DG ECHO Guidance Note on Disaster Preparedness

Disaster Preparedness

2021

DG ECHO Guidance Note

European Civil

Protection and

Humanitarian Aid

Operations

DG ECHO Thematic Policy Documents

N°1: Food Assistance: From Food Aid to Food

Assistance

N°2: Water, Sanitation and Hygiene: Meeting the

challenge of rapidly increasing humanitarian

needs in WASH

N°3: Cash and Vouchers: Increasing eﬃciency and

eﬀectiveness across all sectors

N°4: Nutrition: Addressing Undernutrition in

Emergencies

N°5: Disaster Preparedness Guidance Note

N°6: Gender: Diﬀerent Needs, Adapted Assistance

N°7: Health: General Guidelines

N°8: Humanitarian Protection: Improving protection

outcomes to reduce risks for people in

humanitarian crises

N°9: Humanitarian Shelter and Settlements

Guidelines

DG ECHO Operational Guidelines: The Inclusion of

Persons with Disabilities in EU-funded Humanitarian

Aid Operations

For more information or questions on the Guidance Note, please consult the DG ECHO webpage on Disaster Preparedness or contact the Unit B2 at ECHO-B2-

SECRETARIA[email protected]

DG ECHO Disaster Preparedness Guidance Note

Table of contents

Foreword 2

Executive Summary 3

1. Introduction 5

2. International and EU Policy Frameworks 6

2.1 International frameworks 6

2.1.1 Sendai Framework for Disaster Risk Reduction 6

2.1.2 Grand Bargain - the Agenda for Humanity 6

2.1.3 Paris Agreement 7

2.1.4 The Agenda 2030 and the Sustainable Development Goals 8

2.2 EU policy frameworks 8

2.2.1 Preparedness and DG ECHO’s Mandate 8

2.2.2 European Consensus on Humanitarian Aid 9

2.2.3 European Communication on Humanitarian Action 9

2.2.4 European Consensus on Development 10

2.2.5 EU Joint Communication on Resilience 10

2.2.6 The European Green Deal 10

2.2.7 EU Adaptation Strategy 10

3. Preparedness & Risk Informed Approach 11

3.1 Disaster Preparedness 11

3.2 Risk Informed Approach 12

3.2.1 Risk Assessment 14

3.2.2 Anticipatory or Early Action 16

3.2.3 Mainstreaming Preparedness and Risk Prooﬁng Response Interventions 16

3.2.4 Targeted Preparedness Actions 18

4. Key Elements of the DG ECHO Preparedness and Risk-Informed Approach 19

5. Complementary implementing modalities 22

5.1 Humanitarian Development Peace (HDP) Nexus 22

5.2 Partnerships 24

5.3 Union Civil Protection Mechanism (UCPM) 26

6. Preparedness Actions 27

6.1 Early Warning System (EWS) 27

6.2 Anticipatory Action 28

6.3 Logistics 29

6.4 Strengthening Capacity 30

6.5 Shock Responsive Social Protection (SRSP) 31

6.6 Cash Preparedness 32

6.7 Institutional, Policy and Legislative Frameworks 33

6.8 Information Management, Data and Technology 34

6.9 Contingency Planning 36

6.10 Advocacy and Awareness 37

6.11 Preparedness - Speciﬁc Considerations 37

6.11.1 Climate and environmental resilience interventions 37

6.11.2 Preparedness for Protection 40

6.11.3 Preparedness in urban settings 42

6.11.4 Preparedness for conﬂict and violent situations 43

6.11.5 Preparedness for Drought 44

6.11.6 Preparedness for Displacement 45

7. Evidence and Learning 47

Annex 48

Annex 1. Mainstreaming Preparedness and Risk Prooﬁng Humanitarian Response 48

Annex 2. Crisis Modiﬁer Note 60

Annex 3. Targeted Preparedness Actions - Global Priorities 2021-2024 69

Annex 4. Resources and Tools 75

Acronyms 79

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

Foreword

While this Guidance Note was being drawn up in 2020, the world was suddenly

confronted with an unprecedented crisis: the COVID-19 pandemic. Since the beginning

of the pandemic, countries and organisations across the globe have undertaken

extraordinary eﬀorts to respond to the crisis and strengthen their preparedness to

respond to possible new peaks and future emergencies.

This pandemic has helped us recognise even more that preparedness and eﬀective

response are closely intertwined. This lies at the heart of DG ECHO’s humanitarian

approach, in which preparedness plays a critical role. Ensuring that communities

have the capacity to respond to crises, and to anticipate and address the risks ahead,

whatever they may be, form an integral part of humanitarian aid. This is why DG

ECHO strongly promotes preparedness and risk-based interventions throughout its

humanitarian action.

As our approach has been evolving and adjusting to the new challenges and risks

represented by climate change, environmental degradation and the increasing

overlaps between disasters, conﬂict and fragile situations, this Guidance Note aims to

support our staﬀ and, more importantly, our partners in their concrete interventions on

the ground. As such, we hope that it will contribute to our common ﬁnal objective of

helping to save lives.

This is an ambitious objective and we know that as humanitarian actors we cannot

achieve it alone. We need to work in partnership with our development colleagues to

capitalise on mutual strengths and ensure long-term sustainability and resilience. DG

ECHO is ﬁrmly committed to this way of working and to translating it into programming

and speciﬁc initiatives.

DG ECHO’s work can only be implemented thanks to our humanitarian partners’

commitment, dedication and tireless work. We will stand by their side and work together

to put our approach into practice. We look forward to continuing our collaboration, and

creating a more prepared and resilient world.

Ms Paraskevi Michou

Director General

DG ECHO

DG ECHO Disaster Preparedness Guidance Note

Executive Summary

Over the past two decades, the nature of

humanitarian crises has gradually become more

protracted, unpredictable and complex. Crises

are increasingly exacerbated by factors such

as climate change, environmental degradation,

rapid urbanisation and industrialisation, and

by the overlaps between disasters, conﬂict

and fragile situations. Faced with these new

challenges, the humanitarian community

- including DG ECHO - needs to adjust its

practices and tools in order to provide a more

eﬀective early response.

As the humanitarian landscape has changed,

international agreements such as the Sendai

Framework for Disaster Risk Reduction

(SFDRR), the Paris Agreement for Climate

Change, as well as the Grand Bargain have

been adopted. They have redeﬁned the

international community’s commitment

towards reducing disaster risk, ﬁghting climate

change and improving the eﬀectiveness

and eﬃciency of humanitarian action.

Concurrently, the European Commission (EC) has renewed its commitment to

strengthening the resilience of partner countries and to increasing the impact

of its external action through the Joint Communication on Resilience in 2017

As a result of these developments, and the changing humanitarian landscape,

DG ECHO decided to review and renew its work on disaster preparedness and

promote a risk-informed approach to humanitarian action. This Guidance Note

presents DG ECHO’s new approach and its practical application. It is intended to

be a dynamic document, and will be continuously updated to address changes

in the operational environment.

DG ECHO views preparedness as being critically important for the quality

and timeliness of response operations, as well as being a way of improving

anticipation, thus complementing humanitarian assistance in saving lives,

reducing suﬀering and pre-empting or decreasing humanitarian needs. DG

ECHO recognises that disaster preparedness applies to all forms of risk, ranging

from natural hazards and epidemics to human-induced threats such as conﬂict

and violence. Understanding and anticipating such risks is essential in order

to deﬁne the needs that they might generate and to design and implement

eﬀective preparedness actions and response operations. All humanitarian

action therefore needs to be informed by risk assessment and analysis, which

should consistently complement a needs-based approach.

1. 2017 Joint Communication - A Strategic Approach to Resilience in the EU’s External Action.

Civil Protection and

Red Cross volunteers

trained under the

Disaster Preparedness

programs funded by DG

ECHO perform a rescue

operation, Haiti.

In line with the above, DG ECHO promotes the mainstreaming of a preparedness

and risk-informed approach in all its response operations. This approach helps

to systematically strengthen the capacity of ﬁrst responders to be prepared for

further problems or aershocks while responding to a crisis. It also helps to risk-

proof response interventions by designing them in a way that reduces immediate

and imminent risks. To complement its mainstreaming eﬀorts, DG ECHO also

supports targeted preparedness actions as a speciﬁc way of strengthening

preparedness for the early response to a hazard and/or threat (e.g. establishment

of early warning systems, development of contingency plans and Standard

Operating Procedures, emergency prepositioning of stock, etc.).

Strengthening the capacity of local actors

, involving aﬀected people in the design

and implementation of activities, and sensitivity to gender, age and diversity,

as well as conﬂict dynamics, are critical elements of both mainstreaming and

targeted preparedness actions. Similarly, the eﬀects of climate change and

environmental degradation are increasingly integrated into all interventions

in recognition of their role as risk multipliers. Protection and respect for

humanitarian principles are integral to all DG ECHO funded interventions.

As illustrated by this Guidance Note, DG ECHO supports a very broad range of

single sector and multi-sector interventions. Importantly, all these interventions

are ﬂexible in nature as they adjust to the context in which they are being

implemented and, as such, they respond to actual needs, risks and challenges

on the ground.

Humanitarian actors are DG ECHO’s primary partners

in the implementation of both mainstreaming and

targeted preparedness actions. In recognition of the

importance of the humanitarian-development-peace

(HDP) nexus for achieving sustainability and promoting

resilience, DG ECHO will continue to work closely with

all European Union (EU) services aiming to promote

complementarity and mutual reinforcement between

humanitarian and development initiatives – in particular with the Directorate

General for International Partnerships (DG INTPA) and with the Directorate General

for European Neighbourhood Policy and Enlargement (DG NEAR). A nexus approach

needs to be the backbone of preparedness and resilience. Concurrently, DG ECHO is

increasingly engaging with a variety of actors, including other donors, climate and

environmental organisations, academic, scientiﬁc and research institutes, ﬁnancial

institutions, private sector bodies, and civil protection mechanisms, through the

European Union Civil Protection Mechanism (UCPM).

Finally, alongside its commitment to support risk-informed humanitarian action, DG

ECHO is equally committed to ensuring that its humanitarian action is evidence-

based and generates learning, which then feeds into its humanitarian policy and

practice, so that they remain relevant.

2. Local refers to both national and local government actors, civil society, academia, private sector and communities.

“

Protection and respect

for humanitarian principles are

integral to all DG ECHO funded

interventions.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

DG ECHO Disaster Preparedness Guidance Note

1. Introduction

The purpose of this Disaster Preparedness

(DP) Guidance Note is to present and

explain DG ECHO’s disaster preparedness

and risk-informed approach. It aims to

help humanitarian partners, DG ECHO staﬀ,

the staﬀ of relevant Commission services,

and other stakeholders concerned with

DP, to implement the approach through

interventions funded by DG ECHO and other

forms of collaboration with DG ECHO.

This Guidance Note replaces the 2013 DG

ECHO Thematic Policy Note on Disaster Risk

Reduction (DRR)

and sets out DG ECHO’s

policy and operational recommendations for

the years to come. However, it is intended to

be a dynamic document that will continuously

be updated to reﬂect changes and emerging

challenges in humanitarian contexts.

The Guidance Note is structured into 7 Chapters and 4 Annexes. Following a

brief introductory chapter, Chapter 2 presents the international and EU policy

frameworks in which DG ECHO’s preparedness work and risk informed approach

are grounded.

Chapter 3 and 4 explore the diﬀerent components of the DP and risk-informed

approach, and introduce the two main implementation modalities – mainstreaming

and targeted preparedness. Chapter 5 then introduces the nexus approach to

preparedness and complementary implementation modalities.

Chapter 6 provides a broad overview of those actions that DG ECHO considers

as preparedness and includes operational recommendations. It also gives a

series of concrete examples of preparedness actions that can be implemented

by partners.

Chapter 7 emphasises the need to gather evidence and to learn from partners’

preparedness interventions and risk-informed approaches.

Finally, the Annexes 1 to 3 contain guidance on speciﬁc topics - namely,

mainstreaming preparedness and risk reduction into response operations, crisis

modiﬁer and global priorities 2021-2024 for the DP Budget Line. Annex 4

contains a list of resources and tools to explore further the matters addressed

in this document.

3. DG ECHO Thematic Policy Document n° 5: Disaster Risk Reduction: Increasing resilience by reducing disaster risk in humanitarian

action.

Vietnam: Schoolchildren

participate in a Disaster

Preparedness class

organised by the

NGO PLAN, funded by

DG ECHO. © Cecile

Pichon, June 2011,

DG ECHO.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

2. International and EU

Policy Frameworks

DG ECHO’s work in disaster preparedness is ﬁrmly grounded in international and

EU policy frameworks that provide orientation to DRR, humanitarian assistance,

and climate change. The main frameworks of reference are presented in this

section, others with relevance to speciﬁc issues will be mentioned as necessary

throughout the Guidance.

2.1 International frameworks

2.1.1 Sendai Framework for Disaster Risk Reduction

The Sendai Framework for Disaster Risk Reduction 2015-2030 (Sendai Framework)

is a global non-binding agreement outlining seven targets and four priorities for

action to prevent and reduce existing and new disaster risk. In keeping with DG

ECHO’s principles and risk-based approach to preparedness (see Chapter 5), the

Sendai Framework places strong emphasis on anticipatory risk management and

on a wide scope of action - including small-scale and slow-onset disasters as well

as human-induced, technological, environmental and bio hazards. It also strongly

embraces principles such as protecting people from the risk and impact of disasters

as well as an all-of-society approach, based on non-discriminatory participation, the

empowerment of local communities and increased collaboration among all relevant

stakeholders, including academia, the scientiﬁc community and the private sector.

Importantly, the Framework clearly recognises the “need to further strengthen

disaster preparedness for response, take action in anticipation of events, integrate

disaster risk reduction in response preparedness and ensure that capacities are in

place for eﬀective response and recovery at all levels”

. As such, DG ECHO’s work in

preparedness is a primary contribution to the implementation of Sendai Priority 4:

‘Enhancing disaster preparedness for eﬀective response, and to “Build Back Better”

in recovery, rehabilitation and reconstruction’.

2.1.2 Grand Bargain - the Agenda for Humanity

The Grand Bargain is an agreement of nine commitments

between donors

and humanitarian organisations, launched during the World Humanitarian

Summit (WHS) in 2016, aimed at improving the eﬀectiveness and eﬃciency of

humanitarian aid.

4. Sendai Framework page 21.

5. 1. Greater Transparency, 2. More support and funding tools to local and national responders, 3. Increase the use and coordination

of cash-based programming, 4. Reduce Duplication and Management costs with periodic functional reviews, 5. Improve Joint and

Impartial Needs Assessments, 6. A Participation Revolution: include people receiving aid in making the decisions which aﬀect their

lives, 7. & 8. Increase collaborative humanitarian multi-year planning and funding & Reduce the earmarking of donor contributions;

9. Harmonize and simplify reporting requirements.

DG ECHO Disaster Preparedness Guidance Note

As a signatory of the Grand Bargain, DG

ECHO contributes to the implementation of

all commitments. Its disaster preparedness

approach speciﬁcally aims to increase the

eﬃciency and eﬀectiveness of the response

and it is speciﬁcally relevant to Commitment

N°2 (More Support and Funding Tools to

Local and National Actors) as this helps to

strengthen the capacity of ﬁrst responders

- including national and local governments,

communities, Red Cross and Red Crescent

National Societies and civil society. Reinforcing local capacity is an explicit

objective of DG ECHO, which recognises that the localisation of humanitarian

action is a means for increasing sustainability and strengthening the resilience

of crisis-aﬀected people.

2.1.3 Paris Agreement

The Paris Agreement establishes a long-term goal to limit global temperature

rise to ‘well below 2° Celsius’ and to pursue eﬀorts to limit the rise in temperature

before the end of the century to 1.5°C. In addition to establishing a legally-

binding framework to guide global eﬀorts for this purpose, the Agreement also

aims to increase the ability to adapt to the adverse impacts of climate change

and foster climate resilience. The EU is supporting partner countries to do so,

recognising the critical importance of adaptation and disaster risk management

in the global response to the climate crisis.

Closer to DG ECHO’s mandate, the Paris Agreement recognises the importance

of averting, minimising and addressing loss and damage

associated with

the adverse eﬀects of climate change. The Agreement calls for enhanced

cooperation, action and support in diﬀerent areas, including those in which DG

ECHO operates, such as early warning systems, and emergency preparedness.

6. https://unfccc.int/wim-excom

“

DG ECHO’s disaster

preparedness activities are ﬁrmly

grounded in international and EU

policy frameworks that provide

orientation in DRR, humanitarian

assistance, and climate action.

