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Consultave Guide

Generic Disaster Management and Reconstrucon

The School of the Built Environment, University of Salford

RICS President’s Commission for Major Disaster ManagementRICS Foundaon

with support from

Generic Disaster Managementand Reconstruc3on

Process Protocol

“It is crucial that all stakeholders buy into commonstandards, approaches and methodologies. All recoveryprocesses would greatly benefit from having a singleinforma5on structure that can collect, analyse, anddisseminate informa5on and that would have buy in fromlocal stakeholders, including Government, IFIs, NGOs,donors and UN agencies.”

William J Clinton, former US President‘Key Proposi5ons for Building Back Be6er’ A Report by the UN Secretary-General’s Special Envoy for Tsunami Recovery, December 2006

A Guide to the Generic Disaster Managementand Reconstruc3on Process Protocol

Wri4en and Compiled by:Andrew Fleming, Angela Lee and Mike Kagioglou

Research Team:Andrew FlemingAngela LeePeter Brandon

RICS President’s Commission for Major Disaster Management ProtocolWorking Group:Ma6hew NoyesBill KeanePhilip EsperDouglas Murray-JonesTony Lloyd JonesGraham Ma6hews

RICS Staff:Mark GoodwinEmily DarkoShailesh KatariaJohn Tracey-White

Acknowledgements:The authors would like to acknowledge the work of the Process Protocol research team,which was used as a basis for the development of the Generic Disaster Management andReconstruc5on Process Protocol; and the Protocol Lab Limited for gran5ng thereproduc5on rights for use of the Process Protocol (TM) and all its associated text.Thanks are also due to the RICS Founda5on for sponsoring the produc5on of thisConsulta5ve Guide.

Feedback:Please send feedback on this Consulta5ve Guide to John Tracey-White [email protected]

Copyright 2009 Fleming, Lee, Kagioglou, University of Salford, RICSPublished by the RICS / University of SalfordISBN: 978-1-84219-497-3

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GUIDE STRUCTURE

Executive Summary

Foreword

Glossary

Section 1: IntroductionStakeholder and Academia CollaborationBackground

Section 2: Process Map & Key PrinciplesOverviewKey Principles of the Generic Disaster Managementand Reconstruction Process Protocol

Section 3: Process Management & OrganisationStage Gate (Phase Review Management)

Section 4: Activity Cluster DescriptionIntroductionStrategic Disaster ManagementRisk Identification and ManagementHealth and Safety ManagementRecovery Process PlanningResource ManagementReconstruction ManagementLifecycle ManagementProcess Monitoring and Management

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What is The GenericProcess Protocol?

How is the ProcessProtocol Managed?

Who undertakes theactivities?

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Section 5: Process Protocol Phases DescriptionProcess Protocol PhasesPhase Zero: Disaster PreparednessPhase One: Pre Event PlanningPhase Two: Initial AssessmentPhase Three: Review and PrioritisationPhase Four: Detailed AssessmentPhase Five: Reconstruction StrategyPhase Six: Reconstruction InformationPhase Seven: Reconstruction WorksPhase Eight: Ongoing Review

Section 6: Deliverables DescriptionDeliverablesStakeholder ListInformation Communication Technology StrategyProgramme Execution PlanRisk Management StrategyPreparedness ReportHealth and Safety StrategyRegional Regulatory Issues ReportProject Execution PlanMedia Management StrategyProcurement and Logistics PlanFinancial PlanLand Issue RegisterLifecycle StrategyProcess Execution PlanSocial Issue RegisterEvent LogPreliminary Assessment

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What should beproduced?

GUIDE STRUCTURE

When should it beproduced?

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Action and Resource Priority ListResponse and Recovery StrategyHazard AssessmentRisk and Hazard PrioritisationDetailed AssessmentReconstruction ModelPost Project ReviewIncident Response Review

AppendicesProcess ChecklistReferencesGeneric Disaster Management and ReconstructionProcess Protocol Map

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GUIDE STRUCTURE

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Need for a Process Protocol

Following major disasters, a coordinated and structured approach isneeded to manage environmentally sound reconstruc5on andrehabilita5on programmes, and to avoid waste of valuableresources through inefficiency, corrup5on and misuse. The purposeof the process protocol is to provide a brief but structured overviewof the disaster management process and the related reconstruc5onand rebuilding ac5vi5es, for use primarily at field level.

Purpose of the Process Protocol

The purpose of the protocol is to:

The protocol is a tool intended to structure 5me and processac5vi5es into a single framework, which can be viewed at a numberof levels, star5ng at the top and allowing users to “drill down” formore detail.

provide a common approach, standard documents, defini5onsand terminology for undertaking construc5on programmes, to beshared by all the par5es and organisa5ons involved;

be “generic” so a wide range of poten5al users could con5nuouslyrefine and develop the protocol to suit their own needs; and

be a customizable process management tool that would providemaps of ac5vi5es to improve construc5on coordina5on.

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EXECUTIVE SUMMARY

EXECUTIVE SUMMARY

Structure of the Process Protocol

The protocol is based primarily around a process map or flowchartthat links nine dis5nct phases. Before proceeding betweenindividual phases, the protocol envisages that there would be aphase review or stage gate process undertaken by senior managersor coordinators, to ensure that phased ac5vi5es are completed andto a consistent, predefined standard.

Within each phase the protocol defines “ac5vity zones”, providingdescrip5ons of “best prac5ce” ac5vi5es involved in each phase. Thedefini5on of ac5vity zones will vary between users and differenttypes of disaster events. For example, UN users are likely to use thecluster or related sectors, whilst humanitarian agencies and NGOsmight structure their ac5vi5es geographically around their targetcommuni5es. The ac5vity zones used in the present processprotocol reflect a more cross-func5onal or mul5-purpose structure.Each phase would have a defined set of outputs or deliverablesdirectly related to the set of ac5vi5es.

Tes5ng and verifica5on of the protocol is now needed, addressingthe defini5on of the ac5vity zones appropriate for the differenttypes of stakeholders, par5cularly focussing on those involved withthe formula5on, design and implementa5on of physical planningand reconstruc5on ac5vi5es.

Tes5ng the protocol will be coordinated by RICS BuildAc5on, anini5a5ve of the Presiden5al Commission on Major DisasterManagement, which promotes using built environmentprofessionals in developing countries by placing volunteers indisaster-related recovery and reconstruc5on projects, providingexper5se where it would otherwise not be available.

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ORDER OUT OF CHAOS – BRIDGING THE GAP

Emergency situa5ons following a major disaster are characterisedby chaos and uncertainty. The immediate humanitarian concernsare quite rightly the prime concern of all those agencies a6emp5ngto help at the early stage and the approach is now well established.Agencies from around the world have procedures to adopt andemergency teams to implement these procedures when a disasterhappens.

The second stage between the ini5al event and rebuilding, whichthe RICS Presiden5al Commission on Major Disaster Managementhas focussed upon, is less well established. The Commission hascalled its task 'Bridging the Gap' because this cri5cal period can alsobe a period of chaos and confusion, as the usual agencies seek tobring order to the situa5on, whether it be earthquake, flood, windor fire. This period can last several years and the pain and sufferingcan be equal to - or even exceed - the original event.

At the root of the response is the need for a managementprogramme which can aid all those who engage in rebuilding thedecimated area. This can be a massive regenera5on programme andinvolve both internal and external agencies in resolving the problem.Confusion over boundaries, shortage of labour, legal rights,investment strategies, access to funds, organisa5on of rebuildingagencies and so forth can be extremely challenging. These ma6erscan be complex in a normal situa5on but in the wake of a disasterthe complexity is magnified considerably. This document is the firststep in the prepara5on of an appropriate framework for the disastermanagement and reconstruc5on process.

FOREWORD

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FOREWORD

Included in the problems to be faced is the fact that knowledge isarriving in a random manner, resources are sca6ered, governmentsare ill-prepared and exper5se is scarce. A primary concern is to bringorder to the chaos so that systema5c approaches can eventually bebrought to bear on the problem. This excellent report outlines aprotocol which aids this problem.

The Protocol has been developed by the team at Salford Universityover a number of years for various purposes and what it does is toclarify what needs to be done and in what order. It is well provenand can be adapted for local situa5ons. However the top level isgeneric, allowing a common framework to exist to which all engagedin the process can adhere.

As the receipt of knowledge and the ac5vi5es progress then theProtocol can be populated, showing where items are outstandingand where ac5on is being taken within the clear redevelopmentframework. It is an essen5al management tool, which could have asignificant effect if adopted by all agencies in the redevelopmentprocess.

The authors should be congratulated on a clear exposi5on which itis hoped will play its part in developing a more effec5ve response todisaster management.

Professor Peter Brandon DSc DEng MSc(Arch) FRICS ASAQS

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GLOSSARY

Ac3vity Clusters or Sectors: Structured set of sub processesinvolving tasks which guide and support work towards a commonobjec5ve.

Deliverables or Outputs: Represent documented project andprocess informa5on. They are compiled to form the Phase ReviewReport.

Phase Review / Phase Gate Processes: Generic processes thatinvolve phases of ac5vi5es undertaken by mul5func5onal teamsfollowed by decision points or gates (phase review mee5ngs).

Gates / Phase Reviews: Project and process review points in 5methat examine the feasibility of the project against certain projectand process-cri5cal success factors. To encourage concurrentworking two types of gates are employed. ‘So%’ gates require alower level of authority to proceed than “Hard” gates that need ahigher level of authority to proceed. These Phase Reviews aremanned by a mul5func5onal senior management group andrepresenta5ves of the project team, as and when required. Theintent of each gate is to assure a high quality of work performanceby mul5func5onal teams at each phase of the project.

Legacy Archive / Informa3on Store: Poten5ally an IT solu5on, itrepresents a mechanism for recording, storing and retrievingproject/ process informa5on which can be used by projectpar5cipants in current and future projects.

GLOSSARY OF PROJECT MANAGEMENT TERMS

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GLOSSARY

Phase Review Report: A document that is presented at the phasereviews/ gates and includes all the relevant deliverables for thepar5cular phase. Those reports should be entered into the LegacyArchive for future use.

Stakeholders: Those persons or organisa5ons whose views,interests and/or requirements can have an impact or are impactedby the ini5a5on and/ or formula5on and eventual implementa5onof the project solu5on. Poten5al stakeholders include:

Communi5es and Civil SocietyCentral and Local GovernmentArmyUN AgenciesLocal NGOsInterna5onal NGOs

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Sec5on 1What is the GenericProcess Protocol?

INTRODUCTION

7

‘At least 80,000 people lost lives and230,000 houses were seriously damagedor collapsed in the devasta5ng earthquakethat affected Latur in India on 30thSeptember 1993 […] about 30,000affected families had to stay in temporaryhouses for 4 years.’

MERDP (1998) Marathawada Earthquake: Effortsat Par5cipatory Rehabilita5on and the Role ofCommunity Par5cipa5on. Report 4, Governmentof Marathawada, Mumbai.

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INTRODUCTION

The Indian Ocean tsunami of 2004 served as the catalyst for theforma5on of the Royal Ins5tu5on of Chartered Surveyors (RICS)President’s Commission for Major Disaster Management to iden5fyways in which built environment professionals can help to alleviatethe suffering of those affected by future major disasters.

