Building a disaster safe country (final) rev by Sahady Zaa

BUILDING A DISASTER SAFE COUNTRY HONDURAS’ EXPERIENCE IN INCORPORATING RISK MANAGEMENT AND CLIMATE ADAPTATION INTO THE DEVELOPMENT AGENDA

Swiss Agency for Development and Cooperation SDC

Empowered lives. Resilient nations.

© UNDP, Honduras, June 2013 This document was prepared under the supervision of: UNDP, Honduras Environment and Risk Management Unit Juan José Ferrando Author: Juan Carlos Orrego Technical Team: Amaia Pérez Senra - Julia Ruiz - Sandra Buitrago Layout: Sahady J. Mencía Translation: Hugo Reyes Proofreading: Rhonda Campbell and Sahady Mencía ISBN: 978-99926-821-5-9 The translation of this document was made possible thanks to OnlineVoluntreering.org This publication may be reproduced in whole or in part, in any form and by any means, whether electronic, mechanical, photocopying or otherwise, provided that the source is acknowledged. The ideas and opinions expressed in this report are solely those of the authors and do not necessarily reflect the views or opinion of the United Nations Development Programme (UNDP), Honduras. For more information about this publication, please visit the United Nations Development Program, Honduras website www.undp.un.hn

Credits United Nations System Honduras United Nations Development Programme José Manuel Hermida, Resident Representative Edo Stork, Assistant Resident Representative Juan José Ferrando, Honduras Environment and Risk Management Unit Coordinator Ginés Suarez, Environment Unit Advisor; Project Coordinator (2009-2011) Sandra Buitrago, Environment Unit Advisor; Project Coordinator (February 2012 – June 2013) Technical Project Team Dennis Funes, Orlando Lara, Cristabel López, Claudia García, Diego Cortines, Ena Almendárez, Samantha Cruz, Martha Izaguirre, Sahady Mencía, Darwing Martínez, Wílmer Cruz, Julia Ruiz, Violeta Mora, Marco Quan, Amaia Pérez Regional Center Freddy Justiniano, Director, a.i. Pablo Ruiz, Crisis Prevention and Recovery Area Leader María Jesus Izquierdo, Disaster Risk Advisor (2010-2012) Geraldine Becchi, Disaster Risk Advisor (July 2012 – June 2013) Karold Guzmán, Research Assistant Juan Carlos Orrego O., International Advisor, Risk Management and Early Recovery. Systematizing Team Coordinator, Dora Astrid Gaviria, Research Assistant. Gender Practice Area Carmen de la Cruz, Gender Practice Area Leader. Yolanda Villar Gómez, Gender Technical Specialist (2009-2013) Knowledge Management Unit Octavio Aguirre, Marco Ortega SDC – Swiss Cooperation in Central America Fabrizio Poretti, Assistant Resident Director Responsible for Humanitarian Aid and Prevention Miriam Downs Selva, Senior Consultant, Disaster Risk Reduction and Humanitarian Aid Local Authorities Ricardo Alvarez, Mayor, Central District Municipality Juan Diego Zelaya, Deputy Mayor, Central District Municipality Marla Puerto, Central District Municipality Prevention and Mitigation Manager National Authorities Lisandro Rosales, National Commissioned Minister of the Permanent Contingency Commission Gonzalo Funes, Managing Director of Prevention for the Permanent Commission of Contingencies Julio Raudales, Minister of Planning and External Cooperation (SEPLAN) Lilian Gutiérrez, Managing Director of Regional Coordination (SEPLAN) Wilfredo Cerrato, Minister of Finance (SEFIN) Jackeline Molina, Managing Director of Public Investment, Ministry of Finance (SEFIN) Julieta Castellanos, Chancellor, National Autonomous University of Honduras Nabil Kawas, Director of the Honduran Earth Science Institute Ricardo Calderón, President, Honduran Architecture Institute Luis Eveline, Presidente Honduras Civil Engineering Institute Project 00069453: Strengthening Disaster Risk Management Capacities in Honduras . Project 00075731: Experts, public institutions, mayors, and communities highly vulnerable to climate change have increased and strengthened their tools and adaptive capacities.

ACRONYMS AND ABBREVIATIONS ACC CDMG COPECO COSUDE ESFING DRR DRR-CA ERPIP FHIS MDP-LU PEDM SDC SINAGER SEFIN SEPLAN SNIP SOPTRAVI UNDP

Adaptation to Climate Change Central District Municipal Government Permanent Contingency Commission Swiss Cooperation in Central America Post Crisis Disaster Recovery Financial Strengthening Strategy for Honduras Disaster Risk Reduction Disaster Risk Reduction – Climate Adaptation Early Recovery Policy Implementation Project Honduran Social Investment Fund Municipal Development Plans Focused on Land Use Strategic Municipal Development Plans Swiss Agency for Development and Cooperation National Risk Management System Ministry of Finance Ministry of Planning and External Cooperation National Public Investment System Ministry of Public Works, Transportation and Housing of Honduras National Public Investment System

TABLE OF CONTENTS INTRODUCTION

1. PROGRAM IMPLEMENTATION

2.1 ASSESSMENT FOR AMENDING THE SINAGER ACT 2.2 REGULATION PLANS FOR SINAGER PREVENTION OFFICERS 2.3 PROPOSED RESETTLEMENT REGULATION 2.4 PROPOSAL FOR THE NATIONAL RISK MANAGEMENT PLAN 2.5 FINANCIAL STRENGTHENING STRATEGY

13 14 15 17 18

3. INCORPORATION OF RISK MANAGEMENT IN SECTORAL AND REGIONAL DEVELOPMENT POLICIES 21 3.1 PROJECT FORTIFICATION 22 3.2 A PROPOSAL FOR A SIMPLIFIED GUIDE FOR PREPARING MUNICIPAL DEVELOPMENT PLANS, UNDER A LAND-‐USE PLANNING APPROACH (PDM-‐OT) 26 4. DEVELOPING A DISASTER RISK MANAGEMENT CULTURE

4.1 TECHNICAL MANUALS

5. CAPACITY BUILDING

6. CONCLUSIONS

6.1 LESSONS LEARNED 6.2 NATIONAL AND REGIONAL ACHIEVEMENTS

48 48

BIBLIOGRAPHY

INTRODUCTION Honduras has one of the world’s highest levels of disaster emergency risk, but also has one of the lowest levels of economic resilience (2010 IDB Index). The country has a high recurrence of potentially disastrous events such as floods, droughts, landslides and earthquakes and in recent years has faced tropical storms and hurricanes with nationwide impact, such as Hurricane Mitch (1998), Tropical Storms Beta and Gamma (2005), Tropical Depression 16, and Tropical Storm Agatha (2010). The extent of recurring damage and losses in a country with a medium Human Development Index, ranked at 106 worldwide, has a particularly severe impact. The estimated economic impact of major disasters in Honduras between 1993 and 2009 was $4.274 billion (USD), which means that the average annual loss for this period was $251 million (USD). Development sectors such as infrastructure, agriculture, housing, water, sanitation, education and health were most affected, with the most vulnerable social sectors, such as the indigenous population and female-headed households, being hardest hit. The impact of natural disasters in Honduras is nationwide. Recent studies have indicated that Honduras is one of the three countries in the region that faces the resilience trap; the vicious circle of disasters, poverty and lack of development. There has been an effort in recent years, led by national authorities in response to disaster challenges, to create a shift in public policy for managing disaster risks and climate adaptation, in order to reduce existing risks and avoid creating new ones. The United Nations Development Programme (UNDP) and the Swiss Agency for Development and Cooperation (SDC) supported the State's efforts in strengthening its disaster risk management capabilities, within the framework of the National System of Disaster Risk Management, by developing projects, such as "Promoting Adaptation to Climate Change in Highly Vulnerable Municipalities and Communities within Honduras" and "Experts, public institutions, mayors, and communities highly vulnerable to climate change have increased and strengthened their tools and adaptive capacities," which took place between 2010 and 2013. This document also refers to the coordination with the Early Recovery Policy

Implementation Project (ERPIP) carried out by UNDP and its Crisis Prevention and Recovery Bureau between 2009 and 2012. ERPIP developed a series of support systems at national and municipal levels, aimed at strengthening public policies and capacities in post disaster recovery and risk reduction. The UNDP/SDC projects aim to strengthen national capacities through development of knowledge and skills among experts and communities and through municipal-level pilot projects that reflect the regional diversity of disaster scales and risks throughout the country (floods, landslides, and coastal erosion). Security against socio-natural and environmental risks is considered to be one of the crucial factors in ensuring Honduras’ development and quality of life for its people. The pilot projects are located in the Tegucigalpa Central District (Tegucigalpa, MDC) and in Santa Rosa de Aguán in Colón. The first project represents the dynamics of local risk management in highly populated cities threatened by landslides and has been systematized in the document entitled, “A City in Search of the Lost Order.” The second reflects the dynamic management and climate adaptation in a highly vulnerable coastal community and has been explained in the publications called, “For the Love of the Ocean: Chronicle of the Santa Rosa de Aguán Experience in Adapting to Climate Change.” Here we present this “Creating a Safe Nation in the Face of Disaster” document, which summarizes the results of the SDC risk management and climate adaptation program, implemented by UNDP in support of national authorities.

