assistance is given without technical support. Owner-Driven Reconstruction: Conditional inancial assistance is given, accompanied by regulations and technical support aimed at ensuring that houses are built back better. Community-Driven Reconstruction: Financial and/or material assistance is channeled through community organizations that are actively involved in decision making and in managing reconstruction. Agency-Driven Reconstruction in-Situ: Refers to an approach in which a governmental or nongovernmental agency hires a construction company to replace damaged houses in their predisaster location. Agency-Driven Reconstruction in Relocated Site: Refers to an approach in which a governmental or nongovernmental agency hires a construction company to build new houses in a new site. The authors of this handbook advocate for what the World Bank and several other agencies have de ined as owner-driven reconstruction, which has proven to be the most empowering, digni ied, sustainable, and cost-effective reconstruction approach in many types of post-disaster situations. 1. George Soraya, Lead Urban Specialist, World Bank, Jakarta, As one reconstruction expert aptly stated: "It is better to have 100,000 people each concerned 2009, personal communication. 93 about one house than to have 100 people concerned about 100,000 houses."1 Experience shows that empowering people to manage their own recovery and reconstruction, both individually and as a community, will be faster and more ef icient, and will encourage people to use their creativity and to mobilize their own resources. If they are waiting for others to take care of them, they can become disempowered and may be more apt to complain and less likely to contribute. Of course, not all reconstruction situations will lend themselves to this approach, as explained in this chapter. Key Decisions 1. Government should decide on the policy for housing and community reconstruction, based on the results of the damage and loss assessment, and in consultation with the affected community and the lead disaster agency. Important decisions include: the reconstruction approach or approaches to be employed; the inancial contributions to be made by various parties, including households; mechanisms for coordination; and the administrative and project management procedures that all agencies will follow. 2. The lead disaster agency should determine, in consultation with government inancial of icials, the level of assistance that will be provided for transitional sheltering, repairing, "In reconstruction, retro itting, and reconstruction, and on the system for delivering funds. Government may it is better to have want to impose a maximum assistance level for nongovernmental agency projects to reduce 100,000 people competition among agencies. See Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance. each concerned 3. Agencies involved in reconstruction should agree with government on performance about one house benchmarks for all reconstruction approaches and on reporting procedures, and collaborate on than to have 100 establishing the baseline and the monitoring system. people concerned 4. Affected communities should decide which reconstruction approach or approaches are most about 100,000 suitable for them and collaborate with government in the selection process. They should also decide how they prefer to organize themselves during reconstruction and should have the right houses." to select which agencies will assist them and to agree on the form of assistance. Depending on George Soraya, Lead Urban the community's political, social, and economic characteristics, organization of the community Specialist, World Bank and collective decision making may require outside facilitation and support. 5. Whatever the approach, local governments must direct those aspects of reconstruction related to land use and physical planning and the regulation of construction. See Chapter 7, Land Use and Physical Planning. Public Policies Related to Reconstruction Approaches Unless government has a disaster management plan, there are unlikely to be public policies at either the national or local level that speci ically address post-disaster reconstruction approaches. Yet there may be national or local housing sector programs that provide new housing to low-income people or subsidies for upgrading that can serve as a starting point for de ining the post-disaster housing reconstruction approach. Government should take an active role in setting the rules for and overseeing the activities of all agencies involved in reconstruction. It should provide the appropriate regulations and guidelines so that agencies conform to the following good planning and construction principles. Consistently apply good planning principles and conform to local development plans. Conform with local building codes and standards. Minimize environmental impacts in construction, site planning, and building design. Ensure community participation in all aspects of development, including those managed by outside agencies and private contractors. Maintain or improve the tenure status of households during the reconstruction process. Public policies in other sectors may in luence decisions on the reconstruction approach as well. Refer to Chapter 7, Land Use and Physical Planning; Chapter 9, Environmental Planning; and Chapter 11, Cultural Heritage Conservation, among others. Technical Issues The following are descriptions of ive reconstruction approaches frequently used in post-disaster reconstruction, including a discussion of the advantages and disadvantages of each. 94 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The Cash Approach (CA) With this reconstruction approach, support for repair and reconstruction of damaged houses is provided exclusively by unconditional inancial assistance. Any category of tenants, including squatters, may be entitled to and bene it from cash assistance, depending on the policy. CA is appropriate for disasters that have a relatively limited impact and where housing damage was not caused by shortcomings in local construction practices. Emphasis with CA is on the distribution of inancial assistance with minimal attention given to enabling measures. This approach may give affected people the choice to use the assistance based on their own priorities, which may not necessarily be housing. Some people may use the cash to migrate out of the disaster zone, for instance, if that is what they judge to be their best alternative. Experiences with the Cash Approach After the 2004 loods in Santa Fe, Argentina, the World Bank supported a government CA program for housing repair and reconstruction. Advantages Disadvantages and risks Recommendations Most cost-effective, rapid delivery of aid May reproduce pre-disaster vulnerabilities. Use CA only when to households. No improvement of building skills. damage is not severe Does not require complex delivery and is not attributed No opportunity to introduce new building to poor construction mechanisms. technologies. or poor building code Assistance can be adjusted to household's Vulnerable people may be unable to enforcement. income, family size, livelihoods, socio- handle repair and reconstruction without cultural requirements, etc. Ensure that housing labor assistance. and materials markets Does not discourage repair of houses Financial assistance may be used to meet are functioning properly. or use of salvaged and local building other requirements while houses remain materials. unrepaired. Best when local building capacity and Risks of negative publicity if households use financial support are adequate. funds for questionable purposes. Families can employ cash according to May increase risk of corruption. their priorities. Owner-Driven Reconstruction (ODR) In an ODR program, people who lost their shelter are given some combination of cash, vouchers, and in-kind and technical assistance (TA) to repair or rebuild their houses. They may undertake the construction or repair work by themselves, by employing family labor, by employing a local contractor or local laborers, or by using some combination of these options. ODR is similar to the "aided self-help approach" that has been used extensively to provide housing assistance to the urban poor, particularly in Latin America.2 ODR is the most empowering and digni ied approach for households, and it should be used whenever the conditions are right for it. The approach is viable for both house and apartment owners (in the latter case, the condominium association or cooperative society would manage construction), as well as for informal settlers, once their tenure is secured. In fact, the term "owner" in ODR refers as much to the ownership of the building process as to the ownership of the house. A common misunderstanding about ODR is that the owners will build their houses by themselves. Recent examples show that this is rarely the case because people tend to hire local contractors or laborers for at least part of the work. Thus, the key difference between this approach and agency- driven approaches is that contractors and paid laborers are accountable to the homeowner rather than to an external agency that may not be able to provide the intensive supervision and control that homeowners often can. However, the risks of ODR need to be understood and addressed. ODR requires good oversight and 2. Sultan Barakat, 2003, Housing governance, that is, a government capable of establishing and enforcing standards, and some agency Reconstruction after Con lict and Disaster, Humanitarian Policy (governmental or nongovernmental) to ensure the quality of construction. Where engineered Network Paper 43 (London: building technologies are being used, or multifamily housing is being rebuilt, using ODR is more Overseas Development Institute), http://www.odihpn.org/report. challenging, but not impossible. The oversight from supporting agencies or government will need to asp?id=2577. C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 95 be more technical, and experienced contractors must be hired. Success lies in establishing a support system for homeowners appropriate to the local context, which may include: Training of tradespeople and homeowners Technical assistance and construction supervision and inspection Updating and enforcement of building codes and construction guidelines Mechanisms to regulate prices and facilitate access to building materials A system for providing inancial assistance in installments as construction progresses Experiences with ODR Formally adopted by the state government of Gujarat as its of icial reconstruction policy following the 2001 earthquake in Gujarat, India. Independent evaluations proved it produced high levels of satisfaction.3 Used by the World Bank after the 2004 Indian Ocean tsunami in Thailand and Sri Lanka and after the 2005 North Pakistan earthquake. The Bank funded reconstruction and therefore was in a position to in luence government reconstruction policy. In these cases, both of icial Bank documents and evaluations carried out by other agencies that pursued this approach con irm that this was the most successful housing assistance strategy.4 Also see the; case study on ODR in the North Pakistan earthquake reconstruction, below, and others in the case studies section of this chapter. Advantages Disadvantages and risks Recommendations Mobilizes households to take an Without good standards and Establish a support system for homeowners active role in rebuilding, which speeds oversight, quality of construction that is responsive to local requirements. recovery from psychological trauma. may be poor, and pre-disaster Ensure that assistance is equitable and Assistance can be adjusted to the needs vulnerabilities can be reproduced. sufficient to satisfy minimum housing of the household related to income, Conversely, if building codes are standards. family size, livelihoods, socio-cultural too rigid and biased toward alien Establish a delivery mechanism for financial requirements, etc. housing technologies, people assistance that is easy to understand and Consistent with normal incremental can have trouble complying access. housing construction practices. with requirements, even with oversight. Ensure building codes are based on local Encourages repair of houses and use of building technologies and materials. salvaged and local building materials. May be more difficult to implement in relocated Ensure adequate training for trades people Tends to involve local building industry, communities and poor and construction supervisors. thereby contributing to restoration of communities with no building Acknowledge housing rights and local economy and livelihoods. experience (for example, urban accommodate special needs of tenants, Helps preserve community's cultural squatters). squatters, and the homeless. identity by ensuring continuity in local Suitable for contractor-built Adjust the approach to reach geographically building tradition and architectural style. multifamily and high-rise building distant regions and socioeconomically Allows people to "top up" housing reconstruction; however, skilled disadvantaged people. assistance with their own savings and technical oversight is required. Provide special attention and support to build a house reflecting their specific Households of elderly and vulnerable groups (orphans, widows, the needs and aspirations. vulnerable groups will elderly, and the very poor). 3. Jennifer Duyne Barenstein, 2006, "Housing Reconstruction in Post- Is less subject to disruptions caused by face difficulties managing Earthquake Gujarat: A Comparative Adopt measures to prevent inflation and Analysis," Humanitarian Practice unstable political situation (for example, reconstruction alone and may ensure access to quality construction Network Paper 54, Overseas eastern provinces of Sri Lanka). not reach milestones, making it materials. Development Institute, http:// www.odihpn.org/report. Is viable for dispersed and remote impossible to receive second and asp?ID=2782; and Abhiyan, 2005, subsequent disbursements. Consider involving nongovernmental Coming Together: A Document on settlements (for example, Pakistan, organizations (NGOs) as part of the enabling the Post-Earthquake Rehabilitation Gujarat). system. Efforts by Various Organisations Working in Kutch (Bhuj: United Nations Development Programme/ Abhiyan), http://openlibrary.org/b/ OL3338629M/Coming_together. Case Study: 2005 North Pakistan Earthquake, Pakistan 4. See, for example, World Bank, Flexibility in ODR Housing Reconstruction and Retro itting 2009, "Implementation Completion and Results Report, Grants to the Following the North Pakistan Earthquake of 2005, the Pakistani government promoted ODR to Democratic Socialist Republic of rebuild some 400,000 houses. Under the lead of the Earthquake Reconstruction and Rehabilitation Sri Lanka for a Tsunami Emergency Recovery Program" and Yasemin Authority (ERRA), a multitude of international NGOs joined this program. Homeowners were Aysan, 2008, "External Evaluation responsible for the reconstruction of their own houses, with technical assistance and inancial of the Swiss Consortium's Cash for Repair and Reconstruction Project support disbursed in tranches. Insuf icient capacity in the ield can slow down the pace of in Sri Lanka 2205-2008," study construction and increase the likelihood of substandard construction work. To prevent this, ERRA contracted by the Swiss Consortium of Swiss Solidarity, HEKS, Swiss Red facilitated the mobilization of decentralized teams who could provide technical updates and on- Cross, and SDC, http://www.deza. site training to the scattered bene iciaries. ERRA also used ield observations and ield testing to admin.ch/ressources/resource_ en_173148.pdf. decide whether to allow different construction techniques and developed retro itting methods to 96 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S increase or maintain the seismic resistance of diverse housing styles. The approval of the local timber-frame construction style Dhajji was vital for the success of the reconstruction effort; statistical analysis indicates that, as compared to concrete block masonry, Dhajji houses are less costly and can be made acceptably seismic-resistant. Also, Dhajji construction techniques are easier for homeowners to understand, utilize, and adapt to local contexts, preferences, and resources. Three years after the earthquake, almost 300,000 seismic-resistant houses were nearing completion. An overarching factor in this success was the constructive way in which homeowners and those managing the implementation of the program were able to interact as the program was carried out. Source: A. van Leersum, 2009, "Implementing Seismic Resistant Construction in Post-Disaster Settings: Insights from Owner-Driven Reconstruction in Pakistan" (MSc thesis, Eindhoven University of Technology). The opinions expressed are those of the author and do not necessarily re lect those of the involved organizations. FEMA NEWS PHOTO Community-Driven Reconstruction (CDR) CDR entails varying degrees of organized community involvement in the project cycle, generally complemented by the assistance of an agency. The degree of control over reconstruction by the community in CDR projects varies between agencies and from project to project. The agency may take the lead, suggesting housing designs, technologies, and/or materials, and delivering construction inputs and training. The agency may also employ skilled and unskilled laborers from the community or facilitate the formation of construction committees. At the other extreme, the community may manage most of the reconstruction process and receive only the support of facilitators ("collective ODR"). In summary, CDR may involve one or more of the following roles for the community: Organization and planning of the entire reconstruction process, including housing and infrastructure Decisions regarding housing design and building materials Production of building materials such as bricks Distribution of building materials or other forms of housing assistance (e.g., cash and vouchers) Hands-on reconstruction Oversight of builders Experiences with CDR Adopted by several national NGOs following the 2001 Gujarat, India, earthquake. The level of satisfaction was relatively high, but lower than for ODR houses. Used successfully as collective ODR following the 2006 Java earthquake in Indonesia. See the case study entitled Organizing Community-Based Resettlement and Reconstruction, in Chapter 12, Community Organizing and Participation. Adopted by the United Nations Centre for Human Settlements (UN-HABITAT), KfW, and Urban Poor Linkage Indonesia (UPLINK) in Aceh, Indonesia, following the 2004 Indian Ocean tsunami. Each of these agencies used a somewhat different interpretation of the approach. UPLINK gave people more choice in house designs, but community-based construction committees were given control over the purchase and distribution of building materials and over the mobilization of reconstruction labor. (In some cases, local contractors gained control of these committees.) KfW gave building materials and inancial assistance directly to owners, but provided little choice over materials and designs. Used by the city of Ocotal, Nicaragua, to relocate and rehouse residents of displaced neighborhoods and highly vulnerable sites following Hurricane Mitch in 1998. Housing designs and building materials were proposed by a local architect, but receipt of a house was contingent on participation in construction of at least one family member. (See case study, below.) For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 97 Advantages Disadvantages and risks Recommendations Useful where: Overheads may be high because of Require upfront community new building technologies, agency involvement. agreement on level and type of materials, or housing designs are Agencies may leave little room for agency involvement. being introduced; individual preferences by imposing Ensure project staff is qualified agencies must bring in building standard designs and materials. to lead a participatory materials; or Local contractors capture community reconstruction process. housing reconstruction is linked to construction committees that manage Ensure community participation community development activities. large amounts of resources. throughout the project cycle, Real participation may be limited if: site selection, settlement Can foster social cohesion when people planning, and housing design. from different communities work consultation is only with together to organize relocation and community leaders whose Avoid overruling community reconstruction. views don't reflect those of the preferences and recognize the community; different needs and capacities Has high levels of flexibility and of community members. accountability and provides control for processes are captured by local owners over reconstruction. elites; Introduce governance mechanisms to prevent project Access to construction materials more participation is perceived as resources from being diverted assured. excessively time-consuming; or by local elites. Scale of project may contribute more women's perspectives are not strongly to reactivation of local economy. incorporated. Case Study: 1998 Hurricane Mitch, Nicaragua Successful CDR Project Built Social Capital After Hurricane Mitch struck the town of Ocotal, Nicaragua, damaging 1,164 houses and destroying 328, the mayor initiated a CDR project for resettling the affected population as well as for households located in high-risk areas. The guiding principle was to prevent future disasters by protecting the people, while improving the social cohesion of the community. The social dynamics of the community were carefully analyzed and community participation was promoted. The reconstruction process was explained to the citizens in community meetings, and the damage and loss assessment was conducted to re lect the community's own priorities. Further, the new building site underwent an extensive planning process during which the proximity of the site to the future residents' income sources was analyzed, as were possibilities for the future growth of the community, an important consideration when rapid population growth is expected. Culturally and environmentally appropriate house designs, including improved traditional building materials and techniques, were proposed by a local architect and presented to the community. Future residents discussed the design and could request modi ications, which were incorporated when technically feasible. Access to a house was contingent on full participation in the construction by at least one family member. Because Ocotal constructed its own adobe factory, it created much-needed employment in an effort to reduce out-migration from the town. Bene iciaries were trained in hazard-resistant construction, including the modi ication of traditional adobe building practices. Participation in the joint construction work on the building site made it possible for residents-to-be to establish initial contacts with their new neighbors. People's pride and self-esteem increased as the project progressed, social cohesion was fostered, and a positive neighborhood identity was created. The Ocotal reconstruction project successfully incorporated prevention and built social capital, which has contributed to the sustainability of the project. In all, approximately 300 new homes have been built to date. Sources: Esther Leemann, 2010, "Housing Reconstruction in Post-Mitch Nicaragua: Two Case Studies from the Communities of San Dionisio and Ocotal, " eds. DeMond S. Miller and Jason David Rivera, Community Disaster Recovery and Resiliency: Exploring Global Opportunities and Challenges (Auerbach Publications, forthcoming); and José Luis Rocha, 1999, "Ocotal: Urban Planning for People," Envio digital 218, http:// www.envio.org.ni/articulo/2299. Agency-Driven Reconstruction in-Situ (ADRIS) In ADRIS, a governmental or nongovernmental agency hires one or more contractors to design and build the houses. Design, materials, and expertise are likely to be imported from outside the community. The community may or may not be consulted on certain aspects of the project, such as house designs. House owners may be asked to take over some building tasks, such as curing concrete. Whereas house owners may also hire contractors within the framework of ODR, the principal contractor is accountable to the agency and may be contracted through formal tendering procedures. A special case of ADRIS is when a public agency reconstructs government-owned housing, on public property. 98 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Because ADRIS takes place on the owners' own land, it gives the homeowner some degree of control over quality, and sometimes the opportunity to participate in speci ic tasks. During construction, owners may be able to make suggestions to or modify the design. ADRIS eliminates the hurdle of land acquisition and generally allows the household to know where its house will be located. However, if housing designs are standardized or different from local designs, it may be dif icult to it the houses into pre-disaster settlement layouts or to modify them later. ADRIS, therefore, often results in similar or even worse outcomes than those of ADRRS, especially in the case of large-scale single-family reconstruction. Experiences with ADRIS Many international NGOs and private companies "adopted" villages and used ADRIS to build houses after the 2001 Gujarat, India, earthquake, even though government adopted an ODR policy. These projects often became a mix of ADRIS and ADRRS in adjacent sites where the housing designs did not it existing sites and individual households, humanitarian agencies, or local governments bought additional land for new construction. In some cases, contractors did not respect the heritage sites and spatial organization, and caused irreversible damage to historical villages. Many private voluntary organizations adopted ADRIS in Tamil Nadu, India, following the 2004 Indian Ocean tsunami. However, they required that the land be cleared of houses and vegetation before starting construction. As a result, hundreds of pre-tsunami houses that were culturally and climatically appropriate and easily repairable were demolished, and thousands of trees were felled, which negatively affected people's livelihoods and well-being. 5 Advantages Disadvantages and risks Recommendations Communities are not A contractor's construction modes, designs, Avoid ADRIS if local building capacity is displaced. and settlement layouts are often not available. People can be compatible with existing sites. If ADRIS is unavoidable, ensure community effectively involved Remaining built and natural environments participation in choices regarding housing in construction and may be considered an obstacle to design, site layout, building materials, and monitoring. reconstruction, leading to unnecessary construction. house demolition and tree removal, causing New building Ensure equitable distribution of project high social and environmental impacts and technologies can be benefits with transparent allocation criteria conflicts. introduced. based on social assessments, and monitor Exogenous building technologies may be their application. No land acquisition is used that have negative environmental required. Protect the heritage value of pre-disaster impacts and do not meet local environment, both built and natural, requirements. including buildings and trees that survived Community participation may be more the disaster. difficult to incorporate or may be limited to community leaders, resulting in Require contractors to use local building disproportionate benefits for elites. materials and designs. Construction quality is often poor due to Hire a professional project manager or "clerk inexperience of agency with oversight of the works" from the construction industry ofhousing construction, among other to supervise construction. reasons. Establish social audit mechanisms to ensure Contractors may encourage communities local accountability. See Chapter 18, to demand additional benefits from Monitoring and Evaluation, Annex 2, for a government. social audit methodology. Ensure quality control through an Corruption and exploitation by contractors. independent third-party audit. See Chapter 19, Mitigating the Risk of Corruption, Annex 2, for instructions on conducting a construction audit. Agency-Driven Reconstruction in Relocated Site (ADRRS) When using ADRRS, a governmental or nongovernmental agency contracts the construction of 5. Jennifer Duyne Barenstein, 2006, Housing Reconstruction in Post- houses on a new site, generally with little or no involvement by the community or homeowners. The Earthquake Gujarat: A Comparative community, government, or agency supporting the reconstruction may purchase the land for the new Analysis, Humanitarian Policy Network Paper 54 (London: settlement. Upon completion, the houses may be allotted through a lottery or using criteria de ined Overseas Development Institute), by the community or the agency, or both. ADRRS, often justi ied as a risk-mitigation measure, may http://www.odihpn.org/report. asp?ID=2782. C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 99 be advisable when communities are being relocated. And agencies may favor ADRRS for the ease of constructing on a clear site without tenancy issues or other complications. ADRRS is used by public agencies to reconstruct government-owned housing in a relocated site, generally public land. However, for single-family homes, ADRRS can be problematic. It can lead to the construction of costly, inappropriate housing of poor quality and settlement arrangements that do not meet the socio-cultural and livelihood requirements of the people, causing severe economic consequences and low occupancy rates. The argument that ADRRS results in higher construction quality is rarely valid, because of poor supervision or the lack of quali ied contractors. Moreover, inding an appropriate site can be a major challenge; failing to do so is, in fact, one of the principal reasons for dissatisfaction with this approach. The complexities of a decision to relocate are discussed in Chapter 5, To Relocate or Not to Relocate. Experiences with ADRRS International NGOs and national private companies opted for ADRRS after the 2001 Gujarat, India, earthquake because of perceived organizational advantages and higher visibility, including naming rights to new settlements. Local elites were sometimes given incentives to sell this approach to local of icials. By accepting these offers, people lost their access to government inancial assistance. When they later found the designs, layouts, and construction quality to be subpar and refused to occupy these villages, they ended up having to liquidate their assets, such as land and livestock, so they could rebuild elsewhere. An independent study found that in villages that opted for ODR, housing conditions were considered better than before the earthquake and economic conditions unchanged, while in villages reconstructed with the ADRRS approach, a signi icant percentage of households reported high levels of indebtedness and worse economic conditions.6 ADRRS has had positive results in urban contexts. Two examples are the city of Nagapattinam in Tamil Nadu, India, and Banda Aceh, Indonesia, after the 2004 Indian Ocean tsunami. In Banda Aceh, a Korean voluntary organization acquired land in a middle-class neighborhood for an urban housing project. Although the houses were small, high occupant satisfaction was attributed to housing design, good location, access to public services, and the fact that livelihoods were not site-dependent. See the case studies later in this chapter. Advantages Disadvantages and risks Recommendations Appropriate where pre- Difficulties and delays in finding appropriate Only adopt ADRRS if ODR is not disaster settlements are land. possible on safety grounds. located on hazardous sites. Negative socioeconomic impacts and Avoid this approach in rural areas, May be faster and more disruption of livelihoods from relocation anywhere people can manage house cost-effective. may cause occupancy rates to remain low. construction on their own, and where May allow pre-disaster Poor site selection may cause negative livelihoods are very site-specific. housing problems to be environmental impacts or re­create Carefully assess relocation effects addressed (for example, vulnerability of original location. on livelihoods and provide mitigation shortages, vulnerability, and Construction quality is often poor. measures. poor housing conditions). Identify beneficiaries and allot houses Loss of local building culture and capacity. More appropriate for dense during the planning stage. urban settlements, rental Disruption of access to common property and to natural and cultural heritage sites. Ensure community participation housing, and complex throughout the project cycle, site building technologies Settlement layout, housing designs, and selection, settlement planning, and (multistory construction). building technologies can be alien to local housing design. Can contribute to heritage communities and culturally inappropriate, particularly in rural areas. Establish social audit mechanisms conservation by relocating to ensure local accountability. See from sensitive sites. Repairs and extensions to houses built with Chapter 18, Monitoring and Can address housing needs exogenous building technologies may be Evaluation, Annex 2, for a social audit of various categories of the unaffordable. methodology. population simultaneously, Contractors may encourage communities Ensure quality control through an depending on design of the to demand additional benefits from independent third-party audit. See 6. Jennifer Duyne Barenstein, 2006, settlement. government. Housing Reconstruction in Post- Chapter 19, Mitigating the Risk of Earthquake Gujarat: A Comparative Lack of community participation or Corruption, Annex 2, for instructions Analysis, Humanitarian Policy Network Paper 54 (London: oversight may result in poor targeting, on conducting a construction audit. Overseas Development Institute), unequal distribution of houses, and elite http://www.odihpn.org/report. Take into consideration socioeconomic asp?ID=2782. capture. and gender-specific requirements 100 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Case Study: 2003 Bam Earthquake, Iran Shift from ADRRS to ODR during Bam Earthquake Reconstruction When the Housing Foundation of the Islamic Revolution (HF)-United Nations Development Programme (UNDP) joint housing reconstruction project started following the 2003 Bam earthquake, the government of Iran and the HF (the executing agency for the reconstruction) had not fully de ined the reconstruction approach. For the irst year of the project, the HF hired contractors to build housing units for the program's bene iciaries (129 female-headed households [FHHs]). But the poor performance and slow delivery by the contractors and their numerous claims for cost increases led the HF to shift after the irst year to ODR with technical assistance. The ODR approach followed several organized steps, namely, (1) submission of ownership documents or other veri iable proof of ownership in 1 of the 14 regional of ices of the HF; (2) request for rubble removal from the property; (3) request for a demolition or leveling permit from the Bam Municipality; (4) delivery of a letter to the landowner by the HF of ice that introduced the landowner to the licensed consultancy irms that had established branches in the HF of ices; (5) selection of a housing model from among those demonstrated by the private developers, contractors, UNDP, and international NGOs at the HF Technical and Engineering Site; (6) review and revision of the selected design with the consultancy irm until agreement on a inal design; (7) receipt from the municipality of guidelines for engaging a contractor; (8) preparation of documentation for loans and grants from banks; (9) selection, negotiation, and contracting of a licensed contractor; and (10) commencement of construction. The bene iciaries received their irst loan installment after the house foundation was complete. The shift to ODR resulted in more rapid reconstruction and higher satisfaction for the FHHs with the quality of the work. Source: Victoria Kianpour, UNDP Iran, 2009, personal communication, http://www.undp.org.ir/. Comparison of Reconstruction Approaches Reconstruction approaches can be compared according to the degree of household control, the form of assistance, the role of the actors, and where the reconstruction takes place. The factors can be combined in many ways. The following table compares the ive approaches discussed in this chapter. Reconstruction Degree of Form of assistance Role of actors Location approach household Financial Technical Community Agency Contractor In-situ New control site Cash Approach Very high Cash only None None None Household may Yes No hire Owner-Driven High Conditional TA/Training of None Project Household may Yes No Reconstruction cash transfer household oversight hire to household and training Community-Driven Medium to high Transfer to TA/Training Project Project Community Yes No Reconstruction household or of community organization oversight may hire community and household and oversight and training Agency-Driven Low to medium Funds handled Limited or Limited Management Agency hires Yes No Reconstruction by agency none of project in-Situ Agency-Driven Low Funds handled Limited or Limited Management Agency hires No Yes Reconstruction in by agency none of project Relocated Site Determining which reconstruction approach is preferable for an affected population--or even a subset of the population--is not a straightforward process. The disaster situation, and the conditions and preferences of households make each situation unique. This determination is also affected by the tenancy status of the household before the disaster and the desired tenancy status after reconstruction. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 101 However, some approaches may be more suitable to certain groups than others. The following table shows what may be the most suitable solutions for speci ic groups. It points out the importance of addressing the reconstruction requirements of owners who are landlords, since renters--a large proportion of the population in some countries, especially in urban areas--will be dependent on reconstruction by landlords. It is unlikely that a group of apartment dwellers (even if they were condominium or cooperative owners) would band together to reconstruct their units, particularly if reconstruction entailed relocation. However, this option is included here. More likely, they would liquidate their holdings and relocate elsewhere. The case study on the Gujarat earthquake, below, compares satisfaction levels of owner-occupiers with different reconstruction methods. Tenancy categories of Suitable reconstruction approaches affected population 1. House owner-occupant or Any approach. house landlord 2. House tenant If tenant can become a house owner-occupant during reconstruction, see #1. If tenant becomes an apartment owner-occupant, see #3. Otherwise house tenants are dependent on landlords to rebuild. 3. Apartment owner-occupant Cash or ODR. CDR if owners as a group can function as a "community." or apartment building Reconstruction of multi-family, engineered buildings will always involve landlord contractors, but owners may not require help of agency. 4. Apartment tenant If tenant can become a house owner-occupant during reconstruction, see #1. If tenant becomes apartment owner-occupant, see #3. Otherwise, apartment tenants are dependent on landlords to rebuild. 5. Land tenant (house owner) With secure tenure, same as #1, house owner-occupant. Without secure tenure, same as squatter. 6. Occupant with no legal If squatter can become a house owner-occupant during reconstruction, see #1. If status (squatter) squatter becomes an apartment owner-occupant, see #3. Otherwise, squatters are dependent on landlords to rebuild, or they remain without legal status. Risks and Challenges Underestimating an affected community's capacity to rebuild its houses and, hence, opting for reconstruction by contractors. Allowing those who can provide reconstruction funding to impose the reconstruction scheme. Building houses that people refuse to occupy for reasons of location, materials, design, or loss of livelihood. Not providing households participating in ODR projects with adequate assistance, facilitation, and supervision, resulting in poor construction quality, price in lation for materials, and other problems. Failing to take advantage of reconstruction as an opportunity to reduce risk and to strengthen local building practices and construction capacities. Inadequate oversight of private construction companies, which results in higher costs or inferior quality of construction. Designing and building houses that do not meet the communities' cultural and individual requirements because of a lack of community participation in reconstruction planning. Local elites who hijack the project bene its because eligibility criteria and assistance schemes were poorly designed or not monitored during implementation. Pressure to overinvest in housing that leaves little or no funding for on-site investments such as infrastructure and restoration of natural habitat. Failing to provide suf icient technical assistance and facilitation to ensure that poorer households participating in ODR schemes reach construction milestones and obtain access to subsequent funding disbursements. In urban areas, adopting ODR without strengthening institutional capacity for land use planning, regulation, and building inspection, which can result in increased vulnerability. Neglecting the needs of tenant categories other than homeowners, e.g. owners of multiple family housing, tenants, landlords, and squatters. 102 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Recommendations 1. When reconstruction is simple and mainly entails repair of damaged housing that is otherwise adequate, adopt CA; otherwise, whenever possible, adopt ODR. 2. Use CDR when community life and the local economy is disrupted by the disaster or relocation is required, or both. 3. Avoid ADRIS in rural areas and in places where the built environment and natural habitat are signi icantly intact. 4. If ADRRS is absolutely necessary, government should require community participation and establish simultaneous audit and oversight mechanisms. 5. Help communities rebuild their houses with facilitation and other appropriate enabling mechanisms identi ied through a social assessment that focuses on vulnerable households. 6. Ensure that reconstruction agencies take into consideration people's different housing needs, vulnerabilities, livelihoods, and family size in selecting reconstruction approaches and that socioeconomic factors and gender-related requirements are addressed. 7. Under every approach, ensure that construction methods embody good planning, risk reduction, and environmental principles. 8. Require community participation in all aspects of the process, even when outside agencies or the private sector are in the lead. Case Studies 1999 Eje Cafetero Earthquake, Armenia, Colombia Decentralization of the Rural Reconstruction Process using ODR When an earthquake struck the coffee-growing region of Colombia in 1999, national authorities worried about the repercussions of the disaster on the coffee exports-based regional economy. The President of Colombia created FOREC, a national fund that was put in charge of managing the overall reconstruction program. FOREC, in turn, decentralized the reconstruction process by distributing responsibility among 32 NGOs, putting each one in charge of a small town or a sector of an affected city. Rural reconstruction was assigned to the Coffee Growers' Organizations (CGOs), a network of local, regional, and national committees represented internationally by the Coffee Growers' Federation. However, the mission of a CGO was promoting coffee production and exports, not building houses or infrastructure. Lacking the means to implement a housing program, the CGOs opted for a user- or owner-driven approach in which bene iciaries were give responsibility for designing, planning, procuring, and building their own projects. FORECAFE, a rural reconstruction fund created by the CGOs, was charged with controlling the quality of construction on individual projects and managing progress payments, which were disbursed based on approval of the use of the prior payments. More than 14,000 individual housing, infrastructure, income-generation, and community services projects were completed in less than 18 months, thanks to an effective system of coordination of information, inancial control, and quality management. This post-disaster, user-driven reconstruction experience (one of the irst in Latin America) demonstrated the bene its of transferring responsibility over design, planning, and management of reconstruction directly to the individual bene iciaries of that reconstruction. Source: G. Lizarralde, C. Johnson, and C. Davidson, eds., 2009, Rebuilding after Disasters: From Emergency to Sustainability (London: Taylor and Francis), http://www.preventionweb.net/english/professional/publications/v.php?id=11329. 2005 Jammu and Kashmir Earthquake, India Quality Transitional Shelter Built by ODR Gets Affected Population through the Winter In October 2005, a massive earthquake hit the Jammu and Kashmir region of India, killing more than 1,000 people and injuring 6,300. The impact on housing in some communities was catastrophic. In Tangdhar region, for example, 5,393 of 6,300 houses collapsed and 266 were partially damaged. In addition, winter was fast approaching, threatening to block access roads to the affected area. In contrast to many post-disaster situations where temporary shelters are a makeshift solution for a few months, sometimes built with inappropriate materials, the Jammu and Kashmir government decided to provide robust interim shelters. A reconstruction policy was needed that re lected local needs, priorities, and climatic conditions, including a proposal for the interim shelter construction approach. The Jammu and Kashmir government analyzed such options as (1) government construction of houses, (2) contracting NGOs to construct housing, and (3) facilitating construction by households, as was done in Bhuj, India, after an earthquake hit that city. The option chosen was ODR, and enabling mechanisms were established, including providing cash assistance of Rs 30,000 (US$677) for those C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 103 whose houses had fully collapsed (enough for a 200 sq. ft. shelter) and sending engineers to survey villages and to help communities with technical issues. The transitional shelter design chosen could be built in two days. Although access to construction material was facilitated, people were encouraged to use lumber from their old houses to prevent shortages in the spring when permanent reconstruction work would begin. To ensure completion of shelter construction before winter hit, an incentive of Rs 5,000 (US$112) was given to the families that inished their sheds before the end of November while respecting safety norms. The reconstruction policy and technical advice were communicated to communities using lyers in Urdu and English with easy-to-understand drawings. In the end, 15,000 shelters--90 percent of the total--were completed by the end of November. A crisis was averted, thanks to a combination of a practical transitional shelter strategy, a clear message, good incentives, and strong support by the state for ODR. Sources: Kutch Nav Nirman Abhiyan, 2005, An Owner Driven Interim Shelter Initiative in J & K. Report on Tangdhar Region, http://www. kutchabhiyan.org/PDF/InterimShelter_Initiative_in_J&K.pdf. 2001 Gujarat Earthquake, India Citizens' Satisfaction with Different Reconstruction Approaches In 2004, an independent household survey compared citizens' satisfaction with different reconstruction approaches following the 2001 Gujarat, India, earthquake. The highest satisfaction was achieved with ODR with inancial assistance and technical assistance from government, complemented by additional material assistance from local NGOs. All families whose houses were built using this model reported that their housing situation was better than before the earthquake. A second approach, government-supported ODR without NGO assistance, was almost as popular, with 93.3 percent of households reporting being fully satis ied. Relatively high levels of overall satisfaction (90.8 percent) were also reported under a third approach: local NGOs using CDR. Satisfaction decreased when houses were built by contractors. Only 71.8 percent of the people reported being satis ied with contractor-built houses built in-situ (equivalent to ADRIS). Contractors' pro it imperative was held responsible for low construction quality. Only 22.8 percent of the people who received contractor-built houses in relocated sites (equivalent to ADRRS) reported being satis ied and only 3.5 percent considered the quality adequate. People complained about lack of participation, discrimination in favor of local elites, and disruption of family networks. Many people refused to move to new villages, and houses remained unoccupied. The study also showed that reconstruction by contractors was more costly and required more time than ODR. Source: Jennifer Duyne Barenstein, 2006, "Housing Reconstruction in Post-Earthquake Gujarat: A Comparative Analysis," Humanitarian Policy Network Paper 54 (London: Overseas Development Institute), http://www.odihpn.org/report.asp?id=2782. Contractor-built houses in Gujarat ALL PHOTOS: WHRC Owner-built houses in Gujarat 104 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Resources Abhiyan. 2005. Coming Together: A Document on the Post-Earthquake Rehabilitation Efforts by Various Organisations Working in Kutch. Bhuj: UNDP/Abhiyan. http://openlibrary.org/b/OL3338629M/Coming_ together. Adams, L., and P. Harvey. 2006. Cash for Shelter. Learning from Cash Responses to the Tsunami. Humanitarian Policy Group. London: Overseas Development Institute. http://www.odi.org.uk/ projects/details.asp?id=367&title=cash-voucher- responses-tsunami. Ayesan, Yasemin. 2008. External Evaluation of the Swiss Consortium's Cash for Repair and Reconstruction Project in Sri Lanka, 2005­2008. Bern: Swiss Agency for Development Cooperation. http:// www.sdc-cashprojects.ch/en/Home/Experiences/ SDC_Cash_Transfer_Projects/Cash_for_Repair_and_ Reconstruction_Sri_Lanka. KUTCH NAV NIRMAN ABHIYAN Barakat, Sultan. 2003. Housing Reconstruction after Con lict and Disaster. Humanitarian Policy Network Paper 43. London: Overseas Development Institute. http://www.odihpn.org/report.asp?id=2577. Causton, A., and G. Saunders. 2006. "Responding to Shelter Needs in Post-Earthquake Pakistan: A Self- Help Approach." Humanitarian Policy Network Humanitarian Exchange 34. http://www.odihpn.org/ report.asp?ID=2810. Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), 2003, Guidelines for Building Measures after Disasters and Con licts (Eschborn: GTZ), http://www.gtz.de/de/dokumente/en-gtz-building-guidelines. pdf. Duyne Barenstein, Jennifer. 2006. "Challenges and Risks in Post-Tsunami Housing Reconstruction in Tamil Nadu." Humanitarian Policy Network Humanitarian Exchange 33. http://www.odihpn.org/report. asp?ID=2798. Duyne Barenstein, Jennifer. 2006. Housing Reconstruction in Post-Earthquake Gujarat: A Comparative Analysis. Humanitarian Policy Network Paper 54. London: Overseas Development Institute. http://www. odihpn.org/report.asp?ID=2782. Duyne Barenstein, Jennifer. 2008. "From Gujarat to Tamil Nadu: Owner-driven vs. Contractor-driven Housing Reconstruction in India." http://www.resorgs.org.nz/irec2008/Papers/Duyne.pdf. National Disaster Management Agency, Pakistan (NDMA), 2007, Earthquake 8/10, Learning from Pakistan's Experience (Islamabad: NDMA), http://siteresources.worldbank.org/SOUTHASIAEXT/ Resources/223546-1192413140459/4281804-1211943362217/1Earthquake.pdf. C H A P T E R 6 : R E C O N S T R U C T I O N A P P R OA C H E S 105 PART 1 RECONSTRUCTION TASKS AND HOW TO UNDERTAKE THEM SECTION 2 PLANNING RECONSTRUCTION Guiding Principles 1 A good reconstruction policy helps reactivate communities and empowers people to rebuild their housing, their lives, and their livelihoods. 2 Reconstruction begins the day of the disaster. 3 Community members should be partners in policy making and leaders of local implementation. 4 Reconstruction policy and plans should be financially realistic but ambitious with respect to disaster risk reduction. 5 Institutions matter and coordination among them improves outcomes. 6 Reconstruction is an opportunity to plan for the future and to conserve the past. 7 Relocation disrupts lives and should be kept to a minimum. 8 Civil society and the private sector are important parts of the solution. 9 Assessment and monitoring can improve reconstruction outcomes. 10 To contribute to long-term development, reconstruction must be sustainable. The last word: Every reconstruction project is unique. Planning Reconstruction 7 LAND USE AND PHYSICAL PLANNING Guiding Principles for Land Use and Physical Planning This Chapter Is Laws, regulations, plans, and institutional frameworks should form the basis of reconstruction Especially Useful For: planning. If existing instruments are not realistic, or are contributing to informality, use the Lead disaster agency reconstruction process as an opportunity to improve them. Local government of icials The planning process should incorporate active collaboration among the reconstruction Land use planners agencies, the affected community, the private sector, and other stakeholders, thereby Agencies involved in engendering their ownership of the planning process. reconstruction The planning process should respond to issues of land rights and titling and to discrepancies in Project managers the administration of land records, address the needs of informal occupiers of land, and work with them to identify viable alternatives. While addressing long-term development and DRR goals, land use and physical plans should still be lexible and offer choices, rather than become static "master plans." Land use and physical plans integrated with strategic planning can address reconstruction, DRR, and long-term development, yet be readily translated into action plans and investment proposals, including those that promote private investment. The planning process needs high-level support, active leadership from the government agencies that will actually implement the plans, and involvement from local communities. Introduction Land use planning is done to identify alternatives for land use and to select and adopt the best land use options. The main objective of land use planning is to allocate land uses to meet the economic and social needs of people while safeguarding future resources. Land use and physical planning have an integrative function. Therefore, this chapter needs to be read along with Chapter 8, Infrastructure and Services Delivery; Chapter 9, Environmental Planning; Chapter 10, Housing Design and Construction Technology; and Chapter 11, Cultural Heritage Conservation. The issues dealt with in these chapters need to be addressed comprehensively during any meaningful planning process. Land use and physical planning exercises provide a forum in which the interests of multiple stakeholders as well as the physical, social, and economic constraints on land uses can be debated and balanced in the post-disaster context. Speci ically, post-disaster planning provides: tools and processes for organizing housing and infrastructure reconstruction in space and over time, addressing the impacts of the disaster and disaster risk reduction (DRR); a framework for stakeholders and elected representatives to relate reconstruction to longer- term mainstream development priorities; and an opportunity to modify policy, legislation, and regulations; strengthen institutions; and improve construction methods. This chapter shows how land use and physical planning--complex processes with normative, institutional, and technical aspects--can be used to establish a coherent framework within which affected populations can permanently reestablish their housing, settlements, and livelihoods after a disaster. Key Definitions Land use planning is a public policy exercise that designates and regulates the use of land in order to improve a community's physical, economic, and social ef iciency and well-being. By considering socioeconomic trends as well as physical and geographical features (such as topography and ecology), planning helps identify the preferred land uses that will support local development goals. The inal outcome is allocation and zoning of land for speci ic uses, regulation 109 of the intensity of use, and formulation of legal and administrative instruments that support the plan. A land use plan may be prepared for an urban area, a rural area, or a region encompassing both urban and rural areas. Physical planning is a design exercise that uses the land use plan as a framework to propose the optimal physical infrastructure for a settlement or area, including infrastructure for public services, transport, economic activities, recreation, and environmental protection. A physical plan may be prepared for an urban area or a rural area. A physical plan for an urban region can have both rural and urban components, although the latter usually predominates. A physical plan at a regional scale can also deal with the provision of speci ic regional infrastructure, such as a regional road or a bulk water supply system. Land use plans and physical plans are not necessarily mutually exclusive. It is common practice in many countries to prepare comprehensive development plans that address both land use zoning and the provision of physical infrastructure. Such an exercise is more meaningful if carried out in the context of a strategic planning process, whereby the proposals in the land use plan and the physical plan become part of a comprehensive development plan. While land use and physical plans are outcome-oriented, strategic plans are more process-oriented. Key Decisions 1. The lead disaster agency should decide with local government, immediately after the disaster, how they will share responsibility and coordinate aspects of reconstruction related to local planning and land use, including decisions on land use changes and relocation. They should also decide whether technical assistance will be needed at the local level. 2. The lead disaster agency should determine how geographic, satellite photography, and other data useful for land use planning will be shared with and among all agencies involved in reconstruction, to save costs and improve planning outcomes. See Chapter 17, Information and Communications Technology in Reconstruction. 3. Local government should decide immediately whether its existing land use plans, regulations, and building codes are suf icient to manage the recovery and reconstruction or to what extent they need to be modi ied. Building code revision, if required, is time-consuming and needs to start immediately. 4. Agencies involved in reconstruction should establish a joint timeline for reconstruction early on that allows enough time for planning without impeding the reconstruction process, and should agree on a communications strategy with the public regarding land use issues. See Chapter 3, Communication in Post-Disaster Reconstruction. 5. Local government should participate in assessments or initiate studies to determine how existing land uses and construction technologies contributed to disaster impacts and to determine how regulations should be modi ied to reduce future disaster risk. 6. Agencies involved in reconstruction, local government, and land administration agencies should collectively decide during assessment whether relocation will be part of the reconstruction process, and whether land tenure issues will need to be addressed, so that preparation for these activities can begin immediately, due to their long lead time. See Chapter 5, To Relocate or Not to Relocate. 7. Local government should determine how it will manage (1) plan review and approval, (2) issuance of building permits, (3) contractor training, and (4) construction inspection. Local government should also determine whether local capacity and institutions are adequate to ensure safe rebuilding or what, if any, assistance will be needed. Public Policies Related to Land Use and Physical Planning Local and National Policies and Regulations Public agencies at the national, state, and local government levels in disaster-affected countries may already have in place physical and land use policies and regulations, including special provisions to manage post-disaster planning. Implementation of the policy may fall within the jurisdiction of the Ministry of Public Works, the Ministry of Land, and/or the Ministry of Urban Development and Planning, at different levels in different departments. Most disaster-affected urban areas have physical and land use policies and regulations in place, generally under the jurisdiction of the local planning department or planning commission. Rural areas may have no plans or may be governed by regional or rural development plans overseen by a higher level of government, such as the state or province. 110 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S International Frameworks Land use, land ownership, and land rights issues are addressed in a number of framework documents and instruments issued by international agencies. Some key agreements are included in the Resources section below. Physical planning, because it is context-speci ic, is addressed less in international frameworks. However, numerous organizations, including the Oregon Natural Hazards Workgroup,1 the Shelter Centre and the United Nations Of ice for the Coordination of Humanitarian Affairs (UN OCHA),2 the United Nations Environment Programme (UNEP),3 and the European Union's Sustainable Urban Development Unit4, have prepared useful guides that address physical planning issues. Technical Issues DANIEL PITTET Is There Time for Planning? Planning as a process is inevitable in a reconstruction scenario, whether the decision is to just rebuild houses or to achieve comprehensive development resilient to future disasters. The key questions are: How detailed will the planning process be? Will the planning process enable reconstruction or become an impediment in itself ? These questions are answered by defining the planning process. We may plan for simple housing layouts where land is available or we may take affected communities through a properly structured planning process, which results in communities expressing their needs and aspirations. While the latter takes more time, the time required can be managed by synchronizing outputs with the reconstruction process, as described below. Is There Information for Planning? Lack of information is frequently put forward as a reason to forgo planning, and the disaster may have worsened an already inadequate situation by destroying information or making access to 1. Oregon Natural Hazards it more dif icult. But supplementary information can be readily mobilized using various means, Workgroup, Partners for Disaster Resistance & Resilience, 2007, including information technologies and participatory data-gathering methods. Lack of information "Post-Disaster Recovery Planning should almost never be a reason not to plan. See Chapter 17, Information and Communications Forum: How-To Guide," http://nctr. pmel.noaa.gov/education/science/ Technology in Reconstruction. docs/Reports/OR_Post-Disaster_ Guide_20070716_Draft.pdf. 2. United Nations Of ice for the Is There Capacity for Planning? Coordination of Humanitarian Affairs (UN OCHA) and Shelter Lack of institutional capacity often discourages decision makers from attempting a planning process. Centre, 2010, Shelter After Disaster: While a planning process usually presumes both the existence of a legal and institutional framework Strategies for Transitional Settlement and Reconstruction (Geneva: UN to mandate the process and the professional capacity to implement the prepared plans, these are not OCHA), http://www.sheltercentre. org/library/Shelter+After+Disaster; absolute prerequisites. Various pragmatic approaches have been tried out in post-disaster situations and T. Corsellis and A. Vitale, under less than ideal circumstances. Annex 2, How to Do It: Post-Disaster Planning Where 2005, Transitional Settlement: Displaced Populations (Oxford: Planning Law and Institutional Capacity Are Weak, summarizes these approaches. Oxfam Publishing), http://www. sheltercentre.org/node/3128/ download/2179. Define a Planning Process to Guide Reconstruction 3. UNEP, 2008, "Environmental Needs Assessment in Post-Disaster Need for a planning process. Keeping housing reconstruction in focus, there is a strong case for Situations: A Practical Guide a planning process if (1) the impact of the disaster is intense and widespread; (2) there is a need for Implementation," http:// www.humanitarianreform.org/ to mitigate future risks from the same or other types of disasters; (3) displacement of the affected humanitarianreform/Portals/1/ population is likely due to loss of land, land rights, titling issues, or high vulnerability of pre-disaster cluster%20approach%20page/ clusters%20pages/Early%20R/ housing locations, or (4) the reconstruction tasks are complex. Annex 1 to this chapter, How to UNEP%20PDNA_pre- ield%20 test%20draft.pdf. Do It: Undertaking a Comprehensive Planning Process, describes the key steps in carrying out a 4. European Commission, 2002, planning process. Consultative Guidelines for Sustainable Urban Development Co-Operation towards Sustainable Legal and institutional frameworks for planning. Land use and physical planning are usually Urban Development: A Strategic Approach (Luxembourg: European governed by law and need to be carried out in conformity with such laws. Ad hoc reconstruction Commission), http://www.ucl. ac.uk/dpu-projects/drivers_urb_ processes tend to result in legal tangles and titling issues later. At the same time, existing laws and change/of icial_docs/Tow_Sust_ CHAPTER 7: LAND USE AND PHYSICAL PLANNING 111 institutions may be inadequate to respond to post-disaster needs, and therefore the need for updating should be assessed immediately following the disaster. This is especially important if the legal framework and instruments do not re lect the practicalities of how people build, and therefore contribute to the informal construction and land uses that may themselves have contributed to the scope of the disaster. Functional scope and geographical jurisdiction. While a conventional planning process can address a wide range of concerns, post-disaster reconstruction planning should focus on topics that enable safe and sustainable community rebuilding. The geographical area for planning should also be clearly delineated. Timeline for planning. The deliverables of the planning process should be in synch with reconstruction priorities. For example, identifying land for relocation and updating building codes are likely to be the most urgent priorities. Define Principles to Guide Planning No matter the scale of the planning exercise or whether it is used to update plans or develop new ones, good planning principles should guide the process. The best principles for planning are those that both professional planners and the community agree on and those that embody the larger development vision for the locality. Some principles to be considered are discussed below.5 At the town level Plan for growth. Land use planning may be done to reallocate existing land uses in the short term, but it generally has a longer, more prospective focus, especially in urban areas that are growing or whose growth may be affected by the disaster. Planning for the future relies on assumptions about population change and future demands for land and services. For this reason, developing reliable projections of population and use of services (such as highway traf ic) is an essential early step in the land use planning process. Restore connectivity. Restoration of the social and economic linkages is important for revival of communities. Transportation, communication, and road networks must be priority items in reconstruction so that they can transport labor and material for reconstruction. Connectivity at the local level will make mobility easy for all means of transportation, including walking and bicycles, and will support livelihood activities. Consolidate unused land. Since reconstruction requires land, plans may be needed to consolidate land so that it can be made available for development. Unused public land and abandoned industrial land are two sources to be considered. Improve energy ef iciency and consider environmental impact. Reconstruction presents excellent opportunities to promote housing designs, development patterns, and neighborhood layouts that lower energy consumption and encourage a lifestyle that has a low impact on the environment. Even landscaping and house orientation contribute to these goals and should be carefully planned. 5. World Bank, 2008, "Planning for Urban and Township Settlements Create development nodes. Relocated and rehabilitated settlements should be planned so that After the Earthquake," Good they are attractive for investment and development. Providing quality public services and sites Practice Notes, http://siteresources. worldbank.org/CHINAEXTN/ for services and other land uses desired by residents will help new settlements become vibrant Resources/318949-1217387 111415/Urban_planing_en.pdf. communities. 