Thanks to improved

coordination mechanisms

between diﬀerent levels

of administration,

professional rescue teams

sent by the municipality

also form part of the

disaster management

mechanism – travelling

by boat to reach

remote villages such

as Tigdaranao. © EU/DG

ECHO/Pierre Prakash

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

2.1.4 The Agenda 2030 and the Sustainable Development Goals

The 17 Sustainable Development Goals (SDGs), adopted in 2015, form a plan

to achieve a better and more sustainable future for all. They address global

challenges, including poverty, inequality, food insecurity, climate change,

environmental degradation, peace and justice. DG ECHO’s actions contribute to

many SDGs, in particular SDG 13 on climate change, which is directly linked to

disaster preparedness and early action.

With the adoption of the European Green Deal in 2020 and its overall resilience and

recovery approach, the European Commission is contributing to the 2030 Agenda for

Sustainable Development.

2.2 EU policy frameworks

2.2.1 Preparedness and DG ECHO’s Mandate

Preparedness is embedded into DG ECHO’s mandate as provided by the Council

Regulation No 1257/96 of 20 June 1996. Article 1 mentions that ‘aid shall also

comprise operations to prepare for risks or prevent disasters or comparable

exceptional circumstances”. Furthermore, Article 2.f stipulates that operations

should ensure preparedness for risks of natural disasters or comparable exceptional

circumstances and use a suitable rapid early warning and intervention system.

In line with these articles, support for better preparedness has been gradually

mainstreamed in the majority of DG ECHO funded humanitarian aid programmes.

Preparedness and risk reduction concerns are included in all DG ECHO thematic

humanitarian aid policies, namely: Cash; Disability; Education in Emergencies; Food

Assistance; Gender; Health; Nutrition; Protection; Shelter and

Settlements; and Water, Sanitation and Hygiene.

In 1996, DG ECHO created a dedicated programme

and budget line to strengthen preparedness capacities

in partner countries: the Disaster Preparedness ECHO

Programme, DIPECHO. Initially rolled out in the Caribbean

region, the programme was progressively expanded to

eight regions

. DIPECHO has allowed DG ECHO to support

its partners in strengthening the quality, timeliness and

eﬀectiveness of a more localised

humanitarian response,

and it has shown that investing in preparedness and risk

reduction is eﬃcient and contributes to saving lives

. In

addition to community-based interventions, DIPECHO

has helped to design national and regional platforms for

practitioners which allow them to regularly discuss best

practices and lessons learnt.

Since 2015, the DIPECHO approach has focused more strictly on disaster

preparedness and early action to avoid overlaps with long-term development

instruments used for disaster risk reduction. The programming was streamlined

7. Caribbean, Central America, South America, South East Asia, South Asia, Central Asia and Southern Caucasus, Southern Africa

including the Indian Ocean, and the Paciﬁc. Even though never formally qualiﬁed as a DIPECHO project, a similar approach

was developed in the Horn of Africa, which focused on drought from 2006 to 2012 before it was embedded in the countries’

interventions and linked to the resilience agenda.

8. Reﬂecting the localisation agenda, “localised” here refers to the capacity of in-country actors, both at national and local level.

9. Cf. also international studies such as the Centre for Climate Research - CICERO’s document Disaster Mitigation is Cost-Eﬀective..

DG ECHO’s mission is to preserve lives,

prevent and alleviate human suﬀering

and safeguard the integrity and dignity

of populations aﬀected by a crisis. DG

ECHO’s protection mandate is also to

encourage and facilitate cooperation

between the 33 EU Members and

participating States in the EU Civil

Protection Mechanism (UCPM) in order

to improve the eﬀectiveness of systems

for preventing and protecting against

natural, technological or human-induced

disasters in Europe.

DG ECHO Disaster Preparedness Guidance Note

around ﬁve priorities

and the funding

allocation agreed in accordance with country

or regional strategies.

DIPECHO evaluations

recommended a more

focused and coherent multi-year preparedness

strategy in countries where operations were

taking place. Speciﬁcally, they highlighted the

critical importance of: i. increasing support

to strengthen the capacity of Disaster Risk

Management authorities to complement the

support given to communities, which was

the main focus of DIPECHO interventions; ii.

improving risk/vulnerability analysis as the

basis for preparedness programming; and iii.

strengthening collaboration with development

actors. Additionally, all the evaluations

highlighted the need to increase coordination

with Civil Protection bodies, including the UCPM.

The 2021 renewed DG ECHO DP approach recognises and builds on the multiple

strengths of the DIPECHO programme and its pioneering role in supporting disaster

preparedness via a community approach, by linking community-based approaches

with national and regional systems. It also provides guidance on how to implement

evaluation recommendations and improve coherence and eﬀectiveness.

2.2.2 European Consensus on Humanitarian Aid

The European Consensus on Humanitarian Aid which was adopted in 2007,

is the core policy framework that guides the EU’s humanitarian action,

ensuring that it complies with humanitarian principles

. The Consensus clearly

recognises the increasingly complex, multi-hazard/threat nature of current

crises, and takes into account the multiplying eﬀect of climate change, and the

overlapping of disasters and situations of conﬂict and fragility. The Consensus

also acknowledges that preparedness is essential to saving lives and enabling

communities to increase their resilience to shocks and, therefore, capacity

building in this area is viewed as an integral part of EU humanitarian action.

2.2.3 European Communication on Humanitarian Action

The Communication from the Commission to the European Parliament and the Council

on the EU’s Humanitarian Action: New Challenges, Same Principles (2021) places a

clear emphasis on the need for preparedness and anticipatory action in responding

to climate impacts and addressing environmental concerns through humanitarian aid.

Preparedness is viewed as integral to humanitarian action and a key element of the

broader, longer-term disaster risk reduction agenda. In this respect, the Communication

highlights how the humanitarian-development-peace nexus approach as a primary

vehicle by which to achieve the complementary objectives of disaster risk reduction

and preparedness. The Communication also underlines how anticipatory approaches to

10. 1. Linking Relief Rehabilitation and Development (LRRD) – Disaster Preparedness as part of recovery strategies - opportunities

to build back better; 2. Recurrent and predictable crises - National DP systems, contingency planning and surge models into

key services - e.g. health (epidemic), food security, shock responsive safety nets; 3. Urban preparedness with an emphasis on

mega cities, hence including Asia and the LAC region; 4. Ongoing crises or situations of fragility - early response mechanisms;

5. Institutional partnership with UCPM in support of CP administrative agreements.

11. 2013 Global, 2013 Central Asia, 2016 Latin America and Caribbean, and 2017 Southern Africa and Indian Ocean.

12. The principles of humanity, neutrality, impartiality and independence.

Nepal: 3 years aer

the earthquake,

DanChurchAid conducts

regular awareness

sessions on Disaster

Risk Reduction with local

communities © European

Union 2018 (photo by

Pierre Prakash)

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

humanitarian action can help to bolster community resilience, including that of forcibly

displaced people, in regions vulnerable to climate-related and other hazards.

2.2.4 European Consensus on Development

The European Consensus on Development (2017) frames the action of EU

institutions and Member States (MS) in their cooperation with all developing

countries. Responding to the Agenda 2030, the Consensus includes assistance

to populations and countries aﬀected by disasters (natural and human-induced

hazards and threats) among its core objectives. The Consensus clearly mentions

the key role of preparedness in reducing risk, and strengthening resilience to

withstand and recover from shocks and disasters (Article 70), in accord with the

Sendai Framework.

2.2.5 EU Joint Communication on Resilience

The Joint Communication, A Strategic Approach to Resilience in the EU’s external

action (2017), strongly positions resilience as a central priority of the EU’s external

action, and establishes better anticipation, risk reduction and disaster preparedness

as integral components of the EU’s approach. The Communication explicitly states

that resilience requires risk-informed programming for responses to all crises and

situations of fragility. With risk reduction at their core, the EU’s resilience approach

and the Sendai Framework are complementary and mutually reinforcing.

2.2.6 The European Green Deal

The European Green Deal (2019) aims to make Europe the ﬁrst climate-

neutral, climate-resilient and environmentally sustainable continent by 2050

through a series of actions and measures underpinned by the core principles of

environmental sustainability, climate neutrality and climate resilience.

The vision of the European Green Deal is also expected to guide the external

action of the EU, including in humanitarian aid. Mainstreaming preparedness,

as well as climate and environmental concerns, in humanitarian action will

increase resilience among those who receive EU Aid.

2.2.7 EU Adaptation Strategy

As an essential element of the European Green Deal, the interface between climate

change and DRR is also central to the EU Adaptation Strategy. This strategy

includes an external dimension (i.e. related to non-EU countries) for the ﬁrst time,

in recognition of the interconnectedness of risks as well as the EU’s responsibility

to help the most vulnerable, including those most aﬀected by climate change. The

new strategy also responds to the need for better preparedness and has dedicated

measures on anticipatory action: climate change adaptation is about understanding,

planning and acting to prevent the impacts in the ﬁrst place, minimising their

eﬀects, and addressing their consequences.

DG ECHO Disaster Preparedness Guidance Note

This section presents DG ECHO’s Preparedness and Risk Informed Approach.

It is critical that, when working together, DG ECHO and humanitarian partners are

on the same page in terms of the language they use, given that there may be

diﬀerences in emphasis in the broader humanitarian sector. It is also important to

keep in mind that the meaning and application of the approach, and some of its key

elements, may continue to evolve.

DG ECHO recognises that the eﬀectiveness of a response depends on investments

in preparedness, as a component of risk management. It also recognises that a

risk-informed approach is crucial to reduce the humanitarian needs caused by risks.

To this end, it seeks to mainstream preparedness and a risk-informed approach in

all of its response operations. And as a complementary measure, it also promotes

targeted preparedness actions as a speciﬁc way of strengthening preparedness

for response and early action.

Although preparedness and risk-prooﬁng are intrinsic to humanitarian action, DG

ECHO acknowledges that development actors play a key role in scaling up and

complementing these interventions, and thus ensuring their long-term sustainability.

As such, DG ECHO promotes a nexus approach with development actors as the

primary implementation modality for preparedness and risk

reduction and seeks concrete opportunities to promotethis

way of working.

While this chapter focuses on DG ECHO’s mainstreaming

and targeted preparedness approach, the nexus approach

is discussed in greater detail in Chapter 5, together with

other implementation modalities.

3.1 Disaster Preparedness

Preparedness allows for an early and eﬃcient response

and therefore helps to save lives, reduce suﬀering and pre-

empt or decrease the extent of needs. In this way it lessens

the impact of a hazard and/or threat and contributes to

resilience. In particular, DG ECHO views preparedness as a

way to promote

anticipatory actions, early response,

and ﬂexibility

which are critical to managing disasters

(see box for deﬁnition) more eﬃciently and eﬀectively,

and mitigating their impact.

Disaster preparedness is ‘the knowledge and capacities

developed by governments, response and recovery

organizations, communities and individuals to eﬀectively

3. Preparedness & Risk

Informed Approach

Disaster

DG ECHO’s deﬁnition of the term

disaster

includes all events, as follows:

• Natural hazards such as earthquakes,

cyclones/hurricanes, storms, tsunamis,

ﬂoods and drought;

• Conﬂict and violence;

• Disease outbreaks and epidemics, such

as Ebola or Covid-19;

• Technological and industrial hazards.

DG ECHO mainly interprets disasters

as humanitarian crises, which are

understood by the European Commission

as events or series of events which

represent a critical threat to the

health, safety, security or wellbeing of

a community or other large group of

people. A humanitarian crisis can have

natural or human-induced causes, can

have a rapid or slow onset, and can be of

short or protracted duration.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

anticipate, respond to and recover from the impacts of likely, imminent or current

disasters’ (UNDRR, 2017). DG ECHO embraces this deﬁnition and understands

preparedness as an important component of the larger work on Disaster Risk

Management.

Although preparedness does not address the structural causal factors of disasters, it

complements the longer-term risk management strands (Prevention, and Recovery)

that sit within a developmental approach and are within the remit of other services

of the European Commission.

As a humanitarian donor, DG ECHO views ‘hazardous events’ as encompassing

both natural hazards and human-induced threats. It views

preparedness as relevant to all types of hazards and

threats in a given context.

3.2 Risk Informed Approach

EU Humanitarian Aid aims to support people in addressing their

needs and managing the risks they face. As such, a sound assessment of these needs

has to be carried out, based on evidence and regular updates, and factoring in an

accurate assessment of the risks people face. In line with the 2016 World Humanitarian

Summit’s commitment to anticipate and better manage risks and crises, a needs-

based approach must consistently integrate risk assessment and analysis.

This allows existing and potential risks to be evaluated and action taken before a crisis

hits or a situation deteriorates, thus reducing suﬀering and humanitarian needs.

DG ECHO’s risk-informed approach therefore implies that all humanitarian actions

are designed based on an assessment and understanding of risks, and are

implemented to respond to and possibly reduce these risks, with the ﬁnal objective

of mitigating their impact.

Risk is “the combination of the consequences of an

event or hazard and the associated likelihood of its

occurrence” (ISO 31010) as deﬁned in the Commission

staﬀ working paper Risk Assessment and Mapping

Guidelines for Disaster Management (2010).

• Hazard/Threat & Exposure:

Depending on

the context and the nature of the hazard, this

dimension of risk may be reduced by measures

including prevention or reducing the occurrence or

extent of the hazard/threat and by reducing the

exposure of people to the impact of the hazard/

threat.

• Vulnerability:

Reducing the vulnerability

of exposed people will reduce their risk.

Vulnerability is not a ﬁxed criterion attached to

speciﬁc categories of people, and no one is born

vulnerable per se. In this regard, it is particularly

important to target the most vulnerable groups,

based on an intersectional analysis (sensitive to

gender, age, disability, ethnicity, displacement

etc.).

• Coping Capacity:

Increasing coping capacity

lowers the level of risk. This covers a very

broad area and requires careful analysis to

target investments in capacity development. It is

closely linked to the development of resilience.

Experiences, knowledge and networks strengthen

the ability to withstand adverse impact from

external stressors. The development of many

elements of capacity (such as communication

and organisational capacities) helps reduce the

risk from a wide range of hazards/threats.

RISK =

VULNERABILITY

COPING CAPACITY

HAZARD

AND/OR THREATS X

Risk

“

EU Humanitarian Aid

aims to support people in

addressing their needs and

managing the risks they

face.

DG ECHO Disaster Preparedness Guidance Note

The concept of risk involves forecasting the probability of future harm. As such, it

involves the capacity for anticipation and dealing with uncertainty.

Eﬀective risk management involves a number of strands, including:

• Prevention (Risk Reduction)

• Preparedness

• Response

• Recovery

These strands are closely connected and overlapping, as illustrated in the graph below.

DG ECHO’s support focuses primarily on preparedness and response. Within these

strands, DG ECHO applies a risk-informed approach by:

• Mainstreaming preparedness in, and risk-prooﬁng, response operations

by integrating risk reduction measures (henceforth referred to simply as

‘mainstreaming’);

• Targeted preparedness actions (see chapter 6 for a detailed overview of

targeted preparedness actions).

Both ‘mainstreaming’ and ‘targeted preparedness’ actions are based on a

comprehensive risk assessment. Similarly, risk assessment is key to the design

of eﬀective anticipatory actions, which are another important element of a

risk-informed approach. The following sections focus on risk assessment,

anticipatory action, mainstreaming and targeted preparedness.

Graph 1. Risk management strands

PREPAREDNESS

PREVENTION

TIME

RESPONSE

RECOVERY

ANTICIPATORY

ACTION

DG ECHO Disaster Preparedness Guidance Note

3.2.1 Risk Assessment

Risk assessment must be the basis for designing interventions and should be

considered an integral part of all humanitarian action. Risk assessment should always

be context-speciﬁc, examining each situation individually, thus avoiding generalisations

or assumptions, and with a view to generating information that is precise enough to

inform programming decisions. Particularly relevant for humanitarian action are the

following key questions to guide the assessment:

• What are the main hazards/threats faced by people in their context, and what

level of impact or consequences do these have?

• How likely is the hazard/threat to occur (i.e. probability)?

• What level of exposure do people have to these hazards/threats?

• How vulnerable are people to these risks, noting that diﬀerent groups have

diﬀerent vulnerabilities?

• What is the coping capacity of the community?

As far as is practicable, a risk assessment should be conducted from the perspective

of the aﬀected population, thus ensuring their engagement in the analysis, decision-

making and implementation of the assessment itself. It should identify risks related

to speciﬁc hazards and threats and each component should be disaggregated to a

detailed level. It should reveal the speciﬁc dynamics of the situation and help identify

ways that interventions can reduce the associated risks. Risk assessment and risk

analysis should be a continuous process, rather than taking place only at

ﬁxed points within the programme cycle.

