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Community Based

Disaster Risk

Management

End of Project Report

With funding assistance from

Japan Social Development Fund Natural Disaster Risk Management Project

March 31, 2009

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Preface

The geographic location and topography of Vietnam makes the country very much vulnerable to typhoons, floods, drought, seawater intrusion, landslides, forest fires, and occasional earthquakes. Annually, these disasters result in hundreds of human casualties, economic losses, and environmental damage.

The Government of Vietnam (GoV) has systematically considered disaster preparedness and mitigation as a very important task in every stage of development of the country and has recently approved the “National Strategy for Natural Disaster Prevention Response and Mitigation”. In recent years, the Government has made significant progress in disaster preparedness and emergency response, however, experience illustrate the need for innovative approaches that involves the participation of the people at the village levels, whose very lives are at stake when disasters strike. Hence, the Government embarked on a Community Based Disaster Risk Management (CBDRM) project with the support of the Japan Social Development Fund (JSDF) and the Netherlands Trust Fund through the World Bank.

The CBDRM Project aimed at strengthening the capacities of villages and communes and the disaster management institutions to become more responsive to the short and longer-term needs of the most vulnerable villages through participatory risk assessment and identification and implementation of risk reduction measures. The CBDRM Project directly supported government efforts, especially provincial and commune levels, for sustainable development by helping reduce human, economic, and financial losses from disasters caused by nature in ten communes located in Ben Tre, Thua Thien Hue and Ha Tinh Provinces. Safer Village and Commune Plans that focused on long term intervention and preparedness measures were developed and sought to empower flood-prone communes to prevent and reduce the impact of disasters and secure and protect their livelihoods.

The Project is part of the broader Natural Disaster Risk Management Project (NDRMP) that aims to support the Government of Vietnam to make a comprehensive risk management framework for natural disaster prevention: (i) Protect life and property of community in the vulnerable areas prone to natural risks; (ii) Improve effects of post-disasters rehabilitation and reconstruction; (iii) Improve capacity of coordination and management of natural disaster mitigation at all levels.

The JSDF funded phase 1 is a pilot phase that aimed to evolve a CBDRM approach that was appropriate for the Government which would later be expanded to other Provinces under the NDRMP and institutionalized as part of the Government Strategy.

This report briefly summarizes the activities undertaken and project outcomes achieved during the implementation of the project. Likewise, the report presents initial lessons learned from implementation of a Community Based Disaster Risk Management approach in Ben Tre, Thua Thien Hue and Ha Tinh Provinces. And as the Government starts implementation of Phase 2 of the project, the lessons learned from the pilot phase will be useful and will be incorporated into activities of the next phase.

CPMO-MARD March 31, 2009

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Acknowledgements

We wish to thank the World Bank, Japanese Government and the Netherlands Trust Funds for providing support for component 2 (CBDRM) of the NDRMP. Japan Social Development Fund for supporting the pilot 10 communes in three provinces and the Netherlands Trust Funds for funds for the expansion of the project into 20 more communes in seven provinces.

Appreciation is also extended to Ben Tre, Thua Thien Hue and Ha Tinh province; the People’s Committee, the Provincial Flood and Storm Control Committee, Provincial Department of Agriculture and Rural Development, District and Commune leaders and the Commune Facilitators, for the work they have done to ensure success of the project.

Gratitude is expressed to individuals and organizations that provided information for the report, in particular, the Commune Facilitators, members of the Commune CBDRM Coordinating Committee and staff and officers of Provincial Project Management Units in the project participating provinces.

Special mention is given to the following persons who worked tirelessly during the implementation of the project and who shared their experiences during writing of the report: CPMO project team:

Mr. Nguyen Canh Tinh, CPMO CBDRM Focal Person Mr. Tao Van Dang, National CBDRM Specialist Mr. Ha Trung Dung , National CBDRM Specialist Ms. Pham Anh Tuyet, National CBDRM Specialist Mr. Noel A. Puno, International CBDRM Specialist

The Project Management Board: Mr. Ha Thanh Liem , CPO Director Mr. Cao Tuan Minh, NDRMP Project Manager Mr. Ian Fox, NDRMP Chief Technical Adviser

Finally, due credit and gratitude is expressed to the people’s of vulnerable communities where the CBDRM project was implemented, whose daily experience in confronting disasters in Vietnam served as living material in writing this report. But more importantly, for helping the government on modeling its CBDRM programme. Central Project Management Office Ministry of Agriculture & Rural Development March 31, 2009

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Acronyms

ADB Asian Development Bank CBDRM Community Based Disaster Risk

Management CCCC Commune CBDRM Coordinating

Committee CCFSC Central Committee for Flood and

Storm Control CFs Commune Facilitators CPC Commune People’s Committee CPMO Central Project Management

Office CPO Central Project Office CPRA Community Participatory Risk

Assessment DARD Department of Agriculture and

Rural Development DPC District People’s Committee DRR Disaster Risk Reduction EIA Environmental Impact

Assessment GoV Government of Vietnam JSDF Japan social Development Fund M&E Monitoring and Evaluation MARD Ministry of Agriculture and Rural

Development

NCB National Competitive Bidding NDRMP Natural Disaster Risk

Management Project NGOs Non-Government Organizations NTF Netherlands Trust Fund O&M Operation and Maintenance PAD Project Appraisal Document PDRA Participatory Disaster Risk

Assessment PIM Project Implementation Manual PPC Provincial People’s Committee PPMU Provincial Project Management

Unit PRA Participatory Risk Assessment QNDMP Quang Ngai Disaster Mitigation

Project RC Red Cross RFP Request for Proposal SCP Safer Commune Plan SVP Safer Village Plan TOR Terms of Reference UNDP United Nations Development

Programme VRC Vietnam Red Cross WB World Bank

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Table of Contents

Preface ______________________________________________________________ 2

Acknowledgements ____________________________________________________ 3

Acronyms____________________________________________________________ 4

Table of Contents _____________________________________________________ 5

1. Background _____________________________________________________ 7

2. The Project______________________________________________________ 8

2.1. Statement of Original Project Objectives ________________________________9

2.2. Project Components ________________________________________________10

2.3. Project Coverage___________________________________________________10

2.3.1. Selected Communes and Provinces and Criteria used in the selection ________10

2.3.2. Description of beneficiaries _________________________________________12

2.4. Project Management and Implementation Structure______________________12

3. Implementation _________________________________________________ 13

3.1. Setting up Project Implementation Structures ___________________________13

3.2. Community Participatory Risk Assessment _____________________________16

3.3. Participatory Planning ______________________________________________17

3.3.1. Development of Safer Village Plan and Safer Commune Plan ______________18

3.3.2. Commune Investment Plans_________________________________________19

3.3.3. Technical Assistance to Communities and PPMU________________________19

3.4. Community Managed Implementation _________________________________19

3.4.1. Structural Measures _______________________________________________19

3.4.2. Non-Structural Measures___________________________________________20

3.5. Participatory Monitoring and Evaluation_______________________________21

4. Project Outcomes________________________________________________ 22

4.1. COMPONENT A: Community and local government capacity building ______22

4.1.1. Training CBDRM to villages, communes, district and provincial official______22

4.1.2. Public awareness through public meetings, discussions and consultations ____23

4.1.3. Safer Village and Commune Plans Developed / Produced _________________26

4.2. COMPONENT B: Community Driven Structural Risk Reduction Measures __26

4.2.1. Detailed planning of selected structural risk reduction measures ____________26

4.2.2. Implementation of structural disaster risk reduction projects _______________27

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4.3. COMPONENT C: Community Driven Non Structural Risk Reduction Measures _________________________________________________________________27

4.3.1. Detailed planning of selected non-structural risk reduction measures ________28

4.3.2. Implementation of non-structural disaster risk reduction projects ___________28

4.4. COMPONENT D: Partnership strengthening between communities and local government ____________________________________________________________28

4.4.1. Establish a monitoring and evaluation system___________________________28

4.4.2. Working with other Organizations / Agencies ___________________________29

5. Project Sustainability and Lessons Learned __________________________ 30

5.1. CBDRM is an Integrated Organized Response___________________________30

5.2. Capacity building and community organizing an essential task of community based risk reduction _____________________________________________________30

5.3. Prevention and mitigation must stress social rather than physical solutions ___31

5.4. Targeted Information dissemination and public awareness_________________31

5.5. Customizing assistance according to the varying needs within a community___32

5.6. Need to encourage community contribution _____________________________32

5.7. Timing and duration of community based mitigation and preparedness projects _ _________________________________________________________________32

5.8. Partnership with Communities _______________________________________33

5.9. Value of Coordination ______________________________________________33

5.10. Need for a coherent and articulated long-term vision, and overall model to guide long term programming _____________________________________________33

6. Annexes _______________________________________________________ 34

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1. Background

Vietnam is one of the most natural disaster-prone countries in the world. Because of the country’s geographic position and topography, Vietnam is regularly affected by typhoons, tropical storms, floods, drought, seawater intrusion, landslides, forest fires and occasionally earthquakes. Disasters triggered by typhoons and floods are by far the most frequent and severe. With around 70% of the population living in lowland areas in the Red River and Mekong deltas or along the 3,200 km coastline, these disasters result in human casualties, economic losses and environmental damage.