JOSÉ MANUEL HERMIDA Resident Representative UNDP Honduras

1.PROGRAM IMPLEMENTATION

Honduras’ Experience with Incorporating Risk Management and Climate Adaptation Into the Development Agenda ……………………………………………………………………………………………………………………………………………………………………………………………………………………………….

The program was implemented along three axes; strengthening of institutions and policy, identification and development of methodological tools, and capacity building of technical teams and other members of civil society. TABLE 1: Capacities for risk awareness, planning and governance at national and local levels Strengthening of National Policy

Awareness and Capacity Development

Improved policy assessment Implemented, evaluated, and adjusted policy frameworks

Methodological risk assessment tools Methodological tools for defining Adaptation to Climate Change (ACC) scenarios

DRR and ACC needs assessment

Incorporation of risk and climate change in development planning and public investment

Methodological tools for development planning management approach

Capacity building, education and training

Specific Risk Reduction Regulations

Methodological tools for risk reduction in public investment

Innovative adaptation measures in dune areas

Development of Local Pilot Processes Identification of risk scenarios

Trained human resources and networks Gender-sensitive activities, social of individuals knowledgeable in Disaster support for awareness and social Risk Reduction (DRR) and ACC communication Development of civic culture Source: UNDP, Honduras. Orrego, Juan Carlos. (2013), UNDP-SDC Project Systematization

UNDP/SDC PROGRAM

National DRR-CA Capacity Building Key experience: DRR standards, regulations, risk awareness, training technical teams

Capacity Building in Tegucigalpa, Central District Key experience: Regional management in a large city, awareness, land use regulation, landslide and flood management Capacity Building in Santa Rosa de Aguán Key experience: DRR-CA in Garifuna communities, social resilience, risk and climatic adaptation in coastal areas

2. STRENGTHENING NATIONAL POLICIES

AND REGULATORY FRAMEWORKS

Public policy shifts caused by DRR in Honduras have created changes in institutional and social culture. Activities at the national level were conducted in coordination with the National Risk Management System (SINAGER) authorities, in particular with the Permanent Contingency Commission (COPECO) the Ministry of Planning (SEPLAN) and the Ministry of Finance (SEFIN). Strengthening national capacities was achieved by linking three comprehensive axes. The first focused on strengthening policy and national planning, the second was aimed at incorporating DRR-CA into sectoral and regional management policies and the third focused on developing institutional risk management culture. These three axes built on actions taken by UNDP in 2009, through implementation of the early recovery policy. NATIONAL INSTITUTIONAL STRENGTHENING AXES IN DRR-CA Strengthening regulatory and national planning Key experience: SINAGER regulations, resettlements, Prevention Officers, National Plan, proposed Financial Strengthening Strategy Incorporating DRR-CA into sectoral and regional management Key experience: Public investment (PI) project fortification, risk assessment guides, regional development plans and zoning

Development of Institutional DRR-CA Culture Key experience: Development planning certification, analysis and risk management technical tools, and risk management for prevention officers

Strengthening policy and SINAGER planning included the proposed amendment to the SINAGER framework law, regulations for Prevention Officers’ duties, relocations, the National Risk Management Plan, and the Financial Strengthening Strategy. Mainstreaming risk management into sectoral and regional development policies included support for strengthening public investment projects, particularly through the use of the Public Investment Guide, and the Simplified Guide for the Preparation of Municipal Development Plans Focused on Land Use (MDP-LU). NEW POLITICAL AND INSTITUTIONAL FRAMEWORK

• • • • •

• •

Regulatory Core Amending the SINAGER Act (in process) Regulations for the SINAGER Act Regulations for resettlement of populations at high risk which cannot be mitigated Regulations for prevention and risk assessment officials National Risk Management Plan Regulations in Strategic Regions Certificate of Occupancy Ordinance in Tegucigalpa Santa Rosa de Aguán Dunes Conservation Ordinance and Zoning Ordinance for Areas at High Risk that Cannot Be Mitigated

Development of a culture of disaster risk management and climate adaptation has meant progress on three levels: (i) Knowledge creation and processing, (ii) creation of management tools and mechanisms, and (iii) forming capabilities and transforming public and institutional culture around sensitive issues and needs. This was achieved through development of guidelines and methodological contents (mitigation works manuals, site and built environment manuals, flood and landslide hazard assessment manuals), training and socialization, and the design and implementation of three certification programs: Planning Development, Risk Management for Prevention Officers, and Risk Management and Local Governance. NEW TRAINING AND EDUCATION TOOLS AND PROCESSES • • • • • • • • • •

Project Fortification Guide and General Methodological Guide for Creating and Evaluating SEFIN Fortified Public Investment Programs and Projects DRR financial strengthening strategy Site and built environment risk assessment manual Simplified Guide on the Unified Model of Regional Planning for the Preparation and/or Updating of Municipal Development Plans focused on Land Use (MPD-LU) Certification 1: Technical Tools for Analysis and Risk Management Certification 2: Risk Management for Prevention Officers Virtual Certification: Risk Management and Local Governance Flood and landslide hazard assessment manuals Mitigation Works Manual Hazard evaluation criteria

2.1 Assessment for Amending the SINAGER Act A set of revisions made to Decree No. 151-2009 aimed to strengthen the SINAGER systemic approach and provide greater clarity as to its function under Honduran law. The SINAGER Act was first revised in 2010, during development of its regulations. Legal problems were discovered at that time, particularly in those areas related to the Decree’s disciplinary approach, so a comparative study of other laws creating risk management systems and civil protection in El Salvador, Costa Rica and Spain was launched. The revision was based on a legal analysis that has been documented and may be of considerable interest to the political and legal authorities in other countries and organizations interested in the design of regulatory frameworks on disaster risk management. UNDP supported COPECO in developing a technical and legal assessment of the implementation of the Act, which identified: • Regulatory or legislative functions granted to the SINAGER Board of Directors • The need to strengthen the systemic approach for sharing responsibilities, and limiting the provisions for mandatory compliance granted to the SINAGER Board of Directors • Roles accorded to Prevention Officers • Behaviors punishable under the Act that were already defined in other frameworks • Duplicate standards • The need to strengthen of coordination within the System • The need to simplify the composition of the SINAGER coordination bodies • The need to develop clearer risk management mechanisms • A redundant and defective punitive system structure

2.2 Regulation Plans for SINAGER Prevention Officers The goal of the proposed regulation is to regulate the functions of the Prevention Officers mentioned in Section 25 of the SINAGER Act, which are central to the operation of the new national policy. In the new national focus, disaster risk management is a responsibility that traverses public administration and one in which most national and local institutions must participate. In order to be effective, one of its foundations is for each entity to have staff with the necessary political and technical capacities to be able to guide activities. In this regard, the Prevention Officers’ Regulation plays a key role, specifically for the following: a. b. c. d. e. f. g.

Ensuring compliance with the rules and procedures established by the SINAGER Act and its regulations, within each institution’s field Ensuring the incorporation of risk management into institutional, regional, departmental, and local strategic projects, plans and programs Informing the highest institutional authority on its needs pertaining to the field of disaster risk Planning and coordinating institutional training activities and for staff and regional delegations In coordination with the relevant Planning Office, guiding and contributing to the development of different institutional plans in the field of disaster risk Authorizing risk assessments conducted in their sectors or areas of jurisdiction Serving as a permanent link between the institution, municipality, or municipal commonwealth to which it belongs, and the SINAGER Executive Secretariat

The following diagram presents the SINAGER Prevention Officers’ Functions Regulation, which contains seven chapters. A general description appears below. FIGURE 1: SINAGER Prevention Officers’ Functions Regulation structure

1. General Dispositions

7. Final Transitional Provisions

6. Legal and Regulatory Provisions Manual

Prevention Officers

5. Practical Risk Assessment Guide

Source: Prevention Officers Regulation Proposal Prepared by: ORREGO, Juan Carlos. (2013) UNDP-SDC Project Systematization

2. Prevention Officers’ General Functions

3. Prevention Officers’ Specific Functions

4. Disaster Risk Assessments

Â In terms of content, the general provisions cover the aim, scope and compliance requirement; the involvement of private institutions; the creation of national and municipal technical prevention units in each sector and entity;, and the requirements for being appointed a Prevention Officer. The second chapter presents the officialsâ&#x20AC;&#x2122; general functions, including those related to ensuring that risk management is included in all sectors and entities, as well as communicating and providing technical advice on risk awareness, specifically in assessing hazards, vulnerabilities and risks. As for the specific functions, Chapter 3 establishes the proposed functions for the various Secretariats (head of sector ministries). Chapter 4 conceptually defines risk assessment or analysis, the elements that make up risk assessments and assessment classes. It also identifies uninhabitable areas and areas with high risk that cannot be mitigated, as well as protected areas. It establishes whether entities can conduct assessments upon request or as part of their functions, and determines the mechanisms to facilitate relocation processes. It further stipulates that all areas defined as being at high risk that cannot be mitigated or as protected areas must be communicated to the regional information system so that this can be taken into account in the various regional land use mechanisms. Finally, Chapter 5 establishes that a practical risk assessment guide or manual be drafted, while the rest of the chapters establish the creation of a legal and regulatory provisions manual, as well as deadlines and penalties.