Data for risk assessments can come from commercial and open-source

satellite images and maps

, project reports from national and international

13. Low Resolution free imagery: https://www.sentinel-hub.com/ (ESA Sentinel 2/3 imagery and NASA Landsat 8); Medium

Resolution commercial imagery: Planet Labs; High Resolution commercial imagery: DigitalGlobe; Historical data available at:

Google Earth Pro, Yandex, Bing.

TARGETED

PREPAREDNESS

RISK INFORMED

HUMANITARIAN

ACTION

Exposure

RISK

Hazard

Vulnerability

socio-economic

Lack of coping

capacity

Gap analysis

Anticipatory actions

Strengthening

Preparedness within

a response

Risk-prooﬁng of response

Build Back Better (BBB)

Greener humanitarian

response

EWS

Contingency planning

Stockpiling

Capacity building

Graph 2. Risk Informed Humanitarian Action

DG ECHO Disaster Preparedness Guidance Note

environmental agencies, local knowledge, environmental assessments, national/

international environmental databases, wildlife and ﬁsheries management

plans, development plans, and land tenure records

, climate trends, projections

and adaptation options

Considering the unfolding climate and environmental crisis, analysis of current and

future risks stemming from both climate change and environmental degradation

should be included in all risk assessments to identify interlinkages and priorities

for action in speciﬁc contexts. Although their causes can be diﬀerent, the result

of environmental degradation (i.e. environmental hazards) can be the same

as that of climate-related hazards, and they

can be made more severe by climate change.

For example, climate change can increase the

risk of landslides through increased heavy

rain over time. Deforestation, particularly on

hillsides, can also increase the risk of landslides

by destabilising the soil. Furthermore, climate

change impacts and environmental degradation

can also exacerbate existing tensions, increasing

risk of conﬂict and can therefore be seen as

“threat multipliers”

. As such, risks should not

only be assessed individually but their interacting

nature should also be considered, to identify so-

called ‘compounding’ risks, for example that of

climate and environment crises interacting with

conﬂict risk, and compounding vulnerabilities.

Multi-risk analyses can make use of diﬀerent

context-speciﬁc environmental data sources,

e.g. climate data, the location of protected

areas, vegetation/land cover, measurements

of pollution (including information on areas

where there are hazardous and toxic materials),

topographical and hydrological data, biodiversity

levels, the availability of natural resources, and

natural hazard data

Finally, it should still be a priority to ensure the

meaningful participation and involvement of

meteorological agencies (governmental and

non-governmental), climate organisations and

research institutes, civil society (including aﬀected

communities), grassroots associations, academia,

voluntary work organizations, and aﬀected

populations, including the most vulnerable,

marginalized and exposed groups, in designing

and carrying out an eﬀective and comprehensive

risk assessment. This, in turn, increases the

ownership of preparedness measures and

mechanisms implemented to counter the risks

that have been jointly identiﬁed.

14. https://ehaconnect.org/preparedness/environmental-situation-analysis/how-to-guide/

15. World Bank Climate Change Knowledge Portal.

16. EU, 2008. Paper from the High Representative and the European Commission to the European Council: Climate Change and

International Security. S113/08, 14 March 2008.

17. https://ehaconnect.org/preparedness/environmental-situation-analysis/how-to-guide/

“

Considering the unfolding

climate and environmental crisis,

analysis of current and future

risks stemming from both climate

change and environmental

degradation should be included

in all risk assessments to identify

interlinkages and priorities for action

in speciﬁc contexts.

This is a drill in which

recently trained brigades

perform rescue operations

saving people from

collapsed buildings during

a ﬁre in Nicaragua’s

capital Managua.

Red Cross

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

3.2.2 Anticipatory or Early Action

Anticipatory or Early Actions (AA and EA) are taken

when a disaster is imminent (or, in the case of a slow-

onset disaster, when it is about to reach a peak).

Therefore, they are carried out before a crisis occurs, or

before a signiﬁcant development within a crisis. Early

actions are implemented according to a pre-determined

protocol, which describes the activities to be undertaken

and pre-agreed triggers established on the basis of

historical and current forecast analysis. Ahead of a

crisis, forecasts are combined with risk, vulnerability and

exposure indicators to develop an intervention map, and

dedicated funds are deﬁned to be quickly released when

pre-agreed thresholds are reached. Anticipatory action

thus reduces the vulnerability of aﬀected communities

and strengthens their capacity to manage an emergency

and to safeguard their assets. As such, anticipatory

action is integral to risk management as it helps pre-

deﬁne needs and respond to them more eﬀectively, and

thus reduce the impact of a hazard or threat on lives and

livelihoods. In so doing, it complements preparedness as

part of an eﬀective response and, as such, it is also part

of preparedness. Anticipatory action is further discussed in section 6.2.

Early Response

(ER) refers to actions that are undertaken right aer a disaster

occurs. Anticipatory (or early) action is diﬀerent from ‘early response’ insofar as

the former begins before the hazard and/or threat strikes whereas the latter begins

aer it has struck. “In contrast to anticipatory action, early response is based on an

evidenced hazard/threat and observable rather than forecasted needs and does not

require pre-agreed implementation plans”

3.2.3 Mainstreaming Preparedness and Risk Prooﬁng Response Interventions

In line with a risk-informed approach, DG ECHO aims to risk proof its humanitarian

response interventions by mainstreaming preparedness and integrating risk

reduction measures. The objective is to make humanitarian assistance more

eﬀective, while increasing the coping capacities and resilience of communities

at risk, and ultimately reducing the need for external assistance. Except in

duly justiﬁed cases, preparedness actions should therefore be systematically

mainstreamed into humanitarian operations to strengthen the capacity to

respond to a crisis within a crisis (e.g. sudden ﬂoods during a conﬂict) or any

recrudescence or aershock.

To make humanitarian action more eﬀective, response interventions should be

designed to reduce immediate and imminent risks, and not add new risks (the

‘do no harm’ principle). By

risk-prooﬁng

humanitarian interventions, they are

protected against imminent hazards and threats

. Risk-prooﬁng considerations

should be speciﬁcally interpreted according to the local context, the nature of

the hazardous/threating event and tailored to the best suited humanitarian

18. For DG ECHO anticipatory actions and early actions are the same concept. In this guidance, they will be used interchangeably,

so in the paragraph 6.2 on anticipatory actions we refer also to early actions.

19. https://cerf.un.org/sites/default/ﬁles/resources/CERF_and_Anticipatory_Action.pdf

20. For example: ensuring water points are located above high water levels in ﬂood-prone areas so they are not damaged by ﬂoods

or incorporating adequate ﬁre-protection in shelter.

Floods risk assessment

and anticipatory actions

Ahead of ﬂooding peaks, it is possible

to quickly disburse unconditional multi-

purpose cash grants and distribute

non-food items to transport goods

and purify water. The potential at risk

population and high-risk areas of action

should be pre-selected on the basis of a

risk and vulnerability assessment ahead

of the disaster. Targeting should be

adjusted once the hazard impact area can

be forecast more concretely. For reference

see examples in Bangladesh (July 2020)

by the World Food Programme (WFP) and

the Bangladesh Red Crescent Society.

Note: This action was supported through DG ECHO’s

funding via IFRC’s Disaster Relief Emergency Fund

(DREF).

DG ECHO Disaster Preparedness Guidance Note

action. Risk reduction measures, however, remain relevant to every sector of

humanitarian assistance. Before and during their implementation, it is important

to consider the linkages between sectors. Further guidance on preparedness

and risk prooﬁng of response operations can be found in the humanitarian

policies of DG ECHO, mentioned in section 2.2, as well as in Annex 1.

In addition to speciﬁc guidance on how to integrate preparedness and risk

reduction into humanitarian assistance, DG ECHO has developed two tools, the

Resilience Marker (RM), and the Crisis Modiﬁer (CM) (see Annex 2), to ensure that

programming is risk-informed and that there is a greater degree of ﬁnancial

ﬂexibility in humanitarian action in order to respond to crises within crises.

The Resilience Marker is included in the DG ECHO electronic Single Form (eSF)

and allows partners to verify whether their programming is eﬀectively based

on a systematic analysis of risks, and how the action addresses these risks and

avoids creating new risks from the design stage. The Crisis Modiﬁer promotes

systematic consideration of preparedness through the integration of a ﬂexible,

early action component to address, in a timely manner, immediate and life-

saving needs resulting from a rapid-onset crisis or a deteriorated situation

within a DG ECHO-funded action.

The priorities and funding for humanitarian response operations are included

in the regional and/or country Humanitarian Implementation Plans (HIPs),

regularly published by DG ECHO.

21. For example, although a drought is a slow onset crisis, it could trigger acute malnutrition rapidly.

Women experts reaching

remote communities

in Nicaragua. ©EU

2013- Photo credits:

EC/DG ECHO/Silvio

Balladares

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

3.2.4 Targeted Preparedness Actions

Targeted preparedness refers to actions taken in

advance of a hazardous and/or threatening event

and aimed at improving the eﬀectiveness of the

response to it. This can involve, for example,

the development of early warning systems,

reinforcing the link between early warning and

early action, the development of contingency

plans, anticipatory actions, the emergency

prepositioning of stock, and overall capacity

building for early action/early response, etc.

The Disaster Preparedness Budget Line is

DG ECHO’s dedicated source of funding

for

targeted preparedness actions at regional and

country levels. It allows support for preparedness

to be extended beyond DG ECHO’s regular

humanitarian funding modalities.

As of 2021, the DP Budget Line is structured

around a set of global priorities, for a period of

ﬁve years, in order to maximise the strategic

use of this funding, and bring more focus and

coherence to DG ECHO’s support to disaster

preparedness across regions. Regional and

country actions will have to mirror one or more

of these priorities, while ensuring that they are

tailored to the speciﬁc needs of local contexts

(country and/or regional level). The 2021-2024

priorities are detailed in Annex 3, which will be

regularly updated as the priorities evolve.

The DP Budget Line replaces the previously available DG ECHO Preparedness

Programme (DIPECHO). The DP Budget Line is allocated under the Humanitarian

Implementation Plans HIPs), complementing the budget dedicated to humanitarian

response operations. Funding for humanitarian response and for preparedness is

managed under the same framework to provide a more coherent and cohesive

approach, and to further mainstream preparedness into humanitarian assistance.

22. EUR 75 million in 2021.

Emergency Toolbox

The Emergency Response Coordination Centre

(ERCC)’s instruments include the Emergency

Toolbox, which is a fund that speciﬁcally provides

humanitarian assistance to respond to fast-onset

crises that could not be foreseen in DG ECHO’s

humanitarian implementation plans.

Three of

the four tools within the Toolbox can be used for

disaster preparedness

as well as response:

• The Small-scale Tool is used to assist a limited

number of people (< 100,000) aﬀected by a

natural hazard or human-induced disaster.

This includes the deployment of preparedness

activities. All DG ECHO partners can access

these tools by submitting a proposal through

the DG ECHO electronic Single Form.

• The Epidemics Tool is used to prevent and

respond to epidemic outbreaks, and is available

to all DG ECHO partners through the DG ECHO

electronic Single Form.

• The IFRC’s Disaster Relief Emergency Fund

(DREF) and Forecast-based Action by DREF

provide National Red Cross and Red Crescent

Societies with funds for early action or for

response.

DG ECHO Disaster Preparedness Guidance Note

Humanitarian principles

The humanitarian principles of humanity, neutrality, impartiality and independence,

enshrined in the European Consensus on Humanitarian Aid, guide DG ECHO’s disaster

preparedness activities, which are an integral part of humanitarian action. The

humanitarian projects that DG ECHO funds aim to preserve life, and prevent and

alleviate suﬀering. They also have to adhere to the do no harm principle to avoid

exposing people to additional risks.

Multi-hazard and multi-threat

Crises are becoming more complex, with natural hazards increasingly overlapping

with human-induced ones, or with unprecedented biological hazard situations like the

COVID-19 pandemic in 2020. Consequently, preparedness applies to any type of crisis

and covers all types of risks, from natural and biological hazards, to human-induced

threats, such as technological hazards (e.g. industrial), conﬂict and violence.

People centred

For DG ECHO, humanitarian action starts with aﬀected people and communities.

Interventions aim to meet, or contribute to meeting, the basic needs of aﬀected

populations, addressing needs in a demand-driven way. DG ECHO acknowledges

that eﬀective humanitarian action requires the participation of, and accountability

towards, aﬀected people. DG ECHO also recognises that, in addition to needs and

vulnerabilities, aﬀected people - including ﬁrst responders - have the capacity to

manage the risks they face.

Humanitarian projects must be people-centred,

prioritising their impact on people’s lives and

livelihoods. By promoting this approach, DG ECHO

contributes to strengthening people’s resilience

and ensures that preparedness and response

measures address the needs of all, without

barriers, so that no one is le behind.

In pursuing its people-centred approach, DG

ECHO will take note of the provisions in the Grand

Bargain and good practice as elaborated in the

Core Humanitarian Standard.

4. Key Elements of the

DG ECHO Preparedness

and Risk-Informed Approach

With funding from

DG ECHO, PAH is

implementing and

coordinating water

and sanitation related

projects,as well as

improving preparedness

in emergency prone areas

of South Sudan. ©Tomasz

Woźny / PAH

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

Gender, age and diversity sensitivity

Integrating gender and age enhances the quality of humanitarian programming,

in line with the EU’s humanitarian mandate. Aid that is not gender- and age-

sensitive is less eﬀective. It risks not reaching the most vulnerable people or failing

to respond adequately to their speciﬁc needs. Furthermore, a comprehensive

understanding of vulnerabilities must take an intersectional approach, considering

multiple aspects of diversity, which can intersect with gender to produce multiple

discrimination and exacerbate vulnerability

. These aspects inﬂuence the impact

that crises have on people, as they aﬀect both vulnerabilities and capacities, and

hence their exposure to risk. This means that risk assessment, and the associated

preparedness and response measures, must fully factor in the particular

characteristics of diﬀerent groups (age, gender, ability, ethnicity, social status,

etc.) and their circumstances (rural, urban, displaced, wealth and income).

Conﬂict sensitivity

DG ECHO recognises that violence and conﬂict are either a key driver or a risk

multiplier in many crises. Hence, all interventions should adopt a conﬂict sensitive

approach. Conﬂict sensitivity is deﬁned as the ability of an organization to understand

the context in which it is operating, and the interaction between the intervention

and the context, and thus avoid negative impacts and maximise positive impacts

The Centrality of protection

All humanitarian actors need to take protection into account in their programming

- in line with the Inter-agency Standing Committee (IASC) Principals’ statement on

23. DG ECHO Thematic Policy N° 6, Gender: Diﬀerent Needs, Adapted Assistance.

24 Adapted from International Alert et al., 2004. Conﬂict-sensitive approaches to development, humanitarian assistance and

peacebuilding: a resource Pack. London: International Alert

In Vanuatu, Disaster

Preparedness measures

in such small and isolated

communities take

time and eﬀort but the

appreciation expressed by

the communities for such

assistance is heartfelt.

and photo credits: EC/DG

ECHO/Mathias Eick

DG ECHO Disaster Preparedness Guidance Note

the Centrality of Protection which emphasises the importance of protection and

contributing to collective protection outcomes in all aspects of humanitarian action.

Protection should be central to humanitarian preparedness eﬀorts, and should be

taken into account throughout the duration of the humanitarian response and beyond.

Strengthening local capacity

Anticipatory action and enhanced predictability of response can only be achieved if

local

preparedness and response capacities are in place as per the Grand Bargain

commitments. Therefore, preparedness actions must strengthen ﬁrst responders’

capacity to act as locally and as early as possible.

While recognising the importance of capacity

strengthening within communities, and of

maintaining a strong focus on it, DG ECHO

appreciates that it needs to be well anchored, and

should complement the capacity of state disaster

management systems at the national and local

levels as much as possible. A system wide approach

is encouraged to ensure linkages and simultaneous

capacity-building at community and governmental

level, whenever possible, whilst respecting the do no

harm principle, and other humanitarian principles.

Context speciﬁcity

Local context is crucial in shaping risks, vulnerabilities, capacities and the needs of

populations and countries aﬀected, or with a potential to be aﬀected, by a crisis.

Preparedness interventions should therefore always respond, and be adapted, to the

context, including in the choice of target beneﬁciaries and partners.

