:: Disaster Risk Management and Mainstreaming :: Disaster Risk Management Commission

Guideline for Mainstreaming Disaster Risks into the Development Planning Process and Future Investment

The Federal Democratic Republic of Ethiopia

Guideline for Mainstreaming Disaster Risks

into the Development Planning Process and

Future Investment Decisions in Ethiopia

National Disaster Risk Management Commission, Ethiopia

2017

Published in 2017

Printed in Ethiopia by Central Printing Press

This guideline for Mainstreaming Disaster Risks into the Development Planning

Process and Future Investment Decisions in Ethiopia is developed by the National

Disaster Risk Management Commission (NDRMC) to establish future directions for

scaling up disaster and climate resilience in recognition of the Sendai Framework

for Disaster Risk Reduction, the Sustainable Development Goals, and the Paris

Agreement. These global frameworks have stressed the importance of the role of

DRM mainstreaming in building resilience at national and local levels.

Under the overall guidance of H.E. Ato Mitiku Kassa, Commissioner of the NDRMC,

this guideline is produced by the NDRMC led by Ato Tadesee Bekele, Advisor to

the NDRMC. The external technical team consisted of Mr. Aslam Perwaiz from

the Asian Disaster Preparedness Center (ADPC), and Mr. Prashant Singh and

Mr. Alemseged W. Yohannes Bedane from the World Bank (WB). Technical

support was provided by Dr. Sunil Prashar, Mr. Irfan Maqbool, and Ms. Phitsamai

Khammanivong of ADPC, which was highly appreciated. The guideline benefited

from a peer review by Ato Tadesse Bekele and Dr. Zewdu Eshetu Asfaw from

the African Center for Disaster Risk Management (ACDRM), and Ato Fikre Negussie

from the World Bank. We would like to extend our sincere gratitude to the

World Bank for financial support, and the Asian Disaster Preparedness Center for

technical support in the development of this guideline.

We would like to express our appreciation to the representatives of federal

government line agencies that reviewed this guideline and provided sector-

specific inputs required to develop this sectoral guideline. We would also like to thank

Mr. Mathewos Hunde Tulu, Head of UNISDR Africa, for providing essential guidance.

Finally, our deep gratitude extends to the NDRMC staff, for their coordinated efforts

in the conceptualization, development, and finalization of this document

National Disaster Risk Management Commission, Ethiopia

Disclaimer: This document is a compilation field study, comprised of desk-based

research and existing reports. Any discrepancies are unintended. Care has been

taken in providing factual descriptions and data sources. This document remains

open for any corrections required in facts, figures, and visuals.

Photo Credits: ADPC

Foreword

By 2025, our vision is to reach the level of lower-middle-income countries, where

democracy, good governance, and social justice are maintained through people’s

participation. The vision of our country calls for creating a comprehensive Disaster

Risk Management (DRM) system for Ethiopia by broadening the scope to encompass the

urban and industrial sectors, and to widen its approach that focuses on preventive and

ex-ante aspects of DRM. Mainstreaming disaster risks into the development planning

process and future investment decisions are the main priorities of the Commission.

The National Policy and Strategy on Disaster Risk Management (NPSDRM) and the

Disaster Risk Management Strategic Programme and Investment Framework (DRM-SPIF)

of Ethiopia presents clear pathways for managing disaster risks through the National

Disaster Risk Management Commission (NDRMC) and the lead agencies to develop a specific

framework for action to reduce disaster risk and design mechanisms for efficient and

harmonized fund allocation and utilization. It also provides investment options for

partners interested in supporting DRM efforts in the country. One of the specific key

objectives of DRM-SPIF is to, “mainstream DRM into all sectors, and ensure it is integrated

into regular development programs and implemented at all levels”.

As part of its long-term program on establishing a robust disaster risk management

system in the country, the DRM-SPIF aims to create a paradigm shift from response and

recovery, to a multi-sectoral and comprehensive approach that focuses on disaster

prevention, mitigation, and preparedness. The NDRMC coordinates with key sectors

and development partners for the implementation of the SPIF. The current institutional

capacity is sufficiently strong to take up the overall coordination mechanism.

To achieve our objectives, this guideline serves as an important tool for designing and

implementing public investment programs ensuring the disaster and climate risk are

integrated into the planning and budgeting process. It is expected that lead sector

agencies will take ownership of the guideline in terms of its implementation and its

enhancement based on actual use in the future. It is important that the commitment of

the development partners is realized by providing support to lead agencies in

operationalizing the sectoral mainstreaming guideline and putting the guideline into

practice.

I am extremely confident that this guideline will support in establishing and

strengthening the integrated system for DRM by increasing cross-sectoral, multi-agency

interaction, including private and public-sector partnerships.

Mitiku Kassa

Commissioner

NDRMC

Contents

Foreword

Acronyms

viii

Executive Summary

Part 1: Introduction

1.1 Overview of DRM in Ethiopia

1.2 DRM System and Structures

Part 2: Mainstreaming Disaster Risk Management into Development 17

2.1 DRM Mainstreaming and its Significance in Resilience Building 17

2.2 Existing Tools, Methods, Approaches and Policy Environment

Supporting DRM Mainstreaming in Ethiopia

Part 3: Process of DRM Mainstreaming

3.1 Conceptual Framework

3.2 Mainstreaming DRM into Policy Making

3.3 Mainstreaming DRM into Development Planning

3.4 Mainstreaming DRM into Budgetary Processes and Resource

Allocations

3.5 Mainstreaming DRM into Development Projects

Part 4: Guidelines for Mainstreaming DRM into Policy and

Planning in Ethiopia

4.1 Development Planning Process in Ethiopia 55

Part 5: Guidelines for Developing Risk-Sensitive

Sectoral Investment Plans

Guidance Note 1: Agriculture and Rural Transformation Sector

Guidance Note 2: Environment and Climate Resilient Green Economy 87

Guidance Note 3: Health Sector Development

Guidance Note 4: Potable Water Supply and Irrigation Development Sector107

Guidance Note 5: Integrated Transport and Logistics Services

119

Guidance Note 6: Urban Development and Housing

131

Guidance Note 7: Education and Training

141

Guidance Note 8: Social Welfare and Security (Safety Net)

155

iii

List of Boxes

Box 1.1

Box 1.2

Box 2.1

Box 2.2

Box 2.3

Box 5.1

Box 5.2

Box 5.3

Box 5.4

Box 5.5

Box 5.6

Box 5.7

Box 5.8

Box 5.9

Box 5.10

Box 5.11

Box 5.12

Box 5.13

Box 5.14

New Drought Affected Southeastern Regions (2015-2016)

National Disaster Risk Management Commission:

Duties and Responsibilities as Stated in Regulation No.363/2015

Ethiopia’s Economic Growth by Eight Percent

Key Objectives of Mainstreaming DRM

Mainstreaming Disaster Risk Management into Sectoral Institutions

Natural Resource Management (NRM): Good Practice Checklist

EMB Integrates Disaster Risk Reduction and Climate Change

Adaptation in the Environmental Impact Assessment (EIA)

Requirement in the Philippines EIS System

Health Sector Self-Assessment Tool for Disaster Risk Reduction -

Pan American Health Organization (PAHO)

105

Promote the Use of Wereda Disaster Risk Profile Data and

Information for Enhancing the Health Sector Vulnerability and

Risk Assessment Mapping

105

Promote the Use of Wereda Disaster Risk Profile Data and

Information for Irrigation Development Feasibility Study and Design 118

Conduct Capacity Building or Training of Staff on DRM/R

Integration into Irrigation Development, Including Irrigation,

and Design Works

118

Disaster Risk Reduction and the Road Network, the Philippines

118

Communication During Emergency Response

127

Checklist for Mainstreaming Disaster Risk Reduction into

Transportation Projects - Identification, Preparation, and

Appraisal Standards

128

City Strength Resilient Cities Program for Addis Ababa

129

Checklist for Integrated Solid Waste Management Initiatives in Cities 139

Checklist for Building Codes and Disaster-Resilient Construction

in Cities

140

Comprehensive School Safety Framework

140

A Guide for Including People with Disabilities in Disaster

Preparedness Planning

161

List of Figures

Figure 1.1 The Most Important Hazard (As perceived by rural households)

Figure 1.2 Most Important Perceived Constraints for Poor Households

Figure 1.3 Most Important Perceived Constraints for Well-off Households

Figure 1.4 Ethiopia INFORM risk index

Figure 1.5 Hazard, Exposure, Vulnerability, and Lack of Coping Capacity

Figure 1.6 Key Constraints for Livelihoods in Ethiopia

Figure 1.7 Average Percentage Share of Damage and Loss to Livestock by

Type of Hazard

Figure 1.8 Timeline Showing DRM Institutional Arrangements in Ethiopia

Figure 1.9 NDRMC – Organizational Structure

Figure 1.10 Government Coordination Structure in Ethiopia

Figure 2.1 Conceptual Framework for Mainstreaming DRR into Development

Figure 2.2 Overall and Insured Losses from the World Natural Catastrophes,

1980 to 2016

Figure 2.3 Policies and Strategies in Ethiopia with DRM Linkages

Figure 2.4 Expected Outcomes of Mainstreaming DRM in Ethiopia

Figure 2.5 Key Components of the WDRP Database

Figure 2.6 Webpage of Wereda (District) Disaster Risk Profiling Information

Management System

Figure 2.7 Application of Wereda Disaster Risk Profile

Figure 3.1 Conceptual Framework for Mainstreaming DRR into Development

Figure 3.2 Development Framework Process

Figure 3.3 Mainstreaming DRM Process into Policy Making

Figure 3.4 Mainstreaming DRM Process into Development Planning Process

Figure 3.5 Mainstreaming DRM Process into Budgetary Processes

Figure 3.6 Risk Layering and the Application of Financial Instruments

Figure 3.7 Mainstreaming DRM into Development Projects

Figure 4.1 Organizational Structure of the National Planning Commission

in Ethiopia

Figure 5.1 Steps for Mainstreaming DRM into Sector

Figure 5.2 Conceptual Framework for Sectoral Disaster Risk Management

List of Tables

Table 1.1 DRM Gaps, Issues, and Challenges in Ethiopia

Table 2.1 Priorities for Action for Mainstreaming DRM

Table 2.2 Priorities for Action for Mainstreaming DRM in Africa

Table 2.3 Lead Sector Institutions Responsible for DRM in Ethiopia

Table 3.1 Process of Mainstreaming DRM into Policy Making: General Guidance 35

Table 3.2 Process of Mainstreaming DRM into Development Planning

Process: General Guidance

Table 3.3 Disaster Information and Potential Sources

Table 3.4 Process of Mainstreaming DRM into Budgetary

Processes: General Guidance

Table 3.5 Process of Mainstreaming DRM into Development Projects:

General Guidance

Table 4.1 Getting Started in Mainstreaming DRM into the Development

Planning Process in Ethiopia: Key Tasks

Table 4.2 Guidance on Mainstreaming DRM into the Development

Planning Process in Ethiopia

Table 5.1 Broad Mainstreaming Steps and Descriptions

Table 5.2 Explanation of Conceptual Framework for Sectoral DRM

Table 5.3 Selected Sector, Lead Sector Agencies, and Data/Sources for

Sectoral Risk Analysis

Table 5.4 Lead Agencies Roles and Key Programs on DRM: Agriculture

and Rural Transformation

Table 5.5 Objectives of Agriculture and Rural Transformation

Table 5.6 Implementation Strategy for Agriculture and Rural Transformation

Table 5.7 Major Impacts of Disasters on Agriculture and Livestock in Ethiopia

Table 5.8 Key Steps and Activities for Mainstreaming DRM into Agriculture

and Rural Transformation

Table 5.9 Lead Agencies’ Roles and Key Programs on DRM: Environment

and Climate Resilient Green Economy

Table 5.10 Specific Objectives of Environment and Climate Resilient

Green Economy

Table 5.11 Implementation Strategy of Environment and Climate Resilient

Green Economy

Table 5.12 Impact of Droughts and Floods on the Environment

Table 5.13 Key Steps and Activities for Mainstreaming DRM into Environment

and Climate Resilient Economy

Table 5.14 Lead Agencies’ Roles and Key Programs on DRM:

Health Sector Development

Table 5.15 Health Impacts of Floods in Ethiopia

100

Table 5.16 Key Steps and Activities for Mainstreaming DRM

into Health Sector Development

101

Table 5.17 Lead Agencies’ Roles and Key Programs on DRM:

Potable Water Supply and Irrigation Development

108

Table 5.18 Specific Objectives of Potable Water Supply and Irrigation

Development Sector

109

Table 5.19 Impacts of Natural Hazards on Water Supply, Irrigation and Electricity 110

Table 5.20 Key Steps and Activities for Mainstreaming DRM into Potable

Water Supply and Irrigation Development

110

Table 5.21 Lead Agencies’ Roles and Key Programs on DRM:

Integrated Transport and Logistics Services

120

Table 5.22 Specific Objectives for Integrated Transportation and Communication 121

Table 5.23 Key Steps and Activities for Mainstreaming DRM into Integrated

Transport and Logistics Services

123

Table 5.24 Lead Agencies’ Roles and Key Programs on DRM:

Urban Development and Housing

132

Table 5.25 Specific Objectives of Urban Development and Housing

133

Table 5.26 Shocks and Stress in Addis Ababa

135

Table 5.27 Key Steps and Activities for Mainstreaming DRM into

Urban Development and Housing

135

Table 5.28 Lead Agencies’ Roles and Key Programs on DRM:

Education and Training

142

Table 5.29 Specific Objectives of Education and Training

143

Table 5.30 Priorities of Education and Training

143

Table 5.31 Impact of Hazards on Education

145

Table 5.32 Key Steps and Activities for Mainstreaming DRM

into Education and Training

146

Table 5.33 Lead Agencies’ Roles and Key Programs on DRM:

Social Welfare and Security (Safety Net)

156

Table 5.34 Key Impacts of Hazard on Social Welfare and Security

157

Table 5.35 Key Steps and Activities for Mainstreaming DRM

into Social Welfare and Security (Safety Net)

158

vii

Acronyms

ADPC Asian Disaster Preparedness Center

CCA Climate Change Adaptation

CRED Centre for Research on the Epidemiology of Disasters

CRGE CSA Climate Resilient Green Economy

CSA Central Statistical Agency

CSO Civil Society Organization

DPPA Disaster Prevention and Preparedness Agency

DRM Disaster Risk Management

DRMFSS Disaster Risk Management and Food Security Sector

DRM-SPIF Disaster Risk and Management Strategic Program and Investment Framework

DRMTWG Disaster Risk Management Technical Working Group

DRR Disaster Risk Reduction

EBCS-8 Ethiopian Building Code Standard

ECAA Ethiopia Civil Aviation Authority

EIA Environmental Impact Assessment

EIAR Ethiopian Institute of Agricultural Reserch

ERC Ethiopian Railways Corporation

ESDP Education Sector Development Programme

ESIA Environmental and Social Impact Assessment

EWS Early Warning System

FAO Food and Agriculture Organization

GDP Gross Domestic Product

GTP Growth and Transformation Plan

HFA Hyogo Framework for Action

INFORM Index for Risk Management

LIAS Livelihood Impact Analysis Spreadsheet

MoANR Ministry of Agriculture and Natural Resources

viii

MoARD Ministry of Agriculture and Rural Development

MoE Ministry of Education

MEFCC Ministry of Environment, Forest and Climate Change

MoFEC Ministry of Finance and Economic Cooperation

MoLF Ministry of Livestock Development and Fisheries

MoUDH Ministry of Urban Development and Housing

MoLSA Ministry of Labour and Social Affairs

NAPA National Adaptation Plan of Action

NDRMC National Disaster Risk Management Commission

NMA National Meteorology Agency

NPDPM National Policy on Disaster Prevention and Management

NPC National Planning Commission

NRM Natural Resource Management

UNOCHA United Nations Office for the Coordination of Humanitarian Affairs

PASDEP Plan for Accelerated and Sustained Development to End Poverty

PSNP Productive Safety Net Programme

PwDs People with Disabilities

SFDRR Sendai Framework for Disaster Risk Reduction

SESA Strategic Environmental and Social Assessment

SPIF Strategic Program and Investment Framework

UN United Nations

UNDP United Nations Development Programme

UNISDR United Nations International Strategy for Disaster Reduction

UNFCCC United Nations Framework Convention on Climate Change

WDRP Wereda Disaster Risk Profiles

EXECUTIVE SUMMARY

At global and regional forums, the Government of Ethiopia has emphasized the need

to establish an overarching National Disaster Preparedness Plan, reinforce operational

capacity at all levels, and establish Emergency Preparedness and Response Centers

throughout the country. This emanates from the fact that the current trend of rising

disaster risk will require a major shift in development planning and practice. Systematic

risk identification, and risk-informed development strategies, plans, and projects

are vital in preparing for unavoidable disasters.

Mainstreaming Disaster Risk Management (DRM) into sectoral institutions is one of

the key policy directions and strategies of Ethiopia’s National Policy and Strategy on

Disaster Risk Management. It is well known that DRM is a cross-cutting issue, and is

the responsibility of multiple sectoral institutions. Concerned bodies are advised to

implement DRM by integrating it into their regular development activities. The national

policy identifies the key principle of mainstreaming disaster risk into development

programs as ensuring that DRM activities are implemented as integral to development

planning frameworks, including development programs across all government sectors,

private sector investment, and community development planning.

The Disaster Risk Management Strategic Programme and Investment Framework

(DRM-SPIF) identifies some key interventions, including sectoral assessment of

successful DRM mainstreaming into key sectors/sub-sectors, including 1) Agriculture and

Rural Transformation, 2) Potable Water Supply and Irrigation Development, 3) Health

Sector Development, 4) Environment and Climate Resilient Green Economy, 5) Education

and Training, 6) Social Welfare and Security, 7) Urban Development and Housing, and

8) Integrated Transportation and Logistics Services. Key interventions include producing

and implementing operational guidance on DRM mainstreaming; integrating DRM

into development policy legislation or mandatory guidance; networking and influencing

development organizations/institutions to operationalize guidance; and integrating DRM

into school curricula.

Through its directorate, and with the assistance of development partners, the National

Disaster Risk Management Commission (NDRMC) is interested in developing capacities

at all administrative and developmental levels (i.e., federal, regional, wereda, kebele and

city levels) for streamlining DRM, early warning, and response systems across all

government sectors. It seeks to achieve this by creating an enabling environment

for the implementation of DRM through extensive capacity building, coordination, and

international collaborations and engagement programs. This guideline was developed

for the purpose of mainstreaming disaster risk into the development planning process,

budgeting, training, and capacity building linked with DRM investment planning

through comprehensive risk identification and risk reduction process. This six-part

guideline addresses the conceptual and the practical aspects of mainstreaming. The key

sections are briefly introduced as follows:

Part 1: Introduction: This section addresses the introduction of DRM in Ethiopia, including

recent challenges, impacts, and constraints posed by major natural hazards in Ethiopia;

the present DRM system and structures in the country; and DRM related issues and

challenges.

Part 2: Mainstreaming DRM into Development: This section presents a needs

analysis and conceptual framework for DRM mainstreaming. It particularly addresses

conceptualizing mainstreaming DRM from a theoretical angle, as well as from a global,

regional, and Ethiopian context. From the country context, it describes the existing

tools, methods, approaches, and policy environment supporting DRM mainstreaming in

Ethiopia. Finally, it presents objectives, goals, and expected outcomes of DRM

mainstreaming in Ethiopia.

Part 3: Process of Mainstreaming DRM: This section discusses ‘why’ and ‘when’ to

conduct DRM mainstreaming. It elaborates the conceptual framework for DRM

mainstreaming into four key elements of development framework: 1) Policy, 2) Planning,

3) Budgeting, and 4) Implementation. For each key element, it provides a basic

understanding of the process, outcomes, and potential activities/actions/roles DRM

mainstreaming. Case examples are described throughout that provide real-world

examples to enrich readers’ understanding of the concepts used in the guideline.

Part 4: Guideline for Mainstreaming DRM into Policy and Planning in Ethiopia:

This section discusses the theoretical basis for the key stages of the development

planning process, namely: 1) Preliminary stage, 2) Analytical stage, 3) Adjustment and

directive stage, 4) Elaboration stage, 5) Adoption stage, and 6) Implementation stage;

and provides general guidance, key tasks, and information on key components for

mainstreaming DRM. Suggestions and tips are provided.

Part 5: Guidelines for Developing Risk-Sensitive Sectoral Investment Plans:

This section discusses the ‘how to’ of DRM mainstreaming. A step-by-step process for

mainstreaming DRM into sectors that are crucial for the economy and highly vulnerable

due to climate and disaster risks is presented. The process was developed through

consultations and discussions with the key lead agencies defined in the Growth and

Transformation Plan – II.

This guideline was prepared for NDRMC to fulfil its mandate for providing technical

support to lead sector agencies in DRM mainstreaming in their respective development

policies, plans, budgets, and project components. Moreover, the guideline provides step-

by-step guidance for selected lead sector agencies in formulating an action plan for DRM

mainstreaming into their development planning process. This guideline can also support

the National Planning Commission in developing an increased understanding and

identifying improved options for disaster risk management under the Growth and

Transformation Plan (GTP). It can further help in monitoring the progress of GTP targets

on DRM.

Part 1: Introduction

1.1 Overview of DRM in Ethiopia

Ethiopia has experienced substantial progress in economic, social, and human

development over the past decade, achieving rapid and inclusive economic growth

averaging 10.9 percent per year since 2004. At the same time, it has faced a series of

disasters with increased intensity, coverage, and frequency, largely due to the country’s

diverse geographic, agro-climatic, and socio-economic conditions, partnered with climate

change induced factors. The lack of predictable rain, flooding, crop diseases, livestock

diseases, wild animals’ habitat disturbance, and conflicts (i.e., inter-clan or inter-ethnic)

are some of the most important hazards perceived by rural households (Figure 1.1).

Figure 1.1 The most important hazard perceived by rural households (Government of Ethiopia, 2011)

Figure 1.1 shows the single most important perceived short-term hazard faced by

rural people from year to year. However, the hazard is not necessarily occurring at the

same place every year. For example, in drought predominated areas, crop and livestock

diseases cause consistent losses (Figure 1.1). The ‘Livelihoods Atlas for Ethiopia’

identified crop and livestock diseases as one of the several constraints for both poor and

well-off households (Figure 1.2 and 1.3).

Figure 1.2 Most Important Perceived Constraints for Poor Households (Government of Ethiopia, 2011)

Figure 1.3 Most Important Perceived Constraints for Well-off Households (Government of Ethiopia, 2011)

In addition to drought, the country frequently faces flash floods and river floods.

Flash floods and seasonal river floods are becoming increasingly common due to the

combined effects of deforestation, land degradation, increasing climate variability, and

settlement patterns (World Bank, 2009). Torrential rains and corresponding flash floods

in 2016 left at least 236,890 people displaced (Reliefweb, n.d.). The belg1 rains, though

late in onset, were heavier than usual both in terms of intensity and geographic

coverage, which is a manifestation of strong impacts of climate variability. Additionally,

the floods hit on the back of nearly 18 months of drought that left communities’ coping

capacity weakened. Human and livestock epidemics, and urban and forest fires are

other kinds of hazards that communities in Ethiopia face nearly every year.

1 Belg is the main rainy season for south and southeast regions of Ethiopia and is considered the short rainy season in

the agrarian (north, northwest, west and central Ethiopia) regions. It starts at the end of February and continues through

mid-May.

As per the INFORM2 2017 Risk Index (Figure 1.4), the current level of risk and the trends

in recent years in Ethiopia have remained high in terms of multifaceted hazards.

The elements of risk, as well as the coping capacity of Ethiopia, are presented in Figure

1.5. More than 10 million Ethiopians required relief food assistance in 2016 (World

Food Programme, 2016). This poses a huge challenge to the government and

development partners in responding to the current situation and creates challenges

for putting risk reduction measures in place.

Droughts that are exacerbated by El Niño (World Food Programme, 2016), combined

with extensive flooding, resulted in disease outbreaks and the disruption of basic

public services, which all are having a negative impact on the lives and livelihoods of

9.7 million Ethiopians (UNOCHA, 2017). Long-term measures are, therefore, needed

to meet these challenges.

INFORM Risk6

Hazard & Exposure

Valnerability

Lack of Coping Capacity

Value

5.63

6.71

6.9

Rank

Trend (3 years)

Figure 1.4 Ethiopia INFORM Risk Index (Source: Inform, 2017)

2 INFORM is a global, open-source risk assessment for humanitarian crises and disasters. It can support decisions about

prevention, preparedness, and response. Details can be found at http://www.inform-index.org.

Hazard & Exposure

5.6

Vulnerability

6.76

Lack of Coping Capacity

Natural

4.36

Human

Socio-Economic

6.56

Vulnerable Groups Institutional

4.68

Physical exposure to eartquake 5.55 Development & DeprivationD

.5 RR

Infrastructure

2.9

6.6 Inequality

4.7 Governance

6.3

Physical exposure to tsunami

0.0 Aid Dependency

3.0 Communication

8.7

Physical exposure to

tropical cuclone

Droughts probability &

historical impact

0.0 Uprooted people

6.3 Health Conditions

9.4 Children US

8.0 Physical Infrastructure

8.6

3.4 Access to health care

7.8

5.1

0.0 Recent Shocks

5.3

Flood Security

7.1

Figure 1.5 Hazard & Exposure, Vulnerability and Lack of Coping Capacity

With 60-70 percent of the population’s livelihood dependent on livestock in one way or

another in Ethiopia (Kimball, 2012), the reliance on livestock can be classified into two

groups: those living in the rural highland areas; and those in the pastoral lowland

communities. The livelihoods of the majority of people in the rural highlands depend on

the crop-livestock mixed farming system, while pastoralists rely more on livestock than

any other population category in the country.

Livelihood Context

In Ethiopia, there are four main livelihood production systems across over 170 livelihood

zones, namely cropping, pastoralism, agro-pastoralism, and others (i.e., households

with either no livestock for herding or no land for cropping, that make their

livelihood through a variety of means, including casual labor, petty trading, personal

communication, and seasonal farmland renting) (DRMFSS, 2014).

These different production systems and livelihood activities are also differently affected

by Ethiopia’s rainfall patterns, water scarcity and insecurity, reduction in land ownership,

harsh climate, and flooding and drought, among others (Figure 1.6).

Livelihood Production

System in Ethiopia

Key Constraints

Cropping

Pastoralism

Agro Pastoralism

Others

(casual labor, petty trading, etc.)

Water scarcity & insecurity

Shortage of cultivable land

Less land ownership

Traditional farming

Poor access to infrastructure,

including roads and market

Flooding

Salinity

Shortage of grazing land

Harsh climate

Land degradation

High population density

Illegal trade

Drought hazards

Poor soil fertility and

water quality

Figure 1.6 Key Constraints for Livelihoods in Ethiopia

In relation to disasters, livestock is the second most affected subsector after crops in

developing countries accounting for USD 11 billion, or 36 percent of all damages and

losses reported in the post-disaster needs assessments of the Food and Agriculture

Organization (FAO) of the United Nations (Food and Agriculture Organization, 2015).

Moreover, livestock is mainly affected by the drought hazard noted by the FAO based

on data from post-disaster needs assessments between 2003–2013 (Figure 1.7).

Storms

8.4

Floods

85.80

DroughtsT

sunamis

2.3

Earthquakes

Figure 1.7 Average Percentage Share of Damage and Loss to Livestock by Type of Hazard (2003-2013) (FAO,2015)

A 2016 FAO study noted that the severe drought in 2015-2016 left 9.2 million people

food insecure in the south-eastern regions of Ethiopia (FAO, 2016). The limited

seasonal October-December rains sent shockwaves throughout southern and south-

eastern pastoral areas of SNNPR, Oromia and Somali Regions, and led to a widespread

scarcity of pastures and water (FAO, 2016). Livestock body conditions deteriorated

and thousands of animals died. Meanwhile, the prices for livestock declined in

response to the glut of animals brought to the market, disfavoring terms of trade for

livestock owners (see Box 1.1).

Box: 1.1 New Drought Affected Southeastern Regions (2015-2016)

In 2015-2016, drought induced by the El Niño phenomenon severely disrupted the

productivity of livestock and crop-dependent communities in Ethiopia. Incomes of the

farming households were reduced and seed supplies depleted due to two consecutive

failed seasons – the belg (spring rain) and meher (summer rain) of 2015. As a result, 1.7

million households were identified as seed insecure at the start of 2016, 88 percent of

which were successfully reached with emergency agricultural inputs for the meher season

by FAO and other humanitarian actors.

Additionally, stress sales of animals by livestock-dependent households were widespread

throughout much of 2015 and early 2016, and milk and meat production declined

considerably in affected areas. The response in the livestock sector remains underfunded,

with just USD 13 million raised, paling in comparison to the USD 35 million FAO estimates

raised by humanitarian actors for seed distribution. In pastoral and agro-pastoral areas of

the southeast, families face deepening vulnerability due to poor rainfall and a potentially

long dry period until the onset of the 2017 spring rains in March-April.

In August, the Mid-Year Review of the Humanitarian Requirements Document indicated that

2.4 million households require urgent livestock assistance until the until at minimum the

end of 2016, and potentially beyond. National-level food insecurity remains high, with 9.7

million people considered food insecure. Just less than one-third of the country’s weredas

(districts) were classified as Priority 1 hotspot areas, having decreased only slightly from 224

in March to 206 in July. The hotspot classification findings are critical for the prioritization

and allocation of resources to affected weredas.

Challenges Facing Food and Agriculture

The 2011-2016 drought has affected livestock-dependent households in southern zones

of Oromia, Somali Regions and South Omo Zone in SNNPR, with dry spells likely to last until

the spring rains of 2017. The deyr/hageya short rains (October to December), accounting

for up to 35 percent of annual rainfall in these areas, have been influenced by a negative

Indian Ocean Dipole, a phenomenon causing poor precipitation across East Africa. A dearth

of pasture and dwindling water supplies in the southern and south-eastern rangelands

has led to a sharp deterioration in livestock body conditions. Disease outbreaks have also

been widely reported; of the 6000 livestock deaths reported since October in Oromia

Region, 2000 animals reportedly died of opportunistic diseases linked to low body weight,

according to regional authorities. Tens of thousands of livestock across the affected regions

were unable to stand without assistance.

In addition to water trucking, pasture is in acute demand, as hundreds of thousands of

livestock critically require it for survival, along with supplementary feed. Livestock prices

continued to plummet due to excessive supplies of weak and vulnerable animals being

brought to market. The impact in terms of trade for livestock owners has been significant,

and households would have to sell more animals to purchase commodities, exposing them

to greater food insecurity. A large influx of livestock has migrated into Somali and Oromia

Regions from Somalia and Kenya, which were also experiencing drought and is a cause for

concern. This is putting additional strain on the already limited resources in these regions.

More than 322,000 refugees from conflict-embroiled South Sudan are now living in the

Gambella Region. With inadequate resources and livelihood options, both refugees and

host communities face high levels of food insecurity. Wheat rust disease has affected more

than 45,000 households in Amhara, Oromia, SNNP and Tigray Regions since August. High

fungicide costs and limited supplies are affecting disease management.

Source: (FAO, 2016)

The above case example further confirms the significant impact of disasters on the lives

of people and on the country’s social, economic, and political development. Not only do

disasters impose serious economic costs for response and rehabilitation, and require

the diversion of national development resources, but they also reverse development

goals and exacerbate poverty.

From a DRM perspective, there is great variability across Ethiopia`s diverse livelihood

systems, which directly affect the depth of household and community resources

available to cope with disasters. A disaster risk management system is required that can

analyze and respond to different livelihood zones in an optimal manner including an

understanding of the most important hazards and their impacts on communities and

national economy.

1.2 DRM System and Strutures

DRM Institutional Arrangements

The existing institutional arrangements for Disaster Risk Management (DRM) in Ethiopia are

the result of long institutional growth (Figure 1.8).

Time line (1970s)

1973-74

DRM Institutional Arrangements

1995

2004

2007

Relief &

Rehabilitation

Commission

Established in the wake

of 1973/74 famine

Disaster

Prevention

and

Preparedness

Commission

(DPPC)

Disaster

Prevention

and

Preparedness

Agency (DPPA)

Food Security

Coordination

Bureau (FSCB)

Disaster Risk

Management

and Food

Security

Sector

(DRMFSS)

Time line (2017)

2016

National

Disaster Risk

Management

Commission

Figure 1.8 Timeline Showing DRM Institutional Arrangements in Ethiopia (Illustration from authors)

The first formal governmental disaster management institution was the Relief and

Rehabilitation Commission (RRC), established in the wake of the 1973-1974 famine,

with a mandate to provide relief supplies to drought victims. In 1993, the government

adopted the National Policy on Disaster Prevention and Management (NPDPM). The

NPDPM guided relief management policies, institutions, and processes whereby

drought disasters were detected and resources, especially food aid, were mobilized and

prioritized for affected areas.

A major shift took place in 1995 when the Disaster Prevention and Preparedness

Commission (DPPC) was created, with significant changes in the mandate particularly

emphasizing the link between relief and development. Another major change occurred

in 2007 as a result of business process re-engineering, where the rights and obligation

of the Disaster Prevention and Preparedness Agency were transferred by proclamation

to the Ministry of Agriculture and Rural Development (MoARD), which led to the

establishment of the Disaster Risk Management and Food Security Sector (DRMFSS)

within the MoARD.

This institutional arrangement in 2007 brought a paradigm shift in the approach to

disaster management in terms of moving from a drought and relief focused approach

to a more proactive, multi-sectoral, and multi-hazard DRM approach. In 2015–2016,

the National Disaster Risk Management Commission (NDRMC) was established by

Regulation No.363/2015 under the Prime Minister’s office by transforming the

DRMFSS to a full-fledged Commission. This has significantly strengthened its legal and

operational framework for a comprehensive and integrated National DRM system at

national and local levels.

National Disaster Risk Management Commission

The NDRMC is expected to ensure a more streamlined DRM approach, including an

Early Warning and Response System across all government sectors, at the federal,

regional, wereda, Kebele, and city levels. This will be achieved by broadening its scope

to encompass the urban and industrial sectors, and by widening its approach to focus

on preventive and ex-ante aspects of DRM. In addition to the regular ex-post recovery

and response functions of DRM, the entire process will remain in line with its National

Policy and Strategy on Disaster Risk Management, which was adopted in 2013. The

NDRMC reports its DRM related activities and issues to the Disaster Risk Management

Council (DRMC), chaired by the Prime Minister or his/her deputy under the Proclamation

No-363/2015.

The NDRMC is responsible for coordinating disaster response, risk management,

preventive measures and recovery programs in the country. The commission functions

through a well-established structure (Figure 1.9), and duties and responsibilities are

clearly listed in the Council of Minister’s regulation no. 363/2015. Overall, the NDRMC

has a vision of reducing disaster risks and potential damages caused by a disaster

through establishing a comprehensive and coordinated DRM system in the context of

sustainable development.

National Disater Risk Management Commission (NDRMC)

Organizational Structure

Disaster Risk Management Council

Internal Audit Directorate

Commissioner

Public relation’s Directorate

Planning, Reform & Good Governance

Deputy Commissioner

Disaster Risk

Reduction

Directorate

Disaster

Response &

Rehabilitation

Directorate

Supplies &

Logistics

Directorate

Early Warning

& Emergency

Response

Fund Raising &

Management

Directorate

Human

Resource

Management

Directorate

Supply &

Property

Administration

Directorat e

Budget &

Finance

Directorate

Information

Communication

Technology

Directorate

Figure 1.9 NDRMC Organizational Structure (NDRMC, 2017)

The Ministers Regulation no.363/2015 clearly defines the roles and responsibilities

of NDRMC, which provides clear direction to the commission in order to achieve the

DRM policy vision: “Capacity for withstanding the impact of hazards and related

disasters is built at national, local, community, household and individual levels; and

damages caused by disasters are significantly reduced by 2023”. The 17 core activities

are briefly described in Box. 1.2.

