Participatory Planning Guide for Post-Disaster

Reconstruction

prepared by

EPC-Environmental Planning Collaborative, Ahmedabad, India

and

TCG International, LLC, Washington, DC

with the support of USAID/India

and the Indo-US Financial Institutions Reform and Expansion (FIRE-D)

Project

January 2004

Table of Contents

I. Understanding Disasters and Their Impact ............................................................... 1

II. Assessing Damage and Needs for Reconstruction .................................................... 3

III. Forumulating Policies ............................................................................................ 6

IV. Formulating Participatory Reconstruction Plans .................................................... 9

V. Establishing the Management Framework for Reconstruction................................. 13

VI. Managing Information ............................................................................................ 17

VII. Case Study: Bhadreshwar Village .......................................................................... 20

VIII. Case Study: Bhuj .................................................................................................. 22

1

The Nature of Disasters

When a disaster strikes, individuals and communitiesare affected in ways that seriously disrupt their normalfunctioning. The disaster causes widespread human,material, and/or environmental losses, which exceed theability of these individuals and communities to cope usingonly their own resources.

Disasters were once thought of exclusively as naturalevents such as floods, cyclones, or earthquakes. However,the definition has broadened in recent years to include such“man-made” events as industrial accidents (e.g., the Bhopalgas leak), technological accidents (e.g., the Chernobylnuclear disaster), and even war and civil conflict. What iscommon among them is the significant damage they causeto society. To give a contrasting example, a massiveearthquake in an unpopulated area is not a disaster, butcan only be considered a natural event or phenomenon ofscientific interest. Neither is an earthquake that strikes anarea where housing and infrastructure were built toearthquake-resistant standards, causing no loss of life nordamage to property.

Disasters are classified not only according to theircause (i.e., natural or man-made), but also according totheir speed of onset or, simply, how rapidly they begin(that is, sudden-onset or slow-onset). Thus, such disastersas earthquakes, cyclones, and floods are considered sudden-onset disasters, whereas droughts, famine, and civil warsare slow-onset disasters.

Among natural disasters, perhaps what can be mostdevastating are earthquakes, which often strike with noearly warning. Earthquakes are measured according to theRichter scale. The most destructive effects are seen onlevel 6 and above of this scale, if the epicenter of theearthquake is located in highly populated areas. Such anearthquake can cause high numbers of deaths and injuries,as well as massive destruction of buildings andinfrastructure.1

Sectors Affected

A disaster, such as an earthquake, often leaves in itswake a number of tangible losses as a result of the oftenmassive destruction that it has wrought (see Box 1).Broadly, such losses include:

· Loss of lives. Death tolls may vary, depending on themagnitude of the disaster, but disasters invariably costlives.

· Loss of or damage to buildings: houses, hospitals,schools, markets, offices, etc.

I. Understanding Disasters and Their Impact

1 It is important to bear in mind that the earthquake per se maynot be the main cause of the large-scale devastation. More oftenthan not, the significant loss of lives is a result of the collapse ofweak housing and buildings, a consequence that is now avoidablewith earthquake-resistant construction techniques.

Box 1: The Gujarat Earthquake

On January 26, 2001, a devastating earthquake struckwestern and central Gujarat. It was the worst earthquakerecorded in India, measuring 6.9 on the Richter scale. Inthe wake of the disaster, nearly 14,000 people died and167,000 were injured. More than 1.2 million homes wereextensively damaged or destroyed. So were civic facilities(schools, health clinics, and public buildings) and utilities(electricity, water supply, and telecommunications). Thesubstantial loss of life, injury, and damage to propertyand infrastructure dealt a big blow to the otherwiseprosperous state of Gujarat.

While almost the entire state felt the effects of theearthquake, the most severely affected were the districtsof Kutch, Surendranagar, Rajkot, Jamnagar, and Patan.Of these, the hardest hit was Kutch, the largest district ofGujarat where nearly 1.26 million people lived. Kutchbore over 90 percent of all deaths and 85 percent of allasset losses. Almost all of its 940 villages and its fourmajor towns — Bhuj, Anjar, Bhachau and Rapar –suffered massive destruction (see Appendix 2).

The effects of the earthquake on Gujarat’s economy havebeen significant. Damage to plants, factories, andmachineries caused over 10,000 small industrial units tostop production. Thousands of salt pans and refineriesas well as agricultural assets were destroyed. A largenumber of handicraft artisans lost their workshops andtools. There was a heavy loss of livestock, which is oneof Kutch’s important livelihood sources.

The sectors that were hardest hit were housing, the servicesector, and education. Overall, the damage caused by theearthquake was estimated at $845 million.

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· Loss of or damage to infrastructure: electricity,telecommunications, roads, water supply and seweragesystems, ports, airports, etc.

· Economic losses: crops, land, livestock, fisheries,factories, workshops, warehouses, storage facilities,etc.

· Cultural losses: cultural and historic buildings andsites, places of worship, etc.

· Psychological losses, i.e., trauma and other mentaland emotional stress, physical injuries, etc.

· Social losses: disruptions in social services, law andorder issues, adverse effects on family and/orcommunity morale, etc.

Understanding the type and scale of losses anddamages brought about by a disaster is critical todetermining the kind and level of inputs required forreconstruction. A more in-depth understanding of damagesand losses following a disaster can be provided by disasterassessments.

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Disaster assessment refers to the survey andinformation collection activities carried out to determinethe effects of a disaster on the affected population, andtheir resulting needs. The assessment process is usuallyconducted at two distinct stages of a disaster:

· Immediately after a disaster, a preliminary assessment(sometimes called rapid assessment or situationassessment) is conducted to obtain an early but fullassessment of the geographical extent of damage, andthe number, categories, location, and circumstancesof the disaster-affected population. This assessmentprovides a general picture of where people are, whatcondition they are in, what they are doing, what theirneeds and resources are, and what services are stillavailable to them. It usually takes the form of aninitial reconnaissance that can guide search-and-rescueand relief operations. Preliminary thematic maps thatlocate affected or damaged sites and infrastructure canthen be produced from the results of this assessment(see Box 2).

As needs change day by day in the immediate aftermathof a disaster (i.e., first, for rescue equipment,excavators and medical equipment, then food,medicine, clothing, and shelter), a series of rapidassessments may be needed. Their results providevaluable baseline data and a basis for monitoring thepost-disaster situation to determine whether it isimproving or deteriorating over time.

· At a later stage, a more detailed assessment is doneto collect more specific information about the nature,location, and extent of losses and damages, and theresulting needs of the affected populations. The morespecific information collected from this assessmentare useful for planning and implementingreconstruction programs.

Types of Disaster Assessment

For the recovery and reconstruction phase of adisaster, two types of detailed disaster assessment are mostrelevant:

· Damage Assessment collects the following types ofinformation which are most valuable for the purposeof reconstruction planning.

- damage to housing and buildings- damage to livelihood (e.g., shops of small traders,

salt pans, industrial units)- damage to agriculture and animal husbandry (crops,

fruit trees, livestock)- damage to services (educational, health, recreational

facilities) and government buildings- damage to infrastructure and utilities (water supply,

sewerage, roads, bridges, electricity,telecommunications, etc.)

In each of the above, specialists in each sectordetermine the damage. Structural or civil engineers, forexample, examine the damage to housing, commercial andpublic buildings, physical infrastructure, utilities, etc.Agronomists and agricultural specialists determine lossesto crops and forests, among others, and economistsdetermine damages to the local economy. While damageassessment is usually the work of sector specialists, it isessential that the disaster-affected families participate indamage assessment surveys involving their housing units,as discussed below.

· Needs Assessment determines the level and typesof assistance required by the affected population, theirpriorities, and their preferred strategies to meet thesepriorities. Common needs include: housing needs,livelihood needs, personal needs (of the injured,handicapped, orphaned, those suffering from disaster-caused trauma), and needs for services (water supplyand sanitation, electricity, schools, health centers, etc.).The information collected from this assessment helpin identifying and prioritizing needs that lead toappropriate types of assistance and inputs forreconstruction in the medium and long term.

