shelter after disaster 07bidp-key-resources.org/documents/2007/d04140/000.pdfChapter 5 Toolkits for transitional settlement and reconstruction 126 Chapter 6 Resources for transitional

shelter 07bafter disaster

Notes to inform the project updateat Shelter Meeting 07b, 15th - 16th November 2007

“Consensus guidelines to support governments and the humanitarian community involved in supporting the transitional reconstruction and transitional settlement of populations affected by natural disasters”

This booklet, and previous booklets informing the revision process, can be

downloaded from www.sheltercentre.org

Instructions for reviewers

1. Review the draft sector principles

2. Review the draft of chapter 1





7. Email your responses to [email protected]

see page 18

see page 6

see page 27

see page 52

see page 87

see page 127

Update on the

revision

process

at Shelter

Meeting 07b

Notes to

inform

Review Panel

Meeting 7

Minutes of

Review Panel

Meeting 7

Notes to

inform

Review Panel

Meeting 8

Notes to

inform

Review Panel

Meeting 9

Minutes of

Review Panel

Meeting 8

Project update at Shelter Meeting 07b

This booklet contains notes to inform the update on the revision of ‘Shelter after Disaster: Guidelines for Assistance’ (UNDRO, 1982) at Shelter Meeting 07b, 15th-16th November 2007.

The purpose of the update is to enable collaborating organisations to review the drafts of chapters 1, 2, 3, 4 and 6. A progress report on the drafting of chapter 5, ‘Toolkits for transitional shelter and reconstruction’, will also be given at the meeting.

The booklet begins with an update of the revision process, on coloured paper. The incomplete draft of the guidelines follows on white paper.

Following Shelter Meeting 07b, the final Review Panel Meeting will be held on 29th November 2007.

Organisations wishing to join the review panel should email [email protected]

Incomplete draft revision, November 2007, of ‘Shelter after Disaster: Guidelines for Assistance’

www.sheltercentre.org i comments to [email protected]

Progress update on the revision of ‘Shelter after Disaster: Guidelines for Assistance’ (UNDRO, 1982) Page #

Introduction to this booklet Progress in the revision process ii

Draft of 2008 trial version of 'Shelter after Disaster: Guidelines for Assistance' Chapter 1 Strategic coordination 6

Chapter 2 Strategic planning 27

Chapter 3 Transitional reconstruction: non-displaced populations 52

Chapter 4 Transitional settlement: displaced populations 87

Chapter 5 Toolkits for transitional settlement and reconstruction 126

Chapter 6 Resources for transitional settlement and reconstruction 127

Executive summary

This booklet contains the latest draft of the revision of ‘Shelter after Disaster: Guidelines for Assistance’ (UNDRO, 1982), for review at Shelter Meeting 07b, 15

th-16

th November 2007.

The initial pages, on coloured paper, provide an update of the revision process. The draft revised guidelines themselves follow, on white paper.

The main points for discussion at the meeting are listed below.

• The latest draft of chapters 1, 2, 3, 4 and 6.

• The draft updated sector principles.

Please review the draft text and if you are unable to attend the meeting, send your comments to: [email protected]

Details of the ongoing revision process can be found at: http://www.sheltercentre.org/sheltercentre/programme.htm


www.sheltercentre.org ii comments to [email protected]

Progress in the revision process

Overview of the revision process

The revision of 'Shelter after Disaster - Guidelines for Assistance', the key guidelines first published by UNDRO in 1982, is being undertaken in two phases.

Phase one consisted of a scoping study commissioned by UN/OCHA and coordinated by Shelter Centre and published by UN/OCHA as, ‘Exploring Key Changes and Developments in Post-Disaster Settlement, Shelter and Housing, 1982-2006’ (2006). The study can be downloaded from www.shelterlibrary.org. The study is a foundation to the second phase, which is funded by DFID and coordinated by Shelter Centre.

Phase two is a full revision, led by Shelter Centre, of the 1982 guidelines, to be published by UN/OCHA in trial edition in 2008.

Progress in the revision process so far

The Review Panel meeting every three months to review progress in the revision currently includes Caritas Switzerland, CARE, IFRC, IOM, NRC, Oxfam, ProVention Consortium, SDC/HA – Swiss Solidarity, UNDP, UN-Habitat, UNHCR, UNICEF, UNISDR, UN/OCHA, USAID, World Vision. Organisations wishing to join the review panel should email [email protected] Summaries of the discussions and decisions made since Review Panel Meeting 1 are presented below.

Review Panel Meeting 8, 25

th September 2007

The booklet informing this meeting can be downloaded from www.sheltercentre.org

Panellists reviewed the draft sector principles, and a draft of chapter 3, ‘Transitional reconstruction: non-displaced populations’.


th August 2007


Panellists reviewed a draft of chapter 4 ‘Transitional settlement: displaced populations’, and topics for chapter 3, ‘Transitional reconstruction: non-displaced populations’.


www.sheltercentre.org iii comments to [email protected]

Review Panel Meeting 6, 16th

August 2007 The booklet informing this meeting can be downloaded from www.sheltercentre.org

Panellists reviewed a draft of chapter 2 ‘Using principles and standards’, and proposed topics for inclusion in chapter 3 (at the time chapter 3 was ‘transitional settlement: displaced populations). Review Panel Meeting 5, 8

th May 2007


Panellists reviewed the contents page and the proposed format for the 2008 revision. They reviewed and suggested alterations to the draft Chapter 1 and topics proposed for Chapter 2.


th March 2007

The booklet informing this meeting can be downloaded from www.sheltercentre.org Panellists updated which organisations would review the chapters for the trial version and suggested changes to the table of contents and structure of the 2008 revision.


th January 2007

The booklet informing this meeting can be downloaded from www.sheltercentre.org Panellists examined the content and structure of the toolkits and case studies to be undertaken by consultants, as well as discussing an update on material contributed by collaborating organisations.

Review Panel Meeting 2 at Shelter Meeting 06b, November 2006

The booklet informing this meeting can be downloaded from www.sheltercentre.org Panellists discussed the review procedure and amended the proposed table of contents.


nd August 2006

A review panel was constituted comprising UN/OCHA, UNHCR, UNDP, UN-Habitat, UNISDR and IFRC.


www.sheltercentre.org iv comments to [email protected]

Reviewing organisations Below is the current list of organisations reviewing the Shelter Centre led revision of ‘Shelter after Disaster: Guidelines for Assistance’ (UNDRO, 1982).

Review Panel organisations reviewing the trial version

Organisations currently reviewing Title of Chapter / Toolkit taken from the table of contents proposed overleaf

1. Strategic planning

The Sphere Project 2. Using principles and standards

SDC/HA, UNICEF 3. Transitional reconstruction: non-displaced populations

IOM, SDC/HA, UN-Habitat, UNICEF

4. Transitional settlement: displaced populations

(See below) 5. Toolkits for transitional

shelter and reconstruction

UNDP, UN-Habitat, CARE + Consultant A

5.1 Government and international coordination

UN-Habitat, CARE + Consultant B 5.2 Community participation

CARE, UNDP, UN-Habitat, ProVention, UN/OCHA, + Consultant C

5.3 Assessing damage and needs and resources of the affected population

UN-Habitat, ProAct, UNISDR, UNDP, ProVention, CARE + Consultant D

5.4 Risk mapping and risk management

IOM, UNISDR, CARE + Consultant C

5.5 Land use, planning and tenure

UN-Habitat, UNICEF, IOM, CARE + Consultant B

5.6 Settlement planning

IFR

C

UN

HC

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UN

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HA

UNISDR, CARE, ProVention, SDC/HA+ Consultant D

5.7 Building back better (includes prevention and risk management)

Representatives of the affected population should be immediately and consistently involved in discussions on the elaboration of the response strategyAssessments of resources and needs in the affected population should be undertaken, to identify vulnerable individuals and groups

•

•

The assessment process itself should be as inclusive as possible, to ensure accuracy, with wide participation and ownership of the assessment and its results Assessment should take into account the different needs of the affected population, including women, girls, boys and men, the elderly and disabled persons

•

•

If evacuation is required to avoid risk due to physical hazards, advocacy may be required to ensure that the rights of relocating populations are respectedIf evacuation is required in order to avoid risk due to physical hazards, the reasons must be explained clearly to the affected population in order to persuade them to relocate voluntarily

•

•

Camps and collective centres, which have several serious disadvantages, are often built despite the fact that following natural disaster they are very rarely an appropriate solution

•

The aim is to rebuild entire communities, so reconstruction must include the infrastructure required for a community to functionReconstruction must begin as soon as possible where appropriate and safe, and for all those affected, including tenants, informal owner-occupiers and those living in apartments

•

•

Advocacy efforts are often required to ensure that secure tenure is established for all those affected by the disasterAn appropriate reconstruction strategy must include programmes for tenants and informal settlers as well as owners

•

•

Cash disbursements to displaced families and their hosts are often an appropriate response where markets are functioningRecognition of personal finance issues of the affected population, including personal indebtedness, is essential to ensuring appropriate financing

•

•

Governments should be supported where necessary in the development and maintenance of contingency plans and the capacity required to implement themContingency planning processes should be regularly tested through exercisesParticipants in a contingency planning process ideally include all those who will be involved in responding to a crisis

•

••

Risk management measures need to be a sustainable mixture of site selection, zoning and planning, building codes, training, insurance, construction methods and materials, and upgrading policiesGovernment should be supported in improving site selection, land-use planning, hazard-resistant building methods and building regulations

•

•

The strategy must support all affected individuals (regardless of whether or not they owned land or property) requiring support in transitional settlement and reconstructionLocal and national governments in affected countries begin to coordinate response before international assistance arrives and should be supported on requestCoordinated integration of transitional settlement and reconstruction programmes with others, such as those for health, water and sanitation is vital

•

•

•

Transitional reconstruction and settlement indicators

Indicators for Principle 10 page 23





Indicator for Principle 5 page 21






www.sheltercentre.org 2 comments to [email protected]

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Background to the guidelines

In 1982, the United Nations Disaster Relief Office (UNDRO, now UN/OCHA) published the key guidelines, ‘Shelter after Disaster: Guidelines for Assistance’. The guidelines have been revised for field testing, in a collaboration between Shelter Centre and the United Nations Office for the Coordination of Humanitarian Affairs (UN/OCHA), through a revision process involving the input of numerous individuals and organisations. The project was part of a Shelter Centre programme for sector support funded by the Department For International Development of the British Government (DFID) and UN/OCHA.

The aim of the revision is to increase the operational engagement of the guidelines, through placing greater emphasis on strategic and programme design, coordination and implementation. The focus is on supporting the most vulnerable communities, families and individuals to manage risk sustainably through reconstructing their built environment.

Who these guidelines are for All stakeholders responding to rapid-onset disasters, and especially those in governments and humanitarian agencies responsible for planning and coordinating.

Governments, namely national, regional and local governments, task forces and line ministries: engaging and coordinating with humanitarian aid agencies is vital to ensure that the response is integrated and comprehensive.

Coordinators, at the national, inter-sectoral and sectoral levels: strategic coordination and planning are essential to a successful response which fulfils humanitarian mandates. Given the technical nature of many of the decisions that need to be taken, the involvement of technical specialists is also required.

Humanitarian agency technical specialists, namely people with professional technical backgrounds and significant operational humanitarian experience at programme level: participation in coordination mechanisms is essential to fulfilling humanitarian mandates, and is the responsibility of all those involved.

What these guidelines cover

When people’s homes are damaged or destroyed by a natural disaster, whether apartment or house, owned, rented or occupied without legal tenure, they may remain or be displaced. The entire affected population must be supported to rebuild their homes,



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communities and livelihoods with reduced vulnerability. Support covers the transition from immediate shelter for survival to durable solutions for entire communities, often a period of several years.

How to use the guidelines

Icons and in the margins of each page provide an easy way to locate required information quickly, and also provide directions to further information inside the guidelines and externally. The icons and a glossary of the main concepts used throughout the guidelines are provided below.

Glossary of main terms used The following terms are used throughout the guidelines. Chapter 6, ‘Resources for transitional settlement and reconstruction’, contains a full glossary of terms.

disaster: a serious disruption of the functioning of a community or a society causing widespread human, material, economic or environmental losses which exceed the ability of the affected community or society to cope using its own resources. displaced persons: persons who, for different reasons or circumstances, have been compelled to leave their homes. They may or may not reside in their country of origin, but are not legally regarded as refugees.

settlement: a community of covered living spaces providing a secure, healthy living environment with privacy and dignity to the groups, families, and individuals residing within them.

transitional reconstruction: action of constructing one or more new buildings to replace buildings which have suffered damage, or repair of damaged buildings.

transitional settlement: settlement and shelter resulting from conflict and natural disasters, ranging from emergency response to durable solutions.

Navigation icons used throughout the guidelines

This icon directs readers to another part of the guidelines This icon is used to direct readers to web sites where further useful information may be found This icon directs readers to published sources of information. Most sources are available for download from www.shelterlibrary.org



Table of contents

Chapter Page #

1.1 Priorities in disaster response

1.2 Timeline of disaster and recovery

1.3 Strategic coordination

1.4 Combining law, principles and standards

6

8

11

14

1. Strategic coordination

3.1 Key factors in support of reconstruction

3.2 Types of occupancy

3.3 The occupancy types: strengths, weaknesses, opportunities

and threats

3.4 Implementing a transitional reconstruction strategy

3. Transitional reconstruction: non-displaced populations

4.1 Key factors in support of transitional settlement for displaced

populations

4.2 Transitional settlement options for displaced populations

4.3 The transitional settlement options: strengths, weaknesses,

opportunities and threats

4.4 Implementing a transitional settlement strategy

4. Transitional settlement: displaced populations


5.2 Community participation

5.3 Assessing damage and needs and resources of the affected

population





5. Toolkits for transitional settlement and reconstruction

6.1 Glossary of terms

6.2 Key references

6.3 Services

6.4 Specialist agencies

6. Resources for transitional settlement and reconstruction

2.1 Strategic planning within a coordinated response

2.2 Activities for developing a strategic plan

2. Strategic planning

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Coordination of all stakeholders involved is an essential prerequisite for a successful response. This chapter provides a timeline of likely events following a disaster, and then lists the main activities involved in coordination of the response. It also explains the importance of understand-ing national and international law, and how to use principles and standards appropriately and effectively. A set of transitional reconstruction and settlement principles are provided.

People who have remained on the site of their homes, which have homes have been damaged or destroyed by a natural disaster, may have been formal or informal tenants and owners, or occupying land or property without the permission of the owner. All of them require support. This chapter contains practical guidance on providing them with appropriate support, up to the achievement of durable solutions for entire communities.

People who have been forced to leave their homes, even if only for a short distance, move into a series of transitional settlement options. This chapter contains practical guidance on providing appropriate support to displaced persons, throughout the period of displacement, return home or settling in a different location, up to the achievement of durable solutions for entire communities.

The toolkits offer guidance that is directly relevant to both transitional settlement and reconstruction in the form of a comprehensive series of practical activities.

The resources chapter provides a glossary of terms; an annotated list of key references; a set of useful support services; and details of relevant specialist agencies.

Developing and maintaining a strategic plan is a crucial aspect of a coordinated humanitar-ian response to a disaster. This chapter presents a checklist of activities for developing such a plan, and describes the function of these activities within the plan.

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Strategic coordination


1.2 Timeline of disaster recovery



This chapter offers guidance for all stakeholders in collaborating to achieve coordination in response to an emergency. The purpose of such coordination remains to offer equitable and appropriate support to all of the affected population, dependent upon their need. Maintaining effective coordination identifies gaps and optimises response, both by minimising overlaps and by achieving more sustainable support.


1. The first and main responders to any disaster are the affected population themselves. This is true both immediately following a disaster and later, during the recovery process. However, the resources and needs of those affected by disaster vary widely.

2. These guidelines focus on providing support to the poorest and most marginalised members of society. Existing support systems frequently support those who own their property or land, but fail to support the most marginalised, including informal owner-occupiers and tenants. The challenge for the humanitarian community remains to identify and support the poorest and hardest to reach, including tenants and displaced persons living with host families.

3. The most vulnerable populations often not supported, either by government or international humanitarian aid agencies.

4. Following a disaster, some or all of the affected population are displaced. Usually however, most remain in their homes, and they should be supported to remain when it is safe to do so. When displacement does occur, the priority for those supporting displaced persons is to minimise, as far as is safe, the distance and duration of displacement. Remaining at home or close to home enables survivors to support themselves and recover their

Chapter

1 Strategic coordination (chapter 1) ensures that the maximum number of people are supported in the most equitable way, supported by the maintenance of an effective strategic plan (chapter 2). The coordination of such a plan covers transitional reconstruction for those not displaced (chapter 3) and transitional settlement of those displaced (chapter 4).



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livelihoods.

5. These guidelines categorise the finite number of settlement options for displaced persons and occupancy types for non-displaced persons, from the perspective of the community as a whole and not just the individual family. They support an approach that enables the community to help itself to recover, through reconstruction of infrastructure and services, such as roads, bridges, water and sanitation, education and health facilities, rather than focusing solely on the reconstruction of homes.

6. Reconstruction and settlement support to the affected population take place in parallel. The activities required for each must take place within an overall strategy that covers support for displaced and non-displaced people.

7. Shelter is a critical determinant for survival in the initial stages of a disaster. Beyond survival, shelter is necessary to provide security and personal safety, protection from the climate and enhanced resistance to ill health and disease. It is also important for human dignity and to sustain family and community life as far as possible in difficult circumstances. Shelter and associated settlement and non-food item responses should support communal coping strategies, incorporating as much self-sufficiency and self-management into the process as possible.

8. The response needs to cover immediate survival needs of the affected population up to the point at which durable solutions are reached for every member of the affected population.

9. Urbanisation, particularly in developing countries, means half the world’s population will be in urban areas by 2008. Most of these urban areas are vulnerable to hazards. Most of the inhabitants of urban areas are not owners – they are tenants or squatters (See table 1.1, below). A large proportion live in slums, and have insecure tenure. These vulnerable populations are also likely to be exposed to multiple hazards. In rural areas, worldwide tenants and squatters also make up a sizeable minority, and many of those categorised as owners have extremely insecure tenure.

10. The barriers to responding to vulnerable populations, such as tenants and others who are not owner-occupiers, include the fact that they may not be recognised as beneficiaries by governments or humanitarian aid agencies, and that they face obstacles to establishing their tenure. It is vital, therefore, that assisting groups focus support on overcoming these and other barriers to support.

11. There are finite ways of helping people: with money, materials and capacity. In Chapters 3 and 4, these are described

The Sphere

Project, 2004



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and linked to the various occupancy types being rebuilt and transitional settlement options being supported, respectively. Each type of support is relevant in certain options but not in others.

12. Beneficiary identification needs to be based on clear and agreed criteria, including definitions of vulnerability, so that the most vulnerable are identified and receive support. Each of the six occupancy types and transitional settlement options described in Chapters 3 and 4 is likely to have vulnerable populations. Beneficiary identification needs to be coordinated, with some agencies specialising in this activity. Advocacy may be required to ensure that vulnerable populations are recognised and their needs tackled within the response strategy.

1.2 Timeline of disaster and recovery

13. For the sake of clarity, the period following disaster has been broken down into distinct phases which are referred to throughout the text.

14. Transit is treated as a distinct phase when discussing displaced populations, occurring before the emergency phase. Transit, however, takes place throughout the response, from immediate flight to return home.

15. The emergency phase is the period during which the affected population attempt to ensure their survival and that of their families. For displaced populations it is the point at which they reach a displacement option after being displaced.

16. The early recovery phase, is the period between the emergency phase and the point when every member of the displaced population has reached a durable housing solution and is no longer displaced. Reconstruction begins for non-displaced populations, and those returning home.

17. Durable solutions are the various long solutions to achieve sustainable and permanent settlement, enabling communities to support themselves.

18. Although viewing the response in terms of phases is a useful exercise, the response must in fact be a continuous effort, taking place within a strategy that covers the whole affected population, displaced or non-displaced, from disaster to durable solutions. The diagram below (Fig 1.1) shows how the phases of response form part of the overall strategy.



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Fig 1.1 The phases of response within the transitional settlement and reconstruction strategy

19. The table below shows a typical timeline of disaster and response from the point of view of the affected population, the government, and the international humanitarian community (Table 1.1).



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Table 1.1 Timeline of a disaster and response

International humanitarian aid agencies

Arrival, meeting government representatives.

Coordination meetings including government.

Handover from search and rescue

Writing preliminary strategic plan

Initial assessments

Coordination of support to government as funding and other resources arrive.

Rubble clearance, reconstruction begins

Identification and support of displaced populations

Incoming capacity targeted as needed

Teams changing and handing over

Repeated assessments

Government Emergency management authority sent in to coordinate response

Coordination meetings with international humanitarian aid agencies

Ongoing coordination with international humanitarian community

Assessments of beneficiaries. Support for reconstruction

Handover from emergency authority to line ministries

Affected population

Ensuring survival and safety of families, protecting property, building emergency shelter.

Emergency services arrive, search and rescue teams arrive

Family and community splitting up, some being displaced some remaining. Displaced populations establishing self-settled camps or staying with host families

International humanitarian aid agencies arrive

Beginning reconstruction, recovering materials, adapting shelters for seasonal change.

Displaced families or individual members of such families, returning home and beginning reconstruction activities.

Support from government and international humanitarian aid agencies, with materials and capacity



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20. This section describes how coordination is required to fulfil the essential requirement of pulling all capacity together, and ensuring that it is working towards the same objectives. The response is likely to be successful when all capacity works together on agreed objectives, with effective links between local and headquarters levels, across the entire area of operations.

21. Coordination involves undertaking a series of actions, of which the development and maintenance of the strategic planning document is one. Coordination is a consensus process, continually revised, a properly resourced mechanism that allows the response to take place effectively.

22. Coordination is a service, supporting those responding to the disaster in providing full, accountable and appropriate assistance to the affected population. In order to do so, appropriate capacity must be identified and coordinated in supporting the most vulnerable. The aim is to ensure full coverage with whatever capacity is available, and as capacity arrives, mechanisms to fill the gaps.

23. Humanitarian aid organisations must support the government’s response strategy, filling gaps in capacity where required.

24. The strategy should be maintained across the entire area of response – including through training and workshops, of local government, NGOs and if possible the local population. This process also allows feedback on the response.

25. It is also vital for all those involved in the response to ensure that they are part of the coordination process. Coordination is the responsibility of everyone involved.

26. It is essential that a collaborative culture is supported and achieved to counteract the tendency of organisations and institutions to think and act autonomously. The humanitarian mandate of aid organisations to optimise their response requires coordination.



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Fig 1.2 Example of coordination mechanisms involved in the response to a disaster

National stakeholders

International stakeholders

Emergencymanagement

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Search&

rescue

Intl.NGOs

Privatesector

Military

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NationalRed Crosssocieties

Civilprotection

CBOs

Professionalbodies

Academia

Affectedcommunity

IFRC

UNagencies

27. The coordination system is both proactive and reactive. It enables the response to adapt to a changing situation. Once in existence it is a live entity.

28. Coordination meetings guide operational partners and other stakeholders through a process which starts with the sharing of useful planning information, and which goes on stimulate cooperation within and between stakeholders. The aim of coordinator is to create an enabling environment where a balance is achieved between ‘robust’ decision-making (which can only really be achieved with an evidence-base and strategic framework to guide negotiations) and the engendering of trust in the coordinator as independent ‘honest broker’.

http://www. humanitarian

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29. Early meetings (i.e. in the first week of a crisis response) tend to focus on needs assessments, who is doing what where, and what is in the pipeline. Subjects outside these areas need more detailed consideration and should be assigned to ad-hoc working groups set up for the specific purpose. As discussions become more detailed some weeks after onset of crisis, consideration should be given to using real-time projection of data.

30. Information management activities cover: people affected, damage, capacity, resources, barriers, and current activities. Information must be shared among national government, the affected population, local government and donors.

31. The strategy is an essential coordination tool, which is developed with the agreement of all stakeholders in the coordination process. A preliminary plan can be developed within hours of the emergency. The preliminary plan should then be agreed with government and other stakeholders, and developed and maintained as a consensus process among stakeholders throughout the response.


