[6] DKH DRRMonitoring & Baseline Guidelines
These guidelines act as a reference source for local partners for their development of DRR project indicators and monitoring systems and for DKH Offices during the project proposal appraisal process.
Contents
Alignment of DRR Project Monitoring with Frameworks
DRR Project Monitoring System Key Considerations
DRR Project Indicators
Option 1: Community Resilience Indicators
Option 2: Core Community-Based (Disaster Management/DRR/Disaster Preparedness) Criteria
Option 3: Disaster Preparedness & Response Qualitative and Quantitative Indicators
Option 4: Mitigation Measures
DRR Baseline Guidelines
Option A: Community Vulnerability & Capacity Analysis Baseline
Option B: Resilient Communities Qualitative Baseline
Option C: Community Preparedness for Response Baseline
Option D: Household Baselines & Monitoring
DRR Project Monitoring Tools
Simulation Exercises / Mock Drills
Post Incident Data Gathering & Case Studies
Review Workshops
DRR Knowledge Attitudes & Practices (KAP) Surveys
Committee Development Index
Disaster Preparedness (Readiness) Checklist
Alignment of DRR Project Monitoring with Frameworks
DKH uses the Hyogo Framework for Action (HFA) and ‘Characteristics of a Disaster Resilient Community’ as the basis for development of its regional and country DRR Strategies and DRR programming (where applicable). DKH also propose that these ‘Characteristics of a Disaster Resilient Community’ are used as the starting point for development of DRR project monitoring systems indicators and the establishment of DRR project baselines.If a‘DKH Regional or National DRR Strategy’ is available this shouldalso provide some examples of potential DRR project indicators.
DRR Project Monitoring SystemKey Considerations
DRR Control Measures: Project risks should be identified through a process of logical framework review at the project design stage. For DRR projects however, or any project implemented in an area exposed to hazards, details of additional risks identified through the risk assessment analysis should be considered and appropriate control measures put in place in order to mitigate potential hazard impacts.
Accountability Mechanisms: DRR Projects generally requirethe implementing organisation, community and local authoritiesto work in partnership, to a greater or lesser extent. From a resilience-building perspective, project responsibilities should be allocated to stakeholders as feasible, while maintaining a focus on quality implementation and monitoring. This also requires relevant project monitoring information to be shared with stakeholders on a regular basis.As a result clear accountability mechanisms are required in order to ensure that all parties fulfil their obligations. Methods for establishing accountability mechanisms for community-based projects can include:
Dissemination of developed Community ‘DRR’ Plans including details on agreed community-led actions and as appropriate (dependent upon community capacity and project aims) community organisation / committee functions and responsibilities.[1]Establishment of a Project Steering Committee with representatives from all parties, with a formal (written agreement) with allocation of relevant project responsibilities, including roles in: coordination, planning & implementation of activities, follow-up and technical support for community-led actions, monitoring (including quarterly reviews).
Development or dissemination of plans/agreements on the preparedness and response roles & responsibilities of local institutions and authorities. /
Identification of DRR Remedial Actions: As many organisations are still developing their DRR approaches, in partnership with communities and other stakeholders,quarterly stakeholder review workshops should be conducted to review the project’s progress towards achievement of intended results/outcomes and the effectiveness of implemented activities. Refer to the ‘DKH DRR Projects Evaluation Guidelines’ for details on appropriate review methodologies.These review workshops should be conducted as part of the general project monitoring system and findings incorporated into the Quarterly Reports submitted to DKH. In addition the following monitoring tools can be applied to gather effective feedback: Simulation Exercises, Post Incident Data Gathering & Case Studies (Refer to Monitoring Tools section below).
Participatory Monitoring: Where monitoring means of verification are indicated as reports or survey reports, information can be gathered and reports developed either by the community themselves or the partner organisation implementing the project. The approach being taken would depend upon the potential for utilising community participation approaches.
DRR Project Indicators
Indicators Development: Indicators measuring change in disaster related resilience, vulnerability and capacity are necessary to demonstrate DRR outcomes.Both SMART (specific, measurable, attainable, relevant and time-bound) and SPICED (subjective, participatory, interpreted, cross-checked, empowering and diverse) indicators should be used.[2]Relevant indicators should be developed and targets set with communities and other stakeholders, including local authorities, to ensure that indicators are in line with already established mechanisms and are understood, owned and utilised in the longer term. Wherever ‘stakeholders’ are referred to in an indicator, it should be recognised that vulnerable groups should always be considered.
DRR Result & Outcome Oriented Indicators: Project indicators should all be developed to measure progress of the project and not changes that may occur following a potential future catastrophe. Indicators should go beyond measuring the progress of an activity and should measure qualitatively, and where possible, quantitatively the achievement of the results or intended outcomes utilising available means of verification. When qualitative indictors have been used a sufficient number of means of verification (MOV) should be used in order to validate the indicator by cross-checking findings using different sources or tools.