Box 1.2 National Disaster Risk Management Commission: Duties and

Responsibilities as Stated in Regulation No.363/2015

i) Ensure that DRM is mainstreamed into government development policies, strategies,

development plans and programs, and in the plans of the private sector, and in

school curricula; and provide support, as may be necessary, to concerned bodies in

relation to such issues;

ii) Ensure and follow-up the inclusion of DRM in the plan of the executive organs, which

are identified as lead sector institutions in the Disaster Risk Management Policy and

Strategy document;

iii) Collect and compile nationwide action plans for the implementation of DRM policy

and strategy; regularly monitor and evaluate implementation of the same, and

submit at least bi-annual performance reports to the Disaster Risk Management

Council;

iv) Coordinate, follow up and evaluate disaster risk reduction, disaster response and

rehabilitation programs of disaster victims;

v) Implement, lead, and coordinate responses in the event of disasters that either do

not fall under the responsibility of any one of designated lead sector institutions or

a sudden disaster that is beyond the capacity of the lead sector institution;

vi) Hold and administer disaster response fund, relief food, and non-food stock;

vii) Whenever necessary, distribute emergency relief food supplies upon discharging

from concerned government institution in charge of administration of the

strategic food reserve;

viii) In collaboration with concerned bodies, lead and coordinate work on the

development and revision of disaster risk profiles at the national level;

ix) On the basis of the disaster risk profile, develop and implement comprehensive

contingency plans at all levels; facilitate conditions to undertake regular and

planned simulation exercises at all levels to assess existing emergency response

preparedness, including the contingency plan, and take corrective measures

accordingly;

x) Lead and coordinate studies and assessments conducted at the national level

before, during, and after the disaster period including a disaster risk forecaster;

xi) Lead and coordinate the Federal Early Warning and Emergency Coordination

Center by supporting it with modern technologies; support the establishment of

similar center in lead sector institutions at Federal, Regional, Zonal and Wereda

Administration levels, as required;

xii) Facilitate conditions and provide support for wider application of information and

communication technologies for disaster risk management; serve as a repository

for disaster risk management information at the national level and provide support,

as required, to enable the Regional Administrations to set up a similar repository;

xiii) Following the official declaration of a disaster and upon the decision of the Disaster

Risk Management Council, mobilize resources from domestic and international

sources;

xiv) Utilize secured resources by itself and through other concerned lead sector

institutions found at Federal and Regional Administrations levels for emergency

response;

xv) In collaboration with concerned bodies, establish and operate a mechanism to

enable the disaster risk management system to get comprehensive support from

volunteers organized on a voluntary basis and engaged in result oriented disaster

risk management activities;

xvi) In accordance with the relevant laws and directives of the country, establish working

relationships and collaborations with relevant international organizations,

governmental, and private organizations to facilitate the smooth implementation of

the National Disaster Risk Management Policy and Strategy;

xvii) Own property, enter into contracts, sue and be sued in its own name; and

xviii) Perform other necessary related activities to meet its objectives.

DRM Policy

A National Policy and Strategy on Disaster Risk Management (NPSDRM) was developed

in 2014, and includes general directions and major implementation strategies for

Ethiopia. The overall objective of the National Policy and Strategy on DRM is to, “Reduce

disaster risks and potential damage caused by a disaster through establishing a

comprehensive and coordinated disaster risk management system in the context of

sustainable development.”(Government of Ethiopia, 2013, “National Policy and Strategy

on Disaster Risk Management”, para. 3.

The policy is composed of the following directions and strategies:

• Early warning and disaster assessment information informed response

• Official disaster declaration system

• Decentralized disaster risk management system

• Mainstreaming of disaster risk management into sectoral institutions

• Source of resources and resource mobilization procedures

• Information management and communication systems

• International cooperation

• Implementation capacity

• Cross cutting issues: DRM to give special attention to: a) women, children, elderly,

and persons with disabilities; b) people living with HIV/AIDS; and c) social and

environmental issues.

Overview of Strategic Program and Investment Framework: A Disaster Risk

Management Framework in Ethiopia

As part of its long-term program for establishing a robust DRM system in the country,

the Disaster Risk and Management Strategic Program and Investment Framework

(DRM-SPIF) was developed and ratified in 2014, which aims at promoting a paradigm

shift from response and recovery to a multi-sectoral and comprehensive approach that

focuses on disaster prevention, mitigation, and preparedness.

The SPIF provides a strategic framework for the prioritization and planning of

investments that will drive Ethiopia’s DRM system. It is designed to operationalize the

DRM policy by identifying priority investment areas with estimates of the financing

needs to be provided by the government and its development partners. The SPIF is a

strategic framework that outlines major areas of investment that can then be more fully

fleshed out with development partners moving forward.

The SPIF focuses on the creation of a comprehensive system for managing disaster risk

that builds upon past lessons and works to increase cross-sectoral multi-agency

integration. The main components of the DRM system already exist, and several of

them have made important progress in effectiveness in recent years. However, the

components do not function adequately as an integrated system and this limits the

overall effectiveness. This requires scaling up efforts in the disaster risk management

sector, further developing capacity, and ensuring full synchronization and strategic

complementary of the numerous initiatives and interventions.

The SPIF envisions a whole-of-government initiative led by the DRMFSS that reflects the

priorities of the government and a wide range of stakeholders. The SPIF is fully aligned

with the Growth and Transformation Plan (GTP), a successor to the Plan for Accelerated

and Sustained Development to End Poverty (PASDEP), which realized an average annual

growth rate of 11 percent for the past five years for the country. The GTP sets the vision

for the country as a middle income, democratic and developmental state, and a carbon

neutral climate resilient economy by 2025.

Moving towards the implementation of the NPSDRM and DRM-SPIF, the 2015

establishment proclamation has given NDRMC the authority and autonomy to bring in

multiple stakeholders including various sectoral ministries, donors, UN agencies, and

various civil society organizations through formation of various structures to address

sectoral interventions. The structure is in place (Figure 1.10) for addressing various

disaster management aspects in holistic manners by facilitating convergence between

disaster response and long-term resilience building.

The Disaster Risk Management Technical Working Group (DRMTWG), co-chaired by

the NDRMC, is primarily responsible for coordinating DRM strategic program in the

country. It also supports the implementation of the new multi-sectoral and multi-

hazards DRM approach in Ethiopia, in addition to providing a platform for the mutual

engagement and support of humanitarian organizations and development partners.

The DRMTWG continues to work as the nodal coordination forum on all DRM phases –

pre-disaster (prevention, mitigation, and preparedness), during disaster (response), and

post-disaster (recovery and rehabilitation).

The DRMTWG is supported by a set of Technical and Sector Task Forces. These Task

Forces are primarily responsible for the coordination and actions under each sector

and are headed by respective relevant government line ministries. They are supported

by organizations from other line ministries, UN agencies and civil society organizations.

Cross-cutting to all these is the Working Group on Mainstreaming Gender in DRM that

will work with DRMTWG and all other sector Task Forces to mainstream discussions

on vulnerabilities associated with gender, and other socially vulnerable groups.

Political

Strategy

NDRMC

National Disaster Prevention & Preparedness Committee (NDPPC)

Chair: DPM

Members: line ministries

National Technical Committee

Chair: NDRMC

Members: line ministries

Multi-agency

Coordination (S-MAC)

Chair: Commissioner

Co-chair: HC

Disaster Risk Management Technical Working Group (DRMTWG)

Chair: NDRMC

Co-chair:OCHA

Members: line ministries, UN, NGO and donors at the technical level

Federal

Emergency Task Forces

(Government-led, multi-

agency coordination)

Regional

Regional DPPC

Sectoral task forces

Agriculture &

livestock

Chair: NDRMC

Co-chair: FAO

Food security

Chair: NDRMC

Co-chair:WFP

Health &

nutrition

Chair: MoH

Co-chair: WHO

Nutrition

Chair: NDRMC/

ENCU

Co-chair: UNICEF

WASH

Education

Chair: MoWIE

Chair: MoE

Co-chair: UNICEF

Co-chair:

UNICEF/Save the

Children

Emergency

shelter & NFIs

Chair: ICM

Child protection

Chair: MoWIE

Co-chair: UNICEF

Regional Disaster Risk Management Technical Working Group

(RDRMTWG)

Chair: DPPC Heads

Members: Sector Bureau, Humanitarian partners

Regional

Regional Task Forces

Chair: DPPC Heads

Members: Regional Bureaus, Humanitarian partners

Population

ENCU

FAO

IOM

MoE

MoH

Emergency Nutrition Coordination Unit

Food and Agriculture Organization

Humanitarian Coordinator

International Orgnaization for Migration

Ministry of Education

Ministry of Health

MoWCA

MoWIE

NDRMC

UNICEF

WFP

Ministry of Water, Irrigation and Electricity

National Disaster Risk Management

Commission

United Nation;s Children Fund

World Food Program

Figure 1.10 Government Coordination Structure in Ethiopia (NDRMC, 2017)

DRM Challenges

The DRM system in Ethiopia has been evolving rapidly in recent years, with substantial

progress made in building the overall system envisioned in the DRM policy. This provides a

dynamic base upon which to develop future improvements to the system. In order to achieve

goals and objectives of the National Policy and Strategy on Disaster Risk Management, it is

essential that the existing gaps are identified and addressed (Table 1.1).

The following section briefly discusses DRM issues or gaps and challenges in Ethiopia, which

are mostly drawn from the DRM-SPIF analysis (DRMFSS, 2014) and ADPC’s assessment

report (ADPC, 2017).

Table 1.1 DRM Gaps/Issues/Challenges in Ethiopia

Gap Type

Gaps/Issues/Challenges

Systems

Level

• Lack of sector-wide linkages and synergies

• DRM has been implemented in a fragmented

manner using separate instruments, process, and

institutions without integration

• In the existing system, much of the DRM budget is

mobilized for response without enough investment

in building resilient households including protec-

tion from shocks

• Weak coordination among multiple government

and other agencies responsible for disaster pre-

vention and mitigation

Institutional • Organizational structures do not have harmonized

Level

roles and responsibilities at federal, regional, and

wereda levels, which can lead to duplication of ef-

forts in key functional areas

• Capacity limitations include physical office space,

equipment, communications including appropriate

technology, and other facilities

DRM compo- • Existing contingency plans are limited in scope and

nents

overall DRM planning are not yet fully aligned to

targeted development plans

• Risk assessment, monitoring and early warning

products (WDRP, LIAS, and the EWS) are not fully

harmonized within one system, which reduces ef-

ficiency

• Communities and development sectors are fully

involved in the contingency planning process at

the wereda level, but the processes are not fully

adopted by sectors for implementation as a result

of low diffusion of knowledge about agreed pre-

paredness measures

• Gaps in preparedness in terms of contingency

planning, early warning, and the linkages to re-

sponse

• Task force structure is currently being decentral-

ized to the regional level, and is only formally pres-

ent in a handful of regions

• EWS is not yet a truly multi-hazard information

collection and dissemination tool, as the major-

ity of data gathered relates only to food security

and drought issues. Furthermore, the ‘backflow’ of

information is weak

• Knowledge base on DRM in Ethiopia remains low

and requires enhancement

• Work of sectoral task forces has been mostly

response-focused

• Gaps in recovery and rehabilitations: 1) no stan-

dard methodologies in practice to assess recovery

needs or to implement recovery activities, and 2)

widespread and fragmented responsibility for re-

covery and rehabilitation across multiple agencies

Remark

For example, NDRMC

and MEFCC have a

cross-cutting man-

date that requires in-

tegration with other

sector ministries

For example, there

is a lack of adequate

communication facili-

ties to transmit early

warning and risk and

vulnerability assess-

ment information

Disaster Risk Re-

duction (DRR) and

contingency planning

were not integrated

with development

priority activities of

respected line minis-

tries and agencies

Gap Type

Other

Gaps/Issues/Challenges

Remark

• Disaster insurance is not yet available, though

Land use planning

there are some risk financing mechanisms in their and land suitability

early stages

consideration are not

• Building Code EBCS-8 deals specifically with the

seriously considered

design of structures for earthquake resistance, but as per recommenda-

there are gaps in implementation and enforcement tions made by Envi-

• DRR considerations are not featured in the plan- ronmental and Social

ning process for private constructions under the Impact Assessment

Ethiopian Building Proclamation 624/2009

(ESIA) studies

Source: (DRMFSS, 2014; ADPC, 2017)

References and Additional Reading:

Asian Disaster Preparedness Center (ADPC). (2017). Assessing DRM capacities of NDRMC. Bangkok.

Benson, C. & Twigg, J. (2007). Tools for Mainstreaming Disaster Risk Reduction: Guidance Notes for Development

Organizations. Prevention Consortium. Retrieved from http://www.preventionweb.net/files/1066_toolsformain-

streamingDRR.pdf

Disaster Risk Management and Food Security Sector (DRMFSS). (2014). Disaster Risk Management Strategic

Programme and Investment Framework. Ministry of Agriculture, Government of Ethiopia. Retrieved from http://

www.dppc.gov.et/downloadable/Documentation/DRM%20SPIF%202014%20-%20Final.pdf

Relief Web (n.d.). Ethiopia: Floods - Apr 2016. Retrieved August 24, 2017, from http://reliefweb.int/disaster/fl-

2016-000045- eth

Food and Agriculture Organization (FAO). (2015). The Impact of Natural Hazards and Disasters on Agriculture and

Food Security and Nutrition. A Call for Action to Build Resilient Livelihoods. Retrieved from http://www.fao.org/3/

ai4434e.pdf

Food and Agriculture Organization (FAO). (2016). Ethiopia: Situation Report – November 2016. Retrieved from

http://www.fao.org/3/a-bs138e.pdf

Government of Ethiopia. (2013). National Policy and Strategy on Disaster Risk Management. The Federal

Democratic Republic of Ethiopia, Addis Ababa.

Government of Ethiopia. (2011). An Atlas of Ethipian Livlihoods. Retrieved from http://foodeconomy.com/wp-

content/uploads/2016/02/Atlas-Final-Web-Version-6_14.pdf%0D

Kimball, T. (2012). Livestock Production Systems and their Environmental Implications in Ethiopia. Retrieved from

http://web.colby.edu/eastafricaupdate/files/2012/02/Environmental-Policy-Review-2011_Chapter-3_color_

small.pdf

National Disaster Risk Management Commission (NDRMC). (2017). Capacity Building Support to National Disas-

ter Risk Management Commission, Government of Ethiopia. The Federal Democratic Republic of Ethiopia, Addis

Ababa

OCHA. (2017). Weekly Humanitarian Bulletin, Ethiopia. Retrieved from

http://reliefweb.int/sites/reliefweb.int/files/resources/02_january_hb_final.pdf

Trobe, L., Sarah, & Davis, I. (2005) Mainstreaming Disaster Risk Reduction: A Tool for Development Organizations.

Tearfund. Retrieved from https://www.unisdr.org/2005/HFdialogue/download/tp2-Tearfund-Mainstreaming-

drr.pdf

World Bank. (2009). Disaster Risk Management Programs for Priority Countries: Africa. Global Facility for

Disaster Reduction and Recovery. Retrieved from http://www.unisdr.org/files/14757_6thCGDRMProgramsforP

riorityCountrie.pdf

World Food Programme. (2016). WFP El Nino response. Retrieved from http://documents.wfp.org/stel-

lent/groups/public/documents/newsroom/wfp281333.pdf?_ga=2.175537515.877408405.1503618606-

1786875748.1503618606

UNISDR. (2005). Hyogo Framework for Action 2005-2015: Building the Resilience of Nations and Communities to

Disasters. Retrieved from http://www.unisdr.org/files/1037_hyogoframeworkforactionenglish.pdf

UNISDR. (2015). Sendai Framework for Disaster Risk Reduction 2015-2030. Retrieved from http://www.unisdr.org/

files/43291_sendaiframeworkfordrren.pdf

UNISDR. (2015). Proposed Updated Terminology on Disaster Risk Reduction: A Technical Review. Background

Paper. Retrieved from http://www.preventionweb.net/files/45462_backgoundpaperonterminologyaugust20.

pdf

Part 2: Mainstreaming Disaster Risk

Management into Development

2.1 DRM Mainstreaming and its Significance in Resilience Building

Defining DRM Mainstreaming

The most all-encompassing definition argues that DRM mainstreaming means, “to

consider and address risks emanating from natural and anthropogenic hazards in

medium-term strategic development frameworks, in legislation and institutional

structures, in sectoral strategies and policies, in budgetary processes, in the design

and implementation of individual projects and in monitoring and evaluating all of the

above” (Benson, 2009; Benson and Twigg, 2007, p 5).

As illustrated in Figure 2.1, mainstreaming of DRM includes both risk assessment and

risk treatment elements. It can be defined as any actions, processes, and practices

that take into consideration and integrate risk factors and the possible effects of

disasters, and that identify and promote DRM as a key social, economic, environmental,

and developmental agenda priority. It thus seeks to integrate DRM into conceptual

and strategic frameworks, as well as institutional thinking. Furthermore, it seeks to

translate these into programs and activities from the national to local levels, and across

various development interventions (i.e., both vertically and horizontally).

Horizontal Mainstreaming

Disaster Risk

Management

(Risk

assessment &

risk treatment)

National

level

Regional &

zone level

Rural &

urban

Wereda

Development

policy & strategy,

comprehensive

development

plan

Institutional

structure &

mandates,

systems

Development

programs

& projects,

budgeting

Knowledge

& capacity

building for

implementation

Kebele

Development interventions

Figure 2.1 Conceptual Framework for Mainstreaming DRR into Development (Adapted from ADPC, 2014)

The above concept is successfully applied by countries through creating linkages

between the DRM processes and the existing development planning frameworks.

Essential elements include: 1) accessible, understandable, and recent risk information;

2) assessment of the costs and benefits of potential actions; and 3) development of

appropriate risk treatment measures.

The Importance of Mainstreaming DRM

Development has the potential to create new forms of vulnerability, and exacerbate

existing ones, resulting in the hampering of efforts to reduce poverty and promote

positive development growth. For instance, the frequency and severity of disasters

resulting from natural hazards are increasing (Figure 2.2). Therefore, it is essential that

the process of development planning is able to identify and analyze the underlying

causes of risk and their potential impacts, as well as understand how to develop

measures to reduce potential risk and overall losses (Figure 2.2).

Figure: 2.2 Overall and Insured Losses from the World Natural Catastrophes, 1980 to 2016 (Munich Re, 2017)

In 2016, the National Planning Commission of Ethiopia raised serious concerns over

the impacts of El Niño-caused drought on the country’s GDP 2015-16 (Box 2.1), which

resulted in slow economic growth.

Box 2.1 Ethiopia’s Economic Growth by Eight Percent

The National Planning Commission of Ethiopia reported that the country’s economy

grew by 8% in the 2008 Ethiopian fiscal year (2015-16). In a press briefing, Dr. Yinager

Dessie, Commissioner of the National Planning Commission said the projected target

had been 11% and the main reason for failing to achieve this figure was the worst ever

El Niño-caused drought, which the country faced during the previous fiscal year. The

drought led to failed harvests, and 95% of the country’s meher (main harvest) production

was affected. The economy experienced rapid growth in the manufacturing and service

sectors, but it still remained significantly reliant on agriculture. Inevitably, the El Niño

climate phenomenon hit Ethiopia’s economy hard, with record dry weather undermining

the all-important agricultural sector.

Source: Muktar, 2016

One way of protecting development gains and reducing disaster risk is to mainstream

DRM into the development planning from public policy making, to socioeconomic and

physical planning (at all levels and across all sectors), including the allocation of public

resources and staff dedicated for implementation of all development projects in hazard

prone locations. In theory, three key objectives of mainstreaming DRM are defined in

Box 2.2. In addition, mainstreaming is important because DRM is not a sector in itself,

but a process to protect development, reduce losses, and to support growth. It cuts

across sectors and governance spheres.

Box 2.2 Key Objectives of Mainstreaming DRM

• Trobe & Davies (2005) outlined three key objectives of mainstreaming DRM:

• To make certain that all national, sector, and local development programs and projects

are designed with evident consideration for potential disaster risk and to resist hazard

impact.

• To make certain that all national, sector, and local development programs and projects

do not inadvertently increase vulnerability to disaster in all sectors: technical, social,

financial, economic, and environmental.

• To make certain that all national, sector, and local development programs and projects

are designed to contribute to developmental aims and to reduce future disaster risk.

Source: (Trobe & Davies, 2005)

Over the past 10 years, and particularly since the introduction of the Hyogo Framework

for Action (HFA) in 2005 and the Sendai Framework for Disaster Risk Reduction (SFDRR)

in 2015-2030, there has been an increasing recognition of the need to mainstream

DRM into development (Table 2.1).

Table 2.1 Priorities for Actions for Mainstreaming DRM

Sendai Framework (2015-2030): Priorities Hyogo Framework for Action (2005 – 2015)

for Actions

Priorities for Actions

Priority 1: Understanding disaster risk

(Example: Promote the incorporation of di-

saster risk knowledge, including disaster

prevention,mitigation, preparedness,

response, recovery and rehabilitation, in formal

and non-formal

education)

Priority 1: Making disaster risk reduction a

priority

(Example: Assess and develop the institutional basis

disaster risk reduction, policy instruments and tools

to support national institutional and legal frame-

works, legal and regulatory)

Priority 2: Strengthening disaster risk gover-

nance to manage disaster risk

(Example: Mainstream and integrate disaster

risk reduction within and across all sectors)

Priority 2: Improving risk information and early

warning

(Example: Establish an initiative for community risk

assessment to combine with country assessment,

review the availability of risk related information

and capacities for data collection and use)

Priority 3: Investing in disaster risk reduc-

tion for resilience

(Example: Promote mechanisms for disaster

risk transfer and insurance, risk-sharing and

retention and financial protection, as

appropriate, for both public and private

investment)

Priority 3: Building a culture of safety and

resilience

(Example: Develop or utilize DRR training for key

sectors based on identified priorities, availability of

education material and relevant training on disas-

ter risk reduction)

Priority 4: Enhancing disaster preparedness

for effective response and to “Build Back

Better” in recovery, rehabilitation and recon-

struction

(Example: Promote the incorporation of disaster

risk management into post-disaster recovery

and rehabilitation processes, facilitate the link

between relief, rehabilitation and development)

Priority 4: Reducing the risks in key sectors

(Example: Environment - Incorporate DRR in

environmental management, Physical planning -

Establish measures to incorporate DRR in urban

and land use planning, Economic development -

Stimulate DRR activities in production and service

sectors)

Priority 5: Strengthen disaster preparedness

for effective response

(Example: Strengthen planning and programing for

disaster preparedness, promote the incorporation

of risk reduction into official post disaster recon-

struction plans and actions)

Source: (UNISDR, 2005, 2015)

Guided by these global frameworks, the Programme of Action for the Implementation

of the Sendai Framework for Disaster Risk Reduction 2015-2030 in Africa further

promotes actions for DRM mainstreaming in Africa, including Ethiopia (Table 2.2).

Table 2.2 Priorities for Actions for Mainstreaming DRM

Sendai Framework (2015-2030) Africa Regional Strategy for Disaster Risk Reduction

Priority for Actions

(Programme of Action (Phase I: 2016-2020)

Priority 1: Understanding disas-

ter risk

National: Institutionalize risk assessment and analysis for

risk-informed decision making in all sectors

Example: Integrate DRR in education and training systems,

with adequate resourcing and capacities

Sub-national/ local: Engage and sensitize communities

in risk profiling, monitoring, and assessment for decision

making

Example: Equip national and sub-national officials, CSOs

and local communities, including women and youth, with

knowledge and capacities, including training in participatory

risk assessment, for monitoring and analyzing risk

Priority 2: Strengthening disas-

ter risk governance to manage

disaster risk

National: Formulate, improve and sustain policies, strate-

gies, plans and legal frameworks for DRR and integrate

them into sustainable development strategies

Example: Formulate or reinforce regulations, standards and

codes to incorporate DRR and improve legal and regulatory en-

vironment for enhanced DRR appropriate for rural and urban

areas.

Sub-national/local: Decentralize powers and resources to

catalyse disaster risk reduction actions at the sub-national/

local level

Example: Develop the leadership and capacity of subnational/

local authorities to work with community structures, civil society

and other local partners to advance local DRM

Priority 3: Investing in disaster

risk reduction for resilience

National: Establish, and allocate adequate resources for,

disaster risk reduction investment plans and create an

enabling environment to induce increased investment in

DRR, including through integrating DRR measures in fiscal

and financial instruments and optimizing contribution of

response funds to DRR

Example: Develop risk management and resilience guidelines

on safety of schools, health facilities and critical infrastructure

Sub-national/local: Promote risk-reducing investments,

including implementing micro-insurance and social safety

net programs

Example: Promote integration of DRR in community infrastruc-

ture and livelihood investments

Priority 4: Enhancing disaster

preparedness for effective re-

sponse and to “Build back Better”

in recovery, rehabilitation and

reconstruction

National: Establish and strengthen emergency prepared-

ness, response and recovery support and coordination

mechanisms, capacities and facilities, including coordination

centers

Example: Develop national strategy for effective prepared-

ness and response that integrates gender-responsive DRR

measures and the “Build back Better”

Sub-national/local: Establish and strengthen multidisci-

plinary local disaster risk management mechanisms

Example: Promote decentralization of authority and budget of

national nodal institutions in DRR to sub-national/local levels

Mainstreaming DRM into Development: Ethiopia’s Current Situation and Needs

A series of government development strategies (e.g., PASDEP 2005-2009, and GTP-

1&2 2010-2015 and 2016-2019) have emphasized the importance of DRM. In addition,

there are other policies and strategies that pointed out the need to concentrate on

reducing, in the long and medium-term, drought vulnerabilities and vulnerabilities due

to other natural calamities in the region (Figure 2.3).

Policy & Strategies with

DRM Linkages

Agriculture Sector Policy and

Investment Framework (PIF) 2010 - 2020

Climate Resilient Green Economy

(CRGE) - 2011

Disaster Risk Management Strategic

Programme And investment Framework

DRM-SPIF - (2014)

DRM Considerations

GTP II (2015/16-2019/20)

National Social Protection Policy - (2012)

National Nutrition Strategy

Others*

* Food Security Strategy (under GTP – I, 2010); IGAD Drought Disaster Resilience and Sustainability Initiative (IDDRSI) Strategy

(2012); National Action Plan for Gender Equality (NAPGE)2006-2010; National Women’s Policy

Figure 2.3 Policies & Strategies in Ethiopia with DRM Linkages

Mainstreaming DRM into Development: Ethiopia’s Current Situation and Needs

A series of government development strategies (e.g., PASDEP 2005-2009, and GTP-

1&2 2010-2015 and 2016-2019) have emphasized the importance of DRM. In addition,

there are other policies and strategies that pointed out the need to concentrate on

reducing, in the long and medium-term, drought vulnerabilities and vulnerabilities due

to other natural calamities in the region (Figure 2.3).

Note: The above policies and DRM consideration are only illustrative and not exhaustive)

Although these policies and strategies emphasized the need for DRM mainstreaming, there

are gaps at the system, institutional, and DRM levels that need to be addressed (Table 1.1).

In order to enhance the effectiveness of DRM mainstreaming, DRM capacity building in the

country should aim to strengthen following external and internal linkages (DRMFSS, 2014):

External Linkages:

Policy level: Harmonize potential policy overlaps between climate change adaptation

and mitigation strategies (CRGE), social protection, and DRM, as well as work to jointly

mainstream the policies in one process

Institutional level: Develop clear coordination structures and through them elaborate

the roles and responsibilities of each institution to demonstrate the synergy required to

reach common GTP and CRGE objectives

Operational level: Develop common implementation systems with the aim to integrate

all aspects of the DRM cycle within a common set of instruments

Internal Linkages:

Information systems: Further harmonize the various DRMFSS approaches and

products with mandate areas and target objectives of development sectors so that

risk assessment, monitoring, and early warning is one continuum that informs decision

making throughout the DRM cycle

Contingency planning: Link contingency and DRR planning much more closely with the

regular development planning process and to the response through current and new

instruments

Response: Work to harmonize current emergency appeal system with risk financing

instruments under overall DRM framework

Funding modalities: Funding mechanisms along with contingency planning and

preparedness are all system level requirements and must work together. Funding

mechanisms must deliver resources to the point of need in the time frame available

for response and thus need to be streamlined and fully incorporated into the DRM

cycle rather than as a separate process.

Expected Outcomes of Mainstreaming DRM into Development in Ethiopia

In general, the effective integration of DRM into the development process results in risk-

sensitive development, which has two fundamental outcomes:

• First, DRM integration gradually leads to the protection of all existing and new public

assets against the impacts of hazard events. Over time, awareness of potential

hazard impacts leads to investment in the protection of existing assets. Similarly,

protective features gradually become part of the normal investment in any new

asset. The aim, for example, is that all highways and schools can withstand the

adverse effects of natural hazards to a reasonable degree.

• Second, integrating DRM seeks to avoid the creation of new forms of risk due to an

increase in the exposure or vulnerability of populations and assets. This means, for

example, that socio-economic policies will not increase the exposure of populations

or assets, like an agricultural policy that encourages farming settlements in an

inadequately protected flood plain. It also means that all new physical developments,

like rail lines and housing developments, are undertaken with consideration not only

of the potential hazard impacts on the asset itself, but also of the potential impacts

on the surrounding area. As such, these developments do not exacerbate existing

risks or create new ones for nearby communities or assets.

In Ethiopia, the expected outcomes of mainstreaming DRM into development are

clearly shown in Figure 2.4. The objectives and goals will be achieved through the

implementation of key activities highlighted in the DRM-SPIF document. A number

of priority areas for investment have been identified within the DRM cycle, including

information management systems support, DRR programming, climate change

adaptation (CCA)/DRR/social protection integration, DRM coordination, international

collaboration and engagement, capacity development, and DRM mainstreaming, DRM

volunteer scheme, among others).

Mainstreaming

DRM in Ethiopia

Objective & Goals

Goal: To contribute to Ethiopia’s

achievement of middle income

status by 2020.

Objective: Mainstream DRM into all

sectors, and ensure DRM is integrated

into regular development

programmes and implemented at

all levels.

Expected Outcome with

DRM Consideration

Figure 2.4 Expected Outcome of Mainstreaming DRM in Ethiopia (Authors’ compilation from DRM-SPIF)

2.2 Existing Tools, Methods, Approaches and Policy Environment

Supporting DRM Mainstreaming in Ethiopia

2.2.1 Wereda (District) Disaster Risk Profile

The Wereda Disaster Risk Profile (WDRP) is a representation of information regarding

a population, place or system’s exposure, sensitivity, and resilience to given hazards

that can be applied to disaster risk management strategies (National Disaster Risk

Management Commission, n.d.). The tool adopted a conceptual framework as outlined

in the HFA, wherein vulnerability, hazards and capacity to cope are three basic

elements of DRM. The profiles are in the process of development stage for selected 35

rural districts (weredas) in the country.

The Wereda Disaster Risk Profiling Information Management System (WDRP-IMS) has

been established, which is a database of district/wereda disaster risk profiles that

consist of the hazard/disaster, vulnerability, and coping capacity characteristics of each

of these weredas. The WDRP database is a key component of the entire program, which

provides essential information for contingency and DRR planning as shown in Figure 2.5.

WDRP DATABASE

Key Components

Booklet of WDRP for the Selected

Wereda

Location Map of the Wereda

WDRP Information Management

System in Ethiopia

Figure 2.5 Key Components of the WDRP Database (Authors’ compilation from the WDRP IMS Flyer National

Disaster Risk Management Commission (NDRMC))

To date, WDRP data collection has been conducted for 400 out of more than 800

weredas that are expected to be covered by the WDRP program. The WDRP IMS website

(http://profile.dppc.gov.et) provides close to 300 WDRP from the nine regional states

and one city administration (Figure 2.6).

Figure 2.6 Webpage of Wereda (District) Disaster Risk Profiling Information Management System (NDRMC, n.d.)

Linking with DRM Mainstreaming Process

The WDRP information database provides detailed information about the hazard profile,

including types, frequencies, intensities, geographical coverage, etc. It can be extremely

useful for individual line agencies and local governments who require site-specific and

sector-specific hazard and vulnerability data to assist in design and implementation of

disaster resilient development projects. The data is essential for assessing the level of

disaster risk (for specific project location) as well as informing decisions on the project

design and implementation strategy. Figure 2.7 demonstrates the successful application of

WDRP for disaster risk reduction planning in wereda by the NDRMC of Ethiopia.

Wereda

disaster risk

profile

Information about

the disaster risk

factors

Early warning systems

Disaster risk mitigation/

adaptation planning

Contingency planning

Development activities

‣‣ Facilitates timely response at a wereda

‣‣ Monitoring hazard situation based on

comparing with baseline (WDRP)

‣‣ Location-specific EWS according to the

main risks of the area

‣‣ Management of factors of disasters

(from WDRP)

‣‣ Informing development plans/

programmes for disaster risk mitigation/

adaptation

‣‣ Improve preparedness for adverse

events

‣‣ To assign roles and responsibilities for

the wereda emergency response

Figure 2.7 Application of Wereda Disaster Risk Profile (NDRMC, n.d.)

The NDRMC of the Government of Ethiopia has developed 107 WDRP contingency plans

in collaboration with the regional and wereda sectoral experts and non-governmental

organizations in the weredas. The plans demonstrate the successful application of WDRP

data and information into wereda DRR plans.

2.2.2 National Policy and Strategy on Disaster Risk

Management, 2013

Linking with DRM Mainstreaming Process

The National Policy and Strategy on Disaster Risk Management (NPSDRM) clearly provides

direction and strategies for mainstreaming DRM into sectoral institutions (Box 2.3).

Box 2.3 Mainstreaming Disaster Risk Management into Sectoral Institutions

An effective disaster risk management system can only be achieved if disaster risk

management is mainstreamed into every sectoral development plan. Disaster risk

management is a cross cutting issue and the responsibility of multiple sectoral

institutions and thus concerned bodies must implement it by integrating it into their

regular development activities. Looking into the current context of the country, however,

attention has not been given to mainstreaming. Unless disaster risk management is

considered integral to development plans of sectoral institutions, it will be difficult to

ensure continued achievements in national development. Therefore, disaster

risk management shall be mainstreamed into development plans of government

institutions and private sector organizations. Moving towards achieving DRM

mainstreaming objectives, the process and practical implementation of DRM

mainstreaming needs to be piloted in 107 selected weredas, where contingency and

DRR plans are already in place.

Strategies

1. A mechanism shall be established for ensuring the mainstreaming of disaster risk

management into government development policies, strategies, plans, and

programs.

2. A proper structure shall be put in place in every designated lead sector

government institution to facilitate the implementation of sector specific disaster

risk management activities.

3. Disaster risk management shall be integrated into school curricula of learning

institutions from primary to higher level as well as into plans of research institutions.

4. It shall be ensured that disaster risk management is mainstreamed into operational

plan of the private sector.

Source: (Government of Ethiopia, 2013)

Further, the policy also assigned lead sector agencies responsible for every hazard at

federal, regional, zonal, wereda as well as at Addis Ababa and Dire Dawa City Administration

levels and they will be responsible for undertaking activities ranging from monitoring to

response (Table 2.3). There shall be a dedicated structure in those lead institutions to be

assigned for performing such tasks.

Table 2.3 Lead Sector Institutions Responsible for DRM in Ethiopia

Sr.no Lead Institutions

Hazard Type

Ministry of Agriculture and Natural Agriculture related hazards and associated

Resources

disasters such as crop pests and diseases as

well as regarding addressing disaster induced

shortages of crop seed supply

Ministry of Livestock and Fisheries Agriculture related hazards and associated

disasters such as livestock diseases as well as

regarding addressing disaster induced short-

ages of animal feed

Ministry of Environment, Forestry Forest and bush fire, climate change, environ-

and Climate Change

ment pollution related hazards and associated

disasters

Ministry of Health

Food shortage induced malnutrition affecting

children and mothers and also other human

epidemics associated with disasters

Ministry of Water, Irrigation and

Floods and other water supply, and water dams

Electricity

related hazards and associated disasters

Ministry of Federal and Pastoralist Conflict related hazards and associated disas-

Development Affairs

ters

Ministry of Transport

Transport service related hazards and associ-

ated disasters

Ministry of Mines

Geological hazards and related disasters, such

as seismic and volcanism (earthquakes and

volcanoes), landslides and slope failure

Ministry of National Defence

Search and rescue, maintaining order, and

providing support to emergency, recovery, and

rehabilitation interventions

Ministry of Urban Development, Urban infrastructure and building and other

Housing and Construction

constructions related hazards and associated

disasters and other urban disasters, including

fire

Ministry of Education

Measures before, during, after the disaster

period to prevent any hazards and related

disasters from interrupting the normal teaching

and learning process, mainstreaming DRM into

school curricula and integrating it into studies

and researches

Regional entities: Region, zone,

They shall assign lead institutions that will be re-

wereda, Addis Ababa and Dire

sponsible for undertaking activities ranging from

Dawa City Administration

monitoring to response with respect to hazards

and related disasters that are not under the re-

sponsibility of the Federal government as stated

under sub-section 5.3 of the National Policy and

Strategy on Disaster Risk Management, Ethiopia

Source: (Government of Ethiopia, 2013)

2.2.3 Disaster Risk Management: Strategic Programme and

Investment Framework (DRM-SPIF)

The DRM SPIF maps the required program components of a comprehensive DRM system

for Ethiopia. It presents clear investment options for partners desirous of supporting DRM

efforts and designs mechanism for efficient and harmonized fund allocation and utilization.