2.3 Proposed Resettlement Regulation In Honduras, risks exist in many regions. This regularly underlines the need for resettlement processes in areas facing risks that cannot be mitigated. The need for a national resettlement policy and mechanism is considered a national priority as incorporated into the SINAGER Act. In Tegucigalpa, a Central District Municipality, and other locations in Honduras, the land occupation has occurred in natural environments that have been highly susceptible to landslides, due to their geological features. In addition to natural growth, many cities, like the capital, have experienced urban sprawl resulting from population displacements from the rest of the country. In these cities, local and national authorities have not been able to plan or organize for this population movement. In Tegucigalpa, for example, there are approximately 54 critical areas where hazardous conditions have been exacerbated by the steep slopes, deforestation and inappropriate land practices.

Experience from implementing this project in Tegucigalpa made it possible to analyze and define the Resettlement Regulation, which is itself a national policy framework that serves vulnerable populations set up in declared areas of high risk that cannot be mitigated. The Regulation defines, among other things, responsible institutional players, coordination scenarios, national–municipal relationships, principles, approach and purpose of resettlement, changes in freed land use, and resettlement planning processes. The Regulation notes that the resettlement processes must correspond to SINAGER. They must be planned, implemented and evaluated in close coordination with the municipalities involved and the Institutional Technical Land Use Framework. SEPLAN is responsible for coordinating the institutions that are part of the Technical Land Use Framework and Work Commissions needed to oversee resettlement planning. Municipalities have an obligation to enforce the limitations on real property rights resulting from land use regulations issued by the municipalities themselves and by the central government, especially for those located in areas declared to be of high risk that cannot be mitigated, which will also be declared protection zones. This ensures that vacant lots are used for legal structures and activities that are in the public interest and respect the nature of the land being protected. The resettlement of vulnerable populations located within areas declared to be of high risk that cannot be mitigated is considered a priority within Development and Municipal Investment Plans. In addition, technical instruments recording land use as part of technical plans must take into account areas declared to be of high risk that cannot be mitigated and inhabited by vulnerable populations subject to resettlement and protection zones.. The land use technical instruments include the National Land Zoning Map, National Registry Systems, Property Records, Municipal Registry Systems, Municipal Regulation Plans and maps, Municipal Zoning Maps of Land Use and Occupation, and the National Record of Land Planning Policies. The declaration of areas of high risk that cannot be mitigated and the declaration and definition of the protection zone must be reported to the Land Information System, taken into account in the various technical land use instruments and entered into a Special Register of Risk Areas in accordance with the Property Act.

The Resettlement Plan includes the following elements: • • • • • • • • • • •

A description of the process behind the report and the declaration of areas of high risk that cannot be mitigated A survey and a socioeconomic analysis of the affected entities A valuation of the affected properties, based on records and registers for the buildings that must be acquired, a review of titles and their regularization, and calculation of compensation A valuation of activities that require compensation An analysis of the impacts caused by resettlement A description of the compensation or solutions offered to resettled entities Procedures for consulting with those affected regarding acceptable alternatives A resettlement schedule A budget that includes the costs of land, housing, logistics, administration, resettlement support and restoration of socioeconomic conditions Institutional arrangements for plan implementation and conflict resolution Procedures for monitoring and evaluating the plan

The Manual on Resettlement Due to Risk of Disaster will detail each of the areas that the Resettlement Plan must cover. The principles outlined in the regulations are: • •

•

Decentralization and citizen participation. The processes of consultation, participation and information gathering are the basis for resettlement planning, implementation, monitoring and evaluation. Resettlement as an opportunity for sustainable development. Resettlement activities should be conceived and executed as sustainable development programs. Resettlement activities should include economic development, infrastructure and services, as well as assistance for resettled persons to improve their livelihoods. Providing an acceptable level of housing and services. The resettlement plan should serve as an opportunity to improve the quality of housing and the provision of services. It should also take into account the need for accessible roads, water supply, drainage and sanitation, electricity, street lighting, schools, and health centers. Taking the safety and the attitude of the population in the reception area into consideration

The main technical and operational activities required before resettlement are: •

• •

A technical report that describes levels of risk. If risk levels do not allow any prevention or reduction measures to be taken, then the areas likely to be declared uninhabitable must be carefully identified. This includes buildings or parts of buildings that will be vacated and the number of individuals and families that must be resettled. The declaration of areas of high risk that cannot be mitigated, along with the definition of the protection zone shall be made in agreement with the municipal body, and in the case of vulnerable populations, serve as the basis for defining policies and preparing the Relocation Plan, pursuant to the provisions outlined in Section 9 of the Forced Expropriation Act. Topographic and registry survey. An area declared at a high risk that cannot be mitigated shall be declared in the property registry, in accordance with Section 60 and later of the Property Act. Title analysis. The property registry survey includes an examination of records, analysis of registry information, legal analysis and research, and a public administrative hearing. Should land registries appear to be irregular, they shall be submitted to the National Property Tax Adjustment Program in accordance with Section 69 and later of the Property Act. Building appraisal. The purpose of this activity is to determine the value of the buildings to be appropriated and the amount and method of compensation. Identification of impacts and categories of groups to be resettled. This activity includes identifying and analyzing the impacts of resettlement, including those faced by salespersons and informal workers who earn a living in the area. Mitigation and compensation measures will be determined based on the results of this analysis and the weighting of impacts.

2.4 Proposal for the National Risk Management Plan The SINAGER Act established the requirement for a National Risk Management Plan. COPECO began developing the plan by launching institutional coordination and international cooperation in 2012 and 2013. Phase one was initiated using CEPREDENAC resources and was subsequently completed with UNDP support. A technical group is expected to lead the committees and finalize development and adoption in the short term, using the current materials. The proposed plan seeks to guide national authorities on the implementation of strategies to improve awareness and risk monitoring, increase prevention efforts, and strengthen the capacities for response and post-disaster recovery. This plan prioritizes the participation of vulnerable groups in risk management and increasing awareness in communities. The plan addresses the Disaster Risk Management Policy for Central America (PCGIR), the 2038 National Vision, and the National Plan, which establish the need for an appropriate management model for national economic and social growth, as well as environmentally sustainable regional development.

The Comprehensive National Plan for Disaster Risk Management (PNGIR) proposal is developed within the following seven guiding strategies. Each identifies specific purposes, programs and actions to be taken, and the responsible entities: • • • • • • •

Improved awareness and risk monitoring Reduced vulnerabilities and risk Institutional strengthening and capacity building Developing a culture of risk Efficient mechanisms to enhance preparedness and response capacity Reduce the State’s fiscal vulnerability by reducing risk and focusing on disasters Ensure the management of information

A Monitoring and Evaluation Committee will be formed to monitor and evaluate the National Plan. It will be responsible for providing regular reports on progress through external and mixed evaluations.

2.5 Financial Strengthening Strategy

The Risk Management and Post Crisis Disaster Recovery Financial Strengthening Strategy for Honduras (ESFING) is aimed at promoting development of policies, permanent tools and mechanisms that improve risk reduction and post disaster recovery financing. ESFING is a short, medium, and long term (2010-2030) planning tool for Honduras, which identifies, promotes, and monitors the development of permanent regulatory, organizational and cultural tools for institutions, the private sector, and the population, in order to permanently strengthen financing for risk reduction and post-crisis disaster recovery.

FIGURE 2: The Strategy’s Thematic Axes Axis 1 Increasing Resources. Promoting financial mechanisms from the public and private sectors, citizens, and international cooperation for risk reduction and recovery.

FINANCIAL STRENTHENING STRATEGY FOR RISK MANAGEMENT AND POST DISASTER CRISIS RECOVERY FOR HONDURAS

Axis 3 Developing Public, Private and Civic Culture to Improve the Use of Risk Management Resources

Axis 2 Improving the Quality of Spending and Investment in Development, Risk Reduction, and Recovery

Source: UNDP Honduras. ORREGO, Juan Carlos (2011). ESFING. Tegucigalpa, Honduras. Prepared by: ORREGO, Juan Carlos. (2013) UNDP-SDC Project Systematization

The first axis, called Increasing Resources, promotes development of financial mechanisms from the public and private sectors, citizens, and international cooperation for risk reduction and recovery, and includes the following programs: 1. 2. 3. 4. 5.