32. This section provides a guide to using principles and standards in support of a coordinated response to a natural disaster

33. A sound legal basis in national and international law for the response is essential, for the following reasons:

• the entire response can be halted or undermined by legal issues, such as a lack of tenure or relevant and enforced building codes. If the legal basis for the response is understood and established correctly and early on, there will be no such obstacle to progress

• the legal basis for the response is equally essential for government and local authorities of the affected country and area, so that all those involved have a clear idea of their rights and duties, and of who is being supported to recover

• the legal basis for the response is also an essential part of making the response sustainable, and contributing to livelihoods support in a coordinated way. Basing the legal framework on existing national law, in recognition of the sovereignty of national governments, also improves the chances of laws being enforced

• if a sound legal basis for the response is established, it lays

See Chapter 2, ‘Strategic planning’

Section 2.1.10 ‘Legal plan’ provides guidance on laws, principles and standards into the response strategy



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the foundation for the response to any future emergency. Land tenure might be established for the entire population, for example. Enforced and relevant building codes ensure that reconstructed communities are living with less vulnerability.

34. Legal frameworks, including arbitration and enforcement mechanisms, provide the normative basis for the protection of the lives, health, safety, livelihoods and dignity of affected populations. Principles and standards complementary to these frameworks provide qualitative and quantitative indicators to ensure that this protection is appropriate and relevant to operational considerations. Principles and standards are an essential tool in providing an appropriate response that supports the most vulnerable.

1.4.1 Hard law: the national and international legal framework

35. Recognising the sovereignty of the national government and Understanding the legal framework in force in the area of operations is an essential first step. The legal framework consists of the various bodies of law applicable in each country. These are national law, including religious and customary law, as well as relevant international law. The legal framework and its particular norms will directly affect operations (for example, the use of land for settlements).

36. If gaps in the national legal framework are exposed by the needs for disaster response (‘a’ on Fig 1.3, below), guidance should be sought in appropriate international human rights and humanitarian law on how to fill them (‘b’ on Fig 1.3).

37. Gaps and/or inconsistencies identified in the national legal framework should be drawn to the attention of the public authorities and the latter should be encouraged to fill them in line with international law and locally and internationally accepted principles and standards (‘c’ on Fig 1.3).



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Fig 1.3 How appropriate international human rights and humanitarian law can be used to fill potential gaps in national law

International law

b c

Time

a

38. International humanitarian and human rights law provides the normative framework and should ideally be translated into national legislation. In principle, the norm providing the greatest degree of protection should be applied, be it national or international law. If national legislation gives less protection than international law, humanitarian agencies must apply international law.

39. International law includes the following:

• international human rights law, such as the International Bill of Human Rights consisting of the Universal Declaration of Human Rights, the International Covenant on Economic, Social and Cultural Rights, and the International Covenant on Civil and Political Rights and its two Optional Protocols. The International Bill of Human Rights provides for the security of the person, privacy, peaceful enjoyment of possession, and adequate housing

• international humanitarian law, such as the Geneva Conventions and its additional protocols, which provide for the protection of civilians in time of war and the protection of victims of international and non-international armed conflicts

• regional law, such as the African Charter on Human and People’s Rights, which includes the right to property

• refugee law, such as the 1951 United Nations Convention Relating to the Status of Refugees, including Article 21, on treatment of refugees.

40. As coordination tools, the legal framework, as well as



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principles and standards:

• provide guidance to stakeholders on how the affected population will be assisted

• ensure that equitable support is provided, taking account of ethnicity, gender, age and all causes of vulnerability

• facilitate communication with other stakeholders, including governments.

41. Legal frameworks, principles and standards must be:

• appropriate to the situation and to all stakeholders

• agreed among all stakeholders

• achievable with available capacity and materials.

42. Principles and standards of response will need to be agreed with local community, government and international community. They must be consistent with the legal framework (see Fig 1.4).



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Fig 1.4 The relationship between laws, principles and standards

Hard law

Soft law

A means to agree amongstrelevant stakeholders on

how to apply laws andprinciples

1.4.2 Soft law: international guiding principles

43. This section provides an overview of the principles most relevant to transitional settlement and reconstruction following disaster, including the full list of transitional reconstruction and settlement principles (of which an abbreviated list is to be found on the inside cover).

44. Principles provide practical normative guidance as to how the affected population will be assisted. They should be agreed amongst all stakeholders, including the affected population, local civil society and NGOs, the international community, and the government. They should also be complementary to and consistent with the legal framework. The options chosen by the affected population should be supported where they are safe and appropriate, and principles assist in making these decisions.

45. Principles relevant to shelter after natural disasters and



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complex emergencies are generally consistent with each other, clearly expressed, and easily translated. But they do not provide detailed coverage of the shelter needs of all those affected by disaster. The relevant documents are described below.

46. Guiding Principles on Internal Displacement (UN/OCHA, 2004, also called Deng’s Principles): the Guiding Principles describe the rights of the internally displaced at all stages of their displacement, right up to their safe return or resettlement, and also cover the prevention of displacement. Although not legally binding, the principles are based on binding law and provide valuable practical guidance for governments, authorities, intergovernmental organizations and NGOs in their work with the internally displaced. The principles do not contain specific guidance on implementing shelter.

47. The Pinheiro Principles (COHRE, 2007): the Pinheiro principles are designed to provide practical guidance to States, UN agencies and the broader international community on how best to address the complex legal and technical issues surrounding housing, land and property restitution. The Principles provide a consolidated and universal approach to dealing effectively with outstanding housing and property restitution claims and are grounded firmly within existing international human rights and humanitarian law. They provide a normative basis on which to build interventions, but contain no specific guidance on implementing shelter strategies.

1.4.3 Transitional reconstruction and settlement principles

48. The sector principles presented here are a more detailed version of those found on the inside front cover of these guidelines. The suggested indicators are intended to ensure general adherence to the principles and will have to be adapted to local circumstances.

Principle 1. Understand the roles and resources of the affected community

49. The first and main effort in responding to an emergency is always that of the affected community, which includes survivors, their friends and their families. They should be supported in their responses when these are appropriate and safe. The response strategy (Principle 2) provides an understanding of appropriateness, while assessment (Principle 3) provides an understanding of what is safe.

COHRE, 2007

UN/OCHA,

2004



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Suggested indicators

• Representatives of the affected population should be immediately and consistently involved in discussions on the elaboration of the response strategy.

• Assessments of resources and needs in the affected population should be undertaken, to identify vulnerable individuals and groups.

Principle 2. Coordinate development of a strategy for response

50. Effective coordination is required to ensure an adequate and coherent response as well as continuity, accountability and transparency. Coordination between governmental and international stakeholders must be based on a consensus strategy, developed and maintained with the participation of the affected population and local government, through any displacement until reconstruction is complete, providing a durable solution to their shelter needs. The strategy must be consistent with international and national law, and with standards and principles agreed among stakeholders, to ensure that assisting groups respond to the needs of the affected population.


• The strategy must support all affected individuals (regardless of whether or not they owned land or property).

• Local and national governments in affected countries begin to coordinate response before international assistance arrives and should be supported on request.

• Coordinated integration of transitional settlement and reconstruction programmes with other sectors, such as health, water and sanitation, is vital.

• Principles and standards of assistance should be shared and agreed with all stakeholders.

• Information campaigns should be run with content agreed among stakeholders.

• If local authorities do not have the necessary capacity, appropriate support should be offered by the international community in a coordinated, consistent and coherent manner.

• Whenever needed, sectoral and inter-sectoral coordination mechanisms should engage in advocacy with the government, in order to achieve the political will essential



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for the implementation of the response.

Principle 3. Maintain continuous assessment of resources, risks and capacities

51. A significant barrier to appropriate action is uncoordinated and late assessment that is not followed through with monitoring and evaluation. Assessment should cover: the resources, needs and priorities of affected and host populations; the combination of risks from hazards and environmental management; and the capacities of government, construction industry and humanitarian aid agencies.


• The assessment process itself should be as inclusive as possible, to ensure accuracy, with wide participation and ownership of the assessment and its results.

• Assessment should take into account the different needs of the affected population, including women, girls, boys and men, the elderly and disabled persons. They must all have appropriate access to aid provision including support for livelihoods, education and recreation.

• Care should also be taken to prevent discrimination in the assistance provided to owners, tenants and informal settlers.

Principle 4. Avoid relocation or resettlement unless it is essential for reasons of safety

52. Whenever it is safe to do so, enabling affected households to remain on-site minimises problems arising from any changes in land use and tenure. Remaining at home or close to home enables survivors to support themselves and recover their livelihoods. Relocation must always be voluntary.


• If evacuation is necessary to avoid risk due to physical hazards, advocacy may be required to ensure that the rights of relocating populations are respected.

• If evacuation is necessary, the reasons must be explained clearly to the affected population in order to persuade them to relocate voluntarily.

• Preparations must include the duration of the relocation and long-term solutions.

See Toolkit 5.1 ‘Government and international coordination’

IASC, 2006



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Principle 5. Minimise duration and distance of displacement

53. If displacement is essential for reasons of safety, the displaced population should be supported to minimise the distance and duration of the displacement. Populations displaced by natural disasters usually remain displaced long after it is safe for them to return, because of capacity and resource constraints.


• Camps and collective centres, which have several serious disadvantages, are often built despite the fact that following natural disaster they are very rarely an appropriate solution.

Principle 6. Support transitional reconstruction and settlement for all those affected

54. Support must be offered to all affected persons, regardless of whether or not they are land or property owners, and including host families. Assisting groups should identify and monitor major problems facing the response so that the needs of all affected persons can be met, including those who settle in a new location. The affected population should be informed and involved throughout the development of the response strategy and its implementation. Programme planning should maximise the opportunities for the affected population to begin to regain their livelihoods.


• The aim is to rebuild entire communities, so reconstruction must include the infrastructure required for a community to function.

• Reconstruction must begin as soon as possible when appropriate and safe, and for all those affected, including tenants, informal owner-occupiers and those living in apartments.

• A coordination body and preliminary plans for reconstruction of rural and urban communities should be prepared, on which to base all implementation programmes as outlined in Principle 2.

• All stakeholders should be informed of and given the opportunity to be involved in the development of plans.

Principle 7. Ensure rights and secure tenure for all those affected

55. The main barriers to achieving durable solutions are usually

UN/OCHA,

2004



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related to the need for land rights and secure tenure for all those affected. Capacity must be supported in generating appropriate emergency legal measures in order to support transitional reconstruction and its financing. The international community should promote and protect the right to housing, land and property restitution, as well as the right to voluntary return in safety and dignity.


• Advocacy efforts are often required to ensure that secure tenure is established for all those affected by the disaster.

• An appropriate reconstruction strategy must include programmes for tenants and informal settlers as well as owners.

• Ways of accrediting informal local tenure methods should be considered, and support designed around them.

• Post-disaster spatial, urban and village planning, together with environmental assessments, must be integrated to the wider response strategy.

Principle 8. Allow access to finance

56. One of the most important components of a post-disaster shelter programme is its financing system. The methods used to provide finance for communities to recover their homes and livelihoods should be based on the assessment of needs, capacities and resources available. The most appropriate financing method should be selected after careful assessment, and include support to those who are not owner-occupiers.


• Cash disbursements to displaced families and their hosts are often an appropriate response where markets are functioning.

• Recognition of personal finance issues of the affected population, including personal indebtedness, is essential to ensuring appropriate financing.

• Distributions of materials and cash are best made in instalments, with monitoring of usage.

• A monitoring programme should be in place to implement phased disbursement.

• Jump-starting disaster-affected settlements may entail grant funds, often in kind and in cash rather than via loans.



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• If loans are used, the ability to service them is essential.

Principle 9. Introduce risk management measures

57. Disasters often offer opportunities to reduce the risk of future disasters, by beginning the process of improving protection and mitigation measures. The result of risk management efforts should be that communities manage their own risks better.


• Risk management measures need to be a sustainable mixture of site selection, zoning and planning, building codes, training and certification, incentive and conditions of credit and insurance, construction methods and materials, and upgrading policies.

• Government should be supported in improving site selection, land-use planning, hazard-resistant building methods and building regulations.

• The construction of evacuation centres and the development of plans linked locally to early warning systems should be supported, where relevant. Infrastructure and provisions for the evacuation of the alerted population should be put in place.

Principle 10. Undertake contingency planning

58. Contingency planning is a forward planning process, in which scenarios and objectives are agreed, managerial and technical actions defined, and potential response systems put in place to prevent, or better respond to, an emergency situation. Contingency planning should be participatory, in order to maximise the benefits of the planning process.


• Governments should be supported where necessary in the development and maintenance of contingency plans and the capacity required to implement them.

• Contingency planning processes should be regularly tested through exercises.

• Participants in a contingency planning process ideally include all those who will be involved in responding to a crisis.

• Contingency planning should include a procurement strategy based on knowledge of local and regional markets



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and capacities. Pre-positioning materials is very expensive and often unsustainable.

• It is important to support governments in the development and maintenance of contingency plans and the capacity required to implement them.

1.4.4 Soft law: international guiding standards

59. This section presents the agreed standards most relevant to transitional settlement and reconstruction following disaster. Standards of response provide benchmarks, often quantitative, against which the response can be measured, and which link national and international law to operational good practice.

60. Standards of response consistent with the legal framework and principles will need to be agreed with local community, government and international community.

61. The agreed standards will need to be validated with donors.

62. Standards provide locally agreed benchmarks for assistance through which humanitarian response can be monitored and evaluated.

63. Internationally agreed standards may be relevant to specific situations, but always require adjustment to local circumstances and agreement by all stakeholders.

64. Existing standards are not comprehensive and currently focus on collective centres and planned camps. They are sometimes applied to other transitional settlement and reconstruction options.

Standards and indicators published by The Sphere Project and UNHCR

65. Two leading texts currently provide standards for the response of the international community and aid organisations in humanitarian emergencies..

66. Humanitarian Charter and Minimum Standards in Disaster Response (The Sphere Project, 2004): integrates the standards common to all sectors for a coordinated disaster response. The aim is to guide and inform decisions at all levels of response in a humanitarian emergency, to improve the quality of assistance, and to enhance the accountability of implementing agencies to both beneficiaries and programme donors.

The Sphere

Project, 2004



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67. Handbook for Emergencies (UNHCR, 2007): includes practical guidance notes and checklists. The handbook provides guidance for the provision of protection to those covered by the mandate of UNHCR, and aims to meet the shelter-related and settlement-related needs of persons who are of concern to UNHCR. The emphasis is on collective centres and planned camps.

68. The Sphere Project and UNHCR use the term 'standard' in different ways. Standards in the ‘Humanitarian Charter and Minimum Standards in Disaster Response’ are qualitative in form and universally applicable to all operational environments. Indicators are qualitative or quantitative tools for measuring the appropriateness and impact of applied standards. Meeting one indicator does not translate into meeting the Minimum Standard. In the UNHCR ‘Handbook for Emergencies’, standards are determined by the UNHCR, governments and partners, and are often quantitative in form.

69. The tables on the following pages show the quantified standards and indicators on camp planning contained in ‘Humanitarian Charter and Minimum Standards in Disaster Response’ (The Sphere Project, 2004) and ‘Handbook for Emergencies’ (UNHCR, 2007).

Space required The Sphere Project (2004) indicators

UNHCR (2007) standards

Minimum surface area of camp per person

45 m2 including infrastructure (pp.216-217)

45 m2 per person recommended (including garden). Should not be less than 30 m2 per person (p.210)

Minimum covered floor area per person

At least 3.5 m2 except in extreme circumstances (pp. 219–220)

3.5 m2 in warm climate 4.5– 5.5 m2 in cold climate or urban situations, including kitchen and bathing facilities (p.221)

Fire break The Sphere Project (2004) indicators


Minimum distance between buildings

The planning guidance of 45 m2 per person includes firebreaks (p.217)

Minimum twice structure height,

3-4 times structure height if highly flammable (p.219)

Minimum distance between blocks of clusters of dwellings

30 m per built-up 300 m (p.219)

UNHCR,

2007



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Water supply The Sphere Project (2004) indicators


Minimum quantity of water available (litres per person per day)

15 (p.63)

15–20 (p.549)

(tables continued overleaf)

People per tap-stand (1)

maximum 250 (p.65) 1 tap per 200 people not further than 100 m from user accommodations (p.549)

Distance from dwellings to taps

maximum 500m (p.63) maximum 100 m or a few minutes’ walk (p.219)

1 The Sphere Project elaborates: people per 16.6 litres per minute (lpm) hand-pump = 500 max; people per 12.5 lpm well = 400 max; people sharing 1 washbasin = 100 max (pp.65, 69).

Sanitation The Sphere Project (2004) indicators


Maximum people per latrine

20 people (if sex-segregated public toilets) (pp.71–72)

in order of preference:

(1) family (5–10 people)

(2) 20 people

(p.549)

Distance from dwelling to toilet (sited to pose minimum threats to users especially at night)

maximum 50 m (p.71) 6–50 m (p.549)

Minimum distance between latrines and soak-aways and ground-water source

(2)

30 m (p.74) 30 m (p.269)

Distance from bottom of pit to water table

minimum 1.5 m (p.74) minimum 1.5 m (p.269)

2 Distances may be increased for fissured rock limestone, reduced for fine soil, (p.75).

Refuse The Sphere Project (2004) indicators


Distance from dwellings to refuse disposal

<100 m to communal pit (p.83)

People per 100-litre refuse container

maximum 10 families (p.83)

50 (p.549)

People per 2 m x 5 m x 2 m communal refuse pit

500 (p.549)



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2

Strategic planning



This chapter describes the role and main activities of strategic planning, as a key part of coordination. Maintaining a strategy is required to ensure a coordinated, appropriate and sustainable response to the needs of the entire affected population. Strategic planning is a continual process, ensuring that the strategy remains an accurate reflection of consensus in rapidly changing contexts. Strategies must be understood and agreed by the affected population, and by all government, national and international stakeholders at both local and national levels.

Chapter 2 actions

The following actions, listed chronologically, may form a valuable checklist when developing a strategic plan.

a. Form a team by identifying representative stakeholders able to initiate, develop and maintain a plan through to completion

b. Agree objectives with stakeholders

c. Agree the steps that will be required to achieve the strategic

plan

d. Inform all stakeholders or their representatives of the

development of the strategic plan, or ensure their participation

e. Initiate assessment, after identifying focal points for

assessment

f. Monitor progress of each activity

g. Evaluate strategic plan results against objectives.

Chapter

2 A strategic plan (chapter 2), developed and maintained as part of a coordinated response (chapter 1), provides comprehensive and integrated support for the entire affected population from disaster, through transitional reconstruction (chapter 3) and transitional settlement activities (chapter 4), to durable solutions for all those affected.



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70. Coordination depends on all stakeholders agreeing on a plan and implementing it. The strategic plan outlines the national strategy for response, and hence describes the government’s role as well as that of all other stakeholders.

71. The strategic plan is an active document, which is developed over time. The strategy must cover the entire response, from disaster until durable solutions are reached, with reconstruction occurring at the same time as sheltering activities. The document must also change to meet changing circumstances.

72. developing and maintaining the strategic planning document is part of the objective of coordination.

73. This section offers a checklist of activities for developing a strategic plan, describing the function of these activities within such a plan. The activities presented in this chapter may be used to guide the development and implementation of a strategic plan, and may also inform the structure of the planning document itself, acting as a template, which can be used as the basis for developing a plan in operations.

74. A strategic plan underpins the entire response. An initial strategic plan, based on the activities outlined in this chapter, may be agreed within hours in support of first response. It is a proposal for other stakeholders to react to and build upon, which may be based initially upon the checklist presented in this chapter. On completion of the initial document, it should be presented to the wider stakeholder group and maintained and updated as an active document.

75. Technical specialists should propose strategy to coordinators – the preliminary strategy should be led by a technical specialist, and the strategy developed over time as more capacity and information arrives.

76. The preliminary strategy may not be quantified, but as detail is added, quantification of indicators and deliverables should be added.

77. The strategy needs to be phased. The preliminary strategy covers the immediate steps required, and the strategy as it is developed includes identification of the steps required in each phase of response.

78. If suitable contingency plans are in place, they should be consulted, updated, and used to form the basis of the response. Later, further detail should be added based on consensus and



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assessment. The strategic plan is a working document, continually reviewed and revised (see Figure 2.1).

Fig 2.1 Development of strategy over time through continuous assessment, monitoring, evaluation

79. Developing a strategic plan ensures that the needs of the affected population guide the response to a disaster, from immediate survival – including protection from the environment and disease – to the rebuilding of communities and livelihoods. The local population will begin responding to the disaster before any outside assistance arrives, and their response should be supported when it is safe and appropriate

80. Developing a strategic plan also enables a coordinated and comprehensive response to a disaster, involving all stakeholders. The strategic plan outlined in this chapter is consistent with and can be used to support wider strategic planning processes, including the Common Humanitarian Action Plan. An adequate response must link effectively with other sectors, such as health. Sector and/or cluster strategies will be integrated within the wider coordination mechanisms in place in each country.

81. National government bears ultimate responsibility for the coordination of all stakeholders in shelter response after natural disaster.

82. The international community aims to fill any gaps in the government’s coordination body, but may need to set up a separate coordination body (see Fig 1.2).

83. Beneath the responsible governmental coordination mechanism, there will be other formal and informal coordination


See Toolkit 5.2 ‘Community participation’



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mechanisms:

• local and provincial government coordination mechanisms, including planning authorities, housing authorities, and works departments

• community coordination mechanisms, including community leaders, Community Based Organisations (CBOs) and Local Non-Governmental Organisations (LNGOs)

• international humanitarian community coordination mechanisms, including under the United Nations resident representative and through sectors of operation, such as for shelter after disaster

• International Financial Institutions (IFIs), such as the World Bank and regional development banks, coordinate post-disaster financing

• governmental donor agencies directly fund implementing agencies.

84. The strategic plan is a tool for ensuring a coordinated response among stakeholders from each of these coordination mechanisms, under the overall leadership of the national government. Coordination is a service to stakeholders. It enables those who become involved at different stages to understand what has occurred, what is being done, and the likely course of events.

85. As well as bringing together and stakeholders, the strategic plan is a tool for information management as it forms part of the process of obtaining and communicating information (for example, on pre-disaster demographics, the construction industry, and national law, and on post-disaster demographics and access).

86. The activities included in the strategic plan should be quantified where possible (additional information can be added during the response) They should be implemented in a phase

manner, with some steps taking place immediately.

87. The plan includes handover activities. It is essential that donors, humanitarian aid agencies and the government know what the exit strategy consists of, and the limits of responsibility.

Opportunities and threats in strategic planning

88. An integrated strategic plan can be used to ensure that efforts are combined across all stakeholders in all sectors in a coherent way.

89. A strategic plan ensures that all those involved understand



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their rights and responsibilities as well as the agreed course of action. It therefore increases the likelihood that resettlement and reconstruction proceed according to the needs of the affected population.

90. However, a strategic plan also makes it possible that expectations are raised inappropriately among the affected population, and care must be taken over realistic, consistent and timely communication.

91. The risk is that once the initial plan is agreed on, there is a decreased desire to consult stakeholders. In order to be effective, the plan must be constantly updated and improved with the participation of all stakeholders.

92. The strategic plan requires continual elaboration and amendment through consensus. The activities are not listed in a hierarchical or chronological order, and in most cases will require repetition over the strategic planning life cycle (see Fig 2.2, overleaf).


93. The activities described within the strategic plan are interdependent. They cannot be carried out in isolation. They are concurrent and incremental.

94. The rest of the chapter elaborates on the planning process, activity by activity. For each activity this will involve:

• a brief explanation of the purpose of the activity

• ways of achieving agreement on each activity among stakeholders.

• A checklist of deliverables. The checklists may be collated to form the table of contents of the planning document itself



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Fig 2.2 Suggested activities to inform the development of a strategic plan

2.2.1 Activity 1. Strategic planning objectives

Achieving consensus over the desired end state.

Purpose

95. To express the intended outcome for the population affected by the disaster as well as host populations, taking into account their livelihoods and the need for communal service infrastructure, and ensuring support to the vulnerable.

96. To bring stakeholders together to agree on the main points of the post-disaster situation and collective objectives.

97. To identify the specific strategic objectives for both government and humanitarian aid agencies.



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Achieving agreement on the strategic planning objectives

98. A collective statement should be drafted by stakeholders on what the response aims to achieve, in order to gain consensus over the desired end state. This should cover the scope and main content of the transitional settlement and reconstruction strategy up to and including handover.

99. The strategic planning objectives will include summaries of:

• who the main affected stakeholders are

• who the main assisting stakeholders are

• who should participate in the planning process

• the desired end state, including vulnerability reduction

• a time frame

• situation-specific concerns

• how the transitional settlement and reconstruction strategy fits into the wider strategic plan.

100. Agreeing the objectives requires discussion with all relevant stakeholders, particularly the affected population. While it may be impractical to involve representatives from all stakeholder groups in all levels of planning, their guidance should be sought, and informal committees may be maintained for relevant discussion.

101. Agreement needs to be reached on a useful role for international humanitarian aid organisations. The focus should be on the most vulnerable members of the affected population who are not covered by the government’s response strategy.

