Reconstruction and Rehabilitation Conceptof the Humanitarian Aid of the Swiss Confederation and the Swiss Humanitarian Aid Unit

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Reference documents 5

1 Introduction 7

2 Aim and scope of the concept 9

3 Frame of reference and strategic guidelines 11

4 Background and challenges 14

5 Core competencies 17

6 Fundamentals 20

7 Modes of operation 23

8 Modes of cooperation 26

9 Quality assurance 30

10 Resources 32

11 Checklist minimum requirements 34

12 Glossary 36

Contents

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A. Federal Message on the continuation of Swiss humanitarian aid, 2006-2011

B. Federal Message on the continuation of technical cooperation and financialassistanceinsupportofdevelopingcountries,2009-2012

C. Humanitarian Aid of the Swiss Confederation, Strategy 2010

D. OperationalConceptHA/SHA2009-2014

E. Humanitarian Aid of the Swiss Confederation: A conceptual framework for multilateral commitment, 2005

F. SDC Guidelines on Disaster Risk Reduction, 2nd edition, 2008

G. HumanitarianAidoftheSwissConfederation:AdvocacyGuidelines,2005

H. Gender and Humanitarian Aid. Why and how should SDC integrate gender into Humanitarian Aid, 2008

I. Cash Workbook, A practical user’s guide for the preparation and implementation of cash projects, SDC 2007

J. ConceptontheimpactassessmentandevaluationofHA,including instructionsandrulesandregulations,SDC2009

K. CoP DRR platform - www.riskandsafetynet.ch

L. CoP CASH platform - www.sdc-cashprojects.ch

M. CoP Construction platform - www.constructiongroup.ch

Reference documents

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The reconstruction and rehabilitation programmes of the Humani-tarian Aid of the Swiss Confederation (HA) provide measures that, beyond easing suffering through emergency and disaster relief efforts, aim to restore or improve the living conditions of the affected communities and thus facilitate a swift return to normality.

TheprimaryconcernandmainpriorityofSwissHumanitarianAidistosavelivesand toalleviatesuffering. Its secondprioirty is to restorebasic servicesandtostrengthen the capacity of the affected community to act.

SwissHumanitarianAidhasfourfieldsofactivity:1)Disaster prevention (risk re-duction)anddisaster preparedness;2) Emergency relief(andimmediatesurvivalassistance;3)Protection and advocacy;and4)Reconstruction and rehabilitation.

The HA launches reconstruction and rehabilitation programmes primarily in re-sponsetocatastrophiceventscausedbyexternalforces,suchasextremenaturalevents(e.gearthquakesandfloods)andviolentconflict.

Reconstructionandrehabilitationprojectscarriedoutduringearlyrecoveryphasealso include measures with longer-term aims, such as reintegration and the safe-guardingofthelivelihoodsoftheaffectedcommunity.

Reconstruction refers not only to the physical act of reconstruction but also to social and economic rehabilitation efforts. To enable communities to rebuild their lives,theworkoftheHAalwaysadherestotheprincipleofholisticandintegrateddevelopment.

TheworkoftheHAisguidedbycooperationwithitspartnersaimedatimprovingthe capacities and the resilience of the affected community, and by the sustained alignmentofitscommitmenttomedium-tolong-termrecoveryneeds.Indoingso,theHAlaysthefoundationsfortheeffectivetransitionfromreconstructiontodevelopmentcooperation.

TheHAplansitsactivitiesinclosecooperationwiththegovernmentintheaffect-ed country, coordinates its programmes and projects with local and international actors,andcontributestocollectiveefforts.Here,theHAdrawsonSwitzerland’straditional strengths (protection, humanitarian principles, neutrality, independ-ence)andonitscomparativeadvantages(flexibleuseofresources,expeditious-nessandlackofredtape).

1 Introduction

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The present document sets out the approach and modes of operation that the Humanitarian Aid of the Swiss Confederation will seek to adopt in the area of reconstruction and rehabilitation. The concept is written primarily for use by SDC personnel, but may also serve as a source of information for a wider public including the Swiss parlia-ment, HA partners and non-governmental organisations.

TheReconstructionandRehabilitationConcept,togetherwithexistingSDCstrat-egies, are designed as a planning aid and frame the direction and the forms of action that should be taken by programmes and projects in this area.

The concept sets out how reconstruction and rehabilitation efforts should be planned and implemented as part of the HA’s direct and bilateral actions, and explainsthesecondmentprocedure.

With regard to the preliminary assessment of reconstruction and rehabilitation needs, the concept features a set of criteria to assist programme leaders in HA headquartersreachadecisiononwhethertolaunchaprogrammeornot.

To ensure a common focus in all reconstruction and rehabilitation efforts, discus-sionsmustfirstbeheldwiththeGlobalCooperation,RegionalCooperationandCooperationwithEasternEuropesectionsoftheSDCandwithallotherrelevantpartners.

TheconceptisaimedfirstandforemostatSDCpersonnelworkingintheCoop-erationandProgrammeOfficesandinHAheadquarters,aswellasatmembersoftheSwissHumanitarianAidUnit(SHA).

The concept, however, also serves as a sourceof information for thepoliticalauthorities(parliamentandfederaldepartments)andasapointofreferenceforrendering account of reconstruction and rehabilitation efforts. The wider target readership include partners, such as the local authorities and governmentinstitutions,regionalorganisations,organisationsoftheUnitedNa-tions, the Red Cross and Red Crescent Societies, Swiss relief agencies, interna-tionaland localnon-governmentalorganisations (NGOs),civilian-militarycoop-erationpartners,aswellasprivateinstitutionsanddevelopmentbanks.