The Commission iden5fied a gap between the provision ofhumanitarian relief and the commencement of the reconstruc5onof the built environment phase.

The Generic Disaster Management and Reconstruc5on ProcessProtocol aims to bridge this gap by providing a well coordinated,consistent and transparent process management framework to allof the stakeholders ac5ng at various points throughout the disastermanagement and reconstruc5on lifecycle. It provides a ‘map’ of theac5vi5es that need to be undertaken throughout the reconstruc5onprocess, including prepara5on before a disaster event. This map aidstransparency, structures knowledge, iden5fies the posi5on ofemerging knowledge within the process, and provides a referencepoint for management decision-making.

The Generic Disaster Management and Reconstruc5on ProcessProtocol is the result of collabora5on between a number oforganisa5ons and individuals including the RICS President’sCommission for Major Disaster Management and The University ofSalford.

The produc5on of this Consulta5ve Guide has been sponsored bythe RICS Founda5on.

STAKEHOLDER AND ACADEMIA COLLABORATION

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INTRODUCTION

We believed that it was possible to define a common approach forundertaking Disaster Management and Reconstruc5on programmesthat could be shared by all par5es involved, and together with theUniversity of Salford’s process management research exper5se wehave produced the Generic Disaster Management andReconstruc5on Process Protocol.

The Protocol is designed to be “generic” so that all users can furtherrefine, develop and con5nuously improve it.

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BACKGROUND

The Generic Disaster Management and Reconstruction ProcessProtocol is a customizable process management tool that aims toimprove the efficiency and effectiveness of the reconstructionprocess of the built environment following a major disaster.

Recent events such as the Indian Ocean tsunami, hurricane Katrinaand Pakistan-Kashmir earthquake revealed both a lack ofpreparedness and a delay in commencing reconstruction. Tens ofthousands were still living in temporary shelters more than one yearon (Lloyd-Jones, 2006). International relief agencies are geared to aquick response in terms of humanitarian aid. However, they haveno coordinated strategy for dealing with longer-term development(Barakat & Strand, 1995). Once the immediate aftermath inhumanitarian relief has been completed and media presencedwindles, it seems, interest in disasters all but fades. Thus, thereappears to be an alarming ‘gap’ between humanitarian aid and long-term reconstruction (Lloyd-Jones, 2006).

Responses in aid provision following a disaster can be both immenseand alarming in terms of assistance and finance (Drabek & McEntire,2003). The large number of international aid organisations(including governments, the United Nations (UN), World Bank, non-government organizations (NGOs) etc. should share tasks andresources, but there is no clear definition of responsibility due tothe crossing of jurisdictional boundaries and absence ofstandardization (Auf der Heide, 1989). What is more, the scarcity ofinformation, the lack of a clear dialogue and communication of reliefeffort and information, the challenges of managing resources, theexcessive response in aid and the emergence of new norms, eachplace additional strain on the affected community (Auf der Heide,

INTRODUCTION

12

1989; Wenger, 1992; Twigg, 2004). According to Coate et al (2006),a strategy that promotes sustainable economic growth forcommunities is vital, ensuring that recovery is structured andfacilitated in a way that is inclusive for those who are vulnerable.Further, the ‘strategy’ must also be accountable to its donors.Transparency is vital to limit corruption and to ensure theappropriate distribution of funds (Twigg, 2004). According to Lloyd-Jones (2006), international agencies are focused on short-termspending largely due to political pressures, and fail to support thelong-term reconstruction cost, which usually accounts for around80% of the total cost of the disaster (TRN, 2005). A reportcommissioned by the International Federation of Red Cross and RedCrescent Societies, evaluating its response during the first few weeksafter the Indian Ocean tsunami, highlights this ‘gap.’ The reportconcluded that some organisations had so much money that theyentered areas - like house building on a massive scale - that wereoutside their usual mandate and were subsequently poorly handled(Development Today, 2006). It states that the funds available‘…though useful,’ were ‘…in large measure in the wrong hands’ andquotes a UN officer as saying: ‘depending on how you look at it, youcan say this has been the best-funded emergency in the world – orthe most expensive humanitarian response in history’(Development Today, 2006). Notably for the UK, Hencke (2006)reported that millions of taxpayers’ aid money destined to help thevictims of the Indian Ocean Tsunami were still stuck in bankaccounts more than one year on. The UK’s Department forInternational Development (DFID) has subsequently asked allorganisations to account for the money or to return the funds toBritain so that they can be reallocated. Thus, the reconstruction toolaims to help address these financial issues, supporting

INTRODUCTION

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reconstruction effort in a manner that reassures both victims and its[UK] donors. Some research has already been undertaken to identifybest practice in construction (for an overview of the briefing processbriefing see Barrett and Stanley, 1999; for requirements capture seeCarmicheal & Cooper, 1998; for design see Lawson, 1989; forprocess management see Process Protocol, 2006; etc). However,what remains to be addressed is an integrated best practiceconstruction approach within the short-term relief operationaddressing issues such as culture, livelihood transformation,economic development, sociological, demographic, political andeducational issues etc.

Construction industry integration within disaster management hasbeen largely overlooked in the past (Spence & Kelman, 2004). Inputby construction professions has primarily focused on topics such asmajor infrastructure, fire safety, tall building design and egressconsiderations in preparing for future disasters. However, someadvances have been made in recent years to incorporate the rolesof construction professionals. In March 2006, the CIB (InternationalCouncil for Research and Innovation in Building and Construction)established Task Group (TG63) ‘Disasters and the Built Environment’which sets out to stimulate ideas for future research by exploringthe range of perspectives from which the construction industry isable to contribute towards improved resilience to disruptive events.An integrated construction approach for improved reconstructioncan only be achieved through the engagement of constructionprofessionals to address issues of design, construction, contractualtransparency, coordination and communication.

Excessive money is usually spent on emergency shelter to the

INTRODUCTION

14

detriment of permanent reconstruction, costing as much as one-third of the cost of the permanent dwelling (ALNAP, 2005).Temporary units may be acceptable for short periods, in goodweather conditions and in urban areas, but cannot fulfil people’sneed for sustained accommodation (Ghafory-Ashtiany, 1999).Overall evaluation of disasters has concluded that temporarysettlement not only creates social and economic problems, but alsoprolongs the reconstruction period (Development Today, 2006).Many agencies resorted to mass installation, prefabricated units asa means to address the long-term accommodation need. Often,however, they were not compatible to users’ cultural needs.Following the worst-ever Iranian earthquake in 1990, many leftthese so called ‘modern’ homes only to use them as storage oranimal sheds and repaired their damaged houses for their livingspaces (Ghafory -Ashtiany, 1999). This waste of valuable resourcescan be attributed to not consulting the survivors in the briefingprocess for a design that better reflects their needs and culture. Thebriefing process is a tried and tested means to counter this problemin the construction industry (Barrett & Stanley, 1999), and needs tobe integrated into disaster management. Further, constructionprofessionals should be consulted to ensure that new facilities areaseismic, to limit potential disasters (Ghafory - Ashtiany, 1999).

Due consideration must be given to legal and statutory issuesrelating to land ownership and resettlement (Oxfam International,2005). Ownership deeds and titles are rare in Developing Countries,are often registered to people who have passed away, and/or publicrecords have been damaged or destroyed by the events of thedisaster (Williams, 2005). This loss of up to date registrationevidence represents a serious threat and a challenge to agencies

INTRODUCTION

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seeking to recover the property of the displaced. Those affected areoften prone to land expropriation.

In some instances, resettlement is the only solution to avoiddevastation from future disasters. If the new site is not chosencarefully, it can have a huge knock-on effect in terms of bothlivelihood and lifestyle (Ghafory-Ashtiany, 1999). Following theIndian Ocean tsunami, for instance, a building exclusion zone of 100-200m, measured from the mean high-water mark, was decreed inSri Lanka. Critics have noticed that this zone affected a large numberof poor fishing communities and small businesses whose livesrevolve around the sea, but the same constraints did not seem toalways apply to the tourist industry. Not only does this raise socialand corruption issues, but re-siting usually omits advice fromconstruction professionals who can advise on local geology,seismotectonic, seismicity and geotechnic issues in thereconstruction of new settlements (Quarantelli, 1994).

This framework must also foster the use of local labour andmaterials in the reconstruction process, as they form an importantstimulus to the recovery of the local economy (ALNAP, 2005). Thoseaffected by the disaster are eager, and should be encouraged, tohelp rebuild the devastated area, but under the direct supervisionof certified engineers (Ghafory-Ashtiany, 1999). Professional skillsand expertise in the built environment are usually a scarce resourcein Developing Countries, particularly in remote regions such as inIran (Ghafory-Ashtiany, 1999). Building codes may also beinappropriate or out-of-date, and where standards exist, they arevery frequently not enforced. Thus, the opportunity to constructimproved facilities that are resilient to future disasters is pertinent.

INTRODUCTION

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Local participatory engagement in the reconstruction process alsoserves as a training platform, and is particularly apt if those affectedcannot return to their original livelihood (Twigg, 2004). Thematerials chosen must also be of appropriate quality and beenvironmentally sound. Consideration must be given to theremoteness of the area and availability of technical people. Again,sustainability issues have been well rehearsed in the constructionsector (for example see BEQUEST, 1996), and need to be translatedto disaster reconstruction programmes.

Due to intense public interest and scrutiny over how aid efforts havebeen distributed, there is an immediate need for accountability andtransparency (Overseas Development Institute, 2005). Barakat andStrand (1995) reported that aid can be politically motivated leadingto NGOs questioning the value of their work. In addition, local NGOsare often restricted from seeking funding (McEntire, 1999). LocalNGOs play an important role especially in light of the localknowledge they are able to provide. They have a greaterunderstanding of the affected area, the people, and the situationon the ground. They also have the capacity to ensure that theindigenous population is listened to during the recovery. Local andsmall NGOs are eager to help but are not often coordinated or areforced into conforming to the standards of government, UNagencies and the larger NGOs. In some instances, they have helpedfamilies to build houses on land that is owned by others, inrestricted building zones and/or a larger house than the communitynorm, which has led to envy and conflict (Coate et al, 2006). Theconstruction industry, frequently described as fragmented, hassought to adopt process improvement initiatives. The lessons learntfrom the Design and Construction Process Protocol (2006), for

INTRODUCTION

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example, could help alleviate process coordination andcommunication issues in disaster management, and to engage withsmall organisations.

Therefore, a more coordinated and structured approach toreconstruction following a major disaster is needed to help managean environmentally sound reconstruction and rehabilitationprogramme, and to avoid the waste of valuable resources throughinefficiency or corruption. The Generic Disaster Management andReconstruction Process Protocol aims to be a transparent andsustainable disaster reconstruction process management toolaccording to some core principles. The principles include:empowering communities through people-centred andparticipatory processes by coordinating international/national/localrelief effort, through identifying roles and responsibilities; andestablishing clear regulatory control by ensuring fiscal transparencyand maintaining effective monitoring. The use of the protocolframework will provide a systematic approach to the acquisition ofknowledge regarding the extent of the damage caused by thedisaster; harness best practice construction techniques in order topropose suitable plans for redevelopment of the built environment(housing, infrastructure, schools, etc); and protect potentially at-riskecosystems. It will provide transparency for all the necessaryprocesses that should be undertaken, and be able to be customisedfor the effective management of reconstruction for a particulardisaster type (e.g. tsunami, earthquake, flooding, etc). Its approachwill effectively address technology diffusion and transfer issues.