Disaster Assessment Methodology

· Technical evaluation of structural damage. Theobjective of this assessment is to determine the precisenature and extent of damage to all buildings in disaster-affected areas, using pre-defined categories in whichto classify structural damage. Different categoriesrepresent different degrees of damage. Judgmentsconcerning damage categories are made on the basisof direct onsite visual evaluation of building exteriors,

II. Assessing Damage and Needs forReconstruction

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taking into account damage to the foundation, load-bearing walls, ceilings, or roofs of the structure. Thisis usually conducted through a street-by-street house-by-house survey in the disaster-affected area. It isessential that the surveyor/assessor consult with eachaffected family during this assessment to develop areasonable consensus on the method and basis forclassifying the affected housing unit under a givendamage category. It is also important for the surveyor/assessor to evaluate every structure within the area,even if the structure is not affected. This ensures thatisolated undamaged homes are identified and recorded,and also helps pinpoint the specific cause of damageto those that are affected.The information obtained from this assessmentprovides the basis for the level of housing assistance

allocated to affected families. The latter should beinformed of the damage assessment results as soon aspossible, providing clear interpretation of theassessment findings and its financial assistanceimplications.

· Inventory of Affected Assets. This involves a detailedsurvey of all losses that resulted from the disaster,taking into account loss of assets and income.Important inventory categories include such assets asshops, workshops or worksheds, stalls, tools/equipment, livestock, etc. When compiling theseinventories, the owners/household heads may berequired to countersign them to minimize the possibilityof subsequent claims or disputes regarding claims. Its on the basis of this assessment that special financialprovisions are given to the affected people.

· Sample survey. This involves more detailed surveysrelying on interviews of a sample of the affectedpopulation and on collecting statistical information onthe affected population. Generally, sample surveysare used for needs assessment, on the basis of whichappropriate types of assistance and interventions aredetermined.

There are several different types of samplingtechniques that can be used for conducting needsassessment:

- simple random sampling. Every member of thetarget population is equally likely to be selected,and the selection of a particular member of the targetpopulation has no effect on the other selection;

- systematic random sampling. Every fifth or tenthmember on a numbered list is chosen;

- stratified random sampling. The population isdivided into categories; members from each categoryare then selected by simple or systematic randomsampling; then combined to give an overall sample;and,

- cluster sampling. The sample is restricted to alimited number of geographical areas (“clusters”);for each of the clusters chosen, a sample is selectedby simple or random sampling. Subsamples arethen combined to get an overall sample.

Box 2: Damage and Needs Assessmentin Kutch District, Gujarat

In the aftermath of the Gujarat earthquake, demands forinformation started to pour in from a multitude of publicand private entities at different levels with a sense of urgencyto offer assistance. The need was made clearer as severalof these groups started to conduct their own damageassessment on which to base their relief operations. Thesehad resulted in many communities getting assessedrepeatedly and receiving relief materials several times over,causing confusion and waste of resources.

To meet the mounting information needs in a timely mannerand to coordinate information gathering activities, EPCand Abhiyan jointly took on the task of developing aninformation management system for Kutch. The AbhiyanInformation Center designed a formatted checklist to beused for the damage assessment survey in five severelyaffected talukas — Bhuj, Bhachau, Anjar, Rapar, andMundra. It was the first comprehensive rapid damageassessment survey carried out in the region in collaborationwith the Tata Institute of Social Sciences (TISS) and theGujarat Institute of Development Research (GIDR). EPC’sGIS specialists processed the collected data to generatemaps showing the extent and location of damage followingthe earthquake.

The information collected and the maps produced weredistributed to the district authorities and internationalorganizations involved in relief and recovery operations,including the UNDP, WHO, Save the Children Federation,etc.

Source: EPC, Guide for Planned and ParticipatoryReconstruction, October 2001.

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Assessment Tools

· Checklists or Worksheets are the most common andperhaps the easiest tool used in disaster assessment. Achecklist or worksheet is simply an abbreviated listthat provides the assessor with a comprehensive, yetflexible guide to the types of information needed to becollected. It is usually a form structured and formattedin such a way that surveyors can easily remember keypoints and ask certain questions to fill it out. It isessential that the format of the checklist is standardizedand is as simple as possible to facilitate the process ofanalysis and collation. Likewise there should becommon understanding of the terminology used andconsistency in spelling names, e.g., of the affectedvillages or towns to avoid confusion and ensure thatthe information collected can be presented in a waythat is most helpful to the users. Formatted checklistsare normally used for damage assessments.

· Questionnaires are most commonly used in needsassessments. A questionnaire is simply a list ofquestions used for interviewing the total affectedpopulation targeted for the assessment survey, or asample of this population. The individual beinginterviewed can answer the questions orally or inwriting. Questionnaires are useful for obtainingdetailed information about the needs of the affectedfamilies and other vital statistical information abouttheir post-disaster condition. Its tabulated results canfacilitate a good analysis of the impact of a disaster atthe individual and family level. Questionnaires are amore useful method for obtaining specific, detailedinformation for planning purposes, but are not a goodtool for rapid assessments in the immediate aftermathof the disaster.

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The ultimate goal of post-disaster reconstruction isto attain a standard of living that is even better than whatexisted before the disaster. It is towards this goal thatpolicies are developed to govern decisions and actions takenby all those involved in reconstruction. In setting thesepolicies, governments often refer to several guidingprinciples, which worldwide post-disaster experiencessuggest are key to successful reconstruction. Theseinclude:

· Self-reliance. The primary resource that can betapped for post-disaster reconstruction is the grassrootsmotivation of the affected individuals, their friends,and families. Assisting groups can help, but they mustavoid duplicating, replacing, or stifling any action besttaken by the affected population themselves. Emphasisshould therefore be given to supporting andmaintaining the dignity and self-reliance of the disaster-affected population. Before providing outside support,it is vital for assisting groups2 to check whether locallyavailable expertise, labor, and products are availablewithin the communities. It is preferable to use theseresources rather than import skills and materials fromoutside. This helps strengthen local capacity forreconstruction.

· Decentralization and Empowerment. Reconstructionis most effective when conducted at the local level.There should be mechanisms that allow the affectedpopulation to determine, plan for, and respond to theirown needs, although they may require technical andmaterial assistance. These mechanisms may be in theform of reconstruction committees at the village andtown levels made up of representatives of the affectedcommunities. Greater local participation couldminimize social tensions and could lead to moresustained reconstruction efforts.

· Equity. In providing assistance to disaster victims,many differing approaches and programs may be used.Unfortunately, different approaches may result in theinequitable distribution of resources. One of the waysin which this problem can be avoided is by settinguniform policies or guidelines and minimum standards.

Financial assistance, for example, should be providedequitably among all affected individuals and families,regardless of their caste, social and economic status,gender, and religious affiliations. Any disparity in itsdistribution, where some individuals, families, orcommunities receive more assistance than others, cancause dissension and can hamper the reconstructionprocess.

· Mitigation. Reconstruction offers uniqueopportunities for introducing a range of measures toensure that communities survive future disasters withminimum loss of life and property. Reconstructionefforts should therefore be aimed at attaining post-disaster conditions which will be superior, at least interms of disaster resistance, to those which existedbefore. This can be achieved by introducing improvedmethods of construction, building regulations, and landuse planning (see Policy Tools below). Their adoptionshould be made a prerequisite to planning andimplementing reconstruction.

· Minimum Relocation. Relocation is frequentlyconsidered by governments in setting theirreconstruction policy. Past experiences worldwide,however, have repeatedly shown that “wholesale”relocation very seldom works. At the local level, adisaster indicates where high-risk areas lie. Forexample, structures built on loose, unconsolidated soilsare most vulnerable during earthquake. A morefeasible alternative, therefore, is the selective relocationof parts of the community away from these sites, butremaining within the same general area. Whererelocation is necessary, the affected population shouldbe consulted and provided with technically andeconomically feasible resettlement options, as well asassistance in terms of temporary housing andtransitional support (e.g., subsistence support, short-term employment, etc.).

