Guidelines for UNDP Early Recovery Needs Assessments (1st Draft in English) (3)

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BCPR Latin America and the Caribbean

[English Draft]

PRACTICAL GUIDELINES

FOR EARLY RECOVERY NEEDS ASSESSMENTS

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1. Introduction

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The Guidelines are intended to assist practitioners in the field who are partaking in the planning and implementation of an early recovery needs assessment during a post-disaster situation. In particular it is intended for those who are undertaking an assessment within the framework of the early recovery cluster and network. The Guidelines are intentionally practical in content and presentation in order to meet as much as possible the need for orientation, pragmatic suggestions and examples of good practice that field workers often have while working within limited timeframes, with multiple tasks and in difficult environments. With the above aim the Guidelines are divided into 10 brief modules covering the following key areas: 1. Introduction 2. Background on early recovery 3. The needs assessment process 4. Inter-institutional organization 5. Preparations for needs assessments 6. Situational analysis: secondary data 7. Capacity analysis 8. Module to assess in the field by cluster 9. Methodological considerations 10. Analysis and programming While the Guidelines will be most effective when applied in its entirety as a “methodological package”, the modular approach also enables users to apply modules individually or separately based on those that are of most relevance in a given context.

For the purposes of the Guidelines the needs assessment process is defined within the framework of 3 phases as follows:

Damages and needs of the population

Capacities of the government, international community, and affected communities

Opportunities for reducing risks In this sense, the Guidelines address all of the above 3 phases providing suggestions and indicators for assessing each. Gender and disability are included and form part of the Guidelines, but instead of presenting these cross-cutting issues in a separate module these are integrated into all relevant sections in keeping with the logic of mainstreaming. The environment is addressed as a stand-alone theme rather than as a cross-cutting issue as it is itself a sector deserving fuller coverage. Finally the Guidelines conclude with a module devoted to programming as this is the intended overall purpose of a needs assessment. In particular it includes guidance on the consolidation and analysis of assessment findings and their integration into the recovery framework. In this way the module facilitates the link between needs and response. The Guidelines do not include a detailed comprehensive step by step guide to needs assessments, but rather provide an orientation for users. It is expected that in

some cases and particularly for more detailed programming efforts a more in-depth assessment may be required in some sectors. The Guidelines are also not intended to replace existing methodologies developed by other international actors but instead may be used as a complement where considered relevant.

Introduction to the Guidelines

Purpose

The Modular Approach & Content

The Logic of the Guidelines

Cross-cutting Issues

Programming

Acknowledgements

Limitations

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2. BACKGROUND ON EARLY RECOVERY

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Early Recovery is defined as

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…a multidimensional process of recovery that begins in a humanitarian setting. It is guided by development principles that seek to build on humanitarian programmes and catalyze sustainable development opportunities. It aims to generate self sustaining, nationally owned, resilient processes for post crisis recovery. It encompasses the restoration of basic services, livelihoods, shelter, governance, security and rule of law, environment and social dimensions, including the reintegration of displaced population. The following are the guiding principles which should be applied to all early recovery activities:

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Promote National Ownership

Use and support national capacity

Community based approach

Conflict prevention and risk reduction

Promote gender equality

Transparency and responsibility Early recovery has three broad aims:

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1. Augment ongoing emergency assistance operations by

building on humanitarian programmes.

1 Guidance Note on Early Recovery, Cluster Working Group on Early Recovery, 2008. 2 Ibid. 3 Ibid.

2. Support spontaneous recovery initiatives by affected communities. 3. Establish the foundations for longer-term recovery.

The following diagram summarizes the early recovery coordination mechanism:

The Early Recovery Cluster which integrates other early recovery activities not covered by other clusters, such as livelihoods, governance and land & property.

The Early Recovery Network which seeks to mainstream early recovery into all relevant clusters.

Background: Definition, Principles and Aims of Early Recovery

Definition

Guiding Principles for Early Recovery

The Broad Aims of ER

Coordination Mechanism

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The following table presents a summary of possible activities that can be carries out by the Early Recovery Cluster. The purpose is to present this as a reference menu, taking into consideration that specific activities and responses will always depend on the national setting and the specific disaster.

Menu of Early Recovery Activities

Key Results Objectives Menu of Possible Activities

Strengthened Post-Crisis Governance

Support and reinforce national policy and planning processes

National policy formulation Capacity assessment and support Information collection, processing and management Financial resource mobilization Aid coordination Advocacy and public information

Local Level Early Recovery

Support and reinforce local level implementation capacity

Provision of Essential hardware and basic infrastructure Augment critical human resources Information collection & management Planning for longer-term recovery Reinforce local administration

capacity for recovery management

Improve community security and social cohesion

Security and community protection, access to justice Empower informal community mechanisms for dispute resolution Disarmament, demobilization and reintegration (DDR) Restoration of critical basic infrastructure (road cleaning or repair, cash-for-work)

Reintegracion de desplazados internos

Fortalecer la cpaacidad de local authorities para preparar zonas de retorno y reintegracion Apoyar la participacion de los desplazados en la provision de services y en procesos locales y nacionales Apoyar la construccion de paz y otros efuerzos de cohesion social

Stabilization of livelihoods Emergency temporary jobs (cash-for-work) Targeted livelihood and self-employment start-• up grants

Integrate relevant cross-cutting issues

Risk reduction Conflict prevention Gender equality Environmental protection HIV-AIDS Human Rights

Coordinated Early Recovery Planning

Develop a coordinated approach to early recovery

Joint rapid assessment Analysis of early recovery opportunities Coordination

Lay the groundwork for long-term recovery

Information management Strategic planning for recovery

Background: Sample Menu of Activities for the Early Recovery Cluster

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3. The Needs Assessment Process

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Prior to the Humanitarian Reforms of the United Nations, needs assessments were carried out in 2 main areas, as shown in the following diagram: Humanitarian: generally assessments conducted by humanitarian UN agencies and international NGOs to identify the most urgent and short-term needs with the primary purpose of “saving lives”, typically through the provision of water, food, health services, sanitation and temporary shelter. Macro-economy & Infrastructure: the Damage and Loss Assessments typically carried out by the World Bank to evaluate physical damages and economic losses. More specifically it assesses damages on large infrastructure, communications, energy and similar sectors, and estimates the financial needs for longer-term reconstruction. As highlighted by the Humanitarian Reforms, needs relating to early recovery represented a gap in the response of the UN system. The following diagram illustrates the place of early recovery within the wider needs assessment and response process, complementing other pre-existing approaches and helping to complete the response of the United Nations. Under the Early Recovery Cluster, the assessment evaluates needs in sectors generally not addressed by other actors, namely governance, planning & coordination, non-agricultural livelihoods, environment, minor infrastructure, and land & property. Through the Early Recovery Network, other needs are identified through the other clusters which typically operate within the humanitarian context, particularly in the clusters/sectors that have direct relevance for early recovery, including health, water & sanitation, agriculture, and education.

Early Recovery within the Global Needs

Assessment Process

Early Recovery Within the Global Needs Assessment Process

Humanitarian

Early Recovery

Macro-economy & Infrastructure

food

security

sanitation

water

health

industry & commerce

tourism

environment

governance

livelihoods minor

infrastructure

energy

balance of

payments

cost of

reconstruccion

GDP

communication

roads, bridges

& other large

infrastructure

education

land & property

agriculture

& fisheries

Risk Reduction

planning &

coordination

transport

employment

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Within the framework of the Humanitarian Reforms, the Early Recovery Framework is led by UNDP to facilitate coordination. At the same time, UNDP acts as “agency of last resort” to address early recovery gaps in the response of the United Nations. Typically the sectors uncovered include:

Governance

Coordination and planning

Livelihoods (non-agricultural)

Minor infrastructure

The environment

Risk reduction For this reason it is necessary for the Early Recovery Cluster to assess needs related to the above sectors or gaps, under the leadership of UNDP and in close coordination with the government and other UN agencies and international actors present in the country. At the same time, early recovery is necessary also within the framework of other clusters, namely:

Health

Water and sanitation

Education In this case, an Early Recovery Network is established in coordination with the respective clusters to ensure the integration and mainstreaming of early recovery in both the needs assessment and in the response. In the case of the agricultural cluster, FAO typically plays the leading role in carrying out a needs assessment and in designing a response in collaboration with the Ministry of Agriculture.

CLUSTERS Early Recovery Education Health Water &

Sanitation Agriculture Protection Logistics Temporary

Shelter Tele-

Communica-tion

Camp management

Governance Planning & coordination Livelihoods Land & property Minor Infrastructure Environment Risk reduction

Humanitarian Needs Assessment

Early Recovery Needs

Assessment

(ER Network)

ER Assessments Within the Cluster Framework

The Early Recovery Needs Assessment Process

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In the present Guidelines the assessment process is divided into 2 stages made up of 6 steps. 1

st Stage: Situational Analysis

The first stage in the assessment process refers to the initial phase immediately after the onset of an emergency when it is necessary to conduct a rapid situational analysis within a limited timeframe to inform the initial response, mobilize financial resources, and to determine the need for further needs assessments. 1. Global Overview of Damages: to obtain a rapid global

overview of the emergency situation based on available secondary data, including vulnerability data on affected areas.

2. Consultative Process: consultations and exchange of information with key government and international actors about the emergency situation and response plans to complement secondary data analysis.

2nd Stage: Needs Assessments Following the Situational Analysis and having available more time, resources and an assessment team, a more thorough assessment of needs is undertaken in order to develop an early recovery framework, a programme and plan, and a funding proposal. 3. Capacity Analysis: assess and document the sectoral

responses and financial resources of the government and the international community.

4. Needs Analysis: determine needs of the affected

population at the local level, through field visits and interviews with key informants, communities and local authorities.

5. Gap Analysis and Opportunities: determine actual early recovery requirements by factoring both the damages & needs of the population and the national and international capacity for response. At the same time, identify opportunities for integrating and mainstreaming risk reduction measures to reduce future risks.

6. Priorities and Programming: from the requirements identified in the previous step, determine priority responses for

programming taking into account the most urgent needs, comparative advantages, opportunities for greater impact, and the financial resources available.