In short, by amassing existing and new knowledge into acustomizable process management tool, it will direct participatory

INTRODUCTION

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reconstruction of the built environment in a manner that isaccountable for both recipients and donors, whilst raising standardsof sustainable construction by employing locally available materials,techniques and labour.

It must be noted that the scope of a disaster is potentially vast. It canspan countries, covers both natural (tsunami, earthquake,hurricane, etc) and manmade (war, terrorism etc.) disaster typesinvolving both governments and NGOs. For the purpose of thisguide, a major disaster has been defined as the result of anecological breakdown in the relations between man and theenvironment on a scale such that the stricken community needsextraordinary efforts and assistance to cope with both humanitarianrelief and reconstruction, often with international aid.

INTRODUCTION

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PROCESS MAP AND KEY PRINCIPLES

What is the GenericProcess Protocol? 2Sec5on

‘On the 19th September 1985, Mexico Citysuffered the devasta5ng effects of anearthquake, which le% 5,000 people deadand destroyed 48,000 houses […] a%er theearthquake, 24,000 affected families had tolive in temporary shelter for 2 years.’

EERI (1985) Impressions of the Guerroro-Michocan,Mexico, Earthquake of 19thSeptember 1985: APreliminary Reconnaissance Report, EERI-NAS,San Francisco, CA.

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OVERVIEW

The following sec5on of this guide describes the Generic DisasterManagement and Reconstruc5on Process Protocol and how it ismanaged and maintained. The Process Protocol provides aframework for undertaking Disaster Management andReconstruc5on lifecycle ac5vi5es.

The lifecycle comprises five stages:

• Preparedness and risk reduc5on/mi5ga5on• Assessment• Planning• Reconstruc5on• Post – Comple5on

For increased opera5onal clarity the lifecycle has been furtherdivided into nine phases as indicated on the process map.

Processes to be undertaken throughout the lifecycle have beenstructured into cross-func5onal and mul5-disciplinary ‘Ac5vityZones’ which encourage teamwork. For example, they not onlyinclude func5onal exper5se (e.g. financial managers) but considerthe whole task (i.e. resource management), and therefore rely onteams to operate effec5vely. The Generic Disaster Management andReconstruc5on Process Protocol is managed using the Stage/Gate(Phase Review) management process as described in sec5on 3.


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KEY PRINCIPLES OF THE GENERIC DISASTERMANAGEMENT AND RECONSTRUCTION PROCESSPROTOCOL

The Generic Disaster Management and Reconstruc5on ProcessProtocol has been developed following seven key principles which,if applied to a project, will deliver the following benefits:

Being preparedEncouraging preparedness towards disaster risks.

Whole project viewThe process covers the whole lifecycle of a disaster, frompreparedness through to reconstruc5on. This will ensure that issuessuch as opera5on and maintenance are considered at the front-endof the process.

Clear planning frameworkDrawing from the ‘stage-gate’ approach in the Generic Design andConstruc5on Process Protocol™, a phase review process is adoptedwhich applies a consistent planning and review procedurethroughout the project life.

A consistent processThe protocol’s generic proper5es allow for the consistentapplica5on of the phase review process across different projectsand supply chain par5cipants. This, together with the adop5on of aneffec5ve approach to performance measurement, evalua5on andcontrol, facilitates con5nuous improvement.

Process flexibilityThe protocol enables the alignment of the project process withexis5ng business and opera5onal processes.


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The flexibility of the protocol ensures that customised, specificprocess protocols can be created to manage projects, genera5ngteam ‘buy-in’ to the process. At the same 5me it ins5ls morecollabora5ve and less adversarial prac5ces as a result of theapplica5on of the customised process.

Stakeholder involvement/teamworkProject success relies upon the right people, having the rightinforma5on at the right 5me and doing the right things. Theproac5ve resourcing of project phases through the adop5on ofstakeholder views and standardised project deliverables shouldensure that appropriate par5cipants are iden5fied and consultedearlier in the process than is tradi5onally the case.

Coordina3onThe need for effec5ve coordina5on between project team membersis paramount. The team leader or focal point will need to beassigned with delegated authority to coordinate the par5cipantsand ac5vi5es of each phase for the produc5on of the projectdeliverables, throughout the process.

FeedbackThe knowledge generated in a project through its monitoring andevalua5on system in terms of successes and failures, if captured,can offer important lessons for the future. The phase review processfacilitates a means by which project experiences throughout theprocess can be captured, thereby informing later phases and futureprojects. The crea5on, maintenance and use of a Legacy Archive willaid a process of con5nual improvement.


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PROCESS MANAGEMENT AND ORGANISATION

How is the Process ProtocolManaged? 3Sec5on

‘In several communi5es in India, we no5cedthat the tents donated by foreign governmentsor NGOs were generally not being used by thevillagers due to extreme heat generated insidethese structures and their limited ability toaccommodate all family members […] however,only a few feet away, makeshi% sheltersconstructed by community members werebeing used at full capacity.’

Rodriguez, H., Wachtendorf, T., Kendra, J. & Trainor, J.(2006) A Snapshot of the 2004 Indian Ocean Tsunami:Societal Impacts and Consequences. DisasterPreven5on and Management, 15(1), 163-177.

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permit or postpone the phase review to a later date

cri5cal decisions on (mainly) financial or administra5ve clearanceto proceed

plan for next phase and set a date for next phase review

phase review minutes distributed to all a6endees

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STAGE / GATE (PHASE REVIEW MANAGEMENT)

The Generic Disaster Management and Reconstruc5on ProcessProtocol is managed using the Stage/Gate or Phase Reviewapproach.

Stage/Gate processes are generic in nature and they involve 'stages'(phases) of ac5vi5es undertaken by mul5func5onal teams followedby decision 'gates' (phase review mee5ngs). These Phase Reviewsare staffed by a mul5func5onal senior management group andrepresenta5ves of the project team, as and when required.

The intent of each gate is to assure a high quality of workperformance by mul5func5onal teams at each phase of the project.

Phase Review Outcomes

Based on the work presented at the mee5ng the following will bethe main outcomes:



Gate Status in the Process

The 'gates' should not be seen as 'brick walls' but on the contrarythey are a 'mistake avoidance mechanism' that is flexible withoutcompromising the success of the project.

The Gates can be either 'hard' or 'so%':

'Hard' gates illustrate the need for comple5ng all the ac5vi5es asdescribed by the Generic Disaster Management and Reconstruc5onProcess Protocol before the phase review mee5ng.

'So%' gates illustrate the flexibility of the process whereby theac5vi5es that are not finished in 5me for the phase review are notedand their significance to the programme assessed, but theprogramme is not halted. This enables the concurrent undertakingof the ac5vi5es.

Phase Review Membership

Phase Reviews are usually held at the end of a phase as presentedin the Generic Disaster Management and Process Protocol.However, they can be held at any 5me before the end of a phase if,for example, the phase dura5on is long or if there are a number ofissues that need to be considered prior to the end of the phase.Phase Reviews do not subs5tute for progress mee5ngs, but ratherthey should be used in conjunc5on. For example it might be decidedto run a major progress mee5ng at the same 5me as a Phase reviewmee5ng.

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The membership of the Phase Review board is most likely to includethe following bodies/ac5vity zones:

Phase Review Dura3on

The phase review mee5ngs should be very thorough, but they arenot expected to run for more than two hours.

The 5me taken at the phase review mee5ng will depend on the levelof planning done before the mee5ng i.e. accurate and completedocumenta5on and effec5ve ac5vity zone par5cipa5on, and theamount of work to be considered. For example if the phase reviewis performed together with a major progress review then it isexpected to last longer.

Phase Review Planning

Phase review mee5ngs should be planned in detail so as to avoidlengthy dura5on. All phase review par5cipants should be inpossession of the appropriate (phase dependent) phase reviewreport prior to the mee5ng.

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Chairperson usually appointed by Lead Agency (Government,Stakeholder or Client)GovernmentDonorsAc5vity Cluster or Sector leaders as required (usually those whoare responsible for key phase deliverables)Community and civil society representa5ves

1.

2.3.4.

5.


A typical Phase Review agenda should include:

• Time allocated for speakers• What is required to be presented at the mee5ng• Issues needing authorisa5on• Resourcing requirements for the next phase• Recap of decisions made and ac5ons iden5fied• Result(s) of phase review(s)

Phase Review Report

The work assessed at a Phase Review mee5ng will be presented inthe form of deliverables as described by the Generic DisasterManagement and Reconstruc5on Process Protocol (see phasedescrip5ons ) by the suppliers of those deliverables. Therefore thePhase Review Report will include:

Care should be taken to ensure that the process does not generatea huge amount of documenta5on that does not inform the decisionmaking process and therefore does not add value to the project.

Also, the Phase Review documenta5on should not be specific to thePhase Review but rather be on-going ‘live’ documents (perhaps in atemplate form).

Key deliverables for the appropriate phase as iden5fied by theproject process map and previous phase reviewsAll documenta5on should be included in the phase review reportcompiled by the appointed project manager.

30

Sec5on 4Who Undertakes The Ac5vi5es?

ACTIVITY CLUSTER DESCRIPTION

31

‘Following the Indian Ocean tsunami, abuilding exclusion zone of 100-200m,measured from the mean high-water mark,was decreed in Sri Lanka. Cri5cs haveno5ced that this zone affected a largenumber of poor fishing communi5es andsmall businesses whose lives revolve aroundthe sea, but the same constraints did notseem to always apply to the touristindustry.’

TRN (2005) Review of Tsunami Recovery.London, University College London.

32

POTENTIAL ACTIVITY CLUSTER DELIVERABLES

An Ac5vity Cluster is a structured set of sub-processes involving tasks which guide and supportwork towards a common objec5ve (for example,to create an appropriate development solu5on).

A single person or small group of people can carryout an ac5vity zone process for small-scaleprojects. In contrast, in a large-scale project, anac5vity cluster may consist of a complex networkof people within, and between, relevant func5onsand/or organisa5ons.

Ac5vity clusters generally overlap and areinterac5ve, aiding flexibility and adaptability. Forexample, Risk Iden5fica5on and Managemento%en has important input in the Health and SafetyManagement and Recovery Process Planningac5vity zones, amongst others, and vice-versa.

INTRODUCTION

Each ac5vity zone will have prime responsibility for one ormore deliverables in the project. Therefore the respec5veAc5vity Zone will be responsible for documen5ng andcompiling the relevant deliverable data into the requiredformat as prescribed by Process Management.

33

The majority of the Ac5vity Zones willhave a small or big part to play in theproduc5on of most of thedeliverables.