2 Aim and scope of the concept

Aim

Target readership

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The Reconstruction and Rehabilitation Concept of the Humanitarian Aid of the Swiss Confederation takes account of the standards already set out in the SDC strategies with regard to areas of intervention and fields of activity, as well as the guidelines on cross-cutting themes. The following served as reference documents in the development of the present concept:

The Federal Law on International Aid, the Federal Message, and the Swiss Hu-manitarianAidStrategydefinetheexpected outcomes and outputs of recon-struction and rehabilitation efforts. The goal hierarchy as well as the desired cause-and-effect chain are as follows.

3 Frame of reference and strategic guidelines

Federal Law on International Aid, Federal Message and the

Swiss Humanitarian Aid Strategy

OutputsTo support the return and reintegration of refugees, displaced persons and the homeless.To rebuild basic infrastructure, including public facilities.Toprovidetemporaryshelterandbasicservices.To create incentives for theaffected community to take their own initiatives and tobe self-reliant.To establish and maintain framework conditions and social networks enabllng the affected community to de-velop.

OutcomesTo initiate reconstruction and foster developmentwhich is both gender-specificandsustainable.

ImpactAuthorities and the popu-lation are equipped toresume “normal” life.Foundations are laid and prospects created for a more hopeful future (de-velopment).

Desired cause-and-effect chain as per the 2010 Swiss Humanitarian Aid Strategy

Theexpected reconstructionand rehabilitationoutcomesas setout in theHAstrategy are further developed anddefined in themedium-termprogramme1, basedontheprevailingsituationinthecountryconcerned.TheHAusesquantita-tiveandqualitativeindicatorstomeasureoutcomes.

1 In SDC priority countries, HA programmes and efforts are centralised in a joint cooperation strategy with SDC Cooperation or other parts of the federal administration.

Expected outcomes of the HA Strategy and the medium-term

programme

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All reconstruction and rehabilitation programmes take due account of gender and governance issues.

Considerationisgiventotheissueofgenderinequality,withparticularattentionpaid to the needs of women and children.

Democratic and constitutional principles are promoted.

Programme planning takes into account disaster risk reduction (DRR) guidelines and the possible impact of climate change on the programme.

Advocacy is an important element in reconstruction and rehabilitation pro-grammes, particularly as regards building projects and the preliminiary assess-ment of the need for smaller-scale social or economic actions.

To make the best possible use of the core competencies of the Swiss Humanitar-ianAidUnit(SHA)andtoraisethevisibilityofitswork,SHApersonnelareprima-rilydeployedonemergencyreliefmissions.Besidesprovidingemergencyrelief,theSHAisprimarilyinvolvedindirectactionsundertakenaspartofreconstruc-tion and rehabilitation programmes.

SuitablyqualifiedSHApersonnel areentrustedwithprogrammeplanningandimplementation. This applies to the direct actions of the HA and to secondments to partner organisations.

Increased operational deployments and more medium- to long-term missions im-provethepreparednessofunitpersonneltoundertakereconstructionandreha-bilitationefforts.Unitpersonnelalsoundergobasicandadvancedtrainingthatisconstantlyadaptedandrefinedtobettermeettheneedsofinternalandexternalpartners.

Cross-cutting themes

Disaster risk reduction DRR/climate change adaptation (CCA)

Advocacy

Concept of operations Humanitarian Aid of the Swiss Confederation/Swiss Humanitarian Aid

Unit (2009 – 2014)

Strategy documents: • FederalMessageonthecontinuationofSwissHumanitarian Aid(2006) • HumanitarianAidoftheSwissConfederation,Strategy2010 • OperationalConceptSHA/HA2009–2014 • Advocacyguidelines • Genderandgovernanceguidelines • Disasterriskreduction/climatechange

Frame of reference: • FederalLawonInternationalDevelopmentCooperationand HumanitarianAid(1976) • DecreesgoverningtheSHA(2008) • Disasterrelief(2004) • Immediateaid/assistanceintheeventofanucleardisaster(1991) • FederalDecreeontheFoodAidConventionoftheInternational WheatAgreement(1986)

ConceptReconstruction and rehabilitation

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Reconstruction and rehabilitation programmes are launched in response to a natural disaster (earthquakes, floods, volcanic erup-tions, hurricanes, etc.) or in post-conflict situations (social and politi-cal crises, uprisings and conflicts). The Humanitarian Aid of the Swiss Confederation takes into account the specifics of the situation on the ground and adapts their efforts accordingly.

Context

Warsandconflicts,naturaldisastersandeconomiccrisesleaveindividuals,socie-ties,theirinfrastructures(roadsandfacilities)andintangiblestructures(e.g.socialnetworks) increasinglyvulnerable,which in turn leads toevergreaterfinancialandhumanlosses.Reconstructionandrehabilitationisconsequentlygaininginimportanceasafieldofhumanitarianactionduetotherisingnumberofrecoveryefforts that are undertaken once disaster and emergency reliefmissions haveended.

Challenges

Reconstructionandrehabilitationprogrammesvaryaccordingtothecontextinwhichtheyareimplemented.Forexample,theunderlyingcauseofthedisaster/crisismaybeclimate-related,geographicalortechnological (thegovernment isstillintact).Alternatively,thecausecouldbepoliticalorsocialinnature(thegov-ernmentiscompromised),orcouldbeacombinationofthetwo.

Humanitarian needs are not the same after a natural disaster as they are in con-flictandpost-conflictsituations.Thestartingpointforanyreconstructionandre-habilitationeffortsthereforediffertoo,andmayrequireinputfromdevelopmentcooperation and peace-building.