6. World Bank, 2008, "Planning for Reconstruct strategic towns. Economic centers that serve as growth engines should be Urban and Township Settlements After the Earthquake," Good reconstructed as early as possible. Strategic towns and cities absorb population, generate Practice Notes, http://siteresources. employment and nonwage economic opportunities, and provide social services to affected worldbank.org/CHINAEXTN/ Resources/318949-1217387 people. Even if such cities have the capacity to meet the needs of their own population and 111415/Urban_planing_en.pdf. 7. Escape routes were found to be support other villages and towns, they may need assistance to plan reconstruction.6 a high-priority infrastructure improvement for communities after At the site level the 2004 Indian Ocean tsunami. Improving escape routes may Integrate residential, ecological, and economic land uses. Home-based businesses are the require the acquisition of land to expand rights-of-way. This can be life blood of low-income communities. Ensure that neighborhood plans and housing designs accomplished through negotiation provide adequate and appropriate space for these activities. A common tool for achieving this or through conventional compulsory land acquisition if a voluntary is mixed-use zoning that allows residential and certain commercial activities to be carried out solution cannot be found. 8. Speech of Chinese Ambassador Zhou from the same plot. The environmental setting and ecological footprint of a neighborhood also Wenzhong, Chinese Embassy in the affect quality of life and should be priority concerns in site planning. United States, "Sichuan Earthquake: Relief, Recovery and Reconstruction," Avoid enclave development. Relocating communities in enclaves isolates them socially, July 25, 2008, http://www.china- prevents economic integration, and brings a host of social problems. Therefore, while planning embassy.org/eng/sgxx/t478233. htm. for relocation, careful integration into the fabric of the receiving settlement is essential. 112 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Plan for emergency access. Any settlement plan must identify escape and evacuation routes and provide access for emergency vehicles and ire service engines. Those affected by the disaster may not return or occupy sites that don't have adequate escape routes.7 The Key Actors in a Planning Process and Their Roles Level of government Roles Central or national government Invoke federal/national law, only where the situation warrants. Mobilize the relevant government agencies to undertake, commission, and supervise planning. Provide funding or support for accessing international funding. Provide specialized technical expertise if required. Ensure public investments conform to plans and codes. State or provincial government Provide legal mandate for the plans. Create the policy environment in which the plans are prepared. Mobilize the relevant government agencies, including regional entities, to guide and support the planning process. Provide technical expertise as required. Provide funding or support for accessing funding. If regional planning is required, carry out the planning process. Local government Carry out the planning process at the local level. Create structures to enable meaningful community participation. Be committed to implementing plans prepared with community participation. Approve plans and establish the regulatory framework for implementation. Carry out communications campaigns and training programs to ensure compliance with plans and codes. Review and approve building plans, enforce building codes and land use regulations, carry out inspection, and administer sanctions. Community Participate in the land use, physical, and strategic planning processes. (affected people as well as larger Develop a collective vision for the future of the community. community) Arrive at consensus on policy issues that cut across communities. Where relevant, prepare community-level detailed plans in conformity with larger policies. The case study on the 2004 Indian Ocean tsunami in Aceh, Indonesia, below, describes how communities took the lead in remapping land parcels as the first step in a wide-ranging process to formalize land ownership. Project facilitators Interpret government policies to set out the agenda for planning. (planners, nongovernmental Educate the community on planning imperatives and the policy framework. organizations [NGOs], and other Interpret technical information and offer viable choices to government and communities to enable informed intermediaries) decision making. Develop and carry out projects that comply with plans and codes. Technical experts Carry out technical investigations, data collection, and analysis to support planning. Develop technical recommendations and options. Assist with implementation of plans and codes. The actual distribution of roles will depend on the existing legal and institutional frameworks as well as the actual capacity at the local government level. An interesting experiment in progress at the time of this writing is the pairing of cities in China following the 2008 Wenchuan earthquake. The cities and towns affected by the earthquake are being paired with those unaffected by the earthquake for inancial, technical, and logistical assistance. 8 Differentiating the Planning Process for Urban, Rural, and Regional Contexts While the generic planning process, as well as the core issues that the process addresses, will remain largely similar in urban, rural, and regional contexts, there are differences that need to be recognized. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 113 Urban areas. The planning process in urban areas tends to be more complex and prone to con lict and contestation. Land values are higher, property ownership is more complex, and lexibility to change land uses is often more limited. It is important to acknowledge that land use planning is going through a paradigm shift across the world. From an earlier, purist approach of exclusive zones for speci ic uses (e.g., residential, commercial), there is a shift toward appropriate mixes of compatible uses (e.g., residential with small businesses, institutional with of ices). From an earlier approach of lat, low-density urban development, there is a shift toward more compact cities with variable density correlated with urban transport systems. Other distinctive characteristics of urban planning include the following. Developed or built-up areas predominate. Therefore, the land use plan needs to re lect and plan for diverse land uses. The demand for infrastructure will be higher (in both quantitative and qualitative terms) and the provision of infrastructure more complex and costly. Therefore, housing reconstruction must be closely coordinated with the development of infrastructure. Urban land use planning has an immediate and highly visible impact on urban land values. Therefore, a transparent approach to planning is essential. Urban areas are more likely to have agencies that undertake planning and regulation as well as professionals for design and supervision. Therefore, the approach to DRR is usually based on planning and regulation. Investments in urban settlements and infrastructure during reconstruction should contribute to already-established urban development goals. Development control and regulation systems are usually present in urban areas but tend to be lawed and complicated, creating high incentives for noncompliance. DRR initiatives therefore need to focus on simple and effective regulatory systems. The case study, below, on the 1985 Mexico City earthquake shows how the deterioration of apartment buildings caused by the lack of building code enforcement may have contributed to the disaster impact, and the cost of reconstruction. Stakeholder participation in urban areas is relatively dif icult due to such factors as: the diversity of interests resulting in more con lict, higher sensitivity of residents to delays, and the volatility of public opinion in post-disaster situations. People are also more mobile and their free time is more limited. Urban residents often care more about their own space than about common space, since geography is only one basis for identity in an urban context. Rural areas. In rural areas, the settlements and associated built-up areas form a relatively small part of the larger landscape. Land values are lower, and, while ownership and titling issues exist, they can often be resolved relatively easily through participation. The sense of ownership is higher in rural areas, and the social structure plays a major role in the dynamics of reconstruction. However, community participation is fully achievable in a rural context. Other features of rural planning include the following. Land use plans need to respond more signi icantly to natural features, such as geology, topography, hydrology, and ecology. The classi ication of uses within a settlement will assume less signi icance while in the larger landscape will re lect the diversity of uses in agriculture, animal husbandry, forestry, and other related activities. Institutional arrangements for regulating development are nonexistent in rural areas of most developing nations; there may be no designated planning agency whatsoever. The approach to DRR should be based on building awareness and training construction workers. A land use plan in a rural area may not dramatically change land values, but can still have a signi icant impact on the sustainability of development. Physical planning may be limited to a basic road network and essential services within the settlement. However, there may be planning required to support agriculture and other rural livelihoods. Housing is usually designed and built by owners themselves or by local masons. It is important that building regulations are responsive to the local cultural context. Regions. Regional plans become relevant if there are reconstruction requirements or vulnerability mitigation issues that are spread over large, geographically integrated areas. For example, if the road network in a large area has been damaged or if an entire loodplain has attracted high-risk land uses, a regional plan may be the appropriate vehicle. Coastal zones also may have special planning or regulatory regimes that govern set-backs and land uses across multiple jurisdictions. Other considerations with regional planning include the following. DANIEL PITTET 114 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S A regional land use plan will deal with macro-level issues, like locations of settlements, protection of forests, and management of coastal zones, river basins, and loodplains. However, such plans by themselves will not be enough to guide the post-disaster reconstruction process. Physical planning at the regional scale will primarily look at the facilities for regional infrastructure, such as regional roads, structures for watershed management, and bulk water pipelines. The institutional arrangements for regional planning can vary from state or provincial governments to special agencies set up to coordinate development in a particular zone. Their planning capability will vary. Regional plans are often developed with an economic focus. Their utility in a post-disaster context may be to connect disaster recovery to the economic goals set out in the plan. Regional plans have to be complemented by plans for the rural and urban areas within the region. Note on planning terminology. A wide range of terms are in vogue for various kinds of plans: Vision Plan, Structure Plan, Outline Plan, Development Plan, Concept Plan, Master Plan, Strategic Plan, and so on. There are considerable overlaps and similarities in the contents of these differently named plans. Each country, state, or locality will have terminology that is accepted in that context. The following section describes a fairly generic process that captures most of the contents and formats that are used across the world. It is recommended that the process adopted in each context build on processes that are understood locally, while improving on them, adding whatever is missing in terms of content, format, or processes. Planning in the Post-Disaster Context When a planning process is contemplated, the irst question asked is "What topics and issues should the plan address?" or "What are the components of a good post-disaster reconstruction plan?" This section describes what needs to be addressed in a comprehensive post-disaster reconstruction plan. The second question is "How do we go about it?" How to do planning is covered in Annex 1, How to Do It: Undertaking a Comprehensive Planning Process. In situations where the institutional capacity is limited, realistic decisions will be required about how much planning can be achieved, which is dealt with in Annex 2, How to Do It: Post-Disaster Planning Where Planning Law and Institutional Capacity Are Weak. Generic Content of a Comprehensive Post-Disaster Reconstruction Plan Land use In a non-disaster situation, a comprehensive plan would address land uses for all purposes, including transportation, governmental, industrial, commercial, and residential. After a disaster, the planning exercise may focus primarily on land for housing and infrastructure reconstruction, but should not ignore other land use requirements, especially any others that have been affected by the disaster. This component of the planaddresses the issues and questions listed below. Housing needs assessment How many houses have been destroyed or damaged? Is it safe to rebuild in the same location? Are there multi-dwelling buildings (apartments)? Are there tenancy, land rights, or titling issues? What is the housing need in different categories? Assessment of land If in-situ reconstruction is possible, can adequate DRR measures be implemented in available sites? If relocation is availability required, is there public land available? What are the criteria for choosing relocation sites? What are people's preferences in relocating? What are the underlying socioeconomic and political dynamics? Land allocation planning What is government policy on land for housing reconstruction and other purposes? Will housing reconstruction be plotted (single- family) development or apartment construction? What will be the process for acquiring and allocating land? What will be the policy on land allocation for social and physical infrastructure? Is there any need for land consolidation or land pooling? Titling What sort of tenure is to be granted to those who have been allotted land? How will the property rights documents be created and provided? How will the rights of women be protected? The outputs of this component will include (1) maps showing locations for housing reconstruction, (2) tentative or conceptual housing layouts (housing design is a separate activity), (3) housing project briefs with cost estimates, and (4) policy recommendations, if required. Land use zoning and building codes Land use zoning is a systematic way of managing the nature and intensity of land use in a specific area. The output is a map (with an accompanying table) showing various zones where specific uses or a mix of uses may be permitted. This component should address such questions as: Is there a system for land use zoning? Is it adequate to address DRR requirements? To reduce risk while accommodating future growth, what type of land use zoning is required? What is the institutional mechanism for implementation of the zoning? Is it market friendly? User friendly? How will informal settlements of the urban and rural poor be integrated into the land use zoning? Land use zoning imperatives are different in rural and urban settings, as discussed later in this chapter. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 115 Building codes and This component relates to the design, construction, and performance of buildings. The issues that need to be addressed development regulations include: Is there a regulatory system in place? How effective is it? Are prevailing codes responsive to prevailing hazard risks? What codes need to be put in place? How would they relate to land use zoning? Do existing procedures for building permission need improvement? What is the architectural heritage of the region? How can building codes accommodate local traditions? Do local building techniques need enhancement for disaster resilience? How will the new building codes affect housing affordability? How will codes apply to informal settlements of the urban and rural poor? The typical output is a set of Building Codes, Building Bylaws, or Development Control Regulations (the rule book for building design and construction). Guidelines and manuals If time or institutional constraints make it unrealistic to update building codes and regulations in advance of reconstruction, an alternative is to produce advisory guidelines and manuals that can be used in reconstruction. These guidelines and manuals should be based on standards and codes from an area with similar building technologies and housing designs. There are risks associated with using standards that are inappropriately stringent or from areas with different building technologies. The promulgation of the guidelines should be accompanied by a social communications program, training of builders, and a strategy for overseeing reconstruction. See Annex 2, How to Do It: Post-Disaster Planning Where Planning Law and Institutional Capacity Are Weak, for more guidance on this situation. Physical plan Several key elements of physical planning are listed here. Planning may address them collectively, or each may be dealt with separately if the situation demands it. Road layout What is the existing road network in the settlement or region? Is it adequate for speedy evacuation and rescue in the event of a disaster? Are new road connections required to reduce risk and enhance preparedness? Are new roads required to provide connectivity to housing reconstruction locations? What is the extent of damage to roads? Are engineering improvements required? The output of this component will include road network maps and project briefs for road construction. Plot layout This relates to proposed housing reconstruction. While detailed design of housing layouts is a separate activity, at the planning stage it is important to prepare at least a conceptual layout of the proposed housing to ensure that the land allocation is adequate and that major issues have been addressed. The output is a set of plot layout plans. Planning for infrastructure This component deals with network alignments and land allocation for infrastructure services. The critical services and services include water supply, wastewater management, solid waste management, and storm-water management. Power supply and telecommunications networks may also be important. In all these cases, the existing systems need to be documented and proposed improvements need to be conceptually worked out to the extent that is required for assessing land-related issues. The output is a set of maps. Project formulation for infrastructure is a separate activity, but may be carried out concurrently or integrated with the planning process. Planning for public buildings This component deals with allocation of land for facilities related to health, education, government, recreation, community and social infrastructure development, and disaster shelters. In the planning process, the questions that need to be addressed are: What facilities existed pre-disaster? Should refuges be built? What is the extent of damage? Do any facilities need relocation? Were pre-disaster facilities adequate? What does the reconstruction policy envisage: restoration of pre-disaster levels or improvement? What is the land requirement? What facilities are required as part of new housing to be created? The output of this component is a set of maps showing locations of proposed facilities and project briefs for creating them. Planning infrastructure projects is covered in Chapter 8, Infrastructure and Services Delivery. Local economic development A comprehensive planning process needs to look at the economic base of the settlement/region and the need for interventions in the post-disaster situation. For example, if the disaster has destroyed livelihoods and economic diversification is a dire necessity, then the planning process needs to generate proposals for creating new job opportunities. In most cases, this will have a land allocation or land use zoning dimension. The output will consist of project briefs and, where relevant, maps showing land allocation. Cultural heritage conservation Issues related to cultural heritage conservation are dealt with in detail in Chapter 11, Cultural Heritage Conservation. In the planning process, conservation imperatives will find reflection in land use zoning, building regulations, and land allocation for cultural projects where relevant. Implementation strategy Everything decided or developed in the planning process will remain wishful thinking if inadequate attention is paid to the strategy for implementation. While immediate post-disaster needs (usually "restoration") will find funding easily, for long- term recovery it may be necessary to develop strategies to generate funding from multiple sources. This section of a plan should bring together the "big picture" of the reconstruction process, define the implementation process, estimate overall funding requirements, and assign roles, responsibilities, and tasks. 116 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Addressing Land and Property Rights and Land Titling Issues In a post-disaster situation, the following issues related to land and property rights and titling typically emerge: 1. Determining land and property rights that existed before the disaster and the entitlement to land or housing assistance after the disaster 2. Addressing the situation of people with uncertain tenure rights in reconstruction policy making and reconstruction planning 3. Providing certainty of land title or expanded land rights in reconstruction to those affected by the disaster, irrespective of their pre-disaster situation. 9 Lack of land tenure security is usually compounded by pre-disaster institutional weaknesses related to land and property rights, described below. Pre-disaster dysfunctionalities. There is an inextricable connection between poorly functioning land systems and disasters.10 Where tenure security is weak or land markets are not accessible by all groups, vulnerability is higher, disaster impacts are greater, and recovery is slower. Indicators of poorly functioning land systems include: a large number of settlements where occupants have extralegal or informal tenure11; 9. In Aceh, Indonesia, following poor land governance, including outdated, incomplete, or erroneous land records and weak the 2004 Indian Ocean tsunami, government announced that capacity in land administration institutions; residents would have the "right to return," a policy that was subject to lack of tenure security with all types of property rights; signi icant debate over its practical inferior land rights for women because of inheritance, marital law, or administrative practices; and meaning for years afterward. 10. United Nations Centre for Human highly unequal land distribution, including the inability of large sections of the urban Settlements (UN-HABITAT), 2008, population to afford formal land access in locations that are supportive of livelihood activities. "Scoping Report: Addressing Land Issues after Natural Disasters," Before a disaster, weak land systems will cause populations to settle in high-risk areas and will leave http://www.gltn.net/images/ stories/downloads/utf-8nat_ these settlements beyond the reach of DRR measures. Occupants with weak tenure rights hesitate disaster_scoping_paper_jan_08.pdf. to evacuate, despite pre-disaster warnings, for fear of losing their land--and may instead lose their 11. Customary systems are not necessarily an indicator of poorly lives. Female-headed households, more apt to evacuate, face disproportionate risks of lost land or functioning land systems. In some property from invaders or theft. locations, such as rural Africa, they may be the most appropriate system. 12. UN-HABITAT identi ied 31 different Post-disaster complexities. After a disaster, an in lux of the poor and landless from other areas to tenancy situations in the affected take advantage of temporary emergency shelters can make closing these shelters dif icult when the population in Peru following the 2007 Ica/Pisco earthquake. disaster subsides. Renters, squatters, and landless people who leave the area may have dif iculty UN-HABITAT, the Department for returning to their disaster-affected land, reestablishing their lease terms, or securing affordable rent. International Development (DFID), and the Ministry of Housing, Legal owners may have lost records or have customary rights with no documentation. The number of Construction and Sanitation, "Final Report, Land Ownership and tenancy categories may far surpass what is anticipated in the law.12 None of these problems is solved Housing" ("Informe Final, Tenencia easily or rapidly in most countries, even under the best conditions, and they will inevitably arise in de la Tierra y la Vivienda"), 2008, Centro de Estudios y Promoción housing reconstruction programs. Some potential solutions are summarized in the following table. del Desarrollo. Measures to Consider for Solving Post-Disaster Land Rights Problems Common land rights problem Potential solutions Occupants of informal settlements whose The resolution of such a problem is inevitably linked to pre-existing government policies on slums and occupancy is of uncertain tenure rights squatter settlements. However, the post-disaster situation usually offers a unique opportunity to provide these households with secure tenure as part of the reconstruction program, particularly if they are affected by the disaster. Owners with documented land rights who Use community-based mechanisms or traditional authorities to validate claims. have lost documentation in the disaster Provide new (or interim) documentation to landowners, including in previously undocumented areas. Owners with rights to land, but no formal title Provide technical assistance to the land administration agency to accelerate normal land administration or documentation to prove it or with property procedures, including replacement of documents, formalization of unrecorded subdivisions, and title but no land title transfers, especially those from one generation to another. Use duly authorized mobile "land administration teams" to expedite the process of consolidating legitimate claims to property. Provide assistance so that owners can negotiate clear title with the possessor of land. After the 2000-2001 Mozambique floods, the United Nations Human Settlements Programme (UN-HABITAT) helped the government analyze how poor land management had contributed to the disaster and identify projects to remedy weaknesses in the land management system, as discussed in the case study, below. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 117 Common land rights problem Potential solutions Landless who need to be relocated, including Acquire public land. A common solution is to use public land for relocation. However, availability is not disaster refugees sufficient justification; use should be preceded by a good site evaluation. Acquire private land: Market-based acquisition from landowners willing to sell. Government offers limited fiscal incentives to sellers (property tax rebate). Offer long-term rental assistance rather than land ownership. Use land pooling systems of the sort used in Kobe and Bhuj, India. International agencies or individuals Provide technical assistance to the land administration agency to accelerate normal land administration attempting to acquire legally titled land as procedures. part of reconstruction confronted by poor Find owners (public or private) willing to lease land to agencies either as a permanent or interim records and inefficient land administration solution. Agency then follows through to establish freehold ownership of individual parcels, if called for. procedures Provide financial assistance to families to cover legal costs, lower other transaction costs, or subsidize purchase price of land. Focus on procuring land rights and tenancy, rather than on securing formal land title for large numbers of those affected by the disaster. Large parcel needing to be subdivided to Provide technical assistance to the land administration agency to accelerate normal land administration provide individual title to those relocated procedures. Agency provides collective land rights to those relocated as a group as a permanent or temporary solution. Agency provides interim documentation until subdivision and titling are formalized. Consider rezoning the parcel(s) to allow subdivision into individual residential, mixed-use, commercial, and institutional (public use) plots. Nonresidential uses may help cover costs of residential land. Land disputes between households affected Avoid relocation programs that create questionable land rights at all costs. by the disaster or with the receiving Negotiate with claimants to purchase land or land rights and resolve claims before relocation. community, caused by relocation without formal titles or invasion Establish formal or community-based mediation mechanisms to resolve post-disaster land issues. Consider land consolidation and readjustment of parcels at the community level. Inflated price of land needed for relocation Use market valuation methods, validated with data from outside the area. Use competitive bidding process to establish prices. Use negotiated price to avoid eminent domain proceedings. Temporarily impose land price controls by government in the immediate post-disaster period. Areas from which communities are removed Zoning or other regulation should be established that forbids relocation in high-risk areas. for reasons of risk reduction are rapidly Provide budgetary support for police or other enforcement body. relocated Create community enforcement mechanisms. Secure abandoned areas or transform into an income-generating use that involves minimal built investment, e.g., urban agriculture and fish cultivation ponds, or into a recreational use, so that either private users or the public at large has an interest in monitoring and reporting relocation. Governments considering land distribution Announce assistance scheme and eligibility criteria after the census of affected population has taken to those displaced but fearing protests from place. other landless groups not affected by the Link assistance scheme or land distribution to existing social assistance schemes and policies. disaster, or fearing influx of fraudulent claims Use disaster to establish assistance or land distribution schemes that can be expanded to other groups post-disaster. Employ social communication tools to explain assistance strategy and rules. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 118 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Other actions that should be taken during reconstruction include: focusing particularly on the housing, land, and property rights of women and children; conducting an early land-tenancy assessment and carrying out ongoing monitoring of the impact of measures to address land-rights issues as reconstruction progresses (see Annex 1, How to Do It: Conducting a Post-Disaster Housing Sector Assessment in Chapter 2, Assessing Damage and Setting Reconstruction Policy, for an example of an assessment methodology that can be used for this purpose); and ensuring that agencies or banks transfer land title to new owners once they occupy the house or We may plan for loans are paid off. simplified housing The long-term land rights-related reforms that often are required and that may also be initiated layouts where land during reconstruction include: is available or we long-term reforms to improve access to secure tenure and to improve land administration may take affected systems; communities the reduction and prevention of informal settlements in DRR strategies (see Part 4, Technical through a properly References, Disaster Risk Management in Reconstruction); and establishment of redundant and secure recordkeeping systems, and deployment of information structured and communications technology (ICT) data warehousing systems to digitize and protect planning process, records so that they are available after the next disaster (see Chapter 17, Information and which results Communications Technology in Reconstruction). in communities expressing Promoting Disaster Risk Reduction in Reconstruction Planning their needs and To avoid reproducing the vulnerabilities that contributed to the disaster, multiple actors need to be aspirations. engaged in implementing and managing DRR.13 The following actions should be taken to integrate DRR into the planning process. Include DRR as an integral element in every phase of planning for reconstruction. Strengthen both institutional and community capacity, and commit resources to ongoing DRR activities and training. Implement DRR training and information sharing that reaches all stakeholders. Develop model plans that incorporate risk reduction, safe construction techniques, siting, and building maintenance that integrate DRR into housing and settlement designs and maintenance. Identify how risks can be transferred through insurance and micro-insurance schemes, and facilitate the implementation of feasible measures. Structuring Community Participation Planning for settlements and livelihoods must be coordinated at the local level; therefore, the participation of the community is fundamental to ensure the sustainability of the reconstruction or relocation plan. See Chapter 12, Community Organizing and Participation, for a discussion of participatory methodologies. Conditions that contribute to the success of this approach include: an inclusive decision-making process that incorporates vulnerable populations, including women; a high level of interaction, cooperation, and partnerships among different stakeholders, including civil society, national and local governments, the private sector, the media, and national and international support agencies; support by local governments to establish a coherent framework, provide effective facilitation mechanisms, and ensure the necessary information is available (participatory data-gathering may be a useful tool); and established participatory activities in the community, or a pre-disaster consultative process 13. International Strategy for Disaster with communities living in vulnerable locations to agree on preventive measures and mitigation Reduction (ISDR), 2006, "Words Into Action: Implementing the options as groundwork for post-disaster collaboration, especially in communities affected by Hyogo Framework for Action recurring disasters (a brief description of a community-based hazard mitigation planning process Document for Consultation," http://www.preventionweb. is found in Part 4, Technical References, Disaster Risk Management in Reconstruction). net/english/professional/ publications/v.php?id=594, p. 81; and ProVentium Consortium, The case study, below, on the reconstruction project undertaken by the South Indian Federation of 2007, "Construction Design, Building Standards and Site Fishermen Societies (SIFFS) in Tamil Nadu following the 2004 Indian Ocean tsunami describes how Selection, Guidance," Note 12, homeowners carried out a geographic and socioeconomic mapping of reconstruction settlements http://www.sheltercentre.org/ sites/default/ iles/ProVention_ that included a study of the use of outdoor common space. ToolsForMainstreaming_GN12.pdf. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 119 Risks and Challenges Initial damage and loss assessments inadequately incorporate land issues. Data needed for planning--for example, land records and GIS data--have been lost or are inadequate. The land administration system is weak or lawed and, as a result, the information base related to land is inadequate for proper planning. The institutional framework for planning and regulation is weak or lawed, making the planning process dif icult and possibly resulting in redundant regulation. Ad hoc planning processes create a disconnection between reconstruction and existing land use or physical plans. Delays in the planning process and/or institutional and community disagreement over land use and site location delay reconstruction. A variety of obstacles prevent acquisition or legalization of land for relocation, reconstruction, and infrastructure rights-of-way. A lack of coordination between infrastructure rehabilitation and housing reconstruction. Local cultural, social, and economic life is ignored in planning reconstruction. The opportunity to improve urban land markets, and to expand land rights and access to land, is missed in post-disaster planning. The legality of reconstruction investments is later challenged because of unresolved land ownership claims or violations of land use regulations. Recommendations 1. Assess the need for a post-disaster planning process as soon as the emergency is over. If the legal and institutional framework is weak, consider using the alternative methods described in Annex 2 of this chapter. 2. Delineate the geographical area for planning and identify the functional jurisdiction of the plan. 3. Assess the existing legal and institutional framework for planning. Build on existing systems, customizing and improving them for post-disaster reconstruction. 4. Structure the planning process in a comprehensive manner covering land use planning, physical planning, and strategic planning, addressing all the issues relevant to reconstruction, DRR, and, to the extent required, mainstream development objectives. 5. Translate plans into project briefs, including both capital investments for reconstruction and supportive measures, such as awareness building and institutional development. 6. Carry out a stakeholder mapping, and structure systematic and meaningful community participation at all stages of planning--from mapping and data collection to analysis and proposal formulation. 7. Assess the situation with respect to land rights and titling early on. Include in reconstruction planning speci ic measures to respond to the needs of vulnerable groups, including informal and illegal occupiers of land. 8. Use technologies and tools for planning that are appropriate, considering resource and time constraints. 9. Include DRR as an integral element in every phase of planning for reconstruction. 10. When relocation is unavoidable, integrate relocation areas into the existing fabric of receiving towns and cities. 120 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Case Studies 2004 Indian Ocean Tsunami, Aceh, Indonesia Consolidating Distressed Communities through Local Services and Community-Driven Land Adjudication The Indian Ocean tsunami of December 26, 2004, killed more than 150,000 persons in Aceh and left many communities in trauma. The tsunami wiped out not only houses, but also residential property boundaries of villages near the coast and civil records in many local sub-district of ices. With support from a nongovernmental organization, through YIPD and Forum Bangun Aceh (FBA), an initiative was launched to involve people in rebuilding their settlements. One activity was the repair and recovery of destroyed local sub-district of ices. Sub-district of ices were refurbished and reorganized so that they could once again provide citizens with services, such as issuing temporary ID cards (as many were lost) and other identi ication documents. These of ices also provided information on available supplies and recovery programs. As a result of this effort, these locations became regular meeting points for the survivors and helped sub-district staff develop lists of survivor families by sub-village. Another early initiative was community-driven land adjudication (or community land mapping). The initial activity took place in three sub-districts in the city of Banda Aceh and was funded by the United States Agency for International Development (USAID) through YIPD. This was eventually expanded to more than 400 villages across the Aceh province, supported by the Australian Agency for International Development (AusAID) through Local Governance Infrastructure for Communities in Aceh (LOGICA) and by the Reconstruction of Aceh Land Administration System (RALAS) Project with US$28.5 million from the Multi-Donor Fund for Aceh and Nias. Community members carried out a land inventory process using guidelines developed by the national Land Administration Agency (LAA). Volunteers were trained to identify landmarks and to produce drawings. The map of parcel boundaries, once completed, was signed by a family member and owners of neighboring parcels (left, right, front, back). The LAA validated the community's indings regarding ownership and boundaries, using land records from before the tsunami and parcel measurements, and then secured community agreement. The ruling on the land parcels was published and registration of titles was offered free of charge. The goal was to formalize 600,000 land titles. By December 2008, 211,839 parcel surveys had been completed, 126,107 land titles were registered, and 112,460 had been distributed. The land management system was computerized, and joint titling for married couples was introduced. This activity set the stage for reconstruction in these disaster-affected regions. Sources: Azwar Hassan, Forum Bangun Aceh, 2009, personal communication, http://www.forumbangunaceh.org/ and Multi Donor Fund for Aceh and Nias, 2008, "Investing in Institutions: Sustaining Reconstruction and Economic Recovery. Progress Report of the Multi Donor Fund for Aceh and Nias," http://www.multidonorfund.org/documents/2008-12-18-MDF%20Progress%20Report_V.pdf. 2000­2001 Floods, Mozambique Development of a Technical and Legal Framework to Address Land Issues During 2000 and 2001, looding in Mozambique affected 2.5 million people and left 200,000 people homeless. The loods magni ied poor land management practices that had been in place prior to the disaster. While some disaster-affected areas had land use plans, and measures to mitigate erosion and landslides, they often were not followed. Land records and equipment were destroyed by the loods. Insecurity of land and housing tenure meant that some people affected by the lood refused to leave low-lying lands. Other concerns included the property rights of people affected by the lood who did not return to their previous locations and of those settled in new areas, particularly women. (Land rights in Mozambique are acquired through occupation or authorization of statutory use rights. Family law recognizes equal land rights for women; however, in practice, access can be limited.) An assessment by UN-HABITAT noted that the allocation of housing and development of new settlements after the looding lacked adequate technical and legal backing, presaging the emergence of land disputes between affected households and those already living in relocation areas. The UN recommended that irregular allocations and unlawful occupations of land be remedied as quickly as possible. UN-HABITAT and the government of Mozambique have since implemented a portfolio of projects intended to: improve the capabilities of municipalities and the Directorate of Geography and Cadastre; rehabilitate the of ices of institutions involved in land registration; prepare maps of rural and urban settlements affected by the loods; delineate and register properties in new settlements; and review the legal and institutional framework governing rights to land. Source: UN-HABITAT, n.d., "Scoping Report: Addressing Land Issues after Natural Disasters," http://www.gltn.net/images/stories/downloads/ utf-8nat_disaster_scoping_paper_jan_08.pdf. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 121 2004 Indian Ocean Tsunami, Tamil Nadu, India SIFFS-Built Houses and Habitat with Owners in Nagapattinam The South Indian Federation of Fishermen Societies (SIFFS) undertook reconstruction of 1,380 houses in the villages of Chinnangudi, Karantheru, Puduppalayam, and Tarangambadi in the Nagapattinam district of Tamil Nadu, India, after the 2004 Indian Ocean tsunami. For SIFFS, the reconstruction project was about more than the provision of four walls and a roof. Instead, it aimed to create an organic community, taking people's social and cultural needs into account while planning the houses. SIFFS adopted an ambitious plan to customize every house for its owner, with the motto "1,380 houses in 1,380 designs." With the correct approach to layout, planning, design, and construction, combined with a positive mix of a scienti ic approach and cultural sensitivity, SIFFS was con ident that it could achieve its goals. SIFFS house owners were involved in every step of the process, from design through construction. Some important elements of the project were (1) habitat mapping: a geographic and socioeconomic mapping of the four settlements that included the study of common space as well as DANIEL PITTET space usage within the houses; (2) a mass contact program: to inform people of mapping results and to seek their opinions on designs; (3) design development: layouts were presented and discussed before settlement plans were inalized; (4) model houses: seven prototype house designs were selected using a participatory process and "real" model houses were constructed to help families make their choice; (5) plot allotment: with the help of local authorities and traditional village panchayats, plots were allocated to each family prior to construction; (6) family design meetings: used to inalize the design before construction; and (7) cluster committees: representatives from each cluster of houses were trained to monitor the construction process. There has been nearly 100 percent occupancy of these houses by their owners since they were completed, and families have already invested their own money to expand or beautify the houses. The goal of building organic habitats--not just houses--was substantially achieved. Sources: C. V. Sankar, India National Disaster Management Authority, 2009, personal communication; and SIFFS, 2008, "SIFFS Hands Over Houses in Marthandanthurai," http://www.siffs.org/Index.aspx?Page=NewsContent.aspx&FirstNews=SIFFS&NewsId=54. 1985 Mexico City Earthquake, Mexico Improvement of the Tenure Situation of Urban Low-Income Families after Reconstruction An earthquake with a magnitude of 8.1 on the Richter scale hit Mexico City on the morning of September 19, 1985, killing approximately 10,000 people, leaving 250,000 homeless, and damaging the houses of another 900,000. The disaster impact was magni ied by the high concentration of population and economic activity in the affected area and by the deteriorated condition of the buildings, which was attributed to the city's rent-control policies. Before the earthquake, the Mexican government had made a public commitment to improve low- income housing. Government used the post-earthquake situation as an opportunity to speed up the low-income housing improvement initiative. The Cabinet approved an in-situ reconstruction approach and passed a decree expropriating some 5,500 rental properties that were either damaged or in dangerous condition. Landlords offered little resistance, since most of the properties had ceased to be pro itable. This radical measure had positive consequences for the affected families, protecting them from eviction and allowing them later to become homeowners. The housing reconstruction program cost US$392 million and was partially inanced by a World Bank loan. (The US$400 million disaster recovery loan for Mexico's earthquake reconstruction is still one of the largest disaster loans ever made by the Bank.) This program required a relatively large subsidy and has been criticized for its somewhat arbitrary targeting, since earthquake-affected families located outside the zone where properties were con iscated were excluded from the reconstruction program. At the same time, the speed with which the reconstruction took place, in an extremely complex environment, sets it apart from many other reconstruction projects of this scale. Sources: Sosa Rodriguez and Fabiola Sagrario, n.d., "Mexico City Reconstruction after the 1985 Earthquake," Earthquakes and Megacities Initiative, http://emi.pdc.org/soundpractices/Mexico_City/SP2_Mx_1985_Reconstruction_Process.pdf; World Bank, 2001, "Bank Lending for Reconstruction: The Mexico City Earthquake," http://lnweb90.worldbank.org/oed/oeddoclib.nsf/DocUNIDViewForJavaSearch/9C4EA21BB92 73C74852567F5005D8566; and Aseem Inam, 1999, "Institutions, Routines, and Crisis. Post-Earthquake Housing Recovery in Mexico City and Los Angeles," Cities 16(6):391-407. 122 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S 2001 Gujarat Earthquake, India Two-Stage Planning Process with Effective Policy for Relocation in Bhuj City In the aftermath of the 2001 earthquake in Gujarat, India, the state of Gujarat's comprehensive reconstruction program covered urban and rural housing reconstruction and local/regional infrastructure development. Housing reconstruction was principally owner-driven. Government played a facilitating role, providing land and infrastructure. Village councils undertook physical planning for rural housing. For four of the severely affected urban areas, including the city of Bhuj, government commissioned detailed land use planning and physical planning exercises, leading to the preparation of development plans at the city level and town planning schemes at the micro level. New development control regulations were also framed for each city. In the densely populated, densely built-up "old city" area of Bhuj (and two other towns), land readjustment projects known as Town Planning Schemes were carried out. Neighborhoods were recon igured where buildings collapsed, creating a vastly safer street network and built form. This map shows the layout of a neighborhood in the old city This map shows the layout of the same neighborhood after the of Bhuj before the land readjustment exercise. The streets land readjustment exercise. The streets have been made wider, were narrow, with dead ends and bottlenecks. Few buildings continuous, and much safer. The plots where buildings collapsed were standing (the plots that are shaded). During the quake, have been reorganized. Final plots, somewhat smaller than the buildings had collapsed on the streets, preventing people from original plots, have been allocated in roughly the same location escaping and later hampering rescue. as the original ones, retaining overall community con igurations. While the detailed planning for in-situ reconstruction was in process, government prepared three relocation sites with fully serviced plot layouts for voluntary relocation. This greatly reduced the resistance to improvements in the old city area. About 4,000 households relocated voluntarily to these relocation sites. Sources: B. R. Balachandran and Purvi Patel, 2006, "Reconstruction of Bhuj: A Case of Post-Disaster Urban Planning," The ICFAI Journal of Urban Policy, Vol. 1, No. 1, pp. 24-34, http://ssrn.com/abstract=1093589; and B. R. Balachandran, 2006, "The Reconstruction of Bhuj," in The Role of Local Government in Reducing the Risk of Disasters, , Katalin Demeter, Ekin Erkan, and Ayse Güner, eds. (Washington, DC: World Bank), http:// go.worldbank.org/5K1D5BO8V0. B. R. BALACHANDRAN 2 CHAPTER 7: LAND USE AND PHYSICAL PLANNING 123 Resources Brown, O., A. Crawford, and A. Hammill. 2006. Natural Disasters and Resource Rights Building: Resilience, Rebuilding Lives. Winnipeg, Canada: International Institute for Sustainable Development (IISD). http://www.iisd.org/pdf/2006/tas_natres_disasters.pdf. Centre on Housing Rights and Evictions. n.d. The Pinheiro Principles: United Nations Principles for Housing and Property Restitution for Refugees and Displaced Persons. Geneva: COHRE. http://www. cohre.org/store/attachments/Pinheiro%20Principles.pdf. Food and Agriculture Organization (FAO). 1996. Guidelines for Land Use Planning. Rome: FAO. http:// www.fao.org/docrep/t0715e/t0715e00.HTM. The Global Land Tool Network (GLTN) developed a series of guidelines and experiences not explicitly directed to disasters but applicable in such cases. http://www.gltn.net/images/stories/downloads/ utf-8nat_disaster_scoping_paper_jan_08.pdf. IISD. 2006. Land use and land titled cases, experiences and policies, especially in Indonesia and Sri Lanka are explored in "Natural Disasters and Resource Rights: Building Resilience, Rebuilding Lives," a report issued by IISD. http://www.iisd.org/pdf/2006/tas_natres_disasters.pdf. International Strategy for Disaster Reduction (ISDR). 2006. "Words Into Action: Implementing the Hyogo Framework for Action Document for Consultation." http://www.preventionweb.net/english/ professional/publications/v.php?id=594. UN-HABITAT. n.d. "Scoping Report: Addressing Land Issues after Natural Disasters." Covers major literature and presents a series of cases studies. http://www.gltn.net/images/stories/downloads/ utf-8nat_disaster_scoping_paper_jan_08.pdf. UN Inter-Agency Standing Committee (IASC). 2006. Operational Guidelines on Human Rights Protection in Situations of Natural Disasters, with Particular Reference to the Persons Who Are Internally Displaced (Guidelines on Human Rights and Natural Disasters). Washington, DC: Brookings- Bern Project on Internal Displacement, 18. World Bank. "Safeguard Policies." http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/ EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piPK:64168435~theSite PK:584435,00.html. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 124 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex 1 How to Do It: Undertaking a Comprehensive Planning Process In this guide, comprehensive planning is de ined as a planning these activities and outputs are the critical inputs to produce process that incorporates land use, physical planning, and the deliverables of the planning process described below. As strategic planning. This annex outlines a generic process for with the plan's content, the right strategy for the planning developing a comprehensive plan, along with its key activities. process is to build on processes that are already understood in The speci ic planning exercise needs to be adjusted to the the local context, customizing and improving these processes requirements of the situation. for the purpose of guiding reconstruction. The outputs that can be expected for each activity are described in the table below. Activities, Outputs, and Deliverables These outputs are the building blocks for the preparation of the Key activities of a planning process. The planning activities plan. By themselves, these outputs don't qualify as deliverables and outputs described in this annex are generic descriptions in a planning process. that may vary by country or locality. The common factor is that Activity Considerations Output Delineate geographical and The first step in the planning process is to delineate the geographical area for Base map showing geographical functional jurisdiction of which planning is to be done and to determine which components need to be jurisdiction and report providing the the plan addressed by the plan. This decision should take into consideration the impact rationale for the geographical area of the disaster, issues emerging with respect to future risks, and the existing and a preliminary listing of plan legal and institutional framework. components, along with the rationale for those components Carry out stakeholder The primary stakeholders for reconstruction planning are those affected by the Inventory and brief description of mapping disaster and the agencies involved in reconstruction, including government and stakeholder groups nongovernment agencies. Other stakeholders include the larger community, businesses, line departments not directly involved in reconstruction, and those who can contribute to reconstruction (resource groups, institutions, and individuals). Those affected by the disaster are unlikely to be a homogenous group. The diversity within this group needs to be recognized, particularly with respect to vulnerable groups. The negotiation of interests among stakeholders is a key function of planning. Stakeholders also add value to the planning process through their knowledge of the local context and their skills. Prepare maps and collect Prepare a base map of the area to be planned and collect demographic Maps capturing the existing situation data information. Then, for each of the components of the plan, prepare a set of maps Reports compiling and presenting data showing the pre-disaster and post-disaster situations and collect base data. It is on the existing situation quite common that reliable maps and data are not available. There are various technologies, such as remote sensing, and methodologies, such as participatory A summary of the maps and data mapping and rapid appraisals, that can be used to supplement available presented in a manner that the information. stakeholders can understand and use Undertake participatory The planning process should involve stakeholders in a structured manner. There strategic planning are two broad stages in this process. Analyze existing situation Using the mapping and data collection that has been carried out, undertake a SWOT Analysis Report for each and articulate vision participatory analysis of the existing situation. Various tools can be used such as component of the plan Vision a SWOT (Strengths, Weaknesses, Opportunities, and Threats) analysis. Statement Studies such as land suitability analysis and risk assessment provide the basis for land use planning. From these analyses, generate a collective, overarching vision for the community, settlement, or region that stakeholders agree upon. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 125 Activity Considerations Output Formulate objectives, This should be done based on the analysis above and the vision. Comprehensive Strategic Plan strategies, and projects Identify plan components and, for each component, articulate specific compiling all components of the plan objectives. To support these objectives, formulate strategies that build on strengths, overcome weaknesses, take advantage of opportunities, and ward off threats. Translate these strategies into implementable projects. For example, an objective in land use zoning may be to minimize flood impact on housing. The strategy to achieve this may be to make public land in safe locations available for housing. This strategy may be translated into (1) reservations on public land in the land use plan, (2) formulation of a housing project for relocation of households from at-risk locations, and (3) regulations on construction in low-lying areas. Approve, publish, and The success of the plan depends on the measures that are taken to ensure its implement the plan full implementation. Approve the plan The plan with all its components should be officially sanctioned under the Legal notification issued provisions of the relevant planning legislation. Of utmost importance is the publication of revised building codes. Publish the plan The plan documents, including all relevant maps and reports, should be made Plan documents available in various publicly available using various media. The entire set of documents should be forms made available on Web sites. Hard copies of the full set should be available for purchase and hard copies of a short and user-friendly summary may be made available for free. Assign institutional Prepare a detailed work plan for the implementation and monitoring of the plan. Work plan with allocation of roles and responsibility Identify appropriate institutions for undertaking the various tasks, assess their responsibilities capacity, officially designate roles, and commission capacity building activities Monitoring plan where required. The work plan should include a social communication effort to notify and educate residents about the plan. Develop and implement Development and implementation of regulations and enforcement mechanisms Regulations regulations and sanctions will ensure full enforcement. Deliverables of a planning process. All the outputs of the These deliverables are the documents (including maps) that planning process are combined to create four broad categories of are used to create the legal and regulatory framework for deliverables, as shown below. development. The deliverables listed here are generic. The legal terms for these deliverables will vary by country or locality. Deliverable Description Land use plan and regulations This is a map or a set of maps with supporting documents that show and describe (1) proposed housing reconstruction locations with basic details, (2) the nature and intensity of land uses permitted in different zones in the planning area, (3) areas reserved for particular uses, (4) areas where development is restricted, and (5) guidelines for the design and construction of buildings. It is common practice to also show any proposed road network and other transportation networks on the same maps. Supporting documents include draft regulations and/or ordinances that must be approved legislatively in order for the plan to be put in force and implemented. The regulations should include sanctions that penalize noncompliance with the plan. Physical plan This is a map or set of maps that show the proposed layout of the road network, alignments of various other infrastructure networks, and locations of major facilities. Compendium of project briefs This is a list of projects, each one with a brief description, cost estimate, and implementation strategy. Projects may include capital investments as well as other interventions, such as public awareness or capacity building. Reconstruction happens through project formulation and implementation. The planning process is the means of establishing the ground rules for development (or reconstruction) and organizing projects within a systematic framework. Implementation plan This a detailed work plan that assigns roles and responsibilities, describes the design of programs for capacity building where required, and a explains the strategy for monitoring plan implementation. 126 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Tools and Methods for Planning Remote sensing. Creating maps from satellite images and The following are some examples of tools and methods that can aerial photographs falls in the category of remote sensing. be employed in the planning process described above. There are various kinds of satellite images and they have varying resolution. To illustrate, for planning in rural or Tools for participatory planning. Genuine involvement of regional contexts, False Color Composite images can be stakeholders is critical for preparing plans that capture local used to map land use patterns, while in urban areas, high- knowledge and that address local aspirations and concerns. resolution monochrome images can be used to identify Examples for such participation are available from experiences physical features like buildings and roads. Stereoscopic in many disasters. images can be used to get topographical information Participatory mapping. In a post-disaster situation, and create digital terrain models. Mapping using remote good maps are usually not available. In such situations, it sensing is a relatively fast and less expensive option when is possible to start with available maps and enhance the high levels of accuracy are not required. information content by involving local people. For example, GIS data. GIS is a generic term for software platforms that in Indonesia, post-tsunami planning exercises have used can combine spatial information (maps) and alphanumeric public participation to establish pre-tsunami land holding data in a seamless manner and that use sophisticated patterns and also to reorganize those patterns in response algorithms to perform a range of analyses. GIS can be to post-tsunami needs. used in post-disaster reconstruction planning for simple Participatory strategic planning. SWOT analysis is an functions, e.g., the production of thematic maps depicting effective tool for strategic planning and can be used in a impact, to more complex functions, e.g., vulnerability and participatory mode as well. In the city planning process land suitability analysis, to highly complex functions, e.g., in Bhuj, India that was carried out after the Gujarat simulation of future disaster scenarios. See Chapter earthquake citizens conducted a SWOT analysis of their 17, Information and Communications Technology in city with respect to various plan components, and came Reconstruction. up with strategies for reconstruction and management of the city's growth. See case study, below, on the Bhuj planning process. Tools for risk mapping. These tools provide a sound basis for decisions related to relocation and infrastructure development. Risk analysis. An all-hazards risk assessment (or risk analysis) is a determination of the nature and extent of risk developed by analyzing all potential hazards and evaluating existing conditions of vulnerability that could pose a potential threat or harm to people, property, livelihoods, and the environment on which they depend. The risk analysis shows vulnerabilities in a particular location and quanti ies the potential impact of a disaster on a community. A detailed methodology for risk analysis is included in Part 4. Technical References, Disaster Risk Management in Reconstruction. Land suitability assessment. Land suitability mapping uses multiple parameters, such as topography, ecology, demography, and infrastructure availability, which are assessed and weighted to determine suitability of land for speci ic purposes. Technologies for mapping and spatial analysis. The choice of technology depends on the resources available as well as the time frame. Total Station survey. This is a survey method that uses computerized survey equipment (called Total Stations) and is by far the most accurate method for creating a topographical and cadastral map, but requires considerable time. Where land values are high and variations in topography play an important role in vulnerability (for example, hilly areas), this is an appropriate method. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 127 Annex 2 How to Do It: Post-Disaster Planning Where Planning Law and Institutional Capacity Are Weak This chapter may give the impression that land use and physical occurring where the post-disaster institutional capacity for planning processes require powerful laws, institutions, and planning is very limited. In such contexts, consideration of resources. While that may be the ideal situation, this annex planning usually precipitates three primary issues and related addresses the frequently-encountered situation of a disaster concerns. It should be used jointly with Annex 1. Issue Related concern Legality What is the validity of a land use/physical plan that has no legal or Who will approve and regulate the plan? How will compliance be ensured? statutory backing? Where there is reorganization of land involved, how will legal title be assured? Capacity How can the leadership, technical expertise, and financial resources Planning a housing site in an ad hoc manner is not a big challenge, but can a whole be mobilized in the absence of installed institutional capacity? city or a large portion of one be planned using a "rapid planning exercise"? Implementation How should the activities in the land use and physical planning Are there some activities that are more critical than others? Once the planning process be prioritized? How will decisions be implemented? exercise is completed, who implements it? Even though the need for post-disaster planning in these but the procedures for eminent domain are weak, national situations is common, there is no standard approach to or state government may need to intercede in that speci ic conducting it. However, there are a number of strategies that area. The options for mobilizing institutional resources are have been used around the world. numerous. They include: accessing planning expertise from another level of government; Create a Mandate for Planning bringing in a planning agency from a comparable location The strategies that can be deployed to create a mandate for inside the country; land use and physical planning include amending existing getting technical support from an international agency legislation, introducing new legislation (using national or and/or comparable location outside country (international international models), and creating a mandate through exchange programs like the City Links program of the ordinances and government orders. International City/County Management Association [ICMA] or other pairing programs sponsored by international Experience in Japan. Following the 2005 Hanshin earthquake nongovernmental organizations (NGOs) or bilateral agencies; in Japan, the Japanese government enacted a "Special Act creating a platform for collaboration between all the for Disaster Af licted Urban Areas," with special provisions players in the reconstruction process and carrying out a for urban planning, including the creation of neighborhood collaborative planning exercise; committees for land readjustment projects.1 borrowing "planners" from another sector in the same country or the private sector (e.g., economic development, Experience in China. Following the 2008 earthquake in health services, corporate strategy); and Wenchuan, China, government's national implementation government of icials from one or more jurisdictions acting guidelines established three categories of land uses for national as planners (mayor's of ice, cabinet). land available for reconstruction: (1) suitable for reconstruction, (2) appropriate reconstruction, and (3) ecological restoration. The In each of these cases, the technical resources within guidelines also de ined parameters, such as the priority in which government can be supplemented by procuring services from services should be restored and the types of land uses that should the private sector or seeking skilled volunteers. be expanded in which areas. Within this framework, speci ic decisions were delegated to provinces and municipalities.2 Experiences in India. To provide assistance to the cities of Cuddalore and Nagapattinam following the 2004 Indian Mobilize Institutional Resources Ocean tsunami, ICMA, with support from the U.S. Agency for The reconstruction policy should address how the resources International Development (USAID), paired these two Indian for local planning will be made available at the local level, if cities with three cities in Florida that are at continual risk capacity at this level is at all in doubt. The strategy may need to of hurricanes. Together, they created maps for the Indian be quite speci ic. For instance, if planning capacity is adequate, cities with detailed data layers of features, such as public 128 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S infrastructure systems and facilities, land uses, and relevant Experience in China. The Chinese experience following the building structures. The maps were used to develop evacuation 2008 Wenchuan earthquake (referred to elsewhere in this plans and a lood mitigation program, among other purposes. chapter) entailed pairing more capable cities unaffected by the earthquake with earthquake-affected cities. The assisting cities After the Gujarat earthquake of 2001, the Indian state were asked to make both technical and inancial contributions. government of Gujarat created special Area Development In this model, a city with better institutional capacity can Authorities in four affected towns and brought in planners help to coordinate planning, draft guidelines, and formulate using state resources to manage a process where private sector regulations, based on its own planning framework, while also professionals were hired to provide planning services. compensating temporarily for any de iciencies in staf ing or local capacity caused by the disaster itself. In carrying out rural reconstruction work in Kutch, a collaborative platform was created by Kutch Nav Nirman Prioritize Planning Activities Abhiyan, a collective of more than 20 NGOs in Kutch. This When there is a scarcity of institutional resources, it becomes platform was used to undertake various planning exercises at a important to prioritize the critical elements of the land use regional scale. See the case study on Kutch Nav Nirman Abhiyan planning process. Listed below are the most important land use in Chapter 14, International, National, and Local Partnerships and physical planning activities, along with suggestions on how in Reconstruction. Under the guidance of planners experienced they can be handled expeditiously. with the methodology, participatory planning exercises can be organized and carried out in a matter of two to three weeks. Critical planning activities Suggestions to expedite activity Identifying land for housing reconstruction The selection and allocation of land based on sound principles Use mostly alternative sources: secondary sources, such as a regional disaster and with due consideration of disaster vulnerability issues is a risk reduction agency; satellite or GIS data gathered for the disaster assessment; fundamental requirement. It is also important to ensure that clear maps created for other purposes, such as a nearby environmental study; or new title be given to the beneficiaries. local maps developed through a participatory process. Revising land use zoning Consider grandfathering existing land uses, altogether or in low-risk zones, to reduce approvals of reconstruction exceptions to existing zoning laws. While it may not be essential to carry out a comprehensive land Seek the leadership of an experienced planner or planners deployed for a short use zoning exercise, it is very important to assess disaster risk and period of time, potentially with support from humanitarian or development vulnerability and to formulate development control regulations that agencies, if local expertise is not available. respond to it. Physical planning Planning the housing layout in a neighborhood is a priority task that Gather data and maps from government planners preparing for reconstruction of may be able to be done quickly without professional planners. major infrastructure may have GIS data, maps, and/or satellite images that can be extended into local areas or made available directly to local planners. If the disaster impact is widespread, and reconstruction entails Useful data for planning are increasingly available publicly. For information on extensive infrastructure, public facilities, relocation, and connectivity this topic, see Chapter 17, Information and Communications Technology in issues, then physical planning is required and the deployment of a Reconstruction. professional planning team by one of the means described above is Seek the leadership of an experienced planner or planners deployed for a short necessary. period of time, potentially with support from humanitarian or development agencies, if local expertise is not available. Improving construction methods A full revision of building codes, which may be the perfect solution, Guidelines and manuals are the minimum acceptable activity. See is rarely feasible in a post-disaster content. Instead, guidelines and Chapter 10, Housing Design and Construction Technology, and Chapter 16, manuals for the reconstruction process, tailored to the requirements Training Requirements in Reconstruction, for guidance on developing guidelines. of the specific post-disaster situation, should be prepared and Agencies involved in reconstruction may have experience and materials that people should be trained to use them. can be adapted. Ask agencies to develop and propose common reconstruction standards and procedures for adoption by the local jurisdiction. Annex 2 Endnotes 1. Supporters Network for Community Development, 1999, "Key Terminology in Restoration from Hanshin Earthquake Disaster," http://www.gakugei-pub.jp/kobe/ key_e/index.htm#Men1005. 2. National Development and Reform Committee, 2008, "The Overall Planning for Post-Wenchuan Earthquake Restoration and Reconstruction," http://en.ndrc.gov.cn/ policyrelease/P020081010622006749250.pdf. 3. ICMA, "City Links: Global Problems, Local Solutions, 2003-2008," http://www.icma.org/ citylinks. Assistance through City Links can be accessed through local USAID of ices. 4. Brian Hoyer, 2009, "Lessons from the Sichuan Earthquake," Humanitarian Exchange Magazine, No. 43, http://www.odihpn.org/report.asp?id=3008. CHAPTER 7: LAND USE AND PHYSICAL PLANNING 129 Planning Reconstruction 8 INFRASTRUCTURE AND SERVICES DELIVERY Guiding Principles for Infrastructure and Services Delivery This Chapter Is Infrastructure restoration and housing reconstruction rarely progress on the same schedule Especially Useful For: after a disaster. Those planning housing reconstruction must make sure there are plans in place Lead disaster agency both for infrastructure reconstruction and for interim services, if necessary. Local government of icials Successful infrastructure reconstruction requires extensive coordination on many fronts: with Local service providers planners, households, and multiple agencies involved in housing reconstruction, among others. Agencies involved in Project developers should build infrastructure that conforms to planning and regulatory reconstruction requirements, or help bring these instruments up to date if not adequate. Minimum technical Project managers standards are needed for retro itting and reconstruction of infrastructure that incorporate disaster risk reduction (DRR) and sustainable development objectives. All four types of DRR measures--policy and planning measures, physical preventative measures, physical coping and adaptive measures, and community capacity building measures--are relevant to infrastructure and should be utilized in retro itting and reconstruction. Entities that will operate and maintain infrastructure facilities--which may include the community--should be directly involved in infrastructure project planning and implementation. Involving built environment experts, such as architects and engineers, in project development increases the chance that upgraded standards are incorporated into local infrastructure projects over the long term. Introduction Post-disaster infrastructure restoration happens in stages. During the disaster response, the focus is on stabilizing systems and preventing secondary damage (e.g., ires from gas leaks or contamination from sewage plants). Soon thereafter, attention shifts to repairing lifeline infrastructure and networks such as roadway connections and basic communications. During reconstruction, restoring permanent infrastructure services, including those in residential neighborhoods, is the priority. However, restoration of full services may not happen right away. Infrastructure reconstruction requires planning and coordination on several fronts. Reading Chapter 7, Land Use and Physical Planning; Chapter 9, Environmental Planning; and Disaster Risk Management in Reconstruction in Part 4, Technical References, along with this chapter will provide a more comprehensive understanding of the issues affecting infrastructure. Depending on the severity of the disaster, infrastructure reconstruction is likely take many years longer than the reconstruction of housing, so interim solutions and full reconstruction must both be planned. Multiple agencies are likely to be involved, and it is crucial to coordinate decisions among them. The approach to housing reconstruction affects how infrastructure reconstruction is managed; infrastructure construction at a large-scale new housing site will be different from that in a location where owner-driven in-situ reconstruction is planned. In all cases, housing should be designed to accommodate public services, even if the services are not available at the time of housing reconstruction. The de inition of infrastructure in this chapter includes lifeline systems and related local public services. The importance to community reconstruction of the rehabilitation of public facilities such as public buildings and meeting spaces, and of educational and health facilities, is also touched on. Key Decisions 1. The lead disaster agency should work with affected communities and local government immediately after the disaster to assess the state of infrastructure systems and the capability of local service providers to restore both lifeline services and full infrastructure services, and to identify the assistance required to do so. 2. The lead disaster agency and local government should work with communities to prioritize the public services needed to restore community life and to agree on the division of labor to restore facilities between government and the community. 131 3. The lead disaster agency should establish and publicize the infrastructure standards all agencies involved in reconstruction should meet. 4. The lead disaster agency should collaborate with local service providers to estimate the cost of, and raise and channel the resources needed for, the restoration of local services and facilities and for infrastructure reconstruction. 5. Agencies involved in reconstruction should decide how to ensure the provision of interim and permanent infrastructure to reconstruction sites, especially if they do not expect to provide it themselves. 6. Agencies involved in reconstruction should decide how to support local service providers to build back better and conform to standards established by national, regional, or local governments for any infrastructure they inance. 7. Local service providers should work with government and other funders to ensure they have adequate resources to build back better and restore services in an economically sustainable manner. This may entail reviewing local tariffs or service fee schemes. 8. Communities should insist that agencies involved in reconstruction provide them a lead role in planning and implementing projects related to services for which they will be responsible. Public Policies Related to Infrastructure and Services Delivery Countries with emergency management or DRR plans will be much better prepared to plan and implement infrastructure and service restoration, since protecting infrastructure and restoring services are generally among the chief concerns of these plans. Post-disaster projects for reconstruction, rehabilitation, and retro itting of infrastructure should be aligned with the country's and the locality's overall development vision, particularly with respect to long-term development and land use plans, the allocation of institutional roles, and the standards for infrastructure improvement. While not strictly considered "infrastructure," various public facilities are essential for communities and should also be restored early on, and the comments in this chapter apply to these investments as well. Community facilities include schools, clinics, refuges, buildings for local government administration, and meeting spaces. Schools and clinics contribute to the resumption of normal life by providing space for social services. Local government buildings and meeting spaces allow local public services to resume and facilitate community planning and the reestablishment of local governance. To the extent possible, reconstruction should be carried out using standard procedures and in accordance with local plans and regulatory requirements. For instance, plans should conform to local building codes, or existing intergovernmental iscal channels may be used to transfer funds. Infrastructure investments must be guided by environmental policies as well, due to the potential for extremely negative environmental impacts from both the construction and the operation of poorly planned infrastructure systems. Where the standards or the legal and regulatory frameworks are inadequate, they may need to be updated before reconstruction begins. Because land use and development are generally governed by local land use planning agencies, local government should be involved in decisions regarding new land uses and acquisition, and should coordinate the acquisition of rights-of-way for infrastructure, especially if eminent domain procedures are involved. Land acquisition for infrastructure can be a long and contentious process, and lack of site control poses a signi icant construction risk. See Chapter 7, Land Use and Physical Planning. The agencies that should be involved in decisions regarding infrastructure redevelopment, rehabilitation, or retro itting are a combination of the national ministries responsible for the regulation and inancing of the systems being restored (e.g., ministries of water and sanitation, roads, transport, environment, and power) and--equally important--local service providers: local government and community-based entities responsibility for local infrastructure investment, maintenance, and service provision. Local service providers may include departments of water and sanitation, transportation, environment, solid waste management, environment, and community-based water service providers or other community organizations. The sustainability of service provision after a disaster depends largely on the commitment and capability of local entities responsible for service provision. DANIEL PITTET 132 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Technical Issues Types of Damage to Infrastructure from Disasters The magnitude of damage to infrastructure depends on the hazard type, its intensity, and the ex ante preparedness. The following graphic shows relative magnitudes of common impacts by disaster type.1 Legend: Earthquake Volcano Landslide Hurricane Flood Drought Structural damage to system · · · · · · · Severe effect infrastructure Moderate effect Rupture of mains and pipes · · · · · · Minimal effect Obstructions in intake points, intake screens, treatment · · · · plants, and transmission pipes Pathogenic contamination and chemical pollution · · · · · of water supply Water shortages · · · · Disruption of power, communications, · · · and road system Shortage of personnel · · Lack of equipment, spare parts, and materials · · · · · Moving from Recovery to Reconstruction Two-pronged approach. To reconcile the need to act quickly while still allowing time for design and consultation, the negative impacts of a disaster should be contained and the lifeline infrastructure should be rehabilitated during the recovery period, while the planning and design of long-term infrastructure reconstruction begins. This approach responds to critical service needs and demonstrates visible efforts, while allowing lead time for land use planning, consultations, infrastructure design, land acquisition, and procurement. Government should avoid the temptation to shortchange infrastructure planning and design to take advantage of the availability of relief funds.2 The case study on infrastructure reconstruction following the 2001 Gujarat earthquake, below, describes some of the common reasons why infrastructure projects often take longer than originally anticipated. 1. Pan-American Health Organization Long lead times for infrastructure reconstruction mean that housing reconstruction is likely to take (PAHO), 2002, "Emergencies and Disasters in Drinking Water Supply place before infrastructure is fully restored or reconstructed; therefore, short-term interventions and Sewerage Systems: Guidelines may need to address the availability of basic services and safety of households in communities for Effective Response," http:// www.reliefweb.int/rw/lib.nsf/ where reconstruction is taking place. The use of transitional shelter, which allows households db900sid/LGEL-5S6BNE/$ ile/ to resettle on their own land while rebuilding, will make this especially crucial.3 International paho-sew-02.pdf?openelement. 2. Sisira Jayasuriya and Peter standards, such as the Sphere Standards, can be used to de ine minimum standards for various McCawley, 2008, "Reconstruction after a Major Disaster: Lessons basic services and shelter.4 The Inter-Agency Network for Education in Emergencies (INEE) de ines from the Post-Tsunami Experience minimum standards for public education.5 in Indonesia, Sri Lanka, and Thailand" (Working Paper 125, Asian Development Bank Institute), http://www.adbi.org/ Essential Facilities (police and fire stations, schools, hospitals, working-paper/2008/12/15/2766. Greater Priority / emergency operations centers) reconstruction.post.tsunami. experience/. Least Effort 3. See Chapter 1, Early Recovery: User-Specified Facilities (government buildings, historical The Context for Housing and landmarks, stadiums) Community Reconstruction, for a discussion of transitional shelter. Transportation Lifeline Systems (road segments, bridges) 4. The Sphere Project, 2004, Humanitarian Charter and Minimum Hazardous Materials Facilities (storage, industrial labs) Standards in Disaster Response (Geneva: The Sphere Project), High-Potential Loss (dams, power plants, military bases) http://www.sphereproject.org. Updated standards are due to be Least Priority / Utility Lifeline Systems (power lines, sewers, and water mains) issued in late 2010. 5. INEE, 2004, Minimum Standards for Greatest Effort General Building Stock (number of buildings, occupancy, and Education in Emergencies, Chronic construction classification) Crisis and Early Reconstruction (Geneva and New York: INEE), Source: Federal Emergency Management Agency (FEMA), 2004, Using HAZUS-MH for Risk Assessment (FEMA 433), http://www.fema.gov/plan/ http://www.ineesite.org/. prevent/hazus/dl_fema433.shtm. CHAPTER 8: INFRASTRUCTURE AND SERVICES DELIVERY 133 Infrastructure Interventions Relevant to Housing and Community Reconstruction Short-term interventions Medium- to long-term interventions Electric power systems Give priority to functions that support other lifelines, such as Incorporate DRR mechanisms in reconstructed systems and facilities. treatment and pumping of water. Provide power for households and community facilities and for pumping water and running generators and tools used in reconstruction. Consider alternative energy generation options in housing and community building design and community planning. Develop a DRR plan for electric power installations. Transport systems Prioritize access to critical facilities, such as hospitals, emergency Incorporate DRR mechanisms in reconstructed systems and facilities. centers, and fire stations. Provide housing site access and egress, including access by emergency vehicles Initial rehabilitation of roads should support housing reconstruction, for delivery of construction materials. especially transport of materials to disaster site. Consider modest Retrofit and upgrade to improved codes and standards. early repairs and more permanent reconstruction later on. Design roadway systems for sites to encourage walking and bicycling. Plan for public transit access. Develop a DRR plan for the transport sector. Water systems Water loss increases health and fire hazards, and causes loss of Incorporate DRR mechanisms in reconstructed systems and facilities. cooling systems for telecommunications and computers. Test for availability and quality of potable water before selecting relocation sites. Strengthen and support structures. Provide water for reconstruction purposes, such as mixing concrete. Provide alternative domestic water supply until systems are Provide water for households. restored. Consider meter installation during rehabilitation of system. Repair, clean, and disinfect wells, boreholes, water storage tanks, and tankers. Develop a DRR plan for all water installations and facilities. Improve leak detection. Monitor water quality. Rehabilitate water distribution and treatment works. Educate population on point-of-use treatment of drinking water. Sewerage system and storm-water runoff System loss causes untreated sewage discharge into water bodies Incorporate DRR mechanisms in reconstructed systems and facilities. or increased environmental and health hazards. Improve shut-off and diversion systems. Segregate combined overflow systems. Provide emergency sanitation systems. Consider small-scale sewage treatment options. Prevent defecation in areas likely to contaminate food chain or Design site for rainwater capture for landscaping and other non-potable purposes. water supplies. Use permeable paving materials to maximize infiltration of water. Educate population on hygiene. Consider incorporating cisterns in site designs for collection of rainwater. Develop a DRR plan for all sewerage and storm-water installations and facilities. Solid waste Unmanaged waste can pollute and obstruct water sources and Develop integrated solid waste management plan if none exists. provide breeding grounds for insects and vermin. Maintain interim facilities until normal operations resume, and maintain debris Develop systems and designate sites for domestic, industrial, and construction waste recycling until reconstruction tapers off. See a case study construction, hospital, and hazardous waste management, including about an ambitious debris recycling program following the 1994 earthquake in recycling of disaster debris. See Chapter 9, Environmental Northridge, California, in Chapter 9, Environmental Planning. Planning, Annex 1, How to Do It: Developing a Disaster Debris Reestablish normal solid water management services as soon as possible. Management Plan, for advice on debris management. Incorporate recycling and composting services in solid waste management plan. 134 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Short-term interventions Medium- to long-term interventions Public buildings (health facilities, schools, and police and fire stations) Social consequences and compromised health and safety result Incorporate DRR mechanisms in reconstructed buildings. from the lack of these facilities. Prioritize school reconstruction to minimize disruption to school, and therefore Prioritize restoration of power supply, transportation access, and family, life. water supply. Construct community meeting spaces or incorporate community space in other early public building reconstruction projects. Restore public facilities to improved construction and service standards. Design new public buildings with energy efficiency and multiple uses in mind. Develop a DRR plan for all public buildings. Sources: FEMA, 1995, Plan for Developing and Adopting Seismic Design Guidelines and Standards for Lifelines, FEMA Publication 271 (Washington, DC: FEMA), http://www.fema.gov/library/viewRecord.do?id=1528; FEMA, 2004, Using HAZUS-MH for Risk Assessment, FEMA Publication 433 (Washington, DC: FEMA), http://www.fema.gov/plan/prevent/hazus/dl_fema433.shtm; PAHO, 2002, "Emergencies and Disasters in Drinking Water Supply and Sewerage Systems: Guidelines for Effective Response," http://wwww.reliefweb.int/rw/lib.nsf/ db900sid/LGEL-5E2DJV/$ ile/paho-guide-1998.pdf?openelement; and World Health Organization (WHO), 2005, "Technical Guidance Notes for Emergencies, Nos. 1, 2, 3, 4, 5, 6, 9, 10, 11, 12, 13, and 14," http://www.who.int/water_sanitation_health/hygiene/envsan/technotes/en/ index.html. A DRR-Oriented Infrastructure Project Development Sequence DRR measures can be categorized as policy and planning measures, physical preventative measures, physical coping and/or adaptive measures, and community capacity building, all of which are of paramount importance during post-disaster infrastructure reconstruction.6 DRR is a top priority in infrastructure reconstruction.7 Not only should infrastructure facilities be built so that the risk of 6. Department for International Development (DFID), 2005, future damage from disasters is reduced, but the infrastructure itself--such as a system for storm- Natural Disaster and Disaster Risk Reduction Measures: A Desk Review water runoff--can provide protection from the impacts of disasters. With respect to the phases of of Costs and Bene its, Draft Final DRR, the most relevant to infrastructure are: Report (London: ERM), http:// www.preventionweb.net/english/ Mitigation: structural (physical) or non-structural (e.g., land use planning, public education) professional/publications/v. measures undertaken to minimize the adverse impact of potential natural hazard events; and php?id=1071. 7. Based on Charlotte Benson Rehabilitation and reconstruction: measures undertaken in the aftermath of a disaster to and John Twigg with Tiziana Rossetto, 2007, "Guidance Note restore normal activities and restore physical infrastructure and services, respectively. 12: Construction Design, Building Standards and Site Selection," Tools for Mainstreaming Disaster The table below provides information on the stages of infrastructure reconstruction and some Risk Reduction, International key considerations to be taken into account during that reconstruction effort. Part 4, Technical Federation of Red Cross and Red Crescent Societies and References, Disaster Risk Management in Reconstruction includes a methodology for risk ProVention Consortium, http:// www.proventionconsortium.org/ assessment useful in infrastructure planning and provides information on sources of hazard and themes/default/pdfs/tools_for_ vulnerability data. mainstreaming_GN12.pdf. Stage Key considerations Damage and loss Locate or conduct an inventory of infrastructure assets and remaining capacity and a preliminary assessment of assessment and project reconstruction and resource requirement from the post-disaster damage and loss assessment. prioritization When prioritizing projects, inventoried assets can be categorized and tasks sequenced taking into consideration priority and effort involved. Use economic and social criteria to evaluate costs and benefits of projects. Infrastructure planning, design, and construction must be coordinated with the plan for housing reconstruction to ensure the availability of basic services and sanitary conditions in such settlements. The timing of housing reconstruction affects the prioritization process for infrastructure. Define roles and Clearly define the roles and responsibilities of the various individuals, agencies, and organizations involved in the hazard responsibilities risk assessment; the design and siting of appropriately hazard-resilient infrastructure; the enforcement of design; and the quality control of construction, operation, and maintenance, while ensuring that local service providers have a lead role. Ensure local governments are given the lead when these issues fall under their jurisdiction. Provide assistance if local capacity is a constraint. Coordinate with other development or relief organizations working in the area to avoid duplication of research on hazard- proof construction and to promote a harmonized use of hazard-proof construction standards. Set up a system of consultation and collaboration with engineers, academics, local government, and the affected community. Ensure that engineers and other infrastructure service providers participate fully in the design of projects, so that they contribute more than just building or supplying to order. CHAPTER 8: INFRASTRUCTURE AND SERVICES DELIVERY 135 Stage Key considerations Hazard assessment Assess the frequency and dimension of all potential sources of natural hazards (geological, meteorological, or hydrological) in the area and determine the most likely hazard scenarios for consideration in the infrastructure design. Ideally, development organizations working in the country should have already analyzed some aspects of disaster risk. Make this information public and use it in planning. Existing academic studies and hazard maps may provide information for the hazard evaluation. However, depending on the prevalent hazards and the site, it may also be necessary to conduct site-specific risk analysis or micro-zonation studies. Local secondary disaster effects (e.g., landslides from excessive rain or ground shaking) should be anticipated and considered. Review of legislation and Assess existing codes of practice for hazard resistance and determine whether they are adequate for use in infrastructure good practice reconstruction. If this review has already been conducted at the national level by a development organization or by a local research/ academic body, draw on whatever information is relevant to the specific project context. If there is no existing review, conduct research on existing codes of practice for hazard resistance, which might include the following. Investigate the history of the code development and level of hazard inclusion. Analyze the performance of buildings and infrastructure designed to the codes during past hazard events. Compare loading and design criteria to building codes developed for countries with similar hazards and neighboring countries with similar construction practices. Review international good practices, building codes, and design guidelines appropriate to the identified hazards, and assess their applicability. Review of construction Identify the normal local construction practices for the relevant type of infrastructure. A rapid assessment may be made in methodologies and local the case of new construction. A more detailed analysis is required in a retrofitting project. capacity Weaknesses in structures and in the vulnerability of infrastructure to the identified natural hazards must be assessed. This may include a study of the rate of degradation of the structure and its materials over time to assess resilience against projected hazards. Determine the strengths and durability of materials in existing infrastructure or proposed. Identify those who will carry out the design and construction (engineered, non-engineered, self-built, or contractor-built) and ensure their ability to comply with codes. Assess program management and administration capacity and strengthen it with training or outside expertise. Assess local construction practices, their resistance to the determined hazards, and the level of risk this poses. Set hazard safety Establish clear and measurable objectives for hazard safety, based on the level of risk that can be supported by the objectives affected public and government agencies. Take into account development agency accountability issues. Consider different performance objectives for critical facilities and infrastructure, factoring in the potential impact on the users or clients who would be negatively affected to varying extents by loss of service. Site selection The site for development will typically be defined by local government based on availability, land use plans, and economic criteria. The suitability of these sites needs to be assessed. Any hazard assessments carried out in previous stages should be considered. Determine whether additional works are required to render the site viable for development or whether land use should be restricted to reduce vulnerability to natural hazards. Consider whether resiting to a location of reduced risk is an option. Topographical features and landscape can be used to reduce the impact of potential natural hazards (e.g., to minimize flood risk or modify wind speed and direction). Land swaps might be a potential solution in collaboration with local government, but make sure that environmental protection is taken into consideration. Project cost estimates should plan for possible land acquisition. Technology selection In evaluating infrastructure technology options, evaluate the following. Consider the financial and operational capacity of the entity responsible for service provision. Assess capital investment and operation and maintenance (O&M) costs over the life of the project. Review the availability of parts and supplies over the life of the project. Consider rebuilding zoned and decentralized infrastructure systems, which may be more resistant to system failures. 