POTENTIAL ACTIVITY CLUSTERPARTICIPATION

Strategic Disaster Management

Risk Iden3fica3on and Management

Health and Safety Management

Recovery Process Planning

Resource Management

Reconstruc3on Management

Lifecycle Management

Process Monitoring and Management


LIST OF ACTIVITY CLUSTERS







Resource Management





Strategic Disaster ManagementRisk Iden5fica5on and ManagementHealth and Safety ManagementRecovery Process PlanningResource ManagementReconstruc5on ManagementLifecycle ManagementProcess Monitoring and Management

Takes a strategic perspec5ve to ensure thatstakeholders’ needs and requirements arecaptured, understood and met throughout thedura5on of the disaster and reconstruc5onlifecycle. It includes guidance on social issues,stakeholder management and Informa5on,Communica5ons and Technology Management.

Members should include key stakeholder groupsthat govern the overall relief effort, and includeorganisa5ons that are not directly related to thegovernment of the disaster zone, so as to considerimpar5al strategic issues.

Deliverables may include:

Stakeholder ListSocial Issue RegisterICT StrategyProgramme Execu5on PlanAc5ons and Resource Priority ListHazard AssessmentPost Project ReviewIncident Response Review

STRATEGIC DISASTER MANAGEMENT

34

35







Resource Management






Considers how risks rela5ng to disasters areiden5fied and assessed pre- and post- disaster.

Pre-disaster ac5vi5es focus on preparedness, suchas developing a risk register, a preparedness planand early warning monitoring.

Post-disaster, the focus is on implemen5ng theassessment framework to determine priori5es,and maintaining the risk management strategy.


Preparedness PlanRisk Management StrategyPreliminary AssessmentDetailed AssessmentEvent Log

RISK IDENTIFICATION AND MANAGEMENT

36







Resource Management






Focuses on all aspects of health and care, safety,governance, liability and accountability.

This ac5vity zone not only governs the health andsafety of those affected by the disaster, but allstakeholders who are deployed there in thedisaster management and reconstruc5on project.

Regional regulatory issues are considered in termsof how they impact the Disaster Management andReconstruc5on process, and for poten5alimprovements.


Health and Safety ReportRegional Regulatory Issue Document

HEALTH AND SAFETY MANAGEMENT

37







Resource Management






This ac5vity zone enacts the co-ordina5on of thedisaster management and reconstruc5on projectteam. The processes within this ac5vity zone havebeen developed to support the planning of therecovery process.

The ac5vi5es include project planning,management and execu5on, which contributestowards priori5sing risks and hazards, anddeveloping the response and recovery strategy.This ac5vity zone also considers the managementof external rela5ons through media management.


Project Execu5on PlanMedia Management StrategyResponse and Recovery StrategyRisk and Hazard Priori5sa5on

RECOVERY PROCESS PLANNING

38







Resource Management






Deals with all aspects of logis5cs, procurementand financial issues for the en5re project.

This ac5vity zone helps to ensure that appropriateresources (including personnel andtools/equipment) are allocated to differing areas(if relevant) and at differing stages of the disasterreconstruc5on processes.


Financial PlanProcurement and Logis5cs Plan

RESOURCE MANAGEMENT

39







Resource Management






Considers reconstruc5on ac5vi5es throughoutthe project lifecycle, including managing landissues early in the process, through to managingconstruc5on works and handover.

Works with the Recovery Process Planning andResource Management ac5vity zones toseamlessly develop the co-ordinatedreconstruc5on model.

This ac5vity zone also engages with local labourand u5lises local materials, if possible, in thedisaster reconstruc5on process.


Reconstruc5on ModelLand Issue Title Register

RECONSTRUCTION MANAGEMENT

40







Resource Management






This ac5vity zone serves to ensure theconsidera5on, co-ordina5on and integra5on ofthe en5re disaster management andreconstruc5on project lifecycle. For example,immediate post-disaster recovery ac5vi5es shouldbe undertaken a%er full considera5on of how theywill affect the longer term recovery andreconstruc5on ac5vi5es.

Buildability, sustainability and maintainability area focus of the reconstruc5on process.


Lifecycle Strategy

LIFECYCLE MANAGEMENT

41







Resource Management






This ac5vity zone leads the overall development /customisa5on of the Generic DisasterManagement and Reconstruc5on ProcessProtocol map. Ensures that all the ac5vi5es arecarried out in the correct sequence and to theappropriate standard.

O%en ac5vity zone members are independent ofthe project to ensure strategic and impar5algovernance of the design and execu5on of thereconstruc5on process.


Process Execu5on Plan

PROCESS MONITORING AND MANAGEMENT

43

PROCESS PROTOCOL PHASES DESCRIPTION

When should it be produced? 5Sec5on

‘A report commissioned by the IFRC(Interna5onal Federa5on of Red Cross &Red Crescent Socie5es) evalua5ng itsresponse during the first few weeks a%erthe tsunami, concluded that theorganisa5on had so much money that itentered areas – like house-building on amassive scale – that were outside its usualmandate and poorly handled. The reportconcluded that the funds available ‘thoughuseful’ were ‘in large measure in the wronghands’.’

Development Today (2006) Post-Tsunami Evalua5onof Red Cross: Too Much Money in the WrongHands. Bulle5n 16(4), 31st March.

44

This sec5on provides descrip5ons of the phasesin the Generic Disaster Management andReconstruc5on Process Protocol, as seen in theprocess map. It provides a high level checklist toensure that all aspects of a project are iden5fiedand managed effec5vely. The deliverablespresented should enable the decision makingprocess and reduce risks.

PROCESS PROTOCOL PHASES

POTENTIAL ACTIVITY CLUSTER DELIVERABLES

All Ac5vity Clusters are responsible for producing the end ofphase deliverables. However, each deliverable is poten5ally‘owned’ by one or more Ac5vity Zones. Therefore, one ormore Ac5vity Zones will have prime responsibility for thedeliverables of the respec5ve phase.

Change Management has prime responsibility in all phasesas it is responsible for effec5ve communica5ons throughoutthe dura5on of the project/process


LIST OF PHASES IN THE PROCESS

Phase Zero:Disaster Preparedness

Phase One:Pre Event Planning

Phase Two:Ini5al Assessment

Phase Three:Review and Priori5sa5on

Phase Four:Detailed Assessment

Phase Five:Reconstruc5on Strategy

Phase Six:Reconstruc5on Informa5on

Phase Seven:Reconstruc5on Works

Phase Eight:Ongoing Review

POTENTIAL ACTIVITY CLUSTERMEMBERSHIP

45




46

The preparedness ac5vity contained within thisphase encourages the early considera5on of allthe ac5vi5es that will need to be undertakenduring the poten5al occurrence of a disaster,including the iden5fica5on of early warning signsand development of con5ngency plans, andcontributes towards the development of a riskregister.

Phase Deliverable:Risk Register: General register of the main hazardsand risks associated with poten5al disasters –geography, building standards, popula5on, social,poli5cal, gender.

Phase Goals:To reach a level of preparedness that allowsprogression to Phase One.

Gate Status:So% Gate

PHASE ZERO - DISASTER PREPAREDNESS

POTENTIAL PHASE DELIVERABLES

Risk Management Strategy













Considers and refines the risk register to developthe Disaster Management Plan.

Phase Deliverable:Disaster Management Plan: This documentfocuses on how an area/country should respondin the event of a disaster, including issues such asloca5on and access to resources; places of safetyand sanctuary. Plus mobilisa5on of assistance:search and rescue, first aid, equipment, advocacy,emergency shelter etc

Phase Goals:To develop the disaster management plan inprepara5on for a disaster event.

Gate Status:Hard Gate

PHASE ONE - PRE EVENT PLANNING


ICT StrategyEvent LogHealth and Safety ReportMedia Management StrategyFinancial PlanProcess Execu5on Plan













47


48

Reviews the prepara5ons that have taken placeand implements disaster management systems togain an ini5al assessment through reconnaissanceof the condi5ons on the ground. Revises a numberof issues and undertakes a preliminary assessmentand a damage and impact assessment. The riskmanagement strategy is revised and prepara5onof the procurement and logis5cs plan commences.The financial plan is revised – which takes 5me: aflash appeal needs to be sent out. Lifecycle issuesare considered in an integrated way so that shortterm ac5vi5es are considered together with longterm ac5vi5es.

Phase Deliverable:The Ini5al Assessment: Ini5al assessment of whathas happened, what prepara5ons are in place andwhat needs are not likely to be met by currentsurviving or extant services.

Phase Goals:To gain an ini5al assessment of the condi5ons onthe ground.


PHASE TWO - INITIAL ASSESSMENT


Stakeholder ListICT StrategyRisk Management StrategyPreliminary AssessmentHealth and Safety Report

Media Management StrategyProject Execu5on PlanProcurement and Logis5cs PlanFinancial PlanProcess Execu5on Plan














Reviews the elements of the Ini5al Assessment topriori5se ac5ons and prepare the response andrecovery strategy that will feed into the Ac5onPlan.

Phase Deliverable:The Ac5on Plan: A live (ongoing) and priori5sedversion of the ini5al assessment. It indicates whatopportunity there is for short term needs to bemet, and what issues need long term solu5ons.Short term needs may be met by the disasterreac5on emergency groups, while long termsolu5ons may require further inves5ga5on.

Phase Goals:To review the ini5al assessment to determine theAc5on Plan.


PHASE THREE - REVIEW AND PRIORITISATION


Stakeholder ListICT StrategyAc5ons and Resource Priority ListRisk Management StrategyHealth and Safety ReportResponse and Recovery StrategyProject Execu5on PlanRisk and Hazard Priori5sa5onProcurement and Logis5cs PlanLifecycle StrategyFinancial PlanProcess Execu5on Plan













49


50

The Ac5on Plan informs the Detailed Assessment,which provides an accurate overview of thedisaster and subsequent consequences to enablestrategic decision making to occur.

Phase Deliverable:The Detailed Assessment: Detailed assessment ofwhat has happened and if prepara5ons areperforming. Where the popula5on is, how manypeople, social problems developing; whatdwellings and social/ economic infrastructure is ingood/acceptable/poor standard (based on ‘groundtruthing’); how the situa5on is likely to develop.This is the comple5on of the assessment phase.

Phase Goals:To enable strategic decision making.


PHASE FOUR - DETAILED ASSESSMENT


Stakeholder ListICT RegisterHazard AssessmentDetailed AssessmentRisk Management StrategyHealth and Safety ReportProject Execu5on PlanProcurement and Logis5cs PlanMedia Management StrategyFinancial PlanProcess Execu5on PlanLifecycle Strategy














The Detailed Assessment informs thedevelopment of the reconstruc5on strategy whichcomprises the Strategic Master Plan.

Phase Deliverable:Strategic Master Plan: A formal record of thedetailed assessment and the strategic decisionsmade. Where, when and what construc5onshould be delivered, es5mated costs, how it is tobe funded, standards, func5on and performance.

Phase Goals:To develop a strategic vision for reconstruc5on.


PHASE FIVE - RECONSTRUCTION STRATEGY


Stakeholder ListICT StrategyDetailed Assessment (revised)Risk Management Strategy (revised)Health and Safety Report (revised)Response and Recovery StrategyProject Execu5on PlanProcurement and Logis5cs PlanMedia Management StrategyFinancial PlanProcess Execu5on PlanLifecycle Strategy













51


52

Assembles and ini5ates work on poten5alreconstruc5on solu5ons to comprise theReconstruc5on Documents.