Climate change and environmental degradation

Climate change and environmental degradation are risk multipliers

. Climate change

is increasing the frequency and severity of both sudden-onset and slow-onset

climate-related hazards

. This, in turn, is increasing humanitarian needs and posing

greater challenges to humanitarian action (e.g. scale or geographical distribution). It

is increasingly clear that environmental degradation can also trigger signiﬁcant and

protracted humanitarian crises, e.g. by exposing human food systems to increased risk

of failure through droughts or by increasing the risk of the re/emergence of zoonotic

diseases and increasing human exposure to diseases. In addition, climate change is

an accelerating factor in environmental degradation, including land degradation and

biodiversity loss. The impact of climate change and environmental degradation can

also exacerbate existing tensions, increasing the risk of conﬂict. As current and future

climate change and environmental degradation may increase the risks faced by people

in aﬀected areas, and may jeopardise the eﬀectiveness of interventions themselves,

these phenomena should be accounted for in humanitarian action. See section 6.11.1

on climate and environmental resilience interventions.

25. Local refers to both national and local government actors, civil society, academia, private sector and communities. It also

includes international partners working in country in support of preparedness and response systems.

26. EU, 2008. Paper from the High Representative and the European Commission to the European Council: Climate Change and

international security. S113/08, 14 March 2008.

27. IPCC, 2013: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fih Assessment Report

of the Intergovernmental Panel on Climate Change. [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels,

Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 1535 pp.

“

Protection should be

central to humanitarian

preparedness eﬀorts, and should

be taken into account throughout

the duration of the humanitarian

response and beyond.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

The implementation and eﬀectiveness of disaster preparedness interventions relies on

cooperation with key actors, notably development and peace actors. In this light, when

mainstreaming and in targeted preparedness actions, DG ECHO will work in a nexus

approach with development and peace actors, and will establish and/or strengthen

partnerships with key stakeholders and with the UCPM. This chapter provides an

overview of the implementing modalities that complement mainstreaming and

targeted preparedness.

5.1 Humanitarian Development Peace (HDP) Nexus

The recurrent, protracted and complex nature of many crises re-enforces the

importance of designing interventions that address development and peacebuilding

challenges as well as humanitarian needs. This can be done through the Humanitarian

Development Peace (HDP) nexus approach, which is based on the shared vision and

collective eﬀort of the EU, its Member States, and its partners, and stems from the 2017

Council Conclusions: “the Council stresses the importance of investing in prevention

and addressing the underlying root causes of vulnerability, fragility and conﬂict while

simultaneously meeting humanitarian needs and strengthening resilience, thus reducing

risks”. Within this, resilience is a central objective of EU development and humanitarian

assistance.

DG ECHO fully adheres to the nexus approach and the idea of engaging with development

and peace actors in preparedness activities, and throughout humanitarian operations,

in order to increase their sustainability and promote resilience.

DG ECHO’s preparedness actions, be they mainstreamed or

targeted, need to be undertaken in a way that complements and/

or reinforces ongoing or future, relevant development initiatives.

DG ECHO funded preparedness actions should therefore, whenever

possible, include an exit strategy that addresses the issues of

scaling up and integrating elements into longer-term risk reduction

and development interventions. This entails the establishment of

a close relationship, and the sustained exchange of information

and coordination between DG ECHO and the European Commission

development services (DG INTPA and DG NEAR) at both HQ and

ﬁeld levels, as well as between partners. Partners with experience

and expertise across the humanitarian and development spectrum,

including in conﬂict zones, are particularly well placed to support the

design and implementation of mutually-reinforcing humanitarian-

development interventions, and bringing together funding from

humanitarian and development donors.

5. Complementary

implementing modalities

Nexus in practice:

an example

from Chad

Close coordination between

development and humanitarian

interventions in Chad has been

underway for several years.

For example, DG ECHO and DG

INTPA are working together

to deliver nutritional services

to children and to establish

a uniﬁed social register for

ambitious social safety nets

that strengthen food security.

DG ECHO Disaster Preparedness Guidance Note

A joint crisis context analysis is an essential step of

a nexus approach, allowing risks and vulnerabilities

to be identiﬁed, and humanitarian and development

actors to deﬁne entry points/areas for collaboration,

complementary action and mutually-reinforcing

initiatives. Joint post-crisis needs assessments can

also help to facilitate dialogue and promote the

systematic integration of preparedness, risk and

vulnerability concerns into both humanitarian and

development interventions.

The targets set out by the EU Neighbourhood,

Development and International Cooperation

Instrument (NDICI) 2021-2027 for climate, migration

and human development show that climate change

resilience among the most vulnerable populations

is a priority for the Commission. As such, the

Instrument provides a framework for DG ECHO

and the development services of the Commission

(namely DG INTPA and DG NEAR) to work in a

complementary manner in the areas of disaster

preparedness and risk reduction.

In line with this approach, DG ECHO will:

• Encourage and support dialogue, information exchange and coordination

between humanitarian, development and peace actors at headquarters and

country levels;

• Support the development and use of a common analysis framework covering

context, needs and risk analysis and, where possible, support joint assessments

and joint planning, in a manner compatible with humanitarian principles;

• Support a multi-year NDICI planning and programming cycle to counter the

multi-year funding gaps that have been faced in the past;

• Support the development of key complementary preparedness interventions

that underpin this approach, notably early warning and early action measures;

• Promote further complementary action in Disaster Risk Finance (DRF)

ensuring that it meets the needs of aﬀected communities and engagement

of civil society organisations (CSO)

. Particularly, DG ECHO will explore and

support collaboration to leverage the ﬁnancing of social protection mechanisms,

where they exist (see also section 6.5 on Shock Responsive Social Protection)

and Forecast-based Financing (see also section 6.1 on Early Warning Systems

and 6.2 on Anticipatory Action as examples of collaboration areas). DG ECHO

is also currently assessing its organisational readiness regarding risk-transfer

instruments, such as ﬁnancial insurance/micro-insurance, to create and ﬁnance

insurance schemes to complement development-funded insurance solutions, as

an additional mechanism for mitigating the impact of shocks at household level;

28. Disaster Risk Finance (DRF) includes “ﬁnancial protection strategies that increase the ability of national and local governments,

homeowners, businesses, agricultural producers, and low income populations to respond more quickly and resiliently to disasters”

(aer World Bank). It helps minimise the cost and optimise the timing of meeting post-disaster funding needs without compromising

development goals, ﬁscal stability, or wellbeing. DRF promotes comprehensive ﬁnancial protection strategies and market-based

disaster risk ﬁnancing and insurance solutions (such as sovereign catastrophe risk transfer solutions for governments or domestic

catastrophe risk insurance for public and private assets) to ensure that governments, homeowners, small and medium-sized

enterprises, agricultural producers, and people in the most vulnerable situations (especially youth and women) can meet post-

disaster funding needs as they arrive.

29. For more on DRF tools and the engagement of civil society organisations: Ensuring impact: the role of civil society organisations

in strengthening World Bank disaster risk ﬁnancing (UK Aid, Mercy Corps, Oxfam - 2019).

As part of a disaster

preparedness project

that aims to increase the

resilience of Mongolian

herders, the EU’s

partner, People in Need

(PIN), created an SMS

service that provides the

herders with weather

forecasts and data on

pasture degradation.

This allows them to take

precautionary measures

and manage their herds

more eﬀectively when

there is a harsh winter

(known as ‘dzud’).

Pierre Prakash

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

• Encourage initiatives to leverage funding across the humanitarian, development

and peace boundaries to invest in national capacities and systems to enhance

ﬁrst responders’ ability to operate across the nexus divides, while building self-

reliance and reducing their dependence on external intervention.

Embedding DG ECHO-funded humanitarian projects in a nexus approach ensures that

the hand-over to our development partners is more ﬂuid. This can only beneﬁt the

sustainability of these projects and help to guarantee that exit strategies are successful.

5.2 Partnerships

In addition to strong partnerships with humanitarian actors, DG ECHO seeks to develop

synergies and complementarity through new partnerships, fostering a coordinated

approach where needed, while allowing space for creative and critical dialogue in

relation to policy development and implementation. DG ECHO brings the following

assets to this process:

• Its convening power as one of the world’s largest humanitarian donors;

• Its role as a reference donor and advocate;

• Its support for learning and the development of policy and good practice.

DG ECHO will engage with a broad spectrum of key actors and stakeholders

, such as:

• Other donors, both those that are like-minded and those with diﬀerent

perspectives;

• Non humanitarian multi-lateral organisations, including the relevant UN

agencies and the World Bank;

• Climate and environmental experts/organisations;

• Organisations working with indigenous people;

• Academic, scientiﬁc, research and policy development institutes;

• Private sector bodies, particularly those involved in risk management;

• Security and military actors, in line with international humanitarian civil military

coordination guidelines and recommended practices

DG ECHO recognises that there is potential value in cooperation

between the scientiﬁc and academic community and the

humanitarian sector in all phases of humanitarian aid, from

disaster preparedness to needs assessment and early recovery.

This type of partnership can be particularly relevant in improving

understanding of current and emerging risks, for example

those related to climate change, as well as in the enhancement

of technical innovation for both preparedness and response

activities.

DG ECHO will increase exchanges with operational and research

partners, to ensure that its policy continues to evolve.

DG ECHO will also increase the timeframe of some of the existing partnerships

through the establishment of Programmatic Partnerships

, which address the

30. Development actors within the European Commission (i.e. DG INTPA, NEAR and the EEAS) are not listed here as they are

considered included already as partners in the Nexus approach.

31. www.unocha.org/fr/themes/humanitarian-civil-military-coordination

32. Programmatic partnerships have been piloted with NGO partners since 2019. As of 2021, they will also be piloted with UN

Agencies, IFRC and ICRC.

“

DG ECHO will increase

exchanges with operational

and research partners,

to ensure that its policy

continues to evolve.

DG ECHO Disaster Preparedness Guidance Note

Grand Bargain commitments to increase predictability and the provision of multi-

year funding. Programmatic partnerships are a speciﬁc operational modality: for

NGO partners under the DG ECHO Humanitarian Certiﬁcation; for UN agencies

under the Financial and Administrative Framework Agreement - FAFA; for the

International Federation of Red Cross and Red Crescent Societies (IFRC) and the

International Committee of the Red Cross (ICRC) under their respective Framework

Partnership Agreement

Furthermore, coordination with security and military actors will take place in

accordance with humanitarian principles. Coordination of this kind can be particularly

useful in humanitarian emergency and disaster situations which require capabilities

that are only available from the military community, and that civilian bodies can

request as a last resort. In this regard, DG ECHO will continue to promote and

support eﬀective Humanitarian Civil-Military Coordination (CMCoord) at the global

level (with the UN and other donors) and within the EU.

New types of partnerships can also be explored under the funding available

for targeted preparedness, particularly with emerging innovative actors in

the humanitarian domain such as the Start Network. Another avenue for new

partnerships and exchanging knowledge between risk management actors is the

Union Civil Protection Knowledge Network.

Finally, Team Europe Initiatives have shown promise in tackling many COVID-19

pandemic response challenges. Enhanced coordination with Member States on

prevention and preparedness globally or in speciﬁc contexts is also seen as an

opportunity for more eﬃcient preparedness and response.

33. As of 2020, the Humanitarian Certiﬁcation substitute the Framework Partnership Agreement (FPA).

15 kilometers further

down the river Shokhdara

the village of Kulev, did

not beneﬁt from projects

covered under the EU

disaster preparedness

programme (DIPECHO).

Here the impact of

naturals disasters hitting

an unprepared village is

clearly visible.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

5.3 Union Civil Protection Mechanism (UCPM)

DG ECHO’s mandate is also to encourage and facilitate cooperation between EU

Member States and the six participating States (currently: Iceland, Norway, Serbia,

North Macedonia, Montenegro, and Turkey) in the Union Civil Protection Mechanism

(UCPM) in order to improve the eﬀectiveness of systems for preventing and

protecting against natural, technological or human-induced disasters in Europe.

The UCPM comprises civil protection actors at

national and local level of EU Member States and

participating countries outside the EU.

The UCPM is active in disaster preparedness

(e.g. development of early warning systems,

emergency planning, risk awareness,

institutional and professional capacity building)

and can, thus, share expertise and collaborate

with humanitarian actors. For example, given

the aim of the Union Civil Protection Knowledge

Network, to improve linkages between

humanitarian and civil protection actors, DG

ECHO can disseminate lessons learnt and good

practices to all Member States through the

UCPM Lessons Learnt Programme and its other

activities.

The UCPM also includes a tool that is of particular

relevance to risk reduction and preparedness:

prevention and preparedness missions

(also

called advisory missions). These advisory

missions can be of particular beneﬁt to improve

preparedness strategies as well as to promote

a ‘build back better’ approach. They can provide

tailored expertise and recommendations on

preparedness at the request of a national

government or the United Nations and/or its

Agencies.

Additional support, in particular to respond to

identiﬁed gaps in the areas of transport and

logistics, is made available via the Union Civil Protection Mechanism and DG ECHO’s

24/7 Emergency Response Coordination Centre (ERCC).

34. The term prevention is used as it is part of the oﬃcial name of the advisory missions as stipulated in the Civil Protection

legislation.

Members of the local civil

protection committee

beneﬁted from disaster

preparedness activities

to help them prepare and

respond to future natural

events in South America.

Alvaro de Vicente

DG ECHO Disaster Preparedness Guidance Note

DG ECHO considers preparedness actions to be activities that are carried out within the

context of risk management, and that aim to build the capacities needed to eﬃciently

respond to all types of emergencies and achieve the transition from emergency

response to sustainable recovery.

This chapter outlines a broad range of interventions that DG ECHO considers to be

preparedness actions. This is not an exhaustive list and the interventions themselves

are indicative, as they should always be contextualised to address actual needs, risks

and challenges. A brief description is provided for each action, as the scope of this

Guidance Note does not allow for a more in-depth description. To this end, a list of

resources and tools is available in Annex 4.

6.1 Early Warning System (EWS)

An Early Warning System (EWS) consists of an integrated system of hazard/threat

monitoring, forecasting and prediction, risk assessment, communication and

preparedness activities that enables individuals, communities, governments, businesses

and others to take timely action to reduce disaster risks in advance of hazardous

events

Key components of an EWS are: i. Risk knowledge

(i.e. risk assessment and analysis); ii. Monitoring

of hazards/threats and impact forecasting; iii.

Dissemination and communication of warnings;

iv. Preparedness for response at all levels

(national and community); v. Agreed triggers for

action as per an agreed plan. Each of the above-

mentioned components is needed at all times

as complementary parts of the whole system.

EWSs can be single or multi-hazard/multi-threat, ranging from natural hazards to

violence, epidemiological, nutritional and food security surveillance. More speciﬁc

information on EWSs for violence, epidemics, nutrition and food security is available

in section 6.11.4 and the relevant sector-based sections in Annex 1.

EWSs are a key element of preparedness. They can greatly enhance a response by

enabling actions that help mitigate the impact of a hazard/threat, thus protecting

life, livelihoods, safety, dignity, and potentially reducing humanitarian needs. The

right composition, understanding and dissemination of warning information and the

capacity to act upon such warnings are critical aspects of an EWS. For this reason, it is

essential to establish end-to-end and people-centred EWS, as this helps ensure that

the linkage between producers and users of the warnings is strengthened, and that the

social and psychological aspects of early warning and subsequent actions are taken

into account. Strengthening EWSs at community level remains a critical component

of people-centred preparedness related to any hazard or threat, as long as the EWS is

35. UNDRR terminology 2017.

6. Preparedness Actions

“

The right composition,

understanding and dissemination of

warning information and the capacity

to act upon such warnings are critical

aspects of an EWS.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

community owned and driven. For example, community-based surveillance (CBS),

which involves the systematic detection and reporting of events of public health

signiﬁcance within a community, by community members, plays an important role

in raising the alarm about disease outbreaks. An optimal EWS is one that integrates

and capitalises on the strengths of EWSs at both the community and national

levels, while avoiding mixed signals and competition between them. To this end, it is

essential to anchor a community EWS in the national system; the local government

and the community need to work together, exchanging information and making

the most of the complementary aspects of the two systems. Furthermore, it is

essential to advocate and establish partnerships with actors who assist national

governments in developing and/or strengthening national EWSs in order to support

them in establishing people-centred EWSs that are tailored and closely linked to

at-risk communities.

6.2 Anticipatory Action

Anticipatory action (see section 3.2.2 for deﬁnition) is a key component of DG

ECHO’s approach to preparedness. Preparing anticipatory actions requires some

essential steps, such as: a comprehensive analysis of risks and forecasts, the

establishment and/or strengthening of EWSs, the design of pre-agreed Early

Action Protocols deﬁning triggers for actions and responsibilities, and the

arrangement of ﬂexible funds ready to be disbursed ahead of the crisis. When

successfully implemented, anticipatory action complements

a needs-based approach with a risk-based one, establishing

a platform for humanitarian interventions and protecting

development gains.

Broad partnership is at the core of anticipatory action.