In recent years, natural disasters have become more damaging and complex, and apparently have increased in frequency and severity, causing vast losses in human life, property, socio-economic and cultural infrastructure as well as environmental degradation.

Natural disasters in the decade to 2004 claimed almost 6,000 lives in Vietnam, completely destroyed over 320,000 houses and around 9,000 boats and resulted in direct, material losses amounting to over US$ 2.5 billion. This amount corresponds roughly to 2.5 percent of the Gross Domestic Product (GDP) in the worst years. Actual economic losses however could be double this amount. Although Vietnam has experienced relatively fewer losses in the last five years, it should be borne in mind that the most common disasters in Vietnam – storms and floods – result from unpredictable changes in the climate.

Strengthening disaster management remains a priority of the Government’s development agenda. Vietnam has in the past given priority to laws and policies relating to the complex tasks of disaster mitigation and management and has instituted a structure for water-related disaster management: the Central Committee for Flood and Storm Control (CCFSC) and its subordinate provincial and local committees. The CCFSC is a cross ministerial agency that was established in 1990 to strengthen institutional coordination, especially in the area of emergency response and long-term reconstruction and recovery.

The Government has drafted the Second National Strategy for Disaster Management in Vietnam1. The revised strategy puts disaster preparedness and forecasting as its foremost objectives, shifting the focus from disaster response and relief. The strategy therefore recognizes the need for a more integrated, holistic approach to disaster risk management, linking into broader development and planning policy at national, regional, provincial and local levels. In particular, the strategy emphasizes disaster risk analysis and evaluation and the promotion of information sharing between all Government levels.

The evolving strategy for disaster risk management recognizes that while the continued focus on infrastructure work is important, it is not sufficient to meet all the goals of disaster reduction. Non-structural investments to establish a system for risk management are also essential, including improving the capacity for flood and storm modeling and forecasting, early warning and response systems. The institutional framework for implementing this new comprehensive approach to disaster management needs to be further developed and expanded to actively involve key agencies and stakeholders. This includes building capability for preparedness, involving communities in planning and implementing activities, and establishing processes and mechanisms for inter-sectoral approaches, bridging across central and provincial authorities and across central ministries. 1 Second National Strategy and Action Plan for Disaster Mitigation and Management in Vietnam, 2001 to 2020;

MARD, Central Committee for Flood and Storm Control, December 2001.

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2. The Project

The International Development Association (IDA) of World Bank (WB) approved a Credit No. 4114-VN to assist the Government of Vietnam implement the Natural Disaster Risk Management Project (NDRMP). NDRMP is the first phase of a 2-phase program, each of four years’ duration with one overlapping year (2006–10 and 2009–12).2 The Credit is being complemented by grants from (i) the Royal Netherlands Embassy (RNE); and (ii) the Government of Japan through the Japan Social Development Fund (JSDF) and Policy Human Resource Development (PHRD) capacity building program.3

The principal executing agency for NDRMP is the Ministry of Agriculture and Rural Development (MARD). MARD designated its Central Project Office (CPO) to manage project implementation.4 The Central Project Management Office (CPMO) has been set up as the dedicated unit within CPO to implement and coordinate NDRMP.

The Natural Disaster Risk Management Project (NDRMP) adopts an innovative approach to Disaster Risk Management in Vietnam and provides support for disaster prevention and mitigation measures at all levels of Government, including at community level where vulnerability is most significant. NDRMP aims to reduce the impact of natural hazards on Vietnam's development process.

The project has four components:

Component 1 – Prevention and Mitigation Investment which supports about seven priority prevention and mitigation medium and small-scale subprojects, including: (a) infrastructure subprojects, centering on construction and rehabilitation of flood and storm control infrastructure; and (b) non-infrastructure subprojects, focusing on upgrading flood and storm monitoring, modeling and prediction capabilities, and enhancing early warning and response systems.

Component 2 – Community-Based Disaster Risk Management which is entirely funded by grants, the CBDRM approach will be used to build the capacity of the most vulnerable populations to carry out risk mitigation measures. CBDRM will combine with the other components to reduce the vulnerability of hazard-prone communes.

Component 3 – Post-Disaster Reconstruction Support which supports a recurrent financing gap in public resources available to fund reconstruction costs associated with localized floods and storm hazards. This component will be implemented by the Ministry of Finance (MOF) and would operate to the extent possible in accordance with existing government procedures for allocation and disbursement of its State Contingency Budget.

Component 4 – Project Management and Institutional Strengthening which will develop a functional and efficient project management organization and strengthen government institutions to ensure better coordination and integration among the various agencies and different levels responsible for prevention, response and recovery.

NDRMP is being implemented in two overlapping phases, Phase I from 2006-2010 and Phase II from 2010-2015.

2 NDRMP covers about 12 provinces in the first phase and up to 17 provinces in the second phase (Thanh Hoa, Nghe An, Ha Tinh, Quang Binh,

Quang Tri, Thua Thien Hue, Quang Nam, Quang Ngai, Binh Dinh, Phu Yen, Khanh Hoa, Ninh Thuan, Binh Thuan, Long An, Dong Thap, Ben Tre, and An Giang). 3 The IDA credit in support of NDRMP was approved by IDA’s Board of Directors in September 2005. Together with co-financing provided by Japan, the credit became effective in May 2006. Co-financing provided by the Netherlands became effective in March 2007. 4 The Ministry of Finance (MOF) is the executing agency for Component 3 of NDRMP.

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The CBDRM component aims to strengthen the capacity of villages and communes and the disaster management institutions to become more responsive to the short and longer-term needs of the most vulnerable villages through participatory risk assessment and identification, prioritization and implementation of risk reduction measures. The project intends to help communes implement activities that deal with natural hazards through capacity development in participatory planning and management. Safer village and commune plans that focus on long term intervention and preparedness measures will be developed. The project will build on existing community based disaster management and risk reduction models, and will seek to empower flood-prone communes to prevent and reduce the impact of disasters and secure and protect their livelihoods.

The CBDRM component will directly support government efforts for sustainable development by helping reduce human, economic, and financial losses from disasters caused by nature in the target communes.

Year 1 of Phase 1 included implementation of CBDRM in 10-pilot communes which is funded by the Japan Social Development Fund5 and the identification of another 20 additional communes for project expansion. Year 2 of Phase 1 of the project will cover implementation in 20 communes with funding support from the Netherlands Trust Funds. (see table 1: Project Coverage)

2.1. Statement of Original Project Objectives

The overall purpose of the JSDF Grant are to assist the GoV to develop and test innovative approaches to community based disaster risk management (the Pilot CBDRM Program) in selected communes of Vietnam. These innovative approaches developed and tested under the JSDF Grant will be scaled up into a broader program to be implemented under the Natural Disaster Risk Management Project which would include up to seventeen of the most vulnerable provinces in the country6.

The CBDRM project specific objectives are the following:

• To reduce vulnerability of persons and assets in the identified disaster-prone communes to the impacts of natural hazards.

• To increase the capacity of the communes for decentralized and participatory planning in disaster risk assessment and management.

• To develop and implement risk reduction strategies appropriate to local hazards and conditions.

• To introduce the integration of disaster risk management strategies into local development planning and system

Based on the stated project objectives, the following outputs should be achieved during the pilot phase:

• Provincial, District, Commune and village level participants from selected areas trained in disaster risk assessment and analysis; prioritization, definition and implementation of locally appropriate disaster risk management measures;

• Safer Village and Commune Plans developed, utilized and updated.

• Community–driven disaster risk reduction measures implemented in all selected communes.

• CCCC organized and managing the CBDRM implementation

5 IDA approved JSDF funding for phase 1 of NDRMP Component 2 dated October 7, 2005 6 Section 1.1 of Annex 1, The World Bank grant approval letter dated October 7, 2005

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• Technical Support and services available to provide technical assistance to CCCC

• Commune Facilitators (CFs) recruited and trained to support village and commune planning and implementing risk reduction strategies in participating communes.

2.2. Project Components To achieve the project objectives and outputs, the CBDRM project identified the following component activities:

COMPONENT A: Community and local government capacity building

• Training CBDRM to villages, communes, district and provincial official

• Public awareness through public meetings, discussions and consultations

• The above activities is expected to produce safer village and commune plans, which includes structural and non structural disaster risk reduction measures

COMPONENT B: Community Driven Structural Risk Reduction Measures

• Taking off from the commune safer plans developed on the first part, detailed planning of the implementation of selected structural risk reduction measures will follow. These measures are intended to protect the lives and property of the people and to preserve their assets from harm and danger posed by natural hazards.

• Implementation of the structural risk reduction measures.