Key Elements of a ReconstructionPolicy

The above guiding principles lay the foundation forseveral key elements of a reconstruction policy thatnecessarily include:

III. Formulating Policies

2 For the purpose of this guide, “assisting groups” refers to allentities, including the government, NGOs, the private sector, thedonor community, etc., which provide technical, financial, and anyother types of assistance to the disaster-affected population

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· establishing an institutional framework forimplementing reconstruction

The policy must identify the roles of all organizations(public or private, governmental or nongovernmental), atall levels (national, state, local3) and involving all sectors(shelter, livelihood, education, health, physicalinfrastructure, etc.) that will be responsible forreconstruction. The chain of command governingrelationships between and among these organizations, theroles and responsibilities of each, and the mechanisms forcoordination and cooperation among them should be clearlydefined in both policy and legal frameworks for practicalimplementation (see Chapter 5 for more details).

· establishing a framework for public participation inreconstruction planning and implementation

Reconstruction is too important and too big a taskfor the government to undertake all by itself. The policyshould therefore stipulate the need for the affectedpopulation to actively participate in reconstruction effortsand to clearly specify the mechanisms by which they cando so. One of the most effective means of involving theaffected communities in reconstruction is to allow them toform their own reconstruction committees through whichthey can actively participate in the planning andmanagement of their own reconstruction (see Chapters 4and 5 for more details).

· establishing a framework for providing “entitlements”and financial assistance to the disaster-affectedpopulation.

The policy should stipulate that the disaster-affectedpopulation should be provided with reconstructionassistance to help mitigate the impact of a disaster. Theassistance framework should define the types and level ofentitlements and financial grants being provided to thedisaster-affected population, the methodology used toestablish entitlement rates, the eligibility for theseentitlements, as well as the method, the timetable, and theagency responsible for delivering them.

It is important that the methods for damageassessment, valuation of lost assets, and criteria by whichaffected people are considered eligible for entitlements andother assistance should be disclosed. As much as possible,consultations with representatives of the affected

communities should be made to assess the adequacy andacceptability of the entitlement rates.

Likewise, the method for delivering compensation(either cash payments or in-kind allocations) should beclear. Those eligible should be given advance notice ofthe date, time, and place of payments via publicannouncement. Receipts should be signed by all thosereceiving compensation payments and retained for auditingpurposes. The payment of compensation should bemonitored and verified by representatives of the affectedcommunities. It may also be appropriate for thegovernment to engage the services of an independentregistered auditing firm for this purpose.

· establishing mechanisms to resolve grievances of theaffected population

Grievances invariably arise among the affectedpopulation over such issues as delays in releasing financialassistance to them, erroneous damage assessment of theirproperty, forced relocation, etc. It is therefore necessaryto create a formal mechanism to address complaints andgrievances. This may take the form of Lok Adalats orpeople’s court, or an ombudsman office at the lowestgovernance level possible (at the village level in the worstaffected areas). The existence of the grievance redressmechanism and how it functions should be widelypublicized in all disaster-affected communities. All affectedgroups should have equal access to grievance redressprocedures. The latter should be clear, transparent, andeasy to understand, allowing the affected population tolodge a complaint or a claim without cost and with theassurance of a timely and satisfactory resolution. As muchas possible, grievances should be resolved throughfacilitation, and recourse to the legal system should beavoided except as a last resort.

· establishing a regulatory framework for mitigation

There is a very real need to improve the quality ofstructural design and construction in earthquake-proneareas. The purpose of regulation is to implement patternsof land use and methods of building construction tominimize the dangers to life and property when disasteroccurs. Relevant controls may take a number of differentforms: prohibiting development in high-risk areas,mandating designs and construction techniques that makebuildings and other structures disaster-resistant, alteringland use patterns to direct settlements and economicactivities to safer sites, etc.3 Local level, as used in this guide, refers to all levels below the

State level, i.e., the district, city or town, block, and village levels.

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However, without support, such as financialassistance and training programs, it is unrealistic for thegovernment to expect the affected population to makechanges in the location and construction of their homes.Land use regulations may be appropriate in the higherincome urban areas, but are ineffective in the villages wheremitigation measures must be introduced through the localcommunity structure, rather than simply by laws andregulations.

Policy Tools

Regulations. Land-use controls, including zoningordinances, can be an effective tool for reducing the riskof future disasters. A zoning ordinance usually defines landuses and classifies them into such broad categories asagricultural, residential, industrial, commercial, andrecreational uses. On high-risk sites, for example, theordinance may stipulate outright prohibition of newconstruction or they can then zoned permanently forrecreational use, thus minimizing the concentration ofpeople who might otherwise settle on them.

Building codes are used to set the minimumacceptable safety standards for houses and buildings.Using stricter building codes in disaster-prone areas andmandating the use of disaster-resistant design, material,and technology in new construction are essential additionsthat need to be incorporated in existing building bye-laws.Density controls may also need to be revised to decongestand regulate lot sizes and floor areas, thus minimizing riskswhen a disaster occurs.

Program standards. These are often used bygovernments to establish minimum levels of assistance tobe given to the disaster-affected population. Housingassistance, for example, is provided to those whose houseis destroyed or severely damaged, as long as they meetcertain basic, minimal standards of construction, i.e., usingdisaster-resistant building materials and designs. Ratherthan employing regulatory instruments or controls, thegovernment provides technical assistance to enabledisaster-affected families to reach a level of safety standard.

Whatever policy tools are used, the wide applicationof appropriate and affordable disaster-resistantconstruction technology, using local building materials,designs, and expertise, is crucial to sustainablereconstruction efforts. Furthermore, constructionmonitoring and code enforcement should be carried outthroughout the construction process.

Who Sets the Policy

The responsibility for establishing and implementingreconstruction policies rests primarily with the government.However, in order to ensure responsiveness, suitability,and maximum compliance, as many interested parties andagencies as possible should be involved in policymakingand in setting standards. The representatives of thefollowing key entities should be involved and shouldconstitute a reconstruction advisory committee responsiblefor the task:

· the disaster management authority mandated by thegovernment

· appropriate local governments· appropriate line agencies· appropriate financial institutions· local CBOs, NGOs, voluntary organizations, citizens’

groups, civic organizations· private corporate sector (trade, commerce and industry

groups)· local academic, research and training institutes

(architects, engineers, planners)· local media

In developing policies, it is essential that mechanismsfor policy dialogue at the local level, which will feed intohigher-level decision-making, should be established. Thesemay be in the form of a series of village-, city-, and / ordistrict-level discussion forums organized to evaluatepolicy options before policies are finalized.

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The Planning Process

Getting started. A good starting point for any groupwho has decided to help villages or towns plan for theirreconstruction is to collect background information on theseareas from: (i) the results of damage and needs assessment;(ii) socio-economic studies conducted on the village/town,if any; (iii) land records from district-level agencies; and,(iv) other relevant data from NGOs who have done or aredoing some work in the village or town. These informationare important to make a preliminary assessment of thesituation in the disaster-affected area. Another importantset of information is the policies of the government withregard to reconstruction, including entitlements andfinancial assistance being provided to the disaster-affectedpopulation. Only by becoming familiar with all the relevantinformation can anyone confidently engage in informedand constructive interactions with the affected community.

Launching the planning process. There is no one“correct” way to initiate the participatory planning process.The local government, an NGO, or a group of committedprivate individuals can take the lead in mobilizing ruraland urban communities towards reconstruction. Incommunities where the “initiators” are NGOs or privatesector groups, it is essential that they encourage the localgovernment to participate in or lend its support to theprocess. There are several reasons for this:

· local governments that understand, promote, andsupport the participation process provide a favorablepolitical environment that is needed to drive and sustainthe task of reconstruction.

· local governments often has direct responsibilities forimplementing many of the actions that evolve fromthe planning process.

· they can facilitate the provision of assistance, technicaland financial, to help sustain the communities’ effortsat reconstruction.