136 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Stage Key considerations Design and procurement Design a sustainable and socially acceptable strengthening or construction solution that satisfies the DRR objectives. Consider limitations of finance, construction skills, and material availability. In a rehabilitation project, take into account potential disruption to normal activity. Ensure that the environmental and social impacts of the proposed solution are acceptable. Ensure (through testing and research) that the proposed solution will in fact yield the performance objectives established for the project. Develop a procurement strategy that provides overall value during the entire life of the service or facility. Apply "build back better" principles, even if they have not been translated into specific codes or standards. Assess the competency of contractors and ensure adequate site supervision. Address training needs for the implementation of the proposed solution (e.g., on-the-job training included in the implementation stage). Develop building codes and guidelines that account for local hazard conditions, building material characteristics, and construction skills and quality, and ensure that: building codes cover retrofitted facilities; standards are coordinated with respective ministries and local planning departments; streamline permissions and permits; work with government to streamline repair permits and demolition procedures; and enhance technical and human capacity, if necessary, to ensure speed in reviewing and issuing construction permits. Construction The quality of any post-disaster construction must not compromise the design intent. Establish procedures for multidisciplinary inspection and check against specifications of works throughout the building process in the following ways: Test materials and check adherence to design guidelines. Ensure implementation of the quality assurance systems. Operation and Require that guidelines for O&M be provided by the builder so that the design level of hazard resilience can be maintained. maintenance Institute measures to ensure adequate human capacity for O&M of constructed facilities and management of ongoing risk management activities. Define procedures for the approval of structural alterations carried out during the life of the facilities. Set up structures for funding O&M and risk management activities, including cost recovery mechanisms. Evaluation Assess the adequacy of the restored infrastructure system and the success of the project as a whole. This assessment should include evaluation of: functionality, social acceptability, and sustainability; project cost with respect to potential benefits of hazard-proof design in future events, skills provided to builders, and new construction guidelines introduced; and reporting of infrastructure performance under any hazard events that have occurred. Lessons learned regarding strengthening hazard resilience should be summarized, shared, and drawn on for future projects. Other Considerations in Infrastructure Reconstruction Local institutional capacity. Since infrastructure systems and housing are interdependent and often fall under multiple geographic and administrative jurisdictions, both public and private, coordination across sectors and among agencies in constructing and rehabilitating infrastructure is necessary. Reconstruction speed and quality depends on pre-disaster conditions, such as the state of the infrastructure, record keeping, data management, and institutional capacity. Infrastructure assessments should analyze each of these issues. The capacity of local government, communities (if their role is operational), and the consulting and construction sector is particularly relevant. The involvement of academic, professional, and licensing bodies will help ensure that architects, engineers, and builders correctly apply appropriate codes and construction techniques during reconstruction and in the future. To ensure long-term sustainability and economic development, reconstruction should emphasize the use of local resources (technical, inancial, operational). If there is a risk of reconstruction approvals for infrastructure becoming a bottleneck, consider helping local government in setting up a "single window" where environmental and engineering CHAPTER 8: INFRASTRUCTURE AND SERVICES DELIVERY 137 studies, site plans, and building plans can be approved simultaneously, and building permits issued in a single location. Partnerships with the private sector and other nongovernmental partners may help support this aspect of implementation. In the agencies that will take over management of new facilities, training, staf ing, and other institutional strengthening needs should be identi ied and funded. If local communities will operate or maintain the infrastructure, they should be trained as well. Local agencies should not be strapped with new infrastructure they cannot afford to operate. Assistance with analyzing not just design and construction, but also the inancial feasibility of operating new services must be provided. This may entail designing new tariffs or other cost recovery strategies. The case study on relocation after Hurricane Mitch in 1998 in Honduras, below, illustrates some of the risks of underfunding new infrastructure services. A fast pace of Public noti ications and consultations. Local legislation may require stakeholder participation in siting, planning, and land acquisition processes, even though the community may not be involved in reconstruction operation of the services. Participation may need to be accelerated in a post-disaster environment, but can result in this should not be done in a way that compromises the intent of these processes. Acceleration may be cost escalations; successfully achieved through an enhanced communications and outreach effort. See Chapter 3, a slower Communication in Post-Disaster Reconstruction, for guidance on developing a communications plan. reconstruction, while conducive to Urban infrastructure development. Infrastructure reconstruction in urban areas can be more challenging due to the higher population and the built environment densities, more complex managing costs, infrastructure technologies and materials, the need for temporary relocation or interruption results in losses of services, and the complexities of the social structure, including diverse income levels. When from delays in considering an infrastructure project, local service providers, as well as agencies responsible for service provision. regulation in the sector and those responsible for local urban planning, should be given the lead A balance needs in identifying the best approach to rehabilitation or reconstruction. See Chapter 7, Land Use to be struck and Physical Planning, for more discussion of reconstruction issues in urban versus rural contexts. Social assessment is a tool to help identify and plan for social issues in reconstruction. For guidance between these two on social assessment, see Chapter 4, Who Gets a House? The Social Dimension of Housing considerations. Reconstruction, Annex 2, How to Do It: Conducting a Post-Disaster Social Assessment. Managing logistics and cost overruns. The following are some options for government and agencies involved in reconstruction to reduce bottlenecks and manage cost overruns in infrastructure reconstruction: In establishing equipment, material, and supply requirements, make speci ic plans for procuring items that require a long lead time and could create supply bottlenecks. Expect and budget for cost increases due to an increased demand for material and labor. Increases will be a function of the size and pace of the reconstruction relative to the national economy and the supply capacity. If a fast pace of reconstruction will result in unacceptable cost escalations, analyze whether losses from delays in full service provision from slower reconstruction are acceptable and identify interim service provision options. The phasing and pace of reconstruction should strike a balance between costs and bene its. If faster reconstruction is a priority, build price incentives into construction contracts, without sacri icing the quality of workmanship. Ensure timely approval of plans, issuance of permits, and inspections, so that these procedures never hold up construction. Use the design/build approach, but only when the expertise and capacity exist to properly oversee it. Facilitate material imports and clearances. See Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance, Annex 1, Deciding Whether to Procure and Distribute Construction Material, for advice on this option. The case study on infrastructure construction in a relocation site in Sri Lanka following the 2004 Indian Ocean tsunami, below, shows how reconstruction agencies adapted to a government policy that infrastructure would only be provided once housing construction was complete. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 138 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Risks and Challenges Failure to improve the disaster resiliency of rehabilitated and reconstructed infrastructure systems. Restored infrastructure systems that are later unaffordable to the users and not properly maintained. Setting unrealistic reconstruction time frames in response to local political and social pressures, or collapsing reconstruction schedules in an attempt to avoid having donated funds diverted elsewhere. Not adequately coordinating infrastructure and housing reconstruction so that residents live for years without proper services. Underbudgeting program management and administration costs, which, in a post-disaster environment, can cost more than twice as much as those in regular projects.8 Time and cost overruns due to limited project management capacity and increased demand for resources in local markets. Environmental damage from improperly planned or engineered infrastructure projects. Failure to involve the local service providers in planning and executing infrastructure reconstruction programs. Recommendations 1. Government should enforce measures to ensure that infrastructure planning and reconstruction is closely coordinated with housing reconstruction, using a broad de inition of infrastructure to include community facilities. 2. From the irst day, support local service providers, such as local government and the community, in the planning and implementation of infrastructure projects, or at a minimum involve them in these efforts. 3. Plan in advance for activities that require long lead times, especially land acquisition and public consultations. 4. Develop realistic reconstruction schedules and service delivery strategies that take into consideration the fact that infrastructure reconstruction can take much longer than housing reconstruction. 5. Apply the "build back better" principle to infrastructure reconstruction, both in terms of its resilience to hazards and its environmental sustainability. 6. Provide a reserve for material and labor cost increases, because these costs will grow in proportion to the speed of the reconstruction effort. A contingency of at least 20 percent is realistic. 7. Make generous provisions for project management and for construction management and quality control, recognizing that the post-disaster environment will be more complex and that there is a risk that the work will be of lower quality than in normal conditions. 8. Use local technical resources in infrastructure planning and design, risk reduction, and construction. 9. Plan and budget for the human capacity development needed for the O&M of reconstructed infrastructure facilities. Case Studies 1998 Hurricane Mitch, Honduras Relocation without Infrastructure Hurricane Mitch had a major impact on the housing situation in the city of Choluteca, located along the Choluteca River in southern Honduras. More than 25 high-density neighborhoods located within the natural loodplain of the Choluteca River were completely washed away, displacing approximately 3,000 families. Although many of these houses in these neighborhoods had running water and electricity, most families did not have clear title to their land. Site selection for reconstruction was based on the availability of a large parcel of land with clear title rather than on its suitability for the creation of a sustainable community. Banco de Occidente sold land that it owned 15 kilometers from the city of Choluteca for monthly payments per lot of approximately US$100 over 10 years. The settlement, later called Nueva Choluteca or Limon de la Circa, consisted of 8. World Bank, 2008, "World Bank Good Practice Note 2,154 lots laid out with little consideration of urban design, transportation needs, or environmental on Overall Reconstruction: impact. The layout made the provision of infrastructure--water, sewage, electricity, drains, and Design, Implementation and Management," http:// communications--potentially more expensive, although in fact no provision was made for any siteresources.worldbank.org/ CHINAEXTN/Resources/318949- of these services at the time. Nongovernmental organizations (NGOs), including Caritas, Atlas 1217387111415/Overall_ Logistique, Iglesia de Cristo, International Organization for Migration, and CECI, participated in Reconstruction_en.pdf. CHAPTER 8: INFRASTRUCTURE AND SERVICES DELIVERY 139 the reconstruction effort. In 2001, only 42 percent of the houses were occupied by their owners. The rest were rented, transferred to non-owners (friends and family), or not occupied. One-tenth of the houses were in poor condition, and the neighborhood was considered very dangerous. Poor-quality housing, continued lack of infrastructure, increased segregation of residents, lack of employment (one study estimated the national unemployment rate at 68 percent immediately after Mitch), high rates of crime, and public health problems were all evident This project demonstrates that relocation at this scale generates a tremendous need for public services, including electricity, water, sewage, and storm-water and solid waste management, as well as social necessities, such as employment, health centers, and schools. International agencies must ensure not only that there is local capability to build infrastructure and provide services to such settlements over the long term, but even more that these projects contribute to the longer-term development of the community where they are built. Sources: Priya Ranganath, 2009, personal communication; Priya Ranganath, 2000, "Mitigation and the Consequences of International Aid in Post-Disaster Reconstruction" (working paper, McGill University), http://www.colorado.edu/hazards/publications/wp/wp103/wp103. html#casestudy; and Gonzalo Lizarralde and Marie France Boucher, n.d., "Learning from Post-Disaster Reconstruction for Pre-Disaster Planning," Groupe de Recherche IF, http://www.grif.umontreal.ca/pages/papers2004/Paper%20-%20Lizzaralde%20G%20&%20Boucher%20 M%20F.pdf. 2001 Gujarat Earthquake, India Causes for Delays in Rebuilding Urban Infrastructure The Gujarat Urban Development Company (GUDC) was responsible for reconstruction of urban infrastructure in 14 towns following the 2001 earthquake. Government decided to go beyond replacing lost capital stock and planned the urban reconstruction program in a holistic manner. The program included both in-situ reconstruction and relocation. Development plans were prepared for the four most severely damaged towns using a 20-year horizon. Development codes were amended to incorporate national codes for seismic and cyclone safety. GUDC eventually awarded 89 contracts worth US$80.7 million, using inancing from the Asian Development Bank (ADB). The four most severely damaged towns received new infrastructure, while damaged infrastructure in 10 less-affected towns was selectively upgraded. A 3-year implementation period was originally projected for the Gujarat reconstruction, yet the scope of the effort necessitated DANIEL PITTET extension of the reconstruction program to six years. The ADB's completion report attributed the delays to common post-disaster factors, including (1) the time required for acquisition of easements and removal of encroachments; (2) delayed contract awards due to multiple agency approvals; (3) selected contractors who were not able to meet requirements; (4) fraudulent bank guarantees presented by contractors; (5) the inability of suppliers to honor supply commitments due to price increases; (6) frequent transfers of implementing agency of icials; and (7) late receipt of funds by the Gujarat State Disaster Management Authority, causing delayed payments to contractors. Source: Asian Development Bank, 2008, "Gujarat Earthquake and Reconstruction Project, Completion Report," http://www.adb.org/ Documents/PCRs/IND/35068-IND-PCR.pdf. 2004 Indian Ocean Tsunami, Mandana, Sri Lanka Coordinating the Timing of Housing Construction with Infrastructure Provision In September 2005, after the devastating 2004 Indian Ocean tsunami, Habitat for Humanity-Sri Lanka (HFHSL) began construction on a 196-house community on unimproved land in Mandana, ive kilometers inland from Thirrukkovil, on the southeast coast of Sri Lanka. The bene iciaries were selected by government authorities from tsunami-affected families that had previously lived within the high-tide line and that were not allowed to rebuild in the coastal buffer zone. Land for relocation was provided by government. Although HFHSL had originally planned to quickly provide small, 150 sq. ft. "core houses" with at least a permanent structure at a relatively low cost, the Sri Lankan government mandated a 500 sq. ft. minimum for houses built on government-donated land, in an effort to improve the quality of life of those relocated. 140 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S The irst 96 families moved into new permanent houses in February 2006. Although toilets, wiring, and plumbing were in place, there was no electric service, piped water and sewage, public transportation, or graded road. Of icials had stated upfront that houses must be completed before other services would be provided, but the lack of infrastructure presented challenges to the families who moved in, as well as for the construction crews. As an interim measure, HFHSL negotiated with other NGOs to provide wells, water tanks, and water delivery; these services were continued and expanded to meet the needs of homeowners. Generators used to run cement mixers also provided limited emergency power. As homes were EARL KESSLER completed and more families moved into the community, HFHSL and the Sri Lankan management of chemical company BASF (the corporate sponsor of the project) joined with the homeowners' new community association to press for provision of full services. Three years later, formal electric services, piped water, and septic tanks were in place and supporting a growing community. In all, HFHSL built 2,049 housing units to support post-tsunami reconstruction in Sri Lanka. Source: Kathryn Reid, Habitat for Humanity International, 2009, personal communication, http://www.h hi.org. Resources Benson, Charlotte, John Twigg with Tiziana Rossetto. 2007. "Tools for Mainstreaming Disaster Risk Reduction. Guidance Note 12: Construction Design, Building Standards and Site Selection." International Federation of Red Cross and Red Crescent Societies, ProVention Consortium. http:// www.proventionconsortium.org/themes/default/pdfs/tools_for_mainstreaming_GN12.pdf. CDMP. 1997. "Basic Minimum Standards for Retro itting." Organization of American States and USAID's Unit of Sustsainable Development and Environment. http://www.oas.org/CDMP/ document/minstds/minstds.htm. CDMP. 2006. Hazard-resistant Construction. Organization of American States and USAID's Unit of Sustainable Development and Environment. http://www.oas.org/CDMP/safebldg.htm. Jayasuriya, Sisira and Peter McCawley. 2008. "Reconstruction after a Major Disaster: Lessons from the Post-Tsunami Experience in Indonesia, Sri Lanka, and Thailand." Working Paper No. 125. ADB Institute. http://www.adbi.org/ iles/2008.12.15.wp125.reconstruction.post.tsunami.experience.pdf. PAHO. 2002. "Emergencies and Disasters in Drinking Water Supply and Sewerage Systems: Guidelines for Effective Response." Pan American Health Organization. http://www.reliefweb.int/ rw/lib.nsf/db900sid/LGEL-5S6BNE/$ ile/paho-sew-02.pdf?openelement. Sphere Project. 2004. Humanitarian Charter and Minimum Standards in Disaster Response. Geneva: Sphere Project. http://www.sphereproject.org/. WHO. 2005. "Technical Notes for Emergencies." World Health Organization. http://www.who.int/ water_sanitation_health/hygiene/envsan/technotes/en/index.html. World Bank. 2008. "World Bank Good Practice Note: General Considerations for Infrastructure Planning." http://siteresources.worldbank.org/CHINAEXTN/Resources/318949-1217387111415/ Infrastructure_Planning_en.pdf. World Bank. 2008. "World Bank Good Practice Note on Overall Reconstruction: Design, Implementation and Management." http://siteresources.worldbank.org/CHINAEXTN/ Resources/318949-1217387111415/Overall_Reconstruction_en.pdf. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. CHAPTER 8: INFRASTRUCTURE AND SERVICES DELIVERY 141 Planning Reconstruction 9 ENVIRONMENTAL PLANNING Guiding Principles for Environmental Planning This Chapter Is During reconstruction, there are two principal environmental concerns: restoring damage to the Especially Useful For: environment from a disaster and minimizing the environmental impact of the reconstruction Lead disaster agency process itself. Environmental specialists Site planning in new settlements should be governed by ecological concerns. Local of icials Construction methods, building designs, and choice of materials all have an environmental impact; Project managers they should be based on local practices while being eco-friendly. Disaster debris is a valuable resource that should be reused during reconstruction whenever possible. However, materials that can be harmful to workers or the environment, such as asbestos or toxic substances, must be managed carefully. Introduction Disasters almost always have negative environmental impacts, ranging from damage to ecosystems to the production of vast quantities of waste. Post-disaster reconstruction can either be an opportunity to address these impacts and long-standing environmental problems in the disaster location or it can cause a second wave of damage. The choice is up to decision makers responsible for assessment, planning, and implementation of reconstruction programs. Assessment allows the disaster's environmental impacts to be identi ied and priority areas for corrective action to be determined. Physical and environmental planning present opportunities to analyze and rebalance the relationship between the built environment and the natural environment. And in implementation, actions can be taken that aid environmental recovery, mitigate the impacts of the reconstruction itself, and promote long-term sustainable development goals. The scope of "environmental issues" is broad and encompasses built, social, and economic and ecological aspects, and each of these affects those who live where the disaster took place. This chapter focuses principally on critical ecological and built environment issues related to housing demolition and reconstruction. It attempts to persuade those involved in reconstruction that restoration of the environment should be one of their highest priorities. To that end, it covers environmental impact assessments, relocation, waste management, ecological planning of new settlements, environmental needs of habitat, and environmental assessment of housing reconstruction. Key Decisions 1. National and local governments must decide on the legal framework for environmental management to be applied during reconstruction and on a division of labor that will ensure its successful implementation. 2. Government should decide immediately which agency will be in charge of post-disaster debris management and that agency should plan and coordinate the debris management program in a way that reduces risk, facilitates recovery and reconstruction, and disposes of debris in a cost-effective and environmentally sound manner, while keeping disposal of reusable or salable materials to a minimum. 3. The lead environmental agency must decide how to provide environmental guidance to all institutions active in reconstruction, keep this information updated, and monitor reconstruction implementation. It must also decide what incentives and sanctions will be employed. 4. Land use planning and environmental institutions need to agree on the mechanisms to ensure that post-disaster environmental planning and management activities are integrated with land use and site planning, as well as on how these local activities will be coordinated with the lead disaster agency. 5. In a consultative manner, government should de ine how local community and civil society organizations can contribute to environmental protection during reconstruction and on coordination mechanisms among the organizations and with government. These organizations can participate in local debris management, assessments, reconstruction monitoring, technical assistance and project implementation. 143 Some Environment-Related Consequences of Common and Recurrent Natural Disasters Type of Disaster Associated Environmental Impact Hurricane/cyclone/ Loss of vegetation cover and wildlife habitat typhoon Inland flooding Mudslides and soil erosion Saltwater intrusion to underground freshwater reservoirs Soil contamination from saline water Damage to offshore coral reefs and natural coastal defense mechanisms Waste (some of which may be hazardous) and debris accumulation Secondary impacts by temporarily displaced people Impacts associated with demolition, reconstruction, and repair to damaged infrastructure (e.g., deforestation, quarrying, waste pollution) Tsunami Groundwater pollution through sewage overflow Saline incursion and sewage contamination of groundwater reservoirs Loss of productive fisheries and coastal forest or plantations Destruction of coral reefs and natural coastal defense mechanisms Coastal erosion or deposition of sediment on beaches or small islands Marine pollution from back flow of wave surge Soil contamination Loss of crops and seed banks Waste accumulation--additional waste disposal sites required Secondary impacts by temporarily displaced people Impacts associated with demolition, reconstruction, and repair to damaged infrastructure (e.g., deforestation, quarrying, waste pollution) Earthquake Loss of productive systems (e.g., agriculture) Damage to natural landscapes and vegetation Possible mass flooding if dam infrastructure is weakened or destroyed Waste accumulation--additional waste disposal sites required Secondary impacts by temporarily displaced people Impacts associated with demolition, reconstruction, and repair to damaged infrastructure (e.g., deforestation, quarrying, waste pollution) Damaged infrastructure as a possible secondary environmental threat (e.g., leakage from fuel storage facilities) Release of hazardous materials from industries, medical facilities, and nuclear plants Flood Groundwater pollution through sewage overflow Loss of crops, trees, livestock, and livelihood security Excessive siltation that may affect certain fish stocks River bank damage from erosion Water and soil contamination from fertilizers and/or industrial chemicals Secondary impacts by temporarily displaced people Sedimentation in floodplains or close to river banks Volcanic Eruption Loss of productive landscape and crops buried by ash and pumice Forest fires as a result of molten lava Secondary impacts by temporarily displaced people Loss of wildlife following gas release Secondary flooding should rivers or valleys be blocked by lava flow Damaged infrastructure as a possible secondary environmental threat (e.g., leakage from fuel storage facilities) Impacts associated with demolition, reconstruction, and repair to damaged infrastructure (e.g., deforestation, quarrying, waste pollution) Landslide Damaged infrastructure as a possible secondary environmental threat (e.g., leakage from fuel storage facilities) Secondary impacts by temporarily displaced people Impacts associated with demolition, reconstruction, and repair to damaged infrastructure (e.g., deforestation, quarrying, waste pollution) Source: United Nations Environment Programme (UNEP), 2008, Environmental Needs Assessment in Post-Disaster Situations: A Practical Guide for Implementation (Nairobi: UNEP), http://www.humanitarianreform.org/humanitarianreform/Portals/1/cluster%20approach%20page/clusters%20pages/Early%20R/UNEP%20PDNA_pre- ield%20test%20draft.pdf. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 144 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S 6. The lead environmental agency must decide on and implement mechanisms that ensure that trees, groundwater, and other natural resources and other local environmental assets will be protected on a site-speci ic and regional basis during demolition and reconstruction. Community and advocacy organizations can play an important role in this. 7. Local authorities need to establish measures to ensure that decision points, such as the approval of site plans and the issuance of demolition and building permits, are used to ensure compliance with the environmental guidelines. These are opportunities to address such issues as the integration of infrastructure development with housing reconstruction and the use of local and eco- friendly materials and designs. 8. National and local governments should de ine any technical assistance requirements related to implementing post-disaster environmental management systems, norms, and procedures, and identify a point person to raise the necessary funding and to manage procurement. International agencies, including the World Bank, can frequently be of assistance. Public Policies Related to Environmental Planning National and local environmental law and regulations should be applied in reconstruction, although additional guidance may be needed to address the unique post-disaster situation. The national environmental ministry and local governmental environmental agency should be involved early and should participate in assessments. The World Bank will apply its environmental safeguards, as explained in Chapter 20, World Bank Response to Crises and Emergencies, and Chapter 21, Safeguard Policies for World Bank Reconstruction Projects. Policy guidance should be widely accessible to different actors, including all government agencies, the private sector, international agencies, NGOs, and local communities. If existing legal and regulatory instruments require updating, or strengthening, donors and other sources should inance technical assistance to develop reconstruction environmental policy guidelines that address the issues discussed in this chapter. Government should consider updating its environmental policies as part of its disaster risk reduction program so that the country is prepared to apply the policies in the event of a disaster. The objective is to provide environmental guidelines that balance environmental protection with the need to support reconstruction. The lead agency should also designate a group of experts to provide advice on speci ic cases and exceptions and to propose modi ications to the policy as reconstruction experience is gained. The case study on the 1999 Armenia post-earthquake reconstruction, below, describes how Colombia designed a comprehensive environmental management plan. Technical Issues The following paragraphs discuss in detail some of the technical issues related to environmental planning and provide examples of how these issues applied to real-world situations. Case studies involving some of these issues are found later in this chapter. Rapid Environmental Impact Assessment Governments, international aid agencies, NGOs, and communities use rapid environmental impact assessments (REAs) as the key starting point after any disaster. An REA needs to be conducted within 120 days of the event.1 There are standards manuals and guidelines for REA on organization- 1. Charles Kelly, 2005, Guidelines level assessments, community-level assessments, consolidations, and analyses. Personnel required for Rapid Environmental Impact for an REA include specialists on disaster relief and environmental impact assessments (EIAs). Assessment in Disasters (Geneva: CARE International), http://www. Community REAs can be conducted by NGOs and ield practitioners.2 During the early recovery reliefweb.int/rw/lib.nsf/db900SID/ phase, UNEP recommends the use of the Environmental Needs Assessment (ENA) methodology.3 EVOD-6FCH52?OpenDocument. 2. Ministry of the Environment More detailed environmental studies may also be needed to analyze the particular issues of Republic of Indonesia, 2005, environmental impact at the relevant scale. For instance, groundwater contamination may need to Rapid Environmental Impact Assessment, Banda Aceh, Sumatra be evaluated for the entire watershed, or the availability of local natural resources used in housing (Jakarta: Republic of Indonesia), construction, such as lumber or stone, may need to be evaluated at the national or regional level. At http://www.humanitarianinfo. org/sumatra/reference/ the end of the housing reconstruction process, an integrated environmental assessment should be assessments/doc/gov/GoI- EnvironmentalImpactAssessment- part of the project evaluation. 050405.pdf. 3. UNEP, 2008, Environmental Needs Assessment in Post-Disaster In Aceh, Indonesia, after the 2004 tsunami, the following 10 priority areas for environmental Situations: A Practical Guide for management in the recovery process were identi ied: (1) contaminated groundwater; Implementation (Nairobi: UNEP), http://www.humanitarianreform. (2) sanitation; (3) lost livelihood; (4) lack of coordination in relief or recovery response during org/humanitarianreform/ the emergency response phase; (5) shelter and related domestic needs; (6) enhanced roles Portals/1/cluster%20approach%20 page/clusters%20pages/ identi ied for local governance and the role of communities in environmental management; Early%20R/UNEP%20PDNA_pre- (7) volume of (mixed) waste; (8) uncertain land tenure for tsunami survivors; (9) strengthening ield%20test%20draft.pdf . C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 145 of local government to overcome the loss of infrastructure, staff, and resources; and (10) increase of capacity to direct and absorb relief assistance for sustainable development. After the 2008 earthquake in Wenchuan, China, the government reconstruction policy promoted the reuse of waste and encouraged improving the environmental sustainability of industrial plants rehabilitated after the earthquake, including those producing construction materials using recycled inputs, as described in the case study, below. "Without the trees Post-Disaster Waste Management the village is not Post-disaster waste management is one of the most crucial and urgent issues following a produced areas. Much of alive. It is another disaster. Different types of waste aremud brick,in urban and rural recycled, whilethe waste from rural housing (stone, adobe or and wood) can be that from village, not our urban areas needs proper separation, collection, and treatment. In urban areas, asbestos and village anymore." electrical appliances are a potential source of hazardous waste; therefore, proper separation and treatment of these wastes is required. Rubble and debris represent resources that have value in reconstruction; however, they can also represent a risk for communities and should be analyzed and handled with care. In case of water-related disasters, a large amount of biological waste is produced and needs to be treated properly. See Annex 1, How to Do It: Developing a Disaster Debris Management Plan, in this chapter. Also see text box "Managing Asbestos in Housing and Community Reconstruction" later in this chapter. Typhoon Tokage, in the city of Toyooka, Japan (2004), produced disaster waste that was 1.5 times the annual waste production in the city. It took signi icant time and inancial resources to process the waste in order to start the reconstruction process. Information and communications technology (ICT) tools and systems can be deployed. Catalogue and communicate availability of recycled materials to facilitate local economic activity. The case study on the 1994 Northridge earthquake, below, discusses how the city of Northridge, California, recycled more than 50 percent of all disaster debris. In-Situ Construction versus Relocation The decision to relocate or build in-situ has environmental consequences. Likewise, the amount and nature of waste produced in a disaster often in luences decisions about the reconstruction process. The environmental consequences of the in-situ versus relocate decision should be discussed with community members, government, and multilateral and bilateral donors. Local environmental guidelines should be consulted as well. After the 2004 Indian Ocean tsunami, many settlements in Aceh, Indonesia had to be relocated 2-3 kilometers inland because of water logging and disaster debris, thereby causing challenges to the livelihoods of ishing communities. Some tsunami-affected countries like Sri Lanka imposed strict limits based on the Coastal Regulatory Zone Act. See Chapter 5, To Relocate or Not to Relocate, for more information and a case study on this issue. Ecological Planning of New Settlements New housing settlements are often sited in areas with rich ecological resources and biodiversity, without evaluating the ecological footprint of the project, creating both new risks and an environmental conservation challenge. If the environmental assessment used for site selection is not properly conducted, relocation may create new risks. After a coastal hazard (like a typhoon or tsunami), the new settlement may be developed on mountain slopes. Yet the higher ground may have a high landslide risk. Therefore, proper ecological analysis and hazard mapping is required before selecting new settlements after a disaster. This is particularly important for fragile ecosystems, such as small islands and mountainous areas with higher biodiversity. Protection of natural habitat should be a priority after a disaster, including mangroves and nesting grounds of birds, along with architectural heritage, such as structures, since both contribute to the cultural, psychological, and economic recovery of the community. The case study on the Indian Ocean tsunami reconstruction in Tamil Nadu, India, below, shows how the protection of trees was not fully considered in planning housing reconstruction. 