Phase Deliverable:Reconstruc5on Documents: drawings,specifica5ons and clear delivery documentscontracts and grants that would enableconstruc5on to take place. This will include tenderdocumenta5on.

Phase Goals:To deliver the informa5on required to enablereconstruc5on to commence.


PHASE SIX - RECONSTRUCTION INFORMATION


Stakeholder List (revised)ICT Strategy (revised)Risk Management Strategy (revised)Health and Safety Report (revised)Project Execu5on Plan (revised)Procurement and Logis5cs Plan (revised)Financial Plan (Revised)Procured Work PackagesReconstruc5on ModelEnabling WorksProcess Execu5on PlanLifecycle Strategy (finalised)














Manages and undertakes the ac5vi5es associatedwith reconstruc5on. The end deliverable is theReconstruc5on Comple5on Documents.

Phase Deliverable:Reconstruc5on Comple5on Documents: a detailedrecord of what has been built. The focus of thisinforma5on is to enable the safe and efficientmanagement and occupa5on of buildings and useof social and economic infrastructure.

Phase GoalsTo deliver the reconstructed built environmentfacili5es.


PHASE SEVEN - RECONSTRUCTION WORKS


Stakeholder List (finalised)ICT Strategy Register (finalised)Risk Management Strategy (finalised)Health and Safety Report (revised)Project Execu5on Plan (finalised)Procurement and Logis5cs Plan (revised)Financial Plan (Revised)Handover PlanReconstruc5on ModelProcess Execu5on Plan (Finalised)













53

The management of the reconstructed solu5onsover their lifecycle to the required performancestandards.

Phase Deliverable:Performance review: A document that is updatedregularly based on monitoring reconstruc5onac5vi5es to capture lessons learnt and to reviewand evaluate project performance.

Phase Goals:To review the performance of the reconstruc5onprogramme and the built environment solu5onsthroughout their lifecycle.


PHASE EIGHT - ONGOING REVIEW


Post Project ReviewIncident Response Review













54


55

DELIVERABLES DESCRIPTION

What should be produced? 6Sec5on

‘Some communi5es that we visited reportedthat the government had proposed reloca5ngthem to a region where they would besignificantly impacted by floods; others […] torelocate to an area with a high prevalence ofwild elephants thus endangering their lives;while others […] to construct high-riseapartment type housing for fisherman […]which seemed inconceivable to them.’

Rodriguez, H., Wachtendorf, T., Kendra, J. & Trainor,J. (2006) A Snapshot of the 2004 Indian OceanTsunami: Societal Impacts and Consequences. DisasterPreven5on and Management, 15(1), 163-177.

56

57

A number of Ac5vity Zones will inevitably have primeresponsibility for producing the majority of the required phase/ project deliverables for each phase in the process.

This guide illustrates the likely prime responsibility of Ac5vityZones for respec5ve deliverables.

PRIME ACTIVITY CLUSTER RESPONSIBILITY

Poten5ally all ac5vity zones will playa role in developing any deliverablesin the process / project.


Stakeholder ListICT StrategyProgramme Execu5on PlanRisk Management StrategyPreparedness ReportHealth and Safety StrategyRegional Regulatory Issue ReportProject Execu5on PlanMedia Management StrategyProcurement and Logis5cs PlanFinancial PlanLand Issue RegisterLifecycle StrategyProcess Execu5on PlanSocial Issue RegisterEvent LogPreliminary AssessmentAc5ons and Resource Priority ListResponse and Recovery StrategyHazard AssessmentRisk and Hazard Priori5sa5onDetailed AssessmentReconstruc5on ModelPost Project ReviewIncident Response Review

DELIVERABLES

Deliverables represent documented project andprocess informa5on.

These reports are compiled by Risk Iden5fica5onand Management to form the Phase review reportas prescribed by Process Monitoring andManagement.

It is then presented to Strategic DisasterManagement and members of the Phase ReviewBoard at the end of each phase for review andauthorisa5on.

The number and nature of the deliverablespresented at each phase is related to thedevelopment stage of the project.

The phase review documenta5on illustrates thelikely deliverables at the end of each phase.

Note: The following descrip5ons are onlysugges5ons for the content of the deliverables.There are many more references available, relatedto the detailed content of these documents bothfrom professional humanitarian and academicsources.


LIST OF POSSIBLE DELIVERABLES



Stakeholders (e.g. community groups, specialinterest and minority user groups, electedrepresenta5ves, etc.) are those key, local,respected figures or organisa5ons whose views,interests and/or requirements can impact or areimpacted by the ini5a5on and/or formula5on andeventual implementa5on of the disastermanagement and reconstruc5on process.Reconstruc5on is carried out on behalf of thepeople affected by the disaster (or those thatcould poten5ally be affected in case of riskreduc5on ac5vi5es) hence they are the primaryand direct stakeholders.

In addi5on to the Ac5vity Zones associated directlywith the process, other general environmental,social and poli5cal issues need to be captured anddocumented. Stakeholders may be priori5sed toillustrate their importance to, and involvementwith, the process. To deliver the Stakeholder list itis likely that a strategy will need to be developed toiden5fy, engage and coordinate key local, na5onaland interna5onal stakeholders. The strategyshould consider such issues as stakeholderempowerment, trust, rela5onships, leadership,networks and cultural perspec5ves.

STAKEHOLDER LIST





Strategic Disaster ManagementRisk Iden5fica5on and ManagementLifecycle ManagementProcess Monitoring and Management

58



The Informa5on Communica5on Technology (ICT)Strategy will develop a mechanism to coordinateinforma5on, communica5on and technologynetworks, by establishing protocols to considertheir integrity, security, reliability and connec5vity.

Knowledge Management and Organisa5onalLearning should be considered to enableknowledge capture, transfer and reten5on. Acommunity of prac5ce should be established tolearn from past events and share lessons.

INFORMATION COMMUNICATION TECHNOLOGYSTRATEGY





Strategic Disaster ManagementRecovery Process Planning

ICT requirements and gaps should be iden5fiedand addressed as part of an ICT protocol.

An effec5ve informa5on collec5on, analysis anddissemina5on mechanism should be establishedand maintained.

A technology review should be conducted toconsider appropriate, available and sustainabletechnology.

59



The early considera5on of poten5al disastermanagement and reconstruc5on events will aid theiden5fica5on of a strategic managementprogramme and delivery mechanism. This willestablish programme protocols for ac5vityclustering, phasing, reviewing and upda5ng.

Memoranda of understanding, mutual aidagreements and crisis mee5ng protocols for sharinginforma5on should also be considered andestablished.

PROGRAMME EXECUTION PLAN



Strategic Disaster ManagementRisk Iden5fica5on and ManagementHealth and Safety ManagementRecovery Process Planning


Strategic Disaster ManagementRecovery Process Planning and Management

60



A strategy for managing risks will be developed andimplemented that will:

RISK MANAGEMENT STRATEGY





Strategic Disaster ManagementRisk Iden5fica5on and Management

Conduct a Risk AssessmentIden5fy sources of vulnerabilityConduct Risk Evalua5onConduct Risk Reduc5onShare informa5on about future dangers andhazardsConduct Risk Mi5ga5on and Interven5onStrategy

61

62



Strategic Disaster ManagementRisk Iden5fica5on and ManagementRecovery Process Planning



PREPAREDNESS REPORT

The preparedness report will assess the level ormaturity of preparedness and will considerresources for an appropriate response. Thedevelopment of the preparedness plan will assessresilience by collec5ng informa5on on availableresources, requirements and con5nuity strategies.Informa5on will be collected on key players andtheir mandates and on interna5onal/na5onalhumanitarian law.

Preparedness exercises, drills, simula5ons andscenarios will aid planning and training.



63






HEALTH AND SAFETY STRATEGY

The Health and Safety Strategy will focus onmaintaining the health of all persons involved in theDisaster Management and Reconstruc5on Process.It will iden5fy aspects of health that requireaddressing, for example, stress, anxiety andtrauma. The report will also consider the safety ofall those involved in the process.





It is important to understand and comply with adisaster areas regulatory framework. The reportwill consider governance, poli5cs, liability,accountability and standards.

Governance, cultural nuances, incen5ves andsanc5ons, governing regula5ons (fire, health andsafety, financial), diplomacy and other policies willbe considered.

Liability and risk arising as a consequence of thedisaster should be considered in terms of legalcompliance, for example injuries resul5ng fromunsafe structures, civil unrest etc.

Private and public accountability issues must alsobe considered, for example, public enquiries, auditprocesses and the accountability of staff andvolunteers.

Recognised standards and best prac5ce guidanceshould be observed (e.g. Sphere Project Standards,2004).

REGIONAL REGULATORY ISSUES REPORT



Strategic Disaster ManagementHealth and Safety Management


Health and Safety ManagementStrategic Disaster Management

64



A clear understanding of the requirements forproject execu5on will poten5ally increase thechances of successful implementa5on of thereconstruc5on process. The plan will consider apar5cipatory, impar5al and transparentcoordinated management approach aimed atcoordina5ng all involved agencies to eradicate workduplica5on and inefficiencies.

The Project Execu5on Plan will change as theproject progresses, in par5cular, as risks andhazards change, and it is likely to include thefollowing:

PROJECT EXECUTION PLAN






Resources and dura5on needs for the poten5aland actual construc5on projectMethods for developing and producing theproposed solu5on(s)Iden5fica5on of significant work itemsCon5ngency plans for specific elements of theprojectProgramme op5misa5on elementsConsider (corporate) social responsibilityConsider public and private roles andresponsibili5es

65

66

Recovery Process Planning and ManagementStrategic Disaster Management


Recovery Process Planning andManagementStrategic Disaster Management



MEDIA MANAGEMENT STRATEGY

It is advantageous to develop a mutually beneficialrela5onship with broadcast, electronic and printmedia. Their communica5on channels will be ofcri5cal importance during a disaster. Therefore amedia management strategy will be establishedthat will consider the consequences of mediaa6en5on and determine levels of coopera5on.



67

Resource Management


Resource ManagementStrategic Disaster ManagementRisk Iden5fica5on and ManagementRecovery Process PlanningLifecycle Management



PROCUREMENT AND LOGISTICS PLAN

The success or failure of reconstruc5on will dependon providing the ‘right’ resources at the ‘right’ 5meand at the ‘right’ loca5on. Procurement ofresources can include the following categories:

• Services• Products• Finance• Programme

The Procurement and Logis5cs Plan is likely to:

• Consider resource posi5oning and maintenance• Consider human resources• Consider energy/ water resources• Consider transport and accessibility• Consider and develop procurement strategies



68

Resource Management


Resource Management



FINANCIAL PLAN

The Financial Plan aims to iden5fy the costs of thepoten5al and actual disaster management andreconstruc5on ac5vi5es. It is, for the most part, a‘live’ rolling document which is updated and reviseddepending on the phase of the reconstruc5on.