Forming a Reconstruction Committee. Havinggained local government support, the initiators should nextidentify and bring together key community leaders to formthe Village Reconstruction Committee or, in the case ofcities, the Town Reconstruction Committee. Forming sucha committee is the most effective means for the disaster-affected rural or urban communities themselves to develop

their own reconstruction plan. However, if there alreadyis an existing community-based organization (CBO) thatrepresents the interest of most, if not all affected groups inthe community, this CBO should organize theReconstruction Committee from within itself.

The Reconstruction Committee should include therecognized leaders of the community, elected local officials,and representatives of NGOs working in the community.In order for the Committee to have legitimacy andcredibility, it is important that the various interest groups(stakeholders) in the community, including the vulnerablegroups (women, the elderly, the physically disabled, etc.),be represented in them. The initiators’ task is to buildconsensus among these leaders on the need to develop areconstruction plan for the community and seek theiragreement to lead the process.

As the focal point for engaging the community in theplanning process, the Committee is best placed to reachout to all interest groups in the community and solicit theiractive involvement in identifying priority needs and theirproposed actions to address these needs. It is also throughthe Committee that information, resources, and servicessupporting the reconstruction efforts of the community canbe coordinated.

The initial responsibilities related to the planninginitiative include:

· Defining and agreeing on the objectives and scope ofthe plan;

· Mobilizing resources to start community mobilization;· Identifying all interest groups (stakeholders) in the

community; and,· Initiating preliminary public awareness activities.

Identifying stakeholders. The ReconstructionCommittee should be able to help identify all the interestgroups (the “stakeholders”) in the community (see Box3). Broadly speaking, these should include representativesof:

· Community and citizens’ groups, i.e., groupsbelonging to or affiliated with a certain caste, religion,occupation, or profession.

IV. Formulating Participatory Reconstruction Plans

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· The government, encompassing public and semi-public entities in a wide range of sectors (line agencies)and roles (i.e., elected and administrative officials), atthe village, district, and state levels, withreconstruction-related responsibilities.

· Civil Society Organizations, including NGOs, CBOs,civic groups, voluntary associations

· Private/corporate sector, i.e., the business andindustrial groups

· Professional groups, including academic, research,and training organizations, consulting firms, etc.

· Media from newspaper, radio, and television networks.

Organizing Preliminary Public Awareness andOutreach Activities. Raising public awareness is a goodfirst step to get the planning process off the ground. Withthe Reconstruction Committee spearheading the activity,public awareness and outreach activities specificallytargeted at all stakeholder groups in the community cannow be organized. The purpose is to inform communitymembers about the scope and objectives of reconstructionplanning, to stimulate their interest to participate in itspreparation, and to generate preliminary ideas and opinionson priority needs and proposed reconstruction actions.

The following public awareness and outreachactivities can be considered:

· Organize community meetings. These public meetingsprovide opportunities for the affected community to

get together and learn about the planning initiative,voice their concerns, and begin to identify problemsand their proposed solutions. They also provide amechanism to clarify issues and dispel rumors arisingfrom the general confusion that often prevails followinga disaster.

· Prepare information/publicity materials focusing onthe objectives of reconstruction planning, why it isimportant, and what the benefits of participating in itspreparation will be to the community. These materialscan be in the form of brochures, posters, leaflets, etc.

· Work with the media. One of the most effective meansof disseminating information related to the plannedactivity is through the local television, radio, and

newspapers. Given their reach, it is important that allinformation relayed by the mass media are clear,accurate and up-to-date to avoid confusion and reducethe risk of creating false expectations.

· Hold other community activities, such as communityplays, fairs, and other cultural events that can helpattract people’s attention to and generate interest inthe planning activity being launched in the community.

Developing Strategies. The information collectedfrom damage and needs assessment surveys and from thepreliminary consultations conducted during communitymeetings provide a clearer picture of the most pressingissues and needs of the community. In developingreconstruction strategies, however, the community should

Box 3: The Stakeholder Groups Involved in Plan Formulation

At the village level (in Bhadreshwar)

· communities belonging to different castes and / orreligion

· communities involved in various occupations, suchas retail trade, farming, animal husbandry, fishing,vegetable selling, wage labor, etc.;

· the marginal and / or vulnerable groups, such asthe women, youth, elderly, disabled, etc.; and

· CBOs and NGOs operating in the village

At the town level (in Bhuj)

· Citizens’ groups· Area Development Authority· Municipality· NGOs operating in the city· Developers· Business community· District Collector· Financial Institutions· Cultural institutions

Source: EPC, Guide for Planned and Participatory Reconstruction, October 2001.

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first determine if it has the capacity and resources neededto address these needs and issues. Often, local capacityand resources already exist, but are overlooked ordiscounted. Mobilizing them should enable the communityto move beyond dependence on external resources, whichare usually available only during the relief phase of adisaster.

One tool that is commonly used to assess acommunity’s capability is called “SWOT” analysis or“Strengths, Weaknesses, Opportunities, and Threats”analysis. In rural villages, for example, families are oftenself-reliant in the basic skill of shelter construction andhave, in any case, built their own houses (strength).However, they lack knowledge of earthquake-resistantconstruction techniques (weakness). Reconstructionprovides them with opportunities to improve their ownhousing, but private building contractors pose a threat totheir self-help efforts. As communities begin to betterappreciate their strengths and weaknesses, they becomebetter at developing strategies towards appropriate actions.SWOT analysis also helps them identify needs that theycan not meet and which require assistance from outside,either from higher levels of government or from donororganizations.

Creating Community Vision. Communities thatdevelop plans for post-disaster reconstruction can highlightwhat they regard as their most important objectives in whatis sometimes called a vision statement. To provide directionto their reconstruction efforts, they need to build consensusaround a vision for how they want to rebuild after a disaster,and what they want their future to look like.

Since it is important that the community visionrepresents the views of the entire community, theReconstruction Committee should seek the community’sinput to its development. The vision can shape importantdecisions that the community will have to take. TheCommittee and the community may find it valuable to referto its vision statement throughout the development of itsreconstruction plan (see Box 4).

Developing the plan. With a clearer understandingof the community’s needs, capacity, and resources, theReconstruction Committee now has a good basis foridentifying the range of reconstruction actions that theycan take up. These actions often relate to housing andlivelihood restoration at the initial stages of reconstruction,but may also include the restoration or improvement of

infrastructure and services, all of which are essential tothe community’s long-term development.

Having identified such development opportunities,the Reconstruction Committee can now begin the processof determining specific actions that can move it towardfulfilling its vision. One practical approach to developingthe plan is for the Reconstruction Committee to draft theplan based on a consensus view of its members regardingpriority actions. Alternatively, the ReconstructionCommittee might consider convening groups ofstakeholders associated with each specific issue (forexample, groups of farmers and fishermen who lost theirlivelihood) to brainstorm on possible actions addressingthat issue. Tapping into the knowledge of severalstakeholder groups involved with the sector beingconsidered enables more community members toparticipate in plan formulation and ensures that thebroadest possible set of actions are identified. TheCommittee can then use the results of the stakeholders’forums, draft the plan, and then seek further publiccomment during communitywide workshops.

Presenting the plan for comments. Comments andinputs to the plan can be sought in a variety of ways,including holding community forums and workshops,organizing separate focus group meetings, preparing a

Box 4. Bhuj 2011 – Draft VisionStatement

· Bhuj is a vibrant centre for trade and commerce inKutch, specializing in handicrafts, mining-basedindustries and building material manufacturing andtrading.

· Bhuj is a major tourist destination and the main entrypoint fortourism in Kutch.

· All earthquake-affected citizens of Bhuj have beenrehabilitated physically, economically, and socially.

· Bhuj is equipped to withstand and manage disasterswith minimum loss of life and property.

· The urban form of Bhuj, particularly the Walled City,reflects its traditional cultural identity.

· Bhuj has an efficient water management system thatconserves precious water resources, reuses water, andrecharges the aquifers.

· Buildings, public spaces, and public services andamenities in Bhuj are designed to cater to the needsof vulnerable social groups.

Source: Environmental Planning Collaborative,October 2001.

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short written summary of the plan for public distribution,etc. This phase provides an added opportunity for allinterest groups in the community to articulate their viewsand preferences, and thus enhance their support for theplan. It is important for the Committee to allow sufficienttime to receive comments on the draft plan, and then reviewthese comments to determine the necessary changes to bemade.