Strengthening the public sector financial mechanisms for national, sectoral and regional risk reduction and postdisaster recovery Promotion of public, private and citizen disaster security Strengthening international cooperation for risk management and post-disaster recovery Promotion of relocations between families and social unity in post-disaster recovery processes Strengthening the system of protection and security for crisis response

The second axis, called Improving the Quality of Spending and Investment in Development, Risk Reduction, and Recovery, promotes efficiency in spending and investment, as well as social, regional and sectoral equity. It also searches for ways to reduce discretionary spending levels and investment in risk reduction and post-disaster recovery, formalizes or regulates the use of these resources, and harmonizes agility, transparency and organization. It includes the following programs: 1. 2. 3. 4.

Incorporation of adequate risk analysis and management within investment projects and in the Public Investment System at the national and local levels Establishing a policy to finance risk reduction and recovery Improving the quality of targeting and prioritizing investments in risk reduction and post disaster recovery Developing mechanisms for public and citizen investment monitoring and quantity and quality control

The third axis, called Developing Public, Private and Civic Culture to Improve the Use of Risk Management Resources includes the following programs: 1. 2.

Promoting a culture that prioritizes and promotes risk reduction and post disaster recovery Promoting mechanisms and public-private partnerships to promote risk reduction and post disaster recovery

3. INCORPORATION OF RISK MANAGEMENT IN SECTORAL AND REGIONAL DEVELOPMENT POLICIES

This management axis was concerned with promoting processes and tools to make it easier for key institutional sectors to incorporate analysis of risk conditions into their processes, and guide prospective activities or corrective actions. The priority sectors were those that guided the planning and programming of national public investment and development and land use planning. The Ministry of Finance (SEFIN) was the strategic player for national investment, and the Ministry of Planning (SEPLAN) was the strategic player for regional planning. Mainstreaming risk management into sectoral and regional development policy includes capacity building for project fortification, especially through the Public Investment Guide, and the proposed Simplified Guide for Preparing Municipal Development Plans, Under a Land-Use Planning Approach (PDM-OT).

3.1 Project Fortification The Ministry of Finance of Honduras (SEFIN) Public Investment Office is the national body responsible for the formulation, coordination, implementation, and evaluation of policies related to public finances and general budget revenues and expenditures. SEFIN made it a priority to incorporate risk management and climate adaptation, known as “project fortification,” into the public investment cycle and National Public Investment System (SNIP) framework. To this end, national capacities were developed through technical assistance, development of methodologies, and training processes for SEFIN technicians. This ministry’s promotion of project fortification has allowed different investment organizations to incorporate analysis procedures and risk management into their projects. Such is the case with COALIANZA, a public-private partnership for major investment projects that applies the module and overall risk analysis processes. The methodology is also better placed for use by national planning entities such as Ministry of Public Works, Transportation and Housing of Honduras (SOPTRAVI) and the Honduran Social Investment Fund (FHIS). SEFIN plans to include the guide and its project fortification contents into the pending Budget Act (SNIP), and promote this approach within contingency resource projects that operate as a crisis preparation mechanism for investment projects. SEFIN also conducts training with sectoral institutions and local technicians to explain development of the guide, as well as providing technical assistance on the material. SEFIN is also considering annual or biannual reports on sectoral and regional behavior with respect to public investment in disaster risk management, in order to monitor the types of investment in DRR and the financial effort in both dimensions. Project Fortification from the Investment Projects Guide The Investment Projects Guide contains a methodology for identifying and formulating projects, which is based on 10 thematic modules, and includes the Project Fortification Guide. Each module consists of a set of steps, as illustrated in the following graph.

FIGURE 3: Project Fortification Guide 1.2 IDENTIFICATION OF PROBLEM AND ALTERNATIVE SOLUTIONS

1.3 BREAKDOWN OF PARTICIPANTS

1.4 TARGET POPULATION AND DEMAND ANALYSIS

1.5 TECHNICAL ASPECTS OF THE PROBLEM

1.6 EVALUATING ALTERNATIVES

1.7 INSTITUTIONAL DIAGRAM

1.8 FINANCING

Step 1.2.1 Historical Documentation of the Problem

Step 1.2.2 Diagnosis of the Current Problem Situation

Step 1.2.3 Problem Definition

Step 1.2.4 Identification of Objectives

Step 1.3.1 Identification of Players

Step 1.3.2 Identification of Interests

Step 1.3.3 Linking Strategies

Step 1.3.4 Community Participation

Step 1.4.1 Classifying the Population

Step 1.4.2 Characterizing the Population

Step 1.4.3 Establishing Unsatisfied Demand

Step 1.4.4 Setting Allocation Criteria

Step 1.5.1 Analytical Structure and Technical Description of Components

Step 1.6.1 Budget Development

Step 1.5.2 Location Assessment

Step 1.6.2 Cost Flow

Step 1.7.1 Definition of the Project’s Institutional Framework

Step 1.8.1 Project Financial Flow: Costs and Revenues

Step 1.6.3 Product Flow

Step 1.7.2 Legal Framework Analysis

Step 1.5.3 Size Assessment

Step 1.6.4 Cost Efficiency Analysis

Step 1.7.3 Institutional Arrangements for Project Implementation

Step 1.8.2 Establishing Sources and Systems of Financing

1.9 LOGICAL FRAMEWORK

Step 1.9.1 Establishing the Project’s Objectives Tree and Analytical Structure

Step 1.9.2 Vertical Development

Step 1.9.3 Horizontal Development

1.9 LOGICAL FRAMEWORK

Step 1.9.1 Establishing the Project’s Objectives Tree and Analytical Structure

Step 1.9.2 Vertical Development

Step 1.9.3 Horizontal Development

1.10 EXECUTION SCHEDULE

1.11 COMPREHENSIVE PROJECT EVALUATION

Step 1.10.1 Creating the Project Schedule

Step 1.11.1 Applying the Comprehensive Project Analysis Matrix

Source: Prepared by ORREGO, Juan Carlos. (2013) UNDP-SDC Project Systematization

Step 1.5.4 Environmental Assessment

Step 1.6.5 Cost-Benefit Analysis

Step 1.6.6 Other Alternatives Analysis Criteria

Step 1.7.4 Institutional Arrangements for Project Operation

Step 1.2.5 Identification of Alternatives Identification

Step 1.5.5 Risk Assessment

Step 1.6.7 Selection of Alternatives

Project Fortification aims to improve the formulation of social investment and productive projects to reduce their vulnerability to various natural, socio-environmental, and socio-economic hazards. The methodology makes it possible to design and review the content of new project proposals or projects in operation to help organizations detect major risks, identify mitigation activities, analyze implementation , and verify their incorporation. Risks are considered to exist when aspects of a project are affected by a real threat of damage that may materialize at some point. This definition incorporates two fundamental aspects: a. Hazards – which can occur at high levels of intensity or frequency; b. Vulnerabilities – when parts of the project are affected by weaknesses. The General Methodological Guide for Design and Evaluation of Programs and Public Investment Projects provides a sequence of events for analyzing risks during the pre-investment phase. This risk analysis is based on a preliminary matrix incorporating secondary information. It seeks to determine the existence of significant project risks that warrant more detailed analysis.

Alerts are raised for projects affected by risks with a high or moderate probability of occurrence and high impact levels. This is also true for projects affected by risks with a high probability of occurrence and moderate impact. These projects require more detailed analysis during the preliminary stage, including assessments of hazards, vulnerabilities and probable losses; a DRR cost-benefit analysis (CBA); and the development of terms of reference for risk assessments and DRR measures in the design phase. Alerts are raised for alternatives classified XX or X, which means an expanded risk study must be carried out by implementing the following flow.

TABLE 4: Vulnerability Assessment Guide Probability of Occurrence HIGH

Impact Level Low

Mod.

MODERATE

High

Risk Mitigation or Management Strategy

X X X

LOW

Source: Prepared by ORREGO, Juan Carlos. (2013) UNDP-SDC Project Systematization

Hazard analysis at the project location The guide recommends that a hazard evaluation be completed on the selected project sites. If the project is already micro-located, the socio-natural component of the COPECO Construction Risk Assessment Manual shall apply, which covers threats of landslides, mud and debris flows, and river and sea flooding. Project Vulnerability Assessment The guide provides a framework for assessing the vulnerability of the hazards and risks facing each of the investment project’s elements, while considering the frequency and intensity of the hazards. TABLE 3: Defining project development risks and mitigation or management strategies Impact Level Low

Mod.