The Financial Plan is likely to:

• Consider financial management• Consider sources of funding• Consider acquiring finance• Consider distribu5on of funds• Consider financial reviews



69






LAND ISSUE REGISTER

During a disaster and subsequent reconstruc5onthere will be many issues rela5ng to land 5tles anduse that will need to be considered. Siteinves5ga5ons will be required to assess thesuitability of available sites for both temporary &permanent shelters. Problems rela5ng to land usewill also have to be iden5fied such as grazing,cul5va5ng, sanita5on and land tenure.Environmental condi5ons that impose constraintson site should also be considered, such asaccessibility, soil and vegeta5on.





A clear and early understanding and iden5fica5onof the strategic (both long and short term) lifecycleissues are paramount to shorten the overallrecovery period. O%en early decisions madeimmediately a%er a disaster may impact nega5velyon subsequent ac5vi5es.

The lifecycle strategy is likely to considersustainability issues, and the iden5fica5on andmanagement of disaster lifecycle phases, inpar5cular, to:

LIFECYCLE STRATEGY



Strategic Disaster ManagementLifecycle Management



70

Consider situa5on before event, such as pre-event planning, preparedness and preven5onConsider situa5on during event, such asimmediate response, management andassessmentConsider situa5on a%er event (short term), suchas short term recovery and reliefConsider situa5on a%er event (long term), suchas long term rehabilita5on and reconstruc5on,opera5on and maintenanceConsider eventual disengagement, such as todevelop an exit strategy, clarify an exit 5meframefor stakeholders, establish indicators forwithdrawal, establish handover func5ons,determine what equipment stays behind, andmanage shadowing by local counterparts forhandover.

•

•

•

•

•



A clear and early iden5fica5on and understandingof the process requirements for the project willpoten5ally increase visibility and enable theproduc5on of the respec5ve phase deliverables.The process execu5on plan will change accordingto the proposed reconstruc5on solu5ons offeredand it is likely to include:

PROCESS EXECUTION PLAN






•

•

••

Breakdown of the reconstruc5on ac5vi5es intodis5nct phasesIden5fica5on of the deliverables required at theend of each phaseDura5on es5mates for each phaseInforma5on regarding the enactment of phasereviews e.g. content of phase review report,agenda etc.

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72



Strategic Disaster ManagementRisk Iden5fica5on and ManagementHealth and Safety ManagementRecovery Process PlanningProcess Monitoring and Management



SOCIAL ISSUE REGISTER

The register will consider socially sensi5ve issuesrelated to people and their communi5es and islikely to contain informa5on rela5ng to theregulatory, cultural, social and religious make-upthat forms an area’s social landscape. This willenable Disaster Management and Reconstruc5onprocess par5cipants to act with sensi5vity towardsthe affected community. A community’s social,economic and poli5cal structure will also need tobe considered.



73






EVENT LOG

Response capability will be improved by monitoringevents, condi5ons and trends to gain early warningof impending disasters. It is important to collectinforma5on on poten5al disaster environmentsincluding refugees and displaced personsmovements.



74

Risk Iden5fica5on and ManagementStrategic Disaster Management


Risk Iden5fica5on and ManagementStrategic Disaster Management



PRELIMINARY ASSESSMENT

The preliminary assessment will iden5fy areas witha high degree of damage and consider the impactof the disaster on the area and its infrastructure.Vulnerable individuals and groups will be iden5fiedfor assistance in terms of:

• Health/First Aid• Water/Sanita5on• Nutri5on/Food supply and delivery• Emergency Shelter• Search/Rescue• Burial• Emergency access• Loss of Livelihood



75

Strategic Disaster ManagementRisk Iden5fica5on and ManagementRecovery Process PlanningResource Management


Strategic Disaster ManagementRisk Iden5fica5on and ManagementRecovery Process PlanningResource Management



ACTIONS AND RESOURCE PRIORITY LIST

Risk, hazard, damage and impact assessments willbe consulted, together with resource assessments,in order to iden5fy cri5cal and urgent relief needsand to determine how the present and poten5allyavailable resources will be deployed to target theseneeds.



76






RESPONSE AND RECOVERY STRATEGY

The Response and Recovery Strategy will considermechanisms to manage recovery and manage therela5onships of affected par5es. It will ini5ally focuson understanding the disaster and its scope. It willalso focus on containment and iden5fying thecause (if known). It will consider the impact of thedisaster on the (built) environment and it will alsoconsider the human impact. Clear-up requirementswill be considered and also whether the sceneneeds to be preserved for forensic analysis.



77



Strategic Disaster ManagementRisk Iden5fica5on and ManagementHealth and Safety ManagementRecovery Process PlanningLifecycle Management



HAZARD ASSESSMENT

A hazard assessment will consider consequen5alevents resul5ng from the ini5al disaster. It will alsoconsider opportunis5c and consequen5al sub-disasters such as disease and famine.





This deliverable aims to iden5fy all current andpoten5al hazards and risks in the disastermanagement and reconstruc5on process. A%eriden5fica5on, the hazards and risks are priori5sedto enable the efficient and effec5ve alloca5on ofavailable resources.

RISK AND HAZARD PRIORITISATION






78



A detailed assessment will iden5fy areas that havesuffered more severe damage and will enable areconstruc5on requirements specifica5on to bedeveloped. A detailed report will be prepared thatwill consider:

DETAILED ASSESSMENT






•

•

People in need of shelter (Temporary andPermanent)

Built environment survey, consis5ng ofinfrastructure and buildings damaged (usableand non usable), types of buildings, number ofbuilding inhabitants, repair es5mates,availability of local materials.

79

•

•

Co-ordinated: comprises all the major designelements, such as structural, mechanical andelectrical, so that the design is realis5c andprac5cal to build and maintain.

Opera5onal: the co-ordinated ‘work packages’to enable the reconstruc5on work to be carriedout. When compa5bility between work packageshas been established, there should be completereconstruc5on informa5on to enableconstruc5on works.

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Strategic Disaster ManagementReconstruc5on Management



RECONSTRUCTION MODEL

The reconstruc5on model will present the designof infrastructure in the form of a prototype model.It will take into account any site-relatedinforma5on, and be fully responsive to anyprescribed statutory requirements and culturalneeds.

The model will become more defined as moredetail is added to it. Depending on the phase of theprocess, it will be termed as:



81






POST PROJECT REVIEW

The post project review should iden5fy any areasthat need to be considered more carefully duringfuture events. The emphasis should be on crea5nga learning environment for everybody involved.Reconstructed building informa5on designs aredocumented and finalised informa5on is depositedin a Governmental Informa5on Store or recordoffice archive for future use.





The response to the incident should be reviewed byall stakeholders to learn lessons and to sustainably‘build back be6er’ in the a%ermath of futureevents.

INCIDENT RESPONSE REVIEW





Strategic Disaster ManagementLifecycle Management

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Disaster Management and Reconstruc3on Ac3vity Checklist

Stakeholder Framework Management

Iden3fy Key Stakeholders

Develop Stakeholder Iden3fica3on StrategyGain par5cipa5on of iden5fied key stakeholders

Consider Local, Na3onal and Interna3onal Community Stakeholder Coordina3on andEngagement

Develop strategy to engage local, na5onal and interna5onal communityDevelop stakeholder coordina5on strategyDevelop stakeholder NetworkConsider stakeholder EmpowermentConsider stakeholder TrustConsider stakeholder Perspec5vesConsider dynamics of stakeholder rela5onshipsConsider transparency of stakeholder rela5onshipsConsider stakeholder cultural issues and expecta5ons

Informa3on Communica3on Technology Management

Develop ICT coordina3on mechanismConsider reliability and integrity and securityConsider networksConsider protocolsConsider informa5on connec5vity

Consider Communica3onsAssess communica5on requirementsIden5fy communica5on gapsDevelop and implement communica5ons protocol

Consider Informa3onAssess informa5on requirementsIden5fy informa5on gapsDevelop and implement informa5on protocolEstablish and maintain effec5ve informa5on collec5on, analysis & dissemina5on

PROCESS CHECKLIST

APPENDICES

84

Consider TechnologyAssess technology requirementsIden5fy technology gapsDevelop and implement technology protocolConduct technology watch to consider appropriate technology, availabletechnology, sustainable technology

Consider Programme ManagementIden5fy and establish management programmeIden5fy and establish programme delivery mechanismEstablish review and update protocolsEstablish phases

Consider Assessment Framework

Preliminary AssessmentIden5fy areas with a high degree of damageConsider the impact of the disaster on the area and its infrastructure.Iden5fy vulnerable individuals and groups for assistance in terms of:

Health / First AidWater / Sanita5onNutri5on / Food supply and deliveryEmergency ShelterSearch / RescueBurialEmergency accessLoss of Livelihood

Detailed Damage and Impact AssessmentIden5fy people in need of shelter (Temporary and Permanent)Conduct built environment survey consis5ng of infrastructure and buildingsdamaged (useable and non useable), types of buildings, number of buildinginhabitants, repair es5mates, availability of local materials.

Priori3sa3onIden5fy cri5cal needs and target resources to needIden5fy most urgent relief needs and methods of sa5sfying themSet priori5es on ac5ons and resources

APPENDICES

85

Consider Type of Crisis / Incident / DisasterPrepare event defini5onsConsider whether major incident: Can it be contained? Is there a known causeand can it be dealt with by emergency services.Consider whether major disaster: Containment is not possible? Currentlyunquan5fiable? Ini5ally unknown boundaries?Consider Risks: Earthquakes, Floods etc.

Consider Environmental ImpactConsider impact on the environmentConsider impact on the built environmentAssess clear up requirements, consider whether scene of crime

Assess Poten3al HazardsConsider consequen5al eventsConsider opportunis5c sub disasters e.g. Human traffickingConsider consequen5al sub disaster e.g. Disease, Famine

Assess Reconstruc3on Requirements

Consider Local Condi3ons and KnowledgeConsider ClimateConsider Community Issues

Consider Poten3al Disasters

Consider iden3fying and implemen3ng a crisis / incident / disaster management systemEstablish crisis mee5ng protocols for sharing informa5onEstablish memoranda of understanding and mutual aid agreementsUndertake a Management Review to iden5fy Management failures

Consider and Manage Risk

Develop and Implement Risk Management StrategyConduct hazard / risk assessmentIden5fy sources of vulnerabilityConduct risk evalua5onConduct risk reduc5onShare informa5on about future dangers and hazardsConduct risk mi5ga5on and interven5on

APPENDICES

86

Consider Preparedness

Assess level or maturity of preparedness

Determine resources for appropriate response

Consider PlanningDevelop preparedness plan and assess resilienceCollect informa5on and iden5fy key players and their mandateCollect informa5on on interna5onal / na5onal humanitarian lawCollect informa5on on available resourcesConsider requirementsConsider project and programme ac5vi5esConsider con5nuity strategies to include business interrup5on insurance

Consider ExercisesDevelop exercise planConsider trainingConsider drills, simula5ons, scenario and case based trainingConsider mental preparedness of people

Consider Health and Safety

Consider HealthMaintaining the health of all personsIden5fy aspects of health that require addressing e.g. stress and anxiety, trauma

Consider SafetyConsider Liability

Consider Medical Factors

Consider Regional Regulatory Issues

Consider GovernanceConsider local cultural nuancesConsider incen5ves and sanc5onsConsider governing regula5ons, fire, health and safety, financial.Considering governing ins5tu5onsConsider legal issuesConsider policyConsider diplomacy

APPENDICES

87

Consider Poli3csConsider poli5cal management

Consider LiabilityManage risk and liability arising as a consequence of the crisis/incident/disasterDetermine legal posi5onEnsure measures are taken to comply with legal posi5on, e.g. injuries resul5ngfrom unsafe structures

Consider AccountabilityConsider private and public accountability issuesConsider public inquiryConsider audit processEnsure accountability through use of monitoring and evalua5ng informa5onEnsure accountability for staff and volunteers

Consider Recognised StandardsConsider best prac5ce guidance

Consider and Manage Project Execu3on

Consider Project Management and Coordina3onConsider developing and implemen5ng a par5cipatory, impar5al, transparentcoordinated management approachConsider lack of coordina5onConsider emergency services coordina5onConsider the coordina5on of all agencies to eradicate work duplica5on andinefficienciesEstablish and maintain a register of work that needs to be done and that hasbeen doneConsider corporate social responsibilityConsider 5me, cost, quality

Consider Roles and ResponsibilityConsider transparency of role defini5on and rela5onshipsDefine responsibili5es

APPENDICES

88

Consider Knowledge Management and Organisa3onal LearningEstablish legacy archiveConsider knowledge capture, transfer and reten5onEstablish organisa5onal learning and community of prac5ce to learn from pastinstances and share these lessons.Consider mechanisms for con5nuous improvement: key performance indicatorsand benchmarking.