A uniform global strategy must be in place to guarantee coherent and coordi-natedinternationaldisasterandcrisisreliefefforts.Inpractice,however,poorco-ordinationamonginternationalactors,insufficientcapacitiesandfundingshort-agesmakeitdifficulttoallocatetasksproperlyandtoexploitcomplementaritiesto the full.

Whentherearenotenoughactorswiththeappropriateskillsorwithconflictingmandates/areasof activity, a transitiongapdevelops, i.e there is adisconnectbetween emergency relief, reconstruction anddevelopment. This iswhy closecooperation between all actors and with partners is critical to the success of humanitarian action.

4 Background and challenges

Varying contexts

International coordination

Transition gap

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Protracted civil wars pose a particular problem. In such instances, emergencyrelief and rehabilitation efforts may become a permanent state of affairs. This situationiscompoundedbythefactthattheeffortsrequiredexceedthemandateor the competencies of many relief agencies, and that the resources allocated to humanitarian action tend to be ring-fenced and therefore cannot be used for longer-term projects.

Thegovernmentsoffragilestatescannotafforditscitizensaminimumlevelofsecurity.Corruption,democraticdeficitsandthecompleteabsenceoftheruleoflawoften stymiedevelopment.Situationswherepoliticsandgovernancehavefailed call for long-term reconstruction and rehabilitation programmes.

Today thereareover200million foreignmigrantsworldwide.Around10mil-lionarerefugeesand13millionareinternallydisplacedpersons(IDP).Adearthof economic prospects is the chief driver ofmigration, a phenomenonwhichwesterncountriesareexperiencingfirst-handandtakeincreasinglyseriously.Theincreased inclusion of social and economic actions in reconstruction and rehabili-tation programmes can help curb this growing trend.

Risingglobalfoodpriceshaveadirectandexistentialimpactonpoorcountries,prolonging the problems of undernutrition and malnutrition. Food shortages hit thepoorhardest,particularythoselivinginregionswherefrequentdroughtsandfloodingcausecropstofailandaccesstomarketsishinderedbyinfrastructureorby political problems.

Thefrequencyofclimate-relatedeventsissettoriseandwithittheriskofnaturaldisasters. Thiswill leave thepopulationsofmanydisadvantaged regionsmorevulnerableandclaimmanymorelives.Climatechangeis likelytohavelonger-term repercussions such as water shortages, the loss of agricultural production andariseinclimaterefugees,withthesouthernhemispherebeingmostseverelyaffected.

Chronic conflicts

Fragile states

Migration

Food security

Natural disasters and climate change

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The reconstruction and rehabilitation efforts of the Humanitarian Aid of the Swiss Confederation deliver needs-driven assistance for the reintegration of returnees, internally displaced persons and socially vulnerable groups. The implementation of such programmes and projects considers the effective needs on the ground, integrates les-sons learnt, and takes account of strategic priorities.

The Humanitarian Aid of the Swiss Confederation can draw on a wealth of recon-structionandrehabilitationexperience.Itmobilisesitscorecompetenciesinthefieldsofconstruction,waterandwastewater, livelihood, capacity building and advocacytoaffordtheaffectedcommunitiesacertainstandardofliving(hous-ing,income,health,foodsecurityetc.).Itrestorestheiraccesstoresourceslikewater, soil, and power, as well as information and transport. It lays the founda-tions for renewed social and political stability by helping the affected communi-tiestohelpthemselvesandbypromotingincome-generatingactivities.

TheHAimplementsandfinancesbuildingprojectsandprovidestechnicalassist-ance in the following areas:

General planning • (developmentandhousingsettlementplanning,etc.)Public infrastructure: • schools, community centres, hospitals and, where necessary, other health-related amenities like health centres and WatSanPrivate and social housing •Bridges and roads (secondary and tertiary) •Earthquake-proof construction •Buildings adapted to the needs of disabled •Energy-efficient buildings •Protection of cultural heritage •

TheroleoftheHAinsuchprojectsistheprovisionoftechnicaladviceandad-ministrativeassistance(includingadvocacy).Thisowner-drivenapproachallowsbeneficiariestoconstructtheirownhomesandthusensuresbetterlocalaccept-anceofexternalhelp.

Buildings and facilities are designed as long-term and low-maintenance solutions. Intheinterestsofsustainabledevelopment,theHAdevisesmaintenance plans in concert with the local authorities and the community.

5 Core competencies

Background information

Construction

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TheHAundertakes activities on theuse ofwater for bothdrinking and foodproduction purposes. To guarantee sustainable water management, the HA pri-oritises efforts to protect this resource and its ecosystems.

Drinking water supply • (urbanandruralareas)Sanitation and latrine construction •

TheHA adopts an integrated approach to project implementation and strivestoequip communities so that they cancover theirbasic socioeconomicneedslikefood,accommodationandincome,andbecomeself-sufficient.Thefollowingprinciples apply:

Supporting self-sufficiency • –TheHAassiststheaffectedcommunitytobecomeself-sufficient.Forexample,toguaranteefoodsecurity,theysupplythe community with seed, tools, animals and working capital.Income-generating activities • –TheHAassiststheaffectedcommunitieswiththeirincome-generatingactivitiestoensurealastingimprovementinbasicservices.Forexample,theHAhelpsfishermenstartorresumetheiractivitiesbysupplyingthemwithfishingequipment,bybuildingboatsorbyfacilitating their access to markets.