It is a tool that will enable the DRM sector in Ethiopia to fulfil its important role. The goal of

the SPIF is to contribute to Ethiopia’s achievement of middle income status by 2020. One

of specific objectives of the SPIF is “to mainstream DRM into all sectors, and ensure DRM is

integrated into regular development programmes and implemented at all levels” (DRMFSS,

2014).

Linking with DRM Mainstreaming Process

The activities specifically highlighted for mainstreaming DRM are:

• Assess key sectors areas of the country. Sectoral assessments of successful DRM

mainstreaming in public construction, urban land use planning, water management

and irrigation, including an analysis of climate change, where relevant.

• Produce and implement operational guidance on DRM mainstreaming.

Integration of DRM into the development policies legislation or mandatory guidance.

• Networking and influencing development organizations/institutions.

This includes the dissemination of operational guidance document(s) to all relevant

development actors, ensuring that relevant task forces conduct training for members

on the operational guidance documents, and ensuring that risk analysis and

implementation of the operational guidance document is established as criteria for all

newly funded projects.

References and Additional Reading:

Benson, C. (2009). Mainstreaming Disaster Risk Reduction into Development: Challenges and Experience in the Phil-

ippines. Geneva: ProVention Consortium. Retried from http://www.proventionconsortium.net/themes/default/

pdfs/mainstreaming_philippines.pdf

Benson, C. and Twigg, J. (2007). Tools for Mainstreaming Disaster Risk Reduction: Guidance Notes for Development

Organisations. Geneva: ProVention Consortium. Retrieved from http://www.preventionweb.net/files/1066_

toolsformainstreamingDRR.pdf

Disaster Risk Management and Food Security Sector (DRMFSS). (2014). Disaster Risk Management Strategic

Programme and Investment Framework. Ministry of Agriculture, Government of Ethiopia. Retrieved from http://

www.dppc.gov.et/downloadable/Documentation/DRM%20SPIF%202014%20-%20Final.pdf

Munich Re. (2017). Topics Geo 2016. Retrieved from https://www.munichre.com/site/touch-publications/get/

documents_E-271800065/mr/assetpool.shared/Documents/5_Touch/_Publications/TOPICS_GEO_2016-en.pdf

Muktar, A. (2016). Ethiopia’s National Planning Commission says economy has grown by eight percent. Retrieved

from http://www.ethiopianmission.ch/2016/12/09/ethiopias-national-planning-commission-says-economy-

has-grown-by-eight-percent/

UNISDR. (2005). Hyogo Framework for Action 2005-2015: Building the Resilience of Nations and Communities to

Disasters. Retrieved from http://www.unisdr.org/files/1037_hyogoframeworkforactionenglish.pdf

UNISDR. (2015). Sendai Framework for Disaster Risk Reduction. Retrieved from http://www.unisdr.org/

files/43291_sendaiframeworkfordrren.pdf

UNISDR. (n.d.). Ethiopia - Multi-hazard Profile. Retrieved from http://www.DesInventar.net/DesInventar/pro-

filetab.jsp?countrycode=eth

Government of Ethiopia. (2013). National Policy and Strategy on Disaster Risk Management. The Federal Demo-

cratic Republic of Ethiopia, Addis Ababa

National Disaster Risk Management Commission(NDRMC). (n.d.). The Wereda (District) Disaster Risk Profiling

Information Management System (WDRP IMS). Retrieved from http://profile.dppc.gov.et

UNISDR. (n.d.). UNISDR Monitoring and Evaluation Framework. Retrieved from www.unisdr.org

World Bank. (2015). Addis Ababa, Ethiopia Enhancing Urban Resilience. City Strength Resilient Cities Programme.

The World Bank Group: Washington, DC

World Bank. (2013). Ethiopia: Using a Social Safety Net to Deliver Disaster Insurance to the Poor. Case Study. The

World Bank Group

Part 3: Process of Disaster Risk

Management Mainstreaming

3.1 Conceptual Framwork

The development planning process provides the backdrop for mainstreaming DRM.

It covers planning, investment programming, budgeting, staff development,

implementation, monitoring and evaluation stages. Mainstreaming DRM is essential to

integrate disaster (including climate) risk consideration that is to embed DRM process

into each stage of development planning practices where relevant (Figure 3.1).

Horizontal Mainstreaming

National

level

Disaster Risk

Management

(Risk

assessment &

risk treatment)

Regional &

zone level

Rural &

urban

Wereda

Development

policy & strategy,

comprehensive

development

plan

Institutional

structure &

mandates,

systems

Development

programs

& projects,

budgeting

Knowledge

& capacity

building for

implementation

Kebele

Development interventions

Incorporate

DRM into

Establish context

Risk assessment

Risk analysis

Risk evaluation

Risk treatment

Mitigation

Preparedness

Response

By doing so, DRM will become an essential part of usual practice in formulating

development policies and strategies, including long, medium and annual planning; and

designing, implementing, monitoring, and evaluating programs/projects in the context of

disasters. This will take the following fundamental points of view:

• If development goals and interventions (policies, plans, programs, and projects) are

affected by disaster(s), which effective DRR measures should be implemented to

avoid or minimize the negative impacts?

• If development interventions increase the likelihood of a disaster or increase the

potential for damaging effects of a disaster (exposure and vulnerability to hazard

increased), what are the doable and effective measures to ensure exposure and

vulnerability will be avoided or limited?

• Development project approvals are typically completed on the basis of

recommendations shown in the ESIA document, however, project design and

subsequent implementation in several cases are not in line with anticipated risk

consideration. In the context of Ethiopia, the possible option to incorporate DRR

measures is to engage NDRMC for project approval in regards to risk consideration.

3.1.1 Managing Development: The Process

Development frameworks are complex and multi-faceted, encompassing a wide range

of process and tools that make up development as a whole. Development is not a

linear process. It is achieved through a range of interlocking and overlapping cyclical

process (Figure 3.2). A solid framework for mainstreaming will seek to integrate DRR

into each area of the development framework.

Strategic & broad

Medium to long term

Policy

M&E

Planning

Short to medium term

Budgeting

Implementation

Figure 3.2 Development Framework Process (ADPC, 2013)

The development framework can be split into four areas: policymaking, planning,

budgeting, and implementation. Policymaking and development planning have a

medium to long-term scope, anywhere from 3 to 30 years. Budgeting and project

implementation, on the other hand, have much shorter recurrence periods, often

occurring annually.

Within each of these areas, there are a number of different kinds of tools and

instruments that may be utilized. Each tool typically follows a particular procedure for

its development and implementation.

3.2 Mainstreaming DRM into Policy Making

Establishing a risk sensitive policy environment supports effective integration of DRM

into the broader development process. Government policy is a primary instrument used

by governments to officially address societal problems and steer the development of

a country. While government policy is an intrinsically fluid and broad term that refers

to all government decisions about public management, formal public policies are

frequently long-term, overarching frameworks that set the goals, objectives and guiding

principles for public action. Public policy development is the principal method used

by governments to highlight priority issues and direct resources towards them. Key

considerations in public policy and DRM mainstreaming in policy development are as

follows:

•

A government policy, often formalized as legislation, is developed by government

officials and agencies, and typically affects considerable numbers of people

(Anderson, 2003).

•

A single government policy can either address an issue related to a specific sector

(e.g., health care policy), or it can span several sectors (e.g., natural resource

management policy, which affects agriculture, fish, environmental management,

forestry, mining, etc.).

•

Government policies are not restricted to national levels; depending on the size and

level of decentralization in a country, relevant policies may be designed at subnational

levels.

•

Public sector development policies are a prime tool for managing disaster risk. A

policy environment that includes active consideration and response to disaster risk is

fundamental in setting the stage for risk resilient socio-economic development.

•

The integration of DRM into the policy making process facilitates the systemati

consideration and adoption of risk resilient policy options or alternatives. When

effectively implemented, the risk resilient objectives are translated into sector-

specific policy responses, budgets and, ultimately, actions.

Goals of DRM mainstreaming into policy

•

Goals and targets that will not be potentially thwarted by natural hazard events

are adopted in sector policies and responsibilities to ensure implementation are

assigned; and

•

DRM is institutionalized in the policy making process via a prescribed inclusion in

formal government policy making regulatory mechanisms.

Roles of development/DRM practitioners

•

Support the technical aspects of public policy making in the assessment of risk

information and development of risk resilient policy options; and

•

Provide robust up-to-date information of the impacts of disasters on sector

development, the impacts of development policies on disaster risk, and the benefits

of incorporating risk reduction into policies in order to inform policy formulation.

Mainstreaming the DRM process into policy making is presented briefly in Figure 3.3 and

general guidance on detailed tasks/activities/roles for DRM mainstreaming into the policy

process has been explained briefly in Table 3.1.

Getting started in mainstreaming DRM into policy making:

• Analyze which sectors are most vulnerable to disaster impacts. The analysis could be

in terms of direct financial losses and services interruption caused. Analysis may

identify those sector activities that contribute to disaster risk;

• Determine which sectors and policy issues to focus efforts and prioritize for DRM

integration;

• Pre-identify important areas and then keep abreast of the latest news on planned

reviews and determine on a case-by-case basis when to get involved;

• A comprehensive risk assessment can be undertaken to identify priority sectors in

which to engage with;

• A national dialogue can be undertaken, engaging key stakeholders such as sector

agencies, civil society, private sector and, where possible, local populations, to ensure

that their viewpoints and concerns are incorporated. To guide this dialogue, the

following questions could be asked:

How have disasters impacted key development goals of the country? How have

current development patterns impacted disaster risks? What may happen in the

future?

Which sectors, population groups, and regions are most vulnerable to the

potential consequences of climate and disaster risks? What are the underlying

causes for their vulnerability (e.g., poverty, degraded natural resources, poor

standards of physical development)?

What has been done, if anything, to reduce disaster risks? Has it been effective?

If not, why?

Getting

Started

Process

Potential Activity

/Action/Role

for DRM

Mainstreaming

into Policy

Outcome

Going

Further

Determine

priority

sectors

for DRM

integration

Agenda

Setting

Policy

Formulation

Policy

Adoption

Policy

Implemen-

tation

Evaluation

and

Feedback

Raise awareness

of disaster risk

Obtain and assess

hazard,

vulnerability and

exposure data

relevant to the

sector and policy

issue Provide

examples of risk

sensitive policy

options

Advocate for the

adoption of risk

sensitive policy

alternatives

Support the

determination of

disaster resilient

measures and

targets within

policy

implementation

guidelines

Assist in the

assessment of a

policy’s DRM

successes and

shortcomings

Include DRM

directives in

regulatory

templates,

guidelines

and

screening

tools for

policymaking

Figure 3.3 Mainstreaming the DRM Process into Policy Making

• In generating information for the policy making process, the following questions may

be asked:

Who has the overall mandate to coordinate policy design (e.g., national planning

agency, national budget and finance agency), and are they normally involved in

sector level planning processes and multi-sector policy making?

What are the overarching policy priorities that the government is committed to

(e.g., poverty reduction, economic growth, etc.)? How can an argument be made

that this requires integrating DRM into sectors?

What are the individual mandates, structures, and decision-making processes in

key sectors? (i.e., individual sectors may be structured quite differently and have

different levels of decentralization)

What policies exist in key sectors? Are there relevant policy initiatives underway?

• Support DRM information and knowledge requirements, such as the international

DRM and CCA agreements, UNFCCC conventions HFA 2005-2015, Sendai 2015-2030,

national DRM and CCA legislation and policy, etc.

Table 3.1 Process of Mainstreaming DRM into Policy Making: General

Guidance

Process Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Agenda

Setting

The policy making process begins with the identifica-

tion of public problems. Societal conditions convert into

problems when the public deems the condition to be

unacceptable and believes that the government can rem-

edy the situation. The government decides which issues

to formally address, prioritizing from among the many

demands for public attention.

The government’s

agenda includes a

concern for disaster

resilient development

Potential activities for agenda setting include:

• Collating disaster risk information and making it read-

ily available for dissemination

• Public awareness raising, for example through the

celebration of a national disaster day

• Focus on how development can intensify exposure

and vulnerability and how disasters have the poten-

tial to offset development gains, emphasizing factors

such as climate change and rapid urbanization that

may influence changes in disaster risk in the future

Policy

Formula-

tion

Policy formulation is the process of deciding on the aims

and objectives for addressing the broad goals that gov-

ernment has placed on the policy agenda. In this stage,

the government creates, identifies or borrows proposed

courses of action, often called alternatives or options, for

resolving or ameliorating public problems.

Evidence-based risk

sensitive policy objec-

tives are included in

the draft policy

Potential activities for policy formation include:

• Forming a committee of legislators and other public

officials to guide the policy formulation process

• Create a committee that is responsible for hearing

relevant testimonies and making decisions based on

the evidence

Process

Policy

Imple-

menta-

tion

Evalua-

tion and

Feed-

back

Potential Activities/Action/Role for DRM

Mainstreaming

• Call upon a DRM practitioner to testify about disaster

risk facing the particular policy issue, including impact

of disasters and the importance of DRM

• Performing a sector risk assessment of the current

and estimated future impacts of natural hazards on

the particular sector, or any post disaster assess-

ments of hazard impacts on the sector should be

presented to showcase how disasters are affecting

development in particular policy areas

• Evidence-based measures for risk reduction: An

information base will allow the DRM practitioner to

suggest possible evidence-based measures for risk

reduction. Use, if available, economic cost-benefit

analysis of investments in disaster risk reduction

• The potential for climate change to affect the sector’s

risk profile should be presented, including sophisti-

cated and complex modelling and analysis

• Local pilot demonstration projects that test the ef-

fectiveness of DRM measures in specific sectors can

foster interest and commitment at both the subna-

tional and national levels

• Research the kinds of risk sensitive policy options

used in similar policies in other sectors or geographi-

cal locations, in order to provide the committee with

examples of policy options that serve to reduce

disaster risk

• Review the policy options under considerations and

offer views and comments from a disaster risk per-

spective, including potential entry points for strength-

ening resilience

This stage of the process encompasses the actions that

government takes to put a law into effect to achieve its

goals.

Potential activities for policy implementation include:

• Consideration for DRM is included in guidelines and

procedures for policy implementation

• Review guidelines before they are adopted to ensure

proper DRM integration

Activities for appraising the achievements, outcomes and

consequences of a policy are part of policy evaluation.

Some policies have a review schedule that includes mid-

term reviews, used by implementing agencies to identify

and adjust problems in implementation. Often, policy

evaluation takes place when the policy issue resurfaces

for revision on the public agenda.

Outcome

Policy objectives

regarding risk reduc-

tion are translated into

implementable actions

Policy revisions take

account of disaster risk

and the effectiveness

of risk reduction

Potential activities for evaluation and feedback include:

• Preparing study reports of disaster events that oc-

curred during policy implementation to help deter-

mine whether the policy’s programs were successful

in reducing disaster impacts

• Communicating the findings to the body responsible

for policy evaluation to help government make the

necessary changes in the policy provisions or pro-

gram implementation, or both

Going further in mainstreaming DRM into policy making

• Adopt various tools in an attempt to facilitate a standardized and transparent policy

making process;

• Develop policy formulation guidelines and templates: National agency foreplaning

(in Ethiopia’s context, National Planning Commission) may include a requirement to

reflect on the disaster risk affecting the policy issue and to consider DRM options

when drafting the policy proposal; and

• Adapt policy screening tools such as the Strategic Environmental and Social

Assessment (SESA) to consider how policy objectives can be affected by disasters and

how policies can influence exposure and vulnerability to disasters.

3.3 Mainstreaming DRM into Development Planning

Development plans that fully consider and address disaster risk are a crucial element

of sustainable development. While government policies strategically guide public

management on specific issues, development plans broadly determine what needs

to be achieved in a country over a certain time period. These plans provide an

overarching strategic framework, where long-term goals for the country are

established, and the objectives, strategies, and targets to move the country towards

those goals are detailed.

Development planning is a continuous and cyclical process of analyzing the context

and setting objectives, formulating, adopting, and implementing the plan, as well as

evaluating the implementation. After evaluation, it is back to analyzing the present

context, identifying new objectives, and so on. Depending on the level of inclusion in

the process, identifying objectives and setting the strategies can involve consultations

with a whole range of actors from government line agencies to decentralized

government bodies, from civil society and the private sector to international partners.

Goals of DRM mainstreaming into the development planning process

• Increase awareness of the disaster risk affecting the country and particular priority

sectors is recognized as a development challenge, potentially threatening the

sustained achievement of plan goals and objectives; and

• Create development plans to lay out clear overarching goals, objectives, and

strategies for enhancing resilience, and integrate them as relevant into sector

specific strategies, initiatives, and programs.

Roles of development/DRM practitioners

• Support the national planning agency to take account of disaster risk through the

provision of information to identify disaster risk and understand how reducing risk

enhances development; and

• Work with line ministries and subnational governments to incorporate disaster

resilience as an integral part of sector development strategies and initiatives.

Mainstreaming the DRM process into development planning process is presented

briefly in Figure 3.4 and general guidance on detailed tasks, activities, and roles for DRM

mainstreaming into the development planning process has been explained in Table 3.2.

Getting started in mainstreaming DRM into the development planning process

• Which body has the overall mandate to coordinate development planning?

• What are the basic stages in the planning process and what is the timeline? Who is

consulted (e.g., sector agencies, communities, CSOs, development partners, private

sector, etc.) and when?

• Are there working groups or committees? What is their composition and function?

Determine which sectors should be prioritized for DRM integration. Given limits in time and

resources, prioritizing sectors will help focus advocacy efforts later on.

Before planning:

• Conduct a risk assessment and cross-sector dialogue to analyze the sectors that are

most vulnerable to disaster impacts and determining priorities;

• Analyze the direct financial losses and service interruption caused by disasters as

well as the extent to which funds were channeled away from development activities

to disaster response and recovery;

• Identify those sector activities that most contribute to an increase in exposure and

vulnerability of populations and assets to natural hazards;

• Encourage the national planning agency to include DRM expertise in all relevant

technical committees; and

• Support DRM information and knowledge requirements, such as relevant

commitments to reduce disaster risk, quantitative and qualitative risk assessments, etc.

Getting

Started

Process

Potential Activity

/Action/Role

for DRM

Mainstreaming

into Planing

Assessment

of Development

Achievements

and Challenges

Goal and

Objective

Setting

Determine

priority sectors

& promote

DRM expertise

in technical

working group

or committee

Plan

Formulation

Plan

Adoption

Implementation,

Evaluation

and Feedback

Encourage

analysis of

disaster impacts

on development

performance

Support the

incorporation of

DRM into the

objectives of

priority sectors

Push for the plan’s

formulation

guidelines to

mandate disaster

risk consideration

Identify indicators

to monitor

disaster impacts

and DRM on plan

performance

Advocate for the

adoption of a risk

sensitive plan

Highlight disaster

impacts on plan

performance

Outcome

Going

Further

Continually

raise aware-

ness of

planners,

Initiate

large-scale

data

collection

mechanisms

Figure 3.4 Mainstreaming the DRM Process into Development Planning Process

Table 3.2 Process of Mainstreaming DRM into the Development Planning

Process: General Guidance

Process

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Assessment

of Devel-

opment

Achieve-

ments and

Challenges

• Assessment and analysis of past achievements and Planners recognize

challenges, as well as the impacts of disasters

the role played by

• Determine how disasters resulted in shortfalls in

disasters and DRM

targets, directly and indirectly

in development

• Emphasize both the intense impacts of any large

performance

disaster that hit in the duration of the past plan, and

the cumulative impacts of small disasters

• Make the connection between DRM and develop-

ment targets, such as poverty reduction

• Undertake disaster risk analysis as part of sector as-

sessments

• Provide relevant background material for undertaking

the assessment (Table 3.3)

• Initiate short-term studies, background papers or

focus group discussions among experts on national

trends that may have affected previous development,

such as changes in migration patterns

• Include studies on urbanization, climate change, and

disaster trends and their impacts

Goal and

Objective

Setting

Once an analysis of the current situation is complete,

goals for the country’s development and sector objectives

for the coming plan period are set. This is usually done by

the national planning agency, in consultation with other

government agencies.

DRM is reflected

as a development

priority of sectors

Potential activities for goal and objective setting include:

• Reference of international agreements, national

frameworks, and post-disaster and risk assessments

to guide the responsible agencies in establishing

specific DRM goals

• Integrate disaster risk as a cross-cutting issue

• Establish specific goals and objectives for DRM

• Ensure that the goals relate to the key disaster risk

issues identified in the assessment of development

challenges, and to objectives in any national legisla-

tion, policies, or action plans for DRM or climate

change adaptation. For example, frequent flooding

may be identified as a development challenge. Pro-

tecting communities in flood prone areas could be a

goal from which strategies and targets are created

• Incorporate DRM into sector goals and objectives.

For example, poverty reduction goals commonly ap-

pear in development plans and their achievement is

strongly linked to disaster risk. Post-disaster assess-

ments, poverty analyses and risk assessments stress

planners to know how:

- Disasters impact human development and

reinforce the poverty cycle;

- Risk reduction efforts can help populations escape

the poverty trap; and

- Efforts to reduce income poverty and improve basic

social conditions can improve disaster resilience.

Process

Plan Formu-

lation

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Formulation of the plan involves identifying the strategies,

initiatives, and responsible parties to achieve the objec-

tives and goals. In this stage, targets and indicators to

monitor the plan’s effective implementation are identi-

fied. Formulation is often a consultative process, where

development of the plan at subnational and local levels

feed into national sector level initiatives and vice versa. At

the end of the process a final draft of the national socio-

economic plan is complete.

Disaster resilient

initiatives are pri-

oritized in the plan

Potential activities prior to plan formulation include:

• Push for the inclusion of DRM-related principles and

priorities in the guidelines so that there is a mandate

to consider and address disaster risk throughout

priority development sectors

• Encourage the use of a risk assessment as part of the

planning process

• Require that development strategies be based on the

results of the risk assessment

• Require the inclusion of specific DRM targets and

indicators for monitoring purposes

• For subnational plans, encourage inter-district or

inter-state considerations for effective DRM

• Develop monitoring and evaluation indicators, drawn

from DRM frameworks and utilized internationally

such as those found in UNISDR’s HFA (use the latest

SENDI) monitor, or the Making Cities Resilient: Local

Government Self-Assessment Tool

Potential activities after plan formulation include (ap-

proval criteria):

• Establish DRM as a required criterion for approval.

The following questions can be incorporated:

- Does the plan adequately consider sector, district,

provincial, or state hazards?

- Does the plan include necessary structural,

non-structural, and environmental measures to

reduce the risk of disaster?

- Does the plan encourage disaster resilient sector

growth in safe locations using resilient practices?

• Advocate and raise awareness of the link between

disasters and development at national and local

levels

• Focus attention on protecting local infrastructure and

development clusters when approving local develop-

ment plans

Process

Plan Adop-

tion

Implemen-

tation,

Evaluation,

and Feed-

back

Potential Activities/Action/Role for DRM

Mainstreaming

Once the draft is finalized, the plan undergoes a final

review or national approval process by government and

civil society representatives. For implementation to begin,

the government must endorse the plan.

Potential activities for plan adoption include:

• Raise awareness on the role of disaster risk in devel-

opment and advocate for the adoption of risk sensi-

tive goals and targets (results of the initial analysis

regarding the effects of disasters on the previous

plan can be used)

• Incorporate findings from the risk assessments and

cost-benefit analyses to bolster the argument

Development plans are implemented by the sector agen-

cies through projects that are programed into annual

or multi annual budgets. The plan will usually have a

review schedule, which calls for one or multiple mid-term

reviews to assess implementation and effectiveness, and

identify the challenges impeding achievement of goals

and objectives. The results of this review feedback to

influence implementation.

Outcome

The medium-term

development plan

promotes risk

sensitive develop-

ment

Plan implementa-

tion is adjusted for

continual improve-

ments in DRM

efficacy and cost

effectiveness

Potential activities for implementation, evaluation, and

feedback include:

• Review the plan to highlight any disaster impacts on

performance and to emphasize the importance of

DRM

• Highlight both direct and indirect impacts of disas-

ters, such as, reallocation of funds for relief and re-

construction making it financially difficult to build the

number of schools required to meet the goal

Information

National socio-economic performance in

relation to disasters, (i.e., reductions in GDP,

missed employment targets). Focus on

underlying drivers.

Sector performance, for example:

• Damage to housing

• Agricultural productivity in flood and

drought affected areas

• Reduced tourism revenues after flight

cancellations

• Production losses in manufacturing sector

due to power outages

• Livelihood setbacks due to damaged facili-

ties and equipment of small, medium and

micro enterprises

Public infrastructure damage and the

implication on public spending, for example:

• Roads, bridges, water supply, drainage

facilities, public schools, and hospitals

Protential Source

MDG reports, HFA, SENDAI, other regional

reports (i.e., The Pacific Plan)

Post-disaster needs assessment

Reviews of economic performance

Disaster-related and early warning reports

from national and local disaster coordinating

councils, NGOs, development and humanitar-

ian aid agency

Business community releases

Reports from appropriate government

agencies such as public works and highways

Source: (ADPC, 2013)

Going further in mainstreaming DRM into the development planning process

Facilitate DRM institutionalization through:

• Continuous awareness raising initiatives – National planning agency or national

DRM agency (in Ethiopia’s context, NPC for planning and NDRMC for DRM) can

allocate regular resources for DRM trainings, orientations, and capacity development

initiatives across all levels of government and sectors.

• Large scale data collection mechanisms – In order to monitor hazard frequency

and intensity, exposure levels, and vulnerabilities on an ongoing basis, an integrat-

ed national disaster information management system should be established, where

assigned institutions (national, sector, local) regularly collect, update, monitor, and

maintain nationwide hazard and vulnerability data.

• Assist or encourage the national data collection agency – Support the National

Bureau of Statistics (in Ethiopia’s context, Central Statistical Agency) to explore the

feasibility of collecting time series household data that incorporates information on

hazard impacts.

3.4 Mainstreaming DRM into Bugetary Process and Resouce

Allocations

Effective integration of DRM into the broader development process does not end with

the establishment of disaster resilient development visions, goals, targets, and

strategies. The execution of public policies and plans requires funding. Governments

typically prepare budgets each year, allocating resources for the forthcoming fiscal

year. These budgets are based on forecasts of both governmental expenditures and

revenues. National government revenues primarily take the form of income, corporation

and sales taxes. Expenditure covers both recurrent expenditure (such as public sector

wages, operational and maintenance costs, and social transfers), and individual capital

investment initiatives.

Effective DRM requires three basic forms of disaster risk financing:

• Financing for dedicated disaster risk reduction and preparedness initiatives (e.g., flood

mitigation, hazard monitoring, early warning systems);

• Financing to ensure that other new development investments (e.g., schools, health

clinics, roads, bridges) are disaster resilient; and

• Financing for disaster response, recovery, and reconstruction/rehabilitation.

In addition, adequate maintenance budgets can play a key role in minimizing loss of life

and property in the event of a natural hazard.

Goals of DRM mainstreaming into budgetary and resource allocation processes:

• Public expenditures on disaster risk reduction, both in total and as a proportion of

expenditureon any individual development investment, are sufficient relative to the

level and nature of disaster risk, the expected social and economic returns, and the

reasonable responsibilities and obligations of government in reducing risk;

• Ensure satisfactory financing arrangements are in place to manage the remaining

risk that could not be reduced. In other words, provide resources for response, early

recovery, and reconstruction/rehabilitation without disrupting existing public

investment plans; and

• Use fiscal instruments to encourage private sector and household investment in

disaster risk reduction and transfer, reducing the government’s contingent liability

(Benson, 2009; Benson and Mahul, forthcoming).

Roles of development/DRM practitioners:

• Support technical aspects of public budgeting for DRM; and

• Ensure that political deliberations are based on knowledge of the potential fiscal,

macroec nomic, and social consequences of disasters, and the net returns to

investments in DRM.

DRM mainstreaming into budgetary and resource allocation process is presented

briefly in Figure 3.5 and general guidance on detailed tasks, activities, and roles for DRM

mainstreaming into budgetary and resource allocation processes has been explained

briefly in Table 3.4.

Getting started in mainstreaming DRM into budgetary processes:

• Understand basic stages in the preparation of the budget, covering the determination

of resource availability and allocation, as well as the time schedule for annual budget

preparation to ensure timeliness of inputs;

• Understand working groups and committees, including their composition and function;

• Understand the processes underlying multi-year budgeting and investment progra

ming, where applied;

• Identify potential allies and plan collaborative efforts at this preliminary stage;

• Advocate for the inclusion of experts on the economics of disasters in budget

committee or technical working group to ensure that disaster risk is adequately

reflected in revenue projections and resource allocations;

• Support DRM information and knowledge requirements, such as contingent liability in

the event of a disaster and specific DRM investment requirements, and quantitative

assessment of disaster related contingent liability;

• Maintain comprehensive databases on historical losses, covering high frequency, low

impact localized events as well as major ones and by collating existing hazard and

disaster risk assessments;

• Review contingent liability estimates on a regular basis;

• Collect site-specific hazard and vulnerability data. Individual line agencies and local

governments require site-specific hazard data to assess the levels of disaster risk

associated with their existing investments and to ensure that new investments are

disaster resilient;

• Determine the level of resilience of existing investments to help determine any

retrofitting needs and maintenance budget requirements, since a considerable element

of disaster risk may be created through poor upkeep;

• Support individual line agencies and local governments in accessing available hazard and

disaster risk data for proposed and existing investment localities;

• Proactively alert relevant line agencies and local governments to areas of high risk and

to particularly vulnerable infrastructure, as well as support the creation of risk-sensitive

land use plans; and

• In Ethiopia’s context, obtain site/local specific hazard data set from wereda profile.

Getting

Started

Process

Potential Activity

/Action/Role

for DRM

Mainstreaming

into Budgetary

Process

Outcome

Going

Further

Resource

Availability

Assessment

Initial

Resource

Allocations

Advocate for

the inclusion

of DRM

expertise in

technical

working

groups

Budget

Requests

Budget

Finalization

and Approval

Budget

Implemen-

tation

Figure 3.5 Mainstreaming the DRM Process into Budgetary Processes

Table 3.4 Process of Mainstreaming the DRM into Budgetary Processes:

General Guidance

Process

Protential Activities/Action/Role for DRM

Mainstreaming

Outcome

Resource

Availability

Assessment

The budgetary process begins with an assessment of

resource availability, focusing on the year ahead. Under

a medium-term budgetary framework the assess-

ment may require a longer period of time. The avail-

able resources may be determined using a complex

econometric forecasting model, a qualitative analysis

of macro-fiscal trends, or some combination of qualita-

tive and quantitative techniques. It takes into account

the potential collection of tax and non-tax revenue,

borrowing capacity and availability of loans, and the aid

committed to support budget programs and projects

(World Bank, 2013).

Potential activities in resources availability assessment

include:

• Encourage the budget or finance agency, the na-

tional planning agency, the Central Bank, and other

key agencies engaged in revenue forecasting to

take potential hazard events into account in their

analysis, if they do not already do so

• Undertake risk-sensitive revenue projections by

examining the implications of a range of moderate

and extreme disaster scenarios for the availability

of public resources

• Provide advice on reasonable disaster scenarios,

including key types of direct losses. Impacts should

include consequences for sector output, imports

and exports, and other macroeconomic aggre-

gates; and implications for public revenue

Disaster risk is ad-

equately reflected in

revenue projections

Initial

Resource

Allocations

Governments often make initial resource allocations

for individual spending agencies over the forthcom-

ing budgetary period based on past spending, new

priorities and policies, and relevant guidance provided

by the cabinet, council of ministers, or a similar body

(World Bank, 2013).

Potential activities in initial resource allocations include:

• Advocate for additional resources for those line

agencies that have adopted new DRM priorities

and policies, or for those who have performed

poorly with regard to DRM in the past due to fund-

ing constraints

• Conduct cost-benefit analyses on the potential net

return to investments in resilience

• Highlight the realized benefits of past DRM spend-

ing by establishing and maintaining a collection

of success stories, covering both local and larger-

scale actions to strengthen resilience of both public

and private initiatives

• Develop evidence on the costs incurred by ignoring

disaster risk, as manifested in subsequent loss of

public infrastructure and related loss of human life

Process

Budget

Requests

Protential Activities/Action/Role for DRM

Mainstreaming

Based on preliminary instructions from the Ministry of

Finance, including specified information on initial re-

source allocations, spending agencies prepare detailed

annual or multiyear budget requests. These requests

reflect sector strategies and the estimated costs of

continuing and new activities. They include specific

items of planned recurrent and capital expenditure

over the budget period.

Outcome

Adequate resources

for: risk-reduction

projects, “disaster

proofing” of new

investments,

post-disaster

financing

Potential activities for budget requests include:

Budget

Finalization

and

Approval

• Make the case for investment in resilience on the

findings of benefit-cost analyses, on evidence on

the realized benefits of past DRM spending, and on

evidence of the costs incurred by ignoring disaster

risk

• DRM-related budget allocations must include:

• Ongoing and newly approved dedicated disaster

risk reduction initiatives;

• Incremental costs incurred in making other on-

going and new development investments resilient;

and

• Potential post-disaster relief, early recovery, and

reconstruction spending requirements.

• Provide helpful technical advice on the additional

costs of strengthening development investments

against natural hazards.

Budget requests of each spending agency are re-

viewed, taking into account sector strategies and the

availability of resources. Following further dialogue

with spending agencies, additional cabinet guidance

and consideration of the required trade-offs, proposed

budget allocations are finalized. The proposed budget

is endorsed by the cabinet and then submitted for

legislative approval. Spending agencies subsequently

finalize their sector strategies and spending plans

(World Bank, 2013).

Potential activities in budget finalization and approval

include:

• Advocate for adequate allocations for DRM where

necessary, supported by a sound analysis of short-

falls in the current proposal

Process

Protential Activities/Action/Role for DRM

Mainstreaming

Outcome

Budget

Implementa-

tion

Once the budget is enacted and spending agency plans

are finalized, the disbursement of funds begins.

Potential activities in budget implementation include:

• Track public spending on both risk reduction and

post-disaster response from all sources of funding

over the course of budget implementation

• Monitor progress in implementation of DRM ac-

tions

• Avoid deviations in project design, scope and cov-

erage of particular development investments that

would lessen disaster resilience

• Inform future structured, evidence-based decision-

making around the appropriate balance and com-

position of risk reduction and disaster relief, early

recovery and reconstruction expenditure (Benson,

2011)

• Categorize all development initiatives according to

one of the following:

• Explicit disaster risk reduction expenditure (e.g.,

construction of sea dykes, research on flood-resis-

tant crops, etc.);

• Spending that incorporates disaster risk reduction

features at some cost, in effect disaster-resilient

development (e.g., construction of seismically

strengthened schools);

• Spending that contributes to disaster risk reduc-

tion at no additional cost (e.g., irrigation); or other

spending (Benson, Gyanwaly & Regmi, 2009).

Future financing de-

cisions are informed

of the balance be-

tween risk reduction

and post disaster

expenditure

Going further in mainstreaming DRM into budgetary processes:

• Mobilizing additional resources for DRM – Public resources are limited and

additional resources therefore need to be secured to help meet the cost in

strengthening resilience. Thus, considerable efforts are required to help identify

additional sources of financing and to support local authorities in accessing these

resources. For example, some of the efforts include:

Advocating for the use of discretionary budget resources under the jurisdiction of

legislative representatives for local risk reduction actions and support the

identification of potential initiatives;

Encouraging local authorities to take disaster resilience needs into account in

determining the use of development partner social funds;

Encouraging local government to offer financial grants, subsidized loans and tax

breaks to stimulate investment in resilience, thereby leveraging increased private

investment in DRM and reducing public contingent liability;

Together with local government, exploring the scope for financing investments in

resilience through user fees, tariffs or benefit-related taxes, focusing in particular

on keyresilience strengthening needs;

Establishing partnerships with local companies to run risk reduction awarness

and capacity building campaigns, focusing on both the business sector and at-risk

households, again reducing public contingent liability;

With support from national DRM practitioners, exploring potential options for

pooling local government disaster contingency funds; and

Advocating for the passage of legislation permitting the transfer of unutilized local

government disaster relief, early recovery, and reconstruction appropriations for

disaster risk reduction at the end of the fiscal year.