In general early recovery needs assessments integrate 3 fundamental considerations:

The needs of the affected population

The capacity of communities, the government and the international community

Opportunities to reduce future risks In this sense, it is the result of the following equation:

Needs CapacitiesRisk

reductionEarly

Recovery

Steps in the Assessment Process


The Logic of the Assessment

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The following diagram summarises the needs assessment process discussed above, its stages and steps:

Global Overview of Damages

Capacity Analysis

Needs Analysis

Gap Analysis and

Opportunities

Prioritization and

Programming

Emergency situation and global impact Secondary data on damages & vulnerability of affected areas

Local needs of population affected Field visits Interviews

Application

Early Recovery Framework

Early Recovery programme and plan

Funding proposals

Follow-up required

Damages & needs minus capacity for response plus opportunities to reduce risks

The response capacity of: Government International community Affected communities

Application

Advocacy

Initial response

CERF, Flash Appeal, TRAC

Follow-up needed

Priority requirements Comparative advantages Financial resources

Situational Analysis -first emergency phase-

Needs Assessment -second phase-

Consultative Process

Consultations & information exchange with government and international actors


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4. INTER-INSTITUTIONAL ORGANIZATION

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This module covers the key elements that need consideration when organizing and coordinating an inter-agency needs assessment, including arrangement options for integrating early recovery. The following basic principles must be considered during the evaluation process to ensure success in the results. National Ownership. The needs assessment must be nationally owned and therefore be led by the government. This may include representatives from the Presidential Office, the Ministry of Economy and/or Planning, Civil Defence, line ministries, governors, senators, and mayors, among others. Collective Inter-Institutional Ownership. The participation of other agencies, the government, donors, NGOs, civil society and other stakeholders in the assessment process is necessary since early recovery is multi-sectoral and cross-cutting, requiring an inter-institutional effort. It is also essential because the planning and implementation of a recovery program will obtain better results and collaboration if the stakeholders participated in the assessment process and are co-owners of the results. Political Leadership. Participation from the highest political levels in the government and UN agencies is essential. Participation can be directly in the assessment and field visits or alternatively establishing a mechanism for their participation during key moments, i.e., to decide priority geographical zones, to agree on the methodology, share results and prioritize key actions and responses. In-country UN Capacity. It is important to identify and build on the capacity already established in-country within the UN and to take it into consideration in the assessment. This includes inter-agency groups already

established, such as the UNETE group, information centers, contingency plans, joint evaluation methodologies and other similar instruments. UNDP Country Office Capacity. UNDP leads the Early Recovery Cluster and its Country Offices have sectoral and technical expertise that can significantly contribute to the evaluation process and the later implementation of the early recovery program. The environment, poverty-reduction and governance are common UNDP areas of work and also key to early recovery. The composition of the assessment team should include a balanced representation of men and women, nationals and internationals. Also it can have the following combinations: • Generalists who have knowledge of disasters and

have a multi-sectoral perspective • Sector specialists, especially for sectors relevant to

the assessment and national context. • Multi-disciplinary team representing the main

sectors affected. • A combination of sector specialists and generalists.

Whenever possible the inter-institutional team must include representatives from the following stakeholders: • The Ministry of the Economy & Planning or

equivalent • Line ministries • Civil Defence and National Red Cross • UN agencies • World Bank and other IFIs • Donors • International NGOs • IFRC

• National NGOs and civil society organisations

Institutional Team Members

Inter-Institutional Organization

Basic Principles

Introduction

Considerations for Team Composition Benefits of Joint Interagency Assessments:

Better inter-institutional and multi-sectoral coordination

Less individual assessments, reducing the fatigue of affected communities.

Facilitates information and data exchange

Similar methodologies and/or instruments are adopted producing comparative results.

Greater credibility with the government and donor community

Leads to and facilitates joint recovery planning and implementation.

Effective use of resources (logistic, financial and human)

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As shown in the following diagram the needs assessment should be comprehensive and as such needs to integrate the vision and methodology associated with early recovery as well as the macro-economic perspective. To this end it is necessary to have inter-institutional participation and multi-sectoral coverage. In this sense it is a tripartite effort that is led by the government and includes:

The Early Recovery Cluster led by UNDP and its partners

The Early Recovery Network with participation from relevant clusters

The World Bank

The Early Recovery Cluster participates in the needs assessment to address 2 primary needs categories: 1. Prioritizing the primary role of the cluster which is to coordinate early recovery, as well as to address related needs that remain outside the services provided by the international community. As seen in the following figure, it includes governance, coordination and planning, and risk management. These sectors are instrumental for promoting planned and coordinated early recovery, and for ensuring a developmental approach that integrates risk management. They are also sectors where UNDP as lead agency has a comparative advantage because of its early recovery mandate, its priorities and institutional experience.

These sectors share the same government counterpart, which is typically the Ministry of Economy and/or Planning. Therefore, official communication and immediate coordination with this Ministry is essential, as well as its leadership in the needs assessment.

Inter-institutional Organization

Interagency Organization

Government

Early Recovery Cluster -UNDP

Early Recovery Network -UN & NGOs

Macro-economy & Reconstruction -World Bank

Governance

Planning &

Coordination

Large

Infrastructure

Minor Infrastructure

Livelihoods

Energy

Industry

Tourism

Education

Agriculture WASH

Health

The Early Recovery Cluster

Governance

Planning Coordination Ministry of the Economy & Planning

Risk Reduction

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2. Acting as the “agency of last resort” UNDP prioritises the assessment of needs in sectors not being covered by other UN agencies present in the country. As shown in diagram below, it usually includes non-agricultural livelihoods, the environment, minor infrastructure, and land & property. In this case, coordination alliances are formed with relevant ministries in each sector prioritized. As a first step it will be necessary to establish the management structure of the assessment process, which may include the formation of the following two mechanisms: High Level Management Team: represented by a high level government representative, the Humanitarian / Resident Coordinator of the United Nations, the in-country Director of the World Bank, the Representative of the European Commission, as well as other representatives of government and the international community as required. The primary role of this team is to provide strategic guidance to the needs assessment, make key decisions, ensure the necessary resources and the achievement of objectives. The Coordination Team: represented by experienced technical staff from government, UN agencies, World Bank, European Commission, international NGOs and other relevant parties. The team is responsible for planning and implementing the needs assessment and recovery framework. With the endorsement of the High Level Management Team, the Coordination Team should agree jointly on the following aspects of the needs assessment:

The objectives and expected results

The geographic areas to be assessed

The methodology applied and the data needed for each sector

The information gathering instruments to be used in the field

Organization of the team and sub-teams

Distribution of responsibilities, including the processing and analysis of data and the preparation of the final report

Work plan

Logistic arrangements

Security measures

Minor

Infrastructure Land &

Property

Livelihoods Environment

Ministry of Public Works, Ministry of Housing, UNICEF,

WHO, Habitat, IOM, UNDP

Ministry of the Environment, UNEP, UNDP

ILO, FAO, Banks, UNDP

Management Structure & Responsibilities

Inter-institutional Organization

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5. Preparations for Needs Assessment

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In this module there are suggestions for organizing and preparing for a needs assessment internally within UNDP as the cluster lead, especially the initial steps during a first mission to facilitate a more efficient process and obtain the desired results.

With the assistance of the office of the Humanitarian or Resident Coordinator, or the UNDP Country Office as the case may be, prepare a Briefing Kit containing the following items:

Map of the country

Maps and satellite images of affected areas

The most recent Sitreps produced by the government, UN agencies and INGOs

Data on damages and needs available from the government (Civil Defence and line ministries)

Interagency Contingency Plan

The latest Human Development Report

UN organigram

UN Security guidelines

Also with the assistance of the office of the Humanitarian or Resident Coordinator, or the UNDP office as the case may be, organize a schedule of meetings with all key actors, including:

Humanitarian Coordinator / Resident Coordinator

UNDP (Resident Representative & Focal Point)

UNCT / UNDMT

OCHA, UNICEF, WHO, FAO, WFP, UNFPA & ILO

Ministry of the Economy, Planning or equivalent

Line ministries

Donors (European Commission, ECHO, etc.)

International Financial Institutions (IFIs such as the World Bank)

International and national NGOs

Ensure that the assessment mission counts on the following logistical support:

Office space / desk

Computer connected to internal network

Email account

Cellular phones

Transportation (for field visits and meetings)

Dedicated administrative support

Usually, the number of people that forms part of the UNDP team depends on the number of provinces and municipalities that are included in the field visit, of the size of the geographic area to be covered, time availability and human and financial resources. In general, a team of three to five people is desirable. The composition of the UNDP team must include a combination of:

BCPR Early Recovery Advisors

Country Office personnel. The following organigram presents an example of the composition of the UNDP team, although this may vary according to national context and other factors. This composition is optimum because it combines the expertise of Early Recovery Advisors with the technical capacity available within UNDP, their knowledge of the country, government contacts and technical knowledge of

important sectors, such as environment, poverty and governance. Considering that in most cases the members of the assessment team are not necessarily specialists in needs assessments, it is important to organize a brief training session to share and establish the methodology to be applied as well as the work plan. The session may include the following topics:

Basic principles for field work

Team sub-division (by geographic area o sector)

Data to be gathered by sector

Instruments for information gathering to be used

Safety and security measures

Integration of gender perspective

Distribution of responsibilities and tasks

Leadership and coordination

Responsibilities to consolidate data and information and report writing.

Logistics arrangements (transportation, lodging, travel expenses, agenda for meetings)

Internal Organization and Preparation for Assessments

Briefing Kit

Agenda for Preparatory Meetings

Logistics & Equipment

UNDP Team Structure

BCPR ER Advisor and/or

PDNA Advisor

Focal Point

Environmental Officer

Poverty Officer

Governance Officer

Team Preparation

Introduction

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6. Situational Analysis: Secondary Data

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This module refers to two categories of secondary data used for conducting a situational analysis during the first phase of an emergency: 1. Baseline data: vulnerability analysis 2. Global data on damages and needs

With the objective of facilitating the analysis of vulnerability in the areas affected by the disaster, the baseline data can be developed with the following types of information:

Demographic and socio-economic data

Historical data on the country´s disasters & risk maps

Contingency plans Baseline data is critical for the following purposes:

Determine the level of vulnerability in the affected areas, since those which have the highest poverty levels or lowest human development index, among other indicators, are likely to have less coping capacity and a higher level of risk.