102. Indicators to warn if objectives are not being met, acting as ‘tripwires’, should be agreed on by all stakeholders. Equally important is for stakeholders to commit to modifying the programme if required. Indicators should be relevant to each phase of the response. for example, in the emergency phase, one indicator might be the prevalence of acute respiratory infections in the affected population. In the recovery phase, an indicator might be percentage of affected population receiving support.



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Checklist for strategic planning objectives, requiring revision and updating

a. list strategic planning objectives

b. list main activities required to reach the objectives

c. describe and allocate main roles

d. draw up a schedule for achieving the strategic objectives

e. further checklist points agreed within strategic planning group

2.2.2 Activity 2 Coordination plan

Establishing inter-sectoral coordination.

Purpose

103. To ensure that all the coordination mechanisms and levels of coordination are comprehensive, and are themselves coordinated to provide unbiased, timely and implementation-oriented services and tools.

104. To serve all stakeholders in supporting the strategic planning objectives equitably and in a timely manner.

105. To ensure that agreement is reached on focal points and their responsibilities, and to communicate this information, with contact details, among those who need to know.

106. To understand and map the government’s contribution to achieving the strategic planning objectives, its capacity to do so, and the processes it will employ.

107. To define the role and contribution of humanitarian aid organisations in achieving the strategic planning objectives, in support of and consistent with the government’s role.

Achieving agreement on the coordination plan

108. Agreeing on effective operational coordination mechanisms enables all stakeholders to communicate with each other, including the formal and informal coordination mechanisms of communities, governments, and humanitarian actors.




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109. Each of these coordination mechanisms changes over each phase of the operation. The changes may not be recognised by other coordinating mechanisms and attention is needed to support effective handovers.

110. Agreeing on a coordination plan avoids one of the most common threats to an effective response, which is the existence of gaps in coordination between governmental, international and the local community coordination mechanisms.

111. Coordination meetings among stakeholders should include discussions that enable humanitarian stakeholders to understand the government’s contribution to the response, its capacity and processes. On this bases, the role of humanitarian aid organisations should can be agreed. The objective of humanitarian aid agencies is to complement government and civil society efforts in achieving the strategic planning objectives.

112. Gaps should be identified and ways of filling them agreed to. For example, if the government strategy provides limited coverage, one of the aims of coordination should be to identify those not covered and ways of supporting them.

113. A public information plan should be developed, involving government, local and international stakeholders. The aim is to build a productive relationship with local and international media in order to engage the public and provide accurate and realistic technical advice and information on matters such as their rights, what to expect from the response, mechanisms for land tenure dispute arbitration, housing safety, and compensation. Imaginative use of mass media, such as radio dramas incorporating information, may be used to engage the interest of the public.

http://www. humanitarian reform.org



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Checklist for a coordination plan, requiring revision and updating

a. list required participants in coordination bodies

b. secure commitments from stakeholders to respond to needs, fill gaps, ensure an appropriate distribution of responsibilities within the coordination body, with clearly defined focal points for specific issues where necessary

c. ensure that sectoral coordination mechanisms are adapted over time to reflect the capacities of local actors and the engagement of development partners

d. map government’s role in the response

e. budget for the coordination plan

f. define the role of humanitarian aid agencies against the government’s role

g. further checklist points agreed within strategic planning group

2.2.3 Activity 3. Critical path analysis

Summarising resolved, outstanding and predicted opportunities and barriers, based upon likely scenarios.

Purpose

114. To identify and describe the main barriers and opportunities facing the response so that the required measures can be taken to achieve the strategic planning objectives.

Achieving agreement on critical path analysis

115. Meeting all relevant stakeholders, from national government to local community, enables the group to list the main physical, operational or institutional opportunities and barriers to achieving the strategic objectives, including such factors as physical access, capacity, land rights, and weather.

116. Each barrier or opportunity identified requires the following:

• discussion of its likely impacts

• quantifiable indicators as to whether the situation is improving or worsening

Corsellis & Vitale, 2005



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• what has been done about it?

• what can be done about it?

Checklist for a critical path analysis, requiring revision and updating

a. list the main predicted barriers to achieving the strategic objectives

b. list what can be done about each

c. draw up a schedule for overcoming each

d. further checklist points agreed within strategic planning group

2.2.4 Activity 4. Transitional reconstruction and settlement plan

Deciding which transitional reconstruction and settlement options will be supported and how; standards of response.

Purpose

117. To detail the activities required to achieve the desired end state outlined in the strategic planning objectives.

118. To define the standards that will be needed.

Achieving agreement on the transitional reconstruction and settlement plan

119. The transitional settlement and reconstruction plan requires stakeholders to agree on:

• which transitional settlement options to support, how to support them, and for how long

• how to support the relevant reconstruction activities.

120. Transitional settlement and reconstruction activities occur concurrently, within the same strategy (see Figure 2.3).

See Activity 1 ‘Strategic planning objectives’

See Chapter 3 ‘Transitional reconstruction: non-displaced populations’

See Chapter 4 ‘Transitional settlement: displaced populations’



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Fig 2.3 Transitional reconstruction and settlement activities occur concurrently within the same strategy

121. Determining which transitional settlement or reconstruction choices affected populations have already made, and why, allows a decision to be made on how to support them. This process also entails deciding whether additional options will be required and how would these need to change over time.

122. Stakeholders should agree on the appropriate level of support for each of the transitional settlement and reconstruction programmes, defined through principles and standards. The appropriate level of support for each level of support means the size and nature of the shelter offered, and the quantity and value of materials or assistance offered. It is important to provide



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equivalent support over each option accepted within the plan

123. It is necessary to recognise the diversity of needs within the affected population and the responses required, by using vulnerability criteria in principles and standards. Support should be offered to address the most urgent needs first in the most effective way. Families and communities will have been affected differently and require different types and levels of support in the phases of their recovery.

124. It is essential that each transitional shelter programme follows the same or equivalent operational procedures, so that each programme contributes to the strategic/national programme, and so that each family affected receives equitable support.

Checklist for transitional reconstruction and settlement plan, requiring revision and updating

a. decide on the appropriate support by government local and international communities

b. agree the appropriate level of support for each of the transitional settlement and reconstruction programmes, defined through principles and standards

c. further checklist points agreed within strategic planning group

2.2.5 Activity 5. Resource plan

Determining means of obtaining the required resources

Purpose

125. To identify what resources are available, and where they are. To understand how the funding, materials and capacity required to achieve the strategic planning objectives will be obtained, stored, and distributed.

Achieving agreement on the resource plan

126. An effective resource plan enables stakeholders to ensure that the right resources are available at the right time. It requires planning for different phases to exploit capacity to best effect, and managing resources.

127. Agreeing on a resource plan avoids two of the most common threats to an effective response, which are the



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overexploitation of resources, and underestimation of the funding and capacity required (human, machine and environmental capacity) to achieve the strategic planning objectives.

128. Funding. The resource plan identifies funding requirements and sources. Appeals to donors may be consolidated among implementing agencies as part of the coordination service, and use the information collected as part of the strategic planning process, including assessments, identification of roles and responsibilities, and the monitoring of progress and impact.

129. The resource plan is a coordination activity because it is crucial to coordinate the process of obtaining funds. Financial tracking identifies and monitors resource needs in evolving situations, tracking the timeliness of donor response to urgent needs.

130. With a view to rebuilding entire communities, resources are required for shared infrastructure as well as all types of housing, including apartment buildings, and for all beneficiaries, including tenants.

131. Materials. The resource plan identifies mechanisms for accessing local, regional or international stockpiles, including what can be obtained from each, how much can be obtained from each, and what materials will require additional funding. Recycling of materials is an important activity, as re-using construction materials such as bricks and wood from among damaged and destroyed houses often provides an environmentally sustainable source or may be the only source of much-needed materials for such essential activities as construction, landfill or road building. The work required to sort and make usable construction items needs to be planned for: who will carry out the work, when and with what resources?

132. Capacity. The resource plan identifies gaps in capacity and how to fill them. Capacity includes physical capacity, machinery (such as the heavy machinery required to clear heavy debris, construct roads or destroy damaged buildings), and environmental capacity (the capacity of local environment to support resource needs). The resource plan identifies means of building capacity. Some examples are given below:

• physical capacity may have to be brought in from outside

• skills training, such as through training of trainers, can also be an effective way to build physical capacity, but the time that this requires needs to be planned for.

• plants can be built to produce construction materials. For



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example, locally produced mud bricks may be useful in the recovery phase, and may be needed for large-scale reconstruction in the longer-term and will need to be planned for.

Checklist for a resource plan, requiring revision and updating

a. list funding requirements

b. identify relevant donors and processes to obtain funding

c. submit of appeals

d. list stockpiles of materials and mechanisms for obtaining them when required

e. draw up a schedule for meeting major resource needs

f. identify budget and capacity

g. identified gaps in capacity

h. identify and list appropriate means of capacity building

i. schedule capacity-building activities, following the overall schedule for implementation

j. further checklist points agreed within strategic planning group

2.2.6 Activity 6. Schedule for implementation

Defining how the main bottlenecks in implementation will be overcome, when each activity will take place, when strategic reviews will take place, and which indicators will be used.

Purpose

133. To ensure that all stakeholders understand which major activities must be undertaken in which phase of the operation. The schedule for implementation includes the activities required to overcome the key barriers identified in Activity 3, such as the onset of winter or monsoon season, or floodwaters subsiding.

134. To maximise the opportunity for diversity of response while also maximising equity of response, culturally appropriate design, low-maintenance facilities, and the sustainability of their maintenance.

Overcoming barriers identified in Activity 3 ‘Critical path analysis’



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Achieving agreement on the schedule for implementation

135. Schedules of works or Gantt charts should be developed and maintained through a consensus process, and include the main tasks to be undertaken to achieve the strategic planning objectives.

136. Developing and using the schedule for implementation involves a continuous process of:

• mapping where the affected population is located, which transitional settlement and reconstruction options they are in, whether they can be adequately supported where they are, and how they are moving within options

• mapping where the response capacity is, and its scale, recognising and supporting local capacities and resources

• ensuring that geographical and social coverage is complete

• monitoring and evaluating participation levels and the cultural and technical appropriateness of programmes.

Checklist for a schedule for implementation, requiring revision and updating

a. draw up a timeline or Gantt chart

b. map critical paths in implementation

c. map milestones in each of the other activities of the plan

d. list major events such as monsoon season or winter

e. map scenarios and indicators

f. identify who does what, where

g. map coverage

h. further checklist points agreed within strategic planning group

2.2.7 Activity 7. Participation plan

Agreeing how affected and host populations will be engaged.

Purpose

137. To identify the most important relationships and support them, exploiting the opportunities they provide to resolve problems

See Toolkit 5.2 ‘Community participation’



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before they become critical.

138. To ensure that all stakeholders understand their role and representation in strategic planning and implementation.

139. To ensure that coordinators are offering appropriate and sufficient services to stakeholders to support lasting relationships between stakeholder groups, which are required to meet strategic planning objectives.

140. To ensure that the strategic planning objectives agreed express accurately the needs of affected populations who are the primary actors in the recovery of their own livelihoods.

Achieving agreement on the participation plan

141. A participation plan explains how affected and host populations will be engaged, including marginalised groups (for example, disabled persons, ethnic minorities, women and children): their participation in decision-making, communication routes, strategic plan development, training workshops, and implementation.

142. Establishing effective participation is essential to effective implementation. Participating groups which are core to implementation, as well as planning, include local government and community leaders, civil defence, and community-based organisations.

143. Participation should involve as many stakeholders as possible, not only the affected population. Wherever possible, participation mechanisms should be based upon existing mechanisms that support representation and engagement within and between affected communities and other stakeholder groups. Care should be taken not to disrupt the original functioning of these mechanisms. They may include:

• community based organisations

• formal and informal conflict resolution systems

• workshops

• formal and informal community committees

• assessment, monitoring and evaluation processes

• public media.

ODI.org

UNHCR,

2006



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Checklist for a participation plan, requiring revision and updating

a. list required participants

b. list activities making up the participation plan

c. describe and allocate of roles

d. list the mechanisms required to achieve the participation plan

e. draw up a schedule achieving the participation plan

f. further checklist points agreed within strategic planning group

2.2.8 Activity 8. Assessment, monitoring and evaluation

Undertaking continuous assessment, monitoring and evaluation to inform the strategic plan.

Purpose

144. To ensure that the response is appropriate to needs and circumstances, consistent with the agreed strategic planning objectives (Activity 1).

Achieving agreement on assessment, monitoring and evaluation

145. The assessment process requires the involvement of as many stakeholders as possible, makes reference to existing plans and profiles, takes into account people’s livelihoods, and identifies the capacities and resources available.

146. People who are able to collect information from all groups in the affected population in a culturally acceptable manner should be included in assessment teams, especially with regard to gender and language skills. Local cultural practices may require that women or minority groups be consulted separately by individuals who are culturally acceptable.

147. Local capacities and strategies to cope with the disaster, both those of the affected population and the surrounding population, should be identified. Remittances from relatives living abroad usually increase in times of crisis and directly contribute to household income. For example, in the months following the 2004 tsunami the Sri Lankan Central Bank recorded a substantial increase in remittances. Increasing remittance flows in Bangladesh

The Sphere

Project, 2004

Roche, 1999

See Toolkit 5.3 ‘Assessing damage and needs and resources of the affected population ’



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have become a key element in the economy’s resilience to monsoon floods.

148. Experts may be required to support gaps in capacity, for example in damage assessment, or in housing, land and tenure issues.

149. Assessment leads to an understanding of the immediate priorities of the affected population, and accurate updating of the operation. The continuous process requires monitoring and evaluation, including indicators with feedback that allow alterations to plans to fit the changing reality. Coordination and cooperation in this process will:

• increase the relevance and accuracy of criteria and methods

• maximise use of the available capacity of stakeholders

• broaden acceptance among stakeholders of the results

• form a basis for coordination and cooperation between stakeholders, including the affected population.

150. Assessment informs the development and continual updating of scenarios (see Activity 3), as well as providing information on when a move between scenarios is occurring, allowing alteration of operations to fit.

151. Consistent assessment, monitoring and evaluation should be coordinated with other assessment efforts. Effective assessment allows indicators from other sectors, such as health, to be fed into the transitional settlement and reconstruction plan.

152. Information should be sought using the resources available. A variety of tools should be used, based on research, observation, and interview.

153. There must be an initial emergency assessment, followed by consistent and comprehensive assessment, monitoring and evaluation which use the emergency assessment as baseline data on which to build. Each assessment is vital, and each requires different capacities.

Emergency assessment considers:

• risk, such as the identification of hazards and hazard mapping

• population and demographics, including the needs, location and number of those affected.

IFRC, 2005

Assessments inform Activity 3 ‘Scenarios’



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• damage, including the scale, degree and form of damage to both housing and infrastructure

• resources, including human resources in both government and the humanitarian community, stockpiles, construction capacity, and other market capacities and potential to materials and inputs.

Monitoring and evaluation provide:

• information on the changing situation, which often involves monitoring the arrival of building materials or tents, whether these are meeting demand, and the coordination of air- and sea-heads

• continuous updating of information on population needs (including those of the most vulnerable, displaced persons and their hosts), livelihoods and protection, damage to buildings and service infrastructure, environmental resources, land use and tenure, and mapping and monitoring of risks.

Checklist for assessment, monitoring and evaluation, requiring revision and updating

a. list required assessments

b. list main activities required

c. describe and allocate roles

d. establish mechanisms for achieving the assessments

e. draw up a schedule for achieving assessments

f. budget for achieving the assessments


2.2.9 Activity 9. Scenarios

Establishing possible scenarios, from best to worst, and the most likely to occur, with indicators of progress.

Purpose

154. To develop a plan based on assumptions about future events. In order to maximise the accuracy of strategic planning, scenarios must be developed of alternative future events in order to identify potential paths towards the planning objectives.



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Achieving agreement on scenarios

155. Scenario planning builds on the assessment process and therefore involves broad input from stakeholders. It takes into account factors such as population needs, the risk environment, the economic situation, relations between host and hosted populations, security concerns, and the weather (for example, the approach of monsoons or winter). Scenario planning assists in selection of transitional settlement and reconstruction options by outlining the likely course of events. It establishes different possible scenarios, and indicators to recognize when these are occurring and changing.

157. The most likely scenario should be outlined, with an explanation of the reasons for the selection, and the assumptions made. This should be continuously updated, in light of the changing situation and new information.

158. Scenarios are altered and updated as a result of the assessment, monitoring and evaluation processes. Quantifiable indicators need to be elaborated to allow identification of which scenario is occurring and when a move from one to another is taking place. Scenario planning also includes what to do when this happens.

159. Contingency planning is usually based on scenario planning. The development of new scenarios as the situation changes allows to the contingency plan to be altered and remain accurate.

160. Scenarios developed by the national government or other coordinating mechanisms need to be integrated into the strategic plan being developed by the international community.

Checklist for scenarios, requiring revision and updating

a. map best case scenario, i.e. achievement of the strategic planning objectives

b. map worst case scenario, including existing and potential hazards

c. map most likely scenario

d. map indicators, including how they will be revised

e. as variables in the scenarios, consider hazards, climate, security and funding


IASC, 2001



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2.2.10 Activity 10. Legal plan

Understanding the existing and relevant legal framework within which the strategy will be implemented and operations will take place.

Purpose

161. To ensure that transitional settlement and reconstruction operations which aim at protecting the affected population and their hosts are taking place in line with the existing and relevant legal framework.

Achieving agreement on the legal plan

162. The legal framework should support:

• survival

• emergency coordination

• building safety through building codes

• land rights and use, through rental laws, property restitution, state requisitions, land registers and cadastres

• beneficiary selection, including definitions of vulnerability. 163. If gaps in national law, religious and customary law are exposed by the needs for disaster response, guidance should be sought in appropriate international human rights and humanitarian law on how to fill them.

164. Gaps and/or inconsistencies identified in the national legal framework should be drawn to the attention of the public authorities and the latter should be encouraged to fill them in line with international law and locally and internationally accepted principles and standards.

165. International humanitarian and human rights law provides the normative framework and should ideally be translated into national legislation. In principle, the norm providing the greatest degree of protection should be applied, be it national or international law.

166. Government should be supported, where required, in filling the gaps identified in national law. For example, international humanitarian aid agencies can provide the expertise necessary to build a comprehensive land register and writing up beneficiary lists.

Section 1.4, ‘Combining law, principles and standards’ explains these issues in more detail



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167. Principles and standards act as practical expressions of national law and international humanitarian and human rights law.

Checklist for a legal plan, requiring revision and updating

a. recognise the sovereignty of national governments and list the major legal issues likely to confront the response (checking against the scenarios)

b. determine the degree to which national law and enforcement mechanisms are likely to support the response

c. identify gaps in national law and what international human rights or humanitarian law might be used to fill the gaps

d. propose measures on this basis to government for filling any gaps in national law

e. work with government to achieve a sound legal framework, that is enforceable to support the strategy

f. disseminate the legal framework in the required languages and ensure that all stakeholders are aware of it as a basis for their actions. The framework needs to be understood and adequately supported at national and local levels


2.2.11 Activity 11. Handover plan

Summarising the limits of humanitarian intervention against Activity 1; engagement with follow-on coordination and capacity; agreeing handover deliverables, such as community and family case files.

Purpose

168. To ensure that as each coordination mechanism changes phase and responsibility throughout the operation, entire areas of responsibility are handed over, and any additional responsibilities are identified. This occurs through evaluation at the handover stage. The final purpose of the handover plan is to make sure that assistance is provided to the affected population through each phase of response up to recovery.

Achieving agreement on the handover plan

169. Successful handover involves identifying who is handing



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over to whom. Handover is required in passing responsibility for the assistance of the affected population between those responsible within the various coordination mechanisms (see Fig 2.4). Search And Rescue (SAR) teams hand over initially to government and within the humanitarian community. Case-load information about returning displaced families must be handed over from government and humanitarian agencies, supporting displacement to agencies supporting reconstruction.

Fig 2.4 Handovers occur throughout the response. Final handover takes place once strategic objectives have been achieved

Project 1

Time

Project 2

Handovers take place as responsibilities

are passed within and between stakeholdersover the course of the response

170. Handover also occurs between individuals within organisations as staff members change, and the same handover principles apply in this case as to handover between organisations.

171. Handover should be a gradual process, which allows time overlap, whereby those handing over communicate with those who will later be taking over. This requires identifying and holding discussions as early as possible with the handover parties.

172. Handover is a constant process. It is the responsibility of every individual to maintain documentation to enable immediate handover, recognising the dynamic nature of a humanitarian response.

173. The success of strategic and implementation plans is heavily compromised by lack of effective handover.

174. Final handover occurs once strategic objectives have been achieved.

175. An exit strategy needs to be identified so that donors, government, and humanitarian agencies understand the limits of



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their responsibility.

Checklist for a handover plan, requiring revision and updating

a. list the main handovers required between stakeholders throughout the process

b. list capacity, handover materials and information required for each handover

c. undertake risk analysis and risk management

d. ensure that handover plans are fed into the assessment process

e. draw up exit strategies




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3 Transitional reconstruction: non- displaced populations



3.3 The six occupancy types: strengths, weaknesses, opportunities and threats


This chapter provides guidance on supporting reconstruction for all types of occupancy, and particularly for the most vulnerable populations; and on supporting the housing, land and property rights of affected populations.

Chapter 3 actions

The following actions, listed in chronological order, may form a valuable checklist to ensure that use law, principles and standards are understood and used effectively in support of disaster response

a. Identify affected populations and engage with them to assess their needs and resources

b. Identify means of supporting affected populations, including the most vulnerable

c. Communicate with and inform stakeholders of current and likely future developments

d. Support reconstruction in a phased manner


176. This chapter focuses on support for the most vulnerable populations, such as tenants and all those with insecurity of tenure.

Chapter

3 Transitional reconstruction (chapter 3) for those not displaced, and transitional settlement of those displaced (chapter 4), take place concurrently as part of a coordinated strategy (chapter 1) which is supported by effective strategic planning (chapter 2).



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177. It also recognises the fact that the vast majority of those affected by natural disasters are not displaced. It is in people’s best interests to remain as close to home as possible. They should be supported to remain at home or close to home when it is safe and appropriate to do so.

178. Reconstruction often begins almost immediately, and it is the affected population who begin the work and shoulder most of the burden throughout the emergency and recovery phases.

179. Reconstruction and transitional settlement activities take place at the same time, as different members of the affected population are affected in varying ways and make different choices. They also often move between options over time, returning home as the hazard recedes or becoming displaced as a threat increases. For example, aftershocks or rising floodwaters may affect people who were able to remain in their homes following the initial earthquake or flood. Communities or families also often split up following a disaster, different members carrying out different activities. The strategy for the response should account for all members of the affected population and continuous monitoring of the situation is required.

180. The rights of those without formal occupancy rights, or living illegally (‘squatters’) are covered by in international human rights and humanitarian law. The international humanitarian community must support them. Advocacy with governments for recognition and improvement in their status may be necessary.

181. People returning from temporary displacement usually require support in reclaiming their homes and property. There is often no official record of their tenancy, and assisting groups should identify the relevant legal tools required to support their claims. It may be, for example, that informal owner-occupiers are supported to establish formal land tenure.

182. Governments and the international community do not generally support reconstruction of rental housing. Affected tenants will very often require support in establishing their rights to housing.

183. Support should include reconstruction of entire communities, including communal service infrastructure, such as utilities and services. This should be carried out in an integrated manner with the provision of shelter support.

184. The reconstruction process is often an opportunity to reduce vulnerability. Risk and vulnerability assessments need to be carried out, prior to reconstruction, and affected communities should be supported to manage current and future risks effectively.

See Chapter 1 ‘Strategic planning’

See Toolkit 5.7 ‘Building back better’



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185. Self-help programmes offer greatest control by affected families over reconstruction. However, careful assessment will be required to establish the level of support required in reconstruction. It may be impossible for the affected population to reconstruct their homes. Self-help programmes are also not attractive to those who occupied rental housing, if the occupiers will be reconstructing houses that they will eventually be asked to rent.

186. The same strategy should consider transitional settlement for displaced persons, and transitional reconstruction for non-displaced persons and returnees. If separate strategies are created, there is a risk that members of affected populations will be assisted by different agencies and government departments. Continuity across and within populations needs to be ensured.


187. This section provides an overview of housing occupancy types. The individual occupancy types can be grouped into the broader categories of tenant-occupancy.