High

Risk Mitigation or Management Strategy

HIGH

MODERATE

SEE FIGURE

SEE GUIDE for usage

Probability of Occurrence

LOW

Source: Prepared by ORREGO, Juan Carlos. (2013) UNDP-SDC Project Systematization

The Project Fortification Guide is complemented by the COPECO Site Evaluation and Build Risk Manual. It provides a framework for analyzing physical, social and institutional vulnerabilities, including the level of local social unrest, public safety, and the level of compliance with environmental regulations.

Past Experiences and Lessons Learned •

Important lessons were learned from early project fortification experiences. When the methodology and field assessments were applied to road infrastructure projects, it was found that certain sections of road presented hazards. The existing design conditions made roadwork vulnerable. The lesson learned from this experience was that project fortification required interacting with the players involved in the project pre-design and design phases, in order to improve the political and technical value of risk management and fortification methods.

Following this experience, SEFIN has raised awareness of project fortification in sectoral and regional institutions. To date, six national investment project profiles and approximately 60 municipal investment projects have been evaluated (using the new methodological guide), which allowed vulnerabilities and mitigation measures to be identified. •

The tools used have been approved by both COPECO and CEPREDENAC. This has helped boost technical procedures. The guide was validated during public sector workshops during which it was incorporated into the pre-investment cycle.

•

The project provided training and certification for SEFIN technicians. This technical support was essential for the Ministry to start project fortification activities.

When the SEFIN Project Fortification Methodology Guide was developed and incorporated into the official guide, there was some resistance from the external consulting team responsible for its formulation. The SEFIN Public Investment Office insisted that it be incorporated into the official guide.

3.2 A Proposal for a Simplified Guide for Preparing Municipal Development Plans, Under a Land-Use Planning Approach (PDM-OT) The methodological framework proposed for preparing municipal development plans under a land-use planning approach (PDM-OT) sought to unify management efforts in municipal regions (without excluding communities, commonwealths, departments, and regions) under a single regional planning model. The proposed methodology seeks to unify the two main models of regional planning: Strategic Municipal Development Plans (PEDM) and Municipal Land Use Plans (MDP).

The guide was prepared by the Ministry of Planning and External Cooperation (SEPLAN) with the Ministry of Governance and Justice General Office of Land Management (DGODT), with support from the UNDP/SDC project in 2010. It built on the results of a study on the various institutional and regional planning models. It includes the following cross-cutting approaches: • • • • • •

Identification of regional potential as a platform for local economic development Identification, analysis and strengthening of regional identity and social cohesion Comprehensive and sustainable management of natural resources Revaluation of intangible capital as fundamental variables of regional development Risk management and early recovery following disasters Regional and local economic development

The model integrates multi-sectoral and multidisciplinary regional planning, and identifies five methodological scenarios; i.e. municipalities with elementary level planning, municipalities with basic level planning, municipalities level three planning, municipalities level two planning, and municipalities with level one planning. The guide is a proposed model for regional management and development, which is based on the so-called "NEW RULES" for the development and updating of Municipal Development Plans (PDM) and the conceptual and methodological requirements established by the general law on land use. The guide is particularly aimed at local governments, international aid agencies, government institutions, NGOs, and planning specialists. It provides guidelines for building multidisciplinary planning teams, which should include: development and planning specialists; research, organization and social empowerment specialists; regional and local economic development specialists, risk management specialists; and a geographic information systems specialists. These teams should advise the municipal regional planning and development councils, municipal cooperatives, and municipal technical teams. FIGURE 4: Conceptual proposal of the two regional management instruments Comprehensive Multidimensional Diagnosis (CMD) • • •

Phase 1: Preparation, promotion and dissemination (Cross cutting) Phase II: Baseline and characterization of tangible and intangible capital Phase III: Comprehensive Multidimensional Diagnosis (Regional Indicators)

Source: Melgar M./DGOT/2009

Municipal Development Plans, Under a Land-Use Planning Approach (PDM-OT) • Phase IV: Prospective • Phase V: Creation (PDM-OT) • Phase VI: Plan institutionalization

FIGURE 5: Overall system of Municipal Development Plans, Under a Land-Use Planning Approach

1. Preparation, Promotion, Organization

2. Regional Categorization (Base Line)

3. Comprehensive Multidimensional Diagnosis

Initial Stage Initiative/Minutes Legal Framework National/Regional Guidelines Departmental/Commonwealth/ Municipal

Workshop 1 "Identification of criteria, challenges. Constraints and Objectives"

Workshop 2 "Knowing Our Territory"

Information Gathering Collect, Evaluate, and Analyze. Process

Social Internalization Baseline Review Characterization, Integration and Analysis Key Factors

Preparation Terms of Reference Technical Team Forming Work Plan Development Orientation/Training Outreach/Promotion

Management Structure Municipal/Regional Departmental/National Guidelines Institutional Coordination Social Participation

Tangible Capital Natural Capital Built Capital

Intangible Capital Human Capital Social Capital Institutional Capital

Assessment of Natural and Anthropic hazards Threats, vulnerabilities, risks, recovery needs

Basic Zoning Initial Basic Zoning Characterization Maps

Source: Prepared by ORREGO, Juan Carlos (2013), UNDP-SDC Project Systematization

Technical Internalization Baseline Review Characterization, Integration and Analysis Process

Prospective Inputs Key Variables, Analysis Key Players Structural Analysis

SIG Diagnosis Synthesis of Diagnosis

4. Regional Foresight (Scenarios)

5. Policies, Project Strategies

Workshop 3 "Our Town’s Future”

Workshop 4 "Scenario to Specific Actions"

Regional Base Building Understanding the model and key variables Key Player Analysis

Regional Development Goals Regional development goals

Hypothetical Trends General Hypothesis Formulation Comprehensive Hypothesis Formulation Scenario Building Building likely scenarios. Describing likely scenarios. Risk, Recovery and climate change Scenarios.

Base Scenario Selection Likely regional development scenarios

Layout of Scenarios Prospective community maps

Strategic Formulation (RM) Building a regional development strategy from base Strategies Project Portfolio Development programs and subprograms Project portfolios and profiles Basic project profile Municipal Investment Plan Annual operating plan Sustainability Strategy Development programs and subprograms Risk reduction proposals Zoning regulations for regional land use Regional Zoning

Zoning and land use regulations

Source: Prepared by ORREGO, Juan Carlos (2013), UNDP-SDC Project Systematization

6. Plan Institutionalization

Public View

Open town hall meeting

Instrumentation

Discussion, socializing and validation Public view national reporting entity Adoption of rules Public release campaign

Execution Operationalization Program execution Municipal and key player training Monitoring and evaluation Validation/Adjustment

Initial Stage

Regional Zoning Final version/Public version

4. DEVELOPING A DISASTER RISK MANAGEMENT CULTURE

The development of a disaster risk management and climate adaptation culture was achieved by developing skills and knowledge, increasing awareness and training, and implementing the following training programs: Development Planning, Technical Risk Analysis and Management Tools, Risk Analysis for Prevention Officers.

4.1 Technical Manuals

a. Mitigation Mechanisms Manual The Mitigation Mechanisms Manual aims to present the general characteristics of structural elements that can be used as mitigation or disaster reduction mechanisms (events may be natural or the result of human activity). These elements are then classified by type, in line with the risk the mechanism may help deal with. The manual is a brief and practical guide on this type of infrastructure for SINAGER employees and the general public. Non-structural mitigation measures aim to reduce the system’s vulnerability through legislative or organizational measures that mitigate risk effectively and comprehensively. They can be implemented alone or in combination with structural measures. •

Legislative measures: These measures are in the legislation and planning fields, and have an impact on root causes, dynamic pressures and the security of the elements described. They include policy development, land use and development plans, building codes, tax and financial incentives, and insurance promotion.

•

Organizational measures: These promote direct interaction with the community. They include organizing for risk reduction and emergency response, capacity building, education, and public information and participation.

The guide considers structural measures to be engineering mechanisms for preventing risks and mitigating existing risks. As with any infrastructural project, the execution of these mechanisms can have a negative impact on the environment, so these impacts should be avoided, reduced, corrected, or compensated for.