4. UNEP, 2005, Environmental Management and Disaster Preparedness: Lessons learnt from Green and Clean Recovery and Reconstruction the Tokage Typhoon (Geneva: UNEP), Rural housing styles have evolved in harmony with local cultural and climatic conditions. Vernacular http://www.unep.or.jp/ietc/wcdr/ unep-tokage-report.pdf. designs and techniques are often optimal because of their cost-effectiveness, local availability, and 5. Sphere Humanitarian Charter and minimal environmental impact. There is increasing support for using local, environment-friendly Minimum Standards in Disaster Response, http://www.sphereproject. housing materials in reconstruction (e.g., stone, mud brick, wood, and slate), especially in rural areas. org/. False perceptions about environmental impacts can discourage the use of local materials (e.g., the 146 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S ban on timber products in Aceh in the initial stage of the post-tsunami reconstruction). This makes reconstruction more dif icult for homeowners who may be unfamiliar with new building materials and construction methods. Materials and design should be selected using environmental and climate change-oriented criteria, such as energy use, greenhouse gas emissions, the sustainability of production chains, the use of water, and the potential for recycling and reuse. See Chapter 10, Housing Design and Construction Technology, for background on these issues. Need for Basic Environmental Services Lack of basic infrastructure such as water, sanitation, and waste management can cause serious environmental and environmental health problems and can lead to low occupancy rates of new and reconstructed housing. Sphere standards, which establish minimum health, sanitation, water supply, and housing standards for humanitarian operations, can be useful as a frame of reference in reconstruction.5 See Chapter 8, Infrastructure and Services Delivery, for detailed guidance on post- disaster infrastructure restoration. Tools for Environmental Planning Community participation is absolutely critical at each stage of environmental planning and assessment. Public hearings, held to inform the community of environmental assessments and planned actions, can bring together all stakeholders, including project proponents, environmental agencies, NGOs, citizens, and project-affected persons. The tools outlined below aim to apply core principles of building local capacity of communities to prevent and mitigate disasters, create partnerships among stakeholders, share and exchange information, and develop learning and decision-making tools to address disaster impacts. All tools incorporate common elements, such as assessment, stakeholder involvement mechanisms, and monitoring.6 DANIEL PITTET Assessment Tools Rapid Environmental Impact Assessment. Helps identify and prioritize likely environmental impacts in natural disaster conditions. A qualitative assessment approach is used to rank issues and identify follow- up actions.7 6. United Nations Centre for Human Settlements (UN-HABITAT) and Environmental (or Ecological) Risk Assessment. Evaluates the adverse effects that human activities and UNEP, 1999, The SCP Source Book pollutants have on the plants and animals in an ecosystem, and identi ies impacts on human, ecological, Series, V. 5, Institutionalising the Environmental Planning and ecosystem health.8 and Management (EPM) Process (Nairobi: UNCHS Environmental Impact Assessment. Involves analysis of baseline environment, identi ication and evaluation and UNEP), http://www. of impacts, and mitigation measures to remedy adverse effects of natural and man-made disasters. See unhabitat.org/pmss/getPage. asp?page=bookView&book=1652. Annex 2, How to Do It: Carrying Out Environmental Impact Assessment and Environmental Monitoring 7. Charles Kelly,2005, "Guidelines of Reconstruction Projects, for guidance on carrying out an EIA. for Rapid Environmental Impact Assessment in Disasters,"CARE Strategic Environmental Assessment. Evaluates the consequences of plans, policies, and programs on the International, http://www. natural environment using a systematic approach, taking into account social and economic considerations.9 reliefweb.int/rw/lib.nsf/db900SID/ EVOD-6FCH52?OpenDocument. 8. See U.S. Environmental Protection Agency, National Center for Planning Tools Environmental Assessment, Eco and Hazard Mapping (EHM). Serves as a simple systematic and visual tool that aids in post-disaster "Ecological Risk Assessment," http://cfpub.epa.gov/ncea/cfm/ reconstruction planning by using maps and plans of cities, neighborhoods, and buildings. The mapping ecologic.cfm. process involves multi-stakeholder participation. Participants mark all environmental aspects, hazards, 9. World Bank, Environment, "Strategic Environmental and risks on plans and maps that contribute to the formulation of post-disaster recovery plans. Assessment Toolkit," http:// Environmental Pro iling. Provides planning and management options based on a study of development go.worldbank.org/XIVZ1WF880; and Organisation for Economic setting, environmental setting, and disaster setting of a city or village. The development setting studies Co-operation and Development the socioeconomic structure, institutional structure, and environmental resources. Environmental Development Co-operation Directorate, Strategic setting studies the natural and built environment in detail. Disaster setting provides an analysis of Environmental Assessment Network, "Applying SEA: Good hazards and vulnerability faced by communities.10 Practice Guidance for Development Co-operation," http://www. seataskteam.net/guidance.php. Implementation Tools 10. UN-HABITAT and UNEP, 1998, The Environmental Management System. Used as a problem-solving and problem-identi ication tool based on SCP Source Book Series, Volume 1: Preparing the SCP Environmental the concept of continual improvement. EMS forms the core of the international environmental standard Pro ile (Nairobi: UN-HABITAT ISO 14001. The EMS adopts the Plan-Do-Check-Act cycle to develop environmental policies; frame the and UNEP), http://www. unhabitat.org/pmss/getPage. EMS; and implement, review, and revise performance.11 asp?page=bookView&book=1427. 11. International Organization for Environmental Management Plan. An Environmental Plan (EMP) is used to monitor the impacts and Standardization, "ISO 14000 mitigation measures agreed to in the EIA of a speci ic project. See Annex 2, How to Do It: Carrying Essentials," http://www.iso.org/ iso/iso_catalogue/management_ Out Environmental Impact Assessment and Environmental Monitoring of Reconstruction Projects, for standards/iso_9000_iso_14000/ guidance on carrying out an EIA and implementing an EMP. iso_14000_essentials.htm. C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 147 Managing Asbestos in Housing and Community Reconstruction What Is Asbestos and Where Is It Found? Asbestos is the name given to a number of naturally occurring ibrous minerals with high tensile strength, the ability to be woven, and resistance to heat and most chemicals. Because of these properties, asbestos ibers have been used in a wide range of manufactured goods and construction materials, including roo ing shingles, ceiling and loor tiles, paper and cement products, textiles, and coatings. In-place management dictates having a building management program to minimize release of asbestos ibers into the air and to ensure that when asbestos ibers are released, either accidentally or intentionally, proper control and cleanup procedures are implemented. However, in a disaster, there is a likelihood that construction debris--especially debris from engineered buildings--may include asbestos-containing materials (ACMs), making it necessary to develop abatement procedures as part of the debris management program. Under normal circumstances, abatement entails removal of asbestos before building demolition; however, after a disaster this may not be possible. Managing Asbestos Health Effects Exposure to airborne friable asbestos may result in a potential health risk, because people breathing the air may breathe in asbestos ibers. Fibers embedded in lung tissue over time may cause serious lung diseases, including asbestosis, lung cancer, and mesothelioma. Disease symptoms may take several years to develop following exposure. Continued exposure can increase the amount of ibers that remain in the lungs. Exposure to asbestos increases your risk of developing lung disease. That risk is made worse by smoking. Good practice is to minimize the health risks associated with ACMs by avoiding their use in new construction and renovation, including disaster relief and reconstruction, and, if installed ACMs are encountered, by using internationally recognized standards and best practices to mitigate their impact. In reconstruction, demolition, and removal of damaged housing and infrastructure construction materials, asbestos hazards should be identi ied and a risk management plan adopted as part of the EMP that includes disposal techniques and end-of-life sites. How Asbestos Is Detected ACMs are mixtures of individual asbestos ibers and binding material. The asbestos content of manufactured items ranges from 1 percent to 100 percent. Asbestos ibers cannot be seen without a special microscope. Analysis by an accredited testing laboratory is the only way to know for certain whether a material contains asbestos. Workers should be protected from asbestos exposure even in the sampling process. Disposal of Asbestos Asbestos waste or debris should not be burned since the ibers can be released; it should be disposed of at an approved disposal site. Laws should require (1) safe methods to contain asbestos waste (wet, double-bagged), (2) procedures for hauling waste, (3) disposal of ACM in an authorized land ill, and (4) formal record keeping of asbestos waste disposal. Land illing is the environmentally preferred method of asbestos disposal because asbestos ibers are immobilized by soil. Asbestos cannot be safely incinerated or chemically treated for disposal. Information on Asbestos Regulation Because the health risks associated with exposure to asbestos are now widely recognized, global health and worker organizations, research institutes, and some governments have enacted bans on the commercial use of asbestos, and they urge the enforcement of national standards to protect the health of workers, their families, and communities exposed to asbestos through an International Convention. Information on these standards and emerging legal frameworks are available from the sources below. The International Ban Asbestos Secretariat (IBAS), http://ibasecretariat.org/. IBAS keeps track of national asbestos bans. International Finance Corporation, 2007, "Environmental, Health, and Safety Guidelines," http://www.ifc.org/ifcext/ sustainability.nsf/Content/EnvironmentalGuidelines. World Health Organization, 2006, "Elimination of Asbestos-Related Diseases," http://www.who.int/occupational_health/ publications/asbestosrelateddisease/en/index.html. World Bank Group, 2009, "Good Practice Note on Asbestos: Occupational and Community Health Issues," http://siteresources. worldbank.org/EXTPOPS/Resources/AsbestosGuidanceNoteFinal.pdf. Sources: World Bank Group, 2009, "Good Practice Note on Asbestos: Occupational and Community Health Issues," http://siteresources.worldbank.org/EXTPOPS/Resources/ AsbestosGuidanceNoteFinal.pdf; and US Environmental Protection Agency, "Asbestos," http://www.epa.gov/asbestos/. 148 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Risks and Challenges Ignoring environmental issues in any phase of reconstruction and not involving environmental experts in decision making at the policy and programmatic level. Delays in conducting the environmental assessment increase environmental risks created by the disaster. Dangerous or hazardous rubble and debris (such as toxic or ignitable substances, asbestos, explosives, collapsing buildings) are not handled with caution, with negative effects on communities and the environment Damage to infrastructure leads to secondary impacts like ire and loods before problems are identi ied and addressed. Political and institutional factors, rather than community and environmental priorities, drive site- selection decisions. Poor planning permanently destroys environmental assets, such as endangered habitats, coastal sand dunes, and mangroves. Infrastructure and site development negatively affect groundwater quality and quantity. Social and cultural assets are destroyed because of ad hoc development planning. Community participation in environmental decision making is downplayed because of political and commercial interests. Local building practices are combined in an unsafe way with practices promoted by external actors. Commercial interests in luence material and technology selection, with negative rami ications on the environment and community. Recommendations 1. Include government staff and consultants in the environmental assessment teams so that they acquire irsthand knowledge of environmental issues in the affected area and can identify how incentives for environmentally sustainable reconstruction can be incorporated in the reconstruction policy. 2. Identify the legal framework for environmental management to be applied in reconstruction early on, how it will be implemented and by whom, and how it will be monitored and evaluated. 3. Mobilize the post-disaster debris management effort immediately after the disaster, carrying out a rapid planning exercise if a debris management plan was not in place before the disaster. 4. Ensure that the environmental requirements for reconstruction are effectively and continually communicated to all agencies participating in the reconstruction program. 5. In developing the reconstruction policy, government, UN shelter cluster partners, and environmental organizations should work together to minimize the environmental impact and maximize the local sustainability of the building materials and practices to be used. 6. Use the environmental review process to evaluate the ecological footprint of a relocation site or in- situ reconstruction project and to select the site, develop mitigation measures for the project and its construction, and adjust project parameters. 7. Plan new settlements or the rehabilitation of existing systems so that sanitation and other basic infrastructure are provided as early as possible to ensure healthy environmental conditions for new residents. Limitations Environmental issues are not restricted to the disciplinary boundary of environmental management. In a post-disaster context, environmental issues also deserve consideration when making decisions regarding, among other things, inancial management, technical and engineering aspects of housing reconstruction (safer design), material availability, accessibility, cost, and time. Environmental issues tend to become a lower priority when measured against the desire to speed up the reconstruction. Respecting the existing environmental policy framework of the country and documenting and mapping environmental hazards and assets may help rebalance these considerations. In the long run, wise environmental decisions will pay off. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 149 Case Studies 1999 Eje Cafetero Earthquake, Armenia, Colombia An Integrated Response to Post-Disaster Environmental Management The devastating earthquake in Armenia, Colombia, in January 1999, left 1,230 people dead and 200,000 affected, and damaged or destroyed 80,000 homes. Given the economic importance of this agricultural and coffee-growing region, recovery of the environment was immediately identi ied as one of the most critical concerns. The President not only declared an economic and social state of emergency, but--for the irst time in Colombian history--declared an ecological state of emergency in the affected region. This action, together with the creation by the President of the Fund for the Reconstruction of the Coffee Zone (Fondo para la Reconstrucción del Eje Cafetero, or FOREC), which was charged with integrated reconstruction of the zone, ensured that the environmental dimensions of the disaster would be prominent in the reconstruction plan. The reconstruction strategy was also designed to respect and further national environmental strategies and laws, while promoting the sustainable economic development of the region. The importance of the environment was also re lected in the degree of central government involvement in this aspect of the recovery process, not fully delegating responsibility to NGOs and local governments, as was done with most other aspects of the reconstruction program. A broad range of activities were developed to promote environmental goals: (1) careful management of almost 4 million cubic meters of debris, (2) development of environmental guiding principles, and of environmental guidelines for land use planning and reconstruction, (3) formulation of integrated land use plans that incorporated environmental management and disaster prevention, (4) investment in new infrastructure for ecotourism in the Nevados Park, (5) new environmental regulations for the mining industry, and (6) stabilization of critical mountain slopes. In addition, a sustainable management was implemented during reconstruction for guadua (a type of bamboo used in the region as a construction material). As a result, 1,045 hectares of culms were planted to compensate for over-exploitation in an effort to reduce avoid soil erosion, improve air and water quality, and contribute to improving the quality of life in the region. Sources: Ana de Campos, 2009, personal communication and FOREC, El Ministerio del Medio Ambiente, las corporaciones autónomas regionales del Valle del Cauca (CVC), Quindío (CRQ), Risaralda (CARDER), Caldas (CORPOCALDAS), Tolima (CORTOLIMA), el Instituto de Hidrología, Meteorología y Estudios Ambientales - IDEAM, el Instituto de Investigación e Información Geocientí ica Minero ­Ambiental y Nuclear - INGEOMINAS, el CORPES de Occidente, 2002, Plan de Manejo Ambiental para la Reconstrucción del Eje Cafetero. Informe Final de Gestión y Resultados, Armenia. 2004 Indian Ocean Tsunami, Tamil Nadu, India Neglecting the Importance of Trees for Livelihoods and Thermal Comfort "Without the trees the village is not alive. It is another village, not our village anymore." Some of the housing reconstruction projects in the aftermath of the 2004 Indian Ocean tsunami in Tamil Nadu, India, should have more carefully considered the space around the house and the surrounding vegetation as equally important aspects of the inhabited space. People now live in houses of a new design, built with foreign materials, in a strange settlement layout, and sometimes in a new location, without any trees. In fact, the loss of trees is described in this region as one of the worst consequences of contractor-built reconstruction. In several villages, contractors refused to start any reconstruction work before the ground was completely cleared of houses, trees, and other vegetation. In one village, people estimated that 800­1,200 trees were cut down, demonstrating a lack of understanding of the importance and the central role of trees in these communities. Tree products are abundantly used in every home as food, fodder, and irewood, and to fabricate utensils-- and are also a valued source of income. Trees also have cultural importance: trees are connected to notions of health, protection, beauty, and sacredness. In a tropical climate where temperatures exceed 40°C most of the year, the importance of shade cannot be overemphasized. Areas with trees demarcate locations where people sit together, talk, and play, in short, where social life takes place. Even though the sites were speci ically chosen by the communities themselves and the cutting of trees was probably inevitable, the fact remains that the tree cover is gone with serious adverse effects. The demolition of trees resulting from reconstruction projects risks causing a long-term detrimental impact on the social networks, livelihoods, and general well-being of the village community. Source: Jasmin Naimi-Gasser, 2009, "The socio-cultural impact of post-tsunami housing reconstruction programs on ishing communities in Tamil Nadu, India: An ethnographic case study" (thesis, University of Zurich); and C. V. Sankar, 2009, written communication. DANIEL PITTET 150 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S 2008 Wenchuan Earthquake, China Using Waste as a Resource to Create an Environment-Friendly Society Following the 2008 Wenchuan earthquake in China, some people proposed that the concept of a circular economy be applied in reconstruction. The idea was to use the resources available for reconstruction, including debris from the earthquake, in the most ef icient and productive way possible. It also translated into a focus on industrial rebuilding for industries that could contribute to the circular economy in the long term and on the way in which industrial activities would be carried out once rehabilitated, seeking to reduce energy consumption; improve the conservation of water, land, and materials; and reduce their impact on the surrounding communities. The policy mentions emission reduction of high energy-consuming enterprises and promotion of cleaning production technology. Lastly, it encourages the recycling of construction waste, industrial solid waste, and coal gangue to develop environmental friendly construction materials. These activities both conserve resources and protect the environment, which, in turn, promote the community's economic, social, and environmental development in a way that is healthier, integrated, and sustainable. Source: People's Republic of China, National Development and Reform Committee (NDRC), 2008, "The Overall Planning for Post-Wenchuan Earthquake Restoration and Reconstruction," http://en.ndrc.gov.cn/policyrelease/P020081010622006749250.pdf. 1994 Northridge Earthquake, California Acting Quickly to Recycle Debris after a Major Urban Earthquake On January 17, 1994, residents of the Los Angeles region of southern California were awakened by a 6.7 magnitude earthquake that proved to be the most costly earthquake in United States history. Fifty-seven people died, more than 9,000 were injured, and more than 20,000 were displaced. Surprisingly, the city of Los Angeles did not have a disaster debris management plan in place, but quickly developed procedures afterward. City of icials updated an existing list of licensed, insured debris removal contractors and asked them to attend an orientation and to sign hastily drafted contracts for debris removal. At irst, contracts were only two pages long and covered one week of work, but the contracts ultimately grew to 22 pages, each contractor was assigned a grid of streets to clear, and the work FEMA NEWS PHOTO periods were extended. These early contracts allowed the city to begin removing debris quickly. Yet recycling was not included until two months after the date of the disaster, due to a dispute about whether the costs would be eligible for Federal reimbursement. Once recycling was approved, the city developed contract terms that rewarded haulers for source-separated materials while working with businesses to develop processing for mixed debris. The city also provided training and inancial incentives to haulers. Most of the materials collected were recyclable; wood, metal, dirt, concrete and asphalt, and red clay brick were separated. After four months, the city was recycling about 50 percent of the debris collected each week. A year later, the city was recycling more than 86 percent of the debris, totaling more than 1.5 million tons. City inspectors (pulled from other assignments) monitored the contractors. By the end of the program, the city had recycled almost 56 percent of all materials from the earthquake for less than the cost of disposal, a total that would have been much higher had the city implemented recycling from the beginning of recovery. To prepare for the possibility of future disasters, Los Angeles later issued a request for proposals for a contingency contract for various disaster waste management activities, including the use of sites in the event of a natural disaster. Sources: U.S. Environmental Protection Agency, "Wastes - Resource Conservation - Reduce, Reuse, Recycle - Construction & Demolition Materials," http://www.epa.gov/osw/conserve/rrr/imr/cdm/pubs/disaster.htm#la and U.S. Geological Survey, "USGS Response to an Urban Earthquake: Northridge '94," http://pubs.usgs.gov/of/1996/ofr-96-0263/. C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 151 2004 Indian Ocean Tsunami, Sri Lanka Ecological Planning of Settlements to Address Waste Management After the 2004 Indian Ocean tsunami in Sri Lanka, waste management became an additional challenge to the problem of dealing with the regular waste generated by the growing population. There was a need to address the waste generated by the changing consumption patterns of the tsunami-affected people, many of whom were housed in transitional shelters. Many new housing schemes, settlements, and townships were developing in numerous, dispersed locations, and in these locations there was inadequate space and capacity to tackle this problem. Therefore, it was important to ensure that local authorities were provided the resources and capacity to manage the impacts of these settlements on the waste stream, to avoid waste management becoming a major issue when these settlements were occupied. New ecological plans were developed in many cases, with the assistance of outside experts. Sources: Satoh Tomoko, 2007, Study on Evolution of Planning and Responses to Water-Related Disaster in Japan, and Its Application to Indian Ocean Tsunami Case in Sri Lanka (master thesis, Kyoto University); and Aat van der Wel, Valentin Post, 2007, "Solid Waste Management in Sri Lanka: Policy & Strategy," http://www.waste.nl/page/1554. Resources Humanitarian Reform in Action. "Mainstreaming the Environment into Humanitarian Response." http://oneresponse.info/crosscutting/environment/publicdocuments/ERM_%20Final%20 Report_08%2011%2007.pdf. Inter-Agency Technical Committee of the Forum of Ministers of the Environment of Latin America and the Caribbean. 2000. "Panorama of the Environmental Impact of Disasters in Latin America and the Caribbean." Report given at the 12th Forum of Ministers of the Environment of Latin America and the Caribbean, Bridgetown, Barbados, March 2­7. http://www.gdrc.org/uem/disasters/disenvi/ Panorama-Envi-Impact.pdf. Kelly, Charles. 2005. Guidelines for Rapid Environmental Impact Assessment in Disasters. Geneva: CARE International. http://www.reliefweb.int/rw/lib.nsf/db900SID/EVOD-6FCH52?OpenDocument. Sphere Project. 2000. "Humanitarian Charter and Minimum Standards in Disaster Response." http:// www.sphereproject.org/component/option,com_docman/task,cat_view/gid,17/Itemid,203/ lang,english/. UNEP. 2005. After the Tsunami: Rapid Environmental Assessment. Geneva: UNEP. http://www.unep. org/tsunami/tsunami_rpt.asp. UNEP. 2005. Environmental Management and Disaster Preparedness: Lessons learnt from the Tokage Typhoon. Geneva: UNEP. http://www.unep.or.jp/ietc/wcdr/unep-tokage-report.pdf. World Bank. 1999. "OP/BP 4.01. Environmental Assessment." Operational Manual. Washington, DC: World Bank. http://go.worldbank.org/9MIMAQUHN0. World Bank. 2007. "OP/BP 8.00. Rapid Response to Crises and Emergencies." Operational Manual. Washington, DC: World Bank. http://go.worldbank.org/ILPIIVUFN0. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. 152 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex 1 How to Do It: Developing a Disaster Debris Management Plan Natural disasters can generate tremendous quantities of debris. Phase 2. Long-term removal, management, and processing After a disaster, some institution must immediately take the lead of debris. Following initial clearance, debris management to develop and direct a plan for collecting and managing disaster generally shifts to local public agencies, and becomes more debris. Failure to do so will increase the secondary risks for the complex. It will include removing, collecting, processing, and affected community and will delay reconstruction. If disasters disposing of debris, including all debris in public areas, as are anticipated, a disaster debris management plan should be well as debris set out by residents for collection. The rules for in place that lays out the roles and responsibilities of different handling institutional, commercial, and industrial waste must be agencies, a plan of action, and the mechanisms for coordination. part of the plan. This phase may last up to one year. While this sort of planning is becoming more common, especially in countries with strong local governments, it is more likely Components of a Disaster Debris Management Plan that both the preparation and the execution of the debris Disaster debris may be viewed as pure waste or as a resource. management plan will be done immediately after the disaster Disaster debris may be viewed as pure waste or as a resource. strikes, sometimes by an inexperienced lead agency. This section The reality is somewhere in between; some portion is a usable provides basic guidance on how institutions can collaborate to resource and some portion must be disposed of. The goals of manage post-disaster debris. It does not assume pre-planning post-disaster debris management are to reduce risk, facilitate has been done and therefore covers planning as well as some the recovery and reconstruction efforts, and dispose of debris important topics to consider in each component. It is based on a ef iciently and in a cost-effective and environmentally sound range of publicly available documents.1 manner, while keeping inal disposal of reusable or salable materials to a minimum. Phases of Disaster Debris Management Post-disaster debris management typically occurs in two The management plan must cover collection of waste and overlapping phases: initial clearance and long-term removal, a hierarchy of waste disposal options that usually includes: management, and processing. The overall plan should address reuse, reduction, recycling, composting, combustion, and land- both. illing. The plan should also include strong monitoring and Phase 1. Initial clearance of debris. Debris clearance will be regulatory mechanisms, such as controls to prevent and sanction the primary debris management activity during the irst few illegal dumping by both households and businesses, a very days. During this phase, debris is cleared from power lines and common occurrence in many countries. The demands of post- key roadways to restore transportation, emergency access, and disaster debris management may mean that normal operating utility services as quickly as possible. Households and businesses procedures have to be rapidly expanded or strengthened, even will set debris at the side of the road, for later collection. Various in communities with well-run solid waste management systems. agencies may be available to provide assistance, including the This could include locating additional debris staging and storage national guard or military, utility companies, local and state police, areas, contracting out services normally performed "in-house," and public works and highway agencies. Coordination among and/or inding ways to reuse or market debris materials. A them will be required. This phase will last approximately 10 days. comprehensive disaster debris management plan should include the following activities. Disaster Debris Management Plan Activities Activity Considerations A. Define requirements and management approach 1. Define roles and Pre-planning of roles and responsibilities significantly speeds the start-up of debris management. The default lead responsibilities (national/ should be the local government, even if other actors are principally responsible for Phase 1 activities. Actors who are local government, public/ likely to be involved include utility companies (water and power), local police, national guard or military, public works private entities, households, and highway agencies, local government, local emergency management agency, the private sector (e.g., contractors and institutions). and property owners), institutions, households, community and civil society organizations, and volunteers. 2. Identify debris types and Take the time to categorize the waste stream in order to properly design the management strategy. Data from prior disasters, forecast amounts. sampling, and estimation tools can be used. Identify any toxic or hazardous substances in the debris, such as fiberglass or asbestos. See Note 1: Identify debris types and forecast amounts, below. 3. Identify applicable national The disaster will already have caused significant environmental damage. Don't compound the problem by ignoring and local environmental environmental law in the handling the disaster debris. See section on Public Policies Related to Environmental regulations to be followed. Planning, in this chapter. C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 153 Activity Considerations 4. Inventory current Identify public and/or private local resources that are available to assist with debris collection and management. operational, regulatory, Identify local or national contractors that own heavy equipment needed for debris removal and collection, such and financial capacity as bulldozers, dump trucks, skid steer loaders, front end loaders, and logging trucks, and that can provide skilled and requirements for operators to run the equipment. Analyze the financial resources available for debris management and develop a debris management, financial plan, which may include taxes, user fees, donations, and resources from a higher level of government. including equipment and Debris management costs often exceed estimates and can undermine the financial stability of local agencies. External administrative needs, support is usually required. Tracking should be by weight, volume, and type of debris, and will be useful for control establish debris-tracking and later reimbursement of costs. mechanisms. 