Consider Management Tools

Consider Skills Availability

Consider TerminologyIden5fy and adopt recognised common terminology, standards and proceduresEstablish language lexicon including technical language lexiconConsider liability a6ached to using certain terminology

Manage Media

Establish media strategy

Consider the consequences of media a4en3on

Determine level of coopera3on

Determine level of poten3al outrage

Consider and Manage Resource Logis3cs

Consider resource posi3oning and maintenanceSecure relief materials – pre-posi5on equipment and relief supplies na5onally,regionally or globally

Consider Human ResourcesConsider HR requirement and provisionConsider HR security issuesConsider HR accommoda5onConsider HR skills, knowledge and trainingDevelop local, regional, na5onal and interna5onal skills and knowledge registerEncourage professional ins5tu5ons to develop an inventory of members – skills,qualifica5ons, experience, loca5on and availability.Consider HR availability

APPENDICES

89

Consider Energy Resources

Consider Transport and AccessibilityMonitor transporta5on network and infrastructureIden5fy alternate crossings / routesConsider issues associated with transpor5ng and placing equipment

Consider ProcurementConsider and develop procurement strategiesIden5fy construc5on styles & materials normally used in affected structuresDetermine availability & costs of indigenous materials to meet both cultural &disaster-resistance requirementsIden5fy type & quan5ty of building materialsDetermine if reloca5on is necessary due to disaster – iden5fy problems this maycauseIden5fy poten5al hazard & security vulnerabili5es of sites

Consider SupportEstablish support networkEstablish baseEstablish storesEstablish technical supportEnsure security of relief staff

Consider Energy SuppliesEnsure fuel and energy supplies are in place

Consider Water SuppliesEnsure water supplies are in place

Consider and Manage Finances

Consider Financial ManagementEstablish financial management strategy to include cost planning and control,monitoring of funding flows and expenditure.

Consider Sources of FundingIden5fy funding sources e.g. World BankIden5fy funding applica5on procedures

Consider Acquiring FinanceConsult funding guidanceAccess funding – regional, na5onal and global

APPENDICES

90

Develop fundraising marke5ng planDevelop targeted funding strategy

Consider Distribu3on of FundsEstablish distribu5on strategyProvide short term infrastructure investment guidanceProvide long term view, short/medium term investment programme and annualreviews

Consider Financial Reviews

Consider Land Issues and Use

Undertake site inves3ga3on

Assess suitability of available sites for both temporary & permanent shelters

Iden3fy problems related to land use (grazing, cul3va3on, sanita3on, land tenure etc)

Assess environmental condi3ons that would impose constraints on site (accessibility allseasons, soil, vegeta3on etc)

Consider Crisis / Incident / Disaster Lifecycle Management

Consider whole life cycle management of crisis / incident / disaster elements: builtenvironment, people

Consider sustainability issues

Examine methods to shorten recovery period

Consider Crisis / Incident / Disaster Lifecycle PhasesIden5fy and define phases of lifecycle:Consider situa5on before: pre-event planning, preparedness, preven5onConsider situa5on during: event management, immediate response, assessmentConsider situa5on a%er (short term): short term recovery and relief, post eventstageConsider situa5on a%er (long term): long term rehabilita5on and reconstruc5on,opera5on and maintenanceConsider eventual disengagement: develop exit strategy, clarify exit 5meframefor stakeholders, establish indicators for withdrawal, establish handoverfunc5ons, determine what equipment stays behind, shadowing by local counter-parts for handover.

APPENDICES

91

Consider Phase Coordina3on

Consider Phase Integra3onIden5fy phase goalsAlign, integrate and manage short term and long term phase goals

Manage Process Execu3on

Establish a flexible, scalable, integrated management process

Establish review and update protocols

Establish Phases

Consider Social Issues

Consider Community

Consider Regula3ons

Consider CultureConsider cultural and working prac5cesConsider cultural influencesConsider culture specific sensi5vi5es

Consider ReligionConsider religious issues

Consider Social StructureConsider impact on social structures - physical, social, economic, andgovernmentalConsider social change programme

Monitor Events

Monitor events, condi3ons and trends to gain early warning and improve responsecapability

Collect informa3on on poten3al disaster environments (refugee movements,consequence etc.).

APPENDICES

92

Prepare and Manage Response and Recovery

Consider mechanisms to manage recovery and manage the rela3onships of affectedpar3es

Conduct ac3vi3es outlined during assessmentConsider planningConsider clear upPlan use of appropriate technology and design.

Develop Reconstruc3on Model

Review design/s

Undertake design coordina3on

Update design coordina3on strategy

Inves3gate interfaces of elements/components

Revise and finalise full design programme

Produce construc3on programme

Implement/ operate change management system

Develop detailed design and reconstruc3on informa3on for elements/components ofchosen solu3on in collabora3on with suppliers

Produce technical specifica5ons for elements/componentsProduce detailed design drawings and fabrica5on details for elements/componentsFinalise programme for, and undertake, tests and inspec5onsUndertake value engineering on elements/componentsUndertake calcula5ons for detailed design and reconstruc5on informa5onProduce coordinated installa5on Informa5on

Consider planning & statutory approval requirementsConsulta5on with local authority planning departmentConsider/address/apply for all statutory approvals required and liaise with publicu5li5esConsider schedule of compliance with statutory controls

Undertake design reviewsConstructability and decommissioning review

APPENDICES

93

Maintainability reviewDesign coordina5on reviewStatutory approvals review including public u5li5es applica5onsSustainability review

Prepare Reconstruc3on Strategy

Consider past failures

Develop reconstruc3on master plan vision

Assemble built environment reconstruc3on skill set

Consider reconstruc3on lifecycle

Consider strategic planning

Consider planning at local implementa3on level

Develop and implement reconstruc3on processConsider civil engineering infrastructureConsider building designConsider building construc5onConsider opera5on and maintenance

Procure Work Packages

Finalise resource requirements, considering detailed work package structure and op3miseReview programme for both short and long term resource issuesUpdate outline resource plan for this and subsequent phasesFinalise structure of work packages to ensure effec5ve reconstruc5on informa5oncoordina5on

Iden3fy and assess suppliers for work packages and other resourcesQualifica5on process for entry to 'Project supply network/chain'Agree priori5es for selec5on criteriaReview current skills por4olio of project teamIden5fy/tender/review poten5al suppliers of main and specialist skills/servicesDiscuss reconstruc5on project requirements, skills and availability for the projectEvaluate poten5al suppliers' skills and ability to fulfil requirementsPrepare procurement recommenda5ons reportSelect resources

APPENDICES

94

Obtain/appoint all work package suppliers and other resourcesAgree service level requirements, performance and payment criteriaConfirm appointment to project team for supply of services/productsInduc5on for organisa5ons new to the reconstruc5on projectUpdate resource plan for subsequent phasesInform project team of new appointments

Consult with lawyer/quan3ty surveyor, statutory approvals and applica3onConsult government guidance on procurementCheck relevant public procurement compliance procedures

Start Enabling Works

Ensure main contractor instructs sub-contractors to commence work

Ensure security documents agreed and in place

Take possession of site/s

Insure site/s and subsequent works

Monitor any problems with maintaining the programme of works

Ensure health and safety, legal and statutory requirements are considered for enablingworks

Confirm storage issues - site storage of plant and materials

Monitor Quality

Con3nuously monitor quality of construc3on work against specifica3on and methodstatement

Manage Reconstruc3on

Iden3fy opportuni3es for Professional assistanceChartered surveyors are able to advise on local customs and prac5ce of landtenure, valua5on, compensa5on and any necessary reloca5onsEncourage mul5-disciplinary working prac5ce between professionals, sequencingand programmingConsider cultural issues impact on designConsider educa5on support

APPENDICES

95

Consider best prac5ceConsider guidanceConsider standardsConsider local knowledge

Assess Built Environment and Infrastructure requirements

Develop Reconstruc3on Coordina3on Portal

Develop as-built informa3onUndertake fit-out design workCoordinate work packages (and reconstruc5on informa5on interfaces)Manage changes to design resul5ng from construc5on phase

Manage and undertake construc3on ac3vi3es in accordance with produc3on process mapCon5nuously monitor quality of construc5on work against specifica5on andmethod statementMonitor cost of construc5on work against cost planMonitor progress of construc5on against programmeUndertake final inspec5ons/snagging and awards for comple5onApprove and progressively sign-off completed workManage on-site resources and labourConsulta5on with local authority planning departmentEnsure compliance with statutory approvals and liaise with public u5li5esMonitor construc5on work for noise, dust, nuisance, etc. and environmentalimpacts

Implement Handover Plan

CommissioningUndertake commissioning and tes5ng of servicesObtain fire cer5ficates

Compile facility dataCompile fire cer5ficatesCompile service and opera5ons informa5on/plant and equipment details and testresultsCompile acceptance test results (materials and manufacture) and commissioningrecordsCollate as-built informa5on

APPENDICES

96

Prepare for opera3on and maintenance of facilityAppoint/allocate staff to receive training for suppor5ng services opera5onCompile opera5ng and user manuals and documentsCoordinate adver5sing, security and cleaning services, etc.Coordinate car parking and facility access controls

Prepare for physical transfer of facility and handoverFormal facility hand over (mee5ng) on comple5on of construc5on, manuals,commissioning, etc.Implement detailed space and facility alloca5on plansNo5fy relevant bodies of ownership/handover: legal representa5ves, insurance,local authority, u5li5es, etc.