Adopting and implementing the plan. After allchanges have been made, the Reconstruction Committeeshould present the revised plan to the community in anappropriate forum for adoption.

13

Post-disaster reconstruction requires an institutionalframework that identifies the specific agency with overallresponsibility for managing this task, and other supportingagencies responsible for the range of specific services tobe provided. This framework also specifies mechanismsfor multi-agency coordination, allowing for themanagement of reconstruction to be undertaken andresourced at the most appropriate level, and providing forsupport from the next higher level to be properlycoordinated. Such institutional arrangements should beclearly understood and accepted by the disaster-affectedpopulation and all those providing them with assistancefor reconstruction — government at all levels (state,district, city, village), NGOs, the private sector,professional groups, the donor community (local, national,international), etc.

Most countries have their own institutionalarrangements for disaster management, includingreconstruction. In some cases, a separate organization iscreated especially for disaster management operations; inothers, a regular government department is given thisadditional responsibility. Likewise, in countries with ahighly centralized government, the disaster managementinstitutions are also typically highly centralized; in otherswith strong tradition of decentralized control, disastermanagement tends to be primarily a function at sub-national levels — either at the state/provincial or regionallevel.

While there is no single blueprint tobest implement post-disaster reconstruction,this function should be devolved to thelowest level possible, where capacity exists.In countries with administrative capacity atthe sub-national level, local governmentscan perform the key task of allocating rolesfor all assisting groups. In spite of theobvious risk of delegation of authority, localmanagement of the reconstruction processhas advantages. It is at the local level wherethe scope for interaction and collaborationbetween the disaster-affected population andthe government is greatest. Localmanagement speeds up the decision-makingprocess for managing reconstructionoperations (see Fig. 1).

Managing the Implementation ofReconstruction Plans

While it is important to remember that post-disasterreconstruction is primarily a government function, it ismost effective when the affected individuals andcommunities actively participate in managing their ownreconstruction activities in accordance with their ownreconstruction plan. However, recognizing that the localcapacity to sustain an effective reconstruction process willvary, the government and all concerned assisting groupsshould provide the required level of assistance (technicaland financial) to local reconstruction initiatives. They (theassisting groups) should complement and supplement theselocal initiatives and not supplant them.

Managing Implementation at the VillageLevel

At the village level, the implementation of the villageplan can be more effective if carried out through existingcommunity-based organizations (CBO) with alreadyestablished, collaborative experience in the village. TheVillage Reconstruction Committee members who lead theprocess of preparing the village reconstruction plan areusually drawn from the leadership of these localinstitutions.

V. Establishing the Management Frameworkfor Reconstruction

District Administration

State-level Agencies (GSDMA, etc.) others)

Central / Int’l Organizations

CBOs & Traditional Local Organizations

NGOs

Town / Village Reconstruction Committee

Fig. 1. Proposed Structure for ManagingReconstruction at the Local Level

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As the Reconstruction Committee starts to take onnew responsibilities related to implementation, it mayconsider forming several self-help groups who canimplement and supervise specific actions as identified inits reconstruction plan. The Committee may mobilizemotivated and responsible men, women, and youthvolunteers from the community to form themselves intoself-help groups of 5 to 10 members each, depending onthe convenience of community members. Each group willhave specific management responsibilities associated witheach component (e.g., housing, livelihood, health, etc.) ofthe community’s plan.

Where no CBO exists, and where the villagereconstruction committee lacks organizational,administrative, and technical skills to managereconstruction activities, the Reconstruction Committeemay consider partnering with a local NGO. It should beable to select the NGO with whom it wants to collaborate.Ideally, this NGO should already have an established, goodworking relationship with the community, and has thecompetence to provide assistance to the community in itsreconstruction efforts. As its implementing partner, theNGO’s role is to help the Reconstruction Committee andthe village residents to:

· organize themselves into self-help groups or sub-committees – for example, for construction, livelihood/income generation, monitoring, information;dissemination, savings and credit, groups to runcommunity centers for women and children, and othergroups, as needed (see Fig. 2);

· design/formulate project proposals, and seek fundingfrom and follow up with the government and otherdonors, local and international, to complement localresources;

· identify reconstruction options (involving housingconstruction, livelihood, etc.) to assist the communityin making informed decisions;

· execute, coordinate, and monitor village reconstructionprojects.

On their part, the Reconstruction Committee andvillage residents must:

· constitute a formal village reconstruction committeethat contracts agreements with its partner NGO andthe government;

· form self-help groups to plan and implement villagereconstruction activities;

· contribute skills (in construction, for example) andresources (cash, material, labor, and other services);

· establish implementation and monitoring schedules,and monitor progress and performance ofreconstruction activities;

· participate in all other support services, such asstocking construction materials, damage assessment,etc.

The State- or district level government authorities must:· make financial assistance (i.e., entitlements, loans)

within easy reach of affected communities· facilitate provision/restoration of required physical

infrastructure and social services· provide clear, easily available information on

government policies, programs, and financialassistance available to the community.

· set up systems for redress of grievances and conflictresolution

· develop and adopt flexible administrative and legalprocedures to facilitate NGOs, CBOs, and/or groupsof homeowners to rebuild, repair or retrofit houses.

· conduct geological and seismological study of theaffected areas and make sure that no construction ispermitted on high-risk sites.

To put the above tripartite arrangements into effect,a memorandum of agreement defining each partner’s rolein relation to one another and setting out areas of jointactivity as well as areas of sole responsibility is necessary.This is to guide the reconstruction process and the paymentmechanisms that are involved as reconstruction workprogresses.

Managing Implementation at the City Level

At the city/town level, the implementation phase ofreconstruction is very distinct from the planning phase.This is so because for many types of infrastructure andservices needed to redevelop disaster-affected towns, thereis no realistic alternative to government at the district orstate levels taking the lead role in implementation.Reconstruction efforts in cities/towns often involve amixture of government from different levels (State, district,municipal) and nongovernment institutions contracted bythe government to undertake specific tasks. While theplanning phase involves the Town ReconstructionCommittee leading the process of jointly preparing a planwith various stakeholder groups, implementation requiresthat various government or government-contractedinstitutions take individual responsibility to implementreconstruction actions. Ideally, the Town ReconstructionCommittee will have involved these institutions early in

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the preparation of the town plan to build support for activeimplementation.

The Reconstruction Committee can continue to playan important role to help ensure that recommendations inits plan are fully implemented. Ideally, the municipalitywill give the Reconstruction Committee a new mandate or“official directive” to facilitate, oversee, and monitorimplementation efforts.

While originally constituted to take the lead in theplanning process, the Reconstruction Committee now startsto take on new responsibilities related to planimplementation. At this stage, it might be appropriate toconsider redefining its role from serving as a planningcommittee to becoming a management committee. Assuch, the Reconstruction Committee should strategizeabout what needs to be done to ensure that the plan isactually carried out by officially mandated implementingagencies, and not shelved or forgotten.

The Reconstruction Committee can be responsiblefor the following tasks:

· Advocating, on behalf of the town/city, withgovernment agencies responsible for implementation;

· Facilitating citizen cooperation with these responsibleimplementing institutions;

· Collecting data on appropriate performance indicators;· Monitoring, reviewing progress, and evaluating

implementation efforts;· Advising the municipality on reconstruction-related

issues; and,· Conducting educational activities to sustain interest

in the continuing tasks at hand.

One approach to executingthe above responsibilities is for theReconstruction Committee to formsub-committees for each sectoralelement of the plan, along the linesproposed for village self-helpgroups as discussed above. Eachsectoral group will be responsiblefor following up on theimplementation status of eachsector with the responsible lineagency, and for providing regularprogress reports to theReconstruction Committee. Thiswill form the basis for thesubsequent actions that the

Committee will take to facilitate the implementation ofthe town reconstruction plan.

