A partnership of ACP Secretariat, Australia, Belgium, Brazil, Canada, Denmark, European Commission, Finland, France, Germany, India, Ireland, Italy, Japan, Luxembourg, The Netherlands, Norway, Spain , Sweden , Switzerland, Turkey, United Kingdom, United States, UN International Strategy for Disaster Reduction, and The World Bank
Process of Response and Reconstruction
Safer Homes, Stronger Communities: A Handbook for Reconstructing after Disasters was developed to assist policy makers and project managers engaged in large-scale post-disaster reconstruction programs make decisions about how to reconstruct housing and communities after natural disasters. As the handbook demonstrates, post-disaster reconstruction begins with a series of decisions that must be made almost immediately. Despite the urgency with which these decisions are made, they have long-term impacts, changing the lives of those affected by the disaster for years to come.
As international experience—and the examples in the handbook—clearly demonstrate, reconstruction policy improves both the efficiency and the effectiveness of the reconstruction process. In addition to providing advice 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. Handbook Guiding Principles
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 reflect 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 defined in five 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 flow 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 flow chart are the other critical activities in each of the five policy areas. The following sections summarize the key policy issues within each of the components of the reconstruction policy. 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 identifies 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 reflected in the institutional element of reconstruction policy. (The chapters that correspond to each policy area are shown in the flow chart.) Financial Strategy. Without financial resources, there will of course be no reconstruction. But a shortage of resources is not the greatest risk in managing the financial aspects of reconstruction. Greater risks are found in the lack of control of financial 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 financial 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 finance, 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 financial 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 financial elements described above. Working “as a community” in reconstruction will be a foreign concept in many places, and there can be capture of these processes and the resources that are provided. Therefore, facilitation and oversight are critical to ensuring that community-based efforts are effective, properly governed, and truly participatory. Guidance is found throughout the handbook on putting and keeping affected communities in the driver’s seat during reconstruction, recognizing that there will be pressures to establish a more “efficient,” top-down approach and that the commitment to participatory reconstruction needs to come from the top. Chapters and case studies demonstrate different models of participation and advice on recruiting community facilitators (see in particular Chapter 12). Also provided are practical tools, such as guidelines for training (Chapter 16), participatory assessment (Chapter 2), and social auditing (Chapter 18). Reconstruction Approach. If reconstruction begins the day of the disaster, what does it mean for government to define the reconstruction approach? This element of reconstruction policy addresses how physical reconstruction will be carried out at the community level, starting with the important issue of the role of affected households in the actual reconstruction. Depending on the respective roles of households and reconstruction agencies, different forms of support will be needed, whether it is finance, training, or community facilitation. One critical issue that the reconstruction policy 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 difficult cost and logistical implications 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 defining 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 retrofitted housing, no matter the funding source. In some cases, risk reduction will imply relocation of households or entire communities, and the policy must define 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 difficult 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 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 dissatisfied 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 financial tracking. The handbook provides additional tools specifically identified 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 specific policies or in implementing reconstruction. Policy makers can also encourage the use of the handbook by central and local government officials and officials 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 efficiency 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 when there is related information elsewhere in the chapter or in another chapter. The handbook is supported by this web site, 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 field 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.
Washington, DC
December 2009
Safer Homes, Stronger Communities: A Handbook for Reconstructing after Disasters was developed to assist project managers and policy makers engaged in large-scale post-disaster reconstruction programs make decisions about how to reconstruct housing and communities after natural disasters.