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Tenants

House owner-occupier

Apartment owner-occupier

House tenant

Apartment tenant

Land tenant

Owner-occupiers

The occupier owns their house and land or is in partownership, such as when repaying a mortgage orloan land. This category includes people who owntheir properties informally and those with formalownership

Occupancy with

no legal status

Land or buildings are occupied without the explicitpermission of the owner. They often differ from otherinformal settlements only in this particular. Thiscategory includes slum dwellers

The occupant owns their apartment, a self-containedhousing unit that occupies only part of a building.This category includes people who own theirproperties informally and those with formalownership.

The house and land are rented by the occupant.This category includes people who rent theirproperties informally and those with formal tenancy.

The apartment is rented by the occupier. Thiscategory includes people who rent their propertiesinformally and those with formal tenancy.

The house is owned, but the land is rented. People inthis situation often include tenant farmers, who havewidely varying degrees of rights and security oftenure.

188. Land and housing tenure may be defined as the terms and conditions on which land and property is held, used and transacted. Informality of tenure refers to those whose tenure is



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not recorded by local or national authorities. Illegality of tenure refers to occupation of land or buildings without permission of the legal owners.

189. Often it is very difficult to establish tenure of those affected, especially when records may have been lost or destroyed, or when tenure not officially recognised prior to the disaster. It is essential that efforts are made to establish tenure for all those affected, and if necessary, to advocate for the rights of tenants and those with informal tenure.

190. Those with informal tenure include those living in slums. Around 1 billion people, or 32 per cent of the world’s urban population, live in slums, and that number is likely to have doubled by 2030. Many of those living in slums may in fact pay rent, and may have informally bought their house, and have varying degrees of security of tenure.

191. They are much less likely to be able to claim restitution from the government and humanitarian aid agencies, however, with no formal means of establishing their previous ownership or tenancy status. Advice on supporting the claim to restitution of those with informal tenure is provided in Section 3.3.

192. Many slum dwellers are squatters: people who occupy land or buildings without the explicit permission of the owner. They often differ from other informal settlements only in this particular. Worldwide, squatters are about 20 per cent of all households.

193. Following a disaster, it is vital that humanitarian aid organisations identify and support populations lacking security of tenure to achieve secure and sustainable housing solutions. This is primarily achieved through advocating with governments.

194. Those with informal tenure are often the most vulnerable when it comes to establishing the right to housing following a disaster. However, it is important to assess the impacts on all members of the affected population, as they will have been impacted differently by the disaster, independent of the type of occupancy prior to the disaster.

195. Assistance should be provided to homeless people, and care taken to distinguish between homeless people, squatters and slum dwellers during assessment. They may not be included on official lists of beneficiaries.

196. This section focuses on reconstruction in urban areas, because it is likely that the majority of those to be affected by natural disasters will be urban dwellers. More than half of the world’s population will be living in urban areas by 2008. The urban

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population of developing countries is expected to reach 50% in 2020. In many cities of developing countries more than half of the urban population lives in slums and squatter settlements. In some African cities, the figures are as high as 70 percent.

197. The rapid growth of metropolitan population, industry, infrastructure and environmental degradation increases the vulnerability to risks. Forty of the fifty fastest growing cities are in earthquake zones. The losses due to earthquakes are aggravated by rapid urban and regional development, lack of building code enforcement and poor structural design and quality of construction.

198. The proportion of owner-occupiers to tenants varies greatly between different cultures, countries and localities, and between rural and urban areas. Each group has frequently found associated advantages and disadvantages.

199. The paragraphs below summarise the advantages and disadvantages for owner-occupiers and tenants when it comes to reconstruction of livelihoods and housing following disaster. They provide a broad overview of the typical advantages and disadvantages shared by each category of occupants. In Section 3.3 a more detailed comparison of all the occupancy types is given.

200. General advantages for tenants:

• no damage to financial assets occurs, other than personal possessions

• it is easier for the affected family to relocate, if they want to. 201. General disadvantages for tenants:

• tenancy contracts are rarely available if the landlord has also been affected. Tenancy contracts are rarely recorded with authorities

• there may be no established rights for tenants

• there are very few established methods of support for tenants

• the landlord may not wish to rebuild

• only personal possessions are likely to be insured

• there are likely to be impacts on Home-Based Enterprises as home may not be reconstructed.

202. General advantages for owner-occupiers:

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• the needs of each family are relatively easy to identify and quantify

• additional records of land tenure and property deeds are often held by authorities in the case of owner-occupiers with formal tenure

• there is usually an established legal framework over rights in the case of owner-occupiers with formal tenure

• there are established methods of support

• land and property are potential assets against financial loans in the case of owner-occupiers with formal tenure

• owners may receive insurance payments in the case of owner-occupiers with formal tenure.

203. General disadvantages for owner-occupiers:

• damage occurs to a significant financial asset

• in apartments, it is difficult to restore the assets of single owners wishing to move, or reconstruct with those who remain

• there is a potential continuation of pre-existing mortgages or debts related to the property or land

• there may be impacts upon home-based enterprises.

3.3 Strengths, weaknesses, opportunities and threats of each occupancy type

204. This section presents an overview each of the types of occupancy, and then provides a summary, in the context of reconstruction after disaster, of their strengths and weaknesses, and the opportunities and threats that each entails. In comparison with the section above, it gives a detailed and comparable analysis of each of the occupancy types.

205. The obligation of external aid organisations and local authorities is to support the reconstruction of each type of occupancy in such a way as to minimise risk and maximise opportunity this may involve assisting people to change their occupancy status.

3.3.1 Occupancy with no legal status

The occupant occupies and or property without the explicit permission of the owner.



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206. Within illegal settlements there exists a range of actors from owner occupiers to tenants, subsistence landlords to absentee petty-capitalist landlords, and developers to rent agents and protection racketeers.

207. In many cases, illegal occupants are slum dwellers, living in inadequate and sometimes unsafe building structures, and on hazardous land. Nearly one billion people – one in every six human beings – are slum dwellers, and that number is likely to double in the next thirty years.

208. Successful operations involving illegal occupiers following disaster require advocacy with the government and local authorities to obtain recognition of their rights. The objectives are to obtain secure tenure for them, support the reconstruction of their homes and recovery of their livelihoods, as well as preventing unnecessary displacement. Supporting people in this situation is often difficult. However, by advocating for recognition and support for them from government and local authorities, humanitarian aid agencies can play a positive role.

209. Strengths of illegal occupancy:

• providing that secure tenure can be established, any transitional settlement may be able to occur on-site, keeping the affected population near their livelihoods.

210. Weaknesses of illegal occupancy:

• securing land rights is often not possible

• illegal settlements are often located on vulnerable sites

• illegal settlements usually require the introduction of planning (such as fire breaks) and services (such as fire hydrants, roads, and utilities).

211. Informal owner-occupancy offers opportunities to:

• work with displaced community and local governments to formalise their status

• involve the affected population in strategic planning and construction

• offer training to the affected population

• identify and support existing local initiatives and mechanisms supporting the upgrading of illegal settlements

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• advocate for inhabitants to remain close to their livelihoods through preventing eviction and obtaining secure tenure. All human beings have the right to be protected against arbitrary displacement from their homes or place of habitual residence, including after disasters

• advocate for the rights of the displaced during evacuation if it is required for safety reasons, so that it takes place in accordance with the rights of the displaced. In such cases, displacement should be carried out in a way that does not violate the displaced population’s right to life, dignity, liberty and security, and should be for no longer than required by the circumstances

• when displacement is necessary, it is important to advocate with governments for appropriate housing to be allocated elsewhere. The government may need to take possession of such housing from the owner

• advocate with governments to confer legal status on those who are not being protected against eviction, which includes all persons notwithstanding their type of tenure, in consultation with the affected population

• support secure land tenure. Reconstruction of affected houses may become linked to pre-existing negotiations over long-term settlement upgrading.

• advocate for the rights of displaced informal owner-occupiers on their return. States should ensure that their rights are recognised within restitution programmes, in a similar manner to those possessing formal ownership rights.

212. Threats to operations involving illegal occupancy:

• illegal occupants owner-occupiers, they may be forcibly removed from their homes following a disaster. This should be avoided if possible

• ultimately the local government needs to maintain effective settlement planning (with robust options for vulnerable populations); otherwise illegal settlements will still continue to develop in other potential hazardous areas in the future

• in some cases the only land available will be private land. If this land needs to be bought, the international community may have to donate money to the government to buy the land. The alternative is to lease land for a number of years so that it is available for rent at low cost, on which houses can be built and which can be rented at low cost for a

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number of years, enabling recovery of livelihoods. It is important not to resort to camps or collective centres when only private land is available.

3.3.2 House tenant

The house and land are rented by the occupant formally or informally 213. Successful operations involving house tenants require the provision of support to both tenant and owner in parallel. If this is not done, it is possible that the owner will not repair the dwelling, and thus the tenant will not be supported.

214. Many tenants rent their house informally, and their rights may be difficult to establish following a disaster. It is vital that they are supported in establishing their rights, and advocacy with government may be required in order for this to happen.

215. Integration of assistance to both tenant and owner requires carrying out advocacy for the rights of the tenant to stay in the dwelling for a reasonable and agreed amount of time following repair. Such an agreement should be formal and recognised by relevant parties. Insurance may provide compensation for the owner, and in this case the owner may not need to be supported by assisting groups.

216. Careful assessment will be required to ensure that the owner is repairing the building(s).

217. Displacement of tenants should be prevented as far as possible.

218. House tenants include those with informal tenancy. They may not be able to return to their former homes, and if the landlord is being supported to rebuild, they may not be supported. It is vital that assessment identifies and advocates for improved tenure for people in this situation.

219. Strengths of house tenancy:

• it is relatively easy for the affected family to relocate, if they choose to

• if the landlord agrees and the site is safe, transitional settlement may be supported on the existing site, keeping the affected family close to their livelihood.

220. Weaknesses of house tenancy:

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• it is relatively difficult to quantify the restitution package appropriate to each family

• there are very few established methods of supporting reconstruction for tenants. The humanitarian community has limited experience of supporting tenants.

• the landlord may not wish to rebuild

• only personal possessions are likely to be insured 221. House tenancy offers opportunities to:

• advocate on behalf of tenants to ensure that their rights are respected

• provide periods of rent-free settlement

• develop mechanisms against forced eviction

• carry out financial disbursement

• assist tenants to become property owners. Humanitarian aid organisations can negotiate agreements with owners by which the tenants becomes the owners of the rebuilt properties. An alternative is to negotiate free use of the land for tenants for an agreed period to enable them to recover their livelihoods. This may be a quadripartite agreement among the owner, the tenant, the government and the humanitarian aid agency.

222. Threats to operations involving house tenancy:

• it is often difficult to negotiate satisfactorily both an agreement for lease of the land that the house will be rebuilt on, and the ownership of the house itself. Ideally, the former tenant should become the owner of the rebuilt house. Negotiations may be complicated by the death of the owner and resultant complications over ownership

• it is often difficult to assess the needs of both tenants and owner(s). The owner(s) livelihood may be tied up with the rent obtained from the building.

3.3.3 Apartment tenant

The apartment is rented by the occupant formally or informally 223. Successful operations involving apartment tenants require the provision of support to both tenants and owners in parallel, as with house tenants. If assistance is provided to the owner of the

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building to rebuild the apartment block, the repair activities should be supported as required, on the condition that tenants will be allowed to remain in their apartments after the repairs have been carried out.

224. Strengths of apartment tenancy:

• flooding will have less effect on apartment buildings than on individual houses

• if only some apartments are damaged, affected families may be able to find transitional settlement in other apartments.

225. Weaknesses of apartment tenancy:

• if the entire building needs to be rebuilt, transitional settlement for the affected families will need to be provided off-site, distancing people from their livelihoods

• apartment blocks are difficult and expensive to rebuild, the owner may not want to do so, and aid agencies unable to do so. In this case, the affected population will be displaced, and will need to be supported in their displacement

• unless consensus is reached it can be very difficult to identify a support option

• apartment buildings are often susceptible to more complex damage by earthquakes and fire than stand-alone houses.

226. Apartment tenancy offers opportunities to:

• arrange periods of rent-free settlement


• in urban areas, supporting the rebuilding of apartment blocks should be considered. The humanitarian aid community is generally not prepared to do so, although the opportunity exists for effective agreement among government, owner(s) and aid agencies on rebuilding. For example, the aid agency might supply building materials, while the government provides tax reductions to the owners

• carry out financial disbursement. 227. Threats to operations involving apartment tenancy:

• if an apartment building has been damaged, it may be difficult to assess the needs of both occupiers (who may be

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a mixture of tenants and owners) and the building owner(s), whose livelihood may be tied up with the building

• in the case of an apartment building occupied by tenants, it is unlikely that the owner will want to rebuild it, preferring, perhaps, to take the insurance payment. It might be necessary to advocate with the government for compensation payments or tax deductions to encourage the owner to rebuild. Government subventions may be required for a number of years before the building can be returned to commercial arrangements between tenants and owners.

3.3.4 Land tenant

The house is owned, but the land is rented 228. Successful operations involving land tenants require advocacy for their right to rebuild on the land they previously occupied, and the formalisation of agreements for them to stay on the land for an agreed length of time. They should be supported in rebuilding in a similar way to house owners.

229. Strengths of land tenancy:

• if the relationship with the land owner is formalised there are established support options for house reconstruction.

230. Weaknesses of land tenancy:

• land use rights are often not formally recorded. If land ownership cannot be formalized, this option may be difficult to support

• land tenants often fall through the gaps and do not receive support because of difficulties in doing so

• tenants may rely on land for both shelter and livelihoods. 231. Land tenancy offers opportunities to:

• arrange periods of rent-free settlement


• carry out financial disbursement

• support not only the rebuilding of houses, but also, depending on needs, those paying rent. This support helps in turn landowners recover their livelihoods. It may be appropriate to negotiate with the landowner for a lease to

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allow the tenant time for livelihood recovery.

232. Threats to operations involving land tenancy:

233. If land tenants do need to be displaced, land needs to be identified to which they can move.

3.3.5 Apartment owner-occupier

The occupant owns their apartment, a self-contained housing unit that occupies only part of a building, formally or informally. 234. The apartment block may contain dozens of apartments or be a building with only two or three. The building may contain a mix of owner-occupiers and tenants.

235. Successful operations must support infrastructure to all those living in the building, including both owners and tenants and to the owner of the building itself, where relevant.

236. Strengths of apartment owner-occupancy:

• hazards sometimes result in damage that still allows safe habitation of some apartments, or parts of apartments

• families in undamaged apartments are sometimes able to offer transitional settlement to displaced families, keeping the affected population near their livelihoods

• providing that secure tenure can be established for those with insecurity of tenure, the affected population may be able to occur on-site, keeping them near their livelihoods.

237. Weaknesses of apartment owner-occupancy:

• it is more difficult to achieve beneficiary involvement

• identification of methods of support requires consensus among occupants whose situations and needs, and resources vary

• repair or mitigation may be difficult without impinging on the layouts or space of some apartment units

• skilled labour and contractors are required in reconstruction. If apartment buildings need to be demolished, big plants and expert capacity will be required for the job, which may not be available locally. The

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humanitarian community also has limited experience in addressing the reconstruction of multi-unit apartments.

• securing land rights is often not possible for those with informal tenure

• informal settlements are often located on vulnerable sites 238. The apartment owner-occupier option offers opportunities to:

• assist in capacity building of the construction industry

• work with both the affected community and local governments to identify pre-disaster land ownership and housing rights


• support involve the affected population in strategic planning and construction


• identify and support existing local initiatives and mechanisms supporting the upgrading of informal settlements





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• advocate for the rights of displaced informal owner-occupiers on their return. States should ensure that their rights are recognised within restitution programmes, in a similar manner to those possessing formal ownership rights

• provide affected communities with information and advice on how to claim restitution, in cooperation with government.

239. Threats to operations involving apartment owner-occupancy:

• structural damage might be difficult to see, and owners unwilling to leave

• reconstruction of the entire apartment block may require the off-site transitional settlement of all apartment occupiers, potentially moving them away from their livelihoods

• the apartment building might include both tenants and owners, or those with informal tenure, in which case agreeing on the repairs with all occupants will be a complex task, involving a tripartite agreement between owners, the government and aid agencies.

3.3.6 House owner-occupier

The occupier owns their house and land or is in part-ownership, such as when repaying a mortgage or loan. Ownership may be formal or informal. 240. Successful operations involving house owner-occupiers require rebuilding the communal service infrastructure for entire communities as well as their houses, in both rural and urban areas. The infrastructure required for a community to function is a vital aspect of an integrated approach to reconstruction.

241. In many cases, informal owner-occupiers live in slums, frequently with insecurity of tenure and lack of basic services, in inadequate and sometimes unsafe building structures, and on hazardous land. Many of them are squatters, who occupy housing or land without the permission of the owner. Successful operations involving informal owner-occupiers following disaster require advocacy with the government and local authorities to obtain formal recognition of their rights. The objectives are to obtain secure tenure for them, support the reconstruction of their homes and recovery of their livelihoods, as well as preventing

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unnecessary displacement. Supporting people in this situation is often difficult. However, by advocating for recognition and support for them from government and local authorities, humanitarian aid agencies can play a positive role.

242. Strengths of house owner-occupancy:

• providing that secure tenure can be established, there are recognised methods of support for

• providing that secure tenure can be established, any transitional settlement may be able to occur on-site, keeping the affected population near their livelihoods

• some hazards may result in damage that still allows safe habitation of some houses, or parts of houses

• there is an established legal framework of support in the case of formal owner-occupiers

• there are established methods of funding and support including phased materials drops and financial disbursement.

• there is usually a high level of beneficiary involvement and control

• the needs of each family are relatively easy to identify and quantify

• it is relatively easy to quantify the appropriate level of restitution in the case of formal owner-occupiers

243. Weaknesses of house owner-occupancy:

• the house will form a significant financial asset which may not be reimbursed in full by reconstruction

• loss is likely to include personal items, such as furniture, that may not be replaced following the disaster

• lack of mobility from site for affected population has impacts on livelihoods

• continuation of pre-existing mortgages or debts related to the property or land may have severe financial repercussions

• there are likely to be impacts on home-based enterprises, such as farms or shops.

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244. Owner-occupancy offers opportunities to:


• involve the affected population in strategic planning and construction


• identify and support existing local initiatives and mechanisms supporting the upgrading of informal settlements






• advocate for the rights of displaced informal owner-occupiers on their return. States should ensure that their rights are recognised within restitution programmes, in a similar manner to those possessing formal ownership rights.

• work with the affected community and local governments to identify pre-disaster land ownership and housing rights

• support affected communities with information and advice on how to claim restitution

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• support house owners to manage risks better and maintain and protect their houses.

• support the establishment or salvaging of government cadastral or other appropriate systems for the registration of housing, land and property rights, depending on the individual case.

245. Threats to operations involving informal owner-occupancy:

• in situations where the government or local authorities don’t recognise the legal status of informal owner-occupiers, they may be forcibly removed from their homes following the disaster. This should be avoided if possible

• ultimately the local government needs to maintain effective settlement planning (with robust options for vulnerable populations); otherwise informal settlements will still continue to develop in other potential hazardous areas in the future

• in some cases the only land available will be private land. If this land needs to be bought, the international community may have to donate money to the government to buy the land. The alternative is to lease land for a number of years so that it is available for rent at low cost, on which houses can be built and which can be rented at low cost for a number of years, enabling recovery of livelihoods. It is important not to resort to camps or collective centres when only private land is available.

246. Threats to operations involving formal house owner-occupancy

• if the house is located in a hazardous area, it may become necessary for the inhabitants to be displaced. In this case, complications may arise from their unwillingness to leave, and from the need for them to be found alternatives sites. Usually they will receive compensation from the government and/or support from the international community. Negotiations may be required between humanitarian aid agencies and governments on the allocation of new land to inhabitants. It is unusual for humanitarian aid agencies to buy land, and they may instead fund governments to buy land.

• loss of cadastres may have occurred, which complicates establishment of ownership rights. In such cases, humanitarian aid agencies can support the creation of

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documentation.


247. This section outlines the activities required to implement a coordinated and integrated transitional reconstruction strategy consistent with the strategic planning process outlined in Chapter 1. It outlines the likely responses of affected populations in the emergency and early recovery phases following a disaster, along with brief descriptions of the required responses of assisting groups, and notes the desired outcome in terms of durable solutions.

248. Achieving agreement on the strategy among all stakeholders prior to implementation is fundamental to successful implementation. The affected population may well be finding it difficult to cope not only with the aftermath of the disaster, but also with the sudden arrival of representatives of the national government and international community. Obtaining agreement on the strategy to be undertaken in collaboration with these and other stakeholders is an opportunity for confidence building, as well as ensuring that useful discussions continue throughout implementation, and that responsibilities are agreed to and met.

249. Where possible, the opportunity should be taken to reconstruct in such a way that general living conditions are improved and risk reduced. Communities vulnerable to natural hazards are usually aware of the risks they face but their economic survival may be dependent on remaining in their original location. Relocation in such circumstances may be unrealistic. Instead, the risks should be minimised as far as possible. Risk management activities need to be a sustainable mixture of site selection, zoning and planning, building codes, training and certification, incentive and conditions of credit and insurance, construction methods and materials, and upgrading policies

250. The activities presented below should be consistent and coordinated with the activities of other sectors, such water and sanitation and health.

251. The different roles, responsibilities, needs, interests and capacities of disabled persons, men, women, children and the elderly must be reflected in programme and project planning. Equal access to aid provision includes livelihoods, education and recreation.

252. Vulnerable groups and individuals may have difficulties expressing their opinions and may need additional support.



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253. For each phase of the response, a brief description of the likely responses of the affected population and the required responses of assisting groups is provided. Diagrams in the margin show the likely responses of affected populations in each phase.

3.4.1 Emergency phase

The period during which those members of the affected population who have not been displaced attempt to ensure their survival and that of their families.

Likely reconstruction responses of affected populations

254. The affected population are likely to be shocked, concerned with the survival and safety of themselves and their families, and concerned with protecting their property. If they are able to, they will provide themselves with shelter using the resources available.

255. If conditions and resources allow, the affected population will begin reconstruction.

256. Families are likely to split up with different members carrying out different tasks, including caring for vulnerable family members. Some family members may stay in the home to protect property, for example, while others move, taking with them goods or livestock. The response will need to support both those who are displaced and those who remain. Those in displacement are covered by Chapter 4.

257. Communities consisting of several families may well discuss and coordinate their response, with different parts of the community carrying out different tasks, including caring for the vulnerable, searching for shelter and building materials, and seeking assistance.

Required reconstruction responses of assisting groups

Activity 1. Strategic planning objectives

258. A collective statement should be drafted by stakeholders on what the response aims to achieve, in order to gain consensus over the desired end state. The strategic planning objectives should include indicators to warn if the objectives are not being met, acting as ‘tripwires’. Equally important is for stakeholders to commit to modifying the programme if required.

259. The immediate objective is to save lives, by, for example, providing the shelter needed to protect the population against cold, or supplying the infrastructure required for urgent health activities.

Non-displaced population builds shelter and begins reconstruction if possible




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260. Another immediate objective is to ensure that the safety of the affected population is maintained, by keeping them warm and dry, and with access to safe water and food. It may also be necessary to provide information on the safety of damaged buildings, for example through marking dangerous buildings or zones.

261. Further objectives in the emergency phase include the following:

• to ensure access, which might involve rubble clearance

• to re-establish damaged infrastructure, utilities and services

• to support immediate shelter and reconstruction efforts of the affected population when these are safe and appropriate

• to decide on the transitional reconstruction support to each affected family in a transparent manner, with an appeals procedure. Affected families qualify for restitution support even if reconstruction cannot occur on the original site (when, for example, the site is hazardous)

• to undertake advocacy when required to ensure that government pronouncements regarding housing, land and/or property are accompanied by measures that ensure legal security of tenure for all types of occupancy.

Activity 2. Coordination plan

262. The coordination plan aims to ensure that stakeholders are being supported in an equitable and timely manner. Effective coordination between national and international organisations needs to be established, along with handover from initial responders (such as UNDAC) to later coordinating mechanisms.

263. Media coverage of events may encourage local people to provide assistance. It is important to ensure coordination of this spontaneous and quickly arriving response, so that areas with difficult access are not excluded.

Activity 3. Critical path analysis

264. The main barriers to successful achievement of the strategic objectives need to be listed, along with the means of overcoming them. It is important to remember that the main barriers are likely to change over time. In the emergency phase, lack of access to the population is a likely barrier. Capacity in government, coordination, and materials often also become the

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main barriers to progress.

265. Further barriers to progress are likely to be complications over equity of aid, which will need careful assessment and negotiation.

266. Clearing the rubble from a town or city damaged by a natural disaster is extremely difficult and is likely to be a major barrier to reconstruction. Continuing efforts to involve communities in rubble clearance, as well as importing bulldozers if necessary, are ways to tackle this problem.