Where appropriate, HA programmes contain training components aimed at building localcapacities.Forexample, localauthorityemployeesare trainedtouse databases and computers, which should enable them to carry out their work moreefficiently,

Localworkersaregivenadvancedon-the-jobtrainingontheplanningandimple-mentation of reconstruction and rehabilitation programmes, with particular at-tentiongiventothemanagementofworks,finances,administrationandprojectmanagement.

AdvocacyisanimportantcomponentofallHAreconstructionandrehabilitationprogrammes,particularlywithregardtoeffortstoimproveaccesstomarketsandresources, or when considering and including minorities in project planning and implementationprocesses.Infrastructureprojectsmustidentifyandfindanswerstoissues,suchaslandtitles,tenureandtheofficialregistrationoftheaffectedcommunity.

Given thegrowingvulnerabilityofpoor countries tonaturaldisasters,preven-tion and preparedness has become a standard component of most humanitarian projects.TheHArunsspecificprogrammesthatmakemajorconceptualandtech-nicalcontributionstoriskmitigationandhelpstheauthoritiesdevisemeasurestoprotect thepopulation.Furthermore, theHAsees to it thatpreventionandpreparedness concepts and efforts are an integral part of all its reconstruction and rehabilitation programmes.

Water and wastewater

Livelihood

Capacity-building

Advocacy

Prevention and preparedness

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Development cooperation, economic assistance, foreign policy in general

Development cooperation, economic assistance, foreign policy in general

Prevention

Prevention

Time line

ReconstructionEmergency relief

Contiguum

The Humanitarian Aid of the Swiss Confederation is committed to linking emergency relief and medium- to long-term reconstruction, and implements only programmes that honour this principle. When planning reconstruction and rehabilitation programmes, the HA com-plies with the principles of sustainability and conflict sensitivity (the “do no harm” approach). When planning programmes, the input of all concerned is decisive.

LRRD means that any response to a disaster does not consider the three phases ofrelief,rehabilitationanddevelopmentinisolation.Thesephasesoverlapandare interconnected.

LRRDarose fromthe realisation that there is frequentlyadisconnectbetweenemergencyreliefanddevelopment.Inpractice,thelinkbetweenthesephasesiscreatedwhenemergencyreliefincorporatesthesurvivalstrategiesoftheaffectedcommunitiesandtheirattemptstorebuildtheirlives.Thereisnosetchronologi-calsequenceforthetransitionfromrelieftorehabilitationanddevelopment.Thelength of each phase depends on the region and the target group concerned, andontheextenttowhichtheaffectedcommunityisfunctioningorhasstartedto function again.

Theperceptionthatemergencyrelief,reconstruction/rehabilitationanddevelop-ment constitute a linear continuum (progression)hasgivenway to LRRDas acontiguum,becausethisviewbetterreflectsthecomplexrealitiesontheground.Acontextanalysisinformsthedecisionsmadeduringtheearlyphaseoftargeteddisaster relief missions on the form that reconstruction and rehabilitation efforts should take.

Source: Berne, SDC Humanitarian Aid, 2006

6 Fundamentals

Linking relief, rehabilitation and development (LRRD)

Continuum – Contiguum

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HA programmes strengthen the ability of local communities and institutions to dealwithcrisesanddisasters.Theyseektorestorelivelihoodsandbasicservicesbutatahigherlevelthanbeforethecrisisordisaster.

When planning programmes and projects, the HA conducts needs and risk as-sessments together with the authorities and the affected communities. In the interests of sustainability, the inclusion gender, livelihood,advocacyanddisasterpreventioninHAprogrammesandprogrammesisdeterminedaccordingtoac-tual needs and is tailored to the situation on the ground.

Physicalconstructionprojectsdrawonthe latestknowledgeavailable.Theuseofsustainablematerials(asbestos-andformaldehyde-free)andtechniques(disa-bledaccess,earthquake-proof)shouldhelptoreducerisks.Thearchitecturalformshould be adapted to the local surroundings and take due account of the local culture and social norms.

Thecapacityof localauthorities,theparticipationofcivilsocietyaswellasthepresenceofcooperationpartnersinadisaster-orcrisis-hitregionhaveabearingon the implementation of reconstruction and rehabilitation programmes.

The presence of partners on the ground as well as their willingness to cooperate enablereliefeffortstobecomequicklyembeddedinthelocalcontext,guaranteesustainability and ultimately open up the opportunity for long-term cooperation.

Socialandeconomic rehabilitationprogrammesactivelyuse the resourcesandopportunities of the affected community to act. In the interests of sustainability, it is key that the programme is socially and socioeconomically rooted, hence the importanceofbeneficiaryinvolvement.

Theprogrammesaredeveloped inconcertwithbeneficiariesandtake intoac-count their cultural and social background. The planning and implementation of projectsatthegrassroots’levelsensurestheuseoflocalknow-how,techniquesand materials.

Sustainability consists of fostering the commitment and participation of the af-fected community so that thepopulationand the relevant instituionsareulti-mately able to fund and carry on the project independently.

The HA seeks to ensure the complementarity of its actions, i.e. that its works buildsonexistingefforts.Suchanapproachrequiresdiscussionandagreementoneffortsbyallrelevantactorsandtheaffectedcommunity.Thiswillhelppro-mote local and international coordination.

Build back better

Cooperation

Ownership and participation

Sustainability

Complementarity

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SDC project cycle management instruments are used to plan, imple-ment and evaluate reconstruction and rehabiliation programmes. The findings, particularly the outcomes, are published once the project is finished. Needs, risks, outcomes (effectiveness) and cost-effectiveness (efficiency) must be systematically monitored throughout all phases of the project.