• Post-disaster response, early recovery and reconstruction/rehabilitation

financing –Timely and adequate resources for post-disaster response play a key role

in supporting rapid recovery and reconstruction/rehabilitation of a country following

a disaster, and in minimizing indirect impacts and secondary effects incurred as a

consequence of the direct physical losses. These resources can be provided through

ex-ante financing arrangements such as indemnity and parametric insurance and

catastrophe bonds, contingent loans and disaster reserves, each entailing some

element of forward planning, and related budgetary allocation in anticipation of a

disaster.

A layered approach is widely advocated, combining an array of financing instruments to

meet the remaining risk variously associated with low-impact/high frequency, medium-im-

pact/medium-frequency, and high-impact/low-frequency events (Figure 3.6), and including

some instruments that can be activated rapidly.

Encourage the agency responsible for budgeting and finance and other concerned agen-

cies to develop comprehensive financing strategies, building on the analysis of contingent

liability and of the potential fiscal impacts of disasters to determine how they would meet

the liability associated with hazard events of varying severity.

Figure 3.6 Risk Layering and the Application of Financial Instruments (ADB, 2013; Cummins and Mahul, 2009)

3.5 Mainstreaming DRM into Development Projects

Projects are the chief implementation mechanism by which governments use resources

to realize policy goals, action plans, and budgets as tangible outputs. Public investment

projects have specific objectives to achieve within a defined time period and using a

defined budget. As such, many governments use established project management

cycles to guide project-related decision-making. Governments often establish a series of

guidance tools to provide instruction on how to proceed at each stage of the process.

Effective risk-sensitive decision-making requires the integration of disaster risk

assessment and treatment throughout the project management cycle. When disaster

risk is effectively managed, the risk that natural hazards will impede the achievement of

project outcomes is substantially reduced, and the project’s implementation does not

exacerbate the vulnerability and exposure of communities in and around the project

area. This can be done by involve incorporating the following activities:

• Obtaining and understanding the significance of disaster risk information within the

context of the project and make sure it is well identified in ESIA document;

• Incorporating disaster risk considerations into project appraisal; and

• Identifying risk reducing or managing activities for inclusion in project implementation.

Goals of mainstreaming DRM into development projects:

• Ensure that the tools and procedures that guide project management include

directives requiring the consideration, evaluation, and treatment of disaster risk

within the relevant stage of the project management process; and

• Ensure that DRM is incorporated into existing mechanisms for training on public

project management and implementation.

Roles of development/DRM practitioners:

• Advocate for the incorporation of risk information into project concept template;

• Encourage a risk sensitive project appraisal mechanism;

• Support the risk treatment measures and indicators; and

• Encourage risk sensitive project evaluation criteria.

DRM mainstreaming into project cycle management is presented briefly in Figure 3.7 and

general guidance on detailed tasks, activities, and roles for DRM mainstreaming into project

cycle management is explained briefly in Table 3.5.

Getting started in mainstreaming DRM into development projects:

• Understand and critically review the procedures for project formulation and approval

and the responsible agencies;

• Understand and critically review legal requirements for project design (e.g., mandatory

environmental and social assessments);

• Understand and critically review standardized templates or checklists for project

proposals, project planning frameworks, project implementation, monitoring and

evaluation, etc.;

• Follow up with sector planning departments, as sector specific guidelines may be

available;

• Advocate for the inclusion of DRM in project management regulations. The DRM

practitioner can show examples of projects that have been negatively impacted by

recent hazard events, as well as describe how current and future disaster risk

concerns can be addressed using project management tools;

• Support DRM information and knowledge requirements, such as site and sector-

specific hazard and vulnerability data to assist in the design and implementation of

disaster resilient projects;

• Access relevant disaster risk information. DRM practitioners can support individual

line agencies and local governments in accessing available hazard and disaster risk

data for proposed development projects; and

• Access sector-specific disaster risk information. Where possible, the DRM practitioner

can work to make sure sector-specific risk information is also easily available.

Getting

Started

Process

Potential Activity

/Action/Role

for DRM

Mainstreaming

into Project

Management Cycle

Outcome

Going

Further

Resource

Availability

Assessment

Initial

Resource

Allocations

Encourage

DRM

expertise in

project

management

teams

Budget

Requests

Budget

Finalization

and Approval

Budget

Implemen-

tation

Advocate for the

inclusion of

disaster risk

information in the

project concept

template

Encourage the

incorporation of

disaster risk

concerns in

existing project

appraisal mecha-

nisms

Support the

adoption of risk

treatment

measures and

indicators via

inclusion in

formulation

guidelines

Encourage the

inclusion of

disaster risk and

DRM consider-

ations in project

evaluation criteria

Aware the inclu-

sion of disaster

risk elements in

ESIA Review ESIA

for its consider-

ation on DRM

Raise

awareness of

DRM

integrated

project

management

regulations

among

government

contractors

Integrate

DRM into

project

management

training

mechanisms

Figure 3.7 Mainstreaming DRM into Development Projects

Table 3.5 Process of Mainstreaming DRM into Development Projects:

General Guidance

Process

Protential Activities/Action/Role for DRM

Mainstreaming

Outcome

Identifica-

tion

Project identification often overlaps with the planning

and budgeting phases of the development process.

Governments usually identify development projects

based on an assessment of the problems, needs, and

interests of national stakeholders. These potential

projects are screened and prioritizedd based on the

targets and indicators outlined in national develop-

ment plans. The aim of this identification process is to

determine projects eligible for public funding.

Potential activities in identification:

• Include the rationale of the project, details of the

project site, and a baseline assessment of potential

environmental impacts; and

• Develop a template (often the responsibility of the

national agency managing the project such as the

national planning or budget agency), which may

include the following:

• Hazards that affect the project site and the poten-

tial risk they pose to the completion of the project

and accomplishment of its objectives;

• A directive to examine how potential hazard events

are likely to interact with changes brought about by

the project to communities (especially community

livelihoods), environment, and infrastructure; and

• DRM measures that could be integrated into the

project to manage the identified risks.

Projects are in-

formed of disaster

risk

Appraisal

Following project identification, all significant aspects

of the project concept are studied, taking into account

stakeholders’ views, relevance to national development

objectives, feasibility and other issues. The outcome

is a decision on whether or not to take the project

forward.

Potential activities in project appraisal:

• Use project appraisal tools to analyze economic,

social, environmental feasibility, and impact that

provide an important entry point to gather and

assess detailed information on disaster risk (e.g.,

Technical Analysis, Financial Analysis, Economic

Analysis, Social Impact Assessment (SIA), Environ-

mental Assessment, etc.)

• Consider using the environmental assessment as

a logical entry point for incorporating DRM, as it al-

ready concerns itself with the relationship between

the project and its surrounding environment.

• Within the environmental assessment, there are

two main ways to integrate DRM. One is within the

screening process for determining what level of

assessment is required for individual projects, and

the other is within the assessment itself.

• Once the level of screening has been identified, the

scope of the assessment is defined. The guidelines

for environmental assessment should include

hazard assessment for incorporating DRM consid-

eration.

Potential effects of

the project on the

disaster risk profile of

the surrounding area

are noted

Process

Protential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Climate change should be also taken into consid-

eration, such as extreme weather events that may

require higher drainage capacity, sea level rise that

may affect road siting, etc.

Formulation

Once a project is approved for implementation, de-

tailed design and planning is undertaken. Work plans,

logical frameworks, and schedules for implementation

are developed, and the required resources (e.g., hu-

man and financial) are calculated.

Potential activities for project formulation:

• Develop clear and measurable objectives for haz-

ard safety. Critically review the objectives.Use tools

to guide project formulation, which may differ from

project to project. Utilize guidelines for project for-

mulation for DRM integration (e.g., inclusion of risk

treatment measures in project design based on the

results of project appraisal).

• As different types of measures will be necessary for

different types of projects, ensure that these mea-

sures aim to both reduce disaster risk as well as

manage the remaining risk that cannot be reduced.

• Ensure that project budgets include the potential

extra costs of material, skilled labor, etc., to under-

take the DRM measures.

• During project formulation, ensure that disaster

risk-related targets, indicators, means of verifica-

tion, and assumptions in the project’s manage-

ment system or logical framework from the DRM

perspective are well established as per the project

objectives.

• Ensure that project monitoring is established with

a DRM perspective by including the procedures list-

ed below in the relevant section of any guidelines

describing how to set up a logical or results based

framework for project monitoring (UNDP, 2008).

• Include targets and indicators to monitor any DRM

related project components.

• Consider potential hazard impacts when identifying

critical risks and assumptions.

• Include a consideration of natural hazards when

developing the project’s risk management plan and

establishing risk indicators.

• Monitor and assess project performance in terms

of any DRM components and in terms of the

impact of any disaster event on the project and

its surrounding environment. Where necessary,

modify project activities, targets, and objectives

accordingly.

• Promote the establishment of sector-specific DRM

related targets and indicators to use for future

projects.

Risk treatment mea-

sures are included

in project design,

implementation, and

monitoring frame-

work

Process

Protential Activities/Action/Role for DRM

Mainstreaming

• Establish a list of potentially appropriate DRM

indicators by sector or theme that can be referred

to in setting indicators during the design of future

projects.

Implemen-

tation

During the implementation phase, resources to carry

out the planned project activities are agreed upon in

order to achieve project objectives. Progress is as-

sessed through monitoring to enable adjustment to

changing circumstances.

Outcome

Potential activities for project implementation:

• Ensure routine appointment of an independent

monitoring agent or team to be responsible for

tracking and ensuring the project’s compliance with

DRM-specific targets and indicators.

Evaluation

and Feed-

back

The assessment of the project’s relevance and success

is based upon an examination of the efficiency, effec-

tiveness, impact, and sustainability of the project mea-

sured against the project objectives. The conclusions of

this evaluation are taken into account when planning

and implementing similar projects in the future.

Potential activities for project evaluation and feedback:

• Ensure sector and planning agencies include disas-

ter risk and DRM in project evaluation criteria.

• Ensure that standard set of project evaluation

criteria to assess project relevance, effectiveness,

efficiency, impact, and sustainability include DRM

components.

Lessons learned

related to DRM are

incorporated into

any future project

upgrading or in the

formulation of new

projects

Going further for mainstreaming DRM into development projects: Key tasks

• Support actual implementation by raising awareness of government and private

sector contractors and project managers.

• Acquire a list of companies usually contracted by the various sector agencies and

send them information regarding the changes in project requirements with respect

to DRM.

• Contact national organizations responsible for training civil servants on project

management and suggest integrating information regarding the new regulations into

course curriculum.

References and Additional Reading:

Anderson, J.E. (2003). Public Policy-Making: An Introduction. Boston: Houghton Mifflin.

Asian Development Bank (ADB). (2013). Investing in Resilience: Ensuring a Disaster-Resistant Future. Mandaluyong

City, Philippines: Asian Development Bank, 2013.

Asian Disaster Preparedness Center (ADPC). (2013). Integrating Disaster Risk Management into the Development

Process. Disaster Risk Management Practitioner’s Handbook Series. Bangkok.

Benson, C. (2009). Mainstreaming Disaster Risk Reduction into Development: Challenges and Experience in the Phil-

ippines. Geneva: ProVention Consortium.

Benson, C. (2011). Integrating Disaster Risk Reduction into National Development Policy and Practice, in J. C. Gail-

lard, Ilan Kelman and Ben Wisner, eds. The Routledge Handbook of Hazards and Disaster Risk Reduction and

Management. London: Routledge.

Benson, C., R. P. Gyanwaly, and H. P. Regmi. (2009). Economic and Financial Decision Making in Disaster Risk

Reduction: Nepal Case Study. Geneva: United Nations Development Programme.

Cummins, J. D., and O. Mahul. (2009). Catastrophe Risk Financing in Developing Countries: Principles for Public

Intervention—Overview. Washington, DC: World Bank.

UNDP. (2008). Mainstreaming Disaster Risk Management into Sub-National Development and Physical Planning

– A Case Study from the Philippines. Bureau of Conflict Prevention and Recovery, United Nations Development

Programme.

World Bank. (2013). Beyond the Annual Budget: Global Experience with Medium-Term Expenditure Frameworks.

Washington, DC.

Part 4: Guidelines for Mainstreaming

Disaster Risk Management into

Policy and Planning in Ethiopia

4.1 Development Planning Process in Ethiopia3

The Government of Ethiopia has had a planned approach to development since

1952-1953. In 1955, the National Economic Council (NEC) (as administrative machinery)

was established for formulating development plans. The NEC consisted of a planning

board and a secretariat, which was specifically charged with the task of establishing

development plans. Ethiopia’s First Five Year Development Plan (1957-61) and its

Second Five Year Plan (1962-67) were prepared under this arrangement.

3 Getachew 2015

National Planning Commission Commissioner

Internal Audit Service Directorate

Corporate Communication

Directorate

Planning and Finance Directorate

Reform and Human Resource

Management Directorate

Information Technology and

Knowledge Management

Center Directorate

Corporate Supply Service

Directorate

Macro Plan

Preparation and

Management Deputy

Commissioner

Macro Plan Preparation

and Processing

Development

Projects Directorate

Population and

Development

Directorate

Perspective Plan

Preparation and

Research Directorate

Monitoring

and

Evaluation

Bureau

Development Projects

Performance

Monitoring

Directorate

Plan Implementation

Monitoring and

Evaluation

Directorate

Sectoral Plan

Preparation

Deputy

Commissioner

Productive Sector Plan

Directorate

Economic Services Plan

Directorate

Infrastructure Plan

Directorate

Human Resource

Development and

Employment Directorate

Figure 4.1 Organizational Structure of the National Planning Commission in Ethiopia (Authors’ compitation form Getachew, 2015)

Under a new institutional framework, the National Planning Council and National

Planning Commission (NPC) were founded by the Council of Ministers Regulation

no. 281/2013 (Figure 4.1). The NPC is accountable to the prime minister who

is a chairperson of the National Planning Council in Ethiopia (Figure 4.1). The

Council consists of the prime minister (as a chairperson), cabinet ministers

(as members), chief executives of regional states (as members), deputy chief

executives of regional states (as members), Governor of the National Bank

of Ethiopia (as a member), and other organs to be designated by the prime

minister. Powers and duties of the National Planning Council include: 1) setting

overall long-term perspective and five years’ medium-term growth targets; 2)

providing general guidance for planning and development priorities; 3) approving

the plan; and 4) reviewing the periodic evaluation results.

The NPC is accountable to the National Planning Council and has the following

power and duties:

• Serves as the secretariat of the National Planning Council and provides

support as needed;

• Prepares long-term and medium-term development plans and strategies;

• Conducts research and development;

• Conducts monitoring and evaluation; and

• Consults and provides capacity building expertise.

Preparation of National Development Plans and Institution

While preparing the national development plans, the following aspects are

generally considered:

• The Constitution of the Federal Democratic Republic of Ethiopia provides

power to the federal government to formulate and implement national

policies, strategies, and plans with respect to overall economic, social, and

development matters;

• Accordingly, the federal government is responsible for designing and

implementing vertically coherent and horizontally consistent national

development plans, which are based on national development needs and

priorities;

• The national development plan in Ethiopia is internally driven with strong

sense of full ownership and political commitment of the government;

• Sectoral polices and proclamations determine mandates and provide

power to exercise the mandates; and

• To enhance the sectoral integration, four clusters have been established

under the Prime Minister’s Office: 1) Macro Economy Cluster; 2) Finance

and Economy Cluster; 3) Good Governance and Civil Service Reform Cluster;

and 4) Social Issues Cluster.

Key Institutions and Stakeholders

Within the national development plan preparation process, the following clusters,

institutions, and councils have major roles:

• National Macro Economy Cluster

NPC, MoFEC, National Bank of Ethiopia Revenues, and Customs

Authority are the major members

Develop macroeconomic framework based on the government

priority, policy, country vision development priority, global and

regional agreement, trends, etc.

Provide general guidelines and direction

• National Planning Commission

Formulate macro-economic targets and framework

Provide generic guidelines for clusters

Provide technical support to clusters

Ensure the global and regional agenda of mainstreaming

Prepare draft national plan

Consultation and discussion on the draft plan

Preparation and submission of the final national plan to the National

Planning Council and the House of People Representative (HoPR)

• Finance and Economy Cluster, Good Governance, Civil Service Reform

Cluster, and Social Issues Cluster:

Each cluster coordinates and prepares respective line ministry’s plan

based on generic guideline

Mainstream global and regional goals in their plan

Submit respective cluster plans to NPC

• Council of Ministers/National Planning Council

Approve the plan(s)

Provide direction and recommendations

• House of People Representative (HoPR)

Endorse development plan document

Make it a legally binding development plan document for the next

five years

Stages of the Planning Process4

The stages of the planning process in Ethiopia pass through a series of iterative

stages:

Preliminary Stage

• In this initial stage, the state and government, consisting of Council of

Representatives or Council of Ministers, provide guidelines on the

economic, social, and political tasks, which serve as the starting point for

the planning institution to initiate the planning process.

Analytical Stage

• At this stage, evaluations of the socio-economic conditions and the

international economic situation in the country are conducted, as well

as an analysis of the state of the economy at the beginning of the plan

period, assessment of the plan implementation, identification of socio-

economic issues, and identification of development constraints. The

analysis is the foundation for developing goals and objectives for the

development plan. The rates and main proportions of development

needed to attain the set objectives are calculated by:

Preparing alternative growth scenarios that could bring about the

achievement of the specified objectives under various assumptions;

Analyzing the strengths and weaknesses for each scenario and

selecting the best growth scenarios; and

Integrating the above processes to serve as the macro-framework

(guidelines), which contains mainly:

4 The stages of planning process represent the theoretical aspect of planning process and provide options for DRM

mainstreaming. In practice, it is subjected to government structure arrangement in the country.

The analysis of current economic situation;

Overall objectives, goals, and strategies;

GDP and sectoral growth variants;

Investment ceilings (sectoral and global);

The budget frame; and

Balance of payments projection.

Adjustment and Directive Stage

• This stage selects the most appropriate course of development

requirements at various levels with the available resources. This stage

transmits the plan guidelines to sectoral agencies and regional planning

offices with instructions to prepare and submit their own plan proposals

according to a specific time schedule.

Plan Elaboration Stage

• The step involves the process of preparing a draft plan that will be sent to

the highest authority. The sectoral plans will then be further elaborated

and submitted to respective corporations to examine and adjust the

proposals then re-submit to the respective sectoral ministries.

• The ministries will adjust and re-examine the sectoral plan and submit

the consolidated plan to the respective sectoral department planning

institution.

• Sectoral departments of the planning office will examine the plan in-terms

of efficiency and consistency with the objectives, production, service, and

investment targets. This stage would require active interaction with the

respective ministries.

Plan Adoption Stage

• In this stage, the planning office submits the draft plan to the Council of

Ministers of consideration, and the Council of Ministers will make necessary

corrections and adjustments and submit the draft plan to the Council of

Representatives for final approval.

Plan Implementation Stage

• At this stage, the plan approved by the highest organ of state in the

country is distributed by the planning institution to sector ministries,

commissions, regions, etc. Upon receiving the approved plan, sector

ministries, corporations, regions, enterprises, and commissions prepare

action plans based on their respective approved plans and start

implementing it. This stage also involves follow-up and reporting activities

of the implementation phase of the approved plan.

DRM mainstreaming into the development planning process in Ethiopia is

presented briefly in Table 4.1 and general guidance on detailed tasks/activities/roles

for DRM mainstreaming has been explained briefly in Table 4.2.

Table 4.1 Getting Started in Mainstreaming DRM into the Development

Planning Process in Ethiopia: Key Tasks

Mainstreaming DRM

into Development

Planning: General

Guidance

Key Tasks

Remark

Risk assessment and

cross-sector dialogue

are vital for analyzing

the sectors that are

most vulnerable to

disaster impacts and

determining priorities

• Refer to WDRP, reports, analysis, and

Sector is identified as

minutes of sectoral task forces, and Dis- most vulnerable

invetar system for analyzing sectors that

are most vulnerable and priorities

Analyze direct financial •

losses and service inter-

ruption caused by disas-

ters as well as the extent

to which funds were

•

channeled away from

development activities

to disaster response

and recovery

Refer to Disinvetar system for Ethiopia to

gather data on direct financial losses and

service interruption from major recent

disasters

Refer to documents of Ministry Finance

and Economic Development for under-

standing the funds channeled away from

development activities to response and

recovery

Encourage the national

planning agency to

include DRM expertise

in all relevant technical

committees

• Develop or strengthen mechanism or

process to include DRM expertise in all

relevant technical committees respon-

sible for GTP

Where relevant, each

committee of GTP

consists DRM expert

Table 4.2 Guidance for Mainstreaming DRM into the Development

Planning Process in Ethiopia

Process

Potential Activities/Action/Role for DRM Outcome

Mainstreaming - Steps

Preliminary Stage

Summary: Initial stage where guideline on

the economic, social, and political tasks are

given, which serves as the starting point for

the planning institution to initiate the plan-

ning process in the country.

Sector is identified as

most vulnerable

Analytical Stage

Summary: Evaluation of socio-economic

conditions in the country as well as the inter-

national economic situation, analysis of the

state of the economy at the beginning of the

plan period, etc.

It also includes the development of the

macro-framework guideline, which consists

of analysis of current economic situation,

overall objectives, goals and strategies, GDP

and sectoral growth variants, investment

ceilings (sectoral and global), the budget

frame, and balance of payments projection.

Process

Potential Activities/Action/Role for DRM Main-

streaming - Steps

Outcome

Suggestions:

• Assessment and analysis of past achievements and

challenges to also consider the impacts of disasters

in Ethiopia

Note: Refer to WDRP, reports, analysis and minutes of the

sectoral task forces, and Disinvetar system for analyzing

the challenges related to disasters in Ethiopia

• Determine how disasters resulted in shortfalls in

targets directly or indirectly

• Emphasize both the impacts of any large disaster

that hit during the past plan, and the cumulative

impacts of small disasters

• Make the connection between DRM and develop-

ment targets, such as poverty reduction

• Undertake disaster risk analysis as part of the sec-

tor assessment

Note: Refer to the documents of Ministry Finance and

Economic Development for understanding the funds chan-

neled away from development activities to response and

recovery

• Provide relevant background material for undertak-

ing the assessment

Note: Refer to the training and user manual and reports of

the WDRP

• Initiate short-term studies, background papers, or

focus group discussions among experts on nation-

al trends that may have affected previous develop-

ment, such as changes in migration patterns

Note: Refer the risk treatment measures – City Strength:

Resilient Cities Program

• Include a study on urbanization, climate change,

and disaster trends and their impacts

• Note: Refer the risk treatment measures – City

Strength: Resilient Cities Program

Once an analysis of the current situation is complete,

set goals for the country’s development and sector

objectives for the coming plan period. This is usually

done by the national planning agency, in consultation

with other government agencies.

Suggestions:

• Reference international agreements, national

frameworks, and post-disaster and risk assess-

ments to guide the responsible agencies in estab-

lishing specific DRM goals

Note: Refer to the DRM-SPIF, Programme of Action (PoA)

for the Implementation of the Sendai Framework for Disas-

ter Risk Reduction 2015-2030 in Africa

• Integrate disaster risk as a cross-cutting issue

• Establish specific goals and objectives for DRM

Note: Refer to the DRM-SPIF

Process

Adjustment

and Direc-

tive Stage

Potential Activities/Action/Role for DRM Main-

streaming - Steps

Outcome

• Ensure that goals relate to the key disaster risk

issues identified in the assessment of development

challenges, and to objectives in any national legisla-

tion, policies or action plans for DRM or climate

change adaptation. For example, frequent flood-

ing may be identified as a development challenge.

Protecting communities in flood prone areas could

be a goal from which strategies and targets are

created.

• Incorporate DRM into sector goals and objectives.

For example, GTP and CRGE goals commonly ap-

pear in development plans and their achievement

is strongly linked to disaster risk.

• Develop post-disaster assessments, poverty analy-

ses, and risk assessments to stress to planners the

ways in which:

- Disasters impact human development and

reinforce the poverty cycle

- Risk reduction efforts can help populations

escape the poverty trap

- Efforts to reduce income poverty and improve

basic social conditions can improve disaster

resilience

Summary: This stage transmits the plan guidelines

to sectoral agencies and regional planning offices with

instruction to prepare and submit their own plan pro-

posals according to a specific time schedule.

Suggestions:

The planning guidelines

• Push for the inclusion of DRM-related principles

and priorities in the guidelines so that there is a

mandate to consider and address disaster risk

throughout priority development sectors

• The guidelines should: 1) encourage the use of a

risk assessment as part of the planning process; 2)

require that development strategies be based on

the results of disaster risk assessment and ESIA;

3) require the inclusion of specific DRM targets

and indicators for monitoring purposes; and 4) for

subnational plans, encourage inter-district or inter-

state considerations for effective

• Monitoring and evaluation indicators and their

means of verification can be drawn from DRM

frameworks utilized internationally such as those

found in UNISDR’s HFA monitor, or the Making

Cities Resilient: Local Government Self-Assessment

Tool

Ensure that the

guidelines include

section on ‘where’

and ‘how to’ incor-

porate DRM into

development plan

preparation

Process

Plan Elabo-

ration Stage

Plan Adop-

tion Stage

Potential Activities/Action/Role for DRM Main-

streaming - Steps

Outcome

Summary: This stage addresses the preparation of

the draft plan and examination and re-examination of

draft plan by the planning office of the sector ministry.

Suggestions:

• DRM is a required criterion for approval by plan-

ning office. The following questions can be incorpo-

rated:

- Does the plan take adequate consideration of

sector, district, provincial, or state hazards?

- Does the plan include necessary structural,

non-structural, and environmental measures to

reduce the risk of disaster?

- Does the plan encourage disaster resilient sector

growth in safe locations using resilient practices?

Note: The planning office should be aware of the DRM is-

sues and ways in which DRM can be incorporated into the

development plan.

• DRM practitioners can advocate and raise aware-

ness of the sector planning office about the link

between disasters and development at national

and local levels.

• In the case of approving local development plans,

national planning agency can be encouraged to

focus attention on protecting local infrastructure

and development clusters

Note: DRM practitioners can share best practices or case

studies with NPC on resilient infrastructure in the planning

region and how that infrastructure able protect lives of the

people from natural hazards.

Disaster resilient

initiatives are priori-

tized in the plan

Summary: In this stage, the planning office submits

the draft plan to the Council of Ministers for consider-

ation, and they will make necessary corrections and ad-

justments and submit the draft plan for to the Council

of Representatives for final approval.

The socio-economic

development plan

promotes risk sensi-

tive development

Suggestions:

• Raise awareness of the role of disaster risk in

development and advocate for the adoption of risk

sensitive goals and targets.

• For raising awareness, the results of the initial

analysis regarding the effects of disasters on the

previous plan can be used.

• Use the findings from the risk assessments and

cost-benefit analyses to bolster the argument.

Note: Incorporate WDRP, other risk assessments, DRM-

SPIF goals and targets into final approved plan by the

NPC.

Process

Plan Imple-

mentation

Stage

Potential Activities/Action/Role for DRM Main-

streaming - Steps

Summary: During this stage, the plan approval is

completed by the highest organ of state in the country

and is distributed by the planning institution to sector

ministries, commissions, regions, etc., for implementa-

tion. It also deals with follow-up and reporting activities

of the implementation phase of the approved plan.

Outcome

Disaster resilient

initiatives are priori-

tized in the plan

Suggestions:

• Review the plan to highlight any disaster impacts

on performance and to emphasize the importance

of DRM

• Both direct and indirect impacts of disasters can be

highlighted, such as reallocation of funds for relief

and reconstruction making it financially difficult to

build the number of schools required to meet the

goal

Note: Incorporate monitoring and reporting of DRM mea-

sures in Ethiopia within the follow-up and reporting activi-

ties of the implementation phase of the approved plan.

References and Additional Reading:

Getachew, H. (2015). The Ethiopian New Institutional Framework. Presentation. 17-18 Nov 2015.Incheon, South

Korea.

Part 5: Guidelines for Developing

Risk-Sensitive Sectoral

Investment Plans

This part deals with mainstreaming DRM into risk-sensitive sectoral investment

plans. It particularly targets sector plans that are developed under the National

Development Plan of Ethiopia (i.e., GTP – II). For mainstreaming DRM, eight key

sectors/sub-sectors are prioritized and selected through several consultation and

meetings with NDRMC, Ethiopia. They are: (1) Agricultural and rural transformation sector,

(2) Environment and climate resilient green economy, (3) Health sector development,

(4) Potable water supply and irrigation development sector, (5) Integrated transport and

logistics services, (6) Urban development and housing, (7) Education and training, and

(8) Social welfare and security (safety net) (National Planning Commission, 2016a; National

Planning Commission 2016b). The Ministry of Finance and Economic Corporation

(MoFECC) is also considered the key agency for mainstreaming DRM, with particular

consideration budget and resource allocation for mainstreaming activities.

Sector specific mainstreaming of DRM is based on the six steps shown in the Figure 5.1,

and a brief description of each step is presented in Table 5.1. Figure 5.1 presents a

systematic process of mainstreaming DRM into sectors and the outcome of this process

will lead to the establishment of a conceptual framework for sectoral DRM (Figure 5.2).

Table 5.2 provides brief description of the conceptual framework for sectoral DRM.

Step

Planning for Engagement

Step

Situation Analysis

Step

Mainstreaming Action

DevelopmentProcess

Step

Costing of Actions &

Development of Implementation Plan

Step

Approval Process

Step

Implementation, Monitoring

and Evaluation

Figure 5.1 Steps for Mainstreaming DRM into Sector (Illustration from authors)

Table 5.1 Broad Mainstreaming Steps & Descriptions

Mainstreaming

Step

Brief Description

Agency

Step 1: Planning

for Engagement

The objective of step 1 is to generate a high •

level of advocacy with the sector agency to

promote the need to mainstream DRM into •

the sector. The outcome of this step should

lead to the development of sectoral team

that is assigned to conduct a situation analy- •

sis for the specific sector.

•

Note: NDRMC and National Development

Planning Commission, specific sectoral agencies •

can start with deluges. This can also include

economic benefit of DRM investment into devel- •

opment plans.

All lead sector agen-

cies/focal points5

National Disaster Risk

Management Commis-

sion

National Planning

Commission

Development and hu-

manitarian partners

Private public partner-

ships

Other organizations

(CBOs/NGOs)

Step 2: Situation

Analysis

Step 2 deals with information collection,

•

identification of key problems (hazards

context, risk and vulnerability context,

•

institutional arrangements and policies,

stakeholders’ analysis, existing programs/

projects, donor analysis etc.,), review legisla- •

tion, review sectoral strategies to address

disaster risk, review sectoral instruments,

•

review sectoral risks, review coordination

and information sharing, etc.

•

Note: Each sector development planning office •

under the National Planning Commission of

Ethiopia can make use of available resources to

complete a situation analysis, such as wereda

risk profiles, DesInventar data management

system, etc.

All lead sector agen-

cies/focal points5

National Disaster Risk

Management Commis-

sion

National Planning

Commission

Development and hu-

manitarian partners

Private public partner-

ships

Other organizations

(CBOs/NGOs)

Step 3: Main-

streaming Action

Development

Process

Step 3 deals with the problem validation

process, problem prioritization process,

problem-solution tree analysis, and action

matrix development. It prioritizes actions in

line with GTP-II actions.

Note: For guidance refer to “Programme of

Action for the Implementation of the Sendai

Framework for Disaster Risk Reduction 2015-

2030 in Africa”, GTP II and DRM SPIF, while

developing actions for mainstreaming DRM.

• All lead sector agen-

cies/focal points5

• National Disaster Risk

Management Commis-

sion

• National Planning

Commission

• Development and hu-

manitarian partners

• Private public partner-

ships

• Other organizations

(CBOs/NGOs)

Mainstreaming

Step

Step 4: Costing

of Actions and

Development of

Implementation

Plan

Step 5: Approval

Process

Step 6: Imple-

mentation,

Monitoring, and

Evaluation

Brief Description

Agency

Stage 4 deals with identifying and developing •

a financial strategy, implementation strategy,

communication strategy, and a monitoring •

and evaluation plan. These strategies should

be developed in line with GTP – II strategies.

•

Note: For guidance, refer to the process of

developing GTP – II – finance, implementation, •

communication, monitoring and evaluation

strategies.

•

Step 5 deals with obtaining political support •

for risk sensitive development; strong na-

tional leadership on DRM from key sectors; •

mechanisms to enforce DRM policies; high

levels of public awareness about risks and

risk reduction; adequate technical capac-

•

ity to undertake risk-reduction actions; and

incentives that create strong political interest •

in risk-informed planning.

•

Note: Refer to national and sectoral approval

process for GTP – II for guidance and follow

•

procedures for approving mainstreaming DRM

actions for each sector.

Step 6 deals with implementation, monitor- •

ing, and evaluation of mainstreaming DRM

action for each sector. Refer to UNISDR

•

monitoring and evaluation framework for

guidance.

•

Note: Refer to the implementation, monitor-

ing, and evaluation process of GTP-II and

•

aligned monitoring and evaluation frame-

work of UNISDR.

•

All lead sector agen-

cies/focal points5

National Disaster Risk

Management Commis-

sion

National Planning

Commission

Development and hu-

manitarian partners

Private public partner-

ships

Other organizations

(CBOs/NGOs)

All lead sector agen-

cies/focal points5

National Disaster Risk

Management Commis-

sion

National Planning

Commission

Development and hu-

manitarian partners

Private public partner-

ships

Other organizations

(CBOs/NGOs)

All lead sector agen-

cies/focal points5

National Disaster Risk

Management Commis-

sion

National Planning

Commission

Development and hu-

manitarian partners

Private public partner-

ships

Other organizations

(CBOs/NGOs)

Source: Authors’ compilation from mainstreaming DRM resources

* Information presented on agency in above table is illustrative and not exhaustive. It is subject to government structure ar-

rangement in the country.

5 Identified in the National Policy and Strategy on Disaster Risk Management, the Federal Democratic Republic of Ethiopia

The implementation of these six steps for mainstreaming DRM will lead to the

establishment of a conceptual framework for sectoral disaster risk management

(Figure 5.2). The sectoral DRM framework in Figure 5.2 presents two-ways linkages

between sectoral risks, sectoral instruments, and sectoral strategies and Table 5.2

provides description of the key elements and sub-elements.

Sectoral Instruments

Policy Plan

Programme/Projects

Stakeholders

Local Community,

Private Sector,

Development Partners

Public Sector,

Planners, Policy Makers,

Practitioners, etc.

Sectoral Risks

Hazard,

Vulnerability,

Exposure, Capacity

Sectoral Strategies

Mitigate

Transfer

Cope

Table 5.2 Explanation of Conceptual Framework for Sectoral DRM

Elements

Description

Sectoral Risks

Risks faced by any sectors can be classified and assessed through hazard,

vulnerability, exposure, and capacity elements. For instance, for the agri-

culture sector, they can be classified as production risks, market risks, and

enabling environment risks.

Note: This information can be useful for the formulation of risk sensitive sec-

toral instruments to inform stakeholders about the risks, and to designed the

sectoral strategies.

Stakeholders

Stakeholders affected by disasters can be classified into different catego-

ries: Local communities living in hazard prone areas; public and private

sector institutions; government; development partners; donors; commer-

cial stakeholders; etc. For instance, for the agriculture sector, the primary

stakeholders include producers, commercial sector stakeholders, and the

public sector.

Note: The stakeholders can play an important role in developing sectoral risk

assessments, sectoral DRM strategies, and risk sensitive sectoral instruments.

Sectoral

Strategies

Sectoral strategies consist of three types of risk management strategies:

mitigation, risk transfer, and coping.

Risk mitigation (ex ante): Risk mitigation strategies are actions taken

prior to a risk event to reduce the likelihood of risk. Examples include

adoption of improved agronomic practices such as soil drainage and

mulching, and conservation farming.

Risk transfer (ex ante): As not all effects of realized risks can be miti-

gated, risk transfer tools and mechanisms transfer the potential financial

consequences of particular risks from one party to a willing third party,

usually for a fee or premium (for example, purchasing insurance, reinsur-

ance, and financial hedging tools).

Sectoral

Instruments

Risk coping (ex post): Some risks cannot be mitigated or transferred, so

risk coping strategies are required to help stakeholders better absorb and

recover from their impacts. Examples include some form of compensation

(cash or in-kind), social safety net programs, buffer funds, savings, strategic

reserves, and livelihood recovery programs.