The following technical specifications were created for this manual: TABLE 4: Threat Assessment Manual technical specifications SLOPE PROFILING TRENCHES REMOVAL AND REPLACEMENT COATINGS DRAINAGE FILTER VERTICAL DRAIN WELLS REINFORCED LAND PILES SEEDING FOR STAKES, STOLONS AND SLOPE BRANCHES ANCHORING SYSTEMS EROSION CONTROL WORKS FILTRATION DITCHES WOODEN POLES FILLED SACKS DYKES PIPING URBAN DRAINAGE SYSTEMS LEGISLATIVE, ORGANIZATIONAL, AND PARTICIPATORY

BERMS TERRACING DRAINAGE CHANNELS REVEGETATION HORIZONTAL DRAINS CONCRETE RETAINING WALL GABION WALLS TECCO SYSTEMS TURF SEEDING FALL SHIELDS DIVERSION CHANNELS FOREST MICRO-TERRACES GABIONS REFORESTATION RETAINING WALLS DAMS AND RESERVOIRS BASIN REFORESTATION

Source: Prepared by ORREGO, Juan Carlos (2013), UNDP-SDC Project Systematization

b. Hazard and Flooding Assessment Manuals The project supported COPECO’s development of two methodological flood and landslide hazard assessment guides, entitled Technical Recommendations for Flood Hazard Map Preparation, and Technical Recommendations for Mapping Hillside Instability Hazards. These studies are based on the methodologies in the MET/ALARN project conducted in Nicaragua, adapted for Honduras. Work on these guides began in 2010 as part of the PROGEDERTH project, and continued as part of the tools and techniques framework, which was funded as part of the early recovery project and finalized with the UNDP/SDC program in 2013. The guidelines are aimed at specialists who produce hazard and landslide maps. They provide minimum standards for the generation of comparable documents using the same criteria and symbols. It is applicable to maps drawn to 1:10,000 or 1:50,000 scales and higher (1:5,000). The flood guide provides a conceptual framework and best practices for evaluating flood hazards, the significance of hazard maps for land-use planning, the use of legends and formats, and analysis on the minimum content of scales. The landslide guide establishes a framework for conceptualizing, classifying, and identifying unstable slopes, including conditioning, triggering, and indicating factors. It also presents best practices and provides criteria for evaluating the intensity, probability, seriousness and zoning of hazards. Finally, it analyzes the significance of hazard maps and their uses for land planning, and provides guidance on format for the legends and contents of technical reports.

Â c. Site and Built Environment Manual The location of homes, buildings, and infrastructure is an important contributing factor for risk conditions. Ensuring that the site is improved under the best conditions is the responsibility of citizens and local and national authorities alike. One of the main obstacles to assessing risk conditions is the lack of methodologies, tools and trained personnel to determine whether a construction location is safe.

COPECO submitted the Site and Built Environment Risk Assessment Manual to SINAGER institutions as the first of a series of technical mechanisms to standardize risk assessment criteria and methodologies. SEFIN has also used it to apply the fortification guide to the Tegucigalpa CDMG, in order to prepare a risk ordinance and technical concepts. It was updated in 2013, using UNDP early recovery project funds, and included a new appendix with reference terms from the hazard studies. It was eventually included as tool for developing the Prevention Officersâ&#x20AC;&#x2122; certification. The manual is intended for COPECO certified risk assessors and supervisors of qualified and certified Prevention Officers, as established in Section 24 of the SINAGER Act. The risk certificate is a vitally important document that a certified professional uses to establish the level of risk of a proposed investment project. An authorization certificate is issued to establish the level of risk of an existing building. The manual is divided into five sections: (i) a conceptual framework for risk management, (ii) matrices and tools to analyze river flooding, marine, landslide, and mudflow, (iii) tools for analyzing the vulnerability of buildings to hazards, (iv) tools for conducting quantitative and qualitative risk analysis on buildings, and (v) tools to support relocation and general risk analysis. Hazard areas, susceptible areas in lakes, lagoons and floodplains, unstable areas, upstream waters, landform, fragile areas, and downstream impacts, are evaluated during the geomorphology and watershed component. The geomorphology and watershed component makes it possible to to draw conclusions about the work site, which are crucial to granting the risk or authorization certificate. The first part of the manual deals with the assessment process and the second part includes terms of reference and models for special studies in landslide areas. It contains the methodology for conducting a detailed study of the risk conditions.

The manual makes it possible to analyze all or parts of an infrastructure, whether it be a water system that includes a dam, a tank, a pipeline, an agricultural production project, the road by which the product is transported, the place the product is transformed or an urban area. In the case of Tegucigalpa, the methodology should be applied using the landslide hazard map, adopted by ordinance, as a reference and for technical input. The methodology proposed in the manual includes a visual inspection and populating the matrices. Using the manual makes it possible to: • •

•

Analyze exposure to any type of hazard for any project, the vulnerabilities of buildings to the hazards under consideration, and quantitative and qualitative risks to buildings Analyze and issue certificates of authorization and risk, which are essential requirements under the SINAGER Act (Section 24). They are a central part of the risk awareness process that is used for making decisions, such as the viability of new construction. Perform site and built environment risk assessments with oversight from COPECO qualified and certified Prevention Officers

FIGURE 6: Risk Factors

(1) Potentially Damagin g P hysic al Events

Ris ks are always link ed to the land

Hazards

Soc io-environm ental natural, anthrop ogenic

Exposure

Soc ial or ind ividual propensity to d am age or lo ss

Location is a f ac to r

(2) Vulnerability

Source: Prepared by ORREGO, Juan Carlos (2013) UNDP-SDC Project Systematization

The manual establishes the process used when determining the following: • • • • • • • • • •

Variables to consider when assessing hazards during field visits Socio-natural hazards analysis with GIS support Terms of reference for special studies in landslides areas References for special studies in areas affected by flooding and structural vulnerability Site assessment histogram Hazard assessment matrices Building vulnerabilities assessment matrices Matrices for analyzing the social aspects of relocation Quantitative building risk analysis methodology Preliminary analysis of risk and disaster scenarios

While the geomorphology and watershed component is indicative but not conclusive, the socio-natural hazards analysis component allows users to make recommendations as to whether detailed studies and/or mitigation mechanisms are required..

5. CAPACITY BUILDING

a. Development Planning Certification The primary goal of this certification was to promote a holistic view of early recovery processes, linking risk reduction with gender equality in order to expand awareness and encourage practices and attitudes that transform intervention methods and promote growth and social improvement. The certification course is more than a training program; it is a medium and long-term initiative helping build capacity and strengthen SINAGER in Honduras. It is a “cascade”-type training process, which sustains the training program by training the trainers. The course was designed to strengthen sectoral and local capacities by building practical tools aimed at decision makers, national and municipal institutional technicians, and development agencies. The certification course featured one introductory and four thematic modules with a total of 28 subjects mainstreamed by type. Each module is a complete unit, but remains logically linked to others. Knowledge acquired by students is transferred directly to the institutions they worked at, thus ensuring the sustainability of the process. This program uses a combination of knowledge and tools to influence better safety and welfare through institutions and decision makers. b. Technical Analysis Tools for Risk Analysis and Management Certification

The Technical Analysis Tools for Risk Analysis and Management certification was developed as part of the Strengthening Capacity for Integrated Risk Management in Honduras (FGrH) project framework, and supported by UNDP/SDC and the European Union (DIPECHO program). Both projects joined forces to support COPECO in developing their strategic objectives, including establishing national risk management capacities.

TABLE 5: Modules Modules

Subjects or Topics

Module 0

About Development

Mod ule I

Planning Initiation: Process and Players

Mod ule II

Diagnosis as part of the planning process: baseline and gend er-f ocus ed and r isk redu ction analys is

• • • • • • • • • • •

Land multidimensionality as diagnosis elements Use of information for development planning Environmental homogeneity Gender-focused socioeconomic characterization Demographic analysis Gender-focused surveys Gender-focused participatory diagnostic methodologies Risk Vulnerability Hazards Disasters

Mod ule III

Scenario d evelop ment and trends

• • •

Identification of strategic sectors for regional development Gender-focused risk scenarios Disaster scenario and recovery requirements

Mod ule IV

Development planning and risk reduction

• • • •

Development plans focused on risk reduction, gender and recovery Program design and gender-focused development projects Recovery planning Social audit. Participation and leadership

• • • • • • • • • •

Central America and Honduras: development characterized by disaster and recovery processes Development approach Development focused on rights and conflict prevention Development incorporating risk reduction Gender-focused development Information management and use of information systems Institutional legal framework in Honduras A look at Honduras: characterization and indicators Evaluation of irregularities in land use Analysis and mapping of players

Source: Prepared by ORREGO, Juan Carlos (2013), UNDP-SDC Project Systematization

The certification course was aimed at capacity building and mainstreaming risk management into sectoral and local development planning and emergency response. This should allow: • • • •

Analysis of the conceptual framework and the need to move towards more holistic approaches to risk reduction, including identification of players, roles, functions, and synergies Identification and assessment of risk components Identification and prioritization of prevention and mitigation activities including design and creation of mitigation mechanisms, integration of risk management into development plans, and sectoral and municipal investment Understanding and application of practical tools and instruments that help link/incorporate risk management into regional development

This course was held on COPECO premises. It was broken down into eight modules, lasting a total of 304 hours, and spread across 38 intensive 8-hour sessions, including field trips. Classes were held on Fridays and Saturdays and included an appropriate balance of theoretical and practical content, including field trips for developing cumulative student work.