Compare pre-crisis data with the post-disaster situation, for example to determine the proportion of minor infrastructure or housing that has been damaged or destroyed in relation to the pre-crisis situation.

Use and take advantage of the preparedness actions and protocols already established in the interagency contingency plan.

There are several sources that generate demographic and socio-economic data in a country, such as the government and its various line ministries, and the UN agencies. In addition to these, UNDPs Human Development Office is also an excellent source since it typically has large volumes of data already consolidated into a database and includes data produced by government census and national surveys. With its resources and capacity, the office can provide the assessment team with a synthesis of key indicators for the affected areas, ideally disaggregated by province, municipality and gender in order to facilitate more specific analysis and decision-making. The following table provides a breakdown of the types of information that can be useful for the assessment, its application and the sources that can provide the data:

Type of Data

Aplication

Posible Sources

Demographic data of affected areas

Determine the population structure of the affected areas before the disaster

Determine the proportion of the toal population that has been affected

Human Development Office

National or regiona census

National Statistical Institute

UNFPA

Socio-economic data in affected areas

Deterine the socio-economic conditions of the affected population before the disaster, including principal economic activities

Identify areas with greater levels of socio-economic vulnerability

Prioritize affected areas for fieldl visits

Compare pre-crisis conditions with the post-disaster situation

Human Development Office

National Statistical Institute

Line Ministries

Socio-economic studies, surveys or technical studies undertaken by government, UN agencies, Universities, etc

National or regional census

Contingency plans

Become familiar with the plan as agreed by all agencies, the protocols, management arrangements and preparedness actions developed

Activate the plan as necessary

Make use of the instruments, data, maps and other outputs already compiled or developed for the plan

UNCT

UNETE

UNDP

Historical data on country´s disasters, and hazard/risk maps

Understand other similar disasters that have taken place in the country, including any lessons learned

Compare the impact of previous events with the current disaster

Make use of the data and maps already available to facilitate the assessment and planning

EM/DAT Database

DesInventar Database

Government databases

National offices for risk reduction

Line Ministries

Baseline Data

Purpose

Type & Sources of Information Introduction

Secondary Data for Baseline & Vulnerability Analysis

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The collection and analysis of secondary data on damages and needs is the second step in the assessment. It is a key part of the assessment process and especially for strategic decision-making. Typically, the secondary data available during this first initial phase is incomplete and limited yet it is strategic for deciding on future actions and priorities. The analysis of secondary data on damages and needs is necessary to achieve the following assessment objectives:

Determine the general impact of the disaster on the country, including the scale of the emergency.

Identify the most affected sectors through multi-sectoral analysis

Identify the most affected geographic areas

Identify the most urgent needs

Determine if and what type of initial response may be needed

Identify the information gaps that will need to be filled

The analysis of secondary data on damages and needs is strategic for determining the following key programming decisions: The initial response: the data informs priority actions for the first line of early recovery response, which is integrated into the initial funding instruments.

Resource mobilization: including the first response actions into the Flash Appeal, CERF, TRAC and other available funding mechanisms. Identify follow-up actions: having a global overview of damages and needs and of the first response activities enables the team to determine the follow-up actions that are necessary in the recovery process, such as government assistance, additional technical support, follow-up missions, among others. Needs assessment: the fist situational analysis will help to determine if a full needs assessment required, its purpose and characteristics, sectoral & geographic priorities, etc.

Generally the data generated by governments and the international community in emergency situations is related to humanitarian needs. These are collected by national authorities and later processed by OCHA and its UNDAC team, including the development of situation maps. Similarly other UN agencies use government data relevant to their sectoral mandates. Only some of the available data relates to early recovery and these need to be complemented by additional quantitative data as well as qualitative information resulting from field visits in order to obtain a more complete picture of needs. The following table summarises the types of information (secondary data) that can be collected during the assessment as well as the possible information sources.

Objectives

Data on Global Damages & Needs

The Programming Use of Secondary Data

Types and Sources of Information

Secondary Data for the Global Analysis of Damages & Needs

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.

Table on Types and Sources of information (secondary Data) for a Global Analysis of Needs

Types of

Information Specific Data Information Sources

General emergency situation

Geographic areas affected

Affected population

Displaced population

Population in shelters

Demographic characteristics of affected population

Mortality and disappeared

General sectoral impact

Civil Defense

Government Centres of Operations

Media reports (AlertNet)

Line Ministries

Local authorities

UN agencies

UNDAC

OCHA RELIEFWEB

REDHUM (RED HUMANITARIA DE INFORMACION PARA

AMERICA LATINA Y EL CARIBE)

National and International Red Cross

National and international NGOs

Situation Maps Similar to previous section, depending on availability of data

OCHA UNDAC (MapAction)

MAPS FROM REDHUM

MAP CENTER IN RELIEFWEB

MAPACTION

MAP CATALOGUE, ALERTNET

UNOSAT

RESPOND SERVICES RESPONDING TO HUMANITARIAN

RELIEF, DISASTER REDUCTION AND RECONSTRUCTION

Local economy and non-agricultural livelihoods

Large & medium sized companies

Micro-enterprises affected locally

(Note: generally an assessment of livelihood needs depends primarily on qualitative informaiton collected during field visits)

Banks providing small loans to microenterprises

Other loan providers

ILO, CEPAL

Environment Impact on natural resources in affected areas, forests, biodiversity, etc.

Ministry of the Environment and/or Natural Resources

Ministry of Agriculture

UNEP

Minor Infrastructure (minor access roads, education, health, water & sanitation)

Partial and total damage on local roads and acess areas, education centres, health services, water systems and sources, and sanitation facilities

Ministry of Education

Ministry of Public Works

Ministry of Health, Clinics and hospitals

UNICEF, WHO, UNFPA, CEPAL, World Bank

Land and property Number of homes partially and totally destroyed

Disaggregated by province and municipality

Ministry of Housing

UN-HABITAT, IOM

Red Cross

Secondary Data for the Global Analysis of Damages & Needs

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The collection and processing of quantitative secondary data facilitates multi-sectoral and inter-territorial analysis to determine the sectors and geographic areas most affected. The following table below provides an example that identifies the 3 municipalities most affected by sector (red=most affected, orange=second most affected, yellow= third most affected). Multi-sectoral Analysis: in the example it is possible to compare the various sectors to determine which has been most or least affected. In this case, water facilities have been the most affected of all of all minor infrastructure, with 149 facilities affected, compared to 66 education centres, 80 health facilities and 46 sanitation services. Inter-territorial Analysis: the processing of data allows comparisons to be made between geographic areas (provinces and municipalities). In this example, the impact on minor infrastructure was greatest in province 1. However, the opposite is true in housing and micro-enterprises where province 2 was the most affected. Priorities: although priorities are determined on the basis of a number of factors, including the analysis of capacity, it is possible to obtain some preliminary indication of priorities with secondary data. From a global perspective, the example below allows the assessment to conclude that housing and livelihoods (micro-enterprises) have been significantly affected, especially in province 2.

Table: Example of Secondary Data Consolidated for the Global Analysis of Needs

Daño

total

Daño

parcial

Suma

total

Daño

total

Daño

parcial

Suma

total

Daño

total

Daño

parcial

Suma

total

Daño

total

Daño

parcial

Suma

totalComercio Producción Servicios Total acervo

Daño

total

Daño

parcial

Suma

total

1 a 5 5 10 6 2 8 16 7 23 2 0 2 457321 231464 122900 811,685 450 452 902

b 3 1 4 3 1 4 28 14 44 3 3 6 234456 98546 34253 367,255 218 102 320

c 7 5 12 13 5 18 9 3 12 4 6 10 310980 87324 28980 427,284 123 167 290

d 4 4 8 6 4 10 20 17 37 3 2 5 510776 195634 110230 816,640 698 645 1343

e 3 3 6 9 5 14 4 6 10 4 4 8 389565 179603 99300 668,468 440 1125 1565

f 0 2 2 1 0 1 17 4 21 0 4 4 254090 788400 309550 1,352,040 98 158 256

g 2 7 9 2 3 5 13 15 28 1 2 3 189980 47998 21500 259,478 544 446 990

subtotal 24 27 51 40 20 60 107 66 175 17 21 38 2347168 1628969 726713 4,702,850 2571 3095 5666

2 a 5 3 8 0 3 3 3 6 9 1 2 3 1800600 214602 98000 2,113,202 1768 676 2444

b 1 3 4 2 3 5 1 3 4 0 2 2 2342569 678980 134562 3,156,111 654 1426 2080

c 0 1 1 1 5 6 1 4 5 0 0 0 977560 455362 219899 1,652,821 1200 1789 2989

d 2 0 2 2 4 6 0 1 1 2 1 3 5780541 2896459 1778098 10,455,098 2780 2876 5656

subtotal 8 7 15 5 15 20 5 14 19 3 5 8 10901270 4245403 2230559 17,377,232 6402 6767 13169

TOTAL 32 34 66 45 35 80 112 80 194 20 26 46 13248438 5874372 2957272 22,080,082 8973 9862 18835

Impacto en las Microempresas (US$)

Medios de VidaSector Infraestructura Menor (Educacion, Salud, Agua y Saneamiento)Zona Geografica

Impacto en la Vivienda

Vivienda

Provincia Municipio

Sub-sector Educativo Sub-sector Salud Sub-sector Agua Sub-sector Saneamiento

Consolidation & Analysis of Data

Secondary Data for the Global Analysis of Needs

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7. CAPACITY ANALYSIS

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This module covers the key elements required to assess the capacity for response of the international community, the government and communities, all of which are necessary considerations to determine early recovery needs and potential responses. This first section covers interagency capacity in relation to two main areas relevant to early recovery:

Interagency Sectoral Capacity

Interagency Coordination Capacity The first step is to identify the main stakeholders present in the country who are providing humanitarian and early recovery assistance, including the government, United Nations agencies, International Financial Institutions, donors, international and national NGOs. The following table is an example to present results by cluster or sector, but can be modified as required:

Governance Education Land & Property

Health Water and Sanitation

Planning and Coordination

Infrastructure Livelihoods Agriculture and Fishing

Environment

Once key stakeholders have been identified it is necessary to map their capacity in terms of the sectoral programmes being implemented or those that are planned for future

implementation. It is advisable for this process to emphasize with the agencies the continuum between humanitarian and early recovery actions.