There are three major types of instruments used to implement the risk

management strategies.

Policy: Improved risk management often entails policy reforms. For ex-

ample, legal or regulatory reforms to improve access to agricultural inputs.

Investment plan: Although policy reforms mainly require political will,

other risk mitigation measures can be costly. Examples are financial in-

vestments in irrigation infrastructure, research into drought- and disease

resistant and pest-tolerant cultivars.

Program/projects: Technical assistance (TA): TA is geared toward build-

ing local stakeholders’ capacity. For example, training in price risk manage-

ment; feasibility studies for various instruments; flood risk modelling work,

etc.

Source: (World Bank, 2016)

Selected sector and lead sector agencies for DRM mainstreaming

As mentioned earlier, in consultation with NDRMC, eight sectors are selected for

developing the guidance on DRM mainstreaming. For each sector, lead sector

agencies are identified in Table 5.3. While doing DRM mainstreaming, the sec-

tor lead agencies may utilize data and resources available with NDRMC, such as,

WDRP. Where the data is not efficient, the NDRMC and lead sector agencies

may work together for enhancing the data/sources for DRM mainstreaming for

the selected sector. The relevant data for DRM mainstreaming is supposed to

be provided by the relevant lead sector agencies or are subject for assessment

in collaboration with NDRMC and the respective lead sector agencies (Table 5.3).

Table 5.3 Selected Sector and Lead Sector Agencies for DRM

Mainstreaming

Sector/

Sub-sector

Lead Sector Agencies

Data/Source for Sectoral

Risk Analysis

Agricultural and

rural transforma-

tion sector

Ministry of Agriculture and Natural Re-

sources

Ministry of Livestock Fishery

Available from WDRP

http://profile.dppc.gov.et

Ministry of Environment, Forest and Cli-

mate Change

Environment and

climate resilient

green economy

Ministry of Environment, Forest and Cli-

mate Change

Available from WDRP

http://profile.dppc.gov.et

Ministry of Finance and Economic Coopera-

tion

Health sector de-

velopment

Ministry of Health

Available from WDRP

http://profile.dppc.gov.et

Potable water

supply and irriga-

tion development

sector

Ministry of Water, Irrigation and Electricity

Ministry of Health

Available from WDRP

http://profile.dppc.gov.et

Integrated trans-

port and logistics

services

Ministry of Transport

Ethiopian Rail Ways Corporation

Ethiopian Civil Aviation Authority

Lead sector agencies

Ethiopian Road Authority

Ethiopian Shipping Agency

Urban develop-

Ministry of Urban Development and Hous- Lead sector agencies

ment and housing ing

Education and

training

Ministry of Education

Available from WDRP

http://profile.dppc.gov.et

Social welfare and

security (safety

net)

Ministry of Labour and Social Affairs

Some information available

related to the sector from

WDRP/not a full package

http://profile.dppc.gov.et

*Information presented in above table (i.e., sector/ sub-sector, lead sector agencies, and data sources) is illustrative and not exhaustive. It is

subject to government structure arrangement in the country.

References and Additional Reading:

National Planning Commission. (2016a). Growth and Transformation Plan II (GTP II) (2015/16-2019/20). Vol 1:

Main Text. Federal Democratic Republic of Ethiopia.

National Planning Commission. (2016b). Growth and Transformation Plan II (GTP II) (2015/16-2019/20). Volume

II: Policy Matrix. Federal Democratic Republic of Ethiopia.

World Bank. (2016). Agricultural Sector Risk Assessment: Methodological Guidance for Practitioners. Agriculture

Global Practice Discussion Paper 10. The World Bank, 1818 H Street NW, Washington.

Guidance Note 1:

Agriculture and Rural

Transformation Sector

Agriculture and rural transformation is one of the key sectors/sub-sectors that

contributes to the economic development sector plan in the Second Growth and

Transformation Plan (GTP – II), and was developed as an outcome of national

development planning process in Ethiopia. The sector is represented by three

key line ministries: 1) Ministry of Agriculture and Natural Resources (MoANR), 2)

Ministry of Livestock and Fisheries, and 3) Ministry of Environment, Forest and

Climate Change. In addition, these ministries take the lead in regards to

implementation of climate resilient green economy strategy, which also includes disaster

risks management towards building resilient community in Ethiopia.

The roles and responsibilities in the national development planning and

implementation of national development plan6 and DRM are defined in Table 5.4.

Table 5.4 Lead Agencies Roles and Key Programs on DRM:

Agriculture and Rural Transformation*

Lead Agency/

Ministry

Roles & Responsibilities

Key Programs on DRM

(Example)

Ministry of

• Responsible for implementing specific Regional Pastoral Liveli-

Agriculture and

objectives related to agriculture and

hoods Resilience Project

Natural Resources

natural resources in the national

(RPLRP)

development plan (Table 5.5).

Accountable for monitoring, evaluating

and reporting of progress and

achievements of implementation.

• Lead institution with respect to

agriculture related hazards and

associated disasters.

Ministry of

Livestock and

Fisheries

• Responsible for implementing

the specific objectives related to

livestock and fisheries in the national

development plan (Table 5.5).

Accountable for monitoring, evaluating

and reporting of progress and

achievements of implementation.

• Lead institution with respect to

livestock and fisheries related hazards

and associated disasters.

Ministry of

• Responsible for implementing

National Adaptation Plan of

Environment,

the specific objectives related to

Action (NAPA)

Forest and Climate

environment, forest and climate

Change

change in the national development

plan (Table 5.5). Accountable for

monitoring, evaluating and reporting

of progress and achievements of

implementation.

• Lead institution with respect to forest,

bush fire, climate change, environment

pollution related hazards and disasters.

6 National development plan is also referred to as the Growth and Transformation Plan II.

Lead Agency/

Ministry

National Disaster

Risk Management

Commission

(NDRMC)

Roles & Responsibilities

Provides key information about:

• Hazards that damage crops, livestock,

and environmental problems and

issues

• Major disasters in identified in each

kebele, including period and year of

occurrence, root causes, and effects

• Livestock diseases

• Economic vulnerability, including status

of agriculture and crops grown

• Agriculture, livestock, and

environmental situations

Key Programs on DRM

(Example)

WDRP

Objectives

There are three key objectives of this sector: 1) bring about accelerated and sustained

growth of agriculture within the framework of the CRGE strategy that equitably benefits

people at all levels and that realizes structural transformation of the sector and the overall

economy; 2) bring about a significant shift in agricultural productivity, build productive

capacity and thereby enhance the contribution of the sector to the economy and stabilizing

the macro economy and; 3) enable women, youth, and other stakeholders to participate

in a structured and organized manner to contribute their part and benefit from the

development outcomes (National Planning Commission, 2016a). The specific objectives

and lead agencies are briefly described in Table 5.5.

Table 5.5 Objectives of Agriculture and Rural Transformation

Specific Objectives

Lead/Responsible Agency

• Ensure food security by increasing crop productivity

Ministry of Agriculture and

• Increase the productivity of crop

Natural Resources

• Increase the access of agriculture extension service

• Increase agricultural inputs utilization

• Expand agricultural mechanization

• Cooperative development and capacity building

• Increase horticultural investment

• Expand medium and large scale commercial farms and

increase their production and productivity

• Plant protection and quality improvement

• Promote climate-resilience agriculture through

implementation of best agricultural practices

• Establish rural land administration use and coverage

system

• Build capacity on rural land administration and utilization

• Sustain agricultural development by expanding watershed

management practices

• Improve water resource management and utilization

• Implement integrated soil fertility management system

• Strengthen disaster preparedness and response system

• Ensure food security and increase foreign exchange

earnings contribution of the sector by strengthening the

agricultural marketing system

Specific Objectives

• Enhance the contribution of livestock in food security

by sustainably increasing the sector’s production and

productivity

• Increase investment in livestock sector

• Genetically improve local livestock breeds

• Improve supply of livestock feed

• Improve biodiversity conservation and sustainable

utilization based on equitable benefit

Lead/Responsible Agency

Ministry of Livestock and

Fisheries

Ministry of Environment, Forest

and Climate Change

Implementation Strategy

The objectives will be implemented through an implementation strategy developed for

three specific areas: 1) crop productivity and production, 2) livestock productivity and

production, and 3) natural resources conservation and utilization. The details of each

strategy are briefly described in Table 5.6.

Table 5.6 Implementation Strategy for Agriculture and Rural

Transformation

Improved Crop Productiv- Improved Livestock Productiv- Natural Resources Consa-

ity and Production

vation and Utilization

• Strengthen agricultural

marketing and

cooperatives

• Improve agricultural

inputs supply and

utilization (fertilizer

supply, seed supply,

agro mechanization

inputs supply)

• Expand agricultural

extension system

• Enhance agricultural

investment

• Livestock genetic

improvement

• Improve livestock health

coverage

• Improve livestock feed

production

• Integrate implementation

of livestock value chain

efficiency

• Community- based

watershed development

activities should

continue

• Efficient use of rain

water (in moisture rich

areas)

• Water harvesting,

small scale irrigation

development, and soil

and water conservation

works (in moisture

stressed areas)

• Integrate livestock

development with

natural resource

development

• Build climate resilient

green economy

• Develop climate

change mitigation and

adaptation strategies

(capacity building

training)

Source: (National Planning Commission, 2016a)

Challenges

Two of the key challenges related to agriculture and rural transformation sector are

natural hazard risks and climate change. Although line ministries and DRM programs

(Table 5.4) deal with disaster and climate risks, in the recent years disasters have

brought barriers in fully achieving the objectives in the national development plan. For

example, the case study on New Drought Affected Southeastern Regions (2015/2016)

(see Box. 1.1) discusses drought impacts on agriculture and other related sectors.

Similarly, the impact of all hazards on agriculture and related sectors, including

rural development is clearly highlighted in the DesInventar – Disaster Information

Management System for Ethiopia. For example, Table 5.7 highlights some of the major

impacts of drought, floods, and plague in Ethiopia.

Table 5.7 Major Impacts of Disasters on Agriculture and Livestock in

Ethiopia

Event (1899 – 2013)

Elements Affected

Impacts (in number)

Drought

Damages in crops

265,527 hectare

Lost cattle

2,553,647

Flood

Damages in crops

537,113 hectare

Lost cattle

357,974

Plague

Damages in crops

5,305,816 hectare

Lost cattle

Source: (National Planning Commission, 2016a)

In addition to drought, flood, and plague events, there are other events that have

severely affected the crops and livestock production in Ethiopia, such as, biological,

conflicts, landslide, rain, storm events, etc., recorded by the disaster information

management system for Ethiopia. Key biological hazards in Ethiopia include crop pests,

animal diseases (endemic and epidemic), human epidemics/common diseases, and main

hazards perceived by community (DRMFSS, n.d.). Forest fires are commonly occurring

in areas where wood lands and forests are concentrated to pasture and farm land.

The other elements that may have affected Ethiopia from 1899 – 2013 were market

failure (i.e., domestic price volatility, international price volatility, exchange rate risk,

input price volatility for fertilizer and diesel, counterparty risk, etc.); and enabling

environment failure (e.g., political unrest and violent conflict, infrastructure disruption,

etc.). It is of upmost importance that elements related to agriculture and rural

transformation in Ethiopia are protected against the risk of natural hazards.

Steps For Mainstreaming DRM into Agriculture and Rural

Transformation

Mainstreaming DRM into agriculture and rural transformation will broadly use the six

steps presented in Table 5.8 (see Figure 5.1).

Table 5.8 Key Steps and Activities for Mainstreaming DRM into

Agriculture and Rural Transformation

Step

Potential Activities/Action/Role for

DRM Mainstreaming

Outcome(s)

Step 1: Planning

for Engagement

• Summary: In this initial stage, the

objective is to generate advocacy

for DRM mainstreaming with key

stakeholders who have key roles or

responsibilities in implementation

of national development plan for

agriculture and rural transformation

sector. Key stakeholders may

include:

- Ministry of Agriculture and

Natural Resources

- Ministry of Livestock

Development and Fisheries

- Ministry of Environment, Forest

and Climate Change

- Ministry of Federal and

Pastoralist Development Affairs

- Ethiopian Grain Trade Enterprise

- Regional Implementing Partners

- Wereda offices

- Development partners

- UN agencies

- National Metrological Agency

- National Planning Commission

- Ministry of Finance and

Economic Cooperation

- Central Statistics Agency

- Ethiopian Mapping Agency

The outcome of this step would lead to

agreement and establishing team for

conducting situation analysis.

Key stakeholders recognise

the need for mainstreaming

DRM into agriculture and

rural transformation

Guidance on conducting

situation analysis

Weather data

Suggestions:

• Conduct meetings to facilitate

partnership with the key

stakeholders

• Establish team for undertaking

situation analysis (Step 2) and

share findings and reports with

the key stakeholders

Step

Step 2: Situation

Analysis

Potential Activities/Action/Role for

DRM Mainstreaming

Summary: This step deals with

information collection, identification

of key risks related to agriculture,

and rural transformation. Risks faced

by agricultural stakeholders can be

classified primarily into three categories:

production, market, and enabling

environment risks. In addition, the

analysis can also include assessment of

key stakeholders affected by agricultural

risks, such as producers, commercial

sector stakeholders, and the public

sector.

Outcome(s)

Agriculture and rural

transformation briefing

notes

Problem statement

Identification of key problems (hazards

context, risk and vulnerability context,

institutional arrangements and

policies, stakeholders’ analysis, existing

programs/projects, donor analysis,

etc.) occurs at this stage. This may

include assessing the capacity of local

departments or institutions under

the MoANR and MoLF. Review and

performance of food security programs

and other development program

performance and identifying the gaps.

Review of development policies, such as

rural development policy and strategies,

development and poverty in Ethiopia,

etc.

Suggestions:

• Use wereda risk profile

information system as baseline

to understand issues related to

agriculture and rural

development

• Conduct vulnerability and risk

assessment for agriculture

sector and evaluate the impact

of natural hazards to the

agriculture, livelihood, and rural

development

• Undertake detailed risk

assessment on crop productivity,

livestock productivity, and

natural resources; include

climate change impact on

agriculture risk analyses related

studies, reports, etc.

Step

Step 3:

Mainstreaming

Action

Development

Process

Potential Activities/Action/Role for

DRM Mainstreaming

• Review flagship programs and

document best practices.

Flagship programs, such as,

PSNP, agriculture growth

programs, sustainable land

management programs

• Use desk-based review,

stakeholder engagement,

preliminary root-cause analysis

for information collection

• Use sector briefing notes,

preliminary root-cause analysis,

DRM frameworks (e.g., the

regional framework),

prioritization exercise for the

identification of the key

problems related to agriculture

and rural development sector

Summary: Step 3 deals with the

problem validation process, problem

prioritization process, problem-

solution tree analysis, and action matrix

development. It prioritizes actions in line

with GTP-II actions.

Outcome(s)

Problem tree

Root-causes

Mainstreaming DRM action

matrix for agriculture and

rural transformation sectors

Suggestions:

• Use line ministries’ guidelines

for mainstreaming action

development process

• Use GTP-II methodology for

problem validation process,

problem prioritization process,

problem-solution tree analysis,

action matrix development,

prioritizing actions

• Use prioritization process for the

validation of issues and

problems

• Use working group sessions

with stakeholders using a range

of tools (problem-solution tree

analysis, guiding questions) to

identify root causes and effects

relating to key problems

• Identify root causes and

solutions

• Follow the assessment of risks

and analysis of stakeholder

vulnerability to propose risk

management strategies

Step

Step 4: Costing

of Actions and

Development of

Implementation

Plan

Potential Activities/Action/Role for

DRM Mainstreaming

Outcome(s)

• Develop appropriate DRM

strategy and program to address

specific vulnerability level within

the context of the agriculture

and rural development

• Identify solutions by classifying

possible risk management

strategies into three categories:

mitigation, risk transfer, and

coping (See Case Study 1; Box

5.1)

Summary: Stage 4 deals with identifying

and developing a financial strategy,

implementation strategy, communication

strategy, and monitoring and evaluation

strategy for mainstreaming actions for

agriculture and rural transformation.

Disaster resilient initiatives

are prioritizedd in the

agriculture and rural

transformation plan

Suggestions:

• Determine cost of

mainstreaming actions, including

incremental cost (gaps) and

developing a financial strategy

along with actions/activities of

implementing line ministries.

• Create institutional

arrangements such as the

creation of an implementation

unit along with the

implementation unit for

each activity of line ministries of

the agriculture and rural

transformation sectors.

• Develop communication

strategies for mainstreaming

actions under the line

ministries of the agricultural and

rural transformation actions

activities under GTP – II.

• Develop monitoring and

evaluation strategies for

mainstreaming actions under

the lead ministries of the

agriculture and rural

transformation actions/activities

under the GTP – II.

• Appoint dedicated staff or DRM

representative at implementing

lead ministries.

Step

Step 5: National

Approval Process

Step 6:

Implementation,

Monitoring and

Evaluation

Potential Activities/Action/Role for

DRM Mainstreaming

Summary: This step deals with

obtaining political support for risk

sensitive development of agriculture and

rural transformation plans.

Outcome(s)

The agriculture and rural

transformation plan

promotes risk sensitive

development

Suggestions:

• Provide evidence of the costs of

such short-term decisions in

agriculture and rural

transformation sector over the

short, medium and long-term.

• Promote legislation change to

incorporative climate,

environment and disaster risk.

Suitable legislation often

promotes incentives for

agriculture and rural

transformation sector. For

example, legislation is required

for the food production, climate

change adaptation and

mitigation.

• Set appropriate monitoring

systems, performance, and

enabling strategies at the

planning, execution, and

evaluation stages of agriculture

and transformation plan.

Summary: This step deals with

implementation and tracking progress

towards achieving the activities as per

the action plan developed in Step 4.

Suggestions:

• Monitoring and evaluation of

DRM mainstreaming actions

should be carried out within

the GTP- II monitoring and

evaluation strategies.

• Technical guidance will be

provided for compiling and

analyzing the collected

information and data. Currently,

a biennial report is submitted

using the planned Sendai

framework for monitoring and

evaluation.

• The gaps, challenges or issues

identified in this step will be

used to adjust for continual

improvements in the Plan

implementation and for DRM

efficacy and cost effectiveness. In

addition, issues or gaps not

adjusted are taken up in Step 1

for discussion.

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

Case study 1:

Accelerated Livestock Marketing to Boost Household Income of

Pastoralists During Drought: Commercial Livestock Destocking as

a Drought Response

Source: Unisdr (2009)

Summary

Recurrent droughts have had a major impact on the vulnerability of Ethiopian pastoralists.

Drought typically results in large livestock losses, reduced market prices, and decreased

household food security. A severe drought hit Ethiopia in 2006, during the first six

months of which cattle prices decreased from 138 to 50 US dollars per head. The

cattle prices were expected to continue falling as their conditions worsened. Many

cattle were also likely to die from lack of pasture and water. Save the Children/US, an

international NGO, rapidly launched an accelerated livestock marketing initiative in the

southern district of Moyale, near the Ethiopia-Kenya border. The initiative, also known

as commercial destocking, enabled pastoralists to receive cash in exchange for some

of their animals, many of which were likely to die as drought conditions worsened.

The pastoralists then used this money to purchase food for their families and hay and

feed for their remaining livestock. An estimated 20,000 cattle valued at 1.01 million US

dollars were sold. Some 5,400 households – about 30,000 people - participated in

the initiative. Each household received, on average, 184 US dollars from the sale of cattle.

What is presented?: Pastoralist Livelihoods Initiative (PLI)

Program: PLI, a 2-year program aimed to lessen the impact of drought, funded by

USAID

Location: Southern District of Moyale, near Ethiopia-Kenya Boarder

Goal: To mitigate the impact of drought and other shocks for pastoralists in Ethiopia

through improved livestock-based relief and development

Methodology - Develop and implement the destocking initiative to mitigate

drought impact on livestock

Save the Children/US worked alongside the Ethiopian Ministry of Agriculture

and Rural Development and livestock traders to develop and implement the

destocking initiative. To raise awareness about the initiative among livestock traders,

the Ministry’s Marketing Department held a meeting for traders involved in supplying

livestock to local and export markets. The meeting was held in the capital, Addis

Ababa, and was attended by over 40 traders. The Marketing Department and Save

the Children/US also organized a familiarization trip so the traders could visit

drought-affected areas.

Result: Only two traders decided to purchase the cattle. After purchasing over

6,000 cattle, each trader became eligible for an interest-free loan of 25,000 US

dollars to help bridge a short-term gap in capital flow during the drought. Between

5 -25 February, the traders purchased 6,292 male cattle. Many of the purchased

cattle were highly emaciated. The two traders also influenced other commercial

livestock traders to buy animals from the area. An additional 3,778 cattle were sold as

a result, bringing total cattle purchases in February and March 2006 to 10,915. In total,

some 20,000 livestock were removed from Moyale District during the 2006 drought.

What was achieved? – Impact and Results

• Destocking provided more than 50% of household income during the drought. This

income was used in rational ways, mainly to meet immediate household needs and

to protect assets and services. This highlights the resulting support given to

local markets, which is required for post-drought recovery.

• Destocking was considered to be the most useful intervention by participants.

• A benefit-cost estimation comparing the cash benefits to pastoral households to the

costs incurred by the implementing agency showed a benefit-cost ratio of 41:1.

• All of the people who participated in the destocking initiative were able to buy their

own food with the money obtained from destocking. They no longer had to wait for

food aid, as they did during previous droughts.

• Participants saw clear advantages of destocking over food aid. They explained that

money from destocking could be used to buy other things besides food, such as

medicines and clothes.

What are the challenges?

• Poor infrastructure in pastoralist areas hinders market-led development

• Frequent customs and taxation points exist along the roads between drought-

affected areas and holding areas for the animals. These fees added extra costs to

the initiative.

• Finally, the limited number of holding grounds proved to be a constraint. In some

cases, livestock in Moyale District become too thin and unfit for transport.

Is this case promoting mainstreaming DRR or providing opportunity to

mainstream DRR?

• Awareness raising among the livestock traders about the drought impacts

on livestock by the Marketing Department of the Ministry of Agriculture and

Rural Development was a crucial step taken to change the mind-set of the livestock

traders and allow them to carry out destocking in the drought affected areas.

For mainstreaming DRR, this step should be taken earlier before drought period so

that traders take proactive steps to prevent situation where some livestock become

too thin and unfit for transport.

• An interest-free loan of 25,000 US dollars to livestock traders: Although

out of 40 traders, only two traders decided to purchase the cattle, such incentives

can be effective if they introduced at the right time and place. The traders were

able to purchase nearly 10,915 cattle. For mainstreaming DRR, this kind incentive

scheme should be promoted in drought prone areas before the start of the drought

period.

• Prevented the cattle loss and reduced the negative impact on the GTP

planned targets and progress for livestock sector: There was no data or

estimation or forecasting on likely cattle loss with or without destocking. Nevertheless,

commercial destocking appeared to be an effective practice because it provided

pastoralists with cash from animals that were likely to die if left in the herd. For

mainstreaming DRR, it is important that proper estimation of likely cattle loss is

carried in drought prone areas under different drought scenarios so that

commercial destocking can be planned at the right time and right place.

Way forward: Operational steps for mainstreaming DRR into the agricultural sector:

• Planning destocking in early phases of drought: Destocking should be

considered at the earliest possible time, even before the official declaration of a

drought. Destocking in early phases can provides pastorals twice the amount if

destocking take place late. The ministry can plan destocking in early phases of

drought by using the wereda risk profile information and access key information

about the livestock situation, including status of livestock disease, veterinary

facility, livestock diversity, livestock ownership and changes, and pasture and

water availability.

• Build or raise comprehensive understanding about the livestock drought

risk among key stakeholders: Comprehensive understanding about the livestock

natural hazard risk should be properly shared for the planning and i

mplementation commercial destocking early drought phase among the private

livestock traders as well as pastoral traders’ associations. The Ministry of Livestock

and Fishery Development should make use of wereda risk profile information for

marketing commercial destocking among traders where it is mostly needed.

• Develop incentives and schemes for livestock traders as well as pastoral

community for promoting destocking in selected areas: The schemes and

incentives should be designed in the early phases of drought. Therefore, a certain

budget amount should be allocated for developing incentives and schemes for

livestock traders as well as for pastoral community.

• Infrastructure development for destocking: Without proper infrastructure

support, destocking cannot take place, for instance, the appalling conditions of

the roads in some districts reduced the coverage of destocking after 2006 drought.

Line sectors, such as the road department, should carefully understand the needs

for roads from hazard risk, vulnerability, and exposure before selection and

implementation of road development projects.

• Promote the schemes for restocking of livestock in drought recovery:

The ministry should also provide incentives that help pastoral community to restock

livestock during disaster recovery as well as provide supply of improved livestock feed.

• Increase the supply of improved livestock feed in the severely drought

prone areas: As mentioned earlier, the wereda risk profile provides key information

about the situation of livestock feed in various wereda. This information can help

the ministry in planning the supply of improved livestock feed in areas that requires

urgent attention.

Box 5.1 Natural Resource Management (NRM): Good Practice Checklist

• Integrate NRM initiatives with other risk management components, such as early

warning systems, awareness-raising, and, in some cases, with physical infrastructural

interventions through large or small-scale mitigation works;

• Raise awareness in rural communities about the importance of natural resources;

their protection and conservation needs, and their role as managers.

• Support government authorities at different levels to produce and overlay maps

of known hazards and the projected effects on climate change on large and small-

scale maps of natural resources, to indicate current and potential exposure, and

support communities to do the same, at the lowest possible scale.

• Use participatory methods with at-risk populations to identify how current

and traditional practices in the use of natural resources affect exposure and

vulnerability to hazards and the projected effects of climate change; use the same

methods to identify existing practices, knowledge and skills within at-risk populations

for protecting natural resources.

• Undertake a power analysis to understand different stakeholder interests

with respect to key natural resources, particularly in the case of major development/

infrastructure projects that will exploit or affect them and communities that depend

on them.

• Strengthen/support the establishment of NRM committees at local levels to

monitor and analyze local issues and to represent local interests at other levels.

• Undertake vulnerability monitoring as an early warning mechanism for slow

onset disasters.

• Use participatory and culturally sensitive approaches to capture the knowledge

of local and indigenous people, particularly older generations, of how natural

resources have changed over time and how people have adapted to those changes.

• Provide training and material inputs to at-risk populations to contribute

to building a resilient natural environment through protecting, maintaining,

restoring and enhancing natural resources (e.g., mangroves, water pans, fragile soil

systems, river banks).

• Provide legal and technical information to populations likely to be affected by

projects that use or may have an effect on key natural resources and support them

in accessing information on how such projects may affect their vulnerability and

exposure to hazards and effects of climate change.

• Contribute to strengthening institutional linkages between government

departments for NRM, climate change and disaster management by engaging

representatives from each in risk assessment processes, national platforms and

forums for sharing good practices.

• Harness external technical expertise to conduct in-depth studies of particular

natural resources, and to present potential resilience-building options.

• Foster innovation by providing communities and organizations that have

demonstrated effective NRM with access to technical and scientific advice on

adaptation, and closely monitor and document the results.

• Identify indicators of sustainability in natural resources and establish monitoring

systems to track changes.

Source: (Government of Ethiopia, 2013)

Guidance Note 2:

Environtment and Climate

Resilient Green Economy Sector

Environment and climate resilient green economy is one of the key sectors/sub-

sectors that addresses cross-cutting issues during the Second Growth and

Transformation Plan (GTP – II), and was developed as an outcome of national

development planning process in Ethiopia. The technical management part of the

sector is represented by the Ministry of Environment, Forestry and Climate Change,

while the financial management falls under MoFEC. The roles and responsibilities in the

national development planning and implementation of national development plan8 and

DRM are defined in Table 5.9.

Table 5.9 Lead Agencies Roles and Key Programs on DRM: Environment

and Climate Resilient Green Economy*

Lead Agency/

Ministry

Roles & Responsibilities

Key Programs on DRM

(Example)

Ministry of

Environment,

Forestry and

Climate Change

• Responsible for implementing

National Adaptation

specific objectives related to

Programme of Action

environment and climate

(NAPA)/MEFCC

resilient green economy in the

national development plan. The

ministry is also accountable for

monitoring, evaluating and

reporting of progress and

achievements of implementation

• Lead institution with respect to

forest development and bush

forest fire management as well as

climate change mitigation and

adaptation as well as environmental

pollution related hazards and

associated disasters

• Environmental Situation: Rainfall and

temperature

• Environmental Situation:

Deforestation

• Environmental Situation: Reasons

for environmental changes

National Disaster

Risk Management

Commission

(NDRMC)

Provides key information about:

• Environmental Situation: Major

environmental problems by kebele

• Environmental Situation: Natural

resources availability

• Environmental Situation: Land-use

other than crop production

• Environmental Situation: General

land quality

• Environmental Situation: Changes in

landscape

• Environmental Situation: Soil erosion

• Loss and damage associated with

climate change

• Budgetary and logistic support,

including technical staff

WDRP/ MEFCC

MoFEC

Provides approval and disbursement of

budget allocation

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country.

Objectives

The main objectives of the sector for the national development plan are, 1) ensuring

environmental safety in the course of rapid and sustainable economic growth (vision

to become a lower middle-income country by 2025); 2) ensuring CRGE strategy is

implemented in all sectors to increase socioeconomic and ecological benefits of forests

through improved forestry development; and 3) conservation and utilization (National

Planning Commission, 2016a). The specific objectives are described in Table 5.10.

Table 5.10 Lead Agencies Roles and Key Programs on DRM: Environment

and Climate Resilient Green Economy*

Specific Objectives

Lead/Responsible Agency

• Strengthen climate resilient green economy

Ministry of Environment,

• Establish a system where environmental safety rights, Forestry and Climate Change

forest development, protection, and use rights are

respected and implemented

• Enable citizens to live in clean and healthy

environments by cleaning and greening cities

• Increase forest coverage through identification,

demarcation, registration, and protection of forest

lands

• Increase ecological benefits of forest through

sustainable forest protection and conservation

For strengthening the DRM, the ministry developed NAPA to

enable Ethiopia to address urgent and immediate adaptation

needs caused by climate change and extreme weather events.

The specific objectives are:

• Identify a list of priority activities

• Formulate priority adaptation options

• Build capacity

• Raise public awareness on the urgency to adapt to the

adverse effects of extreme weather events

Source: (National Planning Commission 2016b; Ministry of Water Resources and Meteorological Agency, 2007)

Implementation Strategy

To achieve the above objectives and annual targets, the implementation strategies for

environment and climate resilient green economy consist of three key pillars as shown

in the Table 5.11. It is equally important that these strategies also give adequate attention

to natural hazards, especially those regions who have experienced severe loss and

damages to the physical environment.

Table 5.11 Implementation Strategy of Environment and Climate

Resilient Green Economy

Implementation Capacity Building Climate Resilient

Building Program

Green Economy

Forestry Development

• Strengthen capacity of • Enable each sector to

• Strengthen forestry

relevant institutions in

implement Green House Gas

development,

planning, implementing,

(GHG) emission reduction

conservation, and

monitoring, and

programs

utilisation at all levels

evaluation of the sector • Support the preparation of • Develop effective

• Establish environment

action plans and monitoring

systems and strong

and forestry structures

activities by including

collaboration with

across all regions,

sufficient budget and

institutions that provide

organizations, and

capacity building assistance

education, training,

administrative levels

to each sector, mainly, in the

and research with a

• Support to effectively

context of attaining emission

particular focus on

implement CRGE down

reduction targets

executive agencies

to the grassroots

• Formulate and implement

• Promote and

level for all sectors or

effective strategies for

disseminate knowledge

agencies

participation, plan integration,

and technology

• Identify regional capacity

harmonization, and

generated from need-

gaps and technical

development to mitigate

based research through

limitations through

climate change impacts

demonstration and

needs assessment

• Conduct follow-up activities

extension

studies

on 20 nationally agreed

• Prepare participatory

climate change adaptation

and decentralised

tasks

systems of

environmental and

forestry development,

conservation, utilization

and safety measures

• Implement awareness

raising activities on

forestry policy, strategy,

and laws for managers,

experts, and community

members at all levels

• Conduct an

Environmental

and Social Impact

Assessment (ESIA)

on new and on-going

projects, and ensure

strict monitoring and

evaluation activities are

carried out to determine

whether projects are

being implemented

in accordance with

environmental laws

20 Adaptation Options/Strategies Under the Climate Change National

Adaptation Programme of Action in Ethiopia

• Community-based development and commercialization of non-timber forest products (gum

Arabic, myrrh and frank incense);

• Community-based rehabilitation of degraded ecosystem in selected parts of Ethiopia for

carbon sequestration and trading;

• Propagation and commercial scale cultivation of wild essential oil crops;

• Establishment of a center for propagation and commercialization of traditional herbal

medicinal plants;

• Establishment of acacia woodland nature reserve in the Ethiopian Rift Valley System;

• Range shift cultivation of selected cash crops at drought-prone areas;

• Establishment of national research and development center for rio-conventions;

• Development of an incentive scheme for farmers (hill-farming communities) to reforest

degraded hill areas in the northern parts of Ethiopia;

• Participatory approach to rehabilitate degraded hills/ecosystem in northern Ethiopia;

• Institutional reinforcement for biodiversity conservation;

• Establishment of a National Environment Education Program;

• Reforestation for fuel in the highlands of Ethiopia;

• Regional capacity building for monitoring and inventorying of biodiversity;

• Establishment of potato-centered small-sized cottages;

• Reclamation of bush encroached rangelands;

• Promotion of legume-based agro-forestry systems and home-garden agriculture;

• Development and rehabilitating existing watering sites in pastoral areas;

• Aquaculture development for efficient harvest of commercial spirulina species in the lakes of

the Ethiopian Rift Valley System; and

• Reorganization of drought affected communities

Challenges

Throughout Ethiopia the environmental sector is vulnerable to climate and disaster

risks. Both droughts and floods have caused extensive losses and damage to the

environment; however, the losses and damage from droughts are enormous. Droughts

can bring various environmental impacts many of which can already be observed in

Ethiopia. Some of the general impacts are briefly described in Table 5.12.

Table 5.12 Impacts of Droughts and Floods on the Environment

Hazard

Environmental Impact

Drought

• Damages ecological systems

• Cumulative stress on wetlands, wildlife, forests, ground water, and soil

• Changes in the quantity and quality of water available in the hydrologic

system

• Damages both plant and animal species by depriving them of food and

water, increasing their susceptibility to disease, and increasing their

vulnerability to predation

• Results in a loss of biodiversity, and often increases erosion of dried soils

when rain eventually comes

• Degrades water quality, shifts salt concentration, pH levels and dissolved

oxygen, while increasing water temperatures

• Diminishes air quality due to increased dust and pollutants

• Leads to more wildfires, while adversely changing salinity levels in coastal

estuaries and reducing the flushing of pollutants

Flood

• Positive and negative effects on river-floodplain ecosystems

• During great floods, floodplains do not merely store water, but become

part of the flowing river itself, conveying water slowly downstream through

the forests and marshes

Hazardous

waste

• Result in agro chemical waste such as herbicides, insecticides, fungicides,

pesticides, and fertilizers

• Industrial and municipal waste are released into the soil, water, and

atmosphere

Mainstreaming DRM into Environment and Climate Resilient

Green Economy

The following section discusses steps and activities for incorporating DRM into environment

and climate resilient green economy (Table 5.13). Based on the challenges and issues

discussed in the previous section, this section proposes suggestions on mainstreaming

DRM.

Table 5.13 Key Steps and Activities for Mainstreaming DRM into

Environment and Climate Resilient Economy

Step

Potential Activities/Action/Role for DRM Main-

streaming

Outcome

Step 1:

Planning for

Engagement

Summary: In this initial stage, the objective is to

generate advocacy for DRM mainstreaming with the

Ministry of Environment, Forestry and Climate Change,

National Planning Commission, Ministry of Finance

and Economic Cooperation, the Sector Development

Planning Office responsible for environment and

climate resilient green economy, and the sectoral task

force on DRM mainstreaming. The outcome of this step

would lead to an agreement and the establishment of a

team for conducting a situation analysis.