COMPONENT C: Community Driven Non Structural Risk Reduction Measures

• Non structural measures focus on changing attitudes, assumptions, perceptions and behaviors in relation to the threat of natural hazards – from a predominantly ‘reactive’ mindset based on ‘coping with the aftermath of disaster events’ to a more ‘proactive’ strategy of anticipating, planning and investing in order to reduce damages and risks to lives and livelihoods in disaster-prone areas. This change requires a significant investment in training, capacity-building, technical assistance and skills development to help communes analyze current disaster risks, vulnerabilities and capacities, and to develop forward looking risk-reduction plans and strategies.

COMPONENT D: Partnership strengthening between communities and local government

• This component would finance activities to support the local districts and communes to develop capacity to carry out CBDRM and to establish a monitoring and evaluation system to measure the effectiveness and impact of disaster mitigation activities.

The four components are interrelated and complementary to each other.

2.3. Project Coverage

2.3.1. Selected Communes and Provinces and Criteria used in the selection

The project areas were selected through a process designed during the project preparation period. Component 2 of the NDRMP was envisaged to cover 17 provinces from the north, central and southern provinces of Vietnam.

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Criteria used in the selection of at-risk communities are drawn out in the Project Appraisal Document. These include the following:

• Location of the Commune in one of the Provinces selected for the NDRMP project and, specifically, one of the 17 Provinces selected by the Steering Committee meeting of 3rd June, 2003;

• The Commune should face a demonstrated relatively high level of potential hazard and/or have a recorded history of high susceptibility to disasters, even within the selected Provinces;

• The Commune should be highly vulnerable to natural hazards, as a prime indicator. In addition, the level of poverty and adverse socio-economic impacts of disaster should be considered as secondary indicators ;

• Disaster mitigation measures should have the greatest impact.

• The Commune should have a clear relationship to either a Structural or Non-Structural Sub-Project selected for the project through a geographical and/or causative linkage, and/or it should form part of a logical grouping of Communes in the same situation, perhaps on a whole-of catchment area basis if appropriate; and

• Final selection will be dependent on a participatory process of consultation to verify that the Commune has a demonstrated commitment to the aims and activities of the project

Under Phase 1, the JSDF supported implementing CBDRM in 10 pilot communes in five districts in three provinces of Vietnam, specifically: Ben Tre, Ha Tinh and Thua Thien Hue.

Under NTF funding, the project will expand to seven (7) other provinces during year 2 of Phase 1 to cover 20 additional communes. One added consideration used for Phase 1 extension is that project areas selected should complement and are integrated with project areas where components 1, 3 & 4 of the NDRMP also operate.

The names of communes and provinces supported under JSDF funding are listed in table 1 below:

Table 1: Component 2 (JSDF) Selected Communes and Provinces

Area male female Total (Ha)

An Hiep 9 5,890 6,311 12,201 nda 2,516.00 An Hoa Tay 5 nda nda 10,682 2,046 1,752.10 An Duc 9 3,655 3,869 7,524 nda 1,232.60

3 23 9545 10180 30407 2046 5500.70Phong Chuong 9 3,492 4,266 7,758 nda 3,577.00 Phong Binh 13 3,367 4,114 7,481 nda 1,728.00 Quang Phuoc 8 3,720 3,961 7,681 11,715 1,260.47 Quang Loi 9 3,801 3,782 7,583 1,628 3,324.00

4 39 14380 16123 30503 13343 9,889.47 Duc La 4 nda nda 1,736 378 334.26 Duc Chau 5 nda nda 2,700 650 465.00

Huong Son Son Thinh 16 1,490 1,760 3,250 nda 510.00 3 25 1490 1760 7686 1028 1309.2610 87 25,415 28,063 68,596 16,417 16,699.43

Sub-total

Ben Tre Ba Tri

Sub-total

Project Areas

Sub-totalHa Tinh Duc Tho

PopulationProvinces District Communes

No. of Villages

Thua Thien Hue

Phong Dien

Quang Dien

TOTAL

No. of Households

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2.3.2. Description of beneficiaries

The CBDRM project is designed to raise the capacity of the village people (men and women headed households) and commune leaders to take responsibilities for the affairs that directly affect their safety. Small scale community driven disaster risk mitigation measures to be supported by the project are expected to reduce vulnerability of communities in the target provinces. Major benefits of this project relate to the improvement of capacity of communes to plan, invest and manage small-scale investments with long-term benefits for public as well as private economic efficiency.

In general, the project will benefit the following: village people living in hazard prone locations; farmers whose food security and productivity are constantly threatened by hazards such as flood, saline intrusion and long dry spells; women, who are concerned with their health and environmental sanitation in their villages; schoolchildren whose education is disrupted during flooding because they have no place to meet; small entrepreneurs whose small business are jeopardized by hazards; traders who are affected by low or non availability of agricultural products during disasters and the general public who depend on rural production.

2.4. Project Management and Implementation Structure

The implementation arrangement of the CBDRM project followed closely those agreed upon and in place for the IDA-supported Natural Disaster Risk Management Project (NDRMP).

Project Coordination and Management: The Central Project Office (CPO) under MARD was responsible for the supervision and project monitoring of the PPMUs. CPO was responsible for financial management.

Project management was based on a demand-driven decentralized structure granting the province (PPMU) and communes the highest-level decision-making power, ownership and responsibilities for the proposed disaster risk reduction measures.

The key features of the proposed organizational structure and functional responsibilities were:

Commune Level: The Commune CBDRM Coordinating Committee (CCCC) as the key institution at the commune level for population mobilization, demand identification, preparation of the Safer Commune Plans and implementation and supervision of subprojects. Representatives from the CCCC were involved in the selection of the contractors, evaluation and certification of the satisfactory completion of works.

CCCCs were formed in each project commune and was headed by a member of the Commune People’s Committee and included representatives from the mass organizations.

Community Facilitators (CF): full-time CFs were employed under the project to facilitate the CBDRM process in the villages and commune. These included preparation of the safer village and commune plans, subproject selection, implementation and monitoring of DRR measures. CFs worked together with the CCCCs and coordinate with the district, PPMU and other concerned parties. CFs were recruited at the start of the project and received CBDRM training. Each commune selected two (2) CFs each, one man and one woman facilitators.

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Provincial Level: A Provincial Project Management Unit (PPMU) were established in each project province by the Provincial People’s Committee. The major functions of the PPMUs included: overall project management and supervision in the province; support and supervision of the CFs; coordination with DARD and district technical units to provide assistance on the technical aspects of the safer commune plans; consolidation of the safer commune and investment plans; initiation and assurance of the fund flow and procurement planning process, provision of counterpart funds, monitoring and evaluation and reporting.

A PPMU was composed of a Project Director, Rural Engineer, Procurement Officer and a Finance Officer. The project financed transportation and field allowances of staff and office equipment. Each PPMU assigned a dedicated CBDRM focal point.

Central Level: MARD set up the Central Project Management Office (CPMO) within its Central Project Office. The CPMO was responsible for the overall project management, fund transfer, exchange of information and experiences between provinces, inter-departmental and inter-agency co-operation/coordination, capacity building and human resource development, monitoring and evaluation, financial auditing and reporting required by the World Bank and donors.

The CPMO comprised a Director, a Finance Officer/Accountant and an M&E Officer. M&E however, was later contracted out to a firm under NDRMP. The M&E person should visit project areas on rotational basis and closely interact with PPMUs, CCCCs, CFs and district staff to ensure smooth communications between CPMO and other implementing units over any project-related matters. CPMO appointed a dedicated CBDRM focal point, Mr. Nguyen Canh Tinh. CPMO recruited an international and local CBDRM consultant to advise and assist in the overall planning, M&E and capacity development activities.

Technical assistance and capacity building activities at the central, provincial, commune and village levels was provided by national and international Community Based Disaster Risk Management Advisors, contracted civil works consultants and contracted organizations such as the Vietnam Red Cross and NGOs. The district DARD technical also provided technical guidance at the commune levels.

3. Implementation

The Community Based Disaster Risk Management Project was implemented in stages. Each stage grew out of the preceding stage and lead to further action. (Annex 1: Project Workplan). The stages in the CBDRM project risk reduction process were:

A. Setting up Project Implementation Structures B. Community Participatory Risk Assessment C. Participatory Planning D. Community Managed Implementation E. Participatory Monitoring and Evaluation

3.1. Setting up Project Implementation Structures

The implementation of the project was framed for the Ministry of Agriculture and Rural Development (MARD) as the ministry responsible for CBDRM implementation. MARD and DARD at the Provincial level act as the Secretariats of the Flood and Storm Control Committees (FSCCs) at

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each level. MARD/DARD holds key responsibilities for flood and storm related disasters, as well as rural development activities. So the project was well placed in this ministry to coordinate such activities under its mandate.

At project start, the MARD established the necessary units as well as appointed and hired the required staff for the implementation of the project as discussed in section 1.10 Project Implementation Arrangements of the Project Implementation Manual (PIM). Terms of Reference were developed outlining the functions of each unit as well as the job descriptions of staff to be appointed or contracted under the project.