The following table can be used as an example to document inter-agency capacities, circulating a similar version to each agency for their completion.

Local Economy & Livelihoods

Humanitarian Aid Early Recovery

Agency Project

Type

Geographic

Zone

Funds No. of

Beneficiaries

Project

Type

Geographic

Zone

Funds No. of

Beneficiaries

Water and Sanitation

Humanitarian Aid Early Recovery

Agency Project

Type

Geographic

Zone

Funds No. of

Beneficiaries

Project

Type

Geographic

Zone

Funds No. of

Beneficiaries

Humanitarian Aid

Early Recovery

Inter-Agency Sectoral Capacity

Stakeholder Analysis

Inter-Agency Capacity

Introduction

25

Later the information gathered can be geo-referenced to produce a capacity map, as in the following example:

In addition to inter-agency capacities in sectoral terms, there are other important capacity considerations that can contribute to the coordination of early recovery, mostly to form strategic alliances or to further joint initiatives.

One of the primary responsibilities of the Early Recovery Cluster is to ensure coordination, both with government and at the interagency level, and this process begins with the needs assessment.

The following table indicates the main categories for assessing potential collaboration opportunities:

Joint coordination center or office

Interagency information management system

Joint territorial and sectoral prioritization

Interagency monitoring mechanism

Joint advocacy on early recovery

Joint support to government in planning & coordination

Harmonization of programmes

Share resources (human, technical, equipment, offices)

Joint resource mobilization

In relation to the above main categories of collaboration, the following checklist presents some considerations to assess capacities that can determine potential inter-agency coordination opportunities:

Comparative advantages of each agency

Strategic priorities that can be jointly shared

Opportunities to maximize impact with existing resources

Strong alliances that can be tapped between an agency and key counterparts

Ability to influence decision-making

Geographical presence in the field (offices, field offices, human resources, projects)

Technical expertise

Logistics capacity (transportation, warehousing)

Methodologies (sectoral assessment, etc.)

The collective strength of the UN in the country

Technical areas or sectors where agencies can strategically contribute

The resources that agencies can contribute (office, equipping, human resources and technical assistance)

Lessons learned from other inter-agency collaboration processes

Inter-Agency Coordination Capacity

Inter-Agency Capacity

26

This section refers to government capacity, including governance in relation to the preparation and implementation of a national or local early recovery framework or plan as well as to implement sectoral programmes with other line ministries or secretariats. The strengthening of governance is essential to maintain and/or rebuild national institutions affected by disasters, to increase and strengthen the government’s response capacity and to empower and ensure national ownership of the recovery process. Therefore, it is necessary to identify government resources and needs nationally and locally, that is, to determine its capacity to channel assistance in early recovery and to effectively exercise its role. In the process consensus is built as the basis for collaboration, on the how, where and who does what in the country’s recovery, and on the support that can be provided. There are three types of government counterparts:

Ministry of Economy and/or Planning

Local authorities (governors, mayors)

Line ministries At the national level it is necessary to identify a government partner to lead recovery planning, implementation and coordination (multi-sectoral and inter-institutional). Typically this will be the Ministry of the Economy and Planning although in some cases it may be necessary to identify another government entity that can play this role, for example the Office of the Presidency.

At the local level (municipal, provincial o regional, as the case may be), the assessment can identify the most appropriate government body to prepare and implement the local recovery plan. This may include mayors, governors, local development associations or other government entities present in the area.

To support sectoral early recovery, government counterparts will include the relevant line ministry, both at the national and local levels. The objective is to provide assistance and support to governments to strengthen their capacity to plan, implement, manage and coordinate the country’s early recovery. In general, as shown below, there are 4 broad categories of assistance relating to governance that can be used as a reference to guide the needs assessment:

Sectoral early

recovery (livelihoods, minor infrastructure, etc)

Coordination,

planning & implementation of national & local early recovery

National

management of financial resources for ER (receipt & expenditures)

Public policies,

legislation, norms and procedures on ER

The following needs can be identified in order to define the support required to strengthen governance and the national response capacity:

Human

resources

Infrastructure

(repair or

establish

offices / sub-

offices)

Equipment

(computers,

furniture, etc.)

Capacity

building

training

Specialized

technical

assistance

Services

(electricity,

etc.)

Financial

resources

Systems &

procedures

(SOPs, guidelines,

etc)

Governance: Government Needs and Capacity

Introduction

Government Counterparts

Main Categories of Governance Assistance

Basic Principles

Secure the highest level of political commitment from the government and UN agencies during the assessment phase. Ensure national ownership in early recovery to maximize success and sustainability. The needs assessment and capacity analysis must be a consultative and agreed process. Identify opportunities to strengthen existing capacities and mechanisms prior to creating new structures.

Resource Needs to Support Governance

27

Below are some indicators and considerations to take into account when assessing the national or local capacity of the government and the needs to strengthen this capacity. These indicators are organized into 4 categories, as shown in the table below.

General Impact of the Disaster

Extent of the damages caused by the disaster on the government, its institutions, infrastructure, equipment, human resources, projects, etc.

Challenges currently faced in responding to the disaster and the needs of the population affected.

Political Scenario and Context

Determine the polical climate in the country

Identify key political events such as upcoming elections that may influence early recovery

Determie the level of political commitment to early recovery

Identify the level of participation at the highest political levels

Assess the level of exchange and coordination at the inter-ministerial level

Institutional Capacity

Existence of public policies, legislation and normative guidelines on early recovery

Existing mechanisms for early recovery coordination and planning

Mechanisms for mobilizing financial resources, for budgeting and managing funds for early recovery

Decentralized mechanisms and institutional linkages with local authorities and communities to plan and implement early recovery services and projects.

Knowledge of the basic principles of early recovery

Knowledge of the basic principles and mechanisms for integrating risk reduction into early recovery.

Organizational Capacity

Existence of systems for information management, to monitor implementation or expenditures.

Additional human resource requirements in key areas (management, coordination, technical)

Specialized technical assistance required.

Financial resources needed

Infrastructure (offices), equipment (furnishings, computers, software, etc) and services (electricity, pone, etc)

Manuals, guidelines, procedures, etc. on early recovery

Capacity Indicators

Governance: Government Needs and Capacity

28

In addition to the identification of inter-agency and government capacities, the assessment also determines during field visits the capacity of communities affected. Specifically it is about identifying the following capacities:

Local organizations present in the affected areas as well as their mechanisms and activities to respond to the crisis, with the purpose of identifying possible partners and mechanisms for local participation.

The population’s coping strategies, especially to support and strengthen positive coping strategies.

The following are possible organizations that can be identified. Consider community, municipal or provincial/state level organizations.

Organization of community leaders

Women associations or other groups

Emergency committee

Red Cross Volunteers

Micro-enterprise cooperatives

Farmers cooperatives

Banks or other organizations that provide credit

Political organizations

Other organizations affiliated to national or

international NGOs

Coping strategies refer to the short-term responses of people and communities to cope with the crisis, including alternative activities to generate income and ensure survival. These may be positive strategies that effectively alleviate the situation and which can be strengthened by early recovery projects. In some cases coping strategies can have a negative impact, for example when they contribute to the erosion of valuable assets or increase levels of poverty. The assessment can identify the coping mechanisms that the population is using to satisfy their basic needs, that is, their survival strategies to procure food, clothes, income, etc. The following are some examples of coping strategies that can be considered in the assessment, among others:

Migration of some family members to other geographic (rural, urban, semi-urban)

Sale of livestock (pigs, cows, chickens and other animals)

Sale of household belongings (furniture, clothes, utensils etc.)

Consumption of commercial crops

Consumption of seeds normally used for planting/cultivation

Reduction in food consumption

Living with relatives, friends or neighbours

Removal of children from school

Other temporary jobs or informal businesses

Buying food or other essential items on credit at local stores

Loans/indebtedness (with relatives, neighbours, friends, creditors or lenders)

Remittances

Prostitution (in severe cases)

Others

Community Capacity

Introduction

Local Organizations

Coping Strategies

29

8. MODULES TO ASSESS IN THE FIELD

BY CLUSTER

30

Families generally participate in diverse economic activities and divide work among family members to generate the necessary income to meet their basic needs. It is necessary that the diverse livelihoods of the affected population be assessed in order to obtain a global vision of the impact of the disaster on the local economy.

This module includes a checklist of indicators that can be used as a reference for assessing some of the more common types of economic activities. The indicators represent suggestions for the types of questions or issues to take into account while conducting focus group discussions or interviews relating to livelihoods.

Note: the module addresses non-agricultural livelihoods since FAO will typically assess needs in this sector.

For assessing the local economy and livelihoods the assessment can consult local shopkeepers, owners of micro-enterprises or medium-sized businesses, banks providing credit to small businesses, cooperatives and other local associations, civil society organizations, local authorities and the community in general.

As a first step it is necessary to identify the main livelihoods and sources of income of the affected population in the areas being assessed, including those of women, men, young people, and the elderly.

Interview key informants, local authorities and the population in general to identify the main economic activities, using the following 4 broad categories of economic activity: commerce, employment (wage labour), fisheries and patio economy.

The following key questions may serve to obtain an overview of the local economy prior to and after the disaster, and to assess the comparative impact on the various livelihood activities:

In normal times, what are the main economic activities of the population in the zone

What has been the general impact of the disaster on the local economy: consider all income generating activities in the area and local markets.

Which are women’s economic activities and what has been the impact of the disaster on these

Impact on local industries or large companies employing the local population

The effect on micro-enterprises

Impact on fishing and livestock or cattle farming

Others areas of the economy that have been affected (local markets, transportation, warehouses, etc)

What population groups have been most affected (by occupation, gender, socioeconomic status, age)

What are the main priorities for the recovery of the local economy, especially in the short and medium term.