Activity 4. Transitional settlement and reconstruction plan

267. The transitional reconstruction plan outlines what needs to be done to support the affected population to achieve the strategic objectives for each of the relevant occupancy types.

268. Policies are required on how damaged buildings will be safely repaired. The priority is often to provide simple risk-reduction measures over cosmetic repairs, given the likelihood of a further similar event.

269. A major role for humanitarian aid agencies is advocacy with, and support to the national government and local authorities. Advocacy on the part of apartment tenants and informal occupiers, for example, is vital to ensure that they are not forgotten.

270. It is unlikely that humanitarian aid agencies will have the funds required to rebuild large apartment blocks, if this was considered appropriate. However, they may play a crucial role as one signatory to a tripartite agreement which also includes the building owner(s) and local authorities in ensuring that the reconstruction is carried out in an equitable way that provides for the needs of all affected occupants.

271. In the case of a city, a masterplan will be required for the whole city. Humanitarian aid agencies play a role in this process with technical support and support to the management of reconstruction projects. Implementing agencies will also need to have the skills to engage with large construction companies in urban areas.

Activity 5. Resource plan

272. The phased arrival of financial and other resources must be planned for. Sources of money available immediately will be added to over time according to the response to appeals, and matched to need. Financial tracking should be used to monitor the matching of funding with needs. Different donors and funding routes have



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different timelines implicit in them, and are earmarked for different needs. Some also have a timeline which includes the date by which funds must be spent.

273. Funding must be coordinated at the national level. Government must be aware of resources that are coming to bear on the response, to ensure accurate planning.

274. Similarly, some stockpiled materials will start to arrive quickly, with huge impacts on the response, with others arriving later. Air freight, for example, of emergency items may start arriving within days, while materials arriving by sea turn up later – and in different locations. The resource plan must incorporate planning for the period between deliveries of materials, and how deliveries will be distributed.

275. It is vital that resources don’t drive the response. For example, if a large number of tents arrive in the affected area, but may be inappropriate to the needs of the affected population.

276. The response will need to take account of all external resources against the predicted government response. Both government and humanitarian aid community will have to be aware of and plan against each other’s capacities and predicted future resources.

277. For affected families, initial distribution of NFIs may be followed by basic shelter materials supplied funded by public appeal, while later on NFIs and transitional shelter support be funded by a mixture of sources. It is vital that funding covers the entire period from emergency through to durable solutions with sustainable livelihoods.

Activity 6. Schedule for implementation

278. The implementation plan outlines which major activities must be undertaken by which stakeholders in which phase of the operation, including overcoming the key barriers identified in Activity 4. For example, immediate support can often be supplied to owner-occupiers, but people in other housing situations will require advocacy efforts on their behalf to ensure their situation is recognized and formalised before reconstruction can begin.

279. The implementation plan will be updated and developed throughuot the response.

Activity 7. Participation plan

280. Successful reconstruction requires participation from the affected population in all levels of decision-making. The

Overcoming barriers identified in Activity 4 ‘Critical path analysis’



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participation plan should ensure that vulnerable people are included.

281. Methods for involving vulnerable groups include:

• identifying existing social groups and networks

• holding focus groups for minority groups

• holding meetings in a variety of locations

• holding meetings at different times of day. 282. Efforts should be made to ensure that tenants, like other members of the affected population, are able to participate in the restitution claims process. However, tenants are often not assisted, partly owing to the difficulties of supporting them. However, advocacy efforts may be required with governments to ensure that users of housing, land and/or property, including tenants, have the right to participate in the restitution claims process.

283. The affected population should be involved in communal activities when possible, such as working to clear rubble. It is important to coordinate all those involved to pull together, as part of the process of recovering from the disaster.

284. Meeting people’s psychological needs is often as important as meeting physical needs. People often have social priorities that differ from the priorities established by the physical reconstruction process. This fact applies to communities as well as individuals. Community facilities, such as schools or places of worship, may be the community’s top priority. The participation plan aims to achieve communication among all stakeholders on such matters.

Activity 8. Assessment, monitoring and evaluation

285. Assessment activities in the emergency phase aim to provide a rapid understanding of the situation. A rapid assessment normally takes one week or less. It is followed by detailed assessments. Assessment activities in the emergency phase provide understandings of:

• risk, including both potential exposure to hazards and vulnerability

• population and demographics, such as the location, number and needs of those affected. The population may well be in shock. Their immediate priorities are often to find food and water

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• damage, including the scale, degree and form of damage to both housing and infrastructure. Both damage and access need to be mapped. The danger from unsafe buildings might require the population to be displaced. Qualified engineers are required to provide accurate damage assessments.

• resources, including human resources in the affected community, government and the humanitarian community, stockpiles, construction capacity, and other market capacities and potential to provide materials and inputs.

286. In most cases, it will be important to assess both displaced and non-displaced populations as both will require support. People will move between options, and may also become displaced, if, for example, the situation at home worsens. Ongoing monitoring activities are required to inform operations. It is important to realise that the people who are most vulnerable are often those who end up displaced and may not be in their own communities when assessments take place.

287. If suitable contingency plans are in place, they should be consulted, updated, and used to form the basis of the response. Later, further detail should be added based on consensus and assessment.

Activity 9. Scenarios

288. Scenario planning builds on the assessment process and assists in the selection of transitional settlement and reconstruction options by outlining the likely course of events. It establishes different possible scenarios, from best to worst, and most likely, along with indicators to recognize when these are occurring and changing. Scenario planning may also include exploring potential solutions and strategies for each.

289. Very different scenarios will be developed in urban and rural areas. In urban areas the scale of reconstruction will be much larger, the costs much greater and the scenarios more complicated.

290. Possible scenarios include:

• the population is suddenly displaced, perhaps as a result of recurrence or worsening of the threat posed by a natural hazard (transitional settlement options for displaced populations are covered in Chapter 4)

• there is further damage but the population remains in place

• the hazard subsides and some members of the population,




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originally displaced, are able to return.

Activity 10. Legal plan

291. The response cannot begin without an understanding of the legal situation in force in the area of operations. For example, reconstruction efforts will require an understanding of planning permission and building codes.

292. The land rights of the affected population also need to be established as soon as possible.

293. The basis on which international organisations can work need to be established, such as the legal basis for importation of goods.

294. The monitoring of the application of agreed standards and principles is an ongoing activity. Advocacy efforts should be undertaken not only with government but with other humanitarian aid agencies if agreed principles and standards are not being applied.

295. One role of humanitarian aid workers is to monitor the human rights situation and report human rights abuses by reporting to superiors within the organisation who may be able to advocate at a higher level.

Activity 11. Handover plan

296. Handover from the emergency to the early recovery phase is required to ensure continuity of the response, for the entire affected population. Handover includes recording of decisions made so that they can be reinforced at a later stage.

3.4.2 Early recovery phase

The period during which reconstruction begins, for non-displaced populations, and those returning home.

Likely reconstruction responses of affected populations

297. Survival having been assured, those able to do so begin reconstruction activities by clearing the site, recovering materials, and adapting shelters for seasonal change.

298. Displaced families, or individual members of such families, may return home and begin reconstruction activities.

299. They will also be concerned with matters such as education

Reconstruction begins



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and health-care.

300. Often there is a gap between reconstruction activities undertaken by the affected population and support from assisting groups.

301. Money is often in short supply, and people might therefore be obliged to sell their possessions in order to raise funds to buy building materials and tools.

Required reconstruction responses of assisting groups


302. The aim of the early recovery phase is to restore the affected area to its previous state, or to improve living conditions and reduce risk if possible.

303. The shelter sector should also provide the infrastructure to support recovery, such as rubble clearance and provision of structures for education and health-care activities.


304. Coordination activities ensure equitable to all those requiring it, including tools, building materials, technical advice, information and legal support.


305. Bottlenecks in providing capacity and materials to the right people at the right time are likely barriers in the early recovery phase.

306. Another likely barrier is lack of knowledge among the affected population to deal with bureaucratic procedures. Humanitarian aid agencies can support them by providing information. If the government announces that reconstruction will take place on a self-help basis, for example, people might require assistance with opening bank accounts and ongoing support in managing the process. Agencies can also assist in providing information about safe building and disaster risk management to affected communities.

307. There is often a huge shortfall in capacity in several areas, including labour for reconstruction, planning officers and building inspectors.



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Activity 4. Transitional settlement and reconstruction plan

308. Programme planning should maximise opportunities for the affected population to regain their livelihoods. Consideration should be given to awareness of disaster-resistant construction techniques and mitigation measures, land availability and access to cultivation and grazing, location of and access to market areas, availability of and access to local services essential to particular economic activities, age and gender, training and development of marketable skills.

309. Training programmes in safer construction for village builders and craftsmen should be considered. Methods should be discussed and agreed on among stakeholders to make advice available to builders on hazard-resistant building techniques, providing advice in time, finding the appropriate format for advice, providing relevant technical advice using available materials, and making proposals that are economical and culturally acceptable.


310. While immediate financial resources are likely to have arrived, it is equally likely that there will be gaps in funding and in materials and human capacity. The national economy will not be prepared for post-disaster reconstruction, in terms of transport, skills, and fabrication of construction materials. Some of the gap can be filled with imports, some by building up local capacity.


311. Infrastructure is an integral component of housing reconstruction. The aim is to rebuild entire communities, including their livelihoods.

312. Different people will have been affected differently. Programmes offering support can be staggered, and the level of support adjusted according to need.

313. Governments should be supported to develop or salvage and maintain cadastres when necessary.

314. A masterplan for reconstruction needs to be agreed among stakeholders. Government should be supported, when necessary, to produce one.

315. In this period, the data obtained from damage and needs assessments are analysed and evaluated, and then the types, structure and quantities of the dwellings, and regions to be implemented are decided. Preparation of a detailed plan about the production of housing, developing and maintaining a list of



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manufacturers and suppliers, training and communication with the actors involved in the production and construction of dwellings are realized in this phase.

316. Information about the post-disaster housing process should be provided to the community.

317. Different members of the affected population will require different levels and types of support as identified in assessment.

318. Providing accessible materials helps the affected population begin reconstruction when they have the capacity to do so.

319. Following a disaster, there is usually an urgent need for a large amount of reconstruction, but formal and informal construction capacity may be sufficient only to maintain and not to reconstruct pre-disaster housing. This usually requires the involvement of all construction capacity, including the affected population, village builders, craftsmen and contractors. Lessons from recent disasters indicate that each component of this capacity should not act in isolation, and capacity integration should be achieved in programme designs, combining the benefits of each, and empowering the victim to define needs, while arriving at a sustainable change in local construction towards safer building.

320. Training programmes in safer construction for village builders and craftsmen can achieve four major gains, in contrast to the building of safer settlements and housing by a building contractor, without local involvement:

• a safer dwelling

• a builder trained in safe construction practices able to replicate new safe buildings in the future

• livelihood development, in providing paid work and new marketable skills for trained builders and craftsmen and women

• the therapeutic value for a disaster victim, possibly grieving for lost family members, to be able to be occupied through work, rather than be a spectator as others rebuild their future.


321. The affected population should be involved in discussions regarding land tenure, including restitution for those returning from displacement. Advocacy may be required with governments to



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ensure that voluntary repatriation and housing, land and property restitution programmes are carried out with adequate consultation among and participation of the affected population. Vulnerable groups, including indigenous peoples, racial and ethnic minorities, the elderly, the disabled and children are adequately represented and included in restitution decision-making processes, and have the appropriate means and information to participate effectively.


322. The assessment process begun in the emergency phase should continue, providing more detail to initial emergency assessments. Many thousands of interviews may be required to develop a full assessment. Expert capacity, including surveyors, will be required to carry out damage assessments.

323. For each site it will be necessary to assess:

• the type, frequency and likely severity of the hazard. For example, an earthquake may be severe but occur infrequently

• the likely duration of the hazard. For example, a flood may last for days or months

• the vulnerability of the affected population, for example, standing water may be a threat to health

• aspirations and future development plans of the community.

• the capacity of the affected community to cope with the hazard. For example, existing management and response systems may be inadequate.

324. A hazard map should include:

• location and nature of hazards

• suitable sites for use

• unsuitable sites for settlement

• areas requiring specific types of settlement, e.g. specific types of foundations for different soils.

325. Assessment of damage to existing housing, infrastructure and livelihoods will provide:

• a broad understanding of the scale and nature of the impact of the conflict or disaster on the affected population

• a detailed understanding of the needs of each affected

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family

• a detailed understanding of the needs of each affected community in terms of infrastructure and facilities

• knowledge of the time required for reconstruction

• knowledge of disruption to livelihoods (for example, damaged factories or flooded farmland).

326. Resources assessment, based upon an ongoing Environmental Impact Assessment (EIA), should include identification of:

• the resources possessed by the community

• the location of environmentally sensitive areas

• the existing management mechanisms

• the demand for materials for reconstruction

• how the demand will vary over time

• what impact the project will have on existing resources.

327. The capacities of construction industries, locally, nationally and regionally, should be assessed, as well as how they will change over time.

328. Local construction methods, skills and materials should be assessed, including:

• methods of material harvesting and distribution

• land and resources ownership

• patterns of land management

• seasonal variations.

329. The types and quantity of materials required to meet the needs of the strategy should be determined. The materials stockpiled and available for importation should be assessed, as well as how they will change over time. Assessments of the capacity and access for moving materials, include:

• The origin of imported materials

• damage to access routes

• reductions in transport capacity



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• security during transportation

• barriers to transportation, such as border crossings and hazardous areas

• loss in transit. 330. The impacts and hazards of using identified capacities should be assessed, considering factors such as security, natural hazards, the environment, natural resource management, and livelihoods.

331. Understanding the impacts and hazards of using identified capacities, require consideration of factors such as security, natural hazards, the environment, natural resource management, and livelihoods:

• disposal of toxic waste

• handling and removal of

• asbestos

• water pollution

• soil erosion due to over harvesting

• landslides

• flooding. 332. An environmental recovery strategy that ensures full rehabilitation should be planned and budgeted, including replanting schemes, creating or repairing erosion control measures, aerating compacted soil, making pit latrines safe.


333. Ongoing assessment activities provide information on the scenarios developed in the emergency phase, and whether the likely scenario identified then is indeed occurring. It may be that different scenarios need to be developed, or that indicators show that the best or worst case scenario is now occurring.


334. The government is responsible for establishing and maintaining systems for recording title over land, land rights and land use. However, the international community can support the government in developing and maintaining emergency building legislation, building codes, and cadastres. Emergency legislation will need to be fast-tracked.



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335. The international community can also share expertise on the development of national housing, land and property restitution policies and programmes and help ensure their compatibility with international human rights, refugee and humanitarian law and related standards. International organizations should also support the monitoring of their implementation.

336. It is the responsibility of the government to ensure that affected families have adequate access to claims centres and can understand and use the procedures. Advocacy efforts by humanitarian aid agencies should focus on the establishment of restitution claims-processing centres and offices throughout affected areas where potential claimants currently reside, and on the provision of simple, restitution claims forms that are easy to understand and in the relevant languages. Competent advice should also be provided where necessary to help people complete such forms, taking account of vulnerable members of the population


337. All information concerning the response should be recorded and handed over to the relevant authorities for use in preparedness planning.

3.4.3 Durable solutions

The point when sustainable and permanent settlement have been rebuilt, enabling communities to support themselves.

338. The aim of the early recovery phase was to restore the affected area to its previous state, or to improve living conditions and reduce risk if possible.

339. The response should have resulted in the development and maintenance of a lasting capacity to respond to any future emergency, through building back better (i.e. more safely), the mapping of hazards, the existence of relevant and enforced building codes, and the participation of the population in preparedness for predicted emergencies.

340. A legal structure able to respond to future emergencies should be in place, from the laws required to implement emergency measures (such as the requisitioning of housing) to building and planning codes.

341. The coordination mechanisms should be in place to respond to any future emergency, so that in any future emergency, the government and its ministries can coordinate effectively with

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Communities have been reconstructed in a sustainable manner



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national and international stakeholders.

342. The evaluation of the response should lead to a set of lessons learned, captured and made available as part of handover. These lessons allow an understanding of the changes that have occurred (for example, in types of occupancy). They also inform contingency planning. The likely scenarios and critical paths for future emergencies should also be understood as part of this process.

343. Innovative and tailored approaches to durable solutions are required, that are carefully matched to the needs of people and the local situation, the affected and host populations, and recognising the diversity of solutions. This includes activities around return, such as helping people return to rental accommodation.



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4 Transitional settlement: displaced populations



4.3 The six occupancy types: strengths, weaknesses, opportunities and threats


This chapter describes the range of transitional settlement options available for displaced populations, and provides guidance on how to implement a transitional settlement strategy to support them.

Chapter 4 actions

The following actions, listed in chronological order, may form a valuable checklist when implementing a transitional shelter and settlement strategy

a. Identify populations in transit following a disaster, and the routes they are taking

b. Identify transitional settlement options available to or selected by the affected population

c. Identify capacity, safety and appropriateness of each option

d. Communicate with and inform stakeholders of current and likely future developments

e. Identify scenarios, including most likely, best and worst case

f. Support affected and local/host populations in a phased manner

Chapter

4 Transitional settlement (chapter 4) for those displaced, and transitional settlement of those not displaced (chapter 3), take place concurrently as part of a coordinated strategy (chapter 1) supported by effective strategic planning (chapter 2).



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4.1 Key factors in support of transitional settlement for displaced populations

344. This chapter focuses on support for the most vulnerable populations, such as tenants, and informal owner-occupiers. Support for local/host communities, which may themselves be impoverished and in need of support, must be considered when initiatives for displaced populations are occurring.

345. Displaced populations are considered to be those who have been compelled to leave their homes, whether owned, rented, or informally occupied, and whether they are houses or apartments. They are considered to be displaced no matter what distance they have moved from their homes or land they occupied, and therefore this chapter covers support for micro-displaced populations. The chapter builds on Chapter 1 (‘Strategic planning’) and Chapter 2 (‘Using principles and standards’). It should be read in parallel with Chapter 3, which deals with transitional reconstruction for non-displaced populations and those returning home following displacement.

346. Following a natural disaster, most people will not be displaced. It is in people’s best interests to remain as close to home as possible and they should be supported to do so when it is safe and appropriate to do so.

347. Most displacement following disaster is micro-displacement, in which people move a very short distance from their homes or land.

348. Displacement is likely to exacerbate the impacts that a disaster has on property and livelihoods. Such repercussions occur very rapidly following displacement, in both rural and urban environments. Therefore, displacement should be avoided unless assistance which avoids displacement cannot be provided. People who have been displaced should be supported to return home as quickly as possible, when it is safe to do so. In this way they are best supported to recover their livelihoods and social connections.

349. Following a disaster, members of the affected population who have been displaced will move into and then between transitional settlement options throughout the duration of their displacement (see Fig 4.1), and should be supported to do so where appropriate.



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Fig 4.1 Transitional settlement and reconstruction options over time for populations affected by disaster

Resettlement,when essential

350. Some of those displaced may be displaced for only a few days, others for years. Communities as a whole, groups within communities, families and individual family members, are likely to be displaced differently in the same disaster or some members remain at home while others leave.

351. The character of the displacement and the motivations and responses of the people involved following natural disaster or complex emergencies are very different. However, the same six categories to describe displacement options (see Section 4.3) are useful in both cases. National and international capacities and coordination structures are often applied in response to both natural disasters and complex emergencies.

352. Displacement occurs not only in response to hazards, but also to economic needs. Following a disaster, people may move from rural to urban areas, or between different urban areas, in the search for work. People displaced for economic reasons may also require support during their displacement and in achieving durable solutions, despite the fact that they will often be difficult to trace.

See Section 4.3 ‘Transitional settlement options for displaced populations’



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353. Support should include communal service infrastructures, including access, utilities and services, and communal services.

354. Much of the international response to displacement has evolved in the context of refugees fleeing conflict, and requiring displacement of at least 50 km from a border.

355. Camps and collective centres, which have several serious disadvantages (see Sections 4.3.4–4.3.6), are often built despite the fact that following natural disaster they are very rarely an appropriate solution. The international community and government should therefore in most cases avoid building camps, and proactive steps should be taken to avoid the establishment of camps. Support to other transitional settlement options has been offered in a large number of successful operations in the past.

356. In choosing between options, displaced families and groups will try to make best use of their own coping strategies for livelihoods, community development, and security. Transitional settlement options may support or hinder these and other development efforts, a fact which should be taken into account in deciding which options to support.

357. The same strategy should consider transitional settlement for displaced persons, and transitional reconstruction for non-displaced persons and returnees. If separate strategies are created, there is a risk that members of affected populations will be assisted by different agencies and government departments. Continuity across and within populations needs to be ensured.

358. Specific legal issues will need to be considered in the case of displaced populations, including the rights of host populations. In some cases the affected population will consist of both refugees and internally displaced persons. The same strategy should frame support to both groups. Displaced persons have the right to be compensated for housing, land and/or property that is impossible to restore.

4.2 Transitional settlement options for displaced populations

359. This section provides describes the transitional settlement options open to displaced populations following disaster. The alternatives have been categorised into six transitional settlement programme options. The six options can also be divided into dispersed and grouped options, and a broad overview of the dispersed and grouped options is presented below:

See Section 4.3.4 ‘Collective centres’

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See Section 4.3.6 ‘Planned camps’

See Section 4.3.6 ‘Self-settled camps’‘



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Host families

Urban self-settlement

Rural self-settlement

Collective centres

Self-settled camps

Planned camps

This settlement option involves sheltering the displacedpopulation within the households of local families, or onland or in properties owned by them.

Displaced populations may decide to settle in a town,occupying unclaimed properties or land, or settlinginformally.

Rural self-settlement takes place when displaced familiessettle on rural land that is owned collectively, rather thanprivately.

Collective centres, also referred to as mass shelters, areusually transit facilities located in pre-existing structures.

A displaced community or displaced groups may settle incamps, independently of assistance from localgovernment or the aid community.

Planned camps are places where displaced populationsfind accommodation on purpose-built sites, and a fullservices infrastructure is provided.

Groupedsettlement

Dispersedsettlement

360. It is likely that more than one option will be appropriate where there is a need for transitional settlement. It is important, wherever possible, for external aid organisations and local authorities to support a variety of settlement options for displaced population groups to choose from. Groups within a displaced population will probably choose more than one of the six options, anyway, irrespective of the support offered by the international aid community.



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361. Planned camps and collective centres are very rarely the option of choice for displaced people, especially in natural disasters. However, people may choose to settle in collective centres which have been pre-designed to include capacity for short-term relief, such as from flood or high-wind.

362. Displaced populations frequently choose dispersed settlement. This fact indicates the importance to the displaced of maintaining their independence and their ability to sustain themselves.

363. The paragraphs below summarise the advantages and disadvantages for owner-occupiers and tenants. In Section 4.3 a more detailed comparison of all the occupancy types is given.

364. Advantages of dispersed settlement:

• dispersed settlement is usually more appropriate to the needs of displaced groups, offering better use of existing coping strategies and local contacts

• there is a lower security risk than grouped settlements, because disperse settlement does not offer an obvious target for attack

• dispersed settlement is more responsive to the changing needs and circumstances of displaced groups, as it generally allows the displaced population more choice and to develop better relations with the local community

• more developmental opportunities can be offered to the local population, for example by allowing the aid community to support common infrastructure and services

• dispersed settlement is more cost-effective for the aid community, requiring smaller initial investments than large-scale responses, such as planned camps.

365. Disadvantages of dispersed settlement:

• given the usual field constraints of limited personnel and access, it can be more difficult for the aid community to understand and support the needs of dispersed displaced populations than it is to address the needs of grouped populations.

• protection and security concerns, particularly relating to vulnerable groups, may prove more difficult to identify and act on than in grouped settlement options.



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366. Disadvantages of grouped settlements:

• they entail security risks, increasing not only the vulnerability of the displaced population, but also that of the host population

• There is a risk of natural resources being harvested beyond the sustainable limits of the area owing to concentration of demand for natural resources

• tensions or conflict are common, owing to the segregation of displaced and local populations combined with disparity in support offered to each

• de-skilling and increased dependency among the displaced population over the long term often occurs if there are few opportunities for them to work

• self-settled camps and planned camps centralise resource extraction, leading to environmental degradation. Dispersed settlement in contrast helps to disperse the environmental impact of displacement

• they entail a high initial capital investment, without any certainty about the duration of the displacement.

4.3 The six transitional settlement options: strengths, weaknesses, opportunities and threats

367. This section presents an overview of the six transitional settlement options, and then provides a summary of their strengths and weaknesses, and the opportunities and threats that each entails.