The planning of reconstruction/rehabilitation programmes draw on decisions that are made and accepted by all concerned. The present concept contains a check-list2 setting out criteria on matters such as political and institutional conditions, sustainability/acceptanceandsecurity,whichmanagersbothatheadquartersandinthefieldcanusetohelpthemdecidewhethertolaunchareconstructionandrehabiliation programme or not.

Source: Berne, SDC HA, 2009

The HA implements reconstruction and rehabilitation programmes either as part of its direct actions or in cooperation with its partners. Securing the necessary funds(ownorthirdparty)isdecisivetotheplanningofprogrammeswhichwillrunfortwotothreeyears(medium-termprogrammes).

2 cf.checklistminimumrequirementsforreconstructionandrehabilitationprojectsPage34

7 Modes of operation

Typical process

Direct actionBilateral action

ConsultationPolitical Divisions SDC Regional and Global Cooperation other partners

Assessment MissionIdentification of reconstruction and rehabilitation programme

Emergency reliefRapid Response

Start of programme

Elaboration of programmefor reconstruction and rehabilitation

Time line: preparation and planning phase

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Decision about geographic, thematic, financial orientation of the programme, time line and partners

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With regard to reconstruction and rehabilitation efforts, cash projects are used, wherepossible,asavehiclefordisbursingcashaid.

Cash for livelihood •Cash for Work – Voucher projects • (bothforincome-generatingactivitiesandimprovementstoinfrastructures)Cash for Shelter • or Cash for Repair and Reconstruction: placing refu-geeswithprivatehouseholdsorfinancialsupporttorebuildorrepairhomes.

The HA carries out its direct actions in cooperation and in coordination with its multilateralactivities.

TheHAusesProjectCycleManagement(PCM)instrumentstoadministeritspro-grammes and projects.

PCMisanintegratedapproachwhichtakesaccountofthecomplexitiesinvolvedintheprogrammeimplementationprocedure.Itcoversneeds-basedandpartici-patory planning, project implementation, project monitoring as well as project evaluationsandoutcomeassessments.Actionsareallocatedonageographicalandsectoralbasisoraccordingtotherelevantareaofactivity.Theyarealwaysembeddedinthelocalcontextregardlessofhowtheyareallocated.

Totakeaccountofthecomplexityofthesituationathand,theHAcarriesouta context analysis, which also covers certain security, governance and peace-buildingissues.Allplanningprocessesmustinvolveabaselinesurveytosetthenecessary benchmarks. Without these it would not be possible to measure the impact of a project or programme.

A logical frameworkwith defined goals andmeasurable indicators forms thebasisfortheoverviewandmonitoringoftheplanningprocessandfortheimpactassessement.

The main focus of the HA impact assessment is on outcomes3. This means that duringtheimplementationprocessparticularattentionisgiventotheachieve-mentandmeasurementoftheproject’sstatedaims.Changes(positiveornega-tive, and intentionalorunintentional) that are causedbyhumanitarianeffortsandthataffectallconcernedandthedisadvantagedareobserved,documentedandevaluated.ThefindingsarediscussedwiththeHAandwiththeprojectpart-nersandservetodirectongoingactions.Toensurethatitsactionisaseffectiveaspossible,HAactionisplannedatgrassroots’levelandfocusesontheneedsofthe affected community.

TheevidenceofimpactiscollectedinaccordancewithSDCstandardprocedures.Thefindingsofthesubsequentevaluationinformthefuturedirectionoftheprojector the programme. It is detailed in the annual reports of medium-term programmes and in the reports issued during the end-phase of programmes and projects.

3 Outcome:theshort-ormedium-termimpactthathumanitarianinterventionislikelytoachieveorhasachieved.

Cash projects

Multilateral action

Project cycle management (PCM)

Integrated approach

Context analysis andbaseline survey

Logical framework

Focus on effectiveness

Evidence of impact/reporting

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Cooperation with organisations and partners on the implementation of reconstruction and rehabilitation programmes can take a variety of forms. A whole of government approach must be adopted to ensure the uniform alignment of country strategies.

Cooperation with partners

In its reconstruction and rehabiliation programmes, the HA prioritises cooperation withlocalauthorities,civilsociety,locallybasedNGOsandthematicnetworkstoensure that all aspects of the project are sustainable.

Localpartnersareactivelyanddirectlyintegratedintheplanningofreconstruc-tion and rehabilitation programmes.

Memoranda of Understanding (MOU) are concluded with national ministeries andlocalgovernments.

CooperationwithSwissNGOsandreliefagenciesaresoughtinsofarastheycanofferacomparativeadvantage(e.g.prolongedpresence,specificareasofexper-tise).

In special cases, such as after major natural disasters, the HA forms a consortium with partners and charities.

The HA forms strategic and technical alliances.

Financial contributions are optional and decided on a case-by-case basis.

TheHAsupportsUNorganisationsthroughfinancialcontributions.TheHAstrivestoencouragemoresecondments (support throughtheprovisionofpersonnel)andtocarryoutreconstructionprojectsonbehalfofUNorganisations(e.g.UN-HCR,WFP,UNICEF,UN-OCHAandUNRWA).Thedeploymentoftheseexpertsiscombinedwithfinancialcontributions.Thesearecalled“packages”.

Thetablebelowprovidesanoverviewofthedifferentmodesofcooperationandfunding.

8 Modes of cooperation

Local stakeholders

Swiss NGOs

International NGOs

UN organisations

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In-house cooperation The transition from reconstruction and rehabilitation programmes to long-term development depends uponwhether SDCwas already present in the countrythroughtheprioritycountryprogrammepriortothedisasterortheconflict.Re-ciprocal knowledge about the country programmes4 helps to identifyoverlapsand thus makes it possible to coordinate the direction that efforts will take. This requiresflexibilityfromallinvolvedaswellasthecoordinationofactivitieswithinthe SDC.