Based on the results obtained on the main livelihood activities, perform interviews with focus groups or key informants to assess in more detail. Below are the checklists of indicators that can be used as a reference to guide the interviews and discussions per type of livelihood or economic activity:

Document the main commercial activities during normal times in the area, including formal and informal micro-enterprises and medium-sized businesses

Type of impact on the above businesses

Level of damage (low, medium, high, total destruction) by type of commercial activity

Number & proportion of female-owned businesses affected

Number & proportion of male-owned businesses affected

Number & proportion of all businesses affected & destroyed

Normal sources of employment for men

Normal sources of employment for women

Main employers (companies, industries, farms, others)

Calculate average salary for men and women

Geographic location of employment

General impact on industries employing women and men

Number & proportion of women and men that have become unemployed by type of employment

Introduction

Global View of the Local Economy

Livelihood Checklist

Commerce (formal, informal, micro-enterprises and medium-sized businesses)

Employment (wage labor)

Early Recovery Cluster: Local Economy & Livelihoods

Sources of Information

Fisheries

Commerce

Patio Economy

Employment

Livelihoods

31

Main fishing activities in normal times

Type of fish or shellfish harvested

Number & proportion of population devoted to fishing

Average fishermen income (daily, weekly or monthly) in normal times

Type of impact on fishing activities (damage to equipment, inventory, reserves, etc)

Level of damage (low, medium, high, total)

Number & proportion of the fishing population affected by the disaster

What role do women play in the fishing industry and how have they been affected

Types of animals raised in the patio during normal times (chickens, ducks, roosters, pigs, etc.)

Main use (consumption, trade or sale)

Impact of the disaster on these (disease, death, etc)

Percentage loss of animals

Main garden crops cultivated in the patio in normal times (vegetables, spices, fruits, nurseries, seed banks, etc)

Type of impact on these garden crops

Percentage loss of garden crops

Average income (daily/weekly) derived from the garden economy in normal times

In addition to assessing the above economic activities, local markets can also be included in the assessment and field observation to obtain complementary information on the level of impact on basic needs and food security resulting from income loss. Consult with local shop

owners, micro-businesswomen, farmers, transportation companies, etc. to assess the following:

Basic food and essential household goods now available and those not available in local markets.

Way in which the disaster has impacted local markets and basic food supply (impact on shops, transportation, access roads)

Identify changes in prices for basic staples before and after the disaster

Field visits and interviews with key informants may also serve to identify the key stakeholders who are providing assistance at the local level in the livelihood sector, and to establish potential collaboration and partnerships to strengthen livelihood recovery. Below are some considerations to keep in mind:

Other assessments conducted in the livelihood sector, their analysis and results

Stakeholders in the area that work in the livelihood sector (government, national and international NGOs, etc.) and that could be potential implementing partners.

Identify programs or projects that are being implemented or planned in livelihood recovery.

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the livelihood sector.

Patio Economy

Markets

Fishing


Response Capacity

32

Field Card: Assessment of Livelihoods

General description of the disaster´s impact n the local economy and livelihoods:

Situation Before the Disaster Post Disaster Situation

Indicate Main Economic Activities and

Livelihoods During Normal Times

Average Income in

Normal Times (Daily or Weekly)

Level of Impact

Population Affected

-Number-

Observations

Men Women Men Women Low (5-20%)

Medium (20-50%)

High (50-80%)

Total (80-

100%)

Men Women

Micro-enterprises

Type 1

Type 2

Type 3

Type 4

Medium-sized enterprises

Type 1

Type 2

Type 3

Type 4

Employment (wage labor)

Type 1

Type 2

Type 3

Patio economy

Crop 1

Crop 2

Crop 3

Animal 1

Animal 2

Animal 3

Fishing

Type 1

Type 2

Type 3

Type 4


33

Other

Local Capacity Positive coping strategies

Negative coping strategies

Suggestions for local economic recovery:

Current and planned projects in livelihood recovery (governmental and non-governmental)

Organization Types of Projects Location of Projects No of Beneficiaries

Possible local partners to implement livelihood recovery projects

34

The environment is a specialized sector that requires diverse specialists to perform an effective assessment. This module presents some general considerations that may be taken into account to gain a general impression of the possible impact of the disaster on the environment and natural resources, as well as to identify additional needs or priorities for a more in-depth future assessment with specialists. The Ministry of Environment or Natural Resources, UNEP, local NGOs, civil society groups, and affected communities may be considered as sources of information during the assessment. Aerial photographs and satellite images may also prove useful for assessing the impact of the disaster on the environment from a sub-regional perspective. Below are some indicators that may be useful for obtaining a global view of the environmental impact of the disaster:

Evidence of environmental degradation that may have contributed to the disaster.

Geographic scope of the impact

Other threats, e.g. vulnerable industrial infrastructure, chemicals or other similar facilities

Secondary risks that may be identified, e.g. more landslides or erosion.

Natural disasters can have diverse effects on the environment. The following are some examples that can serve as a guide to assess the environmental impact:

Loss or damage on vegetation cover

Damage to the natural habitat of wildlife

Loss of biodiversity

Loss of forests and jungle

Loss of ecosystems

Loss of seed banks

Loss of nurseries

Soil erosion

Damage to river banks

Contamination of underground waters (mud, salt water, waste water)

Contamination of agricultural soil (salt or sewage water)

Sedimentation of streets, communities, agricultural areas, forests, etc.

Accumulation of waste and debris

Damage to coral reefs and other natural coastal defence mechanisms

Loss of coastal forests and plantations

Coastal erosion

Maritime pollution (debris, waste water, etc.) In some cases, coping strategies, infrastructure repairs and other reconstruction activities may have a negative impact on the environment. Some considerations to be taken into account include:

Excess demand for housing construction materials

Unsustainable use of energy sources

Unsustainable use of natural resources for construction and fuel

Deforestation

Population coping activities or strategies that have a negative impact on the environment, e.g. waste disposal, sanitation practices

Positive coping mechanisms of the affected population that may be strengthened to protect the environment and natural resources.

Natural resources that will have a high demand in early recovery, their sustainability, and available alternatives.

Field visits and interviews with key informants may also serve to identify possible collaboration and partnerships to strengthen environmental recovery. Below are some considerations to keep in mind:

Stakeholders in the area that work in the environmental sector (government, NGOs, etc.)

Environmental impact assessments that have been carried out or are being planned by government authorities, UNEP or other institutions.

Identify programs or projects that will be implemented to recover the environment and promote sustainable practices.

Identify the needs of the Ministry of the Environment to implement environmental recovery

Identify technical assistance that may be provided to strengthen environmental recovery.

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the environmental sector.


Checklist of Indicators

Introduction

Possible Damages Associated with

Reconstruction Activities

Response Capacity

Early Recovery Cluster: The Environment

Global Sectoral View

35

Field Card: Assessment of the Local Environment Name of Assessment Team Member: Assessment Location (community, municipality,

province): Date: Organization:

Damages and Needs General disaster impact on the local environment:

Type of Impact

Level of Impact Area/Zone

Observations Low Medium High Total

Sedimentation of streets and communities

Sedimentation of agricultural areas

Accumulation of debris and garbage

Contamination of underground water (mud, salinity, residual water)

Contamination of agricultural land (salinity, residual water)

Maritime pollution (residual water, waste, etc.)

Soil erosion

Deforestation

Other

Damage to Natural Resources

Local forests

Vegetative cover

Seed banks

Nurseries

Biodiversity

Ecosystems

Coral reefs

Coastal plantations

Mangroves

Other

Collateral Damage from Reconstruction

Demand for forest products for construction

Unsustainable use of forest products for fuel

Coping strategies that negatively impact on the local environment (sanitation practices, waste disposal, garbage disposal, etc)

Coping strategies that have a positive impact on the environment

Local Capacity Current and planned environmental recovery projects (governmental and non-governmental)

Organization Type of project Location of project

Possible local partners for implementing environmental projects

Identify the challenges & needs of the local office of the Ministry of Environment

Early Recovery Cluster: The Environment

36

This module provides some guidance and indicators for evaluating needs associated with land and property. Risk reduction considerations are also included given its close link with land & environmental damages and property reconstruction.

Consult with the Ministry of Housing, Ministry of Public Works, UN-Habitat, and IOM, temporary shelters, local authorities, local NGOs, and affected communities. Also if available consult aerial photographs or satellite images to get a wider perspective of the damages on housing and other infrastructure.

The first interviews and field observation should aim at obtaining a global view of the disaster impact on land and property, documenting some of the following information:

Nature of disaster impact on land and property (river bank erosion, flood waters, heavy sedimentation) from a wider perspective.

Locations where land and property were completely destroyed and the causes

Nature of the disaster impact on housing in particular.

General level of impact on land and property (low, medium, high, total)

Collect the following information through consultations, interviews and observation, to determine damages and

needs for housing recovery. As much as possible the information should be quantitative:

Number and proportion of population left homeless.

Number and proportion of houses that have been damaged and their level of destruction (low, medium, high, total).

Number of single mothers, widows, elderly and disabled without housing.

Identify the average type of land and home ownership in the area (landowner, owner, lessee, illegal occupation, other)

Identify other damages related to the dwelling, such as water, electricity, heating, and sanitation services.

Identify damage to or loss of furniture and other essential household goods (kitchen utensils, mattresses, clothes, blankets, cooking fuel, etc.)

Obstacles for the affected population to access their dwellings and communities (distance, access to roads, security, financial, others) and possible solutions.

Number & proportion of the population living in official shelters, and number & proportion living under other circumstances (neighbours, family, etc)

Identify the main concerns of the homeless population, possible disputes on access to land and housing, relocation plans, politically sensitive issues, etc.

These are some important considerations that need to be taken into account to identify risks, to determine the sustainability of the current situation, and identify recovery options in the housing sector:

The post-disaster condition of the land and environment where homes were destroyed or damaged

Identify the risks to rebuilding in the same areas, and determine if the same area is adequate for sustainable housing reconstruction.

Condition of the land and environment where the current homeless population resides, identifying the risks to determine if these new locations are adequate for sustainable housing reconstruction.

Determine the need for relocating the homeless population, and explore potential locations for sustainable home reconstruction.