368. The obligation of external aid organisations and local authorities is to support the combination of transitional settlement programme options that minimises risks and maximises opportunities for both the displaced and local populations.

369. As part of the planning process, each option should be assessed in relation to:

• its suitability for particular groups of the affected population

• its capacity

• the speed at which it can be accessed by the affected population

• any limits on the duration of its use and opportunities for further application during reconstruction



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• its capacity for expansion.

4.3.1 Host families: shelter on the land or property of local families

This settlement option involves sheltering the displaced population within the households of local families, or on land or in properties owned by them. 370. Displaced people may have the opportunity to live with relations, friends, or strangers who act as host. They may be allowed to stay without payment or on a rent-paying basis, paying either in cash or in kind (for example, by offering labour).

371. Successful host family operations require the provision of support to both local and displaced populations, and host families in particular, in order to prevent tensions and support positive relations.

372. The length of the period of hosting is likely to be crucial, both for the displaced and host families. A prolonged period of hosting is likely to cause considerable stress, socially and financially. The displaced family may decide to move to a different transitional settlement option as external conditions change or because the period for which hosts are prepared to offer hosting has changed.

373. Strengths of host families:

• increase opportunities for integration with the local population

• facilitate a wider social support network

• existing coping strategies, especially for vulnerable individuals, are supported by keeping families together and within a stable household environment.

374. Weaknesses of host families:

• dispersal in host families stretches capacity of humanitarian aid organisations and local authorities to access and support displaced populations

• access to local and aid-supported communal services, such as health care, is difficult, especially for vulnerable groups

• access to distributed aid, such as food, is difficult, especially for vulnerable groups

• constraints on access and limits on logistics capacity mean that reaching one family takes longer in a dispersed

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settlement than it would in a more concentrated settlement. 375. Host families offer opportunities to:

• use existing infrastructure, allowing for fast implementation of the programme. The infrastructure will need to be supported to ensure that it is able to cope with the additional needs of the displaced population.

• develop integrated and equitable systems of support for host and hosted populations

• promote and support methods of livelihood provision for both groups

• support existing infrastructure, and hence development

• increase awareness of the rights of both populations. 376. Threats to operations involving host families:

• there is an increased risk of physical, sexual and financial exploitation, either by the host or the hosted populations

• environmental vulnerability may increase as a result of the needs of the displaced population for natural resources being added to those of their hosts

• social complications may arise from close proximity of populations and pressure on local services

• opportunities for both host and hosted families to do domestic work may be constrained by lack of space in host-family houses

• resentment may result from disparities in assistance

• constraints on access and limits on logistics capacity mean that reaching one family takes longer in a dispersed settlement than it would in a more concentrated settlement

• host families may become overburdened and impoverished, especially if the proportion of host to hosted population is unsustainable

• existing infrastructure can become overwhelmed unless it is supported effectively

• the need for negotiation based on regular face-to-face contact between populations may result in the dependence of displaced individuals upon hosting individuals, which may constitute an increase in certain vulnerabilities.

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4.3.2 Urban self-settlement: informal occupation of non-reclaimed properties or land

Displaced populations may decide to settle in a town, occupying unclaimed properties or land, or settling informally.

377. Displaced populations may be moving to an area of the city different from the one that they previously occupied, or they may occupy unclaimed properties in a city to which they have fled for safety or to find work.

378. Successful urban self-settlement operations require that any support offered takes into account or integrates local and displaced populations. It may be necessary to negotiate the legal basis on which displaced populations are able to settle securely in urban areas.

379. External support should aim to mitigate any negative impacts of the displaced population on the local population, while increasing local capacities in a sustainable manner.

380. Strengths of urban self-settlement:

• enables diversity of livelihood opportunities and increased opportunities for self-sufficiency

• promotes contacts and encourages integration with the local population

• provides opportunities to find work

• facilitates a wider social support network. 381. Weaknesses of urban self-settlement option:

• lack of formal ownership rights for land or property for the affected population

• dispersal stretches the capacity of aid organisations and local authorities to assess and support displaced populations

• leads to competition over work, resources and facilities with host population

• it is difficult to identify the affected population and upgrade settlements to meet minimum standards.

382. Urban self-settlement offers opportunities to:

• support the upgrade of existing services infrastructure to

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meet the needs of both the displaced and host populations

• support established livelihoods for both groups

• reduce vulnerability of the displaced population through contacts with the local population

• provide appropriate sanitation, water provision and access to health facilities in line with internationally agreed standards.

383. Threats to operations involving urban self-settlement:

• constraints on access and limits on logistics capacity mean that reaching one family takes longer in a dispersed settlement than it would in a more concentrated settlement

• displaced populations often increase the size of existing informal settlement areas on the periphery of cities, living on land that they do not own. It is also likely that the existence of such settlements will be politically sensitive. Care should be taken to ensure that any support offered takes into account or integrates any existing inhabitants and their neighbours.

4.3.3 Rural self-settlement: settlement on collectively owned land

Rural self-settlement takes place when displaced families settle on rural land that is owned collectively, rather than privately. 384. Successful rural self-settlement operations require assessment of the livelihoods of displaced and local populations, in order to identify opportunities for the displaced to become more self-sufficient. Support should be offered to both local and displaced populations in order to prevent tensions and support positive relations.

385. Rural self-settlement often involves a large number of population movements. This fluidity may, however, be seen as a direct expression of choice by the displaced population.

386. Strengths of rural self-settlement:

• promotes integration with the local population

• facilitates a wider social support network, with benefits for the displaced population

• close proximity to the local population enables trade of goods and services.

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387. Weaknesses of rural self-settlement:

• dispersal in rural self-settlement stretches capacity of aid organisations and local authorities to access and support displaced populations

• livelihood patterns, land use patterns and natural resource management of the host population may be disrupted. For example, overuse of land by the displaced population may lead to soil becoming compacted and unusable. Land needs to be rehabilitated at regular intervals and prior to its return to its previous use.

• access to local and aid-supported communal services, such as health care, is difficult, especially for vulnerable groups

• access to distributed aid, such as food, is difficult, especially for vulnerable groups.

388. Rural self-settlement offers opportunities to:

• identify and respond to the needs of both the host and displaced population

• develop self-sufficiency, if agriculture or animal husbandry are possible

• upgrade infrastructure, such as the following: transport, health care, water and sanitation, schools, the generation and transmission of power, food production and food security, police stations, prisons, and courts

• support livelihoods, for example by involving both communities in all construction activities.

• provide a durable solution, if families are allowed to settle permanently on or near the land that they have been occupying. In this case, developmental assistance programmes designed to sustain and develop livelihoods may follow on from transitional settlement.

389. Threats to operations involving rural self-settlement:

• any competition for resources may lead to local authorities refusing to allow transitional settlement, and people may find themselves displaced once again

• there is a risk of physical, sexual or financial exploitation of the displaced population by the local population, or vice versa

• constraints on access and limits on logistics capacity mean

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that reaching one family takes longer in a dispersed settlement than it would in a more concentrated settlement

• if the displaced outnumber local people, rural self-settlement is unlikely to be acceptable to the local population and authorities. In any event, it may be difficult to support such an imbalance in practical terms, because local settlement density is usually based on the carrying capacity of the local environment.

4.3.4 Collective centres: shelter in pre-existing structures and facilities

Collective centres, also referred to as mass shelters, are usually transit facilities located in pre-existing structures.

390. Collective centres are often used when displacement occurs within a city, or when there are significant flows of displaced people into a city or town. Effects on infrastructure caused by the use of the collective centre need to be considered.

391. Collective centres should not be considered for long-term accommodation unless they can offer appropriate support, such as conditions to ensure privacy. This is especially important if centres are being considered for vulnerable groups, such as elderly people.

392. Operations supporting collective centres are successful if an end-date to the use of the structure is identified and planned for. However, the use of collective centres for transitional settlement differs according to whether the centre is:

• a pre-existing structure or facility not designed with shelter in mind. In this case, settlement in the collective centre will need to be a brief interval between displacement and return or towards another option. This type of collective centre is often more successfully used if owned publicly rather than privately

• purpose-built or adapted for use as a settlement option following disasters. Such collective centres can be used successfully for disasters which allow return after a short duration, for example floods or cyclones. The centre should be designed appropriately for the predicted threat, and the plan for its use should be understood and have been practised.

393. The length of time during which the displaced individuals and families stay in a collective centre is likely to be crucial. As

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with any form of institutional accommodation, unless sufficient privacy and independence can be assured, a prolonged period of stay is likely to result in stress, possibly leading to depression, social unrest, or other individual or communal psychosocial problems.

394. Strengths of collective centres:

• it is relatively easy to identify and assess beneficiaries

• food, water and other supplies are easy to distribute

• access to services is straightforward: a health team is able, for example, to visit a centre and identify problems more easily than it can do when a population is dispersed

• the identification of vulnerable groups and individuals is relatively easy.

395. Weaknesses of collective centres:

• this form of settlement has a short operational life

• collective centres have very high running costs. The burden is taken by aid organisations which may suddenly run out of money. A budget needs to be worked out and an alternative solution or sources of further funds identified before funds run out

• leads to disruption to the livelihoods of the building owner

• requires additional communal services and security, including fire alarms and fire escapes

• collectives centres generally have limited privacy

• there is a threat of the centre being targeted by criminals

• social problems often result from the lack of opportunities entailed by the use of collective centres

• limits the variety of income generating activities and methods of livelihood support for the displaced population

• the social systems of the affected population often mitigate against communal living. In such cases, the collective centre option will fragment and undermine existing social structures, which then creates resistance to efforts to manage the situation

• the use of collective centres often leads to psychosocial effects such as dependency.

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396. Collective centres offer opportunities to:

• develop an information and community plan to involve the local population

• support and improve existing infrastructure and facilities to meet the needs of the host and displaced population

• consider methods of compensation for those who have had livelihoods disrupted by the occupation of the building

• improve the morale of the residents and support them, for example by ensuring good maintenance of the centre. This will also provide work and an income for some, and increase the confidence of the local population in the support programme. Maintenance is the most cost-effective way of ensuring that the centre will eventually be handed back to the owners in an appropriate state

• reduce psychosocial effects such as dependency. The shelter sector can ensure that space is left to be used in, for example, communal activities. Psychosocial support cannot be supplied by the shelter sector, but coordination with other relevant actors must be established early on and maintained [cross ref to relevant principle].

• offer training courses, with the participation of the local population. This will promote integration of the two groups and constitute a form of compensation for the local community.

397. Threats to operations involving collective centres:

• the presence of a collective centre may increase vulnerability to attack; it may become a focus for hostilities. Conversely, it may become a safe haven

• fire is a constant risk, especially for vulnerable individuals for whom evacuation is difficult

• in many cases, no responsibility is taken for maintenance, and degradation of the centre begins extremely quickly. Management of the structure and definition of roles needs to start at the very beginning of the use of the centre, even if it is only to be used for a few weeks

• livelihoods will have been affected by the occupation of the collective centre. Compensation for people affected needs to be worked out

• the spread of communicable disease is more likely in densely occupied living areas with communal services such

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as sanitation and cooking. The risks should be discussed with the appropriate health professionals

• although collective centres should be the first transitional settlement options to be discontinued, they are often the last. Care should be taken to ensure that expenditures involved are the most appropriate use of the resources available.

4.3.5 Self-settled camps: grouped settlement independent of assistance

A displaced community or displaced groups may settle in camps, independently of assistance from local government or the aid community.

398. Self-settled camps are often sited on state-owned or communal land, usually after limited negotiations with the local population over use and access. A decision must be taken by the aid community on whether the site and settlement can be supported and improved, whether the settlement must be supported to move to a different site, or whether alternative settlement options need to be developed.

399. If the location is acceptable and successful, support to the self-settled camps option is likely to require some adjustments to the density, water supply and sanitation of the camp. However, self-settled camps are often located close to hazardous sites.

400. Grouped self-settlements are usually established before the arrival of aid organisations in the field. Displaced communities often choose this option because they find living in a group preferable for social reasons. Also, it makes them feel more secure, and they hope it will improve their chances of receiving external assistance.

401. Strengths of self-settled camps:

• entail increased opportunities for self-sufficiency

• allow for the maintenance of existing methods of livelihood support and social structures

• keep families and communities together. 402. Weaknesses of self-settled camps:

• occupation of the site will disrupt methods of livelihood support and resource provision previously associated with the land. It may therefore cause disruption to the livelihoods

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of the host population

• there is a risk of physical, sexual or financial exploitation by the site owner

• environmental damage often results

• occupation of communal or state land results in constant threat of eviction.

403. Self-settled camps offer opportunities to:

• assist vulnerable groups within the affected communities by supporting other settlement options, such as accommodation with host families. There may be, for example, an abundant supply of natural resources and good access, and only a small local population. In such circumstances, it may be feasible to assume that the displaced population can undertake settlement, while intervention by international organisations concentrates on assisting vulnerable groups

• develop the camp, with the displaced community and government, to meet national and international standards

• support and improve existing infrastructure and facilities to meet the needs of the host and affected population

• consider methods of compensation for those who have had livelihoods disrupted by the occupation of the site.

404. Threats to operations involving self-settled camps:

• increased vulnerability to both external and internal security threats may result from the existence of self-settlement in camps.

• the presence of the displaced population will have an impact on the wider local community. Care must be taken to prevent tensions and to ensure that local services can be maintained. In addition to supporting family accommodation, some up-grading of infrastructure might be considered.

4.3.6 Planned camps: grouped settlement on purpose built, serviced sites

Planned camps are places where displaced populations find accommodation on purpose-built sites, and a full services infrastructure is provided.

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405. Planned camps are often built in response to natural disaster, although they are very rarely appropriate or necessary.

406. Planned camp operations have been successful when the affected populations have lost their property, land and livelihoods, and if there is no other appropriate option. There may, for example, be insufficient land or housing stock for self-settlement.

407. The camp should be built as close as is safe and appropriate to people’s former homes and livelihoods.

408. Camp planning should be sensitive to the social structure of the affected population. For example, people who came from the same villages should be located close together when possible. Livelihoods, such as animal husbandry, should also be taken into account, as well as the relationship with the host population to avoid conflicts over scarce natural resources.

409. Planned camps require replicating an entire support system. As a result, establishing camps involves factors such as the following:

• strategic planning

• the selection of sites

• camp management

• options for phasing, development, and expansion

• cross-cutting factors, such as gender and age

• cross-sectoral issues, such as water and health. 410. Strengths of planned camps:

• facilitate distribution of food and other supplies

• facilitate identification of vulnerable groups and individuals

• can be planned to meet the needs of the affected population

• land use can be negotiated with governments without rent or purchase.

411. Weaknesses of planned camps:

• increase vulnerability to internal and external security threats

• limit access to income-generating activities

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• lead to competition over resources

• environmental damage and disruption to established methods of natural resource management result

• often cause disruption to the livelihoods of the host population.

412. Planned camps offer opportunities to:

• understand the needs of the displaced population and plan the camp appropriately

• develop a natural resource management plan

• involve both displaced and local populations in construction activities and by facilitating access to local markets

• give support to public meetings involving local and displaced populations. Both groups should be offered activities such as training courses or social events. This will help open channels of communication and prevent misunderstandings

• upgrade infrastructure, such as transport, health care, water and sanitation, schools, power generation and transmission, food production and security, police stations, prisons, and courts.

413. Threats to operations involving planned camps:

• camps may increase the vulnerability of displaced persons to security threats, both external and internal

• planned camps centralise resource extraction, leading to environmental degradation (such as deforestation, overgrazing, and erosion). Efforts should be taken to counteract these effects, and monitoring will then be required o keep track of environmental rehabilitation programmes.

4.4 Implementing a transitional settlement strategy

414. This section outlines the activities required to implement a coordinated and integrated transitional settlement plan consistent with the strategic planning process outlined in Chapter 1. It outlines the likely decisions of affected populations in the transit, emergency and early recovery phases, along with descriptions of the required responses of assisting groups, and notes and notes the desired outcome in terms of durable solutions.

See Chapter 1 ‘Strategic planning’

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415. Transitional reconstruction for non-displaced populations and returnees and transitional settlement for displaced populations need to be implemented simultaneously. This chapter should be read in parallel with Chapter 3, on reconstruction for non-displaced persons and returnees. The activities presented below deal solely with transitional settlement for displaced populations.

416. Achieving agreement on the strategy among all stakeholders prior to implementation is fundamental to successful implementation of the strategy. The affected population, both hosted and hosts, may well be finding it difficult to cope not only with the aftermath of the disaster, but also with the sudden arrival of representatives of the national government and international community. Obtaining agreement on the strategy to be undertaken in collaboration with these and other stakeholders is an opportunity for confidence building, as well as ensuring that useful discussions continue throughout implementation, and that responsibilities are agreed to and met.

417. The activities presented below should be consistent and coordinated with the activities of other sectors, such water and sanitation and health.

418. The different roles, responsibilities, needs, interests and capacities of disabled persons, men, women, children and the elderly must be reflected in programme and project planning. Equal access to aid provision includes livelihoods, education and recreation.

419. Vulnerable groups and individuals may have difficulties expressing their opinions and may need additional support.

420. For each phase of the response, a brief description of the likely responses of the affected population and the required responses of assisting groups is provided. Diagrams in the margin show the likely responses of affected populations in each phase.

4.4.1 Transit phase

The period following a disaster during which some members of the affected population are displaced and move away from their homes and land into transitional settlement options.

Likely transitional settlement responses of affected populations

421. There will be very different reactions depending on the speed of onset of the disaster. If there is time, families may be able to coordinate with other family members and the wider

Displaced population moves to safer areas

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community and form a strategy before displacing.

422. Fleeing a disaster, displaced persons are likely to be shocked, and concerned with their own and their families’ survival. There may be panic.

423. Families are likely to split up with different members carrying out different tasks, including caring for vulnerable family members. Some family members may stay in the home to protect the property, for example, while others move, taking with them goods or livestock. The response will need to support both those who are displaced and those who remain.

424. If there are several displaced families from a single area of origin, it is likely that they will try to self-settle in close proximity to each other, in an attempt to maintain their community and its coping mechanisms.

425. The displacement may be influenced by external groups and security threats, as well as by the hazard itself. The displaced population may be subject to restrictions on their movement for a variety of reasons. As a result they may be forced unwillingly into transitional settlement options. However, they may also be positively influenced in their choices by representatives of government or humanitarian aid agencies.

426. Communities consisting of several families often discuss and coordinate their response among themselves, with different parts of the community carrying out different tasks, including caring for the vulnerable. Members of the community are likely to move at different times following the disaster, thereby extending the transit phase.

Required transitional settlement responses of assisting groups


427. A collective statement should be drafted by stakeholders on what the response aims to achieve, in order to gain consensus over the desired end state. The objectives will be refined as more and more stakeholders are able to provide input. The objectives should also include indicators to warn if the objectives are not being met, acting as ‘tripwires’. Equally important is for stakeholders to commit to modifying the programme if required, using indicators relevant to the phase of response, for example,



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prevalence of acute respiratory infections might be a useful indicator in the emergency phase, while livelihoods recovery would be an indicator relevant to the recovery phase.

428. The main objectives of transit support are:

• to increase the chances of survival of the displaced population, shelter support should be provided to life-saving activities, such as health, water and sanitation. Early screening can be vital

• to form a better understanding of the nature and scale of the influx of displaced people (information about their places of origin and points of entry, gender composition, and vulnerabilities will aid influx management and the preparation of further response)

• to support the shortest distance and shortest duration of displacement, in order to maximise protection and security and prevent subsequent relocation. The displacement might only last a matter of days, and the support provided shouldn’t be such as to extend displacement unnecessarily.


429. Stakeholders who are not included within coordination mechanisms should be identified and their involvement encouraged.

430. It is essential to obtain information from appropriate sources and share it widely. Reception and transit centres are useful locations for doing so. The affected population will want to locate family members and find out where they should be moving to. They will also be able to provide vital information on the situation in areas they have left.

431. United Nations Disaster Assessment and Coordination (UNDAC) teams may be deployed within hours of a disaster, carrying out rapid assessment of priority needs and supporting national authorities and the United Nations Resident Coordinator to coordinate international relief, including search and rescue. Civil protection bodies, including fire services and the police, are also likely to be involved at this stage. Pro-active steps must be taken to establish and maintain communication between all coordination mechanisms, including those of the affected populations, to ensure a coordinated response, and an effective handover to agencies arriving during the emergency phase.


432. On the basis of the most likely scenario outlined in Activity



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3, stakeholders should identify and describe the main barriers and opportunities facing the response so that the required measures can be taken to achieve the strategic planning objectives.

433. Likely barriers for the displaced population in their attempts to move to safety include distance, damage to infrastructure or topographic barriers. Lack of access to support, including hospitals or appropriate shelters, also results from the vulnerabilities of members of the affected population, which may include children, the elderly and disabled persons. They will need appropriate assistance to ensure that their needs are met.

Activity 4. Transitional settlement plan

434. Determining which options people are likely to adopt, and why, allows a decision to be made on which of them should be supported, and how much support will be required for each of them. By seeking and sharing information through assessment activities, it also becomes possible to determine whether additional options will be required.


The phased arrival of financial and other resources must be planned for, so that likely needs for displaced persons based on initial assessments can be met.


435. The aim of the implementation plan is to provide the resources identified by assessment to the right people, when they need them. For example, if overnight shelters are needed for people in transit, existing structures might need to be repaired, or new structures built.

436. Support is often organised through a network of temporary facilities placed along the route of displacement, including way stations, transit centres and reception centres. These need to be supported with capacity, resources and information. They will also be vital sources of information.

437. Based on the nature of the influx, decisions can be made to deploy and support teams for way-stations, and transit and reception centres can be prepared, allowing the aid community to stay one step ahead of the crisis. When populations are still on the move, the influx is rapid, or there are concerns for general security, an estimate should be used until the situation stabilizes and is conducive for registration.

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438. Transit may continue for some time, as families and communities re-group or delay making decisions about which transitional settlement option to choose. In this case, basic services to support operations will be needed.

439. Controlling, directing, or limiting transit have frequently occurred for political reasons, and in order to disrupt humanitarian response, so aid organisations should be aware of this risk.

440. Displaced persons should also be supported in their attempts to salvage belongings from their homes, in situations that might be dangerous.

441. Urgently required measures to improve site planning and layout, when displaced persons are likely to be establishing self-settled camps, should be identified and implemented as soon as possible.

442. When self-settled camps are being supported, structures will have to be identified or built which can serve as reception centres in case of a large influx. These will allow people to be registered, receive a first health check and receive initial assistance. If humanitarian aid agencies are expecting the arrival of more displaced people in the area, a fundamental task is to identify new sites for the expansion of the existing camp and to ensure that they conform to safety regulations and minimum standards.

443. Capacity in reception facilities is often taken up by vulnerable people and individuals wishing to make use of services or to await other family members who are still in transit. Such a use of settlement capacity by displaced groups may slow or block the transit network. It is important to ensure that the reasons for any blockage are understood, and that vulnerable people and others have appropriate alternatives to remaining in the transit facility.

444. At the onset of displacement, scenarios and plans should be developed based on various potential durable solutions for the displaced population, and to anticipate any developmental goals that may follow the emergency phase of assistance. Future alternative uses for transitional settlement facilities and assets should also be identified as early as possible.


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assisting those in transit to make informed decisions, for example on how to reach reception centres.


446. Immediate assessments provide information about the needs of the affected population, possible intervention types and resource requirements. A rapid assessment normally takes one week or less. It is followed by detailed assessments.

447. Assessments, which may require expert capacity, will need to be undertaken of the following factors (discussed further below):

• risks, to the displaced population, from natural hazards or human threats

• population needs, for shelter and other infrastructure to support life-saving activities

• damage to buildings and infrastructure

• resources, including human, materials and logistics resources.

448. Risks: the main concern is to assess the risks associated with the place from which people are moving; it is also important to assess the risks associated with the places they are moving to, and of the places in between. Displaced populations may be moving to settlements which have been damaged to some extent or are hazardous for other reasons. A hazard map of the area should be developed, including the sites of any transitional settlements and access to them, as well as the vulnerabilities of the people affected, their livelihoods, and their communities (vulnerability assessment).

449. Population needs: the needs of and opportunities for displaced populations and their hosts should be considered separately, with further disaggregation in order to understand the needs of specific groups, differentiated by sex and age. The strategic plan however, should integrate support to the displaced and their hosts.