Regarding the operational direction that reconstruction and rehabilitation pro-grammes take, the HA fosters dialogue with the multilateral departments of the SDC on reaching a common understanding of how cooperation with multipart-ners can be applied in a complementary manner to reconstruction and rehabili-tation programmes (e.g. policy dialogue, financial contributions, secondments, etc.).

This strengthens close cooperation between the Geographical Departments, the CooperationandProgrammeOfficesinthefieldandmultilateralactors.

TheHAworkswiththePoliticalAffairsDivisionsoftheFDFAaswellasotherpartsof the federal administration, such as the State Secretariat for Economic Affairs (SECO),theFederalDepartmentofDefence,CivilProtectionandSport(DDPS),theFederalOfficeofMigration(FOM)andtheFederalOfficefortheEnvironment(FOEN).

4 SDCprioritycountriesare:Africa:Benin,BurkinaFaso,Mali,Niger,Chad,Mozambique,Tanzania.Asia:Bangladesh,Nepal,Mekongregion.Latin America:Bolivia,CentralAmerica–Countrieswithspecial programmes are: Africa: Great Lakes region, southern Africa. Asia: Afghanistan, Mongolia. Latin America: Cuba. Middle East: Palestine.

Implementation Type Funding contributions

Direct action HA and SHA Self-implementation 100% self-funded

HA and SHA as Implementing partners

Outside fundingCo-funding; up to 100% third-party funds e.g. SDC, FOM,UNICEF,etc.

Bilateral action SwissNGOsProject and programme contributions

Up to 50% co-funding

NGOsorfirms Outsourced assignments 100% funding by HA

Multilateral ac-tion

UNorganisationsandICRC Programme contributionsVariable programme contributions

Secondments Partner with SHA assistance Assistance from Human Resources

100% personnel costs

Cooperation within the SDC

Cooperation within the federal administration – “whole of government approach”

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TheHAactivelyseekstocooperatewithacademicinstitutions,suchastheFederalInstituteofTechnology(ETH)andtheCentreforDevelopmentandEnvironment(cde).

Thetablebelowshowsthepartnersinvolvedinreconstructionandrehabilitationefforts and their functions.

Sincetheconflictbrokeout intheNorthCaucusus,theHAhassupportedtheeffortsoftheUNHighCommissionerforRefugees[UNHCR]throughprogrammecontributions and through secondments to assist housing-related efforts. In the initial programme phase, UNHCR action concentrated on the construction ofemergency shelters. The focus later shifted to the construction of permanent accommodation. Together with its implementing partner, it built homes for the displaced and returnees, and repaired some existing ones (“roof and one dryroom-approach”).

In 2005 the HA launched a reconstruction programme in the region, the priority of which was the reintegration of refugees, the displaced and returnees. Con-sequently, cooperation between the HA andUNHCRwas strengthened. Theyapplied harmonised building standards and coordinated the selection of ben-eficiaries,thushelpingtomakeeffortsmorecost-effective.TheHAprogrammecontributiontotheUNHCRwasusedtofundtheconstructionofhomes.

Oneofthereconstructionprioritiesfollowingtheendofthe14-yearconflictinLiberia was the resumption of agricultural production in order to lift the coun-try out of its complete dependency on food aid in the medium term. The pro-grammelaunchedbytheWorldFoodProgramme[WFP]includedalargenumberofFood-For-Workprojects,inwhichbeneficiarieshadtoworkinreturnforfoodaid.Overgrownricepaddieswerereclaimed,irrigationalchannelsdug,vegetablepatches planted and access routes rehabilitated.The HA supported this programme for two years through secondments (1 agron-omistand1constructionexpert)aswellasthroughfundingandgraincontribu-tions.

AspartofthePakistanreconstructionprogrammefollowingtheearthquakeinOctober 2005, the HA independently set up schools and health centres in the northwestborderprovince.Theprogrammemadethebestpossibleuseoflocalexpertiseandcapacities,andtheSDCteam,withUNICEFfunding,builtafurther50 schools in the space of three years.

Cooperation with other actors

Example UNHCR North Caucusus

ExampleWFP Liberia

ExampleUNICEF Pakistan

Partner Function

SDC, Multi-H Networkingandcoordinatingeffortswithmultilateralactors(Working in the Triangle)

SDC, HR Recruitment,postings,supervisionandtrainingofskilledpersonnel

SDC, H-Log Serviceprovision,projectsupportandlogistics

ExpertgroupsoftheSHAManagement-leveltrainingExpertadviceandqualityassuranceinrelationtoprogrammeplanningandimplementation

SDC, Regional and Global Cooperation

Programmesareplannedjointlyandarecoordinatedwithexistingprogrammes

PA I/PA II Involvementinthepolicyandstrategicplanningofprogrammes

PA IV Contributiontotheplanningofconflict-andhumanrights-sensitiveprogrammes

FOM Cooperationonassistanceforreturneesandonmigrationprevention

SECO Programmesareplannedjointlyandarecoordinatedwithexistingprogrammes

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All strategic areas of activity of the Humanitarian Aid of the Swiss Confederation are subject to continual quality controls. Reconstruc-tion and rehabilitation programmes are planned, implemented and supervised based both on lessons learnt and on Humanitarian Aid guideliness. Internal impact assessment reporting is of course a com-ponent of quality assurance.