This helps minimise duplication of actions among diﬀerent

stakeholders and deﬁnes their added value. Predictable funding

is also a key element of anticipatory action. For example, pooled funds such as

Country-Based Pooled Funds (CBPF - UN OCHA) or global pooled anticipation

and response funds with so allocation methodology

(Forecast-based Action

by the Disaster Relief Emergency Fund - DREF

, Start Fund

) can play an

important role in providing predictable ﬁnancing. Furthermore, anticipatory

action also allows a potentially broader range of interventions that are not

strictly humanitarian and, therefore, can represent an opportunity to attract

funding from, and engage with, development actors.

For the eﬀective implementation of anticipatory actions, accountability and

capacity need to be fostered at the local level, for instance, through the

decentralisation of funds, and strengthening capacity to monitor and interpret

EWS.

Finally, it must be highlighted that anticipation is not a panacea. Whilst evidence

is increasingly showing that this can be an eﬀective approach to sudden- and

slow-onset disasters, with accurate forecasts, more evidence is needed to

demonstrate that the approach adds value in other contexts. Along with building

an evidence base, it is also important to continuously monitor the eﬀectiveness

of anticipatory action in order to inform future action.

36. So allocation methodology: guidelines or criteria exist but decisions are made on a case-by-case basis rather than using

automated triggers (Risk-informed approaches to humanitarian funding - Using risk ﬁnance tools to strengthen resilience. ODI

2020).

37. More information here.

38. More information here.

“

Broad partnership is

at the core of anticipatory

action.

DG ECHO Disaster Preparedness Guidance Note

The following are examples of anticipatory action:

• The CARE-led consortium Supporting Flood

Forecast-based Action and Learning in

Bangladesh (SUFAL) aims to strengthen

impact-based forecasting and early warning to

trigger early actions and funding before ﬂoods

take place. Anticipatory actions have included

food and non-food relief, stockpiling medicines,

providing cash transfers and scaling up social

protection mechanisms.

• The Mongolian Red Cross Society, with the

support of the British Red Cross, distributed

cash grants and animal care kits to herder

households in the areas most at risk from the

severe weather of dzud

(December 2017 -

January 2018).

• Before a cyclone strikes, anticipatory actions

include rapidly evacuating people whose lives

and livelihoods are at stake. It is also possible

to reinforce housing or other infrastructure to

either allow vulnerable people to stay at home (if safe enough), or to help

them return more quickly. This helps to limit the amount of displacement that

is caused by extreme weather events, which are becoming more frequent due

to climate change. In Bangladesh, the government-led Cyclone Preparedness

Programme is collaborating with the Bangladesh Red Crescent Society to save

people at risk during events like Cyclone Amphan (May 2020).

• Before the eruption of a volcano, health and livelihoods protection kits can be

distributed, and multi-purpose cash transfers can be put in place. The Ecuador

Red Cross implemented anticipatory actions of this kind in September 2020

aer predicting a high probability of ash fall in 6 provinces.

6.3 Logistics

Logistics is crucial for all humanitarian action and addressing logistics capacity is

one of the main elements of preparedness. Strengthening logistics preparedness can

signiﬁcantly improve ﬁrst responders’ capacity at national and local level, ultimately

reducing the need for international mobilisation and generating a positive return on

investment. Additionally, achieving better logistics capacity and eﬃciency through

preparedness can contribute to the localisation agenda

by upskilling local partners,

suppliers, and local authorities, and sourcing products locally. It may also bring secondary

beneﬁts, such as a reducing the environmental footprint of humanitarian operations.

All logistics capacity-development actions should be based on a strategic assessment

of risk and of existing logistics capacities and challenges at country/regional level, from

government to populations at risk. For example, it is key to understand the supply

chains and logistics that underpin local market performance or the infrastructure

related challenges (such as quality of the road network, airports/ports, electricity and

telecommunications capacity) that could hamper operations.

39. Mongolian term for a unique climatic phenomenon where severe drought is followed by an extreme winter.

40. DG ECHO is currently exploring the possibility of developing a logistics policy.

41. This responds to the Grand Bargain commitment on localisation.

In Bangladesh, disaster

preparedness, disaster

risk reduction and

resilience have been

priority areas of EU-

funded interventions.

Communities have been

trained to prepare for

potential hazards.

Mallika Panorat

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

A key consideration to improve eﬃciency in logistics is that of stockpiles of relief goods,

ideally prepositioned and available in suﬃcient quantity so that time and expenses

are minimised in responding to an emergency. Additionally, impact and eﬃciency may

be improved through, for example, joint ventures in procurement, transport, storage

and delivery of goods, including the provision of common services (for instance, by

standardising them or by signing standard pre-agreements with potential service

providers), and/or the pooling of assets. Where contexts allow, cash transfers should be

used as an eﬀective modality for the delivery of assistance and to help reduce logistics

challenges for humanitarian actors (for more on cash transfer and preparedness, please

refer to section 6.6).

Greater eﬃciency in logistics can also contribute to reducing the environmental impact

of humanitarian operations

through measures that optimise the supply chain for better

and smarter, more eﬃcient aid delivery - including greater disaster preparedness, pre-

positioning of stock, pooling of resources, and localisation. The cascading environmental

beneﬁts of “greened logistics” may include a reduction of carbon emissions, reduced

waste, opportunities to promote recycling and improvements to the quality and

standard of items provided to the aﬀected population such as biodegradable or more

durable items.

6.4 Strengthening Capacity

DG ECHO recognises the importance for ﬁrst responders to have the right skills,

tools, and institutional and operational capacities to implement eﬀective and timely

response. Therefore, developing and/or strengthening preparedness capacity should

42. For more information on logistics and environmental impact: Groupe URD (INSPIRE consortium). Environmental Footprint of

Humanitarian Assistance - Scoping Review (2020). Additionally, how to reduce the environmental impacts of humanitarian aid

more comprehensively is covered in a separate upcoming Guidance Note.

Mapping risks in

remote Bull Sirpi. © EU

2013- Photo credits:

EC/DG ECHO/Silvio

Balladares

DG ECHO Disaster Preparedness Guidance Note

feature as a cross-cutting element of all preparedness interventions. All capacity

strengthening eﬀorts should be in line with national policies and promote their

implementation. It is critical to involve all ﬁrst responders in determining which

capacities should be strengthened, not only to ensure ownership of the process,

but also because these actors oen have clarity on what strengthening could and

should look like.

National and local authorities and disaster management services are the main

duty-bearers in response operations. As they are not eligible for direct funding by

DG ECHO, they should be key targets for the DP capacity-strengthening actions of

DG ECHO humanitarian partners.

Local civil society has an important role to play in the implementation of

DP interventions and should systematically be involved in their design and

implementation. Moreover, DP actions should not only provide sound capacity

strengthening opportunities, but also support local civil society actors to take a

greater lead. Building equal partnerships within the local system is important to

understand the local culture, context, language and needs. Through the Survivor

and Community-Led Responses (SCLR) approach, for example, survivors and

local communities are able to point out issues that are key in identifying core

vulnerabilities or that can oen be under-recorded when designing preparedness

actions. This, in turn, serves to strengthen preparedness and resilience. Similarly,

Red Cross & Red Crescent National Societies are relevant DP stakeholders and the

capacity building eﬀorts of DG ECHO’s partners should seek to strengthen their

capacities. Capacity-strengthening of the local population through community-

based disaster preparedness programmes should also remain a key focus of

DG ECHO partners, leveraging on existing knowledge. For example, the IFRC has

developed speciﬁc tools to strengthen the capacity of National Societies, such

as the Preparedness for Eﬀective Response (PER) approach. The end goal of the

PER is to strengthen local preparedness capacities to ensure timely and eﬀective

humanitarian assistance.

Since knowledge is empowerment, when it comes to preparing for hazards and

threats, capacity strengthening in preparedness can also include, in addition to

training programmes and drill exercises, advocacy and awareness raising activities

at national and local level to encourage a culture of safety. For more on this, see

section 6.10.

6.5 Shock Responsive Social Protection (SRSP)

Social protection (SP) is deﬁned as a broad range of public and sometimes private

instruments to tackle the challenges of poverty, vulnerability and social exclusion

(European Commission 2015)

. Improving social protection systems in terms of

their coverage of the population, their adequacy and the range of needs they

support is valuable in itself, as it reduces vulnerability, minimising the impact of

shocks. By being shock responsive, social protection systems can reduce immediate

needs when a crisis occurs. Therefore, social protection can play an important role

in the context of growing hazards/threats, shocks and stresses and a primary role

in complementing humanitarian eﬀorts and meeting the needs of most vulnerable

households and individuals, such as persons with disabilities, indigenous people,

single households, children, youth, and the elderly, as well as displaced people,

43. Supporting Social Protection Systems. Tools and Methods Series, Concept Paper No. 4, European Commission (2015) in EU

SPaN guidance (2019).

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

including refugees and internally displaced

persons (IDPs). This can be achieved in

many diﬀerent ways before, during and aer

any given shock – and in the long term in

anticipation of future events.

Investment in establishing social protection

systems does not fall within DG ECHO’s

responsibility in contexts with rather strong

national SP systems (mostly in Medium-

Income Countries and High-Income

Countries). In crisis-prone settings with

nascent national SP systems (such as in most

Low-Income Countries), however, system

strengthening is recommended in line with

EU nexus commitments and as laid out in the

2019 OECD Triple Nexus Recommendation

This may be achieved through advocacy/

dialogue with development actors, based on

evidence developed in humanitarian settings.

DG ECHO can play a key role in contributing

to laying the foundations of robust SP

schemes by linking key humanitarian

interventions across all key sectors (such as

direct cash assistance, health/nutrition care,

protection or education) to national system

building eﬀorts aimed at providing free of

charge, quality, inclusive and shock-sensitive

services and assistance.

In crisis-prone countries with operational SP systems, DG ECHO can play a critical

role in including an anticipatory dimension to the systems. This could entail setting

up a pre-agreed standard operating procedure, tied to pre-deﬁned funding sources

and triggered when a speciﬁc forecast threshold is reached before a potential

hazard/threat event materializes.

6.6 Cash Preparedness

The use of cash transfers for humanitarian response is a policy priority for DG ECHO.

Cash transfers oﬀer beneﬁciaries dignity, choice and ﬂexibility. Given its multi-purpose

nature, cash is also central to a people-centred approach.

Investments in cash preparedness can drive increased eﬃciency and eﬀectiveness of

cash transfers by ensuring that analysis, agreements and elements of programme

design are in place prior to a shock. Cash preparedness should encompass both of the

following elements:

1. Organisational preparedness: ensuring that organisations have the systems,

procedures and human capacities to rapidly deliver quality cash assistance at scale;

2. Programmatic preparedness: conducting vulnerability, feasibility and risk assessments;

44. OECD, DAC Recommendation on the Humanitarian-Development-Peace Nexus: OECD/LEGAL/5019: adopted by the DAC on

22 February 2019. The aim of Nexus being: reducing people’s needs, risks, and vulnerabilities supporting prevention eﬀorts and

shiing from humanitarian assistance to ending need. A common set of 11 principles was adopted.

What does Shock Responsive

Social Protection (SRSP) require?

1. A system (to embed Disaster Risk Management/a

Contingency Plan in the system mandate, strategies

and activities). A pre-requisite for further integrating

shock responsive programming under preparedness

interventions is the solidity of the systems or ongoing

investments in strengthening system capacity and

coverage. The more developed (“mature”) the system

is, the better it is for humanitarian action to support it.

2. Designing Scalability (Where - geographic coverage?

When - triggers? Who? Which households - targeting?

How much? How oen? For how long?).

3. Established and eﬀective EWS with dedicated and

understood triggering mechanisms for releasing

additional funds, supply and resource.

4. Contingency plan with “buy in” from all actors

expected to be involved in the response.

5. Institutional arrangements including eﬀective

coordination mechanisms (especially linking disaster

risk information systems to Social Protection and

Health information systems).

6. Financing to be readily available and accessible when

needed.

DG ECHO Disaster Preparedness Guidance Note

mapping and monitoring market functionality; deﬁning pre-agreements with ﬁnancial

service providers and setting up cash information management systems. Anticipatory

cash transfers need to be embedded in a pre-agreed standard operating procedure,

tied to pre-deﬁned funding sources, and triggered when a speciﬁc forecast threshold

is reached. Timely, eﬀective and scalable use of cash as part of anticipatory action is

dependent on the cash preparedness activities outlined above.

Cash preparedness should also involve mapping the elements of existing social protection

programmes that can be utilised and/or linked with humanitarian cash assistance. The

analysis of these programmes should assess their readiness to respond to shocks

through cash assistance and identify points for convergence. Cash preparedness can

contribute to SRSP by improving the comprehensiveness, coverage and adequacy of

existing cash-based social safety nets. Areas of potential linkages as part of cash

preparedness include: identifying opportunities for using common or interoperable

registries of vulnerable households, pre-agreements on beneﬁciary selection criteria

and required documentation (particularly for households not currently enrolled in safety

nets); and building the interoperability of systems to facilitate rapid payments, whilst

ensuring data protection requirements.

DG ECHO expects partners to actively coordinate

on cash preparedness and contingency planning,

under the leadership of the Cash Working Group

and in coordination with key social protection

actors. This should include joint feasibility and

risk assessments. Unfortunately, strategic

coordination of cash transfers is currently still

ad-hoc as it does not ﬁt into the humanitarian

architecture. Predictable, accountable

coordination of humanitarian cash remains

a key challenge

. In line with DG ECHO’s

global disaster preparedness priorities (for the

2021-2024 priorities refer to Annex 3), the

speciﬁc opportunities (e.g. market functionality,

availability of digital transfer mechanisms)

and challenges (e.g. targeting, stakeholder

coordination) of cash preparedness in urban

contexts should be considered.

6.7 Institutional, Policy and Legislative Frameworks

National and local institutional, policy and legislative frameworks speciﬁc to

preparedness and response are critical to ensuring that eﬀective and timely response

operations can take place. Institutional and legal barriers may hamper response

capacity and it is important to identify these and the relevant mitigating measures

that address related issues.

For instance, all the institutions involved in preparedness and response should have

clear institutional mandates (i.e. roles and responsibilities), legal power of action and

adequate resources (funding and skills) to fulﬁl these mandates. Similarly, coordination

mechanisms and other inter-institutional arrangements should be well deﬁned to

facilitate collaboration and information ﬂow, and avoid gaps in the response.

45. See in particular: the World Bank Strategic Note prepared in 2016 for the Principals of the IASC; and ODI 2020 Grand Bargain

annual independent report.

A resident of La

Esperanza (Nicaragua)

shows a map drawn by

the community to deﬁne

the areas most at risk,

the safest spots and the

threats to the village. ©

EU 2013 - EC/DG ECHO/

Silvio Balladares

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

The availability of domestic ﬁnancial provisions through, for example, the

establishment of Contingency or Emergency Funds (national/local or community

level) for ﬁrst level response interventions, is also a critical requirement to support

the response to crises. Limited resources are frequently a constraint. Comprehensive

disaster risk ﬁnancing measures therefore need to be developed including alternative

and forward-looking solutions, and access to non-domestic ﬁnancing mechanisms.

Policies and laws deﬁne and support institutional and

ﬁnancial arrangements, allowing them to become

operational. Appropriate policies and legislation,

which respect humanitarian principles and promote

all-of-society inclusion and participation, should be

established to facilitate eﬀective response.

Reviewing and strengthening relevant domestic

institutional arrangements, laws and policies is a critical

element of overall good governance for preparedness

and response, integrating them or at least ensuring consistency and complementarity

with similar national and local frameworks for disaster risk management.

DG ECHO partners can support national and local authorities in improving these

institutional, legislative and policy frameworks that are speciﬁc to preparedness and

response where appropriate, relevant and necessary, in collaboration with development

actors working on speciﬁc institutional, legislative and policy measures for DRR.

6.8 Information Management, Data and Technology

Information plays a key role in shaping preparedness and response operations. To this

end, risk assessment (section 3.2.1) is an essential tool for providing information about

the risks to which a population and/or a geographical area are exposed. Vulnerability

assessments complement them in estimating the vulnerabilities and capacities of the

at-risk communities. The technology available for information management is evolving

very rapidly and oﬀers a wide range of tools with increasing power to assist in preparing

for and responding to disasters.

Disaster loss databases, for instance, which compile historical disaster data, can help to

understand risk based on trends and patterns on the impact of disasters, and evidence

of existing hazards, vulnerabilities and exposure. All data should be disaggregated by

age, gender and other context-speciﬁc vulnerability criteria (e.g. disability, or ethnicity).

Consequently, hazard maps need to be layered and triangulated with exposure,

vulnerability and capacity data in order to prepare for and potentially anticipate

disasters and threats. This can be achieved using mapping and analytics platforms that

provide location intelligence, such as GISs geographic information systems).