The table below provides a guide to determine the type of indicators that can beapplied to different projects.Due to the diversity of projects, indicators can vary considerably, the following examples should therefore be used for guidance purposes only. Firstly we consider the holistic 1) ‘Community Resilience’ framework (Option 1). We then separate this framework into three most relevant components which will cover the majority of forms of DRR project supported by DKH: 2) ‘CBDRM structures’, 3) ‘Preparedness for Response’ & 4) ‘Mitigation Measures’ oriented projects. Indicators can be used in combination with each other if the project type requires. For example Community-Based DRM (Option 2) and Preparedness (Option 3) and/or Mitigation Measures (Option 4) could be used in combination.
Table 1: Types of Project Indicator
Indicator Group / Types of DRR Project it can be applied to / Level of Complexity / Benefits / Limitations1: Community Resilience Indicators /
- Community Resilience building
- Local Authority DRR/DRM capacity building
- Climate Change Adaptation
- Holistic approach
- Directly links with the HFA framework
- Presents a wide number of options, from which priority indicators need to be identified
- Can require extensive stakeholder participation
2: Core CBDRM Structure Criteria /
- Community-Based DRM/DRR
- Community Preparedness & Response
- Easily understandable by both communities and community facilitators/mobilisers
- Can be used as the core project framework
- Focused on community capacity development
- Only suitable for communities which have capacity and resources to develop independently
3: Disaster Preparedness & Response /
- Community Preparedness & Response
- Provides detailed planning and progress framework for community preparedness focused project
- Limited to preparedness for response
4: Mitigation Measures /
- DRR mitigation measures
- Provides robust indicators for partner implemented measures
- Can be difficult for community to fully understand and own
Option 1: Community Resilience Indicators
The following table provides a sample of ‘potential generic indicators’ and ‘example indicators’ for some key community resilience characteristics. These indicators can be used as a guide for development of result level indicators suitable for different types of DRR project. The process of developing these indicators will also act as an opportunity to reflect upon the suitability of the project results that have been developed.
Table 2: Example Community Resilience Indicators[3]
Thematic Area & HFA Priority / Community Resilience Characteristic / Potential Generic Indicator / Example Indicator / Means of VerificationGovernance / Community aware of its rights and the legal obligations of government and other stakeholders to provide protection / % of community members who can list at least x rights and x legal obligations of governments and other stakeholders to provide support / assistance / protection / % of community members who can detail at least x relevant/
specific legislations/regulations/procedures and their importance / Awareness raising session materials
Survey report on community knowledge of government obligations
Risk Assessment / Assessment findings shared, discussed, understood and agreed among all stakeholders and fed into community disaster planning / % of stakeholders who can explain assessment findings and how they feed into community disaster planning / % of households (and different vulnerable group members) who can list at least five main issues from the Participatory Risk Assessment Analysis findings / Risk Assessment Report key findings
Survey report on community knowledge of risk assessment findings
Knowledge and Education / Whole community exposed to/taken part in ongoing awareness campaigns, which are geared to community needs and capacities (e.g. literacy levels) / % of community members, who took part in accessible awareness campaigns, that are able to describe at least x relevant measures to approach community resilience building / level of involvement of community-based organisations (CBOs, youth groups, old peoples’ organisations, unions, etc.) in organising DRR awareness-raising events / Survey report of community self-organised DRR awareness-raising events
Photographs
Documentation, use and adaptation of indigenous technical knowledge and coping strategies / level of documentation, use and adaptation of indigenous technical knowledge and coping strategies (e.g. in DRR plans) / level of indigenous technical knowledge and coping mechanisms integrated into DRR Plans or used to develop awareness-raising materials / Community DRR Plans
Awareness-raising materials
Risk Management and
Vulnerability Reduction / Adoption of sustainable environmental management practices that reduce hazard risk / level of adoption of sustainable environmental management practices that reduce hazard risk (e.g. within the community) / level of sustainability of the system in place for e.g. the maintenance of protection works OR rangeland management / Report on community self-organised ongoing and planned e.g. maintenance work OR management activities.
Photographs
Safe locations: community members and facilities (homes, workplaces, public and social facilities) not exposed to hazards in high-risk areas within locality and/or relocated away from unsafe sites / % of community members with access to and means to reach facilities (homes, workplaces, public and social facilities) not exposed to hazards in high-risk areas within locality and/or relocated away from unsafe sites / % of households of most-at-risk families who have or are willing to move to safer sites or to strengthen their individual dwelling (resources permitting) / Reports documenting those households most exposed to significant hazards and those that have or are willing to move.
Photographs
Disaster Preparedness and Response / Sufficient number of trained and organisational personnel and community members to carry out specific relevant tasks (e.g. communication, search and rescue, first aid, relief distribution) / % of committee members showing skills in carrying out relevant response tasks according to minimum standards in a coordinated manner / % of (e.g. committees) having a system for managing their response equipment and options for replacing consumables, doing essential maintenance, and supporting basic organisational activities / Community Disaster Readiness Checklist survey
Early warning system capable of reaching whole community(via radio, TV, telephone or other communications technologies, and via community early warning mechanisms such as volunteer networks) / % of community members who receive early warning messages from at least one source / level of functioning of the communications / early warning system for the transmission of alerts that permits information to reach people in an appropriate and timely manner / Community Disaster Readiness Checklist survey
Safe evacuation routes identified, maintained, and known to community members / % of safe evacuation routes that receive regular maintenance, and percentage of community members able to identify safe evacuation routes / % of community members who confirm they are able to reach shelters safely and quickly / Community Disaster Readiness Checklist survey
Physical observations of evacuation routes
Survey report
Option 2: Core Community-Based (Disaster Management/DRR/Disaster Preparedness) Criteria
Definition: A community owned and managed process of: identification of hazards and those most vulnerable to their impacts, development of plans to most effectively reduce risks using communities’ available resources, community-led implementation of activities and monitoring and evaluation of the implementation of those plans.