As the handbook demonstrates, post-disaster reconstruction begins with a series of decisions that must be made almost immediately. Despite their urgency, these decisions—and the manner in which they are implemented—will have long-term impacts that will change the lives of those affected by the disaster for years to come. As a project manager or task manager, you will be responsible for implementing government policy decisions and for making many operational decisions on the ground. The handbook provides information on the options that should be considered in various aspects of reconstruction and insight into what has worked elsewhere. It does not tell you exactly what to do, but it should improve the likelihood of good outcomes from the work that is done. The handbook’s flow chart (shown after the table of contents and in miniature below) graphically represents the entire reconstruction process. Handbook Guiding Principles
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 reflect 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 Defining 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. 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 define 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 beneficiary 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 find information in Chapter 4, Who Gets a House? The Social Dimension of Housing Reconstruction, that will help ensure that housing assistance reaches its intended beneficiaries 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-specific, 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 defined 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 compensation may be provided. At the same time, an argument is made in favor of a relocation approach that carefully identifies 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 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 difficult 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 financially 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/retrofit 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. Chapter 11, Cultural Heritage Conservation, discusses the social and economic benefits for communities associated with including cultural heritage conservation in post-disaster reconstruction. The chapter explains that cultural heritage can include not only traditional historic sites, but historic housing, cultural landscapes, and aesthetic assets, such as the architectural style of housing. The chapter explains how cultural assets conservation fits into larger community reconstruction projects and discusses their social and economic value. If no planning for the treatment of cultural assets in a disaster has taken place beforehand, there are still interventions communities can carry out, and the chapter explains what some of these are. However, the text explains that the effort to salvage cultural assets can cause as much damage as the disaster itself, so expert support is likely to be needed, and extensive resource material is provided to assist communities in finding help. In reconstruction, there are also efforts that should be made, such as adopting building codes that are compatible with cultural assets and vernacular building practices and providing financial incentives to encourage the conservation of built vernacular heritage that may be in private hands but that may have public value. Section 3. Project Implementation The project implementation section is of particular value to project managers, due to its practical, operational focus. The handbook authors strongly favor a community-based approach to reconstruction. Chapter 12, Community 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 definition 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 Profile) 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 officials and officials 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 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 financial resources will be defined by policy makers, project managers can have an enormous influence on the effective use of these resources. Chapter 15, Mobilizing Financial Resources and Other Reconstruction Assistance, provides guidelines on qualifying recipients, delivering financial 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 microfinance 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 finance, 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 define 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 those interested in evaluating post-disaster housing and community projects, as explained in the chapter’s first 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. There is a significant 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 defined by the World Bank; (2) guidelines for conducting a corruption risk assessment, which focuses on organizational financial 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 financial management in Bank operations. The chapter also includes a summary of the financial management issues that can arise in emergency operations and means to address them, and includes a discussion of the financial management aspects of OP/BP 8.0. Chapter 23, Procurement Procedures 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 specific disaster-related situations. 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 officials and officials 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 define 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 H is used throughout the handbook to alert the reader when there is 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 field 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
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, 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, Eberhard Knapp, Michael Koeniger, Tejas Kotak, Imam Krismanto, Yolanta 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, Ahamadou 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, Ramirez Cortez, 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, Zhang Xiulan, 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. Mr. Abhas K. Jha (lead author and task manager) is a housing and urban finance specialist. He is currently Lead Urban Specialist and Regional Coordinator, Disaster Risk Management, for the World Bank’s East Asia and the Pacific 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 finance 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 finance who works for TCG International (TCGI) in Silver Spring, Maryland. She served as chief technical editor for the handbook and contributed chapters on finance, 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 finance, 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 efficiency, issues that he has researched and applied in postdisaster 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 finance, and community and economic development internationally and domestically in the United States (http://www.tcgillc.com). Sustainable Development Network Information Systems Unit (SDNIS) Other Contributors Mr. B. R. Balachandran (urban planner) heads Alchemy Urban Systems in Bangalore, India. 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 flood in the Kosi region, Bihar, India. He contributed the chapter on land use and physical planning and provided advice on other planning issues. (http://www.alchemyurban.com). 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 first 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 conflicted areas and divided cities, architecture and planning in contested spaces, and linking emergency recovery and development. He is currently affiliated 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. 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 conflict 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 Office 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 first 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. Ms. Kirti Devi (infrastructure and services delivery) is an architect and urban planner who works as an infrastructure finance specialist with TCG International (TCGI) in Silver Spring, Maryland. She contributed to the chapter on infrastructure and services delivery and organized the field 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 finance, 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 field 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 Offices 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 this 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 five years of experience in urban land development, environmental management, postdisaster reconstruction planning, and architecture. She contributed to India’s first-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 Gronmij-BGS Consultants, he has worked on reconstruction projects in India, Sri Lanka, and Pakistan with German financing though KfW that have provided a total of more than 20,000 units of housing. 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 flood damage rehabilitation. He has served as a damage evaluation expert for hurricanes, floods, and tornados for the U.S. Federal Emergency Management Agency; has developed floodplain maps; and served as risk management expert on disasters related to floods, tsunamis, earthquakes, high winds, high seas, and volcanoes for the U.S. Corps of Engineers.
 Perspire, Honduras, 1998. Hurricane Mitch. Photo by Christopher Jennings.
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