Key stakeholders

recognise the need

for mainstreaming

DRM into

environment and

climate resilient

green economy

Step

Step 2:

Situation

Analysis

Potential Activities/Action/Role for DRM Main-

streaming

Outcome

Suggestions:

• Conduct meetings to facilitate partnerships with

the key officials from the Ministry of Environment,

Forestry and Climate Change, National Planning

Commission, Ministry of Finance and Economic

Cooperation, Sector Development Planning Office

responsible for environment and climate resilient

green economy, and sectoral task force, and

NDRMC for mainstreaming DRM into environment

and climate resilient green economy

• Establish team for undertaking situation analysis

(Step 2) and share findings and reports with key

stakeholders

Guidance on

conducting

situation analysis of

environment and

climate resilient

green economy

Summary: This step deals with the collection of

information, and the identification of key risks related

to environment and climate resilient green economy.

Suggestions:

• Assess disaster risks and projected effects of

climate change in the program location and the

wider geographical context

• Use hydro metrological data related to rainfall,

temperature, etc. for the situation analysis from

the National Metrological Agency

• Use historical disaster records, combined with the

knowledge of at-risk populations to understand

the interaction between disaster risks and natural

resources

• Use WDRP to understand the environmental

problem by kabele

• Use WDRP to understand the situation of

deforestation in wereda prone to natural hazard

risks

• Use WDRP to understand the situation of natural

resources availability (natural resources available

and changes in wereda prone to natural hazard

risks)

• Use WDRP to understand the situation of rainfall

and temperature (observed changes on rainfall and

temperature in wereda prone to natural hazard

risks)

• Use WDRP to understand the situation of reasons

for environmental changes in wereda prone to

natural hazard risks

• Use WDRP to understand the situation of soil

erosion (observed changes on levels of soil erosion

in wereda prone to natural hazard risks)

Sector Briefing notes

on environment and

climate Resilient

green economy

Problem statement

Step

Step 3:

Main-

streaming

Action

Develop-

ment

Process

Potential Activities/Action/Role for DRM Main-

streaming

Outcome

• Undertake study on impact of land degradation,

expansion of steep slopes, and inadequate land

cover during erosive periods on drought and flood

prone areas in Ethiopia

• Undertake study on adoption of soil conservation

measure in Ethiopia, including current issues,

challenges, needs, and capacity in the context of

drought and flood risk

• Undertake studies on assessment of capacity of

relevant institutions in planning, implementation,

monitoring, and evaluation of the sector on DRM

mainstreaming

• Undertake study on the best practices in climate

change adaptation practices in the context of

climate and disaster risks in Ethiopia

• Undertake study on environmental impact

assessment (EIA) in Ethiopia, including the gaps

and challenges in the context of climate and

disaster risk

• Undertake study on the current practices on

forest development, conservation techniques, and

existing system of education and training. What are

the gaps and challenges in the context of climate

and disaster risks?

• Review the performance of environmental policy,

EIA, in the context of climate and disaster risks in

Ethiopia

• Review the performance of other relevant policies

in the context of climate and disaster risks (e.g.,

land tenure policies, land forest use regulations,

infrastructure development, monitory and credit

policy, etc.)

Summary: Step 3 deals with the problem validation

process, problem prioritization process, problem-

solution tree analysis, and action matrix development.

It prioritizes actions in line with GTP-II actions.

Suggestions:

• Based on situation analysis and sector briefing

notes, identify good practices/actions in natural

resource management to confront some of the

new challenges posed by disasters and climate

change

• Based on situation analysis and sector briefing

notes, adopt adaptive management approaches.

Climate and disaster impacts and NAPA measures

should be monitored carefully so that management

actions can be appropriately adjusted in response

to changing conditions

• Refer and review disaster risk mitigation and

adaptation plans that are prepared by the wereda

sectors (NDRMC)

• Conduct trainings to educate and build knowledge

on mainstreaming DRR into EIA (see Box 5.2)

• Conduct trainings and develop capacity on

forest development and conservation technics

that confront some of the challenges posed by

disasters and climate change

Problem tree(s)

Root-causes

Mainstreaming DRM

action matrix for

environment and

climate resilient

green economy

Step

Step 4:

Costing

of Actions

and

Develop-

ment

Imple-

mentati

on Plan

Step 5:

Approval

Process

Potential Activities/Action/Role for DRM Main-

streaming

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and monitoring

and evaluation strategy for mainstreaming actions for

environment and climate resilient green economy.

Suggestions:

• Conduct cost analysis for mainstreaming actions,

including incremental cost (gaps) and developing

a financial strategy along with environment and

climate resilient green economy actions/activities

• Create institutional arrangements such as the

creation of an implementation unit along with the

implementation unit for environment and climate

resilient green economy activities

• Develop communication strategies for

mainstreaming actions under the environment and

climate resilient green economy actions/activities

under GTP - II

• Develop monitoring and evaluation strategies for

mainstreaming actions under the environment and

climate resilient green economy actions/activities

under the GTP – II

Summary: This step deals with obtaining political

support for risk sensitive development of environment

and climate resilient green economy plan

Suggestions:

• Provide convincing evidence of the costs of short-

term decisions in the environment and climate

resilient green economy sector over the short,

medium and long-term

• Promote legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for environment and

climate resilient green economy. For example,

EIA legislation is required for the development or

construction of infrastructure or production units/

plants

• Set appropriate monitoring systems and enabling

strategies at the planning, execution, and

evaluation stages of environment and climate

resilient green economy plan

Outcome

Disaster resilient

initiatives are

prioritized in the

environment and

climate resilient

green economy plan

The environment

and climate resilient

green economy

plan promotes/

strengthens

risk sensitive

development

Step

Potential Activities/Action/Role for DRM Main-

streaming

Step 6:

Implementa-

tion, Moni-

toring and

Evaluation

Summary: This step deals with implementation and

tracking progress towards achieving the activities as

per the action plan developed in Step 4.

Suggestions:

• Monitoring and evaluation of DRM mainstreaming

actions should be carried out within the GTP- II

monitoring and evaluation strategies.

• Technical guidance will be provided for compiling

and analyzing the collected information and data.

Currently, a biennial report is submitted using the

planned Sendai framework for monitoring and

evaluation.

• The gaps, challenges or issues identified in

this step will be used to adjust for continual

improvements in the plan implementation and for

DRM efficacy and cost effectiveness. In addition,

issues or gaps not adjusted are taken up in Step 1

for discussion.

Outcome

Plan implementation

is adjusted

for continual

improvements in

DRM efficacy and

cost effectiveness

Box 5.2 EMB Integrates Disaster Risk Reduction and Climate Change Adaptation

in the Environmental Impact Assessment (EIA) Requirement in the

Philippine EIS System

The Philippine Environmental Impact Statement System (PEISS) is a planning tool for

incorporating environmental management concerns into proposed development

projects, and has been specifically identified as an entry point for considering climate

change risks and formulating climate change adaptation in planning development

initiatives at the project level. Likewise, in the light of the current disaster events,

there has been a realization of the importance of considering disaster risks in project

planning and development and the PEISS has been identified as one of the government

processes where these concerns should be tackled. Hence, EMB Memorandum Circular

2011-005 on Integrating DRR/CCA concerns in the PEISS was issued in November 2011.

The Memorandum Circular is intended to enhance the PEISS into a risk-based planning

and management tool, in addition to it being a tool for incorporating environmental

management concerns in project planning and implementation. Since then, a number

of projects have used the Technical Guidelines for Integrating DRR/CCA concerns in the

EIA. With assistance from the Asian Disaster Preparedness Center (ADPC), implementation

of EMB MC 2011-005 is currently being assessed in order to enhance its effectiveness.

Source: (Environment Management Bureau, n.d.)

Guidance Note 3:

Health Sector Development

Health sector development is one of the key sectors/sub-sectors that contributes

to human development and technology capacity building during the Second

Growth and Transformation Plan (GTP – II), and was developed as an outcome of

national development planning process in Ethiopia. It is represented by the Ministry of

Health. The roles and responsibilities in the national development planning and

implementation of national development plan8 and DRM are defined in Table 5.14

Table 5.14 Lead Agencies Roles and Key Programs on DRM:

Heath Sector Development*

Lead

Agency/

Ministry

Roles & Responsibilities

Key Institutions/

Programs for

Accessing Data

Relevant to DRM

Mainstreaming

Ministry of • Lead agency to implement national nutrition policy Key stakeholders

Health

which includes, among others:

recognise the need

National

• Responsibility for implementing specific objectives for mainstreaming

Disaster

related to health sector development in the

DRM into

Risk Man-

national development plan

environment and

agement

• Accountability for monitoring, evaluating, and

climate resilient

Commission

reporting of progress and achievements of

green economy

(NDRMC)

implementation

• Lead institution with respect to food shortage

induced malnutrition affecting children and

mothers and also other human epidemics

associated with disasters

Provides key information about:

• Household access to drinking water - Households’

methods of treating drinking water, number of

times households fetch water per week, time taken

per day to fetch water for households

• Household access to health facilities - Where do

patients go for health care?

• Hazards: Health problems by kebele - Health

problems and changes over the past decade

• Household health status - Households’ health

condition and major health problems

• Household access to sanitation - Percentage of

households with access to types of toilet facilities

• Household access to drinking water - Sources of

drinking water for households

WDRP

MoWIE

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country.

Objective

The objective of the health sector is to improve the health outcomes of citizens through

provision of equitable, accessible, and quality health services, and enhancing awareness of

the public so that they protect themselves from various health hazards (National Planning

Commission, 2016a).

Implementation Strategy

•

Reduce the turnover of health professionals by providing adequate

training for health professionals

Support private investors to establish highly specialized hospitals

Strengthen or improve government investment policy in order to increase the

participation of private investors in pharmaceuticals, production of medical

equipment, and other areas

Transform health service delivery through enhanced governance, development

of the sector’s leadership capacity, strengthened survey and surveillance

systems, revolutionized information management system through utilization to

a systematic information management approach

Health sector transformation through wereda transformation (National Planning

Commission, 2016b)

Major Hazards and its Analysis

The health sector is prone to the negative effects of droughts and floods, which have

in some cases been catastrophic. Since 1974, the occurrence of droughts have

become more frequent, more severe, and have caused tremendous loss of human lives

and property damage (Tadesse and Ardalan, 2014). The most severe events were in

the years 1974, 1983, 1987, 1989, 2003, 2005, 2008, and 2009 (Tadesse and Ardalan,

2014). Floods are the second natural disaster in Ethiopia. They have been occurring

more frequently and have affected the country almost every year between 1993 and

2013 (Tadesse and Ardalan, 2014). Epidemics can also be considered disastrous,

causing mortality and morbidity throughout the country. Major examples include

measles, dysentery, meningococcal meningitis, anthrax, influenza A and B, relapsing

fever and yellow fever as reported by the government (Tadesse and Ardalan,

2014). In addition, diarrhea and malaria are the two main diseases that affect flood

victims. In several instances, the problem of diarrhea was aggravated in a temporary

resettlement camp because of overcrowding and inadequate water and sanitation

facilities (Tadesse and Ardalan, 2014). In addition, the risk of a diarrhea outbreak is high

when displaced people return to their villages, since floods destroy protected springs,

shallow wells, and boreholes (Tadesse and Ardalan, 2014). Table 5.15 describes some

of major impacts of floods on the health system in Ethiopia.

Table 5.15 Health Impacts of Floods in Ethiopia

Hazard

Health Impact

Remark

Floods in

2003, 2005, &

2006

Deaths, injuries, infectious

disease, vector borne diseases,

malnutrition, mental health

problems, and damage to

health infrastructure

According to OFDA/CRED (2008) database,

119, 156 and 932 flood deaths have occurred

in 2003, 2005, and 2006 respectively in

different parts of the Ethiopia (Abaya, 2008)

Diarrheal disease

Diarrhea outbreaks were reported in many

parts of Ethiopia following the occurrence of

the 2005 and 2006 floods (UN OCHA, 2006;

Abaya, 2008)

Vector-borne diseases

There is always a fear of a malaria epidemic

after flooding in many parts of Ethiopia, as

floods create numerous breeding sites for

mosquitos (FDPPA, 2006). The absence of

good disease surveillance in Ethiopia makes it

difficult to show how floods affect the pattern

of malaria epidemic (Abaya, 2008).

Mental stress

Significant stress can also result from floods

because of damage to property, disrupted

livelihoods, and loss of social networks (Chae

et al, 2005). Several studies indicate that

anxiety, depression, and sleeplessness have

increased among flood victims (Otto et al

2006; Morgan, 2005; Chea et al, 2005; Abaya,

2008).

Malnutrition

The 2006 flood in the Gambella region

resulted in 1,650 ha of maize crops

damaged. There was also a 20% reduction

in production, mainly from flood recession

farming as result of water lodging in the

farm lands (GRDPPA, 2007). Most of the

people affected by this flood were poor and

considered highly vulnerable in terms of food

security (Abaya, 2008).

It is likely that shortage of food caused by

flooding in Ethiopia will exacerbate the

existing malnutrition problem in the country.

Damage to hospitals, health

centers, and related facilities

There were reports that the health facilities

in some parts of Ethiopia flooded as a result

of heavy rains in 2005 (Ethiopian Red Cross/

Crescent, 2005; Abaya, 2008).

100

Steps for Mainstreaming DRM into Health Sector Development

Table 5.16 Key Steps and Activities for Mainstreaming DRM into Health

Sector Development

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1: Plan-

ning for

Engagement

Summary: In this initial stage, the objective is

to generate advocacy for DRM mainstreaming

within the Ministry of Health, National Planning

Commission, Member of Parliament, Ministry of

Finance and Economic Cooperation, the sector

development planning office responsible for

health sector development, and sectoral task

force on DRM mainstreaming. The outcome

of this step would lead to agreement and

establishing team for conducting situation

analysis.

Key stakeholders recognize

the need for mainstreaming

DRM into health sector

development

Suggestions:

• Ministry of Health takes lead role to facilitate

partnership with the key stakeholders

• Establish team for undertaking situation

analysis (Step 2) and share findings and

reports with the key stakeholders

Guidance on conducting

situation analysis of health

sector development

Step 2: Situa- Summary: This step deals with information

tion Analysis collection, and identification of key risks related

to health sector development.

Sector briefing notes on

health sector development

Suggestions:

• Conduct assessment on the impact of

disasters on the six building blocks of the

health system in Ethiopia. The building

blocks are clearly identified in HSTP as

follows:

Health System Building Blocks

Health workforce

Infrastructure

Logistics and supply chain

Health information system

Health systems financing

Leadership and governance

Problem statement

• Undertake study on multi-hazard risk

assessment on building blocks of health

system in Ethiopia (see Box. 5.3 and Box

5.4)

• Undertake study on disaster impacts on

building blocks of health system in Ethiopia,

including their current coping mechanism,

and challenges

• Undertake assessment on current early

warning system for health sector in Ethiopia

based on key hazards; namely, drought,

disease outbreak, nutrition-related, flood,

and disease-related

101

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Undertake assessment of the current

preparedness and response capacity in the

health sector

• Undertake assessment of the current

resource capacity in general, including the

search capacity in health system

• Undertake assessment on quality of health

system, policy, legislation, vulnerability

intervention program and its coverage,

institutional capacity in general, including

capacity to implement DRM

• Undertake study on private investor

knowledge and capacity gaps on

establishing specialized hospital with

DRR components. The study may also

include the review of current regulations

of establishing hospital in the context of

climate and disaster risk

• Undertake necessary feasibility level study

that evaluates performance of health

service delivery in the hazard prone areas/

wereda in Ethiopia. What are the costs

and benefits incorporating risk factors

into health service delivery, and current

challenges? Create recommendations on

how to incorporate risk factors into the

transformation of health service delivery

• Review and performance of health policy

of Ethiopia and other relevant policy (such

as Public Health Emergency Management

– Guidelines for Ethiopia 2012, Protocol

for the Management of Severe Acute

Malnutrition – Guideline) in the current

context of risks of climate change and

disaster risks

• Review the preformation of local institutions

and contractors’ DRM knowledge and

practice for health sector

Step 3: Main-

streaming

Action De-

velopment

Process

Summary: This step deals with the problem

validation process, problem prioritization

process, problem-solution tree analysis and

action matrix development while ensuring that

actions are in line with GTP-II actions.

Problem tree(s)

Root-causes

Suggestions:

• Based on the assessment of the impacts of

disasters on the health system blocks and

multi-hazard risk assessment, identify areas

and necessary actions to mainstream DRR

into health system blocks

• Based on the assessment of the early

warning system, identify actions for making

it robust in nature

Mainstreaming DRM action

matrix for Health sector

development

102

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Identify actions to strengthen preparedness

and response capacity in the health sector,

and enhance response capacity in general

• Identify actions to strengthen quantity

aspect of health system and improve the

policy, vulnerability intervention programs,

legislations, and institutional capacity for

DRM in the health system

• Based on the review of the performance of

local institution and contractors’ knowledge

and practice on DRM for the health sector,

design trainings for health professionals on

DRM and increase their number significantly

• Based on the study findings regarding the

investors’ knowledge and capacity gaps on

establishing specialized hospital with DRR

components, establish capacity of private

investors on the standards of resilient

health infrastructure and facilities

• Based on the findings of the feasibility

study, look at performance of the health

service delivery in hazard prone areas/

wereda in Ethiopia. If required, identify

key DRM actions/recommendations to be

incorporated into the transformation of

health service delivery strategies.

• Use findings from the risk assessment of

health sectors to update or revise health

sectors policies, plans, and programs with

DRM sectoral strategies (Figure 5.2)

• Use working group sessions with

stakeholders using a range of tools (e.g.,

problem-solution tree analysis, guiding

questions) for identifying root causes and

effects relating to key problems

• Identify root causes and solutions

• Identify solutions by classifying possible

risk management strategies for health

sector development into three categories:

mitigation, risk transfer, and coping.

Step 4:

Costing of

Actions and

Develop-

ment of

Implementa-

tion Plan

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, monitoring

and evaluation strategy, and strategy for

mainstreaming actions for health sector

development.

Suggestions:

• Conduct cost analysis of mainstreaming

actions, including incremental cost (gaps)

and develop a financial strategy along with

health sector development actions/activities

• Create institutional arrangements such

as the creation of an implementation unit

along with the implementation unit for

health sector development activities

Disaster resilient initiatives

are prioritized in the health

sector development plan

103

Step

Step 5:

Approval

Process

Potential Activities/Action/Role for DRM

Mainstreaming

• Develop communication strategies for

mainstreaming actions under the health

sector development actions/activities under

GTP - II

• Develop monitoring and evaluation

strategies for mainstreaming actions under

the health sector development actions/

activities under the GTP – II

Summary: This step deals with obtaining

political support for risk sensitive development

of the health sector development plan.

Outcome

Disaster resilient initiatives

are prioritized in the health

sector development plan

The Health Sector

Development Plan promotes

risk sensitive development

Suggestions:

• Provide evidence of the costs of such

short-term decisions in health sector

development sector over the short, medium

and long-term

• Promote legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for health sector

development. For example, legislation is

required for the design of health services

and infrastructure

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution and evaluation stages for the

Health Sector Development Plan

Step 6:

Implementa-

tion, Moni-

toring, and

Evaluation

Summary: This step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

• Monitoring and evaluation of DRM

mainstreaming actions should be carried

out within the GTP- II monitoring and

evaluation strategies

• Technical guidance will be provided for

compiling and analyzing the collected

information and data. Currently, a biennial

report is submitted using the planned

Sendai framework for monitoring and

evaluation

• The gaps, challenges or issues identified in

this step will be used to adjust for continual

improvements in the plan implementation

and for DRM efficacy and cost effectiveness.

In addition, issues or gaps not adjusted are

taken up in Step 1 for discussion

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

104

Box 5.3 Health Sector Self-Assessment Tool for Disaster Risk Reduction - Pan

American Health Organization

The Health Sector Self-Assessment Tool for disaster risk reduction aims to help health

sector managers and health disaster coordinators (HDC) determine the status of key

aspects of disaster risk management (DRM) in their country (notably mitigation

and preparedness). Its purpose is to assist health disaster coordinators arrive at a

comprehensive assessment of disaster mitigation and preparedness of the health sector.

Once completed and adjusted to national particularities, it could provide a baseline

against which to monitor progress in the implementation of a disaster risk reduction or

disaster risk management program, if conducted as part of an annual review process.

Source: (Pan American Health Organization, 2010)

Source: (Environment Management Bureau, n.d.)

Box 5.4 Promote the Use of Wereda Disaster Risk Profile Data and Information for

Enhancing the Health Sector Vulnerability and Risk Assessment Mapping

The Ministry of Health, Government of Ethiopia has planned to strengthen its capacity

of its Health Emergency Risk Management System through implementing the key

strategic initiatives/activities under the Health Sector Transformation Plan (2015/16

- 2019/20). One of the key initiatives is to enhance regular risk assessment (hazard,

vulnerability, and capacity analysis) and early warning; and development of public

health risks profile maps for each wereda. In December 2016, the National Disaster

Risk Management Commission (NDRMC) developed a methodology for Wereda Disaster

Risk Profile (comprehensive disaster risk assessment program) and successfully

conducted wereda risk assessment in 337 weredas. Moreover, in the profile, one

section specifically deals with health and sanitation characteristics in wereda with

different hazard exposures. The overall disaster risk assessment findings of the

weredas, including methodology, can serve or provide technical input to the Ministry

of Health in enhancing the health sector risk assessment initiative in Ethiopia.

Note: The mainstreaming of DRM should be aligned with the implementation strategy

of the health sector GTP – II plan, especially for the areas that are highly prone to

the risk of natural hazards. For instance, in order to build highly specialised hospitals,

it is important that private investors and relevant government officials are trained on

Health Facility Safety Index components and how to incorporate them into the new

design of health facilities or upgradation of the existing health facilities in highly disaster

prone wereda.

Monitoring and evaluation components of DRM mainstreaming should be incorporated

into the framework of GTI – II health sector monitoring and evaluation.

105

Guidance Note 4:

Potable Water Supply and Irrigation

Development Sector

Potable water supply and irrigation development is one of the key sectors/sub-

sectors that contributes to the economic infrastructure during the Second Growth

and Transformation Plan (GTP – II), and was developed as an outcome of national

development planning process in Ethiopia. It is represented by two key line agencies

or ministries: 1) Ministry of Water, Irrigation and Electricity; and 2) Ministry of Health.

In addition, these ministries are also the lead agencies in regards to climate and

disaster risks in Ethiopia. The roles and responsibilities in the national development

planning and implementation of national development plan8 and DRM are defined in

Table 5.17.

Table 5.17 Lead Agencies Roles and Key Programs on DRM: Potable

Water Supply and Irrigation Development*

Hazard

Roles & Responsibilities

Key Programs on DRM

(Example)

Ministry

of Water,

Irrigation and

Electricity

• Responsible for implementing specific

objectives related water, irrigation, and

electricity in the national development plan

(Table 5.18). Accountable for monitoring,

evaluating and reporting of progress and

achievements of implementation

• Act as a lead institution with respect to

floods and other water supply, and water

dams related hazards and associated

disasters

Flood protection

components of the water

resource development

program

Ministry of

Health

• Responsible for implementing the specific Improve health emergency

objectives related to health in the national risk management under the

development plan (Table 5.18) for potable health sector development

water supply and irrigation development.

program

• Accountable for monitoring, evaluating, and

reporting of progress and achievements of

implementation.

• Act as a lead institution with respect to food

shortage induced malnutrition affecting

children and mothers and also other human

epidemics associated with disasters.

National

Disaster Risk

Management

Commission

(NDRMC)

Provides key information about:

• Hydro-meteorological hazards (i.e., floods,

droughts, storms/hail storms, heat waves,

main hazards perceived by the community)

of the wereda and losses from the

associated disasters

• Physical vulnerability (e.g.,access to

electricity)

• Proportion of households with access to

safe drinking water, including quality and

ease of access

• Water for irrigation, including access to

water for irrigation in the community7

• Water availability for livestock

WDRP

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country.

7 Can be also accessed from MoANR, MoWIE

108

Objectives

Potable water supply and irrigation development plan includes strategic direction,

objectives, major targets, and implementation strategies. The major objectives of the

sector are primarily focused on 1) providing access to a safe and sustainable water

supply and improving waste water disposal systems; 2) improving potable water

supply services and accessibility as well as urban sewerage systems; 3) assessing the

quantity and quality of the country’s water resources and their contribution to the

development of the economy; and 4) mitigating flood and runoff impacts (National

Planning Commission, 2016a). The specific objectives are described in Table 5.18.

Table 5.18 Specific Objectives of the Potable Water Supply and Irrigation

Development Sector

Specific Objectives

Roles & Responsibilities

• Improving the quality, sustainability, and supply of drinking Ministry of Water, Irrigation

water

and Electricity

• Improving urban and rural water supply

• Developing surface and underground water hydrological Ministry of Health

information

• Rehabilitation and conservation of water bodies

• Improving the urban waste management and sewerage

system

• Increasing the quality and access to safe drinking water

and improving sanitary services

Source: (National Planning Commission, 2016b)

Implementation Strategy for Potable Water Supply and Irrigation

Development Sector

• Establish system to record underground water levels (i.e., quantity) and apply

quality standards

• Raise awareness on national water resource frameworks among officials involved

in planning and policy formulation, including managers

• Actively participate in irrigation development. Before commencing any irrigation

construction, design works will be evaluated by social and environmental safe

guards as well as international experts.

• Share experience and encourage knowledge transfer. Facilitation activities will

be conducted for local consultants and contractors to encourage them work

with international firms.

Challenges

In places where water, electricity, irrigation and sanitation services have not been

constructed with resilience in mind, hazards can destroy or paralyze them. Table 5.19

includes possible impacts of natural hazards on water supply, electricity infrastructure, and

irrigation development.

109

Table 5.19 Impacts of Natural Hazards on Water Supply, Irrigation,

and Electricity

Hazard

Impact of Natural Hazards on Water Supply, Irrigation and Electricity

Floods

• Contaminate water sources and block distribution and collection networks

• Increase intensity and frequency of severe weather events impacts on

energy infrastructure, power plants, transmission lines, refineries, oil and

gas drilling platforms, pipelines and power lines resulting high energy

prices

• Increase intensity and frequency of severe weather events impact design

and safety requirements of future energy infrastructure and other capital

investments

Droughts

• Cause water sources to dry up temporarily or even permanently, and

prevent sewerage networks from functioning adequately

• Extend periods of drought lead to reduced water availability for

hydropower generation, household consumption, and irrigation

Earthquakes,

landslides,

and

windstorms

• Damage wells, tanks, piped water distribution systems, and water towers

and disrupt solid waste collection systems

Steps for Mainstreaming DRM into Potable Water Supply and

Irrigation Development

Table 5.20 Key Steps and Activities for Mainstreaming DRM into Potable

Water Supply and Irrigation Development

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1:

Planning for

Engagement

Summary: In this initial stage the objective is

to generate advocacy for DRM mainstreaming

with key stakeholders who have key roles and

responsibilities in the implementation of the

national development plan for potable water

supply and irrigation development sector. Key

stakeholders may include:

- Ministry of Water, Irrigation and Electricity

- Ministry of Health

- Ethiopian Electric and Power Authority

- Ministry of Education

- Regional Implementing Partners

- Wereda offices

- Development partners

- UN agencies

- National Metrological Agency (NMA)

- National Planning Commission

- Ministry of Finance and Economic

Cooperation

- Ministry of Environment, Forest and Climate

Change

Key stakeholders recognize

the need for mainstreaming

DRM into potable water

supply and irrigation

development

Guidance on conducting

situation analysis

110

Step

Potential Activities/Action/Role for DRM

Mainstreaming

This step aims to reach an agreement among

the above stakeholders for establishing a team

for conducting the situation analysis.

Outcome

Suggestions:

• Conduct meetings to facilitate partnership

with the key stakeholders

• Establish team for undertaking the situation

analysis (Step 2) and sharing findings and

reports with the key stakeholders

Step 2: Situa-

tion Analysis

Summary: This step deals with information

collection, identification of key risks related

to potable water supply and irrigation

development.

Sector briefing notes on

potable water supply and

irrigation development

Problem statement

Suggestions:

• Undertake study on detailed assessment

of floods in Ethiopia on water sources,

distribution and collection networks,

irrigation development projects (Box 5.5)

• Under take field baseline survey to

investigate on the existing irrigation system

and drainage canals, identifying problems

related to flood disasters and their causes

• Undertake detailed assessment of drought

on water resources, sewerage networks

(Box 5.5)

• Undertake assessment on awareness levels

of officials involved in planning and policy

formulation, including managers on disaster

risk management for water and irrigation

development

• Undertake necessary feasibility level

studies that look at alternative options,

including the associated costs, benefits,

and risks involved in delivering the project

or components of the project (may include

new available technology that can be used

to deliver the project or component(s) of

the project), and selecting the best possible

implementation plan/project options/

configurations/technology

• Review of the Ethiopia water sector policy,

Ethiopia water resource management

proclamation no. 197/2000, Ethiopia water

resource management policy, Ethiopia

water resource sector strategy, and Africa

water vision, among others

• Review the preformation of local

institutions and contractors in designing,

implementing, monitoring, and evaluating

projects with resilient design features in

irrigation infrastructure, rehabilitation, and

conservation of water bodies, etc.

111

Step

Potential Activities/Action/Role for DRM

Mainstreaming

• Use wereda-level risk information to

understand the current situation of water

availability, source of drinking water, access

to water for irrigation in weredas exposed

to the risk of natural hazards (Box. 5.5)

• Use problem tree and root causes tools to

conduct situation analysis

• Undertake strategy analysis

• Develop risk minimization and prioritization

strategy

Step 3: Main-

streaming

Action De-

velopment

Process

Summary: This step deals with the problem

validation process, problem prioritization

process, problem-solution tree analysis, and

action matrix development. Prioritize actions in

line with GTP-II actions.

Outcome

Sector briefing notes on

potable water supply and

irrigation development

Problem statement

Suggestions:

• Based on findings during the survey on the

irrigation and drainage infrastructures and

lower resilience to the floods and water

loggings, design and plan the drainage

infrastructure construction projects under

the GTP - II

• Use potable water supply and irrigation

development planning guidelines for

mainstreaming action development

processes

• Use GTP-II methodology for the problem

validation process, problem prioritization

process, problem-solution tree analysis, and

action matrix development

• Use prioritisation process for the validation

of issues and problems

• Use working group sessions with

stakeholders using a range of tools (e.g.,

problem-solution tree analysis, guiding

questions) for identifying root causes and

effects of key problems

• Identify root causes and solutions

• Following the assessment of risks and

analysis of stakeholder vulnerability, risk

management strategies such as trainings

can be proposed (see Box 5.6)

• Develop appropriate DRM strategy

and program to address specific

vulnerability level within the context of

the water, irrigation, agriculture, and rural

development

• Identify solutions by classifying possible risk

management strategies for potable water

supply and irrigation development into

three categories: mitigation, risk transfer,

and coping (see Case Study 2)

112

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Step 4: Cost-

ing of Ac-

tions and

Develop-

ment of

Implementa-

tion Plan

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and

monitoring and evaluation strategy for

mainstreaming actions for potable water supply

and irrigation development.

Suggestions:

• Conduct cost analysis of mainstreaming

actions, including incremental cost (gaps)

and developing a financial strategy along

with potable water supply and irrigation

development actions/activities

• Create institutional arrangements such

as the creation of an implementation

unit along with the implementation unit

for potable water supply and irrigation

development activities

• Develop communication strategies for

mainstreaming actions under the potable

water supply and irrigation development

actions/activities under GTP - II

• Develop monitoring and evaluation

strategies for mainstreaming actions under

the potable water supply and irrigation

development actions/activities under the

GTP – II

Step 5:

Approval

Process

Summary: This step deals with obtaining

political support for risk sensitive development

of potable water supply and irrigation

development plans. The approval process

includes both sectoral and national approval

under the national development planning

framework of Ethiopia.

Outcome

Disaster resilient initiatives

are costed in the potable

water supply and irrigation

development

The potable water supply

and irrigation development

plan promotes risk sensitive

development

Suggestions:

• Provide evidence of the costs of such short-

term decisions in potable water supply

and irrigation development sector over the

short, medium and long- term

• Promote legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for potable water

supply and irrigation development sector.

For example, legislation is required for food

production

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution, and evaluation stages of potable

water supply and irrigation development

plan

113

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 6:

Implementa-

tion, Moni-

toring, and

Evaluation

Summary: This step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

o Monitoring and evaluation of DRM

mainstreaming actions should be

carried out within the GTP- II monitoring

and evaluation strategies

o Technical guidance will be provided

for compiling and analyzing the

collected information and data.

Currently, a biennial report is submitted

using the planned Sendai framework for

monitoring and evaluation

o The gaps, challenges or issues identified

in this step will be used to adjust

for continual improvements in the plan

implementation and for DRM efficacy

and cost effectiveness. In addition,

issues or gaps not adjusted are taken

up in Step 1 for discussion.

Continual improvements

in DRM efficacy and cost

effectiveness

Ensure resilient sector plan

implemented

114

Case Study 2: Integrated Watershed Management in Harbu,

Ethiopia

Source: DEVOE, D., 2013

Summary

In 2001, in the Harbu watershed of Ethiopia’s northern Kalu district, environmental

degradation could be seen in almost every direction. The hills were bare, with few

plants or grass growing on the steep slopes, which were historically green, fertile lands.

This degradation came about over many years. As the region’s population grew, farmers

cleared away the natural forest to grow crops. They cut trees for timber and firewood,

resulting in extreme deforestation. Rains began to carry away the top soil as water rushed

down hills. Farmers found it difficult to keep rain-fed crops watered in these conditions.

Yields dropped accordingly, a major concern for the majority of residents depending

on subsistence agriculture for survival. Families could no longer produce enough

sorghum for their needs, resulting in chronic food insecurity.

In 2001, CRS joined forces with Water Action, local leaders and the local government

agricultural office to implement an Integrated Watershed Management (IWM) project

targeting 570 households in Harbu. Water Action is a local NGO with considerable

experience in natural resource management, water supply, and livelihoods. The

project’s objective was to work with the community to reduce land degradation and

the risks of drought. At the start of the Harbu IWM project, the surrounding vegetation

cover was estimated at just 7 percent. Now, long stalks of grass bend in the breeze on r

egenerated hillsides. Achieving this in just a few years was a significant accomplishment.

What is presented? Integrated Watershed Management

• Knowing that community involvement would be the key to success, project

staff hosted community consultations to determine priority problems. Participatory

tools used included a transect walk, trend analysis, key informant survey, and

focus group discussions.

• The need to increase harvests and access safe, clean water quickly rose to the

top of the priority list. Women and children were traveling more than two miles to

collect water from rivers and unprotected springs for drinking, cooking, cleaning,

and for livestock.

• Construction – The project team and the community members decided to

construct one small-scale irrigation scheme, build two new water supplies, and

rehabilitate selected degraded hillsides through area closures.

• Committees/Association/Groups for community involvement – The watershed

development committee and irrigation water user association were in place to

oversee use of the irrigation scheme. Areas closure management committees,

two agro-enterprise groups, and two water and sanitation committees were in

place to collect fees and oversee maintenance of the water schemes.

115

• Trainings - Trainings were also held to increase committee members’ skills in natural

resource management, management of water supplies and irrigation schemes,

maintenance, recordkeeping, agricultural production, postharvest crop

management and agricultural marketing. In addition, project partners assisted

the committees in developing by-laws, taught them how to enforce the bylaws and

linked the committees with relevant government line offices for ongoing guidance

and support.

• Cash for work projects - The Harbu community also implemented a number of soil

and water conservation measures to further strengthen their resilience. Measures

included physical interventions, such as hillside terracing, soil and stone bunds,

check dams (small dams that slow water runoff and reduce soil erosion), gully

rehabilitation, cut-off drains and micro basins to collect surface runoff. Community

members also undertook biological measures, including planting trees, legumes

and grasses to reduce erosion and stabilize the physical structures.

• The community also established a cut-and-carry feeder system once 80 percent

of a degraded area rejuvenated. Residents living around the closed areas are not

able to let their livestock graze freely, they can cut grasses from the protected

areas to feed to their animals

What was achieved? – Impact and Results

• Sixty percent of project beneficiaries reported improvements in their overall

living conditions, highlighting increased food security and incomes. Beneficiary

households had more food, with annual food supplies increasing on average

the equivalent of one-months’ worth of food.

• Farmers using the small-scale irrigation system earned three times the amount

of farmers who are solely dependent on rain-fed agriculture.

• The Harbu watershed has significantly better vegetation cover, with coverage in

protected areas increasing from 7 percent to 80 percent. Community members are

still protecting the four closed areas and using grasses from these areas to feed

their livestock.