Capacity Building

The implementation arrangements, as discussedabove, presuppose more capacity than may actually beavailable on the part of the communities and theirReconstruction Committees, as well as on the part ofassisting partners. With limited capacity to deal with post-disaster situation, the management structures put in placeshould be supported by training programs to adequatelyprepare them for their roles.

Some of the immediate capacity building needs atthe village level include, among others:

· training of community leaders in organizational andsocial skills, e.g., in conflict resolution,communication, and management;

· training of local masons, artisans, skilled laborers, andyouth in earthquake-resistant construction;

· training of community volunteers to supervise andmonitor construction, livelihood programs, etc.; and,

· developing the community’s capacity to plancollectively; prepare project proposals; implement andmonitor progress of community projects; managevillage funds; and other organizational andadministrative, as required.

Each village and town, through its ReconstructionCommittee, should draw up specific capacity buildingplans based on its capacity building needs assessments atdifferent stages in implementation, to which support fromtheir assisting partners should be provided. The trainers

Reconstruction Committee

Housing Management

Group

Livelihood Group

Finance Group

Information, Damage

Assessment & Monitoring

Group

(Other Self-help

Improvement, as needed)

State- and district-level agencies

Partner NGO or private sector group

Fig. 2. The Village Reconstruction Committee

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should be drawn from locally available expertise, wheneveravailable, including government institutions, NGOs,private academic/training/research institutions, consultinggroups, etc., to provide the range of capacity buildinginputs as enumerated above.

With varying degrees of technical competence, thecapacity of NGOs, private sector groups, and otherpotential partners also needs to be strengthened. Their field

staff require training in the planning and management ofpost-disaster reconstruction operations to enable them tofacilitate the process. Government personnel, on the otherhand, may require “sensitivity” training to enhance theirunderstanding of the needs and perspectives ofnongovernmental groups and organizations. Governmentengineers and assessors involved in reconstruction activitiesrequire specific training in earthquake-resistantconstruction and damage assessment.

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Much of the success of reconstruction depends onhow well information is managed. The massivereconstruction effort requires an information managementsystem to systematically gather, process, analyze, anddisseminate accurate and timely information relevant tothe task. The overriding purpose is to improve the capacityof the intended users of information (notably the decision-makers and the affected population) to make informedchoices, plan their activities, and take decisivereconstruction actions.

Establishing an information management system forreconstruction involves three major tasks, i.e., collectinginformation, disseminating information, and gettingfeedback.

Collecting information

The first step in designing an information system isto determine what type of information is needed and bywhom. Collecting information should always have a clearpurpose and a specific target user in mind. In the contextof reconstruction, some of the major information needsinclude:

· Information on the nature and degree of damage causedby the disaster and the resulting needs of the affectedcommunity (as discussed in Chapter 2).

· Profile of the disaster-affected areas (village, townsand cities) and the socio-economic profile of theaffected individuals, families, and communities

· Information needed to monitor and evaluate progressand performance of reconstruction operations beingimplemented in the affected areas.

Once information needs are identified, the next stepis to determine what and how data will be gathered. Thisstep entails selecting the best method(s), designingstandardized formats, and mobilizing trained teams fordata collection. The collected data are then processed(grouped, classified, and stored), using standardizedformats and data bases. This is important so that the datacan be easily referred to, as needed. The last steps are toanalyze and interpret the data, and convert them into usefulinformation. The latter can be presented and packaged in

the form of reports, maps, and/or charts, depending on theneeds of the intended users. What is important is to selectand provide users only those information relevant to theirtask, formatting and presenting these information in sucha way as to draw attention to the major findings.

Disseminating information

One of the most important information managementtasks is to identify what needs to be communicated, towhom, and when. During the reconstruction process, thereare several important information that need to be clearlyand quickly communicated to the affected communities.

These can be broadly grouped as follows:

· A clear, accurate picture of the situation on the ground-the exact location of the disaster, the number of peopleaffected, and the extent of damage, including causes.

· Government policies regarding reconstruction,including: (i) entitlements and financial assistanceavailable to the affected individuals, families, andcommunities, and the basis on which these are set; (ii)the criteria and procedures for assisting organizationsto partner with the affected communities; (iii) housingreconstruction options (i.e., in situ construction,relocation) and the requirements and procedures foreach; and (iv) procedures to follow for those withcomplaints or grievances. It needs to be stressed thatevery single disaster-affected family should be madeaware of all these critical information.

· Reconstruction plans to be prepared or being preparedin the affected communities. The objective in thisregard is for the latter to be made fully aware of theseinitiatives and be encouraged to participate in theprocess.

· Information on disaster-resistant construction as wellas retrofitting techniques. Perhaps the biggest challengeof reconstruction is how to rebuild or retrofit thousandsof houses. This entails providing detailed informationon techniques and technical standards to a very largenumber of homeowners, laborers, builders, architects,and surveyors. It may also require demonstrating andteaching alternative designs and methods to encouragetheir adoption.

VI. Managing Information

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The above are the most basic and essentialinformation that need to be publicized in order to promoteawareness and informed participation of individuals andcommunities in the reconstruction process. It is criticalnot only for this information to be widely disseminated(especially in the worst affected areas), but that they beconveyed in the local language, using simple, nontechnicaljargon.

To disseminate information, a variety of media andmethods can be employed. These include the use of localnewspapers/newsletters/periodicals; radio, television andvarious electronic media, including the Internet; brochuresand handouts; posters on public display; public meetingsand forums; etc.

The reconstruction period is often a long one andmay last several years for severe disasters such as anearthquake. Information dissemination activities shouldhave a similarly long perspective, and reconstructioninformation needs to be kept in the forefront of the public’sattention.

Generating feedback

Information can facilitate consultation andparticipation when used as part of a two-waycommunication process. Given the massive reconstructiontask at hand and the multiplicity of stakeholders involved,putting in place an effective feedback mechanism isessential for the government and other partners to conveycritical information to the affected communities, and forthese communities to channel their views back to them.This two-way communication mechanism is necessary forseveral reasons:

· It gives voice to the disaster-affected population,including the poor and vulnerable groups.

· It helps in assessing the suitability and effectivenessof interventions within communities, and in makingthe necessary adjustments based on the latter’sfeedback.

· It assists in resolving grievances (hence, the need fora grievance redress system as part of the feedbackmechanism).

· It promotes accountability. Ideally, feedback issolicited so that actions are taken in response to whatis being conveyed, and proposed changes are madewhen deemed necessary.

To be effective, the feedback mechanism requires anetwork of community-level workers who not only dispenseinformation, but also solicit views to be fed back into policyand operations. It should ensure that a meaningful dialoguebe maintained with the affected people for whose intendedbenefit reconstruction activities are undertaken. Ultimately,however, its success depends on the responsiveness of allthose responsible for managing reconstruction actions.

Establishing a Focal Point forInformation Management and aNetwork of Community-basedInformation Centers

To reduce the likelihood of confusion that oftencharacterizes the post-disaster period, it is important thata focal point for information management be established.The objective is to coordinate and speed up the process ofinformation collection, processing, analysis, anddissemination conducted by a whole range of groups andorganizations involved in reconstruction. This focal pointmay be an autonomous field-based informationmanagement center that is best located near where the bulkof reconstruction operations are being undertaken.

The main responsibility of this focal informationcentre is to develop and operationalize a managementinformation system (MIS) that ensures a two-way flow ofaccurate, complete, and timely information to and fromthe responsible authorities and decision-makers at all levels,the affected population, and all other organizations thatneed them. To be able to do this, the focal point should:

· Design standardized formats and organize teams forcollecting, processing, evaluating, and packaginginformation for distribution

· Generate thematic maps, using GIS software andtechnology, to aid decision-making, and provide GISsupport to interested organizations involved inreconstruction

· Establish a system of online information transfer toand from itself and a network of local informationcenters, as will be discussed next.

Along with a focal information management centre,it is advisable that a network of community-basedinformation centers be set up. These centers will serve asreadily accessible “one-stop shops” for the affected

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population seeking information on the range of assistance,resources, and services available to them. At these centers,simple, easy-to-understand, updated facts and information-at-a-glance can be prominently displayed. To be effective,it is important for these centers to have the capacity to:

· provide relevant, complete, accurate, timely, and up-to-date information to the affected population,particularly on government policies, their rights andentitlements, available financial assistance, proceduresand criteria for eligibility.