450. Resources: those resources that can be organised before the onset of the emergency phase should be identified. Resource assessments include the following:

• human resources. The people who will provide the first and main response to the disaster will be the affected population. The hosting population will also offer rapid support. Support is also likely to come from the government and from private contractors and then from the international

See Toolkit 5.3 ‘Assessing damage and needs and resources of the affected population’

See Section 1.2.2 ‘Assessment, monitoring and evaluation’

IFRC, 2005



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humanitarian aid community. Specialist capacity may be required. For example, surveyors or those able to carry out risk mapping will probably need to be brought to the relevant location and supported. Early consultation with all stakeholders will help agencies to estimate the potential capacity for hosting displaced families. This should take into account ethnic and religious compatibility, livelihoods, and overall numbers of families

• materials. Local materials should be used as far as possible, even in the transit phase. However, emergency distribution of materials from outside, such as plastic sheeting, may be required

• logistics. Distribution and logistics capacities often determine the success or failure of the response. Developing an appropriate distribution system for a project is vital. It should support the wider project objectives, ensure fair provision of supplies, ensure support for vulnerable families, and maintain assessment, monitoring, and evaluation processes.

451. During the transit phase, repeated assessment, monitoring and evaluation should be used to identify:

• the coverage of each option

• gaps in coverage

• specific tasks to be completed. 452. When the affected population are moving into urban and/or rural self-settlement options, it is useful to assess potential sites and verify the capacity of the local community and region to absorb the influx, assess local population size, demographics, patterns of dispersal and livelihoods, and consider how they might be affected by the estimated influx of displaced people.

453. Evaluation in the transit phase should inform:

• return of the displaced population

• future preparedness planning.


454. Based on the initial assessment, a set of scenarios should be developed with broad input from stakeholders, of alternative future events. These are used to identify potential paths towards the planning objectives.



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455. Different possible scenarios should be described, including best and worst, and the most likely to occur, along with indicators to recognize when these are occurring and changing.

456. In the transit phase the likely worst case scenario will be that the threat from the hazard continues or worsens, leading to the need for further displacement.


457. In the transit phase, the relevant laws, codes, standards and principles will need to be identified, as explained in Chapter 2. It is vital to understand the relevant national and customary laws, to ensure the safe movement of people and often their livestock across land, and to ensure that they have access to water, shelter, and other requirements as they move. National law provides information on the government’s responsibilities.

458. The support offered to displaced populations should also adhere to the relevant standards and principles, which must be discussed and agreed on by stakeholders as soon as possible. Work should begin on obtaining agreement among stakeholders, including government, of which standards and principles are relevant and applicable in the current situation.

459. Advocacy efforts may be required to remind stakeholders of their responsibilities under law, and of the relevance and need for internationally agreed standards and principles.

460. If the displaced population is crossing a border, the relevant legal aspects will need to be tackled. In the case of a complex emergency, such as a civil war, negotiations with factions in conflict might be required to ensure the safe transit of the affected population.


461. Handover from the initial responders to those arriving in the emergency phase should cover the entire affected population. Handover should enable those coming in to understand what has been occurring and the reasons for decisions that have been taken.

4.4.2 Emergency phase

The period following transit during which displaced populations reach a displacement option.



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462. As in the transit phase, the affected population are likely to be shocked, and concerned with the survival and safety of themselves their families. They may also be concerned to protect or recover their possessions at home.

463. Displaced persons may be subject to restrictions on their movement for a variety of reasons. As a result they may be forced unwillingly into transitional settlement options.

464. Some displaced people may be anxious about registering with the relevant authorities, and this may affect the transitional settlement option they move into.

465. If families settle in grouped self-settlements, these are usually established before the arrival of aid organisations. Displaced communities often choose this option because they find living in a group preferable for social reasons, for a sense of security, and in the hope that it will improve their chances of receiving external assistance.



466. Once the transit phase is complete, the objective is to support both the displaced and host populations, ensuring that their safety is maintained, for example that they are warm and dry, and have access to safe water and food.

467. Objectives also include ensuring the safety of the affected population if they attempt to return home to salvage and protect their possessions. They should be provided with the necessary information and support to prevent them from putting themselves at risk, for example, by marking danger zones or unsafe buildings.


468. Support activities, such as assessment, need to be coordinated to ensure that all members of the affected population are being assisted as needed. Media coverage of events may encourage local people to provide assistance, which should be coordinated within the wider response.

469. Effective coordination between national and international organisations needs to be established.

Displaced populations move into and between settlement options



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470. Communication needs to be maintained between coordination mechanisms, so that links are maintained even when organisations and individuals change (for example, when the mandate of their organisation expires).

471. When self-settled camps are being supported, aid agencies should negotiate with the relevant coordination mechanism, and with the local authorities on behalf of displaced persons already living within the self-settled camp, in order to recognise their rights and define a strategy for the new caseloads.

472. Information should be provided to all possible stakeholders, and up-dated frequently. A public information plan should be developed, involving government, local and international stakeholders.


473. The main barriers to successful achievement of the strategic objectives are likely to have changed with events. It is often the case, for example, that delays in transport become the major barrier in the emergency period.

474. As one barrier is overcome, another will be identified and in turn require:

• discussion of its likely impacts

• quantifiable indicators as to whether the situation is improving or worsening

• what has been done about it?

• what can be done about it?


475. Stakeholders will need to decide whether the transitional settlement and reconstruction plan requires updating, and whether support is being provided appropriately. In order to do so, they will need to discuss:

• which of the options to support

• where they are

• how much support is required for each, for example how many camps are in existence and how many people are in them.



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• The phased arrival of financial and other resources must be planned for, so that all displaced people can be supported appropriately.


476. Ongoing efforts should be made to map the location of the affected population and response capacity.

477. Schedules of works should be updated as required.

478. During the emergency phase, families should be settled in a way that respects their community structure as far as possible, so as to reinforce their coping strategies. Preparations need to be made to meet the immediate needs of displaced persons, in terms of both infrastructure and services, such as health care.

479. When urban self-settlement is being supported, efforts should be made to provide support to the host community, as a conflict prevention measure.

480. In the case of collective centres, support should be offered to both local and displaced populations, to prevent tensions developing, and to support positive relations between the two communities. Rebuilding access to local markets is an active way of supporting livelihoods and coping strategies. Another way of doing so is to involve as much as possible both local and displaced populations in reconstruction.

481. Vulnerable individuals, families, or groups will need to be provided with additional assistance. In order to provide appropriate assistance, it is important to register both displaced and non-displaced populations.

482. Shelter support to communal infrastructure will be required, including water, health, education, and access.

483. The distribution of shelter non-food items (NFIs) should follow the specific needs of the affected population. NFIs should be distributed with the involvement of the affected population, be equitable, and take place in an organised manner, with monitoring to ensure that ongoing needs are being met.

484. The design and distribution of shelter NFI packages, whether of household items such as blankets and cooking utensils, or of construction materials, is a continuous process. Once items have been sourced and purchased, their journey from the supplier

See Section 3.4.1



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to each population group requires a distribution system. The system must be carefully managed within a distribution project to minimise breakage, cost, environmental wear and tear, and theft.

485. Financial management of transitional settlement support usually requires significant disbursements of funds, which may be a security risk. Payments to labourers must be made on time, and co-ordination among aid organisations operating in the same area is important to ensure consistency. Records must be kept of all disbursements, including payments in cash or in kind to workers, who should be asked to sign receipts.

486. Health and safety measures should be in place to safeguard the wellbeing of the workers, and to respect their rights. They are important for other reasons too: organisations need to maintain a good reputation, and local employment laws assign responsibility and liability for health and safety to the employer.

487. Polythene plastic reinforced sheeting is often distributed in the early stages of an emergency. Sometimes plastic sheeting is distributed as part of a shelter NFI package which includes ropes and materials such as bamboo or bush poles, to build a structural frame for a shelter. Any plastic sheeting distributed should meet standard specifications.

488. Aid organisations, the donors supporting distribution projects, and local authorities may have policies and procedures concerning the sources of materials and commodities procured. Basic considerations include ethical, environmental, economic and developmental concerns.

489. Different climates will require different transitional shelter designs, taking into account seasonal variations. Family shelters and other constructions should be designed and supported to meet the worst local weather conditions. Shelter and NFI needs also vary, depending on the climate.

490. Site selection plays a fundamental role in reducing or increasing the impact of vector-borne diseases on a population. Other measures include the provision of treated mosquito nets and rodent-proofing of buildings. Consideration should also be given to the fire, earthquake, volcanoes and flood hazards.

491. Local climatic variations should be considered when siting a settlement and in settlement design: for example, wind may be funnelled through gaps in mountains, or the site may be shaded from the sun in deep valleys. Particularly at high altitudes, it can be significantly colder in the shade than in the sun. Water-supply pipes must be buried underground to prevent freezing

Oxfam/IFRC,

2007

Corsellis & Vitale, 2005



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492. Care should be taken when applying a general format when negotiating contracts for construction works or materials supply. It is usually necessary to adjust contracts to fit the specifics of the job, and the law in the country in which it is being carried out.


493. Both the displaced and local communities should be involved in planning from the outset. It should be possible to employ labour from both the displaced and local communities, even if contractors are used for all works.

494. Host and displaced populations should be introduced to each other on a formal level.

495. Displaced persons are likely to be fully involved in organising shelter for themselves and their families, but may be encouraged to join collective activities. The participation plan aims to organise capacity to construct collective services such as reception centres. People involved in community services should be supported appropriately in order that they can do so.

496. It is vital to involve vulnerable groups identified during ongoing assessment activities. Methods for involving vulnerable groups include:

• identifying existing social groups and networks

• holding focus groups for minority groups

• holding meetings in a variety of locations

• holding meetings at different times of day. 497. When rural self-settlement is being supported, the international community will need to undertake advocacy efforts with local authorities and communities to determine the availability of suitable land, options for the transitional use of common land, and local traditions of natural-resource management. If the displaced populations are too difficult to reach, increasing operational capacity or supporting the affected population to move to a different location should be considered.


498. Assessment in the emergency phase aims to ascertain the location of all displaced persons and what settlement options they are in. When displaced populations are in dispersed settlement options, appropriate methods of assessment should be established. If displaced persons are too difficult to reach, increasing operational capacity or discussing with the affected



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population options for relocation should be considered.

499. If suitable contingency plans are in place, they should be consulted, updated, and used to form the basis of the response.

500. In most cases, both displaced and non-displaced populations will need to be assessed. People will move between options, and will generally return home as soon as possible.

501. As in the transit phase, assessments will require the relevant expert capacity. They will need to assess once again the following factors:

• risks

• population needs

• damage

• resources, including human resources, materials and logistics.

502. Registration and influx monitoring remain important mechanisms to gain an early understanding of the scale of the influx. The process should be evaluated, so that outflow or any resumption of influx can be dealt with.

503. Information should be provided to any families in hazardous areas, based on ongoing risk assessments. It should be decided whether it is appropriate to assist the affected population in existing options, or whether relocation is necessary. If affected populations are self-settled in inappropriate locations, advocacy will be required to inform them of the risks involved and of alternative options.


504. Scenarios may need to be updated as events unfold, and on the basis of the indicators established during the initial elaboration of scenarios, such as unexpected changes in the weather.

505. Likely scenarios are that the influx continues, that it stops, or that people begin to return home. It is also likely that members of the displaced population move between settlement options. They may use their first place of settlement as a base in which to gather family members, reform their community, and decide on future movements.

See Section 1.2.2 ‘Assessment, monitoring and evaluation’



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506. The monitoring of the application of agreed standards and principles is an ongoing activity. If any stakeholders are not meeting their responsibilities as agreed, advocacy will be required to improve the situation.

507. The basis on which international organisations can work needs to be established. For example, the legal basis for importation of goods.


508. If there are changes of coordination mechanism and responsibility, entire areas of responsibility need to be handed over, and any additional responsibilities identified.

4.4.3 Early recovery phase

The period between the major influx of displaced people and the point when every member of the displaced population has reached a durable housing solution and is no longer displaced.


509. Members of the affected population are likely to be considering or taking up alternative options depending on their livelihoods and community coping strategies; some family members may be moving out of camps or rural areas to seek work, for example, or returning home. They may be moving between options as a result of the degree of assistance made available to each of them, or because of the hardship resulting from the length of time spent in the option selected.



510. Support should be provided to movement between options when such movement is safe and appropriate, and offers better livelihood support.

511. The core of any transitional settlement programme in the early recovery phase should be a deliberate and sustainable movement from the provision of services solely by external organisations to self-management and self-help. This involves enabling and empowering displaced communities to analyse and

In the early recovery phase, some of the displaced population may return home



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meet their own needs.


512. During the early recovery phase, different organisations often take responsibility for different sectors, such as food distribution, water and sanitation, and health care. Effective coordination is therefore vital in identifying and meeting common objectives. In some cases, especially with planned camps, different organisations take on this management and co-ordination role in different phases of operations.

513. Similarly, transitional settlement needs will change with time. For example, the displaced population might begin to cultivate land, or the demographics might change through natural population growth, leading to a rapid large-scale influx of new migrants. Such changes should be tracked through monitoring processes, and the transitional settlement response should be adapted accordingly.


514. The major bottlenecks preventing people from returning home often include land and housing tenure problems, and lack of accurate information to assist people in tackling these problems.

515. There may also be difficulties in providing the capacity to support reconstruction in people’s home villages, towns and cities.


516. When self-settled camps are being supported, it should be determined whether the existing camps meet international standards, such as those concerning density. On this basis action may be required, for example to reduce the density of occupation of the camp by locating some families in an extension area. Health, water, and sanitation professionals should be consulted to determine how best to support the up-grading of services. For example, the water and sanitation infrastructure may be improved by providing family latrines and a water point for each community.


517. While immediate financial resources are likely to have arrived, it is equally likely that there will be gaps in funding and in materials and human capacity. The resource plan must take account of changing resource needs as displaced persons move between displacement options and return home to reconstruct.



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518. When host families are being supported, skills training leading to income-generating activities should be offered as soon as possible, in order to reduce dependency. Education professionals should be consulted to determine how best to support the access of the displaced children to the local school system, and to augment the built infrastructure, as appropriate.


519. When urban self-settlement is being supported, the existing local authorities should be involved as much as possible in defining and implementing support measures. Consider capacity building within the existing urban administration as a programme objective. Also consider improvements to local infrastructure and services that can be of benefit to both host and hosted populations.

520. Coordinated information needs to be agreed on by all stakeholders and disseminated by means of information packs, radio and television, and on posters and notice boards. Information should be supplied to displaced persons, in their places of displacement, which often includes host families in nearby towns and villages. Such information should provide them with information concerning their rights, and in dealing with any paperwork required. Information campaigns often include visual messages on posters and in comic strips, demonstration shelters and houses.


521. It is essential to ascertain out why the displacement is continuing. In the case of natural disasters, displacement should only extend beyond the emergency phase if there is an ongoing threat caused by the natural hazard, or the sheer scale of the disaster makes it impossible to return. Otherwise, lack of capacity of assisting groups or political constraints that are extending the displacement. The latter include problems over establishing land tenure, often the case for tenants.

522. The abilities of displaced households to support themselves through work should be appraised.

523. Monitoring activities map how people are moving between options and why.


524. Ongoing assessment activities provide information on the



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scenarios developed in the emergency phase, and whether the likely scenario identified then is indeed occurring. It may be that different scenarios need to be developed, or that the best or worst case scenarios are occurring.


525. It is important to monitor the adherence to agreed standards and principles. Those living with host families are often overlooked, but support to both host and hosted populations is often required.

526. Support to displaced persons who wish to return home but are experiencing legal difficulties in establishing their land and housing rights often includes advocacy to government to accelerate adoption of the required legislation.


527. Once durable solutions have been reached for the displaced population, there remains the need for exit strategies. Organisational and physical assets must be either handed over locally or recycled within humanitarian organisations. Scenario planning of exit strategies, at strategic, programme, and project levels, will make this process easier and will assist in developing the following:

• the transfer of capacities and skills, both locally and within the aid community

• the tracking of assets within the aid community, so that capital items such as heavy equipment can be recovered for later operations

• possible developmental objectives: for example, supporting local primary health care by the construction of a permanent clinic, combined with finding staff and resources to run the clinic following final handover to local authorities.

528. If the aid organisation built any collective infrastructure as a response to the emergency, including infrastructure used by the organisation, it should be handed over, either to the local authorities or to the local population.

529. When host families are being supported, repeated handovers are opportunities to assess progress and the impacts of the response. The organisation responsible for the programme must ensure that each host family understands that the programme has been completed. Attention should be given to reviewing any agreements entered into with families and local



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authorities, ensuring the transfer of outstanding responsibilities as appropriate. Part of this review should include appropriate evaluation.

530. In the case of dispersed settlement, such as accommodation with host families, handover might mean that resources previously used to support displaced persons, such as housing and agricultural resources, are retained by the host population on a family-by-family basis. In the case of grouped settlement, infrastructure and facilities might be handed over to the previous owner of the facility; for example, a gymnasium used as a reception centre might be refurbished and returned to the local authorities.

531. Although collective centres should be the first transitional settlement options to be discontinued, they are often the last. As such, they have been used as opportunities to expend remaining project funds. Care should be taken to ensure that such expenditures are the most appropriate use of the resources available.

532. When assets cannot be handed over, programme facilities will simply have to be closed and the assets recovered. This might be the case because the facilities provided for the displaced population are too large for sustainable use by the local population.

4.4.4 Durable solutions

The point when the displacement has ended because sustainable and permanent settlement and shelter have been rebuilt and allocated to populations formerly displaced.

533. The objective of the early recovery phase was to ensure that all those displaced by the disaster have returned home with a basis for ensuring their own livelihoods.

534. No one should be left behind in this process, and as much as possible all displaced people should reach durable solutions at the same time.

535. The response should also have resulted in a lasting capacity to respond, through building back better, the mapping of hazards, the existence of relevant and enforced building codes, and the participation of the population in preparedness for predicted emergencies.

536. A legal structure able to respond to future emergencies should be in place.



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537. The coordination mechanisms should be in place to respond to any future emergency, so that in any future emergency, the government and its ministries can coordinate effectively with national and international stakeholders.

538. The evaluation of the response should lead to a set of lessons learned, captured and made available as part of handover. These lessons allow an understanding of the changes that have occurred (for example, in types of occupancy). They also inform contingency planning. The likely scenarios and critical paths for future emergencies should also be understood as part of this process.

539. Innovative and tailored approaches to durable solutions are required, that are carefully matched to the needs of people and the local situation, the affected and host populations, and recognising the diversity of solutions. This includes activities around return, such as helping people return to rental accommodation.

Notes to inform Review Panel Meeting 8


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5 Toolkits for transitional settlement and reconstruction


5.2 Community participation

5.3 Assessing damage and needs and resources of the affected population





The toolkits in this chapter are currently being written by consultants.

Chapter

5 The toolkits offer guidance that is directly relevant to both transitional reconstruction (chapter 3) and settlement (chapter 4) in the form of a comprehensive series of practical activities.



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6 Resources for transitional settlement and reconstruction


6.2 Key references

6.3 Services

6.4 Specialist agencies


apartment owner-occupiers: An apartment owner-occupier is someone who owns and lives in an apartment or part of a house.

apartment tenants: An apartment tenant is someone who rents part of a building in which to live.

asylum: The grant, by a State, of protection on its territory to persons from another State who are fleeing persecution or serious danger. A person who is granted asylum is a refugee. Asylum encompasses a variety of elements, including non-refoulement, permission to remain on the territory of the asylum country, and humane standards of treatment (from transitional settlement – formal terms, TSDP, p. 412. source: UNHCR [2002b])

camps: Refugees find accommodation in purpose-built sites where a full range of services, for example water, sanitation, are provided, usually exclusively for the population of the site. High-density camps with very large populations are the worst possible option for refugee accommodation. However, this may be the only option because of decisions by the host country or simply because of a lack of alternatives. They are common in areas with little or no pre-existing infrastructure or where the size of the refugee population is such that it would put an intolerable strain on the local resources if [dispersed settlement or mass shelter] were used (from transitional settlement – formal terms, TSDP, p. 412. source: UNHCR [2000]).

cluster planning: aims to create decentralised clusters of communities, where shelters are grouped together, to clearly define social units (from transitional settlement – formal terms, TSDP, p. 413. source: UNHCR [2002a]).

collective centres: Also referred to as mass shelters, collective

Chapter

6 The resources chapter provides a glossary of terms; an annotated list of key references; a set of useful support services; and details of relevant specialist agencies.



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centres are usually transit facilities located in pre-existing structures, such as community centres, town halls, gymnasiums, hotels, warehouses, disused factories, and unfinished buildings. They are often used when displacement occurs inside a city itself, or when there are significant flows of displaced people into a city or town (TSDP, p. 105).

complex emergency: a humanitarian crisis in a country, region or society where there is total or considerable breakdown of authority resulting from internal or external conflict and which requires an international response that goes beyond the mandate or capacity of any single agency and/ or the ongoing United Nations country program (IASC, from www.unisdr.org)

disaster: a serious disruption of the functioning of a community or a society causing widespread human, material, economic or environmental losses which exceed the ability of the affected community or society to cope using its own resources (UNISDR, www.unisdr.org)

dispersed settlement: refugees find accommodation within the households of families who already live in the area of refuge. The refugees either share existing accommodation or set up temporary accommodation nearby and share water, sanitation, cooking and other services of the pre-existing households (from transitional settlement – formal terms, TSDP, p. 413. source: UNHCR [2000]).

displaced persons: persons who, for different reasons or circumstances, have been compelled to leave their homes. They may or may not reside in their country of origin, but are not legally regarded as refugees (from transitional settlement – formal terms, TSDP, p. 413. source: UNDHA [1992]).

displaced populations: persons who, for different reasons or circumstances, have been compelled to leave their homes. They may or may not reside in their country of origin, but are not legally regarded as refugees (from transitional settlement – formal terms, TSDP, p. 413. source: UNDHA [1992]).

durable solutions: The durable solutions phase can be described as the period when sustainable and permanent settlement and shelter have been achieved for the affected population (modified from TSDP, p. 45)

emergency phase: The period immediately following a disaster during which those members of the affected population who have not been displaced will be living in homes which have damaged to varying degrees and who have varying requirements to ensure their survival and wellbeing.



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family plot: a small piece of land allocated to an individual family for their own management (TSDP, p. 411)

grid planning: creates repetitive patterns of long rows of plots and/or shelters (from transitional settlement – formal terms, TSDP, p. 413. source: UNHCR, 2002a).

hazard: A potentially damaging physical event, phenomenon or human activity that may cause the loss of life or injury, property damage, social and economic disruption or environmental degradation (ISDR, www.unisdr.org)

host families: This settlement option involves sheltering the displaced population within the households of local families, or on land or in properties owned by them.

house owner-occupiers: An owner-occupier owns both the land on which they live, and the building built upon it.

house tenants: A house tenant rents the land and the house in which they live.

housing: lodging, shelter for human habitation. The immediate physical environment, both within and outside of buildings, in which families and households live and which serves as shelter. Also, a government project to provide shelter to low-income groups. (from Scoping Study, page 6. source: UN-Habitat, multilingual glossary, p. 61).

influx: the influx is the number of displaced people arriving at a certain point.

informal owner-occupier: the occupant owns their house, but has no formal land ownership.

internally displaced persons (IDPs): Persons displaced from their habitual place of residence by disaster, fear of persecution or fear of physical harm, but remaining within the territorial limits of their country of origin. Like refugees, IDPs have no internationally defined legal status (from transitional settlement – formal terms, TSDP, p. 413. source: DFID [2003]).

land tenants: The beneficiary owns their house, but rents the land

livelihoods: the ways in which people manage their lives in order to access the resources that they need, individually and communally, such as food, water, clothing, and shelter (TSDP, p. 411).

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meet their communal needs, such as schools, hospitals, water-distribution systems, electricity grids, market services, roads, and bridges (TSDP, p. 411).

mass shelter: refugees find accommodation in pre-existing facilities, for example, in schools, barracks, hotels, gymnasiums. These are normally in urban areas and are often intended as temporary or transit accommodation (from transitional settlement – formal terms, TSDP, p. 413. source: UNHCR, 2000)

physical planner: the UNHCR term for an aid worker specialising in temporary settlement and shelter, and specifically the layout of camps [supported temporary settlements]; also termed ‘site planner’ and ‘camp planner (from transitional settlement – formal terms, TSDP, p. 414. source: UNHCR (2002b)

plan: a plan is a report which presents a detailed course of action in response to a profile. It should identify which organisation is to undertake which particular activity, and over what period. Plans must be constantly revised, both through monitoring processes and through integration with other plans at different planning levels (TSDP, p.29).

planned camps: Planned camps are places where displaced populations find accommodation on purpose-built sites, and a full services infrastructure is provided, including water supply, food distribution, non-food item distribution, education, and health care, usually exclusively for the population of the site (TSDP, p.124)

prefabricated shelters: shelters made in separate parts which need to be assembled on site upon delivery (TSDP, p. 411).

profiles: understanding the social and physical contexts of a conflict, natural disaster, or complex emergency is essential to developing plans of action to implement responses. This understanding must be developed into a ‘profile’, or an analysis of current circumstances (TSDP, p.29).

programme planning: programme planning deals with the needs of a specific group of displaced people. For instance, all projects within a particular camp are combined to form a project plan to provide for the TS needs of the camp’s inhabitants (TSDP, p.29).

project planning: project planning develops and manages the activities required to undertake each project within a programme. For example, the programme plan for a camp might require the expansion of a clinic. This would involve the production of tendering documents and schedules of work – activities which are co-ordinated within the project plan (TSDP, p.29).