• The small-scale irrigation scheme and two water supplies established during the

project are still functional. These systems allow beneficiary families to be more

resilient to drought compared with other families in areas where water systems

have not been constructed.

• Forty-four miles of terraces on cultivated land has reduced soil erosion and

increased water retention, leading to increased agricultural productivity. Project

partners introduced improved varieties of sorghum, chick pea, pigeon pea,

groundnut and sesame, which further increase farmers’ yields. Sorghum yield

alone increased on average by 20 percent.

116

Is this case promoting mainstreaming DRR or providing an opportunity to

mainstream DRR?

• Drought risk was significantly reduced through Integrated Watershed

Management (IWM): IWM strengthens DRR efforts, drought and flood

preparedness and mitigation and sustainable livelihood and food security and

climate change adaptation

• Community institutions are prepared in terms of knowledge and skills to

address drought risk in future: The community institutions are now more

prepared to address the drought risk with their acquired knowledge by engaging

them in trainings, project implementation and monitoring activities

Way forward: Operational steps for mainstreaming DRR

• Promote integrated watershed management in drought affected areas: As

mentioned earlier, IWM strengthened DRR efforts, as well as drought and flood

preparedness and mitigation. It is essential that such projects are pilot tested

and implemented in drought prone areas. While selecting the project site for

IWM, Wereda Disaster Risk Profile should be referred as it provides detail

information on environmental characteristics, hazard characteristics, vulnerability,

exposure information of each wereda.

• Promoting integrated watershed management project for sustainable

agricultural development: The project clearly demonstrates how IWM

contributes in significantly better vegetation cover, increased agricultural productivity

(increased farmers’ yields, sorghum yield alone increased on average by 20 percent).

Thus, it is important that such projects are linked and implemented under the

GTP-II plan which aims to sustain agriculture development by expanding

watershed management practices.

• Promoting integrated watershed management project for improved water

resource management and utilization: The project clearly demonstrated how

IWS contributed in reduced soil erosion and increased water retention through

implementing irrigation scheme successfully. Moreover, farmers using the small-

scale irrigation system earn three times the amount of farmers who are solely

dependent on rain-fed agriculture. Thus, such projects should be promoted

and implemented under the GTP – II as the project contributes in improving

water resource management and utilization.

117

BOX 5.5 Promote the Use of Wereda Disaster Risk Profile Data and Information

for Irrigation Development Feasibility Study and Design

In the GTP II plan, medium and large-scale irrigation development feasibility studies

and designs on 250,000 ha and construction on 280,385 ha will be undertaken by

the Ministry of Water, Irrigation and Electricity. Wereda risk profile provides key

information about the status of access to water for irrigation in the community.

Moreover, within economic vulnerability – the status of agriculture, irrigation input

utilized households has been identified as one of the key factors by the population.

Thus, while developing the feasibility study and design for irrigation development

work, information and data of wereda risk profile should utilized or incorporated in

the feasibility study and design process.

BOX 5.6 Conduct Capacity Building or Training of Staff on DRM/R Integration

into Irrigation Development, Including Irrigation and Design Works

The GTP – II implementation strategies for Potable Water Supply and Irrigation

Development in Ethiopia also include conducting awareness trainings for officials

involved in planning and policy formulation on irrigation development. This platform

can be used for enhancing officials’ knowledge on best practices on DRR into irrigation

development projects, including large-scale and small-scale projects. Some of common

practices of small scale projects include drip irrigation practices, small scale irrigation

and reforestation, water harvesting schemes, small-dam based irrigation programs,

constructing irrigation system, rain water harvesting techniques including floodwater

diversion, on-farm runoff retention, soil moisture conservation, impounding in storage

structures, etc. Most of these practices are carried by the communities who have

generated a vast body of indigenous knowledge on disaster prevention and mitigation,

early warning, preparedness and response, and post-disaster recovery.

118

Guidance Note 5:

Integrated Transport and

Logistics Services

Integrated transportation and logistics services is one of the key sectors/sub-

sectors that contributes to the economic infrastructure plan during the Second

Growth and Transformation Plan (GTP – II), and was developed as an outcome of

national development planning process in Ethiopia. It is represented by the several

agencies, namely, Transport Authority, Ethiopian Railways Corporation, and Ethiopia

Civil Aviation Authority, Ethiopian Road Authority, and the Ethiopian Shipping Agency.

The roles and responsibilities of the ministry/authority/agency in the national

development planning and implementation of national development plan8 and DRM

are defined in Table 5.21.

Table 5.21 Lead Agencies Roles and Key Programs on DRM: Integrated

Transport and Logistics Services*

Lead Agen- Roles & Responsibilitiess

cy/Ministry

Key Programs on DRM

(Example)

Ministry of

• Responsible for implementing specific

Flood protection

Transport (air,

objectives related to transportation services components of the water

road, railways,

in the national development plan. The

resource development

and sea)

ministry is also accountable for monitoring, program

evaluating, and reporting on progress and

achievements in implementation

• Responsible to passengers’ safety through

reduced disaster risk

• Responsible for implementing specific

objectives related to railway infrastructure in

the national development plan. Corporation

is also accountable for monitoring,

evaluating, and reporting progress and

achievements of implementation

• Responsible for implementing specific

objectives related to air transport

service, marine transport, and logistics

infrastructure in the national development

plan. Authority is also accountable for

monitoring, evaluating, and reporting

of progress and achievements of

implementation

• Provide safety of passengers and their

properties

National

Disaster Risk

Management

Commission

(NDRMC)

Provides key information about:

• Physical vulnerability (e.g., access to roads

and urban center)

• Disaster events related to transport sector

WDRP

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country.

120

Objectives

The major objectives of integrated transportation and logistics services are to, 1)

enhance availability, accessibility and quality of transportation services, 2) reduce

traffic accidents and property damage, 3) support transportation of agricultural

and industrial products to enhance their competitiveness in the global market, 4)

support private sector investment and trade activities, 5) reduce the overall import

and export transit time and associated cost (National Planning Commission, 2016a).

The major objectives will be implemented through realizing specific objectives outline

in Table 5.22.

Table 5.22 Specific Objectives for Integrated Transportation and

Communication

Specific Objectives

Agency

Increase transportation services

Transport Authority (TA)

Increase supply of railway infrastructure

ERC and TA

• Improve the quality and expansion of air transport service ECAA, Ethiopian shipping

• Improve the supply of safe and accessible marine

Agency

transport and logistics infrastructure

Source: (National Planning Commission, 2016b)

Implementation Strategy

The objectives of integrated transportation and logistics services, including specific

objectives are implemented through a strategy developed under the GTP – II. The

implementation strategies of the transport and logistics sector are:

• Plan efficient port operation, which includes avoiding congestion through prioritization

• Develop strategic relief fleet management

• Conduct warehouse management

• Ensure quality control

• Develop alternate port usage strategy

• Enable the private sector participate in the development of ports in collaboration with

the government to increase foreign exchange earnings and reduce expenditures by

introducing systems

• Provide transport facilities in line with the demand for road transport

• Reduce waiting time of goods at ports

• ncrease the number of marine workers and register ships owned by other countries

• Support the logistics system with modern technology

• Conduct problem oriented research and trainings

• Enable operators and institutions to provide knowledge based services

• Establish a center of excellence to enable the sector’s regulatory institution equip them

with the necessary knowledge

• Strengthen and expand the national logistic centers and improve the capacity of logistics

service providers (National Planning Commission, 2016b)

• The following implementation strategies are designed to effectively implement the

transport and logistics plan:

• Establish the Ethiopian National Logistics Coordination Council (ENALCO) with the

necessary legal framework

• Establish logistics transformation office (LTO)

• Establish improved trade system

121

• Establish corridor facility and modern transit transport system, fulfil logistics

infrastructure

• Establish information communication system

• Improve containerization procedure and implement ships registration policy

• Make the road traffic safety the main agenda of the political leadership at all levels

• Work in partnership with traffic police to improve the enforcement of road traffic laws

• Strengthen coordinated activities with stakeholders

• Improve the coordinated activities of the federal and regional transport organizations

and working procedures

• Establish transport system to link major cities of the country and import freight transport

vehicles with high loading capacity (National Planning Commission, 2016b)

Roads and Disasters

Temperatures are projected to rise across the African continent and very high

temperatures can result in the softening and rutting of asphalt roads (Cervigni et al.,

2017). Some parts of Africa will see an increase in precipitation, which can lead to

reduced load-carrying capacity and lifespan of roads. Many parts of Africa will face more

intense precipitation, which can increase flooding frequencies. These floods can overrun

and erode roads, particularly unpaved roads. Some recent literature also provides

insights about the potential economy-wide implications of severe climate events that

affect the road network, particularly implications for food security (Cervigni et al., 2017).

For example, in Burkina Faso, maize price volatility is found to be greatest in remote

(poorly connected) markets. As climate change further reduces connectivity, this raises

the potential for food shortages and economic shocks to vulnerable areas.

The road network in Addis Ababa is vulnerable to gridlock, particularly at peak hours.

There are some key points of high traffic congestion, but much of the network is

susceptible to delays caused by lack of traffic management, breakdowns, or accidents

(Cervigni et al., 2017). Even minor accidents can cause substantial disruption to traffic

flows, delaying the arrival of emergency services. Currently, transport development

plans and regulations do not include such risk analysis.

There is a strong dependency between roads and urban drainage, as existing and new

roads interrupt natural drainage patterns (Cervigni et al., 2017). Run-off has been

increasing due to the increased area of hard landscape. Flooding causes significant but

short-lived disruption to the road network, as a result, congestion and delays tend to

increase during the rainy seasons. At present, road transportation infrastructure is

funded from the city’s own budget. Generally, the city does not include resources for

road maintenance; it is sourced from the national road fund, whose allocation to

Addis Ababa is generally inadequate for comprehensive maintenance. It is

recommended that the city supplements maintenance resources from the road fund

with its own resources.

122

Steps for Mainstreaming DRM into Integrated Transport and

Logistics Services

Table 5.23 Key Steps and Activities for Mainstreaming DRM into

Integrated Transport and Logistics Services

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1:

Planning for

Engagement

Summary: In this initial stage, the objective

is to advocate for DRM mainstreaming into

the transportation and logistics services

sectors, including relevant agencies (i.e., key

stakeholders) such as Transport Authority (TA),

Traffic Police, Ethiopian Marine time logistic

authority, Ethiopian Road Authority, Ethiopian

Rail Transport Authority, Civil Aviation Authority,

NDRMC, National Planning Commission, Ministry

of Finance and Economic Cooperation and

sector development planning office, vulnerable

groups representatives, among others.

Key stakeholders recognize

the need for integrating

DRM into transportation

and logistics services

Broad approach and

guidelines for conducting

situation analysis

Step 2:

Situation

Analysis

Suggestions:

• Establish Regional Traffic Committee, Road

Traffic Committee, incorporate transport

education in the national education

curriculum

• Establish team for conducting the situation

analysis

• Conduct meetings to facilitate partnership

with key stakeholders at different levels for

mainstreaming DRM into transportation and

logistics services

• Present brief information on the recent

disaster and climate change impacts on

the transportation and logistics services in

Ethiopia

• Undertake situation analysis (Step 2)

Summary: This step deals with information

collection, identification of key risks related to

transportation and logistics services in Ethiopia.

Sector briefing notes on

transportation and logistics

services

Suggestions:

• Use wereda risk information management

system to understand physical

vulnerabilities, such as access to roads and

urban center (i.e., percentage of households

by type of road and time taken to access

the nearest paved road and urban center)

• Review and analyze traffic damage and its

impacts on people and services

• Gather information, or if required

undertake study on the impact of disasters

on transportation and logistics services in

Ethiopia

Problem statement

123

Step

Step 3:

Main-

streaming

Action

Develop-

ment

Process

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Undertake study on the impacts of disasters

on the road sector in Ethiopia

• Undertake disaster risk and resilience

assessment in transportation system (IMC

Worldwide)

• Review relevant guideline for conducting EIA

of the roads

• Review and gather information on the best

practices from Road Sector Development

Program (1997-2007)

• Review the transportation policy of Addis

Ababa from the current disasters and

climate risks context

• Develop sectoral briefing note on urban

development and housing. The note

should be used during the development of

mainstreaming DRM actions (Step 3)

Summary: This step deals with the problem

validation process, problem prioritization

process, problem-solution tree analysis, and

action matrix development. Actions should be

prioritized in line with GTP-II actions.

Suggestions:

• Based on findings from Step 2 and the

sectoral briefing note, identify and prioritize

actions for mainstreaming DRM into

sectoral instruments (Figure 5.2)

• While designing mainstreaming DRM

actions, incorporate sectoral instruments

(e.g., policies, GTP, several decrees), sectoral

risk (e.g., softening of roads, accidents,

asphalt roads), and sectoral strategies

(e.g., improving road construction, strong

law enforcement in the transport sector,

awareness of road accidents, and building

feeder roads to reduce traffic)

• Promote the use of DRR into ESIA and

SESA or feasibility study for transport

related infrastructure, including roads:

This may include capacity building of

officials responsible for conducting

feasibility studies or ESIA and SESA on

how to integrate DRR. It can also include

reviewing and updating sections, such as,

Environmental Impact Statement Screening

Forms, Initial Environmental Examination

Checklist, etc. (see Box 5.7)

• Promote regular assessment of traffic

damage with a continuous education

awareness through media, radio, and TV

Problem tree(s) Root-causes

Mainstreaming DRM action

matrix for transportation

and logistics

124

Step

Step 4:

Costing

of Actions

and

Develop-

ment of

Implemen-

tation Plan

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Establish communication systems during

an emergency: Compatible and reliable

communication systems between service

providers and between service providers

and road users must be available during

an emergency (see Box 5.8). Within GTP

– II, this can be established along with the

implementation strategy to establish an

Information Communication System

• Promote transport planning with disaster

and climate risk as separate criteria for

identification, and preparing appraisal

standards (see Box 5.9)

• Promote local approaches to mitigate

the effects of disasters on the transport

network: These may include promoting

local authorities to interact and share

information on a regular basis so similar

levels of resilience can be achieved. Local

authorities and communities should

understand the risks affecting their

infrastructure and what infrastructure is

critical in their community.

• Promote a coordination mechanism for

strengthening the operational aspects of

mainstreaming DRM into transportation and

logistics services.

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and a

monitoring and evaluation strategy for

mainstreaming actions for transportation and

logistics.

Disaster resilient initiatives

are prioritized in the

transportation and logistics

plan

Suggestions:

• Costing of mainstreaming actions, including

incremental cost (gaps) and developing a

financial strategy along with transportation

and logistics actions/activities

• Create institutional arrangements such

as the creation of an implementation unit

along with the implementation unit for

transportation and logistics

• Develop communication strategies

for mainstreaming actions under the

transportation and logistics actions/

activities under GTP – II

• Develop monitoring and evaluation

strategies for mainstreaming actions under

the transportation and logistics actions/

activities under the GTP – II

125

Step

Step 5:

National

Approval

Process

Step 6:

Implemen-

tation,

Monitoring,

and

Evaluation

Potential Activities/Action/Role for DRM

Mainstreaming

Summary: This step deals with obtaining

political support for risk sensitive development

of transportation and logistics plan.

Suggestions:

• Provide convincing evidence of the costs of

such short-term decisions in transportation

and logistics sector over the short, medium

and long-term

• Promote legislation change to incorporative

climate and disaster risk. Suitable

legislation often promotes incentives for

transportation and logistics

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution and evaluation stages of

transportation and logistics plan

Summary: This step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

• Monitoring and evaluation of DRM

mainstreaming actions should be carried

out within the GTP- II monitoring and

evaluation strategies

• Technical guidance will be provided for

compiling and analyzing the collected

information and data. Currently, a biennial

report is submitted using the planned

Sendai framework for monitoring and

evaluation

• The gaps and challenges identified in this

step will be used to adjust for continual

improvements in the plan implementation

for DRM efficacy and cost effectiveness. In

addition, issues or gaps not adjusted are

taken up in Step 1 for discussion.

Outcome

The transportation and

logistics plan promotes and

strengthen risk sensitive

development

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

126

BOX 5.7 Disaster Risk Reduction and the Road Network, The Philippines

The Philippines is exposed to many natural hazards, such as typhoons, floods, and

earthquakes. As a result, the road network is exposed to landslides, road slips,

embankment scouring, and other geotechnical hazards. Road closures are common,

disrupting both the movement of passengers, goods, and services, which affects

communities and well as negatively impacts the country’s economy and infrastructure.

The road sector was considered a priority for mainstreaming disaster risk reduction by

the Regional Consultative Committee (RCC) on Disaster Management. Against this

background, a partnership was developed between the Philippines National Disaster

Coordinating Council (NDCC) and the Philippines Department of Public Works and

Highways to implement DRR on the road network in the Philippines. The partnership

was technically supported by the Asian Disaster Preparedness Center (ADPC), with

financial support from UN International Strategy for Disaster Reduction (UN/ISDR)

through Swedish International Development Cooperation Agency (SIDA). A Technical

Working Group was established with multi-agency membership in order to steer the

project and provide the technical inputs as needed.

The basic approach included, 1) examining existing procedures followed in regards to

DRR and road projects, particularly the feasibility and preliminary stages, 2) analysing

the damage to road infrastructure from disasters, 3) identifying steps for incorporating

DRR into project developments, and 4) reviewing the future priority needs for road

construction projects. A short report was published about the strategy and actions

carried out to achieve these aims. It was titled, “Towards Mainstreaming Disaster Risk

Reduction into the Planning Process of Road Construction”. This case study provides

a summary of the main points.

Policies, Institutions and Processes

• Liaise with a large number of stakeholders, programs, projects, and agencies:

The report recognised that mainstreaming DRR concerns into the road sector

involves a number of stakeholders and interrelated plans and programs, including

road maintenance investment programs, road improvements, seismic vulnerability

assessments, technical assistance for risk assessment and management, monitoring

and evaluation of roads, studies on sediment related disaster on national highways,

and hazard mapping and assessment for community disaster risk management

programs.

• Improve Environmental Impact Assessments (EIA): The previous EIA report

structure considers the impact of hazards by defining an“environmentally critical

area” of the project site that is frequently affected by natural hazards. However, it

does not explicitly provide details on how to address natural hazard vulnerability

and risks to infrastructure and the consequent impact from its damage or failure.

Financial Arrangements and Incentives

• The report advises that by considering risks at an early stage, there is the potential

for cost saving. For example, the alignment of roads that avoid areas of high

landslide risk may avoid costly stabilization techniques that would have not

otherwise been identified until geotechnical investigations were carried out at

the detailed design stage (RCC, 2008). It also points out that national budgets do

not always provide funds for surveys and investigations at the feasibility study

stage, and it is therefore unusual for disaster risk reduction measures to be

incorporated at early stages of project preparation. The cost-benefit analysis did

not comprehensively consider DRR.

127

Operations and Maintenance

• The key recommendation for successfully integrating disaster risk

reduction into road projects lies in the planning phase of the project

cycle, which includes project identification and preparation of the

feasibility study. Feasibility reports should include an assessment of the impact

of potential disasters, and DPWH needs to have a standard for project

identification and preparation procedures in order to eliminate quality

discrepancies between nationally and externally funded projects and to pave the

way for mainstreaming disaster risk reduction in road projects. This case study

found that the Department of Public Works and Highways administers a basic

feasibility study, typically due to lack of funding for construction of national road

projects, but for foreign-assisted projects, the assessment process is more

extensive. It was also noted that externally funded projects are prepared to

higher standards, particularly in relation to environmental assessments (where

disaster risk aspects are described if required by the particular agency) and

resettlement planning. It was reported that the road studies undertaken did

look at hazards, but were primarily limited to protecting the road segments

from geological hazards such as landslides and debris, and not comprehensive.

• Data, monitoring and risk assessment: It was reported that there was an

uneven application of design standards between national and local roads, including

an absence of one fixed format for collecting information on damage to roads

and bridges from natural hazards. Hydrological data was available, but information

was not uniformly processed to allow it to be used in road design (ADPC, 2008;

RCC, 2008). It was additionally noted that it is important to benchmark hazard

intensities with their return periods/damages. However, this was difficult due to l

ow resolution topographic maps, few hazard monitoring stations and a short

monitoring period with limited processed data on hazards. The report

recommended that the capacity of staff to assess the impact of disasters needs

to be increased, particularly at regional and district levels.

Source: (El Nakat, 2015)

Box 5.8 Communication During Emergency Response

After the 2007 earthquake in Peru, national telecom operators and the Transport and

Communications Ministry created a special emergency phone network to connect the

presidential office, the police, fire departments, and health institutions (UNISDR, 2008).

Missouri’s Department of Transport reaches commercial vehicle operators through

trucking organizations (FHWA, 2012).

Social media was used to communicate with the public about the recovery effort in

New York following Sandy. The Daily Pothole Tumblr, which documents NYCDOT street

maintenance crews, was temporarily transformed into the “Sandy Recovery” page to

document clean-up efforts. The number of Daily Pothole subscribers increased by 50

percent after the storm, to 15,000, as did NYCDOT’s Twitter and Facebook following

(NYC, 2013).

Source(El Nakat, 2015)

128

Box 5.9 Checklist for Encouraging Disaster Risk Reduction to be Mainstreamed

into Transport Projects - Identification, Preparation, and Appraisal Standards

Governments can encourage disaster risk reduction to be mainstreamed into transport

projects (e.g.,roads, highways, airports, interchanges, etc.) by issuing standards and

guidance on project identification and preparation procedures.

• Appraisal models: They evaluate and prioritize the costs and benefits of various

options, and could also measure the cost of infrastructure damage, failure, and

service delays from multiple natural hazards, and the benefits of long-term

resilience.

• All feasibility reports should include an assessment of the impact of disasters

on transport infrastructure.

• Neighboring land-use practices and upper catchment land management should be

included within the scope of transport projects.

• ESIAs can become critical tools for mainstreaming resilience into transport

infrastructure by explicitly addressing the impact of natural hazards on

infrastructure, and by also considering climate change and how a project will

respond to an “evolving environmental baseline” (European Commission, 2013,p15).

• Project reporting standards: Technical experts must ensure that there are

project evaluation and reporting requirements in place to share all information

about the project’s capabilities and limitations with key decision makers and

emergency responders.

• Standards can stipulate the study teams and stakeholders to be engaged in the

identification and planning of all transport projects in order to ensure the impact of

natural hazards is taken into account.

• Guidelines should prescribe engaging with communities and emergency

responders right from the initial project design through to identifying and

evaluating adaptation options.

Source: (El Nakat, 2015)

129

Guidance Note 6:

Urban Development and Housing

Urban development and housing is one of the key sectors/sub-sectors that

contributes to the economic development sector plan during the Second Growth

and Transformation Plan (GTP – II), and was developed as an outcome of national

development planning process in Ethiopia. The sector is represented by the Ministry of

Urban Development and Housing. The roles and responsibilities of the ministry in the

national development planning and implementation of national development plan8 and

disaster risk management are defined in Table 5.24.

Table 5.24 Lead Agencies Roles and Key Programs on DRM: Urban

Deveopment and Housing*

Lead Agen- Roles & Responsibilitiess

cy/Ministry

Key Programs on DRM

(Example)

Ministry

• Responsible for implementing specific

of Urban

objectives related to urban development

Development

and housing in the national development

and Housing

plan. The ministry is also accountable

for monitoring, evaluating, and reporting

on progress and achievements in

implementation

• Leads institution with respect to urban

infrastructure and building and other

constructions related hazards and

associated disasters and other urban

disasters, including fire

• Responsible for issuing building codes

• Provides key information on physical

vulnerabilities, such as access to roads and

urban center

• Provides information on technological

hazards

Flood protection

components of the water

resource development

program

National

Disaster Risk

Management

Commission

(NDRMC)

Provides key information about:

• Physical vulnerability, such as access to rural

roads and rural village center, and type of

dwelling units

Wereda Disaster Risk Profile

Ministry of

Environment,

Forest and

Climate

Change

• Environmental situation: Changes in

landscape

• Environmental situation: Environmental

problems

• Environmental situation: Natural resources

availability

• Issues certification of environmental safety

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country

132

Objectives

The main objectives of the integrated housing development program are to improve

urban housing provision and related challenges, and to minimize the escalating

housing demand by sustainable provision of housing and related services. A common

platform will be created with concerned parties and institutions to facilitate the

continuous provision and expansion of integrated urban infrastructure by

strengthening infrastructure financing capacity and transferring skills and technology

(National Planning Commission, 2016a).

Additional objectives of the sector are to ensure the use right of urban land by

organizing and strengthening urban land information system with modern technology,

and to realize urban development and urban good governance through active public

engagement, and building strong urban development army and labor-based approach

to public works. The other objective is to develop and manage climatic resilient urban

green infrastructure so as to create conducive working and living environments for

citizens, and to realize the vision of green economy (National Planning Commission, 2016a).

Additionally, the program aims to enable women, youth, elderly, children, and the

unemployed individuals in the community to benefit from urban development activities,

and ensure their safety through introducing new occupational safety standards and

strengthening existing ones (National Planning Commission, 2016a).

Other related objectives include: creating urban development leadership at each level

of urban administration; enabling and supporting poor and food insecure sections of

the urban community to generate their own income and improve their livelihood;

establishing efficient and cost-effective urban planning and implementation systems,

aimed at realizing the urban development and good governance objectives (National

Planning Commission, 2016a).

In order to achieve the above objectives, specific objectives with outputs and indicators

were developed for a given time frame (2015/16 – 2019/20) (Table 5.25).

Table 5.25 Specific Objectives of Urban Development and Housing

Specific Objectives

Agency

• Improve the provision of urban and rural housing

Ministry of Urban Development

• Ensure urban food security and employment through

and Housing (MoUDH)

PSNP

• Strengthen urban planning system

• Strengthen urban land provision and administration

• Improve urban infrastructure provision and administration

system

• Improve urban infrastructure provision and management

system

• Strengthen solid waste management and disposal system

• Expand urban climatic change adaption technologies and

activities

• Protect urban environment pollution and enhance

efficient energy and resource usage

• Develop urban building, construction, and road codes

Source: (National Planning Commission, 2016b)

133

The objectives of urban development and housing are implemented through a strategy

developed under the GTP – II. The implementation strategies consist of various programs

briefly described below.

Implementation Programs

• Scientific, rational, and developmental urban leadership building program

• Urban development safety net program

• Urban good governance and capacity building program

• Urban planning and implementation program

• Urban land development and management reform program

• Housing development and management program

• Integrated urban infrastructure delivery program

• Urban green infrastructure development and beautification improvement program

• Urban map production, surveying, and land use right registration program

• Urban finance development and management program (National Planning Commission,

2016a)

Urbanization and Disaster Risk

Urban populations in Africa are affected by numerous disasters. These range from

acute but infrequent events such as traffic accidents, building collapse, pollution

(e.g., air, water, environmental pollution), fire, floods, epidemics and terrorism that can

kill or injure large numbers of people, to chronic and recurrent events that may affect

only a few households or individuals at a time, but cumulatively have the greatest

impact on poor people. While large-scale disasters often receive media and policy

attention, and generate support from governments and the international humanitarian

community, small events seldom receive the same level of attention, and it is usually

individual households or communities that are left to cope. Urban risks in Ethiopia

are increasingly becoming a concern due to increasing exposure to hazards and

vulnerabilities in urbanized and rapidly urbanizing areas, for example, Table 5.26

shows shocks and stresses in Addis Ababa. Thus, it is essential that both shocks and

stresses in the urban areas of Ethiopia receive deserved attention in the planning

and development of urban areas. In addition, the existing risks in the urban areas

should be treated with sectoral strategies (i.e., cope and transfer) (Figure 5.2).

134

Table 5.26 Shocks and Stresses in Addis Ababa

Lead Agency/

Ministry

Roles & Responsibili- Key Programs on DRM (Example)

tiess

Flooding, urban

fire, earthquake,

traffic accidents,

building collapse,

environment

pollution (e.g.,

air, water, noise),

fire, floods, and

epidemics

Unprecedented urban

growth, water scarcity,

unemployment and

social vulnerability

• Climate of Addis Ababa is forecasted

to have an increase in precipitation

variability and temperature. This will likely

induce a wide range of shocks in the city

• Geographic location and topographic

features of Addis Ababa, compounded by

the existing state of the drainage system,

road network and sewerage system

exposes the city to street and riverine

flooding and landslides

• Increasing temperatures due to climate

as well as land-use changes in the city,

combined with poor housing standards

could further amplify fire incidents

• If an earthquake was to occur at about

27 km away from the city (at similar

magnitude of historic earthquake events

in the 20th century), it is estimated that

15% of buildings could collapse, and it

could result in a high number of fatalities

(UNISDR, 1999).

Steps for Mainstreaming DRM into Urban Development and

Housing

Table 5.27 Key Steps and Activities for Mainstreaming DRM into Urban

Development and Housing

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1:

Planning for

Engagement

Summary: In this initial stage the objective

is to advocate for DRM mainstreaming

into the urban development and housing

sector, including relevant agencies such as

Ministry of Labour and Social Affairs, National

Planning Commission, Ministry of Women’s,

Children’s and Youth Affairs, Ministry of

Finance and Economic Cooperation and Sector

Development Planning Office, vulnerable groups

representatives, among others.

Key stakeholders

recognize the need for

integrating DRM into urban

development and housing

Broad approach and

guidelines for conducting

situation analysis developed

Suggestions:

• Conduct meetings to facilitate partnership

with the key officials from Ministry of

Urban Development and Housing, National

Planning Commission, Ministry of Women’s,

Children’s and Youth Affairs, Ministry of

Finance and Economic Cooperation and

Sector Development Planning Office,

for mainstreaming DRM into urban

development and housing

135

Step

Potential Activities/Action/Role for DRM

Mainstreaming

• Present brief information on the recent

disaster and climate change impacts on the

urban development and housing sectors

(i.e., shocks and stress in urban areas)

(Table 5.26)

• Establish a team for undertaking a situation

analysis (Step 2)

Step 2: Situa- Summary: This step deals with information

tion Analysis collection, and identification of key risks related

to urban development and housing.

Outcome

Sector briefing notes on

urban development and

housing

Suggestions:

• Use wereda risk information management

system to understand the disaster (shocks)

and stresses characteristics by kebele in

urban areas of Ethiopia

• Use wereda risk information management

system to understand the physical

vulnerability, such as access to roads and

urban centers, households’ access and

utilization of electricity, and households’

type of dwelling houses

• Use wereda risk information management

system to understand the social

vulnerability. Study demographic

characteristics of households, population

structure by kebele, education status of

household members, household access to

health facilities, among others

• Use wereda risk information management

system to understand environmental

situation in urban areas. Consider reasons

for environmental changes and their

effect for each kebele, changes observed

by the community on landscape and the

problems due to the changes, and observed

changes on rainfall and temperature by the

community over the last decade.

• Use wereda risk information management

system to understand economic

vulnerability in urban areas by looking at

major categories of occupation and percent

of population engaged in the occupation

by kebele, percent of population above

15 years of age by occupation categories,

households’ important sources of livelihood

(response in %), among others

• Use “City Strength Resilient Cities Program”

to understanding the qualities of resilience

(i.e., robust, coordinated, inclusive,

redundant, reflective). Refer to Box 5.10 to

understand the case for Addis Ababa

Problem statement

136

Step

Potential Activities/Action/Role for DRM

Mainstreaming

• Use wereda risk information management

system to understand household access to

health facilities, drinking water, sanitation,

etc. in the hazard prone weredas

• Undertake study on drought and flood

impacts and current risks experienced

by the disabled population and current

coping mechanism, DRR knowledge, and

challenged faced by the group in Ethiopia

• Review relevant guidelines, manuals, ESIA

document etc., from current climate and

disaster risks. For example, urban planning

and implementation manual, integrated

urban infrastructure and services planning

manual, manual for the preparation of

social development strategy for urban

vulnerability groups, among others

• Develop sectoral briefing note on urban

development and housing. The note

should be referred and used during the

development mainstreaming DRM actions

(Step 3).

Step 3: Main-

streaming

Action De-

velopment

Process

Summary: This step deals with the problem

validation process, problem prioritization

process, problem-solution tree analysis, and

action matrix development, where actions

should be in line with GTP-II actions.

Suggestions:

• Based on findings from Step 2 and the

sectoral briefing note, identify and prioritize

actions for mainstreaming DRM into

sectoral instruments (Figure 5.2)

• Promote better understanding of urban

vulnerable groups to natural hazard

risks. This may include reviewing the

existing manual for preparation of social

development strategy for urban vulnerable

groups by introducing participatory

methods and tools for the understanding

of the urban risk (e.g., hazards, vulnerability,

exposure elements, local community

based strategy to address urban risk,

etc.). Use wereda risk profile information

management system as a baseline

• Promote integration of solid waste

management practice in urban areas (Box.

5.11). Within GTP – II, this practice can be

implemented to strengthen solid waste

management.

• Promote safe building codes and safety

regulations (see Box 5.12). Within GTP – II,

this can be implemented to improve the

Improve the provision of urban and rural

housing.

Outcome

Problem tree(s) Root-causes

Mainstreaming DRM

action matrix for urban

development and housing

137

Step

Step 4:

Costing of

Actions and

Develop-

ment of

Implementa-

tion Plan

Step 5:

Approval

Process

Potential Activities/Action/Role for DRM

Mainstreaming

• Promote safe FIRE CODE in urban areas

by revising and updating the international

standards

• Promote awareness about the dos and

don’ts to protect from different pollution

sources, river quality, poor hygiene

practices, and waste management

• Encourage people to understand their roles

in Solid Waste Management Proclamation

No. 513 and the Environmental Pollution

Control Proclamation

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and a

monitoring and evaluation strategy for

mainstreaming actions for urban development

and housing.

Suggestions:

• Costing of mainstreaming actions, including

incremental cost (gaps) and developing

a financial strategy along with urban

development and housing actions/activities

• Create institutional arrangements such

as the creation of an implementation unit

along with the implementation unit for

urban development and housing

• Develop communication strategies for

mainstreaming actions under the urban

development and housing actions/activities

under GTP – II

• Develop monitoring and evaluation

strategies for mainstreaming actions under

the urban development and housing

actions/activities under the GTP – II

Summary: This step deals with obtaining

political support for risk sensitive development

of urban development and housing plan.

Suggestions:

• Provide convincing evidence of the costs

of such short-term decisions in urban

development and housing sector over the

short, medium and long term

• Promote legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for urban

development and housing

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution, and evaluation stages of urban

development and housing plan

Outcome

Disaster resilient initiatives

are prioritized in the urban

development and housing

plan

The urban development

and housing plan promotes/

strengthens risk sensitive

development

138

Step

Step 6:

Implementa-

tion, Moni-

toring, and

Evaluation

Potential Activities/Action/Role for DRM

Mainstreaming

Summary: This step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

Monitoring and evaluation of DRM

mainstreaming actions should be carried out

within the GTP- II monitoring and evaluation

strategies

Technical guidance will be provided for

compiling and analyzing the collected

information and data. Currently, a biennial

report is submitted using the planned Sendai

framework for monitoring and evaluation

The gaps and challenges identified in this

step will be used to adjust for continual

improvements in the plan implementation

and for DRM efficacy and cost effectiveness. In

addition, gaps not adjusted are taken up in Step

1 for discussion.

Outcome

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

Box 5.10 City Strength Resilient Cities Program for Addis Ababa

The Resilient Cities Program was launched by the World Bank Group in December 2013

to help cities strengthen their ability to prepare for and adapt to changing conditions,

and to withstand and recover rapidly from disruptions related to climate change,

natural disasters, and other shocks and stresses. The program serves as an umbrella for

delivering the analysis, rationale, and supporting local governments to make resilience

part of their urban management agendas.

The CityStrength Diagnostic was developed as a means of engaging cities on the

complex issue of resilience by using a holistic approach to identify priority actions and

investments to strengthen urban systems. Designed to be implemented by sectoral

specialists, the rapid diagnostic process draws upon ideas and data from a multitude of

existing tools. A longer-term goal of CityStrength is to promote alignment in approaches

to urban resilience to improve awareness of resilience considerations among local

leaders and development partners. Financial and technical support for the development

of the Diagnostic was provided by the Global Facility for Disaster Reduction and Recovery

(GFDRR).

In February 2015, Addis Ababa invited a team of specialists from the World Bank Group

to implement the CityStrength Diagnostic in close collaboration with local officials,

technical staff, and stakeholders.