Comple3on, defects and rec3fica3onPrepare schedule of defects and incomplete workRec5fy defects and incomplete workFinal inspec5on and comple5on cer5ficateEnsure compliance with planning and building regula5onsAssess internal stakeholder sa5sfac5onAssess external stakeholder sa5sfac5onFormulate and implement ac5on plan to remedy problems if required

Undertake Post Project Review

Manage interface between Facili3es Manager and client/occupier

Interview stakeholders to gain feedback on project

Examine owner occupier success factorsFulfils func5onal requirementsProject review to decide whether completed within the 5me constraintsEnsure communica5ons and services workingInterview occupants to gain feedback on project

Summarise project team performance and feedbackInterview teams to gain feedback on projectReview and store lessons learnt

Internal Project Reviews by each par3cipa3ng organisa3on

APPENDICES

97

Output performance specifica3on reviewMeasure building performancePerform post-occupancy evalua5onEvaluate design success at mee5ng client's requirements and matchingperformance specifica5on

Incident Response Review

Consider effec3veness of response

Consider effec3veness of reconstruc3on

APPENDICES

APPENDICES

REFERENCES

Alexander, B., Chan-Halbrendt, C. & Salim, W. (2006) Sustainable LivelihoodConsidera5ons for Disaster Risk Management: Implica5ons for Implementa5on ofthe Government of Indonesia Tsunami Recovery Plan. Journal of DisasterPreven5on & Management, 15(1), 31-50.

ALNAP (2005) Tsunami Evalua5on Coali5on h*p://www.alnap.org/tec

Auf der Heide, E. (1989) Disaster Response: Principles & Prepara5on &Coordina5on. The CV Mosby Company, St Louis, MO.

Barakat, S. & Strand, A. (1995) Rehabilita5on & Reconstruc5on of Afghanistan:A Challenge for Afghans, NGOs and the UN. Journal of Disaster Preven5on &Management, 4(1), 21-26.

Barakat, S. (2003) Housing Reconstruc5on a%er Conflict & Disaster. HumanitarianNetwork Paper, 43.

Chris5an Aid (2006) The Climate of Poverty: Facts, Fears & Hopeh*p://www.chris)an-aid.org.uk

Coate, B., Handmer, J. & Choong, W. (2006) Taking Care of People & Communi5es:Rebuilding Livelihoods Through NGOs & the Informal Economy in SouthernThailand. Journal of Disaster Preven5on & Management, 15(1), 135-145.

Development Today (2006) Post-Tsunami Evalua5on of Red Cross: Too MuchMoney in the Wrong Hands. Bulle5n 16(4), 31st March.

Drabek, T. E. & McEn5re, D. A. (2003) Emergent Phenomena & the Sociology ofDisaster: Lessons, Trends & Opportuni5es from the Recent Literature. Journal ofDisaster Preven5on & Management, 12(2), 97-112.

Fleming, A., Lee, A. (2006) Designing to Bridge the Gap in Major DisasterReconstruc5on: the Methodology, London, RICS.

Ghafory-Ash5any, M. (1999) Rescue Opera5on and Reconstruc5on of RecentEarthquakes in Iran. Journal of Disaster Preven5on & Management, 8(1), 5-20.

Hencke, D. (2006) Britain Demands Return of Unspent Tsunami Aid. The Guardian,1st March. h*p://www.guardian.co.uk/tsunami/story/0,,1720264,00.html

IFRC (2005) World Disasters Report h*p://www.ifrc.org

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99

Kagioglou, M., Cooper, R., Aouad, G., Hinks, J., Sexton, M. and Sheath, D. (1998)Final Report: Generic Design and Construc5on Process Protocol. The University ofSalford

Lloyd-Jones, T. (2006) Mind the Gap! Post-Disaster Reconstruc5on and theTransi5on from Humanitarian Relief. London, RICS

McEn5re, D. A. (1999) Issues in Disaster Relief: Progress, Perpetual Problems &Prospec5ve Solu5ons. Journal of Disaster Preven5on & Management, 8(5),351-361.

Overseas Development Ins5tute (2005) ODI Annual Report. ODI, Russell Press Ltd,No7ngham.

Oxfam Interna5onal (2005) A Place to Stay, a Place to Live: Challenges in ProvidingShelter in India, Indonesia & Sri Lanka a%er the Tsunami. Oxford, OxfamInterna5onal.

Quarantelli, E. L. (1994) Future Disaster Trends & Policy Implica5ons forDeveloping Countries. Disaster Research Centre, University of Delaware, Newark.

The Sphere Project (2004) Humanitarian Charter and Minimum Standards inDisaster Responses.

Twigg, J. (2004) Disaster Risk Reduc5on: Mi5ga5on & Preparedness inDevelopment & Emergency Planning. Overseas Development Ins5tuteHumanitarian Prac5ce Network, London.

UNISDR (2004) Living with Risk: A Global View of Disaster Reduc5on Ini5a5ves.United Na5ons Interna5onal Strategy for Disaster Reduc5on, Geneva.

University of Salford (1998) A Generic Guide to the Design and Construc5onProcess Protocol.

Wenger, D. (1992) Emergent & Volunteer Behavior during Disaster: ResearchFindings & Planning Implica5ons. HRRC Publica5on 27P, Texas A&M University,Hazard Reduc5on Recovery Centre, Texas.

World Bank (2007)h*p://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/0,,contentMDK:20153855~menuPK:373757~pagePK:148956~piPK:216618~theSitePK:336992,00.html

REFERENCES

APPENDICES

100

The Disaster Management and Reconstrucon Process Protocol has been developed according to the following key principles which, if applied will deliver these benefits:

Being preparedEncouraging preparedness towards disaster risks.

Whole project viewThe process covers the whole lifecycle of a disaster, from preparedness through to reconstrucon. This will ensure that issues such as operaon and maintenance are considered at the front-end of the process.

Clear planning frameworkDrawing from the ‘stage-gate’ approach in the Generic Design and Construcon Process Protocol™, a phase review process is adopted which applies a consistent planning and review procedure throughout the project.

A consistent processThe protocol’s generic properes allow for the consistent applicaon of the phase review process across different projects and supply chain parcipants. This, together with the adopon of an effecve approach to performance measurement, evaluaon and control, facilitates connuous improvement.

Process flexibilityThe protocol enables the alignment of the project process with exisng governance and operaonal processes. The flexibility of the protocol ensures that customised, specific process protocols can be created to manage projects, generang team ‘buy-in’ to the process. At the same me it insls more collaborave and less adversarial pracces as a result of the applicaon of the customised process.

Stakeholder involvement/teamworkProject success relies upon the right people, having the right informaon at the right me and doing the right things. The proacve resourcing of project phases through the adopon of stakeholder views and standardised project deliverables should ensure that appropriate parcipants areidenfied and consulted earlier in the process than is tradionally the case.

CoordinaonThe need for effecve coordinaon between project team members is paramount. The team leader or focal point will need to be assigned with delegated authority to coordinate the parcipants and acvies of each phase for the producon of the project deliverables, throughout the process.

FeedbackThe knowledge generated in a project through its monitoring and evaluaon system in terms of suc-cesses and failures, if captured, can offer important lessons for the future. The phase review process facilitates a means by which project experiences throughout the process can be captured, thereby informing later phases and future projects. The creaon, maintenance and use of a Legacy Archive will aid a process of connual improvement.

Disaster Management and Reconstrucon Process Protocol Key Principles:

A Consultave Guide to the Disaster Management andReconstrucon Process Protocol

The Indian Ocean tsunami of served as the catalyst for the formaon of the Royal Instuon of Chartered Surveyors (RICS) President’s Commission for Major DisasterManagement to idenfy ways in which built environment professionals may help toalleviate the suffering of those affected by future major disasters. The Commissionidenfied a gap between the provision of humanitarian relief and the commencement of the reconstrucon of the built environment phase. The Disaster Management andReconstrucon Process Protocol aims to bridge this gap by providing a well coordinated, consistent and transparent process management framework to all of the stakeholders acng at various points throughout the disaster management and reconstruconlifecycle. It provides a ‘map’ of the acvies that need to be undertaken throughout the reconstrucon process including preparaon before a disaster event. This map aidstransparency, structures knowledge, idenfies the posion of emerging knowledge within the process, and provides a reference point for management decision-making.

Who should use the Guide?The Process Protocol System can be used by any parcipant to the Disaster Management and Reconstrucon supply and recovery chain including Government Agencies,community organisaons, NGOs and aid agencies, contractors, architects, surveyors and engineers. It provides a structured framework for supply chain integraon.

About Us

The School of the Built Environment, University of SalfordA recognised centre of excellence naonally and internaonally - the UK’s premier school of the Built Environment.

RICSRICS provides the world’s leading qualificaon for professional standards in land,property and, construcon. With over , property professionals working in the major established and emerging economies across the globe, RICS is the mark ofproperty professionalism worldwide.

RICS is an independent professional body originally established in the UK by Royal Charter. Since , RICS has been commied to se ng and upholding the higheststandards of excellence and integrity – providing imparal, authoritave advice on key issues affecng businesses and society.

For more informaon please visit www.rics.org

Phases

Phase , Disaster Preparedness: Early consideraon of risks and acvies that need to beundertaken during a disaster and in development of a risk register.

Phase , Pre event planning: Considers and refines the risk register to develop a DisasterManagement Plan.

Phase , Inial Reconnaissance: Reviews preparaons and implements disaster management systems to gain an inial assessment of condions on the ground.

Phase , Review and Priorisaon: Reviews elements of the Inial Assessment to develop The Acon Plan and focus the immediate response and long term assessment.

Phase , Detailed Assessment: Acvies providing an accurate overview of the disaster andsubsequent consequences to enable strategic decision making to occur.

Phase , Reconstrucon Strategy: Detailed Assessment informs development of a reconstrucon strategy which leads to a Strategic Master Plan.

Phase , Reconstrucon Informaon: Iniates work on potenal reconstrucon soluons and develops detailed soluons in the Reconstrucon Documents.

Phase , Reconstrucon Works: Undertakes acvies associated with reconstrucon with end deliverable as Reconstrucon Compleon Documents.

Phase , Ongoing Review: Management of reconstrucon soluons over their lifecycle to the required performance standards. Review of performance and lessons learned.

Acvity Zones

Strategic Disaster Management: Strategic perspecve to ensure stakeholder’s needs andrequirements are captured, understood and met throughout reconstrucon lifecycle.

Risk Idenficaon and Management: Considers how risks relang to disasters are idenfied and assessed pre and post disaster.

Health and Safety Management: Focuses on all aspects of health and care, safety, governance,liability and accountability. It also considers regional regulatory issues.

Recovery Process Planning: Processes within this acvity zone have been developed to aid the strategy, planning, project management and execuon of the recovery.

Resource Management: Deals with all aspects of logiscs, procurement and financial issues.

Reconstrucon Management: Considers reconstrucon acvity that occurs throughout thelifecycle, including managing land issues early in the process through to managing construcon works and handover.

Lifecycle Management: Considers all aspects of integrang the short term and long term issues.

Process Monitoring and Management: ensures that all the acvies are carried out in thecorrect sequence and to the appropriate standard.

June / / RICS Disaster Management Commission / Salford University / RICS Foundaon

Copyright © Fleming, Lee, Kagioglou, University of Salford, RICS.ISBN: -- - -

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