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reception centre: Reception centres provide clean water, cooked food, non-food items, full medical screening, full registration, and wider assistance and social services. Their role is to support the displaced populations and to guide them to their chosen transitional settlement option.

reconstruction: action of constructing one or more new buildings to replace buildings which have suffered damage, or repair of damaged buildings. (from Scoping Study, page 6. source: UN-Habitat, multilingual glossary, p.109).

refugee [Due to the length of the full Definition of the Term ‘Refugee’, only the key passage is reproduced here.]: For the purposes of the present Convention, the term ‘refugee’ shall apply to any person who [...] owing to well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion, is outside the country of his nationality and is unable or, owing to such fear, is unwilling to avail himself of the protection of that country; or who, not having a nationality and being outside the country of his former habitual residence as a result of such events, is unable or, owing to such fear, is unwilling to return to it. (from transitional settlement – formal terms, TSDP, p. 414. source: UNHCR (1951/1967).

resettlement: actions necessary for the permanent settlement of persons dislocated or otherwise affected by a disaster to an area different from their last place of habitation (from transitional settlement – formal terms, TSDP, p. 414. source: UNDHA, 1992)

rural self-settlement: rural self-settlement takes place when displaced families settle on rural land that is owned collectively, rather than privately.

self-settled camps: a displaced community or displaced groups may settle in camps, independently of assistance from local government or the aid community. Self-settled camps are often sited on state-owned or communal land, usually after limited negotiations with the local population over use and access (TSDP, p. 114).

settlement: a community of covered living spaces providing a secure, healthy living environment with privacy and dignity to the groups, families, and individuals residing within them (TSDP, p. 411).

shelter: a habitable covered living space, providing a secure, healthy living environment with privacy and dignity to the groups, families, and individuals residing within it (TSDP, p. 411).

shelter: shelter is a critical determinant of survival in the initial



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stage of an emergency. Beyond survival, shelter is necessary to enhance resistance to disease and provide protection from the environment. It is also important for human dignity and to sustain family and community life as far as possible in difficult circumstances. The purpose of shelter, site selection and physical planning interventions is to meet the physical and primary social needs of individuals, families and communities for safe, secure and comfortable living space, incorporating as much self-sufficiency and self-management into the process as possible (from transitional settlement – formal terms, TSDP, p. 414. source: Sphere Project (2000).

shelter and housing post-disaster are not understood simply as a multiple of family units, but instead consider the context of settlements, impacting the security, society, economy and environment of communities, and of their neighbours – for example, considerations of shelter and housing do not necessarily cover schools, or the siting of entire communities away from hazards (Scoping study, page 4, introduced as a new concept).

shelter post-disaster is not understood as either evacuation centres or ‘on-site shelter’, built next to damaged houses, but instead considers the full range of settlement options adopted by those affected by disasters – for example, previous understandings of shelter do not necessarily include supporting those living with host families, self-settling in urban and rural areas, and when necessary, siting and developing appropriate infrastructure for unplanned or planned camps (Scoping study, introduced as a new concept).

shelter, adequate: immediate environment for all aspects of family life, providing protection from the elements, secure tenure, personal safety, access to clean water and sanitation, proximity to places of employment and educational and health care facilities (Scoping study, p.6. source: UN-Habitat Multilingual glossary of human settlements terms, p.121).

shelter non-food item (shelter NFI): an article that meets a need related to transitional settlement or shelter but is not structural, such as blankets, mattresses, mosquito nets, stoves, and fuels (TSDP, p. 411).

shelter sector: abbreviation of the term ‘site selection, planning and shelter sector’, describing that part of the ‘transitional settlement sector’ which responds to the transitional settlement and shelter needs of refugees, within the mandate of UNHCR (TSDP, p.411).

shelter system: the combination of structural shelter items and ‘shelter NFIs’ that create shelter, possibly including local materials,



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such as a tent with locally procured blankets, mattresses, and a stove appropriate to a cold climate (TSDP, p.411).

squatter: a person occupying an otherwise abandoned housing unit or land without legal title to that unit or land. For example, persons who take up residence in unused or abandoned dwellings or buildings are squatters (Monitoring housing rights, United Nations Housing Rights Programme, Working Paper No. 1).

strategic planning: strategic planning manages transitional settlement on a national or regional level. It deals with the TS and shelter needs of the entire population displaced by a conflict, natural disaster, or complex emergency. Several or even all of the six TS programme options described in chapter 3 are combined to form a coherent strategy (TSDP, p.29).

tent: a self-contained shelter, normally consisting of poles, pegs, ropes, and tailored material.

transit: transfer of displaced populations from a border area, front line or hazardous area to a safer location (TSDP)

transit centre: transit centres provide short-term accommodation, usually overnight only, as well as clean water, cooked food, basic medical screening, and preliminary registration. There is usually a complete day’s travel between one transit centre and another, or between a transit centre and a reception centre. They should be set up on the route from a border or area of conflict to a transitional settlement.

transit phase: the period following a disaster during which some members of the affected population are being displaced and are moving away from their homes and land into transitional settlement options.

transitional settlement sector: the field of work related to the provision of settlement and shelter needs resulting from conflict and natural disasters, ranging from emergency response to durable solutions; aim: to provide transitional settlement support to communities, families, and individuals affected by conflict and natural disasters, as well as any hosting populations, to ensure their security, good health, privacy, and dignity (TSDP, p.410)

transitional settlement: settlement and shelter resulting from conflict and natural disasters, ranging from emergency response to durable solutions (TSDP, p. 410)

transitional shelter: shelter which provides a habitable covered living space and a secure, healthy living environment, with privacy and dignity, to those within it, during the period between a conflict



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or natural disaster and the achievement of a durable shelter solution (TSDP, p.410).

urban self-settlement: displaced populations may decide to settle in a town, occupying unclaimed properties or land, or settling informally.

vulnerability: “the characteristics of a person or group in terms of their capacity to anticipate, cope with, resist and recover from the impact of a natural or man-made hazard.” (International Federation. Vulnerability and capacity assessment: an International Federation guide. Geneva: International Federation, 1999.)

way station: interim stopping points, set up between borders, transit centres, and reception centres at distances equivalent to about half a day’s walk. They provide food and drink to displaced people en route to a transitional settlement, but they are not intended to offer accommodation, which should be provided at transit centres (TSDP, p. 362).

6.2 Key references

Aursnes, Ingunn Sofie and Foley, Conor (2005). Property restitution in practice: The Norwegian Refugee Councils’ experience. Norwegian Refugee Council.

Available for download from: http://www.reliefweb.int/library/documents/2005/nrc-gen-18apr.pdf

Binder A, Martin Witte J (2007). Business Engagement In Humanitarian Relief: Key Trends And Policy Implications. London, Humanitarian Policy Group of the Overseas Development Institute, HPG Background Paper.

Choularton, R (2007). Contingency Planning and Humanitarian Action: a Review of Practice. Network paper no. 58, March 2007 London, Humanitarian Practice Network, Overseas Development Institute (available for download from www.odihpn.org) .

This Network Paper explores the current process and practice of contingency planning in humanitarian organisations. It sets out the key terms and concepts relating to contingency planning, explores the contingency planning process, explains the main models used by humanitarian organisations and presents a new concept of the process that enables a more dynamic approach than previous

Choularton,

2007

Aursnes &

Foley, 2005



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frameworks.

Corsellis T, Vitale A (2005). Transitional Settlement: Displaced Populations. Oxford, Oxfam (available for download from: www.shelterlibrary.org).

These guidelines offer coordinators and specialists a common tool to develop and implement settlement and shelter strategies for the 20 million refugees and 25 million Internally Displaced Persons (IDPs) estimated worldwide.

COHRE (2007). The Pinheiro Principles. Geneva, Centre on Housing Rights and Evictions (COHRE) (available for download from: www.cohre.org).

This handbook provides practical guidance to all those working on housing and property restitution issues. It aims to strengthen the protection of restitution rights, to provide guidance on the international standards governing implementation of housing, land and property restitution programmes, and to promote durable solutions for internally displaced persons and refugees.

Davis, A (2007). Concerning Accountability in Humanitarian Action. Network paper no. 59, March 2007. London, Humanitarian Practice Network, Overseas Development Institute (available for download from www.odihpn.org).

This paper asks whether initiatives designed to improve accountability really are the solution to the problems humanitarianism faces today. It seeks to show that accountability is a procedural phenomenon, not a moral one. Imposing it in the absence of a more specific understanding of what it means is dangerous, and subject to instrumentalisation and manipulation.

FAO, NRC IDMC, UN OCHA/IDD, OHCHR, UN HABITAT, UNHCR (2007). Housing and Property Restitution for Refugees and Displaced Persons Implementing the ‘Pinheiro Principles.’

Humanitarian Accountability Partnership – International (HAP-I)

COHRE,

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hapinternational.

org

Corsellis & Vitale,

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Davis,

2007



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http://www.hapinternational.org/en/

HAP is a partnership of member agencies that share a commitment to making humanitarian action accountable to disaster survivors. The members of HAP seek to comply with and promote a set of Principles of Accountability through capacity-building, self-regulation, quality assurance certification and advocacy.

IASC (2001). Inter-Agency Contingency Planning Guidelines For Humanitarian Assistance. Inter-Agency Standing Committee Reference Group on Contingency Planning and Preparedness (available for download from: http://www.reliefweb.int).

This document provides guidelines on inter-agency contingency planning in humanitarian emergencies, and aims to respond to the need for a common inter-agency methodology on the basis of common planning parameters.

IASC (2006). Women, girls, boys and men - Different needs, Equal opportunities. Inter Agency Standing Committee (IASC).

In the rush to mobilise support, it is often forgotten that women, girls, boys and men often have different needs, face different threats and have different skills and aspirations, which can mean that I assistance is not properly targeted. This handbook offers practical guidance on identifying and addressing the differing needs and situations of women, girls, boys and men.

IASC (2007). Benchmarks for Durable Solutions for Internally Displaced Persons. Washington, DC, The Brookings Institution – University of Bern Project on Internal Displacement.

The benchmarks are intended to provide guidance primarily to the humanitarian actors. Their purpose is to assist international agencies and nongovernmental organizations (NGOs) and displaced persons to determine whether durable solutions to internal displacement have been found and, if not, to identify what is still required towards reaching that goal. They also help organizations with specific activities to assist and protect IDPs to determine if an individual’s displacement remains a reason for deserving special attention or whether the responsibilities should

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be handed over to other actors—for example, the government or development agencies.

ICRC (adopted 1864/1949/1977/2005). The Geneva Conventions. Geneva, International Committee of the Red Cross (available for download from: www.icrc.org/).

The ‘Geneva Conventions’ consist of four treaties and two additional protocols that initiated international law for humanitarian concerns. They provide, as part of international humanitarian law, a system of legal safeguards that cover the way wars are fought and the protection of individuals; and to protect those who do not take part in fighting or can no longer fight.

IFRC (1999) Vulnerability And Capacity Assessment: An International Federation Guide. International Federation of Red Cross and Red Crescent Societies, Geneva, 1999.

These guidelines provide advice on the organization of emergency assessments. The guidelines are designed for use by anyone undertaking an assessment: all members of the International Red Cross and Red Crescent Movement; generalists – no specific technical knowledge is required to use them.

IFRC (2003). International Disaster Response Laws, Principles and Practice: Reflections, Prospects and Challenges. Geneva, International Federation of Red Cross and Red Crescent Societies.

(http://www.ifrc.org/what/disasters/IDRL/research/publications.asp)

IFRC (2005). Guidelines for Emergency Assessment. Geneva, International Federation of Red Cross and Red Crescent Societies (available for download from: www.proventionconsortium.org).

These guidelines provide advice on the organization of emergency assessments. The guidelines do not explain every activity for every assessment but a framework within which an assessment can be organized.

IFRC, 2005

IFRC, 1999

ICRC,

1864/1949/ 1977/2005

IFRC. org



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IFRC. Guidelines for vulnerability and capacity assessment (VCA). http://www.ifrc.org/what/disasters/dp/planning/vcaguidelines.asp

IFRC/ICRC. The Principles and Rules for Red Cross and Red Crescent Disaster Relief. The International Federation of Red Cross and Red Crescent Societies and The International Committee of the Red Cross.

Adopted by the XXIst International Conference of the Red Cross (Istanbul, 1969) - revised by the XXIInd, XXIIIrd, XXIVth, XXVth and XXVIth International Conferences - Tehran (1973), Bucharest (1977), Manila (1981), Geneva (1986) and Geneva (1995). Prepared by the International Federation of Red Cross and Red Crescent Societies in consultation with the ICRC. actions and in the relief operations themselves” (Statutes, art. 6, Constitution, art. 3). In 1969, the 21st International Conference adopted the Principles and Rules for Red Cross and Red Crescent Disaster Relief, which set out a detailed structure for Movement cooperation in international disaster relief operations. The roles of the International Federation, national societies and ICRC are further clarified in the Seville Agreement of 1997, which sets out leadership and operating roles in armed conflict, disaster and mixed situations. In 1995, the 26th International Conference also adopted guidelines on the Role of Red Cross and Red Crescent Societies in response to technological disasters, notably nuclear and chemical disasters.

IFRC/Oxfam (2007). Plastic sheeting: a guide to the specification and use of plastic sheeting in humanitarian relief. International Federation of Red Cross and Red Crescent Societies/Oxfam International.

IRP/ADRC/ISDR/UNDP (2006). Learning from Disaster Recovery Guidance for Decision Makers.

A Publication from the International Recovery Platform (IRP) Supported by the Asian Disaster Reduction Center (ADRC), International Strategy for Disaster Reduction (ISDR) secretariat and United Nations Development Programme (UNDP) Preliminary version for consultation

May 2007 http://www.unisdr.org/eng/about_isdr/isdr-publications/irp/Learning-From-Disaster-Recovery.pdf

IFRC/ICRC,

1969/1973/1977/1981/1986/

1995

IFRC/

Oxfam, 2007

IRP, 2006

IFRC. org



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Organisation of African Unity (1981). African Charter on Human and Peoples' Rights (available for download from: http://www.africa-union.org/).

The African Charter on Human and Peoples' Rights (also known as the Banjul Charter) is an international human rights instrument that seeks to promote and protect human rights and basic freedoms in the African continent. Article 14 covers the right to property.

Overseas Development Institute. Accountability and Performance in Humanitarian Action. http://www.odi.org.uk.

This website provides information on the Active Learning Network for Accountability and Performance in Humanitarian Action (ALNAP).

Roche, C (1999). Impact Assessment for Development Agencies: Learning to Value Change. Oxford, Oxfam.

This book considers the process of impact assessment and shows how and why it needs to be integrated into all stages of development programmes from planning to evaluation.

Savage, K & Harvey, P (eds) (2007). Remittances During Crises: Implications for Humanitarian Response. London. Humanitarian Policy Group, Overseas Development Institute (available for download from http://www.odi.org.uk/hpg/).

Through a review of relevant literature as well as several detailed case studies, the study explores how affected people use remittance income to survive and recover from crises. It also looks at the effect that crises can have on remittance flows and the way that humanitarian responses consider the role of remittances. The study concludes that there is clear potential for humanitarian actors to do more to explore the complementarities between emergency relief and people's own efforts to support friends and family in times of crisis.

Roche, 1999

ODI.org

OAU, 1981

Savage &

Harvey 2005



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Sheppard S, Hill R (2005). Economic Impact of Shelter Assistance in Post-Disaster Settings. Silver Spring, MD, USAID/CHF.

This report addresses the impact of emergency shelter programs in the development of post-relief economies and in building incomes of affected populations. It provides a review and analysis of the available literature relevant to understanding the economic impact of emergency shelter programs, additional research conducted by CHF International on income development of beneficiaries of emergency shelter programs, and the first steps toward rigorous and accurate measurement of the impact of these programs on the incomes of beneficiaries. Each of these analyses provides information useful to future programmers of relief assistance.

The Sphere Project (2004). Humanitarian Charter and Minimum Standards in Disaster Response. Geneva, The Sphere Project (available for download from: www.sphereproject.org).

These guidelines integrate standards for each sector for coordinated disaster response. The aim is to guide and inform decisions at all levels of response in a humanitarian emergency, to improve the quality of assistance, and to enhance the accountability of implementing agencies to both beneficiaries and programme donors.

United Nations (1948). Universal Declaration of Human Rights (available for download from: http://www.un.org/).

The Universal Declaration of Human Rights consists of 30 articles which outline the view of the United Nations General Assembly on the human rights guaranteed to all people. It provides a basis for the use of standards in emergency shelter through its provisions on the security of person, privacy, peaceful enjoyment of possession, and adequate housing.

United Nations (1951). Convention relating to the Status of Refugees (available for download from: http://www.ohchr.org/).

The United Nations Convention Relating to the Status of Refugees defines who is a refugee, and sets out the rights of individuals who are granted asylum and the responsibilities of nations that grant asylum.

UN, 1951

UN, 1948

The

Sphere Project,

2004

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UN (2006). On Better Terms: a Glance at Key Climate Change and Disaster Risk Reduction Concepts. Geneva, United Nations.

(Consultation version, Produced by the Working Group on Climate Change and Disaster Risk Reduction of the Inter-Agency Task Force on Disaster Reduction).

UN-HABITAT (2003). The Challenge of Slums. Global Report on Human Settlements 2003. London and Sterling, VA, Earthscan.

The report presents the results of the first global assessment of slums by the United Nations since the adoption of the Millennium Declaration. It proposes an operational definition of slums and, on this basis, provides the first global estimates of the numbers of urban slum dwellers. It discusses the local, national and international factors underlying the formation of slums. It analyses the social, spatial and economic characteristics and dynamics of slums. And it assesses the impact of the main policies towards urban slums adopted by governments, civil society groups and international organizations.

UNHCR (2004) Handbook for Repatriation and Reintegration Activities. Geneva, United Nations High Commissioner for Refugees.

In the Framework for Durable Solutions for Refugees and Persons of Concern, the High Commissioner for refugees proposed an integrated approach to post-conflict situations known as “the 4Rs” (Repatriation, Reintegration, Rehabilitation and Reconstruction), the aim of which is to bring together humanitarian and development actors, create a conducive environment in countries of origin to prevent the recurrence of mass outflows and facilitate sustainable repatriation and reintegration. The Handbook translates the 4Rs component of the Framework for Durable Solutions into an operational tool for the field. In particular, it aims to guide UNHCR and partner staff working on reintegration activities.

UNHCR (2005). Handbook for Self-reliance. Geneva, United Nations High Commissioner for Refugees. (http://www.reliefweb.int/rw/lib.nsf/db900SID/AMMF-746DPM/$FILE/unhcr-refugees-aug2005.pdf?OpenElement)

UN, 2006

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HABITAT, 2003

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2004



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The Handbook is based on the premise that refugees who have achieved some degree of self-reliance during asylum, either through enhanced skills or engaging in income-generating activities, can be an asset to their war-torn homelands once they return. They can also have a positive influence in their hosting communities by bringing new skills and additional income, thus galvanizing the local economy. Uganda and Zambia provide clear examples of countries that have witnessed the positive change that refugees can bring to isolated and neglected areas. The Handbook for Self-reliance provides UNHCR field-based staff and their partners with an invaluable operational tool for formulating and implementing self-reliance strategies.

UNHCR (2006). The UNHCR Tool for Participatory Assessment in Operations. Geneva, United Nations High Commissioner for Refugees (available for download from: http://www.unhcr.org).

This publication outlines a series of steps to follow for conducting a participatory assessment with refugees or other persons of concern, to ensure that women and men of all ages and backgrounds are given the opportunity to identify and voice their own protection risks, priorities, and solutions.

UNHCR (2007). Handbook for Emergencies. United Nations High Commissioner for Refugees, Geneva, Switzerland (available for download from: www.unhcr.org).

The handbook aims to provide guidelines for the provision of protection to those covered by the mandate of UNHCR, to meet the shelter-related and settlement-related needs of persons who are of concern to UNHCR, and to ensure that the necessary assistance reaches the affected population in good time.

UN/OCHA (2004). Guiding Principles on Internal Displacement. Geneva, United Nations Office for the Coordination of Humanitarian Affairs (available for download from: www.ohchr.org).

The guiding principles (also called Deng’s Principles) fill the gaps in international law relating to the rights of internally displaced persons. They aim to identify the rights and guarantees relevant to protection of the internally displaced in all phases of displacement, and to provide valuable practical guidance to governments, other competent authorities, intergovernmental organisations and NGOs

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in their work with internally displaced persons.

UN/OCHA (2006). United Nations: Disaster Assessment and Coordination (UNDAC) Handbook. Geneva, United Nations. (http://ochaonline.un.org/Coordination/FieldCoordinationSupportSection/UNDACSystem/Handbook/tabid/1432/Default.aspx).

USAID (1998). Mitigation Practitioner's Handbook. U.S. Agency for International Development Bureau for Humanitarian Response Office of U.S. Foreign Disaster Assistance Prevention, Mitigation, Preparedness and Planning Division (BHR/OFDA/PMPP).

The Mitigation Practitioner’s Handbook provides a reference to assist in planning effective interventions to respond to emergencies. Emergencies include natural disasters, such as earthquakes, floods, or drought, and complex situations where tension and conflict exist, productive systems are disrupted, and social services are unavailable.

http://go.worldbank.org/V5WHGVLN90.

Handbook for Estimating the Socio-economic and Environmental Effects of Disasters - United Nations Economic Commission for Latin America and the Caribbean (ECLAC), 2003. (In Spanish) The World Bank, under the umbrella of the ProVention Consortium, provided inputs and resources during the publishing of this handbook.

UN/OCHA,

2006

worldbank. org

Timeline for revising the guidelines

Timeline year 06 07 08 09

guidelines revision

toolkits presentation at SM07b

full draft published by Shelter Centre

drafting of trial edition

comments on draft trial version at SM07b

text submitted to OCHA

trial version printed by OCHA

May 2008 launch of trial version (SM08a)

6 months field testing and revision

submission of final text to OCHA for printing

May 2009 launch of final version (SM09a)

toolkits and case studies

finalise review procedure and review panel

finalise role of consultants

draft and publish scoping study 1982 - 2006

finalise contents page for revised guidelines

phase 1

phase 2a

phase 2b

revision framework

project overview

This booklet contains notes to inform the project update at Shelter Meeting 07b.

www.sheltercentre.org

The revision of ‘Shelter after Disaster: Guidelines for Assistance’ the key guidelines

first published by UNDRO in 1982, is taking place in two phases.

Phase one consisted of a scoping study, ‘Exploring key changes and developments in

post-disaster settlement, shelter and housing, 1982 - 2006' (OCHA, 2006), which can

be downloaded from www.shelterlibrary.org. The scoping study was commissioned by

UN/OCHA and coordinated by Shelter Centre, and is a foundation to the second

phase, which is funded by DFID and coordinated by Shelter Centre.

Phase two is a full revision of the 1982 guidelines, led by Shelter Centre, and guided

by an expert Review Panel which has met eight times to comment upon progress

made. There is one more Review Panel Meeting remaining, to be held on the

29th of November 2007. All humanitarian agencies wishing to attend this meeting

should contact [email protected].

Before the final Review Panel Meeting, the draft revision presented in this booklet will

be discussed at Shelter Meeting 07b.

The Review Panel for the revision of guidelines currently includes:

A complete project timeline for the revision of the guidelines has been included on

the inside back cover of this booklet.

CARE International

Caritas Switzerland

CHF

GOAL

IFRC

IOM

Islamic Relief

NRC

Oxfam GB

ProAct

ProVention Consortium

Save the Children Fund

SDC/HA – Swiss Solidarity

Swiss Solidarity

The Sphere Project

UNDP

UN-Habitat

UNHCR

UNICEF

UNISDR

UN/OCHA

USAID

World Vision

Documents

shelter after disaster 07bidp-key-resources.org/documents/2007/d04140/000.pdfChapter 5 Toolkits for transitional settlement and reconstruction 126 Chapter 6 Resources for transitional