The course was aimed primarily at national and municipal government institutions and civil society delegates with direct impact on emergency response decision making processes and regional development issues.

c. Prevention Officers’ Risk Management Certification This course is part of COPECO’s comprehensive strategy for certifying Prevention Officers, as established by the SINAGER Act. It builds on training programs for technical staff at institutions that make up the Technical Prevention Unit, as a basis for incorporating risk management into each sectoral entity, and is a cascading process that runs from various regional and sub-regional officials in the country, to local governments, social and private entities, and civil society. The course included content and experiences gathered from previous training, seeking to create an appropriate training program for professionals, as well as governmental and non-governmental experts.

The primary goal of the course is to train participants as Prevention Officers for a National Risk Management System (SINAGER) institution, by developing the following skills: • • •

Acquiring legal, conceptual, and procedural tools with which to assess and manage potential risks that must be addressed, reduced, and, if possible, eliminated by the institution Understanding key concepts and exercising procedures for incorporating DRR-CA into the respective institutional planning Becoming dialogue partners for risk management within institutions, relating to senior and intermediate management, as well as to strategic and operational levels

The axes of the training program1 have been developed in line with the conceptual approach that treats risk management as a line of strategic awareness of risk, vulnerability and risk reduction, disaster management, financial risk management in the contexts of climate change, process strengthening, and gender relations. Cross cutting themes include climate change, gender equality, inclusion of indigenous groups, and human rights.

Based on: Narvaez, Lizardo and et.al. (2009). Disaster Risk Management: A Process-Based Approach. Secretary General of the Andean Community. Lima, Peru. and Sandra Buitrago, UNDP Honduras (2012). Conceptual Framework for Risk Management.

TABLE 6: Training Axes Awareness and Risk Monitoring Risk and Vulnerability Reduction Financial Risk Management

Based on risk awareness, information generation, and risk analysis and monitoring.

Disaster Management

Improving preparedness and alert mechanisms, establishing policies for managing recurrent disasters and major events, planning and implementing post disaster recovery measures, improving local response planning

Administrative Office of Prevention

Roles and responsibilities as SINAGER officers

Land development planning, sectoral risk reduction measures, climate change adaptation, risk reduction in public investments, environmental management, structural and non-structural measures. Includes estimating damage and losses and defining a policy for financial risk management, creating a system for estimating risks, implementing mechanisms for risk transfer, reducing fiscal vulnerability for the state of Honduras, and incorporating risk reduction measures into the national budget

Source: Sandra Buitrago, UNDP Honduras (2012). Conceptual Framework for Risk Management.

The general training axis includes the concept of risk management within the national and international legal frameworks and forms of awareness and risk monitoring, with the aim of creating bases and criteria. The specific training axis includes training in the methodological tools for reducing risk, managing disaster, planning, managing financial risks, and the roles and responsibilities of the Prevention Officer.

I St nst r e it u ng t i th o n en al in g

Human Rights

Source: Sandra Buitrago, UNDP Honduras (2012). Conceptual Framework for Risk Management.

• Regional development planning • Adapting to climate change • Risk reduction in public investment • Risk reduction at the sector level • Environmental management as risk management in the context of climate change • Structural and nonstructural measures

Gender Equality

V R M uln isk an er an ag ab d em ili t en y t

Disa st er Ris k Ma nag ement

M Di an sa ag st em er en t I St nst r e it u ng t i th o n en al in g

St Inst r e it ng ut i th o n en al in g

Fi M nan an ci ag al em Ri en sk t

• Improving mechanisms for preparedness and alert. • Establish policies for managing recurring disasters and major events • Plan and implement recovery measures for post-disaster recovery • Improve local response planning

Climate Change

R an isk d Aw M a o n re ito ne rin ss g

Context

• Actions to advance the identification, characterization, assessment and mapping of hazards, vulnerabilities and risks • Incorporation of climate variability in hazard assessment • Perform hazard and risk monitoring

In St sti re tu ng tio ng th na en l i

FIGURE 7: Outline of Training Axes

• Estimating damage and loss and defining a policy for financial risk improvement • Establishing a system for estimating risks • Implementing mechanisms for transferring risk and reducing fiscal vulnerability for the state of Honduras • Incorporating risk reduction measures into the national budget

The target audience was a group of 23 technicians from 15 ministries and state institutions, the Ministry of Natural Resources and the Environment (SERNA), Ministry of Planning and External Cooperation (SEPLAN), State Secretary of the Presidency, Ministry of Health, Ministry of Education, Ministry of Social Development, Ministry of the Interior and Population, Ministry of Finance, Honduran National Forest Conservation Institute (ICF), Honduran Social Investment Fund, Ministry of Defense, Ministry of Public Works, Transportation and Housing (SOPTRAVI) National Institute for Women (INAM), Secretary of State in the Office of Indigenous Peoples and Afro-Hondurans (SEDINAFROH). Those who were certified as officers now make up a network that will constantly train and coordinate.

FIGURE 8: Training Stages for Prevention Officers

Ministry /Institutio nal P reventio n Of fic ers

Regional, Sub- regional, Lo cal Go vernm ent

Soc ial and P rivate Secto r

Civil S ociety

Source: Prepared by: ORREGO, Juan Carlos (2013). UNDP-SDC Project Systematization

The certification course has provided the skills necessary for a Prevention Officer to properly perform his duties. It included 260 hours of instruction, organized into 8 modules that included class sessions, production hours, and study time. The sessions were held on Fridays from 8:00 am to 5:00 pm and Saturdays from 8:00 am to 12:00 pm. Hybrid courses, in partnership with the UNDP Virtual School, began in 2013. Some things to note: •

• •

• • • •

The course brought together representatives from the financial, social, environmental, infrastructure, defense, and municipal sectors, and was an opportunity to unite, strengthen capacities, get up-to-date information, and share institutional experiences. The sector representatives also succeeded in creating partnerships to coordinate and promote risk management using a shared language and a shared vision. It was attended by participants from the following areas: engineering, finance and economics, education, forestry, agriculture, international relations, and aeronautics. The facilitators selected for the course were domestic and foreign experts with extensive training and experience. They had led innovative processes in various areas of risk management. In addition to providing a basic understanding they guided the participants in the actual practice of risk management in different venues. The sessions included lectures, presentations, discussions of local and international experiences and field trips. The contents were developed in collaboration with the expert facilitators and constitute up-to-date training resources. A structure has been created that will streamline future courses. Within the context of climate change, priority has been given to issues that are usually bypassed or are too complicated to address, such as gender equality, ethnicities and Afro-Hondurans, and human development. Women represented 41% of all enrollees in the course, and men represented 59%.

Â d. Course in Disaster Management and Local Governance â&#x20AC;&#x201C; UNDP Honduras The Virtual School and UNDP Honduras held the first virtual course in Disaster Management and Local Governance under the SDC program framework. Its aim was to provide the theoretical and conceptual bases and practices so that students could understand the integrated risk management approach and its application at the local level, from the democratic governance and human development points of view.

This training was initially devised for municipal technical teams from high-risk regions in Honduras involved in planning and risk management. However, the student selection process led to a substantive change in profile, extending the training program to other community players. This expansion of the student profile gave the experience added value because, for the first time, it allowed players from municipalities and civil society to take part in the same training program. This diversification of the student body made it possible to share needs, experiences and demands. It also led to the development of a line of work on equal opportunities and representation from highly vulnerable communities in terms of environmental, socio-economic, and cultural issues.

TABLE 7: Course Content Structure UNIT

SUBTOPICS

1. Concepts of Human Development, Local Governance and Integrated Risk Management (2 weeks)

• • • • •

Regional and national disaster risk Human Development Concepts and Democratic Governance, analyzing the link between the two Relationship between Human Development and Disaster Risk, focusing on gender inequalities Conceptual approaches to the social construction of risk and its link to gender inequalities Causes and effects of climate change and its relationship to disaster risk

2. Integrated Risk Management: A Component of Local Management (2 weeks)

• • • •

Basic information on the dynamics of local democratic governance in Latin America and Honduras: historic evolution, achievements, and challenges. Evolution of the concept of risk management: from emergency response to comprehensive risk management Definition of integrated risk management and/or its link to local governance Elements of risk management: lines of action, scenarios and scope

3. International, Regional and National Framework for Disaster Risk Reduction (2 weeks)

• • • •

Theory of risk governance Overview of the Hyogo Framework for Action (HFA) Progress in implementing the HFA National risk management frameworks in Honduras

4. Municipal System Approach to Risk Management (4 weeks)

• •

Basics of system approach to local risk management Identifying players involved in local risk management as well as citizen participation venues that encourage player interaction Recognizing social and institutional structures for risk management, analyzing their roles and structures in Honduras as compared to other countries in the region Identifying various instruments for local risk management and understanding their goals and methodologies, in order to apply them in the coursework

• •

Source: Prepared by ORREGO, Juan Carlos (2013). UNDP-SDC Project Systematization

Methodology This is a 12-week course implemented through the UNDP Virtual School platform. An initial live session was held in Tegucigalpa, where the group of students could meet one another, find out about the virtual course and its platform, as well as share the most relevant debates with their instructors. The rest was done virtually, with a methodology focused on self-management and collaborative learning, attempting to formulate the learning to the student’s reality through practice.