The team should also consider the following to assess the response capacity in the housing sector, to determine possible actions and partnerships.

Identify organizations that have actions or plans for rebuilding homes.

Identify government actions or plans for relocating the homeless and assess if these areas are sustainable.

Identify potential partners for housing recovery.

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the land and property sector.

Indicators Checklist


Risk Reduction

Response Capacity

Early Recovery Cluster: Land and Property

Introduction


37

Field Card: Assessment of Land and Property

Name of Assessment Team

Member:

Assessment Location (community, municipality, province): Organization: Date:

Damages and Needs General disaster impact on land and property in the area:

Number of homes affected, by

level of damage

Low (5-20%) Medium (20-50%) High (50-80%) Total Destruction

Population affected, by category Homeless Affected by Partial Damage Officially in shelters Not in shelters

Vulnerable population groups (homeless & partially affected)

Single mothers Widows Elderly Disabled

Average type of land tenure (ownership, rental, lease, other)

Main concerns of the affected population (land ownership, land titles, relocation plans, politically sensitive issues, etc)

Main priorities of the population and suggestions for housing recovery

Condition of land where homes were previously located and potential risks associated with rebuilding in these same areas

Current sites identified by government for relocation and any potential risks or concerns with the area

Local Capacity Current and planned housing recovery projects (governmental and non-governmental)

Organization No of houses planned Location of projects No of beneficiaries

Possible partners for implementing housing recovery

Early Recovery Cluster: Land and Property

38

The module provides some guidance and indicators to help assess early recovery needs in the water and sanitation cluster. Consult with the Ministry of Health, Ministry of Public Works, WHO, UNICEF, Oxfam, civil society groups, local authorities and affected communities. To assess early recovery needs in the water and sanitation cluster it is necessary to consider 4 main components: local water & sanitation infrastructure, equipment, human resources, and estimate of population affected in this sector.

With respect to the water sector, consider potable water for consumption, for cooking, for domestic use, and for personal hygiene. Also consider the quality and quantity of water available.

Main sources of water supply before the disaster (wells, municipal, natural springs, rainwater, etc)

Number & proportion of water sources by location that have suffered damages to their physical infrastructure and determine the level of damage (low, medium, high, total).

Proportion of the population that has no access to water

Identify especially vulnerable population groups without access to potable water (single mothers, widows, pregnant women, elderly), the causes and possible solutions.

Identify alternate (current) water supply sources (rivers, springs, rainwater collection, water purchase, etc.)

Identify obstacles to the affected population´s access to water (distance, access to roads, security, financial, others) and possible solutions.

Identify family members that currently collect and transport water from the source to the household or shelter, and determine the distance between the current water source and the household (should not be greater than 500m walking distance)

Identify and quantify the needs for materials to collect, transport and store water.

Are the current water sources and extraction levels sustainable? What damages may be caused by the continuous use of the current sources?

Identify the main sanitation systems used before the

disaster (private or community latrines or bathrooms, septic tanks, etc).

Number & proportion of sanitation services (by location) that have suffered damages to their physical infrastructure and determine the level of damage (low, medium, high, total).

Number & proportion of the population without access to sanitation services (include population in shelters and in communities).

Identify especially vulnerable populations without access to sanitation facilities (single mothers, widows, pregnant women, elderly), the causes and possible solutions.

Identify the current sanitation facilities or practices being used by the affected population.

Determine if there are sufficient sanitation facilities for the population (must not be more than 20 persons per latrine or toilet)

Identify obstacles faced by the affected population to access sanitation facilities (distance, access to roads, security, financial, others) and possible solutions.

Determine the distance between sanitation facilities and households or shelters (should not be greater than 50m walking distance).

Are the current sanitation practices sustainable? What negative effect can these have on the population’s health, on the environment?

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the WASH cluster.

Water and Sanitation Cluster

Introduction Checklist of Indicators: Water

Checklist of Indicators: Sanitation


Infrastructure

Equipment

Human Resources

Population Affected

Water & Sanitation


39

Field Card: Early Recovery Assessment of WASH Cluster Name of Assessment Team Member:

Organization: Assessment Location: Date:

Damages and Needs General disaster impact on water and sanitation facilities in the area:

Number and type of water sources used prior to the disaster Wells (community /household)

Municipal Superficial (rivers, springs)

Purchased Other

Number of water sources with total damage, by type

Number of water sources with partial destruction (5-80% damage), by type

Population without access to water, total and by vulnerable group Single mothers Widows Elderly Disabled Total

Current alternative water sources used by affected population

Members of the family responsible for water collection

Distance (meters) between water source and household

Number and type of sanitation infrastructure used prior to the disaster

Latrines Septic tanks Household bathrooms

Sewers Other

Number of sanitation systems completely damaged, by type

Number of sanitation systems with partial damage (5-80% damage) by type

Population without access to sanitation services, total and by vulnerable group

Single mothers Widows Elderly Disabled Total

Current alternate sanitation services used by affected population

Determine if there are enough sanitation facilities for the affected population (should be 20 people per latrine or bathroom)

Are current sanitation practices sustainable? What impact can current practices have on health and the local environment?

Local Capacity Current and planned recovery projects in the watsan sector (governmental and non-governmental)

Organization No of water and sanitation facilities

planned

Location of projects No of beneficiaries

Possible partners for implementing watsan recovery

Water and Sanitation Cluster

40

The module provides some guidance and indicators to help assess early recovery needs in the health cluster Consult with the Ministry of Health, Ministry of Public Works, WHO, local doctors, nurses and other health workers, civil society groups, local authorities and affected communities. To assess early recovery needs in the health cluster it is necessary to consider 4 main components: local water & sanitation infrastructure, equipment, human resources, and estimate of population affected in this sector.

Identify health centers available before the disaster (clinics, hospitals, mother-child health centers, reproductive health centers, others).

Number & proportion of health centers (by location) that have suffered damages to their physical infrastructure and determine the level of damage (low, medium, high, total).

Identify other damages related to health facilities, such as loss in medical equipment and type, water supply, electricity, heating and sanitation services.

Identify the impact on the human resources of health facilities (nurses, doctors, technicians, etc).

Number and proportion of local population without access to health services

Identify especially vulnerable population groups without access to health services (ill people, disabled, single mothers, widows, pregnant women, elderly), the causes and possible solutions.

Identify obstacles to people´s access to health services (distance, access to roads, security, financial, others) and possible solutions.

Identify the most urgent health problems reported by the population and the health centers.

Field visits and interviews with key informants may also serve to identify the key stakeholders who are providing assistance at the local level in the health sector, and to establish potential collaboration and partnerships to strengthen health recovery. Below are some considerations to keep in mind:

Stakeholders in the area that work in the health sector (government, national and international NGOs, etc.) and that could be potential implementing partners.

Other assessments conducted in the health sector

Identify programs or projects that will be implemented to recover the health sector.

Identify the needs of the Ministry of Health to implement health recovery & the technical assistance that may be provided.

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the health cluster.


Health Cluster

Introduction



Infrastructure

Equipment

Human Resources

Population Affected

Health

Response Capacity

41

Field Card: Early Recovery Assessment of Health Cluster Name of Assessment Team Member:


Damages and Needs General disaster impact on health facilities in the area:

Number and type of health facilities used in normal times Hospitals Clinics Community Centers

Centers for Maternal-child

care

Other

Number of health centers with total destruction, by type

Number of health facilities with partial damage (5-80% damage) by type

Identify additional health equipment that has been damaged or lost (medical equipment, vehicles, etc), number and type

Identify the type of impact the disaster had on the human resources of health facilities, and any associated needs

Number of people without access to health services, total and by vulnerable group

Single mothers and widows

Sick or disabled Elderly Pregnant women Total

Identify the most urgent health problems reported by the population and by health personnel

Average distance (meters) from health centers to household

Local Capacity Current and planned health recovery projects in the area (governmental and non-governmental)

Organization Type of projects Location of project

No of beneficiaries

Possible local partners in the area for implementing health recovery projects

Health Cluster

42

The module provides some guidance and indicators to help assess early recovery needs in the education cluster. Consult with the Ministry of Education, Ministry of Public Works, UNICEF, local teachers, civil society groups, local authorities and affected communities. To assess early recovery needs in the education cluster it is necessary to consider 4 main components: local water & sanitation infrastructure, equipment, human resources, and estimate of population affected in this sector.

In the education sector, consider primary and secondary schools, pre-school facilities and training centres.

Identify main education centers available before the disaster.

Number and proportion of education centers (by location) that have suffered damages to their physical infrastructure and determine the level of damage (low, medium, high, total).

Identify other damages related to the infrastructure of educational centers, such as their water, electricity, heating, sanitation services.

Identify and quantify other damages to school equipment, such as furniture and educational materials.

Identify how teachers and other school personnel have been affected.

Identify alternate (current) education centers used by the affected population.

Identify obstacles to student´s access to education centres (distance, access to roads, security, financial, others) and possible solutions.

Number and proportion of students (boys and girls) that do not attend school due to the impact of the disaster, the reasons and possible solutions

Identify education centres (number and location) that are being used as temporary shelters.

Determine the sustainability of the continuous use of the school centers as shelters. How long is it estimated that the population will continue to be sheltered in education centers? What impact will the continuous use of these have on education?

Field visits and interviews with key informants may also serve to identify the key stakeholders who are providing assistance at the local level in the education sector, and to establish potential collaboration and partnerships to strengthen health recovery. Below are some considerations to keep in mind:

Stakeholders in the area that work in the education sector (government, national and international NGOs, etc.) and that could be potential implementing partners.

Other assessments conducted in the education sector

Identify programs or projects that will be implemented to recover the education sector.

Identify the needs of the Ministry of Education & the technical assistance that may be provided.

The Field Card in the following page can be used to collect information from interviews and focal group discussions when assessing the education cluster.