Given climate-related drivers, it is essential to take into account all available scientiﬁc

information. For example, through collaboration with national hydro-meteorological

services, information can be gathered on national or local climate trends and national/

regional climate projections, and this can be used to guide anticipatory preparedness

and climate-smart planning. Tools such as Copernicus, the European Union’s Earth

observation programme, can support preparedness and response by providing open

and free-of-charge data that helps to identify risks and prevent damage and loss of

life. Copernicus’ satellite Earth and in-situ (non-space) observations can also be used to

calibrate and conﬁrm risk models for insurance systems.

“

Policies and laws are what

concretely deﬁne and support

institutional and ﬁnancial

arrangements, allowing them to

become operational.

DG ECHO Disaster Preparedness Guidance Note

A regular challenge is the disconnect between data availability and analysis, decision-

making and anticipation or response. Thus, in order for humanitarian stakeholders or

national/local authorities to be ready to eﬀectively deploy data tools before a crisis,

the focus must be placed also on data preparedness. In other words, it is important to

ensure that the evidence needed to inform a response will be available quickly enough.

Readiness of data means, for example, improving the

coordination of data collection among local organisations for

key datasets, such as historical impact data for early warning

systems. At-risk communities must be involved throughout

data collection and analysis, both as a source of information,

and also to ensure that ﬁrst responders have the information

that they need to act eﬀectively.

Before a crisis hits, it is also essential to have an adequate

decision support system in place to make scientiﬁcally veriﬁed

decisions and to enhance the ability of local authorities or

humanitarian actors to eﬀectively anticipate and respond to

disasters.

During an emergency, using an emergency management

information system (e.g. web-based tools and social media

monitoring) helps to provide frontline responders with detailed,

real-time information that allows informed decisions to be

made. Moreover, the use of new technology, such as drones, is

increasingly being explored to provide accurate and updated

3D risk-mapping information in pre-crisis contexts in order to

inform preparedness activities, and in post-crisis contexts to

obtain rapid information to support response activities (for

example, to obtain rapid assessments/hazard monitoring and

mapping). Along with the physical deployment of drones, an

operating system capable of processing large amounts of

data in real time and providing objective information needs

to be in place to adequately inform this delicate decision-

making process.

Finally, humanitarian actors must ensure that the highest

standards are respected in the protection of beneﬁciaries’

Using drones to

prepare for disasters

in Madagascar and

Mozambique

WFP has strengthened the capacity of the

National Institute for Disaster Management

(INGC) in the use of unmanned aircra

systems (UASs). It has provided drones, as

well as equipment and licenses for data

processing, and the necessary training

to collect, process and analyse data.

Support was also provided to develop

standard operating procedures for the

use of drones for disaster preparedness

(risk mapping) and emergency response

(rapid assessments/hazard monitoring and

mapping). The INGC has set up a drone

unit within its operating oﬃce, which was

fully operational during the response to

cyclones Idai and Kenneth in March 2019,

and supported humanitarian operations on

the ground.

For more info:

https://ec.europa.eu/echo/ﬁeld-blogs/photos/

using-drones-prepare-disasters-madagascar-

and-mozambique_en

www.youtube.com/watch?v=_-

kW1TvJLzM&feature=youtu.be

Drones are used in the

Sofala province to map

the extent of the damage

aer cyclone Idai, in

Mozambique. © European

Union 2019/Christian

Jepsen

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

personal data

. Some sets of data, such as displacement data, can be sensitive,

especially in contexts aﬀected by conﬂict. In keeping with the principle of ‘do no harm’,

personal and non-personal data must be handled in a way that avoids misuse and any

associated risks. Furthermore, humanitarian actors should ensure that Data Protection

Impact Assessments are systematically run when the processing of personal data is

likely to involve speciﬁc risks in relation to the rights and freedoms of data subjects.

6.9 Contingency Planning

National, local and community contingency planning can

contribute to the eﬀective and eﬃcient management of

response operations. A well-developed contingency plan

helps ensure that all relevant decisions and provisions

related to required resources (human, technical, ﬁnancial,

and material), roles and responsibilities, coordination

mechanisms, information/communication management

and logistics in all relevant sectors are taken in advance,

agreed and well understood by all relevant actors. The

process of developing the plan can be in itself beneﬁcial

as it facilitates the identiﬁcation of capacity gaps (human

and ﬁnancial resources, technical skills, supplies, etc.) that

need to be ﬁlled and supports dialogue and collaboration

among all actors involved. In the interest of ownership

and accountability, contingency planning - whether at

national, local or community level - must be an inclusive

and participatory process that engages all ﬁrst responders.

A contingency plan can address single or multiple hazards

and threats. Preferably, the plan should be multi-risk or

at least consider compounding risks and the interaction

between risks in order to foresee the action that might

be necessary to respond comprehensively to them. In this

respect, a contingency plan should account for existing

risks, as well as how these might change in the future,

thus taking into consideration factors such as climate

change or environmental degradation. The plan should also integrate and/or link to

Early Action protocols - if these exist - or foresee the inclusion of opportunities for

anticipatory action or forecast-based ﬁnancing.

Contingency planning can be broken down into ﬁve essential steps: prepare, analyse,

develop, implement and review

. All the preparedness interventions described in

this chapter contributed to one or more of these steps, with a critical link to EWS and

triggers to activate the plan. It is important to highlight, however, that the existence of

a contingency plan is not, in itself, a guarantee of eﬀective and coordinated response,

unless the plan is actively and eﬀectively communicated and applied. A way to ensure

this is to undertake dissemination, regular updating and simulation exercises, which

should be seen as integral to the development of the plan itself.

Finally, the preparedness and response capacity of humanitarian partners is a

critical element in supporting communities and governments in strengthening their

own capacity.

46. For further guidance: ICRC - Handbook on Data Protection in humanitarian action.

47. IFRC - Contingency Planning.

Preparedness

of the International

Humanitarian System

DG ECHO supports the Emergency

Response Preparedness (ERP) approach

of the Inter-Agency Standing Committee

(IASC). This approach is designed so

that the humanitarian community can

proactively prepare for crises that require

a coordinated international response. The

aim is to increase the speed and volume

of life-saving assistance delivered in the

ﬁrst four to six weeks of an emergency.

The ERP approach provides tools for UN

Country Teams and/or Humanitarian

Country Teams to:

• Understand risks and establish a

system to monitor them.

• Establish a minimum level of

preparedness; and

• Take additional action, including

developing contingency plans, to

ensure readiness to respond to

identiﬁed risks.

DG ECHO Disaster Preparedness Guidance Note

6.10 Advocacy and Awareness

Advocacy and awareness, including risk communication,

play an important role in strengthening preparedness

by increasing knowledge and promoting a culture

of safety among local and national institutions,

communities, civil society organisations (CSOs) -

including faith-based organisations, private sector

organisations, academia, the scientiﬁc community

and all other relevant stakeholders. As such, they

complement activities aimed at strengthening capacity

in preparedness (section 6.4). As awareness of the

importance of preparedness measures increases,

they are more likely to be included in broader national

and local risk management policies and strategies.

Advocacy to promote positive change, and to

inﬂuence the agendas and behaviour of national or

local governments, organisations, or individuals must

be systematically carried out. This can be pursued,

for example, by demonstrating the beneﬁts of

preparedness and thus promoting the improvement

of dedicated legal and institutional mechanisms or

the scaling up of pilot interventions.

Advocacy and awareness-raising activities should

have a clear objective and should be designed

speciﬁcally for their intended audience. They can

aim to leverage the potential of speciﬁc groups,

such as the media or youth, to promote change.

Advocacy and awareness-raising are closely

intertwined and can use a variety of means, such as documents and petitions to

promote accountability mechanisms, or the media (TV, radio, newspapers, social

media), or demonstrations, public events, presentations in meetings and workshops,

or lobbying decision-makers like politicians, government oﬃcials and other key

actors. In order for advocacy and awareness-raising activities to be successful, they

need to use a variety of means at diﬀerent levels. They should equally be used as

a way to increase knowledge about issues/rights and as a way to empower people

and communities to act and express their concerns through activities such as

community-led awareness campaigns (e.g. theatre, community radio, participatory

videos) or the development of awareness materials (e.g. leaﬂets, posters, billboards,

brochures, radio spots).

6.11 Preparedness - Speciﬁc Considerations

6.11.1 Climate and environmental resilience interventions

Climate resilient preparedness and response

As elaborated in the sections on Risk Assessment (3.2.1) and Climate Change and

Environmental Degradation (Chapter 4), climate change is already increasing the

frequency and severity of sudden-onset hazards (e.g. ﬂoods, hurricanes/cyclones/

typhoons, forest ﬁres, heatwaves, etc.) and slow-onset hazards (e.g. droughts, sea

Children playing ISDR

Disaster Risk sensitization

game, a game that

teaches children what

are the risks faced by

their community and how

to best deal with them.

Santa Elena province.

Ecuador. © EU 2010 - EC/

DG ECHO Ivette Velasco

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

level rise, coastal erosion, saliniﬁcation of groundwater, etc.)

It is also threatening people’s ability to maintain weather-

dependent livelihoods (e.g. farming, herding or ﬁshing). This

could jeopardise the eﬀectiveness of interventions themselves.

As such, and in line with the risk-prooﬁng approach discussed

in Chapter 3, the climate resilience of preparedness and

response interventions should be ensured from the outset.

Disaster preparedness that takes into account current and

future climate-related risks would mean, for example:

• Based on climate risk analysis/forecast, identifying

preparedness needs, and updating plans and actions

accordingly. For instance, supporting epidemic outbreak

preparedness (e.g. dengue, malaria, cholera, Covid-19, etc.)

from epidemiological surveillance to vector control;

• Integrating climate risk/impact projections into EWS, triggers and standard

protocols;

• Identifying/constructing/improving community shelters to withstand climate

shocks (particularly more frequent ﬂoods/cyclones);

• Improving evacuation routes and practices (e.g. cyclone evacuation simulations);

• Updating vulnerability and capacity assessments to include climate risk/impact

projections;

• Engaging in awareness-raising and Early Warning Early Action (EWEA) in relation

to heatwaves (e.g. mobile cooling centres, retroﬁtting buildings with features to

reduce heat impact, and nature-based solutions);

• Promoting, improving and increasing capacity in rainwater harvesting (drought

speciﬁc measure);

• Based on climate and environmental risk analysis, and in cooperation with local

and national governments, reviewing sections of contingency plans/guidelines

speciﬁcally dealing with camp management, to ensure that camps are either

planned in safe locations or existing ones are relocated;

• Providing seeds that are resistant to current and future climate shocks and

ensuring that agricultural and livelihoods interventions are adapted to current

and future climatic conditions (sudden- and slow-onset climate change).

Environmental sustainability and environmental resilience

Environmental degradation erodes the ability of ecosystems, such as forest

or coastal ecosystems, to reduce the risk of disasters like ﬂoods or landslides.

It also makes it more diﬃcult for people to recover from the impacts of

disasters, particularly those who directly rely on the natural environment for

their livelihoods. More than 75% of global land cover is already considered

substantially degraded, undermining the well-being of 3.2 billion people; at this

rate, 95% of the Earth’s land could become degraded by 2050

48. IPCC, 2013: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fih Assessment Report

of the Intergovernmental Panel on Climate Change. [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels,

Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 1535 pp.

49. This section outlines how to promote environmental sustainability and environmental resilience in preparedness interventions

and how to leverage preparedness actions to build environmental resilience of communities. An upcoming separate guidance will

be dedicated to how to reduce environmental impacts of humanitarian aid more comprehensively.

50. IPBES, 2019. IPBES Global Assessment on Biodiversity and Ecosystem Services.

In the Philippines,

cyclones and typoons are

so frequent that structural

damage like this needs

to be repaired before the

next typhoon hits.

Jaspers Faijer

DG ECHO Disaster Preparedness Guidance Note

When humanitarian interventions are planned without considering their impact

interaction with, the surrounding environment, this can lead to unintended environmental

degradation, e.g. around refugee settlements, increasing risks for communities, and

undermining their health and well-being. Better planning of interventions can reduce

both their local and the more global environmental impacts. Addressing environmental

concerns as part of preparedness planning lays the foundation for their integration into

humanitarian action

. As such, contingency/response plans can be used to improve the

way that environmental concerns are integrated into operations, and thereby reduce

their environmental footprint by ensuring, for example, that:

• Shelter construction materials, including debris, are reused or recycled;

• Clean/renewable energy and energy eﬃcient solutions are provided;

• Waste is managed responsibly to avoid the dumping of hazardous materials in

environmentally sensitive areas or habitats during the response phase;

• Clearing of stagnant/polluted water and waste from canals is included in

preparedness plans as an activity to be regularly carried out prior to rainy

season, particularly in urban areas.

Other examples of environmental concerns that can be addressed through preparedness

actions are:

• Including ecosystems in environmental emergency preparedness programmes;

• Awareness-raising and capacity-building for communities on sound environmental

management (e.g. proper waste management, preventing conﬂict over natural

resources such as water, preventing deforestation through the provision of clean

energy so that there is no need to cut wood in the surrounding environment);

• Conducting rapid environmental assessments, sourcing sustainable materials for

recovery, and waste management.

Investing in preparedness and in anticipatory/early actions

can, in itself, be a climate and environment-friendly

measure. For instance, preparedness measures can reduce

the need for the transportation of goods, can support less

polluting transport modalities, or can diminish the quantity

of relief items that are needed (through pre-positioning

or localisation), thus also reducing the quantity of waste

that needs to be managed. Other examples include:

• With the objective of reducing emissions and pollution due to transport: i.

Positioning and/or pre-positioning of stocks/supplies in areas which are the

most relevant to reach most at-risk areas (based on risk analysis)

; ii. Pre-

identifying & pre-contracting of local vendors, who comply with environmental

and social criteria; ii. Resource pooling;

• Preparedness for shock-responsive/mobile cash transfer systems to serve

forecast-based anticipatory actions aimed at limiting response needs and the

provision of relief items.

Another way to contribute to environmental resilience is through investing in nature-

based solutions

and the restoration of degraded ecosystems as part of preparedness

51. More information: https://ehaconnect.org/preparedness/

52. Positioning/pre-positioning of stocks/supplies does not necessarily imply that purchase of stocks/supplies should be funded by

the DP Budget Line. Should DP Budget Line funded projects comprise prepositioning and or procurement of equipment/supplies, it

is suggested that this amount does not exceed 5% of the total project budget.

53. Nature-based Solutions are “Actions to protect, manage and restore natural or modiﬁed ecosystems, which address societal

challenges, eﬀectively and adaptively, providing human well-being and biodiversity beneﬁts” - IUCN resolution (WCC-2016-Res-

069-EN).

“

Environmental

degradation erodes the ability

of ecosystems, such as forest

or coastal ecosystems, to

reduce the risk of disasters like

ﬂoods or landslides.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

and early recovery, with particular attention to

displaced and at-risk populations dependent on

natural resources for their livelihoods. For example,

investing in natural, native land practices to restore

the land and increase agricultural output, or investing

in natural regeneration and reforestation to increase

tree cover, improve soil quality and combat soil

erosion might not only reduce risks directly but may

also be a source of sustainable livelihoods, thereby

increasing the resilience of vulnerable populations.

If the restoration of ecosystem function is built into

livelihoods activities, this can also help to create

resilient value chains and stronger business continuity.

One method that has proven successful and cost-

eﬀective is the Farmer Managed Natural Regeneration

(FMNR) implemented by World Vision

, which is

a community-led approach to restoring degraded

landscapes and ecosystems through the systematic

regrowth and management of existing trees and

shrubs from tree stumps, sprouting root systems

or wild seeds. It has had a tremendous impact on

increasing food security, crop yields and decreasing

dependency on food assistance. It is simple, low-cost

and evidence-based, and can be rapidly and cost-

eﬃciently applied across large areas of degraded

forest, crop and pasturelands. Signiﬁcant opportunities

exist to scale-up climate and environmental resilience

interventions, including nature-based solutions,

via short-term safety net interventions for social

protection and consumption support, including cash

transfers, e.g. through the ‘cash for work’ model.

These interventions straddle humanitarian aid and development cooperation as

they are by nature a more long-term undertaking. As such, they require cooperation

between humanitarian and development actors and are therefore optimal as a way

for implementing the nexus approach.

This is not only about funding but also

about adapting ways of working in order to actually operationalise the

humanitarian-development-peace (HDP) nexus.

The HDP nexus approach can

also facilitate a better exchange between humanitarian and development aid and

help to mitigate potential environmental impacts and concerns more eﬀectively (i.e.

the use and dissemination of environmentally-friendlier low-fuel stoves).

Projects can also start as a humanitarian intervention (e.g. as part of livelihoods or

cash assistance) and then be taken over by development funding.