5. Identify activities to be Common areas for contracting include (1) collection, (2) recycling, (3) DMS operation, (4) hazardous waste contracted out and agree on management, and (5) monitoring of all of the above. Ideally, contracts will have been pre-arranged, companies contracting approach. pre-qualified, and/or contract scope, terms and prices pre-defined. If not, identify contracting mechanisms and procurement rules to be used and agree on areas for contracting and contract types. Types include (1) time and materials (good early on; likely to be more expensive used long-term), (2) unit price (useful when quantities are hard to define), and (3) lump sum (if scope of work is clearly defined). Due to the opportunities for revenue generation and livelihood, consider a preference for community groups or other civil society organizations to carry out contracted debris management services, assuming they demonstrate competency and ability to manage any risks associated with materials handling. 6. Select debris management Identify an environmentally safe site between 10 and 50 acres, with good egress and ingress. See Note 2: Selecting sites (DMS). debris management sites, below. 7. Identify DMS management DMS management may be done by the public agency or contracted out. Good management will permit the site to approach. be closed and returned to its original use within a reasonable time. A pre-negotiated contract allows a quicker set- up of the DMS and better prices than what might be offered after the disaster. Key contract requirements include (1) provision of a pre-approved site (optional), (2) documentation of all costs and monitoring and auditing of all activities to guard against fraudulent cost claims or diversion of materials, and (3) compliance with all applicable legal requirements including environmental laws. 8. Establish a monitoring and Good practice dictates the contracting of monitoring, particularly for any contracted services. Private contract terms, regulatory system. waste management behavior of households and businesses, DMS management, and the environmental impact of the plan are some critical areas to monitor.2 Ensure that regulations and contracts allow violations to be adequately sanctioned. 9. Develop a communications Communications regarding the Disaster Debris Management Plan must be effective for the audiences for which they plan. are intended. What's important is what people hear, not just what is said, so consultation with target groups regarding the messages should take place before and as communications take place. For guidance on communications in reconstruction settings, see Chapter 3, Communication in Post-Disaster Reconstruction. 10. Plan for DMS closure. Closure of the DMS should be the goal once the post-disaster debris stream returns to manageable volumes and normal composition. If site management is contracted out, the contract should include benchmarks and financial incentives to evaluate and facilitate closure. B. Develop the debris removal and disposal strategy 1. Design a debris collection Collection options may include one or more the following: (1) curbside collection using existing solid waste and system. recycling system; (2) additional clearance and collection routes run by agency staff or additional contractors, potentially including specialized contractors to handle volume or for certain types of debris (e.g., hazardous waste, white goods, electronics, or vehicles); and (3) drop-off and exchange locations for debris and recyclables. 2. Establish hazardous Separation is a critical aspect of hazardous waste management. Procedures are directly influenced by the findings of materials categories and activity A3, above. These wastes are often regulated at the national level. If no regulation applies, refer to international procedures for hazardous guidelines. See Note 1: Identify debris types and forecast amounts, below. materials and medical waste identification and handling. 3. Create incentives to Use the communications plan to promote reuse of building materials and on-site reduction, such as guidelines for encourage household salvaging of household items. Do not encourage practices that expose residents to toxins or mold. Take measures to reduction and reuse of prevent illegal scavenging and resale of private property. Consider a financial incentive so households or community waste. organizations clear local debris. 154 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Activity Considerations 4. Maximize recycling; identify Assist recycling systems to scale up if necessary. Allow scavenging of recyclable materials to reduce the waste recycling options and stream. Offer small businesses access to raw materials, such as trees for saw mills, at reduced or no cost. Publicize procedures. safe reuse methods for different types of waste and promote their use. Provide testing if any safety issues exist. Ensure reconstruction guidelines are clear on use of recycled materials to avoid inappropriate and unsafe reuse. 5. Analyze waste-to-energy Unless existing waste-to-energy plants are in operation, this option is unlikely to be employed. Best practice is to have options. pre-negotiated contracts and prices by type of waste. 6. Identify disposal options and Make sure public and private entities understand the range of options and that procedures are widely publicized. procedures. Create a hierarchy of disposal options that reduces the waste stream at the source and minimizes the costs and environmental impacts of disposal. 7. Evaluate the open burning The risks of burning include fires, pollution from particulate matter, and release of hazardous materials. Establish option and establish rules. procedures based on existing rules on burning waste. If post-disaster procedures diverge from existing rules, publicize them as temporary and limit their scope. Requiring permits is an option, but may be difficult to manage in post- disaster circumstances. 8. Investigate options for sale Existing commercial markets for sale of glass, metals, wood, and other recyclables of value should respond to the of materials. increased materials stream created by the disaster, although temporary storage may be necessary to allow market to "catch up." Promote to potential users options for reuse of materials, such as the use of crushed concrete and glass for roads. Ensure that users are experienced materials handlers and do not expose others to harm. 9. Establish guidelines Local museums or historical societies may need help with storage and may be able to provide guidelines for the and secure locations for handling or storage of these materials. Monitor informal markets to ensure historical assets are not being scavenged preservation of historical or sold. materials. Note 1: Identify debris types and forecast amounts. sediments may require safety practices and personal protective equipment The categories of waste that will have to be handled after a disaster include to minimize exposure. the following. Business and Household Hazardous Waste: Manage and dispose Vegetative Waste: Typically one of the largest volume debris streams. of these wastes separately. If the normal household hazardous waste Much can be diverted as lumber, chipping for mulch, composting, or fuel. collection system is good, simply ramp it up; otherwise, disposal Construction and Demolition (C&D) Debris: Large amounts are produced procedures should be established and communicated and a qualified in most disaster events. May be possible to divert by reprocessing for contractor hired to oversee them. Businesses should be responsible for construction, such as crushing concrete for aggregate and reusing managing their own hazardous wastes, if adequate systems are in place, brick and stone. Some paving materials, such as asphalt blacktop, can although small business hazardous waste may be handled with household be recycled for road repair. If C&D debris contains asbestos, it must waste. If systems are inadequate, government will have to establish be managed separately and safety practices and personal protective arrangements for handling these materials, including industrial chemicals equipment must be used by workers to minimize exposure. Asbestos- and other industrial inputs and wastes, paints, solvents, underground containing materials should not be burned. Governments should have storage tanks, etc. If tracking systems exist for hazardous wastes, do not regulations or procedures for asbestos removal, handling, and disposal let them lapse in the post-disaster environment. Consider a special charge personnel and permits. In their absence, an effort might be made to use for this service if it will not unduly discourage responsible handling by international standards, such as those of the USEPA. However, these may producers, since disposal costs may be high. Putrescible wastes: This be difficult to implement under time pressure and without an adequate includes fruits, vegetables, meats, dairy products, and other produce from institutional framework.3 See "Managing Asbestos in Housing and grocery stores, restaurants, institutions, and residences. It can also include Community Reconstruction" text box in this chapter. animal carcasses. These rot or decay quickly and should be segregated Bulky Waste: Material such as carpet, furniture, and mattresses. Usually accordingly and quickly managed. Some putrescible wastes can be must be sent for disposal. composted or rendered. More information about composting food and Appliances and Electronics: Should be collected separately and other putrescible wastes can be found at USEPA's Food Waste Recovery component materials recycled. Hierarchy Web site.4 Vehicles and Boats: Should be inventoried by vehicle identification Infectious/Medical Waste: In certain disasters, there will likely be large number (VIN) or license plate number, and held for a reasonable time for amounts of infectious and medical waste, as well as human bodies. These reclaiming or insurance purposes, then recycled/crushed, using normal materials require special handling and management, and a major effort environmental safeguards. to keep them separate from other trash. National standards should exist; Trash: Household trash volume will decline if people are displaced and if they don't, procedures should be quickly set up based on international will increase if they return and dispose of damaged household items. guidelines.5 Workers exposed to this material should wear personal Household collection service may need to be increased at that time. protective equipment to protect against infectious agents. Incineration of Soils and Sediments: High rainfall and flooding can produce large these wastes is often the best disposal solution. quantities of soil and sediments. These may be contaminated, containing bacteria or toxins; testing is advised. Workers around flood waters and C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 155 Forecasting debris quantities. Models that can be used for forecasting debris quantities for a local area include the United States Army Corps of Engineers (USACE) Hurricane Debris Prediction Model.6 The calculation and its parameters are as follows: Q = H (C) (V) (B) (S) where: Q = estimated debris total generated in cubic yards (Note: The predicted accuracy of the model is ±30%) H = number of households, or population/3 (average household size is 3) C = hurricane category factor (cat1 = 2, cat2 = 8, cat3 = 26, cat 4 = 50, cat5 = 80) V = density of vegetation (1.1 for light, 1.3 for medium, 1.5 for heavy) B = percentage of commercial structures (1.0 for light, 1.2 for medium, 1.3 for heavy) S = precipitation factor (1.0 for none to light, 1.3 for medium to heavy) Note 2: Selecting debris management sites If no site has been identified for debris disposal before the disaster, use GIS information or land records to identify a large open space, generally between 10 and 50 acres, depending on results of debris stream analysis. If properly managed, the site can be closed or returned to its prior use once all materials are disposed of. At a minimum, the following site characteristics, should be considered when selecting the DMS: (1) publicly owned land; (2) good ingress and egress with room for scale, (3) relatively flat topography; (4) location near final disposal sites to reduce hauling distances, if possible; (5) can accommodate separation and reduction of types of debris and capacity for debris operations, such as chipping, grinding, crushing, burning, and recycling; (6) minimal effect on residential neighborhoods, educational facilities, or health care facilities; (7) no impact on environmentally sensitive areas, such as wetlands, endangered species, rare ecosystems, or other areas with environmental restrictions or on historic or archaeological sites. Before being put into use, the DMS should be equipped with (1) fencing surrounding the site; (2) a scale and/or other means of registering weights and quantities; (3) signage and security measures to limit unauthorized access; (4) fire control equipment; storm-water controls to prevent discharge of contaminated runoff into water bodies; (5) controls to prevent migration of dust, wood chips, or other debris from both haulers and handling of debris on the site; (6) clearly marked sorting, staging, and processing areas for all categories of waste; and (8) monitors to correctly identify and segregate waste types. Annex 1 Endnotes 1 . State of Connecticut, 2008, "Disaster Debris Management Plan," September 2008 (Annex to the State Natural Disaster Plan, 2006), State of Connecticut Department of Environmental Protection, http://www.ct.gov/dep/lib/dep/waste_management_ and_disposal/debris_management/ inal_ddmp_plan_september_2008_(pdf).pdf; U.S. Environmental Protection Agency (USEPA), 2008, "Planning for Natural Disaster Debris Guidance," USEPA, Of ice of Solid Waste and Emergency Response, http://www. epa.gov/osw/conserve/rrr/imr/cdm/pubs/pndd.pdf; California Waste Management Board, "Disaster Preparedness and Response," http://www.ciwmb.ca.gov/Disaster/ Links.htm and Integrated Waste Management Disaster Plan, http://www.ciwmb. ca.gov/Disaster/DisasterPlan/; USEPA, "Disaster Debris," http://www.epa.gov/ epawaste/conserve/rrr/imr/cdm/debris.htm; and Federal Emergency Management Agency, 2007, "Public Assistance Debris Management Guide," FEMA-325, FEMA, http:// www.fema.gov/pdf/government/grant/pa/demagde.pdf. 2 . Numerous sample contracts for post-disaster debris management and monitoring are available on the Internet, for example: http://iaemeuropa.terapad.com/ resources/8959/assets/documents/SAMPLE%20DEBRIS%20MANAGEMENT%20 PLAN.pdf; http://www.barkerlemar.com/organicmanagement/resources_loader. aspx?ID=57; http://www.nctcog.dst.tx.us/envir/SEELT/disposal/DDM/docs/TAB_I_ Debris_Monitoring_Scope_of_Services.pdf; and http://sema.dps.mo.gov/Debris%20 Management%20&%20Public%20Assistance/Example%20Locals%20Tonnage%20 Debris%20Contract.pdf. 3. USEPA, "Asbestos in Demolition and Renovation," http://yosemite.epa.gov/R10/OWCM. NSF/webpage/Asbestos+in+Demolition+and+Renovation. 4. USEPA, http://www.epa.gov/epawaste/conserve/materials/organics/index.htm. 5. California Integrated Waste Management Board, 2007, "Receipt of Medical Waste at Solid Waste Facilities and Operations," http://www.ciwmb.ca.gov/publications/ facilities/23206006.pdf. 6. U.S. Army Corps of Engineers Hurricane Debris Estimating Model, http://www.gema. state.ga.us/ohsgemaweb.nsf/1b4bb75d6ce841c88525711100558b9d/f715ec607d3bd dc6852571e30055c99a/$FILE/Appendix%20A.pdf. 156 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Annex 2 How to Do It: Carrying Out Environmental Impact Assessment and Environmental Monitoring of Reconstruction Projects Conducting an Environmental Impact Assessment International standards may also be called for or required Environmental impact assessment (EIA) is the process of in certain situations, such as the International Organization identifying, predicting, evaluating, and identifying and selecting for Standardization (ISO) 140003 or the Convention on options for mitigating the biophysical, social, and other relevant Environmental Impact Assessment in a Transboundary effects of proposals for development projects prior to inalizing Context (Espoo Convention).4 project designs and commitments. EIAs are required in some form and for some types of projects in nearly all countries, Objectives of Environmental Impact Assessments although the speci ics of what is required vary. To ensure that environmental considerations are explicitly addressed and incorporated into the development Frameworks for Environmental Impact Assessment decision-making process Each country has its own environmental assessment To anticipate and avoid, minimize, or offset the adverse requirements that are applied at the project level, although signi icant biophysical, social, and other relevant effects of there may be pressure to suspend them in a post-disaster development proposals environment. Environmental ministries generally promulgate To protect the productivity and capacity of natural systems and oversee environmental regulations under environmental and the ecological processes that maintain their functions laws, the implementation of which is sometimes delegated to To promote development that is sustainable and optimizes lower levels of government. Reconstruction policy should de ine resource use and management opportunities the environmental framework to be applied in reconstruction. The World Bank also de ines what it requires in the projects it EIA Principles and Scope inances, but this will generally not replace local environmental The EIA process should be applied5: review requirements (although the Bank may in some cases as early as possible in decision making and throughout the accept country procedures as a substitute for its own). See life cycle of the proposed activity; Chapter 21, Safeguard Policies for World Bank Reconstruction to all development projects that may cause potentially Projects, for a description of World Bank requirements. signi icant effects; to biophysical impacts and relevant socioeconomic The content and organization of the framework for factors, including health, culture, gender, lifestyle, age, environmental management varies from one country to another and cumulative effects consistent with the concept and and from one region to another. principles of sustainable development; In China, the Environmental Impact Assessment Law to provide for the involvement and input of communities requires an EIA prior to project construction. However, if and industries affected by a project, as well as the a developer ignores this requirement, the only penalty is interested public; and that the Environmental Protection Bureau may require the in accordance with internationally agreed measures and developer to do a make-up environmental assessment. This activities. lack of enforcement has resulted in a signi icant percentage of projects not completing EIAs prior to construction. The environmental resources that may be affected by a project However, China's State Environmental Protection will vary by sector.6 Many environmental agencies develop Administration has used the legislation to halt projects, checklists or guidelines that apply to projects in speci ic sectors. including three hydro-power plants under the Three In housing and community reconstruction, environmental Gorges Project Company in 2004. impacts may result from (1) demolition, (2) site preparation In India, the Ministry of Environment and Forests of India and development, (3) building and infrastructure construction, has been involved in promoting the EIA process. The main and (4) occupancy of the site once developed. A general list of national laws are the Water Act (1974), the Indian Wildlife the resources to be evaluated includes the following.7 (Protection) Act (1972), the Air (Prevention and Control of (i) Physical Resources Pollution) Act (1981), and the Environment (Protection) Atmosphere (e.g., air quality and climate) Act (1986). The responsible body is the Central Pollution Topography and soils Control Board.1 Surface water The European Union provides separate guidelines Groundwater for environmental assessment that is undertaken for Geology/seismology individual projects, such as a dam, motorway, airport, or factory ("Environmental Impact Assessment") or for plans, programs, and policies ("Strategic Environmental Assessment").2 C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 157 (ii) Ecological Resources (iv) Social and Cultural Resources Fisheries Population and communities (e.g., numbers, locations, Aquatic biology composition, employment) Wildlife Health facilities Forests Education facilities Rare or endangered species Socioeconomic conditions (e.g., community structure, Protected areas family structure, social well-being) Coastal resources Physical or cultural heritage (iii) Economic Development Current use of lands and resources for traditional Industries purposes by indigenous peoples Infrastructure facilities (e.g., water supply, sewerage, Structures or sites of historical, archeological, lood control) paleontological, or architectural signi icance Transportation (e.g., roads, harbors, airports, navigation) Land use (e.g., dedicated area uses) EIA processes generally provide for the following steps or Power sources and transmission elements. Agricultural development, mineral development, and tourism facilities Elements of an Environmental Impact Assessment Process8 Screening To determine whether or not a proposal should be subject to EIA and, if so, at what level of detail. Scoping study or initial To identify the issues and impacts that are likely to be important and to establish terms of reference for EIA or other assessment environmental assessment. Examination of alternatives To establish the preferred or most environmentally sound and benign option for achieving proposal objectives. Impact analysis To identify and predict the likely environmental, social, and other related effects of the proposal. In most environmental policy frameworks, projects are categorized at this stage by their potential environmental impact (Category A, B, or C), and this category determines the scope and content of the EIA or other environmental assessment that is required. Mitigation and impact To establish the measures that are necessary to avoid, minimize, or offset predicted adverse impacts and, where management appropriate, to incorporate these into an environmental management plan or system. Evaluation of significance To determine the relative importance and acceptability of residual impacts (i.e., impacts that cannot be mitigated). Preparation of environmental To document clearly and impartially impacts of the proposal, the proposed measures for mitigation, the significance of impact statement (EIS) or effects, and the concerns of the interested public and the communities affected by the proposal. report statement Review of the EIS To determine whether the report meets its terms of reference, provides a satisfactory assessment of the proposal(s), and contains the information required for decision making. Decision making To approve or reject the proposal and, if approved, to establish the terms and conditions for its implementation. Follow-up To ensure that the terms and condition of approval are met; to monitor the impacts of development and the effectiveness of mitigation measures; to strengthen future EIA applications and mitigation measures; and, where required, to undertake environmental audit and process evaluation to optimize environmental management. Monitoring, evaluation, and management plan indicators The IA study should provide the following information: should be designed so that they contribute to local, national, General environmental settings of the project area, and global monitoring of the state of the environment and including baseline data sustainable development. Potential impacts of the project and the characteristics of the impacts, magnitude, distribution; who will be the Initial Environmental Assessment affected group; and the duration of the impacts The initial assessment (IA) is an important tool for Potential mitigation measures to minimize the impact, incorporating environmental concerns at the time of initial including mitigation costs project planning. It should be carried out as early as the project The best alternative project with the potential for greatest planning stage as part of feasibility so that it can ensure that the bene it at least cost in terms of inancial, social, and project will be environmentally feasible. The IA is conducted environment; it is not always necessary to change location if the project is likely to have minor or limited impacts, which of the project, but it can be changed in project design or can easily be predicted and evaluated and for which mitigation project management measures are prescribed easily. The IA is also used to con irm Information for formulating a management and monitoring whether a more extensive EIA is required. plan 158 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S If the IA determines that an full EIA is required, the assessment An EMP for a housing or infrastructure reconstruction project is conducted in more detail, focusing on the issues identi ied in should address the impact of the project on: the initial assessment. Mitigation measures are then de ined, the environment; depending on the indings of the EIA. the existing surrounding communities; and those who will take up residence at the site. The environmental assessment should analyze not only the impact of the project and their corresponding mitigation If a project is being built in phases, there may need to be EMPs measures, but also the potential impact and mitigation measures for different phases, or the EMP may need to be updated as the for the construction activities, including traf ic impacts, air project progresses. pollution, noise pollution, and management of runoff or other potential contamination from the construction activities. To support timely and effective implementation of environmental project components and mitigation measures, Mitigation Plan the EMP draws on the EIA to: The EIA should identify feasible and cost-effective measures identify the principal and alternative responses to that may reduce potentially signi icant adverse environmental potentially adverse impacts; impacts to acceptable levels. The plan includes compensatory determine requirements for ensuring that those responses measures if mitigation measures are not feasible, cost-effective, are made effectively and in a timely manner; and or suf icient. Speci ically, the EIA should: describe the means for meeting those requirements. identify and summarize all anticipated signi icant adverse environmental impacts (including those involving An EMP for a construction project should include the indigenous people or involuntary resettlement); components and subcomponents described below.10 describe--with technical details--each mitigation measure, including the type of impact to which it relates Environmental Management Structure and Procedures and the conditions under which it is required (e.g., The EMP should describe the following. continuously or in the event of contingencies), together The organization chart of the project management and with designs, equipment descriptions, and operating the management responsibilities and lines of authority, procedures, as appropriate; including those for environmental management; if estimate any potential environmental impacts of these necessary, the EMP should recommend the hiring of measures; and outside consultants or other measures to strengthen provide linkage with any other mitigation plans (e.g., for the environmental management capacity of project involuntary resettlement, indigenous peoples, or cultural management, such as the training of staff, in order to property) required for the project. ensure implementation of EIA recommendations The permits and licenses that will be acquired for the project Outline of Environmental Impact Assessment Report and assign responsibility for compliance with any conditions A. Introduction The measures that will be taken on the site to manage B. Description of the Project potential environmental impacts on any of the resources C. Description of the Environment identi ied in the EIA D. Potential Environmental Impacts and Mitigation Measures The measures that will be taken on the site to manage E. Institutional Requirements and Environmental Monitoring Plan environmental impacts from demolition and construction, F. Public Consultation and Information Disclosure such as noise, water, and air pollution G. Findings and Recommendation Procedures for dealing with accidents or other unexpected H. Conclusions environmental events that affect any of the resources analyzed in the EIA or with unexpected resources or contaminants Developing an Environmental Monitoring Plan9 found on the site during demolition and construction A project's EMP consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation Monitoring and Auditing and operation to eliminate adverse environmental and social Environmental monitoring and auditing during project impacts, offset them, or reduce them to acceptable levels. The implementation provide information about key environmental plan also includes the actions needed to implement these aspects of the project, particularly the environmental impacts of measures. The content of the management plan is based on the the project and the effectiveness of mitigation measures. Such results of the EIA, on the project design documents, and on any information enables the project sponsor to evaluate the other regulations that apply. Another important objective of the success of mitigation as part of project supervision and allows EMP is to ensure that the mitigation measures and monitoring corrective action to be taken when needed. requirements approved during the environmental review are actually carried out in subsequent stages of the project. For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org. C H A P T E R 9 : E N V I R O N M E N TA L P L A N N I N G 159 The EMP identi ies monitoring objectives and speci ies the type of monitoring, with linkages to the impacts and the mitigation measures identi ied in the EIA, including: a speci ic description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and de inition of thresholds that will signal the need for corrective actions; and monitoring and reporting procedures to provide early detection of conditions that necessitate particular mitigation measures and information on the progress and results of mitigation. Implementation Schedule and Cost Estimates With respect to implementation, the EMP should provide: a description of the works to be undertaken as part of the project; an implementation schedule for the works; a schedule of environmental management measures that will be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and capital and recurrent cost estimates and sources of funds for implementing the EMP. The costs of implementing the EMP should be incorporated into the total project cost estimate to ensure that they are provided for as part of project inancing. Annex 2 Endnotes 1. India, Ministry of Environment and Forests, "Role of EIC in Environmental Impact Assessment India," http://www.eicinformation.org/internal.asp?id=14&type=normal& title=Environmental+Impact+Assessment. 2. European Union, "Environmental Assessment," http://ec.europa.eu/environment/eia/ home.htm. 3. International Organization for Standardization, "ISO 14000 Essentials," http://www. iso.org/iso/iso_catalogue/management_standards/iso_9000_iso_14000/iso_14000_ essentials.htm. 4. United Nations Economic Commission for Europe, "Convention on Environmental Impact Assessment in a Transboundary Context," http://www.unece.org/env/eia/ welcome.html. 5. International Association for Impact Assessment, 1999, "Principles of Environmental Impact Assessment Best Practice," http://www.iaia.org/publicdocuments/special- publications/Principles%20of%20IA_web.pdf. 6. For example, the U.S. National Park Service has guidelines for the assessment of potential sources of environmental liability associated with real property. U.S. National Park Service, 1999, "Pre-Acquisition Environmental Site Assessment Guidance Manual," http://www.nps.gov/policy/DOrders/ESAGuidance.pdf. 7. Asian Development Bank, "Content and Format: Initial Environmental Examination (IEE)," http://www.adb.org/documents/Guidelines/Environmental_Assessment/ Content_Format_Initial_Environmental_Examination.pdf. 8. International Association for Impact Assessment, 1999, "Principles of Environmental Impact Assessment Best Practice," http://www.iaia.org/publicdocuments/special- publications/Principles%20of%20IA_web.pdf. 9. World Bank, 1999, "Operational Policy 4.01, Annex C: Environmental Management Plan," http://go.worldbank.org/B06520UI80. 10. Red Tree, 2009, "Chapter 4: Outline Construction Environmental Management Plan," http://www.redtreellp.com/downloads/Masterplan%20Book/chapter%204bvii.pdf. 160 S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S Planning Reconstruction 10 HOUSING DESIGN AND CONSTRUCTION TECHNOLOGY Guiding Principles for Housing Design and This Chapter Is Construction Technology Especially Useful For: The housing designs and construction technologies (HDCTs) used in reconstruction (there may Lead disaster agency be several) should be selected by taking into consideration local building practices, desired Local of icials standards, culture, and economic and climatic conditions. Agencies involved in The HDCTs used in reconstruction may affect prices and supply in the building materials reconstruction market; interventions may be needed. Project architects, Local expertise is invaluable in selecting HDCTs, but if changes are needed to improve resilience, engineers, and chartered builders should be supported by training, and their expertise augmented by global knowledge surveyors and best practices. Project managers A structure's entire life span, from construction through maintenance to eventual demolition or Affected communities reuse, should be considered in evaluating the suitability of technology options. Repairing and retro itting partially damaged houses are legitimate alternatives to full reconstruction but deserve similar attention and assistance to improve their resilience. Introduction When a disaster affects housing, there are important choices to be made in the rebuilding effort related to the design and construction technology to be employed and whether