Education Cluster

Response Capacity

Introduction



Infrastructure

Equipment

Human Resources

Population Affected

Education

43

Field Card: Early Recovery Assessment of Education Cluster Name of Assessment Team Member:


Damages and Needs General disaster impact on education facilities in the area:

Number and type of school infrastructure in the area prior to the disaster

Primary schools Secondary schools

Pre-school centers Higher and Vocational

schools

Other

Number of education centers with total damage, by type

Number of education centers with partial destruction, by type

Number of students without access to education as a result of the disaster, total and by vulnerable group

Pre-school boys/girls

Children of single mothers

Disabled boys/girls

Other Total

Identify other damages related to education centers, such as school equipment and didactic materials

Identify the effect of the disaster on the human resources of schools (teachers, etc) and the associated needs

Number and location of education centers used as temporary shelters

Number and type of alternate education facilities currently used by student population

Determine the sustainability of the continued use of education centers as shelters: the estimated time they will operate as shelters, additional damage to these shelters, etc.

Local Capacity Current and planned recovery projects in the education sector (governmental and non-governmental)

Organization No & type of projects

Location of projects No of beneficiaries

Possible local partners for implementing recovery in the education sector

Education Cluster

44

Risk Reduction

45

9. METHODOLOGICAL CONSIDERATIONS

46

This module addresses the methodological considerations required during the field assessment, specifically in relation to 2 areas:

The geographic selection of areas to assess

The methods for gathering information in the field Usually it is not possible to assess all the geographic areas affected due to time constraints and limited human, financial, and logistical resources. It will likely be necessary to prioritize the geographic areas for conducting field visits and for every geographic level such as provinces, municipalities and communities. Selection must follow a methodological procedure to ensure impartiality and be able to make generalizations that are representative of the situation in all areas affected. Prior to defining the methodology, the following considerations could be taken into account when selecting geographic areas.

Find a balance between focusing on the most affected areas and on obtaining a global perspective of all geographic areas affected.

Consider rural, urban and semi-urban areas.

Selection of areas which can be representative of all affected areas.

Consider the “most affected” areas in terms of the sectors of greatest concern. Some areas may have suffered from a greater impact in the agricultural sector but less so in minor infrastructure or housing.

Make use of secondary data and interviews in the capital to feed the decision.

Consider the socio-economic conditions during “normal” times to establish priorities. In affected areas, those with higher levels of poverty are likely to be the most vulnerable.

The following are two simple methods that can be applied in selecting areas for the assessment (municipalities, communities, households): Random Sampling: it is particularly useful when the zones are relatively homogeneous, for example, socioeconomically, and there are no significant differences amongst the same.

Identify all areas & population affected by the disaster, that is, define the sample framework.

Make a list of the sites (i.e. municipalities) that are affected and number these. For example there are a total of 32 municipalities affected.

Decide on the number of sites (i.e. municipalities) that can be visited according to the time and resources available. For example, 8 sites can be visited for the assessment.

Divide the total number of sites or municipalities by the number of sites that can be visited. For example, 32 / 8 = 4.

Use the result as an interval to select sites to be included in the assessment field visits. That is, select every 4 sites or municipalities from the list.

At the community level, a random sample of households can also be selected for interviews if the community is considered relatively homogeneous without significant differences in population groups, socio-economic or livelihood activities.

Select the number of households that can be visited according to the time and the resources available, generally allowing 30 minutes per interview. For example, 9 households can be interviewed.

Select a number from 1 to 10, for example 7.

From the center of the community walk in 2, 3 or 4 directions (according to the number of team members) and select the seventh house in that direction for the first interview.

Continue to the next seventh house until completing the nine interviews.

Stratified Sampling: this method is applied when the affected areas are heterogeneous or significantly different, such as ethnically or rural and urban areas, etc.). In this case it becomes necessary to select a sample of each group in order to ensure that all are represented in the assessment. This method is applied to make sure that the diversity of the conditions present in affected areas are captured in the sample and/or to distinguish different groups in the population to collect information on them separately. Generally, for highly heterogeneous zones the sample needs to be larger than in other cases. Therefore, with this method it is better to visit and assess more sites and interview less people, than vice-versa.

In the event that the sample size has to be reduced because of time constraints and limited resources, it is important to be careful when drawing conclusions, to explain the sample selection and criteria used and to state this in the final report, indicating that the sample is not representative of the entire population.

At the national, regional, provincial or municipal level, a stratified sample may be selected using the following two criteria:

Livelihood groups that are homogeneous because they share similar economic activities (groups of farmers, micro-entrepreneurs, etc).

Agro-ecological zones defined by their climate / micro-climate, land use, or environmental condition

Geographic areas

Selection of Geographic Areas for the Assessment

Considerations for the Selection of

Geographic Areas to Assess

Methods for the Selection of Geographic Areas

Introduction

47

There are different methods to gather information in the field during an assessment, each has advantages and limitations depending on the context and the objectives. In general, the application of various methods is optimal to verify and triangulate information. Methods for information collection includes:

Focus group discussions • Interviews with livelihood groups • Household visits and interviews • Interviews with key informants • Participative observation in the field • Interviews with local authorities

This is an interactive group discussion on a specific issue. The method is applied to facilitate analysis and understanding on the issue of interest. Purpose Discussions with focus groups can be applied for different purposes, including: 1. With a heterogeneous group to obtain different points of view on one issue, for example, on education, housing and other sectors. 2. With a group that is representative of the population or community (women, men, youth, the elderly, etc.) to gather general information on the situation of their community or municipality. 3. With a homogeneous group that shares certain common characteristics (gender, socio economic status, livelihoods) for an in-depth analysis of the issue. Selection of Participants The selection of participants in the focus group can be made in different ways, including:

Selection by community leaders. It works in some cases but it may generate preferences in participants and biased results.

Ad hoc. Begin a discussion with some people while others join spontaneously or voluntarily. It may work best when time is limited.

Purposive selection by the assessment team, for example to form a heterogeneous group and acquire information on the situation in general, or to assure the representation of the local population.

Selection of key informants, such as teachers, religious leaders, health workers, etc.

Formation and Facilitation of Focus Groups: Below are some suggestions for forming focus groups and facilitating discussions:

Form groups of 5 - 10 people. Each session should last approximately 1 hour.

Include two facilitators by focus group, one male and one female.

Organize the discussion in a safe and comfortable area, preferably forming a circle.

Ensure a balanced representation of women, men, youth and elderly.

Consider the formation of a focus group formed only by women to focus the discussion on their specific situation and needs.

Ensure the representation of families with fewer resources and of ethnic groups.

Structure the discussion around key questions, preferably from a previously prepared checklist

Consider various focus groups for different topics of interest (housing, micro-businesses)

Establish basic rules to respect different points of view, to have one person speak at a time without interruptions, mutual respect, etc.

Also consult in this Guide the section on interviews

Methods

Focus Group Discussions

Methods for Information Gathering

Basic principles for information collection

Direct consultations with the population affected by the disaster

Consultation with local authorities, to get official data and a more global vision of the situation in the zone.

Consider the reliability of the information, differentiating between “facts”, “opinion” and “rumors”.

Consider the importance of impartiality, since each person has a subjective perspective, it will always be necessary to reconfirm or verify with others.

Consider a gender perspective, making sure women are consulted and that their needs are also reflected in the information collected.

Ensure that information collected is representative, by making sure that marginal and ethnic groups are consulted.

48

Livelihood groups may be formed with participants that share similar economic or income generating activities, such as groups of farmers, micro-entrepreneurs, salaried workers, etc. It is advisable to form groups for all significant livelihood activities to ensure a complete analysis of the local economy and the impact of the disaster on these. The economy is a strategically important concern for the assessment, since the lack or reduction of income affects food safety, health and the general wellbeing of the families affected. When the time or the resources are limited, the assessment team can organize one group that is representative of all the main economic activities. Consultations with key informants or discussions with focus groups can be a useful way of determining the principal livelihood activities in a given area. When available, secondary data can also provide information on the main economic activities. It is essential to interview key informants and local authorities to obtain official information on the situation, complement interviews with the population affected and cross-reference with others to have an objective analysis and a global vision of the situation. This method of information collection can be useful when there are constraints on time and resources and it is not possible to organize several focus groups. Purpose

Interviews with local authorities, mostly representatives from the different ministries are necessary to obtain the following information:

Understand the global situation in every sector

Obtain technical information on a given sector

Gather official data on damages

Verify information that is not clear or has been controversial

Cross-reference information obtained from other interviews or focus groups.

Understand the impact of the disaster on the ministry or institution

Collect information on the ministry’s humanitarian and recovery efforts.

Explore possible collaboration with the ministry for recovery projects.

Obtain suggestions on other potential key informants or on participants to form focus groups

Types of Key Informants Key informants are people that have specific knowledge on a specific issue, they are professionals or local authorities. The following key informers may be considered, among others:

Representatives from the different ministries (the environment, housing, agriculture, water and sanitation, education, health, infrastructure, etc.)

Governors and mayors

Religious figures

Emergency Committees

Civil Defence

Red Cross

Civil Society Organizations

International NGOs

Teachers

Representatives of women associations

Community leaders Physicians, nurses, midwives and other healthcare

personnel.

Considerations for Interviews

Whenever possible, interview key informants for each sector

If time is limited, prioritize interviews relating to key sectors.

Organize individual interviews or form a group of key informants if there are time limitations.

Estimate at least 30 minutes per interview

Ensure that key informants include men and women

Structure the discussion around key questions prepared prior to the interview

Focus the discussion on the sector or area of specialization of the informant, although he/she may also be knowledgeable of other general issues.

Visits to households in the affected zones are essential in an assessment. They provide the opportunity to speak to family members and also to observe the impact of the disaster on living conditions. Considerations Identify households through random or stratified sampling, and take into account the following considerations:

Show respect and courtesy. A home is a personal and private place.

Accept gestures of hospitality (water, coffee, tea), as it helps to establish trust.

Observe the household, its condition, what it has and what is missing. Specifically, observe and talk about the following:

The condition of the house itself and any plan

for repairs or reconstruction Access to basic services (water, electricity,

heating) Access to sanitation services (location, distance,

and cost).

Livelihoods Group

Key Informants and Local Authorities

Household Visits


49

Kitchen: utensils available for cooking and serving food, fuel for cooking.

Diet: What they are cooking, consuming or storing.

Health: health condition of family members, access to healthcare, distance, cost.

Responsibilities of women, increases in their workload and its implications.