6.11.2 Preparedness for Protection

Protection is central to humanitarian preparedness eﬀorts as part of immediate and

life-saving targeted activities. Its principles

should be mainstreamed throughout

humanitarian response and beyond

54. www.wvi.org/development/publication/farmer-managed-natural-regeneration

55. For more on protection principles: the Sphere Handbook.

56. https://interagencystandingcommittee.org/protection-priority-global-protection-cluster/documents/iasc-policy-protection-

humanitarian-action

Farmer Managed Natural

Regeneration (FMNR): making

the diﬀerence in a refugee

settlement in Uganda

In the refugee settlement, the majority of the

households relied on ﬁrewood for cooking and

heating, putting a huge strain on the ﬁrewood

resources. This led to rampant deforestation

and land degradation, and an increased tension

between the local community and the refugees.

FMNR brought an easy, low-cost approach which

farmers use to protect and manage the growth

of trees and shrubs that regenerate naturally in

their ﬁelds, woodlands and ranges. World Vision

trained farmers and refugees to conduct forest

management practices such as pruning, thinning

and coppice reduction. Indigenous grass and tree

species were regenerated and refugees learned

to collect ﬁrewood without damaging the tree as

a whole.

The multiple beneﬁts of the FMNR approach

mentioned by local farmers include increased

supply of wood for energy, slowing down of

water runoﬀ, increased supply of fodder for

livestock feed, restored soil fertility, increased

supply of food for human consumption, stabilized

microclimate and restored biodiversity.

DG ECHO Disaster Preparedness Guidance Note

Protection Mainstreaming:

Mainstreaming protection principles

across all preparedness actions remains

critical to anticipate, mitigate and

respond to identiﬁed protection risks,

and promote the safety and dignity of

girls, boys and women and men of all

ages. DG ECHO ensures that protection

mainstreaming, which is the process

of incorporating protection principles

and promoting meaningful access,

safety and dignity in humanitarian

aid, is integrated in all funded actions.

Protection mainstreaming is “an

imperative for all humanitarian actors

engaged in humanitarian response” (IASC Policy on Protection in Humanitarian

Action, 2016)

. Protection is mainstreamed by incorporating protection principles

such as meaningful access, participation and empowerment, accountability, and

the prioritization of do no harm to promote safety and dignity in humanitarian

aid. The meaningful mainstreaming of protection in preparedness is grounded in:

a system-wide approach to all-risk assessment and analysis (for more details,

please refer to section 3.2.1), which provides better understanding of the speciﬁc

vulnerabilities and capacities of diﬀerent aﬀected groups in relation to speciﬁc

hazards/threats; the eﬀective and timely identiﬁcation of tailored early actions

to respond more eﬀectively to speciﬁc protection risks; and the promotion of a

protection-sensitive, and gender- and age-appropriate, and disability-inclusive

approach.

Protection Targeted Actions:

Ensuring the protection of populations is a core objective of humanitarian action. In

humanitarian crises

, people need material assistance, such as food, water, shelter

and medical assistance. But they also need physical safety, psychological wellbeing

and dignity as preconditions to being able to gain access and enjoy this material

assistance.

The deﬁnition of protection, resulting from a series of International Committee

of the Red Cross (ICRC)-convened seminars (1996-99), and formally endorsed by

the Inter-Agency Standing Committee (IASC), states that protection encompasses

“all activities aimed at ensuring full respect for the rights of the individual in

accordance with the letter and spirit of the relevant bodies of law (i.e. human rights

law, international humanitarian law and refugee law)”.

DG ECHO’s humanitarian mandate calls for a deﬁnition of protection that seeks to

address fundamental protection needs, rather than the broad spectrum of political,

economic and social rights, without denying that these are all of the utmost

importance.

Hence, the principal objective for DG ECHO in humanitarian protection is “to

prevent, reduce/mitigate and respond to the risks and consequences of violence,

57. For further guidance, please refer to: Protection Mainstreaming Toolkit, GPC, 2017; Links to guidance on mainstreaming of speciﬁc

aspects of child protection; GBV; Age, Gender and Diversity; and Disability Inclusion can be found through www.globalprotectioncluster.

org Finally useful guidance is available in the video www.globalprotectioncluster.org/en/areas-of-responsibility/protection-

mainstreaming.html

58. By humanitarian crises, the European Commission understands events or series of events which represent a critical threat to

the health, safety, security or wellbeing of a community or other large group of people. A humanitarian crisis can have natural or

human-induced causes, can have a rapid or slow onset, and can be of short or protracted duration.

Simulating a full scale

natural disaster in the

mountains of Kyrgyzstan

Meanwhile, ﬁrst aid

teams are dispatched

to diﬀerent locations

across the hamlet, where

serious injuries have been

reported. © EU/DG ECHO/

Pierre Prakash

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

coercion, deliberate deprivation and abuse for persons, groups and communities

in the context of humanitarian crises”

. It supports protection measures for

aﬀected people, in line with a comprehensive risk-informed approach, adhering

to humanitarian principles and within the framework of International Law, and

in particular International Human Rights Law (IHRL), International Humanitarian

Law (IHL) and Refugee Law.

Protection is viewed as a single sector, encompassing all aspects of protection,

including e.g. child protection, Sexual and Gender-Based Violence (GBV), Housing,

Land and Property (HLP) and mine action. A comprehensive analysis is needed in

order to determine the most appropriate response “package” in a given context.

As some individuals or groups have pre-existing vulnerabilities that are exacerbated

in disaster or other crisis situations, potentially leaving them at greater risk of

violence, exploitation, abuse, traﬃcking and exclusion, preparedness involves

strengthening the capacity of all ﬁrst responders to incorporate protection risks

into their actions. For instance, in relation to both internal and cross-border

displacement, preparedness eﬀorts should aim to help institutions, communities and

systems anticipate relevant measures to minimize subsequent risks. In particular,

the disruption of family and community life caused by a disaster oen exacerbates

risks, creates distress and threatens their psychosocial wellbeing.

6.11.3 Preparedness in urban settings

Accelerated urbanisation is taking place in diﬀerent parts of the world and, already

in 2020, more than half of the world’s population lives in urban areas. Certain

characteristics of cities may make them more vulnerable to the impact of hazards

and/or threats than other human settlements. The risks faced by urban populations

are exacerbated by high population density, poor/exposed or non-existent urban

infrastructure, informal settlement patterns, limited access to land and lack

of security of tenure. Social structures that exist in rural areas (which increase

community resilience) may be disrupted in urban contexts. Furthermore, displaced

people who are dispersed in urban areas can become invisible to humanitarian

organisations, who may focus on camp contexts.

Preparedness in urban settings must take into

account all of these factors, as well as the speciﬁc

urban context and the potential hazards. For instance,

ﬂoods in urban contexts are diﬀerent from those

in rural areas because they are generally linked to

surface runoﬀ (due to impermeable surfaces, blocked

drainage systems due to garbage, etc.) and because

ﬂash ﬂoods, drainage system overﬂows, etc. are

much more diﬃcult to predict than riverine ﬂooding,

providing little if any lead time for early action.

However, although possible actions may be similar to

those taken in rural areas (such as cash transfer, sandbagging, protecting important

documents, evacuations etc.), in urban contexts these should also include speciﬁc

actions, such as removing refuse from drainage systems to minimise ﬂooding in

anticipation of extreme rainfall.

As it is the standard for all preparedness actions, those for urban areas should

also be based on a sound assessment of risk, including assessing the potential

hazards/threats and exposure in a particular context, analysing the vulnerability of

59. DG ECHO Thematic Policy Document N° 8, Improving protection outcomes to reduce risks for people in humanitarian crises.

“

Accelerated urbanisation

is taking place in diﬀerent

parts of the world and, already

in 2020, more than half of

the world’s population lives in

urban areas.

DG ECHO Disaster Preparedness Guidance Note

particular urban population groups and the local capacity

to respond. Strengthening preparedness and emergency

response capacities should ensure that these respond to

the speciﬁc challenges of urban contexts.

Finally, preparedness eﬀorts aimed at tackling urban risks

also need to take governance issues into account. Lack of

coordination among governmental agencies and sectoral

silos needs to be taken into consideration as this can limit the

ability of local governments to actively pursue preparedness.

6.11.4 Preparedness for conﬂict and violent situations

Preparedness and risk-informed humanitarian action

concerns all relevant hazards and threats, including those

related to conﬂict. Conﬂict sensitivity should therefore be

an integral element in all these interventions. Factors to

consider in situations of conﬂict may include the intensity

of the conﬂict, the existing or possible displacement of the

population, community self-protection strategies, access to

local resources, humanitarian space and access, the presence

of combatants, neutrality and the quality of governance. Both

existing and potential future risks, including those related to

factors such as climate change, environmental degradation,

natural resources and governance, need to be analysed.

In some conﬂict situations, preparedness for and reduction of risks associated with

natural hazards may be an acceptable entry point, especially where the parties to the

conﬂict have a negative perception of humanitarian organisations. Indeed, natural

hazards and conﬂict are oen strongly interlinked. Conﬂict and violence can increase

the risks associated with natural hazards, while natural hazards (such as drought) may

exacerbate or generate conﬂict. Reducing or preparing for risks and needs related to

natural hazards may be perceived as ‘neutral’ and non-threatening politically.

In addition to preparedness in conﬂict and fragile settings, there is a clear need for

preparedness for conﬂict and other situations of violence. Another potential entry point

for humanitarian operations in fragile and conﬂict situations is the anticipation and

mitigation of forecasted outbreaks of violence or the deterioration of ongoing conﬂicts

(i.e. forced displacement due to a conﬂict). Preparing for the impacts and suﬀering

caused by conﬂict situations brings unique challenges, such as the diﬃculty of predicting

violent conﬂict or its recrudescence, and remaining neutral.

The implementation of anticipatory action in conﬂict settings is also currently being

explored. Until now, early actions have been used, for example, to contain disease

outbreaks aer the rainy season in situations of conﬂict. Funds have been mobilised

to support activities like cholera vaccination and risk awareness campaigns amongst

high-risk populations thanks to data that has forecasted that there is a risk of the

disease spreading.

The European External Action Service (EEAS) and European Commission services

have established the EU Conﬂict Early Warning System (EWS) as part of their broader

activities in the ﬁeld of security policy. Although the goal of this tool is not to predict the

exact trigger for the eruption of violence, it helps to identify certain structural factors

and indicators that frequently correlate with conﬂict risk that the EWS can help to

mitigate.

Preparedness in conﬂict

- Myanmar

The Myanmar Consortium for Community

Resilience, led by Plan International,

addresses gaps to strengthen systems

for improved resilience and preparedness

in disaster-prone conﬂict-aﬀected areas.

The aim of the consortium is, inter alia,

to strengthen systems and capacities for

risk-informed preparedness of institutions,

communities, local government, and civil

society actors in conﬂict-aﬀected disaster-

prone areas. This is achieved through

activities such as the capacity building

of community volunteers, Civil Society

Organisations and pre-care service

providers for improved preparedness and

emergency health response or the revision

and strengthening of multi-hazard

management plans, infection prevention

and control guidelines for urban hospitals.

For more info: www.plan-international.org

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

DG ECHO continues to support preparedness in fragile,

violent and conﬂict-aﬀected situations through increased

foresight, but requires that humanitarian interventions in

these situations are designed and implemented by agencies

who have the necessary technical skills and have knowledge

of socio-economic dimensions, conﬂict dynamics and the local

environment. In contexts where it is not feasible or acceptable

to work with the national system, it is possible to support a

local system, for example a consortium of NGOs, or local co-

ordination mechanisms who have a continuing presence in

the location and are able to address preparedness capacity

gaps. DG ECHO prefers to support networks and NGOs that

are already in place, or that are able to have a continuous

presence as this helps to produce consistent preparedness

beneﬁts, even aer the project funding period, and avoids

recurrent preparedness expenditure.

6.11.5 Preparedness for Drought

Evidence suggests that climate change and environmental

degradation will increase the frequency and intensity of droughts.

As slow-onset crises, they bring signiﬁcant challenges for a

humanitarian response, but they also increase the opportunity

for preparedness and early action to avoid a catastrophic

outcome

. Drought is a seasonal hazard that brings risks at

regular, predictable times of the year. Therefore, relatively high-

conﬁdence long-term early warning is possible thanks to climate

forecasts. However, what remains challenging is predicting the

exact peak of a drought and ensuring that assistance is timely

and appropriate as it slowly and gradually causes destruction.

A good surveillance system can be put in place or strengthened to mitigate drought

risk and improve preparedness. To prepare eﬀectively for drought risk, a reliable early

warning system is needed, along with risk assessments and the engagement of

communities. Indeed, this is essential to facilitate timely access to weather forecast

information, and to have a strong community risk management strategy in place in

order to protect pastoralist livelihoods, among others.

Preparedness interventions can include the distribution of drought-resistant seeds or

anticipatory actions such as setting up small-scale irrigation systems to reduce crop

losses and protect food security in the short term. Moreover, improved access to cash

can help farming households cope with droughts. This was evident in 2019 when

poor and vulnerable households in drought-prone provinces in southern Vietnam were

involved in designing assistance by DG ECHO’s partners. Though the drought was not as

severe as had been forecasted, those most at risk of entering debt cycles to purchase

agricultural inputs and food received a multi-purpose cash grant. Coupled with timely

alerts to inform planting decisions (whether to plant short/long duration or drought

tolerant rice varieties) and other enhanced agricultural techniques, this contributed to

building their capacity to cope with future shocks more eﬀectively.

Given that drought can increase water scarcity, humanitarian actors can also invest in

making WASH systems more risk-proof. This endeavour should always be based on

an assessment of local hazards and the vulnerabilities of WASH services, which takes

60. https://unfccc.int/news/state-of-the-climate-in-2018-shows-accelerating-climate-change-impacts

Preparing for disasters

so they can save their

AAA/Florian Kopp

DG ECHO Disaster Preparedness Guidance Note

into consideration the situation (nature and frequency of risks), the impact of previous

events, and environmental and demographic pressure.

6.11.6 Preparedness for Displacement

Displacement and mobility are an increasingly important humanitarian and

development challenge, both in situations of conﬂict and fragility and in relation

to climate change and environmental degradation. Regardless of the cause of

displacement, displaced people are subject to greater risk and vulnerability. DG ECHO

partners should systematically adopt a

displacement lens

in their humanitarian

action, in order to integrate displacement more eﬀectively into risk management,

including preparedness. Preparedness for displacement can help strengthen the

capacity of national and local actors to eﬀectively manage displacement situations,

by assisting and protecting those who are displaced, and by linking to interventions

supporting national and local actors in their eﬀorts to ﬁnd durable solutions to end

displacement. Preparedness can also involve anticipatory action whereby people

who are at risk of being displaced are moved out of harm before the event takes

place and are provided with assistance to cover their basic needs.

With regard to preparing for displacement, an important issue is the availability,

quality and understanding of displacement data, which are oen fragmented and

sensitive, particularly when related to a conﬂict. Similarly, the capacity to understand,

model and project the risk of displacement,

particularly at smaller geographical scales, and

with a larger set of hazards and threats, is still

limited, and needs to be strengthened. Additionally,

deﬁning who the people at risk are during the pre-

displacement phase, and what their needs would

be if aﬀected remains crucial to any successful

solution, even if it is only a short-term solution.

Analysing the exposure and capacity of at-risk

communities

and understanding the risk and

needs of displacement are crucial to prepare

comprehensive emergency plans and integrate

the displacement dimension into Early Warning

Systems and Early Action (EWEA) in order to make

them more eﬀective. Vulnerability and capacity

assessments of disaster-prone communities can

support EWSs by analysing their human mobility and displacement dimensions.

Emergency plans need to be comprehensive, possibly including mid- to long-term

measures such as recovery and livelihoods by linking with development actors, and

addressing challenges such as those related to access issues so that the adopted

responses are eﬀectively relevant (IFRC - The Cost of Doing Nothing - 2019).

Critical to preparedness is that local systems are in place ahead of a crisis to reduce

harm by prompting eﬀective anticipation and response and to increase resilience

in a timely manner.

An indicative list of actions to strengthen preparedness for displacement are as

follows:

• Ensure that policy and legislative frameworks for preparedness integrate

displacement concerns;

61. Existing tools are for instance the IFRC’s Enhanced Vulnerability and Capacity Assessments (EVCA).

Pre-Planning Evacuation

Mobility and pre-emptive displacement are coping

mechanisms that help people respond to the impact

of disasters. Preparing for displacement entails a

community-based approach that considers existing

coping mechanisms and strategies. Evacuations are

an eﬃcient way to prevent mortality and injury due

to disasters, but may expose people to other risks

linked to displacement. The choice of evacuation

centres is important if we want to prevent recurrent

displacement and avoid tensions with the host

communities.