The impact study and assessment concept5 is the cornerstoneof allHAqual-ityassuranceactivitiesandisusedtoevaluatereconstructionandrehabilitationprojects,particularlytheirmodesofoperation(performance)andeffects.Areviewis carried out at the close of each programme or project to determine how far its activitieshavefacilitatedtheattainmentofmedium-termprogrammegoals.Newknowledge and lessons learnt arecapitaliseduponandqualityassurancecriteriaare updated.

The planning and implementation of reconstruction and rehabilitation pro-grammes observes the standard criteria of relevance, efficiency and effective-ness,aswellasSDCqualityassurancestandardsandguidelinesoncross-cuttingthemes.

TheSDCactivelymanagesknowledge.Experiencesgatheredfromearlierrecon-struction and rehabilitation projects are reprocessed as best practices and lessons learnt, and are published as fact sheets.Knowledgeiscultivated,exchangedanddeveloped.

TheSwissHumanitarianAidUnitguaranteesaconstantsupplyofqualifiedex-pertswhoareavailableatanytimetocarryoutpreliminaryneedsassessmentsorto identify and implement reconstruction and rehabilitation projects.

TheHAoffersextensivebasicandadvancedtrainingopportunities,thusensuringthat its operational personnel are up-to-date on the current state of knowledge.

ThevariousCoPplatformsofferextensivedocumentationonreconstructionandrehabilitation projects and are regularly updated by specialists. They are respon-sibleforensuringthatnewdevelopmentsaretakenonboardaspartofprofes-sional knowledge management.

5 cf. Monitoring of the cooperation strategy/medium-term programme, as well as the concept on theimpactstudyandevaluationoftheHA,SDC2009

9 Quality assurance

Impact study and assessment

Quality assurance as part of project cycle management

Knowledge management

SHA experts

Basic and advanced training

Community of Practitionners CoP

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The inclusion of a risk analysis in a credit proposal6ensurestheidentificationandresolutionofkeyissuesregardingtheprojectrisksandtheareasofactivity(e.g.disasterprevention,gender andgovernance, advocacy, the“do no harm” ap-proachandconflict-sensitiveprojectmanagement).

The SDC/HA internal quality assurance procedure is applied to constructionprojectswithabudgetinexcessofCHF200,000.

Localspecificationsandgloballyrecognisedqualitystandards(Spherestandards)areobserved.

Theinternalcontrolsystemensuresthemonitoringoffinancial,HRandadminis-trativeprocessesinthelifecycleoftheprogramme.

6 cf. Guidelines on credit proposals, SDC 2010

Risk analysis as part of credit proposals

Internal SDC quality assurance procedure for construction projects

Internal control system ICS

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The Humanitarian Aid of the Swiss Confederation provides the finan-cial and human resources needed to plan programmes and implement reconstruction and rehabilitation projects.

TheHAfundsitsdirectactions.Self-fundingisvitalforbuildingthecapacitiesoftheHAasacredibleactorinthehumanitarianfieldofreconstructionandrehabili-tationandforraisingthevisibilityofSwisscommitmentthroughtheoperationaldeployment of SHA personnel.

Where possible, contributions from the cereal credit line (e.g. distribution of seeds).

TheHAusescontributions(third-partyresources)fromexternaldonorsandactsas an implementing partner for other organisations.

TheHAalreadycooperateswith the followingorganisations,firmsand states:UNICEF,DFID,SwissRe,Novartis,Nestlé,HolcimandthePrincipalityofLiechten-stein.

TheHAprovidesnotonlyfinancialandmaterial(deliveryofaid)contributionsforreconstruction and rehabilitation efforts but also personnel support (dispatch of SHApersonnel).

ThroughtheSwissHumanitarianAidUnit,theHAprovidespersonnelforshort-and long-term internationalaidmissions.Theseareexperienced,qualifiedandhighlytrainedprofessionalswhohavealreadysuccessfullytakenpartinmissionsworldwide.

SHApersonnelaregeneralistsbuttheyalsopossessspecialistdevelopmentco-operation knowledge. In the interests of reconstruction and rehabiliation pro-grammes with a long-term purpose, they are deployed on missions for a mini-mumofsixmonths.

Reconstruction and rehabilitation programmes are also used to promote young professionals.

10 Resources

Financial resources

Cereal credit line

Outside funding

Human resources

Recruitment profile SHA personnel for reconstruction and

rehabilitation missions

Promotion of young professionals

33

The HA can release Swiss Humanitarian Unit personnel on secondment to part-nerorganisations.Withaviewtoforginglong-termworkingpartnerships,thesesecondmentsareofferedaspartofapackagewhichalsoincludesfinancialcon-tributionstotheprojectofthegivenpartnerorganisation.

ThemainpartnerorganisationsoftheHAare:WFP,UNHCR,OCHA,aswellasUNRWAandUNICEF.

TheHAusesSHAcapacitiesbutinsomeinstanceshasrecoursetoexternalre-sourcesfromprivateproviders(mandate).

Secondments

Technical backstopping

34

The minimum requirementsgoverningtheapprovalofaprojectlauncharegiveninbold and all must be answered with yes prior to the project launch.