At each locality begin the assessment by walking through the community, as a team, separately or accompanied by locals. Use observation to verify or cross-reference information received through other means (interviews, focus groups) Consider that the observation is only related to the activities and conditions during the time of the day of the visit and that at other times these conditions may be different. Continue observing during the remainder of the visit and assessment. Observe and take note of the conditions in the community, what there is and what is missing, the environment, access roads, housing, etc. Areas for Observation There are specific areas in communities that can provide useful information and different views on the situation during an assessment, including the following:

Stores and other local businesses

Markets (conditions, prices, types of food sold and those not available)

Water collection points

Schools

Public bathrooms or sanitation facilities

Clinics or other healthcare centers

Parks, recreational or Sports areas

Below are some important considerations to take into account when organizing and conducting interviews:

Create a relaxed, informal and comfortable environment for the person being interviewed.

Begin the discussion by presenting the facilitators and explaining the purpose.

Invite participants to introduce themselves.

First talk about general issues before asking questions.

In the case of groups, establish basic rules, to respect different points of view, allow a person to speak at a time without interruptions, etc.

Structure the discussion around key questions, preferably from a checklist already prepared

Facilitate and ensure everyone´s participation, including women and marginal groups

Ask simple, open questions and ask them in different ways, without requesting individual responses.

In the case of groups, address everybody without focusing on one specific person

Exclude personal or sensitive questions in a group context.

Do not focus on problems and needs because it creates expectations

Do not express opinions on what the participants share.

Disagreements among participants may be healthy and shows the diversity of needs or problems

Close the discussion by thanking them for their participation and time

It is advisable to leave a business card to strengthen trust and transparency.

It is advisable that the team meet in the field at the end of each day as well as at the end of each field visit to

consolidate the results of the assessment. Hereinafter are some suggestions for the agenda for the meetings:

Appoint a focal point to take notes of the meeting and the discussion.

Share the results obtained by each team member during the day.

Clarify doubts, triangle information and share concerns on the quality, consistency or reliability of the information.

Consolidate results in each sector regarding recovery needs identified.

Agree conclusions and prioritize needs by sector

Identify possible UNDP actions in each sector to respond to the needs identified as priority.

Identified information or data requiring verification or that are mission and must be obtained later.

Identify the necessary changes or adjustments in the methodology, instruments, geographic areas, logistics and other relevant considerations.

Methodology to select provinces, municipalities, homes and informers

The selection of priority geographical areas to carry out the assessment

Field Observation


Tips for Conducting Interviews

Daily Team Meetings in the Field

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10. ANALYSIS & PROGRAMMING

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This module includes some guidance to facilitate the consolidation and analysis of assessment results, as well as to apply these to the development of a recovery framework. The assessment results need to be consolidated and presented with their 3 main dimensions to facilitate analysis and programming:

Damages and needs

Capacities (response and assistance)

Gaps The difference between damages/needs and the capacity for response of the government and international community constitutes the actual requirements on the ground, or the gaps, and these define the recovery framework, the plan of action, and the mobilization of financial resources. The assessment results for each cluster or sector should be consolidated following the same logic in order to facilitate comparative analysis. The following 2 tables represent examples of how results can be consolidated, in this case for the housing sector and the education cluster.

Geographic

Location

Province TypeUnits (total

damage)

Units (partial

damage)Units (total)

Total Cost

(USD)Units Institution Units Cost (USD)

1 School infrastructure

primary schools

secondary schools

pre-schools

other

Equipment

desks

didactic materials

Human resources

teachers

training

Education Cluster

Damages and Needs Capacity / Response Gaps

Province MunicipalityTotal

destructionPartial damage

# # # $ # Organización # % $

1 a

b

c

d

e

subtotal

2 a

b

c

d

subtotal

3 a

b

c

subtotal

TOTAL

Early Recovery Cluster: Land & PropertyGeographic Location Damages and Needs Capacity/Response Gaps

Total Housing recovery projects Gaps in housing

Needs, Capacities and Gaps

Introduction

Needs, Capacity and Gaps

52

To enable the necessary analysis that facilitates strategic programming and decision-making it is necessary to present assessment results by geographic location, that is, adopting a territorial focus. This requires that all data collected be presented by municipality and province as well as the national totals. Only with this level of disaggregation is it possible to obtain a comprehensive view of the disaster situation in a given geographic area, and therefore to plan a global response. Below is an example of recovery needs by cluster/sector for a specific province.

Agriculture

Damages: 768,341 hectaresCapacity/Assistance: 392,011 haGaps: 376,330Cost: USD$9,888,212

Tools & other equip: USD$1,022,355

Total Cost: USD$10,910,567

Industry

Damages: USD $1,232,555Losses: USD $2,444,090Total: USD $3,676,645

Livelihoods

Damages micro-enterprises: 1992Capacity/Assistance: 0Gaps: 1992Cost: USD$996,000

Damages medium-enterprises: 204Capacity/Assistance: 0Gaps: 204Cost: USD$306,000

Total cost: USD$1,302,000

Education

Infrastructure damages: 814 unitsCapacity/Assistance: 124 unitsGaps: Cost: USD$ 1,242, 878

Equipment & materials: USD$ 434,556

Total Cost: USD$1,677,434

Land & Property

Damages: 2169 homesCapacity/Assistance: 592Gaps: 1577Total Cost: USD$3,980,767

Transport & Communication

Damages: USD $1,998,331Losses: USD $ 776,545

Total: USD$2,774,876

Water

Infrastructure damages: 2767Capacity/Assistance: 1099Gaps: 1668Cost: USD$2,545,009

The Territorial Focus

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Once the needs assessment is completed, the results should offer a good understanding of the damages and needs, the capacity for response and gaps, covering all relevant sectors and disaggregated by geographic area. In this sense it should contain all the essential elements that feed directly into a Recovery Framework. The Recovery Framework (RF) establishes a wide vision for recovery and contains the map for general actions for each sector and territory. It is an instrument for organizing recovery, providing direction towards expected results, and defining the timeframe and the cost for implementing it. The RF is developed by the government with the collaboration of UN agencies, the World Bank, donors and NGOs. As indicated in the following diagram, the RF will be built from a bottoms-up approach in keeping with the same logic with which assessment results are gathered. The RF serves as a tool for accomplishing the following key objectives:

Mobilizes all stakeholders towards a common purpose.

Promotes national ownership of the recovery process.

Facilitates inter-institutional coordination

Establishes the parameters for joint action planning.

Serves as a tool for resource mobilization with donors

Identifies priorities based on the assessment results

Establishes a calendar of recovery actions

Establishes the guiding principles of good practice

Contains the fundamentals for reducing risks

Provides the basis for a Recovery Action Plan (RAP), which contains the details of implementation (specific objectives, sectoral projects, the partners, etc).

The RF also serves as the basis for monitoring implementation and the achievement of expected results. The disaster situation should be updated periodically as well as the projects implemented in each sector and geographic area, thereby monitoring the evolution of the emergency and of the recovery process. The RF should include specific indicators which are observable and measurable to verify progress, alert of possible risks or problems, identify trends, changes, new needs, gaps, and other factors that need to be taken into account. The monitoring process needs to be interactive and include feedback to update the RF itself and make the necessary adjustments to guarantee the achievement of its objectives and results.

The Recovery Framework

Agriculture

Agriculture

Livelihoods

Livelihoods

Health Education

Property

Property

Minor

Infrastructure

Agriculture Livelihoods Property Education Minor Infrastructure

Health

Province 1

Province 2

Province 3

National Early Recovery Framework

Governance: Planning, Coordination & Implementation of Early Recovery

Risk Reduction Mainstreamed

Minor Infrastructure

Health

Introduction

Purpose & Use of the ER Framework

Monitoring

54

Below are the main references that have been used for the development of the present Guidelines. It includes all the main methodologies and guidelines developed & used by other UN humanitarian agencies, IFRC and other NGOs, as well as the more recent guidelines developed in response to the Humanitarian Reform and cluster approach. These references can also be consulted for further sectoral information or for conducting more in-depth assessments in specific sectors. UNDP, ECLAC, IRP, PDNA Methodologies and Toolkit UNDP Defining the Rapid Assessment Process with Sector Members FAO OAT, Livelihood Assessment Toolkit IASC WASH Cluster, IRA Assessment Tool IASC Needs Analysis Framework OCHA Methodology Rapid Assessment for Humanitarian Assistance IFRC (2005). Guidelines for Emergency Assessment. Geneva. UNICEF (2006). Cross-sectoral Rapid Assessment-- rapid onset emergencies, the first 72 hours. CWGER REF 2.6.6: KEY MANAGEMENT TASKS IN THE RAPID ASSESSMENT PROCESS CWGER Ethics Protection in Assessments IDRC, Guidelines for Emergency Assessments 2005 OFDA Field Ops Guide for Disaster Assessment and Response Oxfam, Food Security Assessments in emergencies, a livelihoods approach UNDG Capacity Assessment Methodology User Guide UNDMT Damage and Needs Assessment Checklist UNDMT Rapid Assessment Format UNDG WB Joint Guidance Note on Recovery Planning UNDP Capacity Assessment Methodology Users Guide UNEP Environmental Needs Assessment Guide UNHCR Tool for Participatory Assessment UNICEF Education Rapid Assessment Module WFP EFSA Handbook IASC Tips on information management for cluster leads OCHA Guidelines for field information management BCPR CWGER, Post-Crisis Needs Assessment for Recovery: A Gender Guide IASC Gender Handbook IASC Gender Equality Programming for Disasters Oxfam A Little Gender Handbook for Emergencies ECLAC Gender Analysis in Assessments UNDP Toward a Local Governance and Development Agenda UNDP Mind Map Synthesis Towards a Local Governance Agenda Haiti PDNA Myanmar PDNA CWGER Guidance Note on ER UNDP Policy on Early Recovery UNDP SURGE SOPs for Crisis Response UNDP Reducing Disaster Risk: a Challenge for Development Others that are still missing…..

Bibliographical References

Guidelines for UNDP Early Recovery Needs Assessments (1st Draft in English) (3)

Documents

Transcript of Guidelines for UNDP Early Recovery Needs Assessments (1st Draft in English) (3)