· develop a strategy to disseminate these information ina format that is easily understandable to the affectedpopulation

· serve as a “help-desk” where the affected population,collectively or individually, can seek advice or bringgrievances, and where the response to these grievancesby the responsible party can be facilitated.

Using Mapping Technology

The use of maps and mapping techniques is valuablefor managing response during all phases of a disaster,including reconstruction. With microcomputers and theavailability of GIS software technology, different types of

maps including topographic maps, land-use maps,geologic/seismic maps, maps locating the distribution ofdisaster-affected communities, infrastructure, etc., can becomputer-generated.

In the context of reconstruction, maps are valuablefor damage assessment, risk analysis, and reconstructionplanning and management. For example, they can be usedto guide decision makers who must determine whether ornot to relocate segments of the population in high-riskareas, and where to relocate when necessary. Informationcollected from damage and needs assessments can beplotted accurately on maps and can be updated as situationsimprove over time. They can be provided to decisionmakers and aid providers for easy reading and promptaction.

20

The process of participatory planning for thereconstruction of Bhadreshwar was initiated by EPC. Asa first step, the EPC team identified the recognized leadersin the village with the help of Abhiyan, which had earlierworked in the village. These key role players included thesarpanch, the deputy sarpanch, a shopkeeper, and a primaryschool principal. EPC’s initial task was to convince themof the need to plan for the reconstruction of Bhadreshwarwith the active participation of the villagers.

Consultative Meetings

Having given their support, the village leaders, inturn, assisted EPC in making a preliminary identificationof the various interest groups (stakeholders) in the village(Box 3). They prepared a list of people who could bestrepresent each of these stakeholder groups to a consultativemeeting being organized in the village. The purpose wasto raise awareness about the importance of developing areconstruction plan for the village and to stimulate theinterest of various stakeholder groups to participate in thisprocess.

To ensure that the consultative meeting would bewidely attended, the village leaders met with eachrepresentative a few days earlier to explain EPC’s proposedplanning initiative and the purpose of the consultativemeeting. On June 13, 2001, the consultative meeting washeld and attendance was more than what was expected.The EPC team introduced its participatory planningproposal and, with the aid of charts and handouts writtenin Gujarati, explained its objectives. The team alsofacilitated a brainstorming session to engage theparticipants in analyzing the existing situation in the villageand in identifying issues, needs, and priorities that wouldbe fed into the village reconstruction plan. Some of themain issues raised were the lack of the villagers’involvement in damage assessment surveys, and the lackof clear, easily available information on entitlements,compensation, and government programs. By the end ofthe meeting, the participants conveyed their full cooperationand support to the planning initiative.

Stakeholder Analysis

Ideally, all village residents should have been invitedto the consultative meeting. Since this was not possible,the EPC team conducted a stakeholder analysis to identify

the full range of stakeholder groups in the village whoseactive involvement in village reconstruction was thenactively sought. The analysis aimed to ensure the inclusionof as many segments of the village population as possibleand to maximize their role in developing reconstructionstrategies and projects.

The stakeholder analysis involved two types of study:the community study and the livelihood study.

Community Study. This study was conducted to gaina deeper understanding of the social structure of the village.Visits and informal discussions with individualcommunities grouped on the basis of caste, religion, and /or occupation were conducted. The informal ‘focus group’meetings with such communities as the Jadejas/ Darbars,Rajputs, Harijans, Datanyas, Khojas, Muslims, andLohanas, among others, ensured that the interests of eachwere considered in the identification of needs, priorities,and the vision for the village.

Livelihood Study. The livelihood study, conductedat the same time as the community study, sought to identifyvarious groups within the village who were engaged in thesame occupation and who shared similar economicinterests. The study determined farming, animalhusbandry, small trade, fishing, and wage labor as thepredominant livelihood sources in the village:

For the purpose of the study, village residentsbelonging to the same livelihood group were identified.From among members of each group, three to fourindividuals were randomly chosen for a semi-structuredinterview using a predetermined set of questions. The resultwas a preliminary identification of the needs and prioritiesof each livelihood group.

Socio-economic Survey

To complement the above studies which mainly reliedon less formal, semi-structured discussions, a more in-depth survey was conducted to assess the post-earthquakesocio-economic conditions at the household level. Thecomprehensive baseline data collected from the surveyprovided a broader understanding of the problems villagehouseholds faced and the type of projects or interventionsthey needed to mitigate the earthquake’s adverse effectson them.

VII. Case Study: Bhadreshwar Village

21

The survey relied on primary data collectionemploying more structured interviews that made use of aquestionnaire. To avoid vague or problematic questions,the questionnaire was pre-tested in a pilot survey. Basedon the result of pre-testing, the questionnaire wasredesigned to make sure the finalized questions were mademore clear and concise. The survey was conducted betweenAugust 20 and 25, 2001, and was administered byprofessional research investigators who were givenorientation on the objectives of the survey, as well as thevalues, caste and class structure of the village.

Since it was not possible to survey the entire villagepopulation on a household-by-household basis, a randomsample of village households was drawn frompredetermined representative areas of the village.Appropriate survey methodologies were followed to ensurethat a statistically valid representative sample of all sectionsof the village household population – including womenand other vulnerable groups – was included in the survey.The household level information collected from the surveywas fed into a database.

Priority Issues and Needs

Among the main issues identified by the livelihoodstudy are:· Agriculture: The labor shortage in farms, resulting in

high labor cost; the absence of crop insurance and thefluctuating prices of crops; and the need for canalirrigation.

· Fishing: Decline in fish catch due to pollution;exploitation of the fishing community by middlemen;lack of support facilities near the coast; general povertyamong the fishing community.

· Animal husbandry: Lack of fodder; high incidence ofillness among buffaloes; low price of milk.

· Vegetable selling: Lack of access to market; lack ofstorage facilities; fluctuating process of vegetables

Proposed Actions

To address its most pressing needs, the communityprepared several project proposals that were submitted topotential funding organizations for assistance. Theseinclude, among others, proposals to:

· Retrofit partially damaged houses· Develop alternative sources of water supply through

water-harvesting schemes· Develop alternative source of irrigation· Promote dairying as an alternative livelihood source· Implement micro-credit schemes for the fishing and

vegetable selling communities· Build support facilities near the coast for the fishing

community· Set up an information center for village reconstruction· Develop the Basai temple infrastructure to attract

tourism· Upgrade skills of wage laborers, women, youth· Develop a marketplace and storage facilities for

vegetable sellers.

22

Bhuj Municipality was one of the hardest hit townsin Kutch. Almost half of its old walled city alone sawconsiderable damage to buildings and infrastructure. Thedeath toll in Bhuj was over 7,000. Most of the casualtieswere from the walled city area, where buildings made ofstone and mud mortar came crashing down on very narrowstreets. Along with the badly designed street pattern, thepoorly framed regulations which had been loosely adheredto over the years accounted for the vast extent of destructionin Bhuj. The earthquake badly damaged socialinfrastructure (schools, hospitals, town halls, markets,libraries, colleges, a local gymkhana, an open-air theatre,and religious buildings) and utilities (reservoirs, pipelines,telephone exchanges, and power infrastructure, etc). Inthe walled city, the serious damage to water supply andsewer networks was made worse by the movement of heavymachinery to demolish severely damaged buildings andremove debris. Many historic buildings were alsodestroyed. With the demolition and clearing of rubble,retracing the town’s street form and architectural characterproved very difficult.

The Planning Context

With the unprecedented devastation of townswitnessed in Kutch and with no past experiences with post-disaster urban reconstruction in India, putting in place areconstruction strategy required careful thought. In theimmediate aftermath of the earthquake, the discussion bothon the ground and in government revolved around twoalternatives – total relocation of the city (“New Bhuj”)and in situ reconstruction. There were vocal proponentsof both approaches among the public and amonggovernment officials. Having carefully considered alloptions, the government in April 2001 formulated areconstruction package for the affected urban areas ofGujarat, which favored partial reconstruction and partialrelocation. To guide and regulate their reconstruction andfuture growth, the government package stipulated that townplanning would be carried out and that the developmentcontrol regulations in these towns would be revised.