• Support the collection, analysis and use of displacement data to strengthen risk

assessments and preparedness/emergency measures;

• Ensure that people at risk of displacement, and those previously displaced

by disasters, participate in drawing up preparedness, contingency and

disaster response plans: adopt a people-centred approach that considers the

demographic, gender, cultural and livelihoods characteristics of the target

audience;

• Develop and implement contingency plans, evacuation mechanisms, and

forecast-based ﬁnancing;

• Strengthen EWSs by including impact projections of the vulnerabilities and

potential displacement of disaster-prone populations;

• Advocate for and support the inclusion of displacement data/considerations

in national plans and strategies and develop Standard Operating Procedures

(SOPs) triggered by regional EWSs;

• Disseminate information to preserve family safety and unity, to prevent civil

documentation loss, and to provide information about safe displacement routes,

analysed in terms of risks. The communication should be culturally appropriate,

child-friendly and accessible also to children, women and men with disabilities;

• Scale-up early action measures to anticipate and reduce displacement

risks more eﬀectively ahead of time. Targeted anticipatory actions could be

implemented through measures such as planned evacuations, prepositioning

of food, water and shelter to attend to basic needs or cash transfers so that

people can move out of harm;

• Strengthen national and local capacity to protect displaced people in the

context of disasters and conﬂict, especially in fragile contexts (see section on

Preparedness for Protection).

Long-term measures, such as climate and disaster risk reduction, sustainable

management of ecosystems, peace and reconciliation processes, and overall

vulnerability reduction of at-risk populations nevertheless remain necessary to address

issues of displacement in a sustainable manner. Humanitarian action should therefore

prioritise linkages with development and peace actions and promote close coordination

between the diﬀerent national and international stakeholders. Furthermore, engaging

with aﬀected communities is essential for sustainability. For example, a livelihoods

resilience approach could be an opportunity to advance durable solutions, by

strengthening income generation and reinforcing social cohesion, particularly in

situations of prolonged displacement.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

DG ECHO is committed to ensuring that all humanitarian

action it supports, including preparedness, is based on

the best available sources of evidence.

It is important to gather evidence on the results of

preparedness interventions on the ground and of the

application of a risk informed approach to humanitarian

action. Such evidence helps to feed into the policy

discourse, to inform the practice by highlighting what

makes for successful operations and to substantiate

the importance of preparedness and integrating risk

analysis into humanitarian work. The development of

a solid evidence base allows for credible advocacy with

other donors, governments and all relevant stakeholders.

It can also support EU humanitarian aid visibility, as

the DG ECHO Compendium of Experiences on disaster

preparedness actions testiﬁes.

Evidence from the ﬁeld will help DG ECHO identify

strengths and weaknesses of its own approach and

adjust it to make it more eﬀective and relevant to the

realities on the ground. The collection of experience

and results of ﬁeld operations is also key to learning,

identifying and sharing best practices and to scaling up

across interventions.

Humanitarian partners have a key role to play in

producing such evidence, in learning and in supporting

the policy and practice around preparedness and risk informed approach. DG ECHO

recognises that evidence-based learning has a crucial role to play in the development

of preparedness and eﬀective response. Such learning requires a structured approach

and resources. DG ECHO commits itself to supporting this learning process.

DG ECHO is also setting up an internal mechanism to ensure more consistently the

collection and analysis of evidence and lessons learnt from the implementation of

ECHO funded DP mainstreamed and targeted projects. In this attempt, the 2021

revised Resilience Marker provides opportunities for better monitoring and report on

how projects include a preparedness dimension and how the variety of risks inherent to

humanitarian crises are taken into account in project design and implementation. New

Disaster Preparedness and Early Action indicators will equally facilitate monitoring and

reporting on a mainstreamed preparedness approach.

7. Evidence and Learning

DG ECHO Disaster Preparedness Guidance Note

The owner of a rice mill

in Nepal’s Kathmandu

Valley, Indra Bahadur

Katwal is now part of the

Disaster management

Plan of his municipality:

he has committed to

stock extra rice in his

mill, ensuring access to

food in case of natural

disasters.© European

Union 2018/Pierre

Prakash

This Annex provides more detailed information regarding mainstreaming preparedness

into response and risk-prooﬁng response operations for DG ECHO’s main sectors of

intervention - namely, Education, Food Security, Health, Nutrition, Protection, Water,

Hygiene and Sanitation (WASH) and Shelter and Settlements.

EDUCATION

The overall aim of EU humanitarian assistance in Education in Emergencies is to restore

and maintain access to safe and quality education during humanitarian crises, and to

support out-of-school children to quickly enter or return to quality learning opportunities.

Its role is to minimise the impacts of crisis on the right to education and children’s

learning. Activities focus on those levels of education that are already covered by State

commitments to free and compulsory basic education - usually primary, lower and

upper secondary levels of education.

Disaster preparedness is essential to minimise education service disruption and

enhance children’s safe access to schools and, in line with the Comprehensive School

Safety Framework

, reduce the risks of all hazards and threats to the education

sector. The core of these eﬀorts is to recognise children’s rights to education continuity,

participation and protection.

Additionally, education oﬀers opportunities to communicate on DP, and motivate and

engage with communities, by providing life-saving and life-sustaining information and

skills, including schools in existing early warning systems, building school-centred early

warning systems and contingency planning, and developing capacities and training.

DP in education can be framed through three pillars

: 1) Safe School Environment; 2)

School Safety and Disaster Management; 3) DRR in Teaching and Learning. Together

these pillars help to ensure schools are physically safe for students and personnel,

plans are established for education continuity in the face of disaster, and the safety and

resilience of communities is enhanced.

62. Please refer to the 2018 Commission Communication on Education in Emergencies and Protracted Crises and 2019 DG ECHO

Staﬀ Working Document on Education in Emergencies in EU-funded Humanitarian Aid Operations: https://ec.europa.eu/echo/what/

humanitarian-aid/education-emergencies_en

63. https://gadrrres.net/resources/policy-enabling-environment

64. See also Annex I: Disaster Risk Reduction to DG ECHO Staﬀ Working Document on Education in Emergencies.

Annex 1. Mainstreaming

Preparedness and Risk

Prooﬁng Humanitarian

Response

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

Education activities on disaster preparedness can

include:

• Bringing together community members,

children, caregivers, teachers and other

education personnel and engaging with

them to identify threats and crises, together

with ways to prepare and reduce risks;

• Planning for disasters, including through the

development of Safety Management Plans,

Emergency Response Plans, School DP/DRR

Plans, etc.;

• Training teachers and administration in DP;

• Lifesaving and life skills education with

child-friendly and age/gender-appropriate

materials and messaging, and curriculum

enhancement with child-centred, project-

based learning on DP/DRR;

• Relying on children and schools as agents of

change to increase community resilience;

• Pre-positioning critical materials and supplies for disaster-prone areas;

• Learning Space Improvement (structural as well as materials and supplies) and

adhering to resilient school construction standards;

• Incorporating hazard-resilient features into school building and rehabilitation;

• Small-scale/school level (structural and non-structural) mitigation and preparedness

measures;

• Creation and management of knowledge/experience-sharing platform for school

safety programming;

• Inclusion of schools/school directors as contact points in Early Warning Systems,

in order for the school to be evacuated in time, and for the children to spread

the alert in communities (combined with the pre-positioning of learning/teaching

materials);

• DP advocacy and policy work, particularly with the Ministry of Education and

other authorities - including embedding preparedness and response in national

policies and sector plans, through the strengthening of decentralisation linkages

and administration capacities.

FOOD SECURITY

The scope of work covered by the EU’s humanitarian food assistance instruments is

deﬁned as saving lives, in the ﬁrst place through delivering assistance to meet basic

humanitarian food and nutrition needs

. However, it also aims to fulﬁl supportive

functions, speciﬁcally contributing to reducing risk and vulnerability, and improving the

appropriateness and eﬀectiveness of humanitarian food assistance through capacity-

building and advocacy. EU humanitarian food assistance seeks to avoid undermining

community resilience and coping capacity. It includes emergency food security (including

nutrition) and short-term livelihoods support (using cash transfers whenever possible,

65. Please refer to the EU Humanitarian Food Assistance Communication 2010 and Staﬀ Working Document.

The EU funded

Disaster preparedness

programme in Haiti

seeks to strengthen local

capacities to face natural

DG ECHO/M. Bernardez

DG ECHO Disaster Preparedness Guidance Note

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

in-kind distributions or vouchers), food security and nutrition information and analysis,

advocacy and awareness-raising.

There is a direct correlation between disaster risk and food insecurity. Food-insecure

people are the least able to cope with disasters. Disasters aﬀect livelihoods, particularly

those of the poorest and most vulnerable people, and they increase use of negative

coping mechanisms to cover food needs. Besides, the recurrence of disasters oen

depletes livelihoods. Exposure to high levels of disaster risk, and lack of capacity to

manage these risks, means that poor households are trapped in a cycle of food insecurity

and poverty that quickly deteriorates into a food crisis and acute undernutrition when

a disaster occurs.

Food assistance interventions can contribute to the

protection of livelihood assets both during and ahead

of crises (particularly human and social capital).

Besides, they contribute to creating/advocating for

a conducive environment for disaster preparedness

in terms of structures and processes: for example,

through the provision of technical support to quality

food security information systems, the establishment

of food security surveillance mechanisms or the strengthening of national and

local Early Warning Systems using food and economic indicators. Global systems

also exist, such as the Integrated Food Security Phase Classiﬁcation (IPC)

with the main goal of providing decision-makers with a rigorous, evidence- and

consensus-based analysis of food insecurity and acute malnutrition situations,

to inform emergency responses as well as medium- and long-term policy and

programming.

The Humanitarian Food Assistance Communication (2010) states that the

European Commission, other than responding to emergency situations and food

crises, can trigger a humanitarian food assistance response for anticipated

crises on the basis of ﬁrm forecasts. The development of such models remains

highly relevant in the current context with more frequent disasters. Anticipatory

responses should always be accompanied by a multi-risk analysis, deﬁned

triggers, and agreed Standard Operating Procedures (SOPs) for early/anticipatory

action.

DG ECHO requires all humanitarian action to be risk-informed, meaning that analysis

and design should be based on a sound assessment of risk and the intervention

should seek to reduce immediate and future risks. DP should be mainstreamed in all

humanitarian food assistance actions. This involves:

• Incorporating a sound multi-risk analysis in all food and livelihoods assessments

in order to adequately inform the design and implementation of food assistance

responses. An example is carefully choosing the distribution site in order not to

expose food assistance beneﬁciaries to conﬂict or other hazards;

• Directly reducing immediate risks to people, and especially the most vulnerable,

through, for example, enabling access to basic food and protection of livelihoods/

assets or enhancing livelihoods to strengthen people’s capacities to meet their

food needs (e.g. building shelters for animals in ﬂood-prone areas or providing

seeds for oﬀ-seasonal agriculture). Where possible, food assistance and

livelihoods responses should also consider medium- and longer-term risks;

66. The Integrated Food Security Phase Classiﬁcation (IPC) is a multi-partner initiative (governments, UN Agencies, NGOs, civil

society and other relevant actors) to provide data and analysis determining the severity and magnitude of acute and chronic food

insecurity, and acute malnutrition situations in a country, according to internationally-recognised scientiﬁc standards. For more

information: www.ipcinfo.org

“

There is a direct

correlation between disaster

risk and food insecurity.

DG ECHO Disaster Preparedness Guidance Note

• The “risk-prooﬁng” of interventions to protect them against future hazards, such

as ensuring that emergency food storage facilities are designed to withstand

hazards such as wind, ﬂoods, earthquakes, or prepositioning food ahead of the

rainy season to ensure that aﬀected populations have access to it.

HEALTH

Mainstreaming of disaster risk reduction (DRR) is applied in many health actions

where early warning and response to outbreaks is a key component or the

main objective. The 2014-2016 external evaluation of the humanitarian health

intervention reported that nearly three quarters (72%) of DG ECHO funding was

provided to projects that incorporated preparedness and response activities

related to epidemics.

DRR activities, particularly epidemic monitoring and preparedness, were

identiﬁed as an essential part of humanitarian responses in the health line

67. Additional information on DP/DRR can be found in the following DG ECHO reference documents: Health General Guidelines

(2014) and DG ECHO Health Technical Guidelines. For further information on DP and DRR in the health sector: International Health

Regulations (2005) - World Health Organisation (WHO).

In 2020, the Horn of Africa was aﬀected by the biggest

desert locust invasion in more than 25 years. The desert

locust is considered the most destructive migratory

pest in the world and this upsurge was threatening

livelihoods and food security particularly of the most

vulnerable households who are dependent on their

agricultural or pastoral activities for survival, adding to

existing high levels of acute food insecurity, with 13

million already in IPC 3 in the areas where the desert

locusts were present at the beginning of 2020 (source

IPC) and the risk of it spreading to other vulnerable

areas and countries (altogether 7 countries were facing

a possible negative impact on their food security and

livelihoods: Somalia, Ethiopia, Eritrea, Kenya, Uganda,

South Sudan, and Sudan).

In February 2020, FAO launched an appeal to

respond to the desert locust upsurge, which included

surveillance and control actions, livelihoods protection

and coordination actions. The timing for activities aimed

at controlling the upsurge was key to mitigating the

eﬀects on livelihoods. DG ECHO mobilised funding (in

February and in May 2020) to contribute to surveillance

and control operations in the invaded areas, and to limit

the movements of the desert locust swarms.

The surveillance and control activities were linked;

the surveillance aimed to detect the groups of desert

locusts in a timely fashion and to alert the control

centre to react and send teams to kill them through

spraying. On average the response time between

the surveillance and the control was 1 or 2 days, as

capacities were reinforced through donor funding.

DG ECHO’s contribution included the funding of

equipment and the training of teams to do surveillance

and control activities, and also the funding of bio

pesticides, vehicles and the use of helicopters. This

allowed a scale-up of the control operations and

avoided the invasion of more crop and pasture areas.

It was found that approximately 25% of farmers had

damages due to the desert locusts.

The action contributed signiﬁcantly to the reduction

of further invasions in South Sudan, Uganda and

Sudan. In addition, it helped to mitigate the risk of

spreading towards West Africa. According to FAO, 515

billion desert locusts were killed by August 2020 in

the region, and by November 2020, the livelihoods of

12 million people were saved from invasion, which

protected their food security. A massive humanitarian

crisis was averted by timely desert locust control.

In addition, 1.7 million metric tons of crops were

saved. Most importantly, these operations helped to

avoid substantial negative impact on pastures and

crops, which mitigated the eﬀects on food insecurity,

reducing signiﬁcantly the number of people directly

impacted. The number of people who suﬀered

livelihood losses and increased food insecurity due to

the desert locusts was smaller than anticipated.

Desert Locusts’ invasion in the Horn of Africa

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

with sector. In line with this expectation,

DRR activities were usually considered

in the design and implementation of

actions by partners, with some projects

speciﬁcally funded by DG ECHO to

improve response preparedness.

The 2014 DG ECHO Consolidated Health

General Guidelines include preparedness

as an important dimension in every

aspect of the health sector. They state

that: “DRR, disaster preparedness and

resilience are relevant in every aspect of

a health sector humanitarian response.

DG ECHO requires that all humanitarian

action it supports be based on a sound

assessment of risk and the intervention should seek to reduce immediate and

future risks” (DG ECHO 2014, p.16).

This approach was also reﬂected in the ﬁndings from DG ECHO staﬀ and

the evaluation partner survey. It was found that the large majority (86%)

of 103 respondents integrated risk reduction activities into the design and

implementation of their health actions and 13% of sample projects were

speciﬁcally aimed at improving the response preparedness of health systems

and/or populations.

Activities included:

• Reinforcing national disease surveillance mechanisms and building surveillance

capacity;

• Training staﬀ on emergency health situations and how to monitor and report a

crisis;

• Strengthening the capacity of Health Ministries, local authorities and institutions

to respond to epidemic outbreaks eﬃciently and eﬀectively;

• Creating and testing Rapid Response Team capacity to respond to future disease

outbreaks; and

• As is protocol for some partner organisations - including DRR, local capacity

building and sustainability components within programmes wherever possible.

Recent examples of risk reduction and preparedness activities included within

health interventions are:

• Yemen: healthcare/nutrition projects and epidemics managed in conﬂict-

aﬀected areas;

• Guinea: design of the country preparedness plan for the community level;

• Increased preparedness content in the West Africa regional programme;

• Latin America and Caribbean: strengthening surveillance of yellow fever and

other zoonotic infections by supporting laboratory capacities, and training

health workers to diagnose and manage diseases;

• Speciﬁc activities related to the ‘Safe Hospital’ concept (e