Based on this definition four key componentsteps are identified, for which indicators can be established.
Table 3: CBDRM Components Indicators
Key Process Component Steps / Example Indicators- Risk Assessment & Analysis
- CBDRM Plans Development
- Committee Formation & Development
- Implementation, Monitoring & Evaluation
% of stakeholders who can explain key community-owned resilience building indicators and the progress made
Option 3: Disaster Preparedness & Response Qualitative and Quantitative Indicators
Refer to ‘Community Preparedness for Response Baselines’ and ‘DRR Project Monitoring Tools’ sections below for further details on potential means of verification.
Table 4: Example Preparedness Indicators
Example Indicators / Potential Means of VerificationSystems designed and hardware in place in order to provide for identified vulnerable households needs for X days following a hazardous event / Assessment Report, Baseline Data, Disaster Readiness Checklist, Monitoring Survey Reports
Means of short term refuge and means for provision of essential relief items have been established for % of households vulnerable to priority hazards / Assessment Report, Baseline data & project final report, Local Contingency Plans
Community effective preparednesspractices and resources allocation targets achieved for the period until X / Disaster Readiness Checklist Report, Simulation exercise report, Community Contingency Plans (with resource allocation targets, see ‘Community Preparedness for Response Baselines’ below)
% of vulnerable households practicing preparedness measuresand having knowledge of how to access community response support / Household preparedness knowledge, attitudes and practice survey (KAP) report
Response procedures developed which ensure the provision of assistance to those most in need and at the time they require the assistance / Assessment Report, Local Contingency Plans, Disaster Readiness Checklist Report, Monitoring Reports
Option 4: Mitigation Measures
Effect/outcome indicators for Mitigation Measures are concerned with measuring the reductionof either the:
- Exposure to hazards
- Vulnerability (or fragility) of what is exposed
- Force of the hazard impact (magnitude)
As with all components of community resilience building, mitigation measures usually also require:
- Ongoing sustainable engagement of the community in either practicing or maintaining the mitigation measure
Indicators should therefore be developed to demonstrate a reduction in one or more of these factors (as feasible) and also demonstrate the activities ongoing sustainability.Refer to the ‘Risk Management and Vulnerability Reduction’ section of Table 2: Example Community Resilience Indicators.
DRR Baseline Guidelines
A baseline is an analysis which describes the situation prior to an intervention, against which progress can be assessed or comparisons made during the lifetime of a project. Baselines can also be used to inform project evaluations. Baselines are normally established after community plans have been developed and during the initial stages of project implementation. A significant amount of relevant information should however already have been gathered during the risk assessment (HVCA, PVCA, etc.). The value of qualitative information should not be underestimated.
Many standard tools can be used to establish baselines for activity, result and objective level: resilience, vulnerability and capacity indicators. These may include surveys, interviews, workshops, data gathering, secondary data review. Here we present only a sample of key tools that could be modified for use by projects.
Option A: Community Vulnerability & Capacity Analysis Baseline
The risk assessment (HVCA, PVCA, etc.) provides significant information for use in establishingthe DRR project baseline. This includes relevant socio-economic data, vulnerability data for different vulnerable groups and the relevant capacities and resources that can be utilised in order to reduce future priority hazard impacts. Relevant information needs to be gathered to establish a qualitative and quantitative reference baseline. For example, if the project has an activity on community-based early warning systems (EWS), existing community EWS mechanisms and resources need to be included in the baseline data.
Option B: Resilient Communities Qualitative Baseline[4]
The following matrix provides a qualitative tool that can be used for:
- Establishing a broadcommunity resilience baseline or for establishing baseline for one or more components of community resilience,disaster preparedness and response only for example.
- Establish communities’ resilience goals.
- Determining the end state that an organisation want’s to support communities to achieve with respect to DRR. For example the target may be to reach level 3 only, after which support will not continue.
- Planning project milestones.
- Used as part of a mid-term or final project impact evaluation.
- Establish general community resilience analysis of a country with wider stakeholder participation for use in strategic planning.
Only the thematic areas prioritised for intervention in a DRR project need to be selected for analysis. Before the baseline can be established the criteria for the chosen DRR thematic areas(Governance, Risk Assessment, Knowledge & Education, Risk Management and Vulnerability Reduction, Disaster Preparedness and Response) need to be established with stakeholders. This is done by reviewing the key community resilience characteristics (refer to resilience components in DRR PCM Tool 3: Project Approaches Analysis) that a project aims to establish.