The Government of Gujarat decided to utilize existingprovisions in the Gujarat Town Planning and UrbanDevelopment Act, 1976, to undertake the preparation ofthe Development Plan for the towns of Bhuj, Bhachau,Anjar and Rapar. It decided to use two statutory planning

instruments – the Development Plan and the Town PlanningScheme – to guide the planning and reconstruction of thefour towns. It appointed the Gujarat Urban DevelopmentCompany Limited as the Special Purpose Vehicle for theimplementation of the urban reconstruction program. Forboth town planning and infrastructure design andreconstruction, consultants were appointed. Throughcompetitive bidding, EPC was selected as the TownPlanning Consultants for Bhuj, considering its corecompetence in urban, regional and environmental policyand planning, as well as development research andmanagement.

Facilitating the Formulation of theDevelopment Plan of Bhuj

The planning process at the city level presentedpeculiar difficulties for participation. For Bhujmunicipality, it required relating to a population of over100,000 within a limited timeframe. It also required thecreation of representative structures and arrangements thatcould facilitate communication between and among a widerange of stakeholders.

For these reasons, two major exercises wereundertaken at the outset — stakeholder analysis and a seriesof public consultation exercises carried out in two rounds.

The first round of consultations were held withgovernment officials, community representatives, and otherresource persons in the city to develop agreements overthe approach to plan formulation, the method ofparticipation to be used, and the list of stakeholder groupsto be included in the process. After deciding on the fullrange of stakeholder groups, a series of meetings weresubsequently organized to provide forums for engagementwith these groups for the city planning process, leadingup to the preparation of a Conceptual Development Plan.Discussions in these meetings revolved around thefollowing:

· Situational analysis based on data collected fromdifferent urban sectors

· SWOT analyses of the proposed components of theplan

· Vision statement for Bhuj (see Box 4)

VIII. Case Study: Bhuj

23

· Objectives, strategies and proposals for each plancomponent

· Conceptual Development Plan

In this way, needs and priorities were fed into theconceptual development plan, and a preliminary agreementreached over the direction of development in the city.

In the second round of consultations the ConceptualDevelopment Plan was presented for debate at a series offocus group meetings and ward meetings, culminating ina city-level workshop with invitees from a broad cross-section of Bhuj society. Ward meetings were organized,in which citizens’ reaction and comments to the ConceptualPlan were solicited through open-mike question-and-answer sessions. Maps indicating the overall direction ofthe proposed development and locations of infrastructureinvestments were put on display for review. The meetingswere advertised by radio, through fliers, and via wardcouncilors. About 350 citizens attended the ward meetings.In addition a city-level workshop with select stakeholderswas held. These forums were seen as a key vehicle forparticipation in the city-wide planning process.

Based on responses received during the presentationof the Conceptual Development Plan in July-August 2001,modifications were made and detailed proposals included.The Draft Development Plan was published in September2001 and was advertised for public comment for twomonths. This provided the city residents with an additionalopportunity to contribute to the planning process.Incorporating changes based on public responses andcorrections in the base map, the plan was finalized inDecember 2001 and sanctioned immediately by theGovernment (under Section 16 of the GTPUD Act).

Facilitating the Preparation of theBhuj Town Planning Schemes

In preparing Bhuj Municipality’s Development Plan,EPC had stressed the need to develop a separate plan forthe old walled city, Bhuj’s center of commerce, which wasthe worst affected area in the municipality. The officiallymandated Town Planning Scheme approach served as theprincipal instrument that guided the planning of the walledcity. To launch the participatory planning process, EPCtook several key steps:

Forming a Viable Community Institution

The EPC team sought the involvement of a localcitizens’ group to facilitate the planning process in the

walled city. Bhuj Development Council (BDC) wasidentified and persuaded to take the lead in the preparationof the town planning scheme, in collaboration with otherNGO partners such as Kutch Nav Nirman Abhiyan(KNNA, otherwise known as Abhiyan), Bocheswar AksharPurosattam Swami (BAPS), and the local newspaper,Kutch Mitra.

Community Mobilization and Organizationto Facilitate the Planning Process

· Formation and orientation of the Study and ActionGroup. This group of about 60 Bhuj residents wasformed by EPC and BDC to serve as a think tank tobrainstorm on the problems and issues facing the cityand develop solutions. It is a select group ofenlightened citizens, opinion leaders and NGOs of Bhujwho understands the process and guide the plannersbased on their understanding of the city. They assistedBHADA and EPC in advocating policies, resolvingconflicts, and developing proposals for the city’sdevelopment.

· Formation of the Core Committee and the falia-levelCommittee. The Core Committee is a representativegroup of residents/property owners from the WalledCity area. This committee planned and coordinatedmeetings between the planners and residents/propertyowners. The Core Committee took the help of smallerrehabilitation committees from various falias orneighborhoods in the Walled City. The members ofthe Core Committee were selected from the localrehabilitation committees and represent the entireWalled City area. The Rehabilitation Committeesconsist of representatives from the falias orneighborhoods in the Walled City. These committeeswere established to gauge local community issues andneeds, and encourage community discussion andfeedback on a regular basis. Their creation highlightedthe efforts of EPC and BDC to establish representativestructures that provided a space for more meaningfulinteractions and for the communities’ voice to be heard.Along with the Study and Action Committee, the CoreCommittee, and the Rehabilitation Committees servedas focal points through which priorities werearticulated and decisions subsequently made to addressthem.

· The four-day workshop on the draft town planningschemes. A four-day workshop was organized by BDCto provide opportunity to the different stakeholders to

24

understand the town planning scheme and developconsensus on the draft plan. The workshop was heldin the hall of Jain Wanda from May 2 to 5. Commentsand inputs to the draft plan were solicited during theworkshop.

· Consultation Meetings. Deliberations on theconceptual and draft town planning scheme were heldat the falia and ward levels to raise awareness andeducate the citizens on the principle and design of theproposed town planning schemes for the walled city.

· Establishment of the ward-level offices of BDC whichalso served as information center. BDC establishedeight ward-level information centers to disseminateinformation on the town planning schemes. The planswere displayed in the ward offices and people wereassisted in filing objections or in making suggestionsto the plan. This helped improve the latter.

· Rapport Building with Government Functionary.Recognizing that government support to theparticipatory process is crucial to its success, severalmeetings with BHADA were held to reach consensuson the strategic action plan. Consultation meetings withward councilors were also organized to inform themof the ongoing planning activities and solicit theirmaximum participation and support to the process.Periodic focused meeting with these councilors werealso held to resolve problems encountered. A half-day multi-stakeholder workshop was organized withofficials from BHADA, the District Collectorate, andGSDMA, as well as the elected officials from the

Municipality and the wards along with the Study andAction Group. The purpose was to explain the stepsbeing taken to prepare the draft town planningschemes. Later, a meeting between the Chief ExecutiveOfficer of GSDMA and BDC with EPC was held todiscuss how support from the line agencies could befacilitated. Visits to the relocation sites with theofficials from the responsible government authoritieswere held to determine progress on site. Theinteractions between the officials and differentcommunity groups at the site helped in identifyingmeasures to resolve prevailing issues.

Conclusion

The planning process carried out for theredevelopment of the walled city of Bhuj is perhaps one ofthe most complex, but very rewarding planning exercisesattempted in India. What has been achieved is almostunbelievable given the conditions in which the work wascarried out. The process resulted in improvedcommunication and cooperation among different spheresof government and the civil society. Through structuressuch as the various ward and neighborhood committees,and the series of public forums held, ample opportunitieswere given to the citizens to participate throughout theplanning process. The resulting plan is a huge step forwardin terms of what was standard top-down practice in thepast, and provides an example of a plan that meets theobjectives of participatory planning. There is commitmentto the plan from senior officials at the State, district, town,and ward levels, and a strong leadership on the part of theBDC.