On October 9, 2006, MARD approved the project technical assistance investment thru Decision No. 2926/QD-BNN-DD, paving the way for the Central Project Office (CPO) of MARD to start implementation of the CBDRM project. As required by the project, CPO established the Central Project Management Office (CPMO) which was tasked to provide overall and day-to-day management of the project. A specialist from the CPO was also appointed person-in-charge for Component 2.

Provincial Project Management Units (PPMU) were also established in the three participating provinces. The Province People’s Committee (PPC) of Ha Tinh approved the establishment of the PPMU through Decision No. 2744/QD-UBND on November 30, 2006. PPC Hue established their PPMU thru Decision No. 2837/QD-UBND on December 15, 2006. PPC Ben Tre however decided to use the PPMU established for the Ba Tri Project under the NDRMP as its PPMU for component 2.

Commune CBDRM Coordination Committees (CCCC) were established at commune level after the PPMUs. Recruitment of Commune Facilitators (CF) was done by putting advertisements in the commune. Selection was done using CF recruitment criteria specified in the Project Implementation Manual. Commune Facilitator contracts were signed and mobilized beginning September 2007.

Technical Assistance

To ensure project objectives are met, project implementers needed to be provided knowledge and skills training to understand the project objectives, activities and procedures as well as to facilitate the project CBDRM process with communities.

The CBDRM component was provided funding to engage International and National CBDRM specialists to provide technical assistance to the project and CPMO. Applying WB and Government procurement procedures, CPMO initiated recruitment of the CBDRM specialists. On June 19, 2007, WB gave it’s no objection on the selection of the international and national advisers. The international adviser and national adviser were mobilized on August 3, 2007 and October 10, 2007 respectively.

Community Facilitators are responsible for organizing and facilitating safer and village and commune level planning process. Specifically they are in charge of the following: • Attendance training and other capacity building activities for

community facilitators • Providing initial training and capacity building to Communes

and village level. • Facilitating safer village planning process. • Facilitating and coordinating Safer Commune Planning

process. • Facilitating the identification of priority subprojects. • Dissemination of information about the CBDRM Project to the

commune and villages. • Assisting the CCCC in participating in the PPMU’s task of

bidding and appointing a contractor. • Working closely with the Communes in project

implementation and management and help their interactions and coordination with District, Province, Contractors and other parties involved.

• Drafting the monthly report. Helping the CCCC forward all the necessary documents to the provincial PPMU/CPMO, when necessary.

• Promoting equal participation of men and women in all the activities at the local level.

• Supporting Communes in project interventions to ensure bottom-up/participatory approaches.

• Each CF will be responsible for facilitating the above process up to two years in each assigned commune.

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The Project Implementation Manual

One of the first tasks undertaken by the CBDRM specialists was to review and update the Project Implementation Manual which was developed during the project design phase. The CBDRM specialists went through several drafts and discussions with CPMO and some NGOs on how to improve the manual. At the same time, the PIM was being implemented and tested during phase 1 of the CBDRM component. An updated version of the PIM was submitted to MARD and WB for approval on July 10, 2008. WB approved the PIM on August 19, 2008 and MARD on September 17, 2008. Vietnamese copies of the PIM were later provided to all participating provinces and project implementers.

The CBDRM Facilitator’s Guides

To assist Commune Facilitators in implementing CBDRM in villages and communes, CBDRM specialists assisted CPMO in developing two Facilitator’s Guides.

The first guide developed was the CBDRM Facilitator’s Guide. The Community Based Disaster Risk Management Facilitator’s Guide was written to support the Project Implementation Manual developed for component 2 of the NDRMP. The CBDRM Facilitator’s Guide was a tool to guide implementers, especially Commune Facilitators and local authorities in facilitating CBDRM training in communities under the Natural Disaster Risk Management Project.

The Project Implementation Manual outlines the key design elements and the steps in implementing CBDRM in the target areas. The Manual serves as framework and guideline for carrying out disaster risk reduction measures in disaster-prone communes in NDRMP target provinces in Vietnam and includes activities related to setting up of project management structure, capacity building, procurements and monitoring and evaluation.

The Facilitator’s Guide was primarily intended for project Commune Facilitator’s (CF) and members of Commune CBDRM Coordinating Committees (CCCC) who were directly responsible for implementing CBDRM in vulnerable communities. Commune Facilitators and members of the Coordinating Committees are responsible for organizing and facilitating the safer village and commune level disaster risk reduction planning process. The Guide provided CFs and CCCC members’ a tool in facilitating CBDRM training in communities.

Careful thought was done to ensure that information contained in the Facilitator’s Guide was relevant to support the Project Implementation Manual. Users of the Facilitator’s Guide should find the information useful in facilitating CBDRM with communities and for other purposes such as in developing curricula for CBDRM training.

The CBDRM Facilitator’s Guide was written in October 2007 and was subsequently translated in Vietnamese. Under the pilot JSDF funding, the Guide was distributed to local implementers for comments and suggestions, several pilot trainings were conducted as well to improve the guide.

An improved version was later made which draws lessons learned and practices from the pilot implementation under JSDF funding, personal experiences of the project team, commune facilitators, vulnerable communities, the CBDRM advisers and the team that prepared the CBDRM proposal.

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The Community Participatory Risk Assessment and Safer Commune Planning Guide

The Community Participatory Risk Assessment and Safer Commune Planning Facilitator’s Guide was also developed to support the Project Implementation Manual developed for component 2 of the NDRMP, particularly as a tool for STEP B (Community Participatory Assessment) and STEP C (Participatory Planning) of the CBDRM Project Implementation Process.

Likewise, the Guide is primarily intended for project Commune Facilitator’s (CF) and members of Commune CBDRM Coordinating Committees (CCCC) who are directly responsible for implementing CBDRM in vulnerable communities. Commune Facilitators and members of the Coordinating Committees are responsible for organizing and facilitating the safer village and commune level disaster risk reduction planning process. The Guide provides CFs and CCCC members’ a tool in facilitating risk assessment sessions with villagers and communes. As well as in developing Safer Village and Safer Commune Plans.

The Guide was written in July 2007 and was subsequently translated in Vietnamese. Under the pilot JSDF funding, the Guide was distributed to local implementers for comments and suggestions. Commune Facilitators and Commune CBDRM Coordination Committees piloted using the guide and developed their Safer Village and Safer Commune Plans. Feedback was then gathered to improve the guide.

Project Inception

A project orientation training-workshop was held from December 10-15, 2007 in Quang Ngai Province to provide basic information to participants about the project and CBDRM. Participants in the training-workshop included all PPMUs, DPC, CCCC and CFs in the three participating provinces. The training discussed basic disaster risk reduction concepts, the CBDRM process, CBDRM project background and implementation strategy. Trainers included CPMO, CBDRM specialists and the local Red Cross.

A visit cum study tour of the Quang Ngai Disaster Mitigation Project (QNDMP) was also part of the 5-day training-workshop to enable participants to see first hand, possible CBDRM activities that can be undertaken in their communes. Participants visited the Natural Disaster Mitigation and Management Center in Quang Ngai which was equipped with facilities for storm tracking and monitoring, flood modeling and radio communications for early warning. QNDMP staff provided participants with materials about the project and explained each of the centers’ facilities. Participants were very interested and inquired how the same facilities or system can be replicated in their provinces. Participants also visited several QNDMP assisted structural measures to mitigate natural disaster risks.

3.2. Community Participatory Risk Assessment

In CBDRM, the community and support agencies that support disaster risk management need to build a picture of the nature, needs and resources of the community. This step involves building rapport/trust with the community through integration and gathering basic information to build a general description and understanding of the community. Understanding a community is achieved through Community Participatory Risk Assessment (CPRA).

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Community Risk Assessment is a diagnostic process to determine known disaster risks against available resources in a community. Through the risk assessment process, the community comes to a common understanding and analysis of its disaster risks, the size of the problem as well as the resources and opportunities involved.

Community risk assessment combines both scientific and empirical data concerning known hazards and other possible threats to the community. The project CPRA has 3 main inter-related steps as follows:

Hazard Assessment: determines the likelihood of experiencing any natural or human-made hazard or threat in the community. Assessment covers the nature and behavior of each of the hazards to which the community is exposed to.

Vulnerability Assessment: identifies what elements are at risk and why they are at risk.

Capacities Assessment: identifies the people’s coping strategies; resources available for preparedness, mitigation and emergency response; who has access to and control over these resources.

Separate CPRA trainings were held in each province for Community Facilitators and local project implementers to equip them with the necessary skills and tools in facilitating community risk assessment in villages and communes. In undertaking CPRA, participatory risk assessment tools developed and explained in the Facilitator’s Guide were used to ensure everyone got involved. Draft SCPs already developed during project design phase were used and updated during the training. The training included various training methodologies to ensure participants fully understood the CPRA process and tools to be used under the project.

After the training, participants conducted several community meetings and risk assessment sessions with various sections of the community. The data requirements in the Safer Village and Safer Commune Plan formats were the basis of the questions asked during PRA sessions with communities. The PRA sessions with communities took several days and required community validation and updating.

Results of the CPRA in villages and communes became the basis of Safer Village and Commune Plans. CPMO and CBDRM specialists provided support to PPMU and CFs during this process. PRA sessions were done from the period December - February 2008

3.3. Participatory Planning

Based on the result of the CPRA, participants and communities identified both structural and non-structural disaster risk reduction and mitigation measures. This process involved community meetings where possible disaster risk reduction measures were identified and later prioritized. The outcomes in the CPRA and in the identification and prioritization process was reflected in the Safer Village (at the level of village) and Safer Commune (at the level of commune) Plan.

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Participatory tools were likewise used in undertaking participatory planning. This process is discussed in the CPRA-SCP Planning Facilitator’s Guide developed for the project. (Session on “identification and prioritization of DRR Measures”)

3.3.1. Development of Safer Village Plan and Safer Commune Plan

Safer Village Plans are essential parts of the Safer Commune Plan. Most of the risk reduction measures may only benefit several households in a village and villagers negotiate among themselves at this stage. Therefore it is essential that the villagers agree with the priority disaster risk reduction measures, even those that will not directly benefit from those measures. Village officials, with assistance from the CFs, were tasked to complete and write Safer Village Plans containing as much information required and using the Safer Village Plan (SVP) format.

Commune safer planning process required series of meetings with village representatives to formalize the plans’ overall objectives. The people, timetable, resources within and outside the commune needed to make the intent of the plan into reality were identified. Commune targets were also collectively identified.

Criteria Used for Structural and Non-structural Risk Reduction Measures

The CBDRM project identified a set of criteria on the types of projects that can be supported. These were categorized into Structural and Non-Structural Disaster Risk Reduction Measures.

Structural Risk Reduction Measures would cover small-scale infrastructure works serving the population of the ten communes which would clearly and directly reduce the risks associated with natural hazards. Non-structural risk reduction measures would cover training on disaster preparedness, emergency response and provisions of rescue and communications equipment to enable communities to respond to disasters. Disaster risk reduction measures/projects must be identified within the Safer Commune Plan, and after a ranking process with communities, should emerge as a clear priority for the Communes and Villages.

The following criteria were used in the selection of structural and non-structural sub-projects:

• Address basic needs of vulnerable communes and villages as identified in the CPRA

• Have direct impact on disaster mitigation

• Safer commune and village plan.

• Environmentally sound

• Will not make village more unsafe or more vulnerable.

• Benefits a large number of the population

• Complements other projects

• Highly agreed by community

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• Ensure women’s direct participation and provides benefit to women and children

• Support long-term socio-economic benefit of the commune and village.

• Follow government plan (integrated with government plan)

To guide communes in selecting the type of project to implement, the project devised a “menu” of eligible disaster risk reduction measures. This is contained in the Project Implementation Manual.

3.3.2. Commune Investment Plans

Based on the budget allocated for each commune and province, the priority measures agreed by communities were later written into investment plans. CCCCs, with assistance from the CFs wrote the Investment Plans containing as much information required and using the Safer Commune Plan (SCP) format and Investment Plan format.

Safer Commune Plans containing the Investment Plans were then submitted to the PPMU for appraisal and approval. CPMO and CBDRM specialists validated the proposed measures thru field visits and meetings with the CCCC, CF and PPMUs. Upon approval, PPMU initiated the procurement of consultants to assist the CCCC in the technical design, particularly the structural DRR measures. Likewise, procurement of equipment for non-structural measures was also initiated during this stage. At the same time, operation and maintenance plans were also discussed and agreed with communities. (See Annex 2: List of Structural Disaster Risk Reduction Measures)

3.3.3. Technical Assistance to Communities and PPMU

The project provided funding to procure technical consultants to help communes in the design of their structural measures. Each province was allocated US$ 22,000 to procure civil works design consultants to assist the CCCC and the CFs in the technical aspects of their Safer Commune Plans (i.e. technical design for structural measures like farm to market roads, evacuation center buildings, schools, etc). Following project agreed procurement method, Terms of Reference was developed by CBDRM specialists and CPMO to guide PPMUs in the procurement. Consultants were contracted by PPMUs of Ben Tre, Thua Thien Hue and Ha Tinh on April 2008, May 2008 and March 2008 respectively. And by end of May 2008, all technical designs have been submitted to PPMUs.

Where necessary, the local Natural Resources and Environment office provided assistance to ensure structural projects would not adversely affect the environment or harm cultural sites. However, since all projects were small-scale, Environmental Impact Assessment (EIA) was not necessary.

Also part of the planning stage is the procurement of civil works contractors who will do actual construction and the procurement of the non-structural items. Upon completion and approval of all technical requirements for structural and non-structural measures, the PPMUs proceeded with the bidding and award procedures for the construction of structural measures as well as procurement and distribution of non-structural items. Procurement followed the project agreed procurement plan as well as World Bank guidelines.

3.4. Community Managed Implementation

3.4.1. Structural Measures

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Construction of civil works started in November 2008 to March 2009. Due to the very technical nature of the packages, monitoring for compliance was done by the PPMU and the District Authorities. From time to time, PPMU and District Authorities would visit the construction sites to ascertain that technical designs are being followed by the contractors. Local authorities made sure that the construction did not have adverse effects on the environment, as well as damage historical or religious sites and artifacts.

Where needed, contractors recruited the services of local people for labor and other services. The construction activities provided short-term benefits for the local people.

3.4.2. Non-Structural Measures

Non-structural measures were of two types under the project. These consisted of equipment for disaster preparedness and response and capacity building.

Disaster Response & Preparedness Equipment

Communities identified access and lack of evacuation facilities as one of the major problems they encounter during floods. Local officials likewise lament the lack of equipment for them to provide early warning and when needed, rescue stranded persons or evacuate people from flooded houses and areas.

During the planning stage, communities and local officials were encouraged to make sure that both non-structural and structural measures complemented each other. Roads needed for evacuation were supported by boats and loud speaker systems to inform the people before and during evacuation. Through series of meetings and discussions, most communes and villages identified search and rescue equipment, public awareness and early warning equipment as well as office furniture and equipment for the evacuation centers, schools and the village / commune office cum emergency operations center.

Operation and Maintenance (O&M) procedures were also discussed and agreed during the planning stage. The O&M procedures were later reviewed during the distribution and community trainings that followed. The search and rescue and communications equipment were distributed to key locations and officials in the various parts of the commune and village. Example are boats stationed at the commune center, village center and isolated sections of the village or commune. The distribution mechanism was discussed during the planning and implementation stage.

Community Trainings

At this stage of the project, further strengthening of the CCCC was necessary to ensure disaster preparedness or contingency plans included in the Safer Village and Safer Commune Plans are effectively implemented when activated.

To review and further detail the contingency plans already developed, community trainings provided under the project included training and formulation of specific Disaster Preparedness Plans. These included development of evacuation plans during floods, early warning, and search and rescue. The trainings also included topics on the use/operation and maintenance of the non-structural measures (equipment) provided to each village and commune. Communities and

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CCCC discussed and agreed on the operation and maintenance procedures to be used regarding the equipment provided. The trainings were facilitated by the PPMU, CFs, local Red Cross and where needed, the DPC and CCCC.

Terms of Reference were developed and approved by PPMU for the trainings. CPMO and the CBDRM specialists provided support in designing the trainings.

3.5. Participatory Monitoring and Evaluation

Evaluation is concerned with the impact of the risk reduction measures in terms of reducing the vulnerability situation of the community. If vulnerability has not been significantly reduced, the reasons for this are analyzed. The significance of building on existing capacities and those which have been actually increased are also analyzed. However, because the disaster risk reduction measures have only been completed in March 2009, impact of the project still cannot be measured. Evaluation will have to be done together with the whole NDRMP end of project evaluation scheduled by June 2010.

Project monitoring activities were done through visits and ocular inspection of the subproject. Results of the monitoring visits are documented and recorded to facilitate management and supervision and to generate progress reports. Several monitoring visits were conducted by the CPMO

An overall Monitoring & Evaluation Framework for the Natural Disaster Risk Management Project has been developed by M&E consultants in July 7, 2008. The framework is consistent with the Project Appraisal Document and the PIM and completes the documentation needed to guide CPMO in planning and implementing its monitoring and evaluation activities for the Project. The above M&E framework requires the use of the Aligned Monitoring Tool (AMT), as also required by Decree 131/2006/Nð-CP. Reports generated at village and commune level should feed into the AMT.

The NDRMP provides funding to engage an independent M&E person/agency. The same person/agency will evaluate the impact of the project at the time of mid-term evaluation and after project implementation. The evaluation will also cover component 2.

For Component 2, the project designed a simple monitoring system to capture the development in the implementation of the project. The M&E system took note of community participation, adherence to policies and contracts/agreements and quality of the delivery of sub projects. Simple formats were devised for CFs and the CCCC to accomplish and submit to the PPMU. PPMU also likewise provided CPMO updates on the implementation of the project in their respective provinces.

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4. Project Outcomes

4.1. COMPONENT A: Community and local government capacity building

4.1.1. Training CBDRM to villages, communes, district and provincial official

The effectively implement component 2 and CBDRM in villages and communities, project implementers from the Province, district, commune and villages, especially the Commune Facilitators and the members of the CCCC, were provided several trainings (see table below).

Table 3: Summary of Trainings for Project Implementers

No. of Participants Title of Training Date(s)

Description of Training Participants

Male Female TOTAL

Project Inception 11-15

Dec, 2007

• Project orientation and basic understanding of CBDRM

• Study tour of QNDMP

PPMUs, DPC, CCCC, CFs,

38 24 62

PDRA - SCP Training - Workshop

(Ha Tinh)

27-29 Feb, 2008

• Training of Trainers on Community Risk Assessment and SCP planning

Ha Tinh PPMU, DPC, CCCC, CFs and local

Red Cross

35 28 58


(Ben Tre)

19-22 Mar. 2008


Ben Tre PPMU, DPC, CCCC, CFs and local

Red Cross

29 26 55


(T.T. Hue)

2-5 Apr. 2008


T.T. Hue PPMU, DPC, CCCC, CFs &

local Red Cross

42 32 72

To support project implementers in implementing CBDRM in communities, Facilitator’s Guides were developed and distributed. The “CBDRM Facilitator’s Guide” provides step-by-step guideline for facilitators on how to orient villagers about CBDRM and things they can do before, during and after disasters. On the other hand, the “Community Participatory Risk Assessment & Safer Commune Planning Guide guides implementers on how to facilitate risk assessment with communities and how to accomplish their safer village and safer commune plans.

Visual aids, PowerPoint presentations and other reference materials to be used during the sessions were also developed are also distributed to project implementers. All materials are both in English and Vietnamese language. The Project Implementation Manual and the two Facilitator’s Guides have been approved by MARD. The guides however are currently being reviewed by the Disaster Management Center as part of the government’s efforts to standardize CBDRM materials in Vietnam.

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4.1.2. Public awareness through public meetings, discussions and consultations

Included in the Investment and Safer Village/Commune Plans are community trainings and public awareness activities. Ben Tre and Ha Tinh were provided US$ 20,000 each while Thua Thien Hue was allocated US$ 23,000 for community awareness activities.

The CBDRM trainings and Facilitator’s Guide provided to project implementers were customized by each province to suit the needs of their villages and communes. With assistance from the local Red Cross trainers, community trainings provided included training and formulation of specific Disaster Preparedness Plans which included development of evacuation plans during floods, early warning, and search and rescue. (Annex 3: Typical Public Awareness / Community Training Outline)

The participants of the training included various sections of the village. Trainings were customized for leaders from the Village, Commune and Mass Organizations. Training was also given to school teachers and school officials. Training and awareness was also conducted specifically for students.

Specialized training was given to organizations providing health and search and rescue services. The non-structural measures and equipment provided for each village and commune complemented the training content (see side box). Search and Rescue training was supported with provisions of search and rescue equipment such as flotation devises like life vests and boats.

Public Awareness sessions were also conducted for the general public which included women, the elderly, disabled as well as farmers and workers. Informational materials already produced by the Red Cross were used during the public awareness activities.

Lesson 6: Disaster Preparedness Skills

Search and Rescue

• Lesson objectives • Main principles of search and rescue • Tool & equipment in search and rescue • Operation and maintenance of equipment

- Formulation of guidelines on the use of equipment

• First Aid • Practical skill in First aid

Information and reporting

• Lesson objectives • Reports on natural disasters

- Express report - Report on situation of natural disaster

• Exercises on reporting forms

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Table 4: Summary of Community Trainings

No. of Participants Title of Training / Activity Date(s) Participants

Male Female TOTAL

Ben Tre May, June and

July, 2008

Training for key staffs of communes and villages

1 class in each commune 2 days

key staffs of commune authority, police and military forces and social organizations: Youth Union, Women’s Association, War Veteran Association, Fatherland Front, village

financial, cultural staff, village head, head of cooperative and relevant staffs

Training for vulnerable people

1 class in each commune 02 days poor households, single women, old people and the disabled

Training on communication for natural disaster prevention and protection

An Duc commune: 2 classes; An Hiep commune: 2 classes; An Hoa Tây commune: 1 class)

02 days Staffs of commune administration and social organizations; key staff of villages and

volunteer force of commune

Training for teachers and primary school pupils

1 class in An Duc, 2 classes in An Hiep and 1 class in An Hoa Tay communes

In addition, head teachers will train their pupils, duration 01 day

02 days

school headmaster, head of pioneer brigade, head teachers and some pupil representatives

Ha Tinh May, June and

July, 2008

Training for key staffs of communes and villages

1 class in each commune

02 days. key staffs of commune authority and social organizations: Youth Union, Women’s Association, War Veteran Association, Fatherland Front, village financial, cultural staff,

village head, head of cooperative and relevant staffs



02 days. poor households, single women, old people and the disabled

Training on communication for natural disaster prevention and protection


02 days. Staffs of community administration and social organizations; key staff of villages and

volunteer force of commune

Training for teachers and primary school pupils


Head teachers will train their pupils, duration 01 day

02 days

School headmaster, head of pioneer brigade, head teachers and some pupil representatives.

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Title of Training / Activity Date(s) Participants

Thua Thien Hue May, June and

July, 2008

Training for teachers of primary schools

Organize 04 classes, 1 for each commune

1 day School headmaster, head of pioneer brigade, head teachers.

Training for staffs of commune and village authorities and social organizations


02 days Key staffs of commune authority and social organizations: Youth Union, Women’s Association, War Veteran Association, Fatherland Front, village financial, cultural staff,

village head, head of cooperative and relevant staffs

Training for volunteer youth, arm and healthcare forces


04 days volunteer youth, arm and healthcare forces in communes


25 classes established

01 day poor households, single women, old and the disabled

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4.1.3. Safer Village and Commune Plans Developed / Produced

Phase 1 under JSDF funding covers 10 communes in Ha Tinh, Thua Thien Hue and Ben Tre provinces. The 10 communes cover around 87 villages which are supposed to develop and complete their Safer Village Plan and benefit from the project.

During the project design phase (2006), draft Safer Village and Safer Commune Plans for a number villages and communes were developed with the assistance of the design consultants. These however needed further validation and updating with communities once the project started in July 2007. After the approval of the Project Implementation Manual and the conduct of the CBDRM trainings and Training of Trainers, commune facilitators held series of meetings and discussions with communities and local organizations to update the draft SVPs and SCPs. In some SCPs, the CCCC further improved evacuation plans which were already in place before the project started. In some however, new plans were developed. The community meetings and updating started in December 2007 and finished by March 2008.

The SVPs and SCPs which contained the investments plans were submitted to the PPMU for appraisal and review. These were later revised and approved by the PPMU. By April 2008, all the 10 target communes under the JSDF have updated and completed their Safer Commune Plans. The Safer Commune Plans included Safer Village Plans of benefitting villages under the project.

4.2. COMPONENT B: Community Driven Structural Risk Reduction Measures 4.2.1. Detailed planning of selected structural risk reduction measures

Once the SCPs of communes were approved by PPMU, detailed planning of the implementation of selected structural risk reduction measures followed. Using project agreed and World Bank procurement guidelines, each PPMUs selected a civil works design consultant to assist CCCCs in the technical design of the structural measures. Terms of Reference was developed by CBDRM specialists and CPMO to guide PPMUs in the selection and contracting process.

The procurement of design consultants started in January 2008 and finished in March 2008. By July, all technical designs have been completed and submitted to PPMUs. (Sample proposals are shown in side box).

After approval of technical designs, Request for Proposals were sent out to select the company to construct the infrastructure projects. The project specified that contractors will be selected using the National Competitive Bidding (NCB) process. Initially, there was difficulty in the procurement because the approved project procurement plan specified only one contract package for each province. Provinces had difficulty procuring contractors because some communes (i.e. projects) were located in difficult locations or were several kilometers apart. After appeal and negotiations with CPO and World Bank, contract packages were broken down into smaller packages for each commune.

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With no objection from the World Bank, Civil Works contractors were finally contracted on October 2008 and finish on March 2009 for Ben Tre, Thua Thien Hue and Ha Tinh respectively.

4.2.2. Implementation of structural disaster risk reduction projects

Construction of Civil Works packages started in January 2009. Annex 2 shows the final lists of structural risk reduction project packages identified by communes and approved by PPMU and World Bank.

During the risk assessment sessions with communities and local leaders, many people complained about the difficulty of evacuating their families and animals to higher ground for safety. Thus, most of the civil works projects undertaken were evacuation road cum farm-to-market road, bridges and sluice gates and storm evacuation centers.

Actual impact of these infrastructure projects will not be determined until the 2009 flood season. However, communities and the CCCC are already confident the project will have a positive impact to the commune. Example is in Duc Chao commune in Ha Tinh where the local school is often made inaccessible because it is cut-off from from the main road because of flash floods coming the hillside. The CCCC identified to upgrade and construct the commune road that links the school with the main commune road. School children, the CCCC and villagers mention that the project have greatly reduced the risk, come the flood season of 2009. Also, the road which was further complemented with boats, rescue equipment and other non-structural measures also provided under the project (under Component C), the CCCC and the community is now better prepared to respond to emergencies and disasters.

As mentioned above, direct impact will have to be measured come the flood season of 2009, however, residual effects have already been noticed and expressed by communties. During monitoring visits conducted during project implementation, the CCCC and the people mentioned about the benefits because of better access created by the roads. Villagers likewise mention about some families benefitting when they were hired for some work during the construction of the projects.

Contruction of the civil works packages started in October 2008 and by end of March 2009, have all been completed.

4.3. COMPONENT C: Community Driven Non Structural Risk Reduction Measures

A road in An Duc commune linking with the Government funded. Civil Works projects funded under JSDF are

part of the overall development plan of the Province

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4.3.1. Detailed planning of selected non-structural risk reduction measures

Detailed planning of non-structural measures was done simultaneously with planning for structural measures. Ha Tinh and Ben Tre were allocated US$ 62,000 each while Thua Thuen Hue had a budget of US$ 81,000 for procurement of non-structural measures. These were broken down into 3 contract packages for each province. But, similar to what happened with the structural measures, these were further broken down into two smaller contract packages. One package for office equipment and another package for search and rescue and other equipment.

Non-structural measures identified during the CPRA and planning sessions consisted of search and rescue equipment, equipment for early warning and public awareness and office equipment for CCCC and village offices. CCCCs were encouraged to link identified structural risk reduction measures with non-structural measures for maximum benefit of the project. Thus, where access and evacuation was the problem being addressed, the CCCC and communities identified evacuation roads or storm safe houses/centers for the structural works and search and rescue, floatation devises and early warning equipment for the non-structural measures.

Annex 4 shows the list of non-structural measures provided to communes and villages. Most of these however are:

� Boats

� Lifevests

� Loud speaker system

� Flashlights

� Generators

� Megaphones

� Notice boards

� Engine saws

� Road indicators

� Telephone units

4.3.2. Implementation of non-structural disaster risk reduction projects

Procurement of non-structural items started in September 2008. Contracting for the supply of the equipment was completed in October 2008 for the three provinces and delivery of the equipment to villages and communes was completed by November 2008.

After delivery of the items, the CCCC and the CFs discussed and reviewed with communities the operation and maintenance procedures initially developed during the Safer Village and Safer Commune Planning stage of the project.

4.4. COMPONENT D: Partnership strengthening between communities and local

government

4.4.1. Establish a monitoring and evaluation system

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An overall Monitoring & Evaluation Framework for the Natural Disaster Risk Management Project was developed by M&E consultants in July 7, 2008. The above M&E framework required the use of the Aligned Monitoring Tool (AMT) as required by Decree 131/2006/Nð-CP. Reports generated at village and commune level should feed into the AMT.

For Component 2, the project designed a simple monitoring system to capture the development in the implementation of the project. The M&E system took note of community participation, adherence to policies and contracts/agreements and quality of the delivery of sub projects. Simple formats were devised for CFs and the CCCC to accomplish and submit to the PPMU. PPMU also likewise provided CPMO updates on the implementation of the project in their respective provinces.

Project monitoring activities were done through visits and ocular inspection of the project. Results of the monitoring visits were documented and recorded to facilitate management and supervision and to generate progress reports. Several monitoring visits were conducted by the CPMO with the CBDRM specialists.

An end of project evaluation is included in the overall program of the NDRMP. Evaluation of component 2, including the JSDF funded phase 1 will be inlcuded in the above evaluation.

4.4.2. Working with other Organizations / Agencies

The are many organizations also providing disaster risk reduction services in Vietnam. In the target communes and provinces, one of the most active is the Vietnam Red Cross. The VRC has a network of local offices and volunteers who provide training and emergency services to disaster affected communities in Vietnam. The Project tapped into the expertise of Red Cross to provide training to local communities under the project. Discussions were done between PPMUs and the Red Cross to customize existing VRC training modules to CBDRM project design and community needs. In the various trainings and workshop conducted by the project at various levels (i.e. training for project implementers at CPMO, PPMU, DPC, CCCC levels and village and community trainings), Red Cross staff and volunteers were always invited to be resource persons on certain training/course topics.

The Project also collaborated with some NGO staffs and the Disaster Management Center of MARD to review and improve the Project Implementation Manual, CBDRM Facilitator’s Guide and the CPRA-SCP Planning Facilitator’s Guide. Copies of the Manual and Guides were furnished to selected persons and comments were taken to improve the Manual and Guides.

CBDRM is now widely practiced in Vietnam as being one of the most effective approaches at reducing vulnerability of communities and individuals. CBDRM has become a part of the Goverment of Vietnams’ National Strategy National Strategy for Natural Disaster Prevention Response and Mitigation. In recognition of its importance to overall national development, the Ministry of Agriculture and Rural Development (MARD) and the Central Committee for Flood and Storm Control (CCFSC) has prepared a proposal for a large-scale Government run CBDRM program that would commence in 2009 and cover more about 10,000 communes. This project

Mr. Nghia from Ben Tre Red Cross providing tips on facilitation to

CBDRM Training participants

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proposal is currently being reviewed by MARD leaders and will be submitted to donors very soon.

To support the above program, MARD tasked the Disaster Management Center under the Dyke Department to standardize CBDRM training and materials being used in the country. This involves working with NGOs and various organizations to gather, review and draw common materials on CBDRM.

The project specifically collaborated with the DMC to review and update the project implementation manual, facilitator’s guide and training materials. These outputs will form part of CBDRM materials of the Goverment for its broader CBDRM program in Vietnam.

5. Project Sustainability and Lessons Learned

The JSDF funded pilot CBDRM project had a project timeframe7 of one (1) year from July 2007 - June 2008. However, because of late project start and other delays, MARD requested a project extension on June 25, 2008. The WB agreed to the extension and project end date was moved to March 31, 2009.

The following are the lessons learned and constraints encountered in implementing the pilot CBDRM project under the NDRMP and JSDF funding. These are summarized into several aspects. The lessons are taken from project reports and experiences from CPMO staff, CBDRM specialists, PPMUs, CCCCs and commune facilitators and interviews with local residents.

5.1. CBDRM is an Integrated Organized Response

Organized communities can better launch disaster risk reduction with functional organizations. They can better study their situation, plan their moves and maximize their scarce resources. The extent, cohesiveness and sustainability of disaster risk reduction is anchored on the level of development of the organization of the people doing CBDRM.

All stakeholders including each individual, family, organization, government units at various levels, NGOs and service organizations, with or without (direct) programmes on disaster risk reduction have a stake on disaster risk reduction. Because disasters affect the whole community, each person and organization has role to play before, during and after disasters.

Every community is a complex integral whole. Every aspect of community life is closely interlinked with the other aspects. Socio-economic projects, education and training are important components to develop the people’s initiative. However, these must be developed within a broader understanding of the community. Erosion in one aspect can nullify the progress in another. This is the best argument for an integrated, comprehensive approach to disaster risk management and community development. But even if one chooses to concentrate on one aspect, the other aspects cannot be totally neglected or disregarded. The intervention in the chosen aspect must still be addressed within a comprehensive framework.

5.2. Capacity building and community organizing, an essential task of community

based disaster risk reduction

7 Annex to the Grant Agreement dated October 7, 2005 between the Government of Vietnam and the IDA-WB

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Organizing communities is not enough, building their capacities and their organizations is a requisite of CBDRM.

Members of the Commune CBDRM Coordination Committee and Commune People’s Committee mentioned that the trainings provided on disaster preparedness and risk reduction have been effective in increasing awareness and response of community members and officials. During the WB visit on September 23, 2008, members of the An Hoa Tay commune mentioned they were able to respond better to a “tornado” that hit their commune in May, 2008. Disaster Preparedness Trainings conducted with the local Red Cross, which combined building awareness of the community members, enabled officials and community members to evolved preparedness and mitigation measures that reduced the disaster risks.

However, the capacity and motivation of local leaders is highly variable, increasing the challenge for trainers and facilitators. Training curricula need to be appropriately customized, and above all made simple and relevant. Trainings need to be followed up immediately with practical training-related activities, otherwise much of the new knowledge is lost. Disaster preparedness skills learned during trainings need to be translated into concrete actions and steps that can be operationalized in times of emergency.

Capacity building takes time. Overstretching their capability will eventually cause a snap. The best option is to continuously develop the people’s capability to address disasters. As they learn from their experience and strengthen themselves, they become better able to expand and scale-up their responses.

5.3. Prevention and mitigation must stress social rather than physical solutions

It is more cost effective in the long run to prepare a community than to organize massive relief distribution or construct massive civil works projects.

Villagers, CFs, local authorities and PCs all tend to view DRR in terms of the possible “micro-projects” (i.e. small-scale infrastructure achieved through external assistance) rather than broader DRR. Villagers, local authorities and PCs instinctively look for structural rather than non-structural solutions.