Classroom resources include: • • • • •

Co-teaching: two facilitators guide, evaluate and provide feedback to students in the course. Teaching guides Multimedia teaching resources Basic and additional reading material: Documents written by experts for the course relating to current issues and debates Virtual interaction spaces: such as forums, wikis, chats, libraries, databases, etc.

Given that this was a pilot experience that created on-line communities for population groups not engaged in technical activities and located in communities with limited land resources, the initial methodological review was necessary and in some cases required increased human resources support. While online co-teaching is valued as general tutoring, future editions should provide for incorporation of tutors to facilitate learning and ensure course knowledge is transferred to groups with lower levels of educational and/or professional experience. Diversification and/or expansion of resources is necessary for there to be equal opportunities without accentuating social disadvantage.

Target Audience As noted above, the course was originally designed for institutional technical professionals from Honduran municipalities located in high-risk areas directly involved in municipal management and design of municipal risk management plans. However, following the announcement of the course through various organizations linked to UNDP Honduras, applications from different groups were received. The student group represented most of the players involved in risk management within the country, maintained equitable gender quotas and encouraged the participation of young people, future community leaders. The groups represented were: •

• • • •

National authorities present in the course: Ministry of Social Development, Ministry of Finance , Ministry of Agriculture and Livestock (SAG), the National Congress, the Forest Conservation Institute, Ministry of Public Works, Transportation and Housing (SOPTRAVI) Municipalities represented: Tegucigalpa, San Pedro Sula, Marcovia, Southern Association of Municipalities (NASMAR), Santa Rosa de Aguán COPECO Representation: Four participants from the technical level. International Social Organizations/GOAL Honduras, International Plan. Community organizations: representatives of trustees from Tela and Santa Rosa de Aguán (mostly young people of African descent).

Notably, 68 people applied, of which 42 (50% male and 50% female) were chosen. Priority was given to government representatives, municipal governments, project partner social organizations, and community representatives from Tela and Santa Rosa de Aguán. e. Performance-Based Management W orkshop As part of work carried out by the UNDP’s Environmental, Energy and Risk Management Unit with government counterparts, consideration has been given to strengthening Honduran national capacities in planning, monitoring and evaluation, as well as the implementation of actions. The Area of Evaluation in the Regional Service Center for Latin America and the Caribbean (EVAL RSCLAC) provided training and technical support related to performance-based management processes, planning, monitoring, and evaluation to UNDP Honduras and its partners.

The overall objective of the training was to share basic knowledge of planning, monitoring and evaluation from the performance-based management approach for use in public projects and programs within the UNDP Honduras framework. Areas addressed were: • • • •

Strategies for undertaking effective performance-based management Set of specific steps that can be taken to improve performance management within institutions Skills in problem analysis and preparation of results frameworks Monitoring and evaluation of outcomes and practices

Participants included representatives from UNDP Honduras partner institutions, such as COPECO, the Ministry of Planning and External Cooperation (SEPLAN), Ministry of Finance, Ministry of Agriculture, Ministry of Education, the Tegucigalpa and other local municipal governments, and the project team, technicians and coordinators from the Environmental, Energy, and Risk Management Unit. The topics addressed were: A. Culture for results B. Planning for results C. Monitoring for achieving results D. Evaluation based on results The UNDP Handbook on Planning, Monitoring and Evaluating for Development Results (http://web.undp.org/evaluation/handbook/) was used as a basis the training, as was documentation of plans, and project monitoring and evaluation reports. Participants rated the topics and proposed methodologies to be very helpful. UNDP will continue to advance this training with their counterparts in Honduras, based on best practices.

6. CONCLUSIONS

6.1 Lessons Learned 1.

Institutional strengthening and capacity building should be considered a process. This involves, among other things, attempting to link and synchronize activities. The hinging and linking of project process activities has created a plausible synergy effect. For example certifying Prevention Officers as part of a formal support framework established by the SINAGER Act and the Prevention Officer Regulation has made it possible to involve institutions in ministries most relevant to DRR-CA.

Capacity building makes the presence of at least two key elements essential: the backing of appropriate standards and the awareness and training of key players. For example, the SEFIN project fortification initiative has shown that rules and methodologies are insufficient to force the inclusion of DRR in sectoral and regional investment processes. In order for change to occur, it was necessary to raise awareness, train, and assist project developers on all levels, whether technical or political, so that they would have the skills and strength to fortify projects.

Local DRR-AC strengthening must be part of a national process for it to be sustainable. Institutional strengthening in the Tegucigalpa Central District was made possible by the new SINAGER national policy framework, in the form of Prevention Officers, and the definition of technical land management concepts. By linking national and local support, DRR actions had a real impact on everyday life in urban areas.

The Integrated Risk Management process requires strengthening of local governance. Improving skills and advancing public policy in integrated risk management must always involve all stakeholders. Governance demands involvement from the public and private sectors and civil society, but it cannot be addressed through parallel projects already underway. Instead it is based on finding common development goals and the convergence of all stakeholders in the various stages of planning.

6.2 National and Regional Achievements •

Honduras has made progress in strengthening its disaster risk management policy framework. It has Rules and Regulations for Prevention and Relocation Officers, and a revision and proposed amendment to the Risk Management Act. This represents a significant advance in improving public policy and standards, and a clear definition of needs with respect to updating regulations.

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Having Rules and Regulations for Prevention and Resettlement Officers is a cornerstone of DRR policy. The Officer Regulations are essential for guiding sectoral entities when defining profiles for officials, and specifying their responsibilities and levels of intra and interagency coordination.

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A series of manuals and methodological guides for risk analysis and sectoral and regional development planning have been produced and approved. These are requirements for well-defined administrative and technical processes, such as issuing the Certificates of Risk and Authorization called for by the SINAGER Act (Section 24).

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The development of methodological guidelines is a key tool for analyzing exposure to hazard s considered in any type of project, the vulnerabilities of buildings to hazards, and the quantitative and qualitative risk to buildings. These guidelines facilitate analysis and are a central part of the risk awareness process necessary for making decisions such as the viability of new construction.

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There has been significant progress made in the Finance Ministry’s commitment and capabilities for incorporating DRR-CA into the design and planning of public investment projects through project fortification. There are solid experiences, focused DRR methodologies, and training of staff in this area.

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DRR-CA training processes have been developed for national, sectoral, and local officials and key stakeholders, and national capacities for implementing a system of progressive training have been created.

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Distribution of sectoral and regional risk management activities. The SINAGER Act’s systematic approach, actions taken by authorities and project support have streamlined sectoral and regional activities in risk management, greatly expanding the framework of DRR-CA activity. For example, key institutional players in national development, such as SEFIN and SEPLAN, have taken on more risk management and climate adaptation responsibilities.

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Regional linking. Significant progress was made in the institutional strengthening of the Tegucigalpa Central District thanks to the linking of national institutional changes and municipal developments. In this case, real progress has been made in DRR actions that are already part of everyday life in urban areas, as are the technical concepts of “management of risk management” for the viability or restriction of land uses.

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Training of officials and technicians. The training process supported by the project has had a visible impact on factors such as the directionality of the invitation to the key sectoral and local technicians. The national policy framework and certification system for Risk Management Officers has also ensured that graduates participate in developing quality standards.

The documents "A City in Search of the Lost Order," "For Love of the Sea", "Adapting to Climate Change" and "Creating a Safe Nation in the Face of Disaster," successfully systematize the processes of linking the local, national, and international dimensions of risk management and adaptation to climate change, but each experience poses nondeferrable environmental challenges for development agents dedicated to environmental management, when searching for governance strengthening tools and mechanisms.

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PNUD Honduras, COPECO, SUÁREZ, Ginés. (2011). Manual para la Evaluación de Riesgo del Emplazamiento y del Medio Construido. Tegucigalpa, Honduras.

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PNUD Honduras, Universidad Nacional Autónoma de Honduras (UNAH). (2011). Evaluación de la Vulnerabilidad a Nivel Municipal en Honduras. Tegucigalpa. Honduras. PNUD Honduras. (2012). Herramientas para la Evaluación de Necesidades para la Recuperación Focalizando la Adaptación al Cambio Climático y la Gestión del Riesgo a Nivel Local. Tegucigalpa, Honduras.

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