Source: (World Bank, 2015)

139

Box 5.11 Check List for Integrated Solid Waste Management Initiatives in Cities

• Avoid disposing solid waste in flood retention areas, and along river banks

• Locate landfills away from flood prone areas, and residential areas

• Plan and implement ways of disposing hazardous waste separately

• Plan to reduce un-systematic disposal of solid waste and implement proper waste

disposal

• Explore the potential benefits of converting solid waste into other products such as

energy and fertilizer, and take advantage of globally-promoted programs such as

Cleaner Development Mechanism

• Promote Cleaner Production in which reducing waste at source is possible instead of

disposing at the end of the pipeline

• Promote production of compost fertilizer at the levels of household and community

popularize “Reduce, Recycle and Reuse” waste among people

• Strictly enforce existing law against haphazard dumping of waste

Box 5.12 Check List for Building Codes and Disaster-Resilient Construction in Cities

•

• Promote strict application of appropriate building codes that integrate hazard-resistant

elements in construction

• Periodically review and revise building laws to integrate hazard-related aspects

• Train local government officials to supervise, execute controls and restrictions, and

ensure building code compliance

• Implement certification programs for those who are involved in the construction process

(masons, contractors, etc.)

• Obtain assistance from qualified professionals for developing guidelines for shelter and

infrastructure development in hazard prone areas

• Allocate funds for minor infrastructure that reduces flood risk (e.g., construction of

drains to divert water from stagnated areas)

• Promote hazard-resilient housing designs in disaster prone areas

• Ensure periodic maintenance of main roads, especially the access roads to critical

facilities such as hospitals, power stations, transformer stations, water reservoirs, etc.

• Practice routine maintenance of infrastructure, government buildings, etc.

140

Guidance Note 7:

Education and Training

Education and training is one of the key sectors/sub-sectors that contributes to

the human development and technology capacity building during the Second

Growth and Transformation Plan (GTP – II), and was developed as an outcome of

national development planning process in Ethiopia. It is represented by the Ministry of

Education. The roles and responsibilities of the ministry in the national development

planning and implementation of national development plan8 and disaster risk

management are defined in Table 5.28.

Table 5.28 Lead Agencies Roles and Key Programs on DRM:

Education and Training*

Lead Agen- Roles & Responsibilitiess

cy/Ministry

Key Programs on DRM

(Example)

Ministry of

•

Education and

its agency

•

Responsible for implementing specific

objectives related to education and

training in the national development plan.

Ministry is also accountable for monitoring,

evaluating and reporting of progress and

achievements of implementation

Lead institution with respect to measures

necessary to be taken before, during,

and after the disaster period to prevent

any hazards and related disasters from

interrupting the normal teaching learning

process as well as regarding mainstreaming

of disaster risk management into school

curricula and integrating it into studies ad

researches conducted by research and

higher learning institutions levels

Course on disaster

risk management and

sustainable development in

university/college

Central

Statistical

Agency (CSA)

• Provide secondary data of all types required Census/survey

for DRR

National

• Provide information on forecasted weather

Meteorology

Agency (NMA)

Hydro-meteorological

Information

Ethiopian

• Provide spatial and temporal data on

Mapping

natural resources

Agency (EMA)

UN agencies; • Responsible for investing in human capital

local and

and expanded access to quality and

international

equitable basic social services

NGOs; civil

society and

private sector

Educational opportunities

for children caught up in

emergency situations

National

Disaster Risk

Management

Commission

(NDRMC)

Provide key information about:

• Social Vulnerability: Level of educational

attainment

• Gender parity in education level (7+ years)

and household heading

• Early warning

WDRP

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country

142

Objectives

The main objective of the education sector development plan is to ensure effective

and efficient education and training system that enhance quality, relevance, equity

and access at all levels. This will be achieved through building sectoral implementation

capacity and the development and adherence to competency criteria (National

Planning Commission, 2016a). The specific objectives are described in Table 5.29.

Table 5.29 Specific Objectives of education and training

Specific Objectives: Education and Training

Development

Lead/Responsible Agency

• Became a lead organization for establishment and

Ministry of Education

operationalization of school DRM club, which works closely

with school based parents’ organization

• Develop school DRM module and create harmonization of

DRM curriculum with the existing education and training

development objectives, which include among others:

• Increase pre-school and primary school access and

enrolment

• Increase primary school net enrolment

• Expand adult education

• Increase secondary school enrolment rate

• Increase middle-level trained man power

• Higher student intake in higher education programs intake

capacity

• Increase postgraduate student intake level of higher

education

• Improve the quality of education

Source: (National Planning Commission, 2016b; Ministry of Education, 2015)

The Ministry of Education has also formulated Education Sector Development

Programme V (ESDP V) in line with GTP – II (Table 5.30). It is a program action plan

that consists of education development context, education policy framework, priority

programs, and implementing and financing arrangements.

Table 5.30 Priorities of Education and Training

Priorities of the Education and Training System

in Ethiopia

• Provide equal opportunities and participation for all, with

special attention to disadvantaged groups

• Deliver quality education that meets the diverse learning

needs of all children, youth, and adults

• Develop competent citizens who contribute to social,

economic, political and cultural development through

creation and transfer of knowledge and technology

• Promote effective leadership, management and

governance at all levels in order to achieve educational

goals by mobilizing and using resources efficiently

• Assist children, youth and adults to share common values

and experiences and to embrace diversity

The Priority Programs

• Capacity development for

improved management

• General education: quality

• General education:

access, equity and internal

efficiency

• Adult and non-formal

education

• Technical and vocational

education and training

• Higher education

Source: (Ministry of Education, 2015)

143

Implementation Programs

To achieve the above objectives and annual targets, the implementation strategies

for Education and Training Development consist of three specific areas: 1) general

education, 2) technical and vocational education and training, and 3) higher education.

The inclusion of DRM in the existing curricula of the three areas would promote

establishment of DRR volunteer’s clubs in the education sector. The components are as

follows:

Capacity development for improved management: Component 1: A relevant structure,

with a clear distribution of mandates and responsibilities at all levels; Component 2:

Regular gathering, processing, and sharing of information to inform decision making;

Component 3: Good coordination and communication within and across levels;

Component 4: Adequate supply of staff with the right mix of skills in each post/level; and

Component 5: Resources and conditions of work.

General Education – Quality: Component 1: Teachers’ and leaders’ development;

Component 2: Curriculum, teaching, and learning materials; Component 3: School

Improvement Program (SIP); Component 4: Information and communications

technology; and Component 5: Quality assurance.

General education access, equity, internal efficiency: Component 1: Pre-primary;

Component 2: Primary; Component 3: Secondary; and Component 4: Special support

program for the four emerging regions.

Adult and non-formal education (ANFE): Component 1: Expanding IFAE and post-

IFAE programs in all regions; Component 2: Improving female participation in IFAE and

post-IFAE programs; Component 3: Introducing continuing education programs in

emerging regions; Component 4: Improving the quality of ANFE; and Component 5:

Creating a strong and efficient institutional system for ANFE at all levels.

Technical and Vocational Education and Training (TVET): Component 1: Occupational

standards development and assessment; Component 2: Trainees’ development and

institutional capacity building; and Component 3: Industry extension and technology

transfer services.

Higher education: Component 1: University expansion and consolidation; Component 2:

Equity enhancement; Component 3: Relevance and quality enhancement; Component

4: Research, technology transfer, and community engagement; and Component 5:

Institutional collaboration, leadership, and governance.

Source: National Planning Commission 2016a

Challenges

Educational development in Ethiopia could face challenges due to hazard risks, which

could affect learners, education personnel, education facilities, and students’ learning

achievements at varying degrees as highlighted in Table 5.31.

144

Table 5.31 Impact of Hazards on Education

Hazard

Impact on Education

Remark

Flood

• High dropout rate

• Damage to school facilities

• Children are missing up to

several days of school

Flood emergency could severely affect

schools in several districts, causing

high dropout rates, damaged on school

facilities, and disruption of learning

activities

Assessments indicate that more than

two million primary school students have

been affected by drought, floods, or

conflict (Education Cluster Unit, 2016)

Drought

• Schools are closed

A study on drought impacts on

• Disruption of learning activities education in Tigray region shows that

• Undermine learnings

primary schools are often closed as

• High dropout rate

children leave to help support individual

• Women and children are most family incomes during severe drought

affected

events (Asheber, 2010).

Children are missing up to 3 days of

school a week (more than half of their

normal attendance) as they support their

families by fetching water, taking care of

younger siblings, or taking livestock in

search of water sources.

Inadequate feeding limits the level

of children’s attention in class and

malnourishment could seriously

undermine learnings. Children are at

high risk of dropping-out, and are being

exposed to protection issues related to

child labor, trafficking, and exploitation

(Asheber, 2010).

The situation of women and children

worsened in the Tigray region when a

severe drought event occurred. Women

collected water from the nearest water

resource, but during drought time, water

scarcity obliges women to walk long

distances to fetch water (Asheber, 2010).

145

Steps for Mainstreaming DRM into Education and Training

Table 5.32 Key Steps and Activities for Mainstreaming DRM into

Education and Training

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1:

Planning for

Engagement

Summary: Initial stage where the objective

is to advocate for DRM mainstreaming in the

education sector, including agencies mandated

on education development and other relevant

schemes such as Ministry of Education, National

Educational Assessment and Examinations

Agency (NEAEA), Higher Education Quality

Assurance Agency, Regional Education Bureaus

(REBs), National Planning Commission, Ministry

of Women’s, Children’s and Youth Affairs,

teacher associations, school community,

education cluster, CSA, and NMA

Key stakeholders recognize

the need for integrating

DRM into education and

training development and

jointly work on situation

analysis

Broad approach and

guidelines for conducting

situation analysis developed

Step 2:

Situation

analysis

Suggestions:

• Ministry of Education and its agency at all

levels conduct meetings to create buy-

in and facilitate partnership among key

officials from concerned government

agencies at national and sub-national

levels, development partners with thematic

focuses on school disaster risk reduction,

emergency education, child welfare, etc. and

representatives from the ground level such

as wereda education office, school heads,

teachers, and staff in hazard-prone areas to

reflect the issues and challenges on disaster

risk that impede education development

• Review existing risk information and data to

identify predominant issues with regards to

disaster impacts on education at national

scale, regional scale, Wereda scale and

school level

• Establish team for undertaking situation

analysis (Step 2)

Summary: This step deals with information

and data collection, applying risk assessment

from a sector-specific perspective, risk ranking,

and prioritization.

Sector briefing notes on

education and training

Problem statement

Suggestions:

• Conduct compilation, review, and analysis

of statistics, data, and information from

education sector (such as existing database,

reports, planning documents including

ESDP V) to understand trends and patterns

of disaster impacts on the sector. The data

shall be grouped in terms of:

146

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

o Physical impacts/physical

vulnerability of school facilities (e.g.,

structural damage of school buildings,

number of schools with no water tank

for clean drinking water, number of

schools byWereda experienced

structural impact in the past 10 years);

o Education continuity (e.g., number of

school closures due to hazard impacts

from drought, conflicts, and flood,

school drop-out rate compared to next

hazard affected period, structural

damage of school facilities due to flood,

etc.)

• Undertake study to review the education

curriculum of school towards developing

a curriculum consisting of a DRM subject

matter

• Use wereda risk information management

system to understand the level of

educational attainment of households’

members (as factor for understanding

social vulnerability). Educational attainment

of households’ members (as factor for

understanding social vulnerability)

• Use wereda risk information management

system to understand the level of gender

parity in education level (7+ years) and

household heading

• Undertake study on the impacts drought,

conflicts, and flood on women and children.

What initiatives have been taken so far and

what are the challenges and way forward?

• Identify schools, students, school personnel,

and school activities with high risk using

multi-hazard or specific-hazard risk ranking

(i.e., very high, high, medium, low, very low).

Use these rankings to identify schools that

require urgent attention

• Develop user-friendly presentation of the

assessment result for concerned officials,

decision makers and stakeholders for wider

stakeholder consultation

• Review relevant policies of education

sector in the context of current disaster

and climate risk. For example, education

and training policy and its implementation,

2002; content and pedagogical standards

for different subject teachers which will

be identified later in Ethiopian Secondary

Schools (Grade 9-10), 2013; Curriculum

Framework for Ethiopian Education (KG –

Grande 12); Pastoralist and Semi-Pastoralist

area education strategy, etc.

147

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Step 3: Main-

streaming

Action De-

velopment

Process

Summary: This step deals with problem

validation process, problem prioritization

process, problem-solution tree analysis, and

action matrix development, where actions

should be in line with GTP-II actions.

Outcome

Problem tree(s) Root-causes

Mainstreaming DRM action

matrix for education and

training

Suggestions:

• Based on findings in Step 2 (i.e., problem

statement and sector briefing notes),

promote safe learning facilities in highly

vulnerable schools to natural hazard risks

(see Case Study 3; Box 5.13). For example,

within the GTP – II, this can be taken up

under the school improvement initiatives

• Promote children’s continuation in schools

that have experienced the highest number

of drop outs or schools that have closed

to high dropout rates. Such schools must

establish a school disaster management

plan to address the issue of school drop-

out number. For example, within the GTP

– II, this can be taken up under the school

improvement initiatives.

• Promote mainstreaming DRR into school

curriculum of different subjects through

adopting/utilizing the following approaches:

Key Approach 1: Plan the national

curriculum development cycle in advance

Key Approach 2: Establish partnerships

between Ministry of Education and NDMO

Key Approach 3: Adopt a consultative

process

Key Approach 4: Link with processes of

the education sector programs funded by

the multilateral and bilateral agencies; and

the Education Sector Working Group led

Ministry of Education

For example, within the GTP – II, this can be

taken up under the general education –

quality

• Promote schools as well as local community

development or local NGOs to form clubs

for women and children about disaster risk

reduction education. For example, within

the GTP – II, this can be taken up under the

school improvement Initiatives (Case Study

3; Box 5.13). School feeding programs can

be strengthened or should be introduced

in most affected areas, if it has not already

been done

148

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

• Promote actions such as the comprehensive

school safety policy; safe school facilities;

school disaster management; child

friendly school infrastructure, standards

and guidelines; key discussion tools and

check list for integrating DRR in the school

curriculum (Case Study 3; Box 5.13)

• Promote actions on simulations process

or exercises like doing the mechanism that

makes student alert

• Promote establishment of School DRM

volunteer club whose members include

parent representatives, students, school

management, community representatives,

and CBOs

Step 4:

Costing of

Actions and

Develop-

ment of

Implementa-

tion Plan

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and

monitoring and evaluation strategy for

mainstreaming actions for education and

trainings.

Suggestions:

• Costing of mainstreaming actions, including

incremental cost (gaps) and developing a

financial strategy along with education and

trainings actions/activities

• Create DRM unit in the education ministry

for the costing of actions and development

of implementation plan for education and

trainings

• Develop communication strategies for

mainstreaming actions under the education

and trainings actions/activities under GTP

– II

• Develop monitoring and evaluation

strategies for mainstreaming actions

under the education and trainings actions/

activities under the GTP – II

Disaster resilient initiatives

are prioritized in the

education and trainings

Step 5:

Approval

Process

Summary: This step deals with obtaining

political support for risk sensitive development

of education and trainings.

The education and trainings

promotes/ strengthen risk

sensitive development

Suggestions:

• Provide convincing evidence of the costs

of such short-term decisions in education

and trainings over the short, medium, and

long-term

• Revising legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for education

and trainings. For example, curriculum

revision procedures are required for the

development of DRR inclusive curriculum

for schools

149

Step

Step 6:

Implementa-

tion, Moni-

toring and

Evaluation

Potential Activities/Action/Role for DRM

Mainstreaming

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution and evaluation stages of

education and trainings plan

Summary: This step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

• Monitoring and evaluation for DRM

mainstreaming actions should be carried

out within the GTP- II monitoring and

evaluation strategies

• Technical guidance will be provided for

compiling and analyzing the collected

information and data. Currently, a biennial

report is submitted using the planned

Sendai framework for monitoring and

evaluation

• The gaps and challenges identified in this

step will be used to adjust for continual

improvements in the plan implementation

and for DRM efficacy and cost effectiveness.

In addition, gaps that were not adjusted are

taken up in Step 1 for discussion.

Outcome

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

150

Case Study 3: Mainstreaming DRR into Education Sector: Disaster

Risk Reduction Awarness in Schools in Malawi (United Nations

Economic Comission for Africa, 2015)

The education sector in Malawi has a pivotal role to play in conducting an effective

community education and awareness campaign as part of disaster risk reduction

mainstreaming work. Students of all ages can actively study and participate in school

safety measures as well as contribute to community risk reduction work. While efforts

are being made at the policy level by the Department of Disaster Management and civil

society networks to lobby for the incorporation of disaster risk reduction in school

curricula, on the ground NGOs are working with district education and area offices to

engage teachers and learners in disaster risk reduction awareness and mainstreaming

activities.

Integrating disaster risk reduction into school curriculum and extra-curriculum a

ctivities can help raise awareness and provide a better understanding of disaster risk

reduction in local-specific context for children, teachers, and communities. DRR clubs, sport

events, quiz competitions and DRR-related games were developed to help students interact

and learn more about disaster risk reduction in an engaging way. This strategy is contributing

to the creation of both a culture of safety and a proactive generation.

What is achieved – Impacts and Results

• Primarily, the initiative is helping promote the involvement of the education

sector in DRM and CCA-related work at community level, thereby promoting

effective community awareness and education in DRR mainstreaming work.

• The process is providing opportunities for civil society organizations to

conduct evidence-based advocacy, and work towards the inclusion of DRR and

CCA-related work into school curricula.

How mainstreaming DRR is promoted through various learning and student-

participatory activities

This case demonstrates that school-based activities under Pillar 3: Risk Reduction and

Resilience Education ultimately improves understanding, knowledge, life skills, and attitudes

of the students on DRR as follows:

• Forming of school clubs about disaster risk reduction promotes ownership of

initiatives by schools, teachers, and learners. This process provides a way for

translating DRR-related policies and strategies into practical activities at the

school level, thereby ensuring long-lasting results, as schools are actively

participating in DRR-related activities such as reforestation and community

awareness about disaster risk reduction.

• A well-informed community can contribute to the effective implementation of

disaster risk reduction activities, thereby enhancing resilience. Sustainability of

151

school based DRR work is easy because it is cheaper and thrives on the active

participation of teachers and students.

Way forward for Ethiopia: Operational steps for mainstreaming DRR

• Promoting schools to form clubs about disaster risk reduction: The school club on

DRR may promote DRR education in three areas – increasing knowledge about

disasters (e.g., science behind natural hazards), prepare against disasters (e.g.,

class activities – disaster imagination games, hold family DRR meetings;

domestic science - clearing your surroundings with emergency bag making);

strategic thinking about actions to take during an emergency (e.g., Health and

Physical - prevention of injuries and first aid; Social Studies - Think about what

you can do after evacuation; Integrated Studies - think about differently-abled people)

- School clubs in Ethiopia: School clubs are established to enhance the regular

curriculum delivery through engagement in co-curricular activities ( i.e., putting

the theoretical and classroom based education into practice). The aim of

school clubs is to solve social, cultural, and economic problems faced by students

and the local community. Various kinds of school clubs are organized in

primary and secondary schools such as environmental club, girls/ gender club,

media club, HIV/AIDS club, civic and ethics club, charity club, etc.

- Environmental clubs: Environmental science is a subject offered in early

grades (i.e., from grade 1 to 4). In the later grades, it is integrated into subjects

as social science, biology, chemistry, geography, and civic education as

subject matters. The club is key to coordinating environmental activities that

consider the local context, including assessments of environmental challenges,

identifying intervention mechanisms, and translating theoretical understanding

into actions in such a way that local environmental problems are mitigated.

These clubs can be used for the promotion or enhancement of knowledge

about disaster risk reduction.

• Promote comprehensive school safety policy: This may include the creation of

safe learning environments, which includes a safe location, construction, and

retrofitting; maintaining safe learning environments with school disaster

management; protecting educational access with continuity planning; teaching

and learning about disaster prevention and preparedness; and building a culture

of safety and inclusion. As discussed above, Education and Training Policy and

its implementation in 2002 is a comprehensive and coherent education policy

in Ethiopia that broadly analyses all education related issues. DRR issues need to

be discussed and integrated for developing a comprehensive school safety

policy. Similarly, Pastoralist Area Education Strategy in Ethiopia was designed

for the pastoralist areas that suffered a long history of neglect and

marginalization under past governments. Consequently, basic development

infrastructures and social services, including education and training in these

areas are very meagre. Thus, it important that DRR issues and DRR strategies

are included in the current development strategy for pastoralist areas.

• Promote safe school facilities: This may include school buildings with multi-

hazard features, DRR features, child friendly features, hygiene and nutrition features,

152

and environmentally friendly features. Maintenance of school buildings may

include check-list and tools to maintain school facilities daily, weekly, monthly, and

annually. Remedial repairs and maintenance (e.g., painting, roof coverings, roof

structures, steel structures, roof fascias, bargeboards and exposed roof

timbers, external ceilings, internal ceilings, walls and floors, doors and windows,

electrical installations, plumbing installations, and school grounds). School

Inspection handbooks or related documents can be used to incorporate the

above components for promoting safe school facilities in Ethiopia.

• Promote school disaster management: This may include Disaster and Emergency

Preparedness guidance for schools by developing check-list for: 1) Assessment

and Planning; 2) Physical and Environmental Protection; 3) Response Capacity

Development; and 4) Practicing, monitoring, and improving.

• Promoting child friendly schools infrastructure, standards, and guidelines: This

may include standard framework, planning, and guidelines (e.g., appropriate,

sufficient, and secure buildings; healthy, clean, secure and learner-protected

environment; child-friendly and barrier-free environment that promotes inclusive

access and equal rights of every child; and adequate and appropriate equipment

that supports the level of education).

• Promote the development of technical guidance for integrating DRR in the

school curriculum: The guidance can be designed primarily for use by policy

makers and curriculum developers in central and sub-national administrations,

as well as school principals, teachers, teacher trainers, and local education officials

as well as local community members committed to fostering DRR learning.

The guidance may include sections on preparing curriculum framework for disaster

risk reduction; planning and processing DRR curriculum development, DRR

learning outcomes, programs, activities, materials, etc.; applying changes in

the classroom and school; scaling up and DRR mainstreaming; and monitoring

and evaluating changes. As discussed earlier, the Curriculum Framework for

Ethiopian Education (KG – Grade 12) aims to address issues related specifically

to the curriculum, especially education materials, methodologies, and assessment

techniques. Moreover, this framework is also considered as a blue print and

provides guidance for the preparation of the subsequent curriculum materials

notably syllabi, textbooks and also for the overall implementation of the

teaching learning activities across the grade levels. Thus, this framework can

also provide technical guidance for integrating DRR into school curriculum in Ethiopia.

• The guidance for integrating DRR in the school curriculum may also

include some key discussion tools and checklist. For example, five dimensions

of DRR learning in the curriculum, ESDRR curriculum planning tools, problem

tree analysis, objective tree analysis, developing competency-based

curriculum, developing subject-based DRR curriculum learning outcomes, etc.

Some checklist examples are: DRR learning outcomes, DRR student

assessment, conducting an evaluation, etc.

153

Box 5.13 Comprehensive School Safety Framework

•

The Comprehensive School Safety (CSS) Framework was developed in preparation for

the 5th Asian Ministerial Conference on Disaster Risk Reduction in 2012, by the

members of the Asia Pacific Coalition for School Safety. The framework promotes a

comprehensive approach to DRR in the education sector, embedded in the education

policy, plans, and programs and aligned with national, sub-national and local disaster

management plans. The Framework also aims to support school safety as a priority area

of post-2015 frameworks for sustainable development, risk reduction, and resilience.

Goals

• To protect learners and education workers from death, injury, and harm in schools

• To plan for educational continuity in the face of all expected hazards and threats

• To safeguard investor investments

• To strengthen risk reduction and resilience through education

The CSS framework rests on three intersecting pillars as follows:

Pillar 1. Safe learning facilities. This involves education authorities, planners, architects,

engineers, builders, and school community members in safe site selection, design,

construction and maintenance, including safe and continuous access to the facility

Pillar 2. School disaster management. This is established via national and sub-national

education authorities and local school communities (including children and parents/

guardians) working in collaboration with their disaster management counterparts at each

jurisdiction in order to maintain safe learning environments and plan for educational

continuity, conforming to international standards

Pillar 3. Risk reduction and resilience education. This includes formal and non-formal

education designed to develop a culture of safety and resilient communities (GADRRRES

and WISS 2015). The Comprehensive School Safety Framework brings diverse school

safety efforts into a clear and unified focus in order for education sector partners to work

effectively, and to link with other sector with similar efforts at the global, regional, national

and local levels.

Source: (Association of Southeast Asian Nations, n.d.; GADRRRES, n.d.)

154

Guidance Note 8:

Social Welfare and Security

(Safety Net)

Social welfare and security is one of the key sectors/sub-sectors that addresses

the cross cutting issues during the Second Growth and Transformation Plan

(GTP – II), and was developed as an outcome of national development planning

process in Ethiopia. It is represented by the Ministry of Labour and Social Affairs.

The roles and responsibilities of the ministry in the national development planning

and implementation of national development plan8 and DRM are defined in Table 5.33.

Table 5.33 Lead Agencies Roles and Key Programs on DRM:

Social Welfare and Security (Safety Net)*

Lead Agency/ Roles & Responsibilitiess

Ministry

Key Programs on DRM

(Example)

Ministry of

Labour and

Social Affairs

• Responsible for implementing specific

objectives related to social welfare and

security in the national development plan.

Ministry is also accountable for monitoring,

evaluating, and reporting progress and

achievements of implementation

• Lead agency provides permanent direct

support through social safety net to

disadvantaged and disabled community

groups

• Lead institution with respect to gender

equity

Social protection policy

National

Disaster Risk

Management

Commission

(NDRMC)

Provide key information about:

• Disaster hot spot areas and sustainable

livelihoods framework

• Social vulnerability and conflict

• Employment vs unemployment

• Social security

WDRP

* Information presented in above table is illustrative and not exhaustive. It is subjected to government structure arrangement

in the country.

Objectives

The overall objective of social welfare sub-sector development plan under GTP- II is

increasing the benefits of disabled and elderly people as well as citizens by expanding

social security service coverage (National Planning Commission, 2016a). The specific

objectives for security affairs are:

Specific objectives:

• Improve benefits of citizens through expansion of social security systems

• Improve benefits of citizens through increasing accessibility and coverage of social security

Source: (National Planning Commission, 2016b)

In order to achieve the above objective, the sub-sectoral plan for social welfare and

security identified implementation strategies.

156

Implementation strategy

• Encourage disabled people to fully participate in the country’s political, economic and social

activities

• Remove barriers that hinder the activities of people with disabilities in workplace, residential

areas, recreation centers, and health centers

• Strengthen the existing community based coordination for public participation

• Promote formation of associations for disadvantaged community groups

• Enhance resource mobilization and networking

• Provide teaching and learning facilities applicable to disabled community groups

Source: (National Planning Commission, 2016a)

Challenges

In Ethiopia, the labor and social affairs sector is vulnerable to the various risks posed

by disasters and climate change. Both droughts and floods have caused extensive

loss and damages to the poorest segments of society, who are the prime focus of the

National Social Protection Policy 2014. The impacts of droughts and floods on the

social welfare and security are briefly explained in the Table 5.34.

Table 5.34 Table 5.34 Key Impacts of Hazard on Social Welfare

and Security

Hazard

Impact on Social

Remark

Welfare & Security

Drought

• Women

• Children

• Farmers

• Older people

• Disability group

A study on Tigray region about the drought impacts on

different sexes, age groups, and livelihoods found that

women and children are most affected by drought. For

example, in the study area, women collect water from the

nearest water source. They are often engaged in cooking,

cleaning, rearing children, and collecting firewood. In

addition, they also work in agricultural farms, earning

income for their family. Furthermore, they lack the skills

needed for employment in the less burdensome jobs.

During the drought, the situation worsens, with fewer

water sources near the dwelling, they will have to walk

long distance to fetch drinking water (Asheber, 2010).

In general, farmers are more affected by drought than

any other section of society. A study on Tigray region

confirmed throughout the study location (Asheber, 2010).

The situation of older people in Ethiopia is very poor,

especially for those who have no family and community

support and limited coping strategies. For instance, they

may not be able to travel long distances in search of

pasture, water or food or engage in daily labor or other

income generating activities. They may have difficulty

consuming wild or drought foods. In addition, they may

also sacrifice themselves in order to save the lives of

other members of the family, either by refusing food,

eating last or preferring to be left behind when families

migrate (Asheber, 2010).

157

Steps for Mainstreaming DRM into Social Welfare and Security

Table 5.35 Key Steps and Activities for Mainstreaming DRM into Social

Welfare and Security

Step

Potential Activities/Action/Role for DRM

Mainstreaming

Outcome

Step 1:

Planning for

Engagement

Summary: In this initial stage, the objective

is to advocate for DRM mainstreaming into

the labour and social affairs sector, including

relevant agencies such as Ministry of

Labour and Social Affairs, National Planning

Commission, Ministry of Women’s, Children’s

and Youth Affairs, Ministry of Finance

and Economic Cooperation and sector

development planning office, vulnerable groups

representatives, among others.

Key stakeholders recognize

the need for integrating

DRM into labor and social

affairs

Broad approach and

guidelines for conducting

situation analysis developed

Step 2:

Situation

analysis

Suggestions:

• Conduct meetings to facilitate partnership

with the key officials from Ministry of

Labour and Social Affairs, National

Planning Commission, Ministry of Women’s,

Children’s and Youth Affairs, Ministry of

Finance and Economic Cooperation and

sector development planning office, for

mainstreaming DRM into labor and social

affairs

• Present information on the recent disaster

and climate change impacts on the labor

and social affairs sectors (i.e., how disaster

impacts women, children, older people,

disabled people, etc.). Vulnerable groups

can be invited to share their experiences.

• Establish team for undertaking situation

analysis (Step 2)

Summary: This step deals with information

collection, and identification of key risks related

to labor and social affairs.

Suggestions:

• Use wereda risk information management

system to understand the households’

exposure to different hazards (response

in %), proportion of households getting

affected by type of disaster and frequency

• Use wereda risk information management

system to understand social vulnerability:

Household demographic characteristics;

population structure by kebele; population

trends and major ethnic group by kebele

• Use wereda risk information management

system to understand social vulnerability:

Level of educational attainment in the

hazard prone weredas

Sector briefing notes on

labor and social affairs

Problem statement

158

Step

Step 3:

Mainstream-

ing Action

Develop-

ment

Process

Potential Activities/Action/Role for DRM

Mainstreaming

• Use wereda risk information management

system to understand social vulnerability:

Gender parity (i.e., gender parity in

education level (7+ years) and household

heading) in the hazard prone weredas

• Use wereda risk information management

system to understand households’ health

condition and major health problems in the

hazard prone wereda

• Use wereda risk information management

system to understand household access to

health facilities, drinking water, sanitation,

etc. in the hazard prone weredas

• Undertake study on drought and flood

impacts and current risks experienced by

the disabled population and current coping

mechanism, DRR knowledge and challenged

faced by the group in Ethiopia

• Undertake study to understand the impacts

disasters on the targets set by labor

and social welfare under various GTPs

implemented in the past

• Review PSNP, HABP and reflect on lesson

learned, hindrances, gaps, and challenges

from past initiatives

• Review national social protection policy,

national social protection strategies in

Ethiopia, national physical rehabilitation

strategies, national plan of action on older

persons in the context of climate and

disaster risks in Ethiopia

• Use wereda risk information to determine

status of disabled community

• Develop sectoral briefing note on labor and

social affairs using above information. The

note should be referred and used during

the development mainstreaming DRM

actions (Step 3)

Summary: This step deals with the problem

validation process, problem prioritisation

process, problem-solution tree analysis, and

action matrix development. Actions should be in

line with GTP-II actions.

Suggestions:

• Based on findings in Step 2 and the sectoral

briefing note, identify and prioritize actions

for mainstreaming DRM into sectoral

instruments (Figure 5.2)

• Since one of the key focus areas of GTP – II

is on people with disabilities (PwDs), the

following priorities must be considered

while developing DRM actions for PwDs:

Outcome

Problem tree(s)

Root-causes

Mainstreaming DRM action

matrix for social welfare and

security

159

Step

Step 4:

Costing of

Actions

and

Develop-

ment of

Implemen-

tation Plan

Step 5:

Approval

Process

Potential Activities/Action/Role for DRM

Mainstreaming

Conduct multi-country surveys on the

impact of disasters on the quality of lives of

persons with disabilities and their caregivers to

fill the gap of the lack of data on persons with

disabilities and disaster

Compile good practices and lessons

learnt of disability inclusive DRR in the region

in order to promote an achievable vision of

disability inclusive DRR

Develop guide for including people with

disabilities in disaster preparedness planning

(See Box 5.14).

Summary: Stage 4 deals with identifying and

developing a financial strategy, implementation

strategy, communication strategy, and a

monitoring and evaluation strategy for

mainstreaming actions for social welfare and

security.

Outcome

Disaster resilient initiatives

are prioritized in the social

welfare and security plan

Suggestions:

• Costing of mainstreaming actions, including

incremental cost (gaps) and developing a

financial strategy along with social welfare

and security actions/activities

• Create institutional arrangements such

as the creation of an implementation unit

along with the implementation unit for

social welfare and security

• Develop communication strategies for

mainstreaming actions under the social

welfare and security actions/activities under

GTP – II

• Develop monitoring and evaluation

strategies for mainstreaming actions under

the social welfare and security actions/

activities under the GTP – II

Summary: This step deals with obtaining

political support for risk sensitive development

of social welfare and security plan.

Suggestions:

• Provide convincing evidence of the costs of

such short-term decisions in social welfare

and security sector over the short, medium,

and long-term

• Promote legislation change to incorporative

climate and disaster risk. Suitable legislation

often promotes incentives for social welfare

and security

• Set appropriate monitoring systems

and enabling strategies at the planning,

execution, and evaluation stages of social

welfare and security plan

The social welfare and

security plan promotes/

strengthen risk sensitive

development

160

Step

Step 6:

Implemen-

tation,

Monitoring

and

Evaluation

Potential Activities/Action/Role for DRM

Mainstreaming

Summary: The step deals with implementation

and tracking progress towards achieving the

activities as per the action plan developed in

Step 4.

Suggestions:

• Monitoring and evaluation of DRM

mainstreaming actions should be carried

out within the GTP- II monitoring and

evaluation strategies

• Technical guidance will be provided for

compiling and analyzing the collected

information and data. Currently, a biennial

report is submitted using the planned

Sendai framework for monitoring and

evaluation

• The gaps and challenges identified in this

step will be used to adjust for continual

improvements in the plan implementation

and for DRM efficacy and cost effectiveness.

In addition, issues not adjusted are taken

up in Step 1 for discussion.

Outcome

Plan implementation is

adjusted for continual

improvements in

DRM efficacy and cost

effectiveness

Box 5.14 A Guide for Including People with Disabilities in Disaster Preparedness

Planning

This guide, written for municipal and regional planners, reflects information, concerns

and recommendations that emerged at the day-long forum on December 6, 2005, on

“Lessons Learned” from recent large-scale disasters that affected states along the US

Gulf Coast. At the forum, individuals connected with the disability communities

in those states presented a compelling picture of both widespread ignorance of

disability issues among those responsible for disaster planning and response, and a

tragic lack of preparedness on the part of people with disabilities and the human service

infrastructure. Discussions among forum participants focused on sharing information

about the US state of Connecticut’s system for planning and responding to large scale

emergencies, and on ways to make sure the needs of people with disabilities are met.

Source: (University of Connecticut, n.d.)

161

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in South Korea. Community Mental Health Journal, 41(6):633-645.

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163

Guideline for Mainstreaming Disaster Risks into Investment Decisions

This document provides guidance on how to mainstream disaster risks into the

development planning process, budgeting, and public and private investment

planning in Ethiopia. The sectors used in this document are derived from Ethiopia’s

Growth and Transformation Plan (GTP). The benefits of mainstreaming disaster risks

must contribute to the objectives of GTP and sustainable development goals (SDGs).

The guidance provided in this document is further illustrated through Ethiopian

context and case studies showing examples where mainstreaming-related tools have

been adopted to reduce disaster risk. This document aims to support stakeholders at

multiple levels to embrace mainstreaming disaster risks into future investment decisions.

National Disaster Risk Management Commission

Africa Venue, Addis Ababa

Telephone: +251 - 5516407, +251 -5524272

Fax. no.: +251 - 5514788

Website: dppc.gov.et

This document was prepared with the technical and financial support from

the World Bank through the Asian Disaster Preparedness Center