During visits in communities, communities noted that it was the community disaster preparedness trainings that provided local officials and communities the knowledge and skills in responding to disasters. Safer Village and Commune Plans contained contingency plans or details of activities to do in case of floods or disasters. Local officials identified early warning activities, evacuation sites and established response teams that can be activated and mobilized during disasters. Investing in community organizing is more cost-efficient and effective than constructing roads and buildings which are sub-standard or ill equipped because of budget and technical constraints.

5.4. Targeted Information dissemination and public awareness

Public awareness about disaster risks and possible measures of reducing impact of disasters on their livelihoods and lives is essential. Public information and awareness materials should be developed to inform large sections of the community. Community meetings and mobile propaganda teams are useful, but they should be complemented with reading materials that can be distributed and read by communities and families.

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Early warning, public information or loudspeaker systems should also make sure that accurate information is provided at the right time to avoid confusion and warning fatigue. Providing scientific or technical information is good, but public information should also focus on actions that the communities may need to do. (E.g. information about flood levels should be accompanied with what actions communities should do in case flood waters starts to exceed warning levels).

5.5. Customizing assistance according to the varying needs within a community

Communities in Vietnam have varying economic and social conditions. A village or commune will have any of the following people and families: poor/destitute, middle income and well off households, women or elderly headed households, households with disabled family members, households socially discriminated against or socially influential households. Thus, various communities, families and individuals will have varying degrees of vulnerabilities and needs.

Most of the sub-grants identified by communes were projects benefitting whole villages and communes. There were a number of projects that built flood or storm Evacuation Centres. However, to build an evacuation centre that will be used only 3-4 times a year during storm occurrences might not be cost-effective. Instead of this, commune officials and communities should instead provide the resources to individual households to strengthen or retrofit their houses against floods and storms. Maybe then during emergencies, there will no longer be a need to evacuate.

Given the resources available, household level disaster risk reduction measures should be highly considered instead of bigger (and even small-scale) structural or infrastructure projects.

5.6. Need to encourage community contribution

Communities have been surviving disasters for centuries using their own initiative and limited resources. External support should support these initiatives and promote communities to contribute to the undertaking.

There is danger when activities and grants are provided to purchase rescue and information equipment as well as funding to conduct training activities. During discussions with some communities, there was indication of a growing dependence on external support for preparedness and mitigation activities which communities should be doing and are very much capable of doing so without external support. During community visits, it was common to see community roads, water supply hand pumps and public buildings in a state of disrepair. Communities can maintain or repair these facilities if they only contribute labour and some cash.

5.7. Timing and duration of community based

mitigation and preparedness projects

The annual flood season is an exceptionally busy time for the government and the community due to flooding in communities. Also, the same season coincides with the annual cropping season.

Project delays affected overall project implementation (e.g. procurement of technical

Farmers in Duc La Commune planting their spring crops. The Project needs to consider village economic activities during project implementation.

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assistance and procurement of goods and services). It is important that community activities and projects consider time and availability of community members in project activities, especially the poorer people who often live in the village fringes (thus have to walk several kilometers) and do not have the luxury of time to attend long meetings.

5.8. Partnership with Communities

Community Based Disaster Risk Management can be best pursued when done in collaboration between those who are affected, the Government and other support institutions like mass organizations and NGOs. The rebuilding process is not solely the role of Government and support organizations. With affected individuals and communities as the primary force in the development process, congruent efforts both from the vulnerable and less vulnerable sectors must be carried out on parallel levels towards vulnerability reduction.

Capacity building and organizing requires a direct link with communities who, with their community based concerns could give direction to disaster risk reduction responses. Evaluations and reports have highlighted the need to move away from “token” participation from communities to a more genuine “participatory approach” to development. The project has adopted a strategy where communities themselves develop and agree on processes that would be employed in the project. While the approach can be further improved, it has received favourable comments and support from communities which will ensure community ownership, minimise complaints, and will provide a good exit strategy for project sustainability.

5.9. Value of Coordination

Community Based Disaster Risk Management, especially appreciation of the approach by Government, only started in Vietnam in recent years. Previous disaster response has only been mostly relief and emergency response during typhoon and flood disasters.

Until recently, the Government has not endeavored on coordinating and standardizing CBDRM practice and theory in Vietnam. NGOs likewise have only started to re-focus their responses from relief to disaster risk reduction. Thus, capacity in CBDRM is still at formative years. Building and shifting staff, enhancing government and community capacities from relief to disaster risk reduction; from one-off responses to a coordinated (inter-ministerial and inter-NGO) response needs more time and investment.

The project and the whole NDRMP recognizes the importance of coordination and networking as it covers a big area and programme. The CPMO and the Government can only provide as much input to the project. Recognizing the complexity of the area where the project operates, collaborating with other organizations is essential. Development of a network implies wider reach and people who recognize the deeper issues which renders communities vulnerable to disaster events

5.10. Need for a coherent and articulated long-term vision, and overall model to guide

long term programming

There is no specific structure for DRR (CBDRM) at lower levels from the commune in Vietnam. Flood & Storm Control Committees are established at commune levels but at village and ward levels, local officials are very much flexible on establishing organizations or units that respond to disasters. DRR activities are carried out mostly one or two mass organizations tasked by the Commune

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People’s Committee or through ad hoc project based project implementation units established by NGOs.

The resulting lack of organization and leadership contributes to weaker delivery of DRR and project activities and low levels of initiative and action in regards to non-project (externally) supported activities.

On the other hand, Community based disaster risk management is typically considered as a function of NGOs, which interact directly with the community in collaboration with mass organizations, the local red cross or local People’s committees. The government has been very much supportive of NGO activities. However, such community based approaches and successes need to be integrated within local government functions and capacity of local officials strengthened suitably to implement these activities.

There already exist, at the local level, formal processes of seeking funding for functions at the district/commune/village level, which may be tapped by local government for community based disaster risk reduction initiatives. There is also a need to formally link DRR with the government development planning processes.

6. Annexes Annex 1: Project workplan Annex 2: List of Structural Disaster Risk Reduction Measures Annex 3: Typical Public Awareness / Community Training Outline Annex 4: List of Non-Structural Disaster Risk Reduction Measures

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Annex 1:

PROJECT WORKPLAN

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ANNEX 2

List Of Structural Disaster Risk Reduction Measures

TT Hạng mục công trình Giá trị hợp ñồng (VNð) I Tỉnh Hà T ĩnh 1

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ANNEX 3

Typical Public Awareness / Community Training Outline

General Contents of training course:

Lesson 1: Disaster risk – hazards and climate chang es • Lesson objectives • Definitions: - Disaster risks - Disaster hazards • Difference between disaster risks and hazards • Main disaster risks in Vietnam • Disaster risks management models:

- Disaster risks management cycle - Converging model

• Concrete disaster risks: - Tropical low pressure, typhoon - Flood - Other disaster risks

• Climate changes: - Definition: Climate changes & green house emission - Impacts of Climate changes

Lesson 2: Community based disaster risk assessment • Lesson objectives • Definitions :

- Risks in hazard - Vulnerability - Possibility

• Relationship between definitions • Risk assessment in hazard

- Definitions - Assessment purpose - Contents need to be assessed:

o Hazard assessment o Vulnerability assessment o Possibility assessment

• Tools applied in risk assessment

Lesson 3: Community based disaster risk management • Lesson objectives • Introduction • Definitions :

- Community - Community based disaster risk management

• Purposes of community based disaster risk management • Benefits of community based disaster risk management • Natures of Community based disaster risk management • Characteristics of Community based disaster risk management (6 main characteristics) • Implementation steps of community based disaster risk management

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Lesson 4: Community based disaster risk mitigation measures • Lesson objectives • Introduction • Definitions : • Determination of community based disaster risk mitigation measures • Groups of community based disaster risk mitigation measures

- Structural measures o Structural planning measures o Economic measures o Technical measures

- Non-structural measures (measures in community) o Improvement of community’s knowledge for disaster risk control o Some examples on disaster risk control and mitigation measures

Lesson 5: Presentation of safer community and vill age plan • Lesson objectives • Background and Important significance of plan formulation • Main contents of the safer community, village plan

- General socio-economic information and data . Population, land . Education . Income sources . Living standard . Infrastructure facilities . Communication, transport networks

- Assessment of vulnerability . Main disaster risks . Natural disaster impacts . Vulnerable centers and effected people

- Possibility assessment . Available force sources . Natural disaster management projects

- Proposed measures

• Action plan

Lesson 6: Disaster Preparedness Skills Search and Rescue

• Lesson objectives • Main principles of search and rescue • Tool & equipment in search and rescue • Operation and maintenance of equipment

- Formulation of guidelines on the use of equipment

• First Aid / Practical skill in First aid Information and reporting

• Lesson objectives • Reports on natural disasters

- Express report - Report on situation of natural disaster

• Exercises on reporting forms

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ANNEX 4

List Of Non-Structural Disaster Risk Reduction Measures

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