A. Security issues

B. Political conditions

C. Institutional conditions

11 Checklist minimum requirements

In the region where the project will be implemented... yes noRemark(reasons,consequences)

survival is guaranteed

there are no longer any acute conflict zones

a valid ceasefire or peace process is under way

most mine fields are marked and no new mines have been laid

unrestricted access is guaranteed

reliable, security-relevant information is available

Regarding project implementation… yes noRemark(reasons,consequences)

a financial critical mass is secured

thereisacomparativeadvantageduetothematicexperienceorexistingpresenceon the ground, e.g. SDC commitment already in place through the HA (EZA priortiy countries)

specialist competencies can be used

medium-termcommitment(personnelandfinancial)isguaranteed

support from other parts of the federal administration

In the region where the project will be implemented... yes noRemark(reasons,consequences)

has a minimum of state structures

wouldpermitthefreechoiceofpartners(NGOsorprivateproviders)forreconstructionand rehabilitation efforts

local/national contacts and contractual partners are recognised by the affected com-munity and by the participating actors

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D. Acceptance / sustainability

In the region where the project will be implemented... yes noRemark(reasons,consequences)

the local community is ready to return home and rebuild their lives there

an on-site assessment of the needs of the affected community, particularly women and children, has been performed

thegovernmentandthepopulationwillacceptexternalhelpwithreconstructionand rehabilitation efforts

theissueoflandtitles(tenure)hasbeenclarified

thetransitionfromemergencyrelieftolong-termdevelopmentcooperationisguaranteed

personnelandfinancialresourcesaresecuredforoperationalactivities

personnelandfinancialresourcesaresecuredformaintenanceactivities

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Thisreferstoasurveywhichestablishestheinitialconditionsagainstwhichtheoutcomesofthefinishedprojectcanbecompared.

Thisreferstothefactthatthedynamicsofconflictsandcrisesoftengiverisetodifferentyetoverlappingneeds(emergencyrelief, reconstruction,technicalco-operationandeconomicaid),whichdonotobeyastrictchronologicalorderandmayevenarisesimultaneously.Source: SDC, 2006

Thetransitionperiodbetweenthefinalphaseofemergencyrelieftothelaunchof reconstruction and rehabilitation efforts. These phases overlap and are in-terconnected. The early recoveryphase is decisive for a successful return to aself-determined and autonomous life and aims to strengthen the survival andmanagement strategies of the affected community and enable them to rebuild theirlives.Source: www.humanitarianreform.org

A livelihoodcomprisesthecapabilities,assets(bothmaterialandsocial)andac-tivitiesrequiredforameansofliving.Livelihoodequipspeopletoearnenoughtto stasify their basic needs like food, clothing and shelter. It also enables them to livetheirlifeindignityandinasustainableway.Alivelihood is sustainable when itcancopewithandrecoverfromstressesandshocksandmaintainorenhanceits capabilities and assets both now and in the future, while not undermining the natural resource base.Source:DFID,1992

Peacebuildingaimsinamorecomprehensivewaytomanagethepolitical,eco-nomic,socialandpsychologicalconsequencesofcivilwarsaswellastoidentifythestructuralcausesofconflict(e.g.socioeconomicinequalities,ethno-nationaltensions, scarcity of resources). ThroughPeacebuilding as peace consolidation should lead to the strengthening and development of the relevant structuresafterhostilitieshaveceasedinordertopreventareturntoviolence.Source: www.bpb.de

12 Glossary

Baseline (survey)

Contiguum

Early Recovery

Livelihood

Peacebuilding

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Secondments refers to the deployment of personnel, particularly to the four main UNpartnerorganisationsUNHCR,WFP,UNICEFundUN-OCHA,aswellastoUN-RWA,whichreceiveSDCfunding.Theseareenhancedthroughthecombinationof annual corre contributions.

Sphere standards are the result of an international consultation process of hu-manitarianorganisationsandredcrossmovementslaunchedin1997,theaimofwhichwastodeviseuniform,qualitativeminimumstandardsforHA.Thestand-ardsarebasedontheprinciplethateveryindividualaffectedbydisasterhastherighttolifewithdignity,whichcoversaminimumlevelofbasiccare.

The key elements of the Sphere Project are:TheHumanitarianCharter,thefivefundamentalprinciplesofinternational •humanitarian law, the protection of refugees and the right to life with dignity Cross-sectoral minimum standards •Technical standards in four sectors of emergency relief: water supply and •wastewater treatment, food aid, reconstruction and basic medical care Code of Conduct •

Source: www.sphere.org

Generally speaking, reconstructionand rehabilitation is chiefly concernedwithrestoringthesocioeconomiclivingconditionsoftheaffectedcommunitytopre-disaster/pre-crisislevels.Thegoalistoovercometheeffectsofwarandnaturaldisastersandtogeneratelong-termimprovementsinhousing,socialandtechni-cal infrastructures and income. Action in this area includes the repair of public facilities like schools and hospitals, the repair of roads and bridges, as well as the restoration of the water supply. Yet, reconstruction and rehabilitation goes beyondphysicalrebuilding.Italsotakesintoaccounteconomic,environmentaland social factors (livelihood), thus producing a holistic programme that aims to restoretheself-sufficiencyoftheaffectedcommunity.

Secondment

Sphere Standards

Reconstruction and rehabilitation

38

Imprint

Editor:Federal Department of Foreign Affairs FDFASwiss Agency for Development and Cooperation SDC3003 Bern

Design:Mark Manion, Commusication Arts, comarts.ch

Photos:© DEZA

Orders:Humanitarian Aid of the Swiss Confederation and theSwissHumanitarianAidUnit(SHA)Sägestrasse77,3003KönizTel:+41313223124,Fax:+41313241694hh@sdc.admin.chwww.sdc.admin.ch(heading“Publications”)

Specialist contact:SwissAgencyforDevelopmentandCooperationSDCHumanitarian Aid of the Swiss Confederation and theSwissHumanitarianAidUnit(SHA)Sägestrasse77,3003KönizTel:+41313223124,Fax:+41313241694hh@sdc.admin.ch

ApprovedbyHumanitarianAidoftheSwissConfederationand theSwissHumanitarianAidUnit(SHA)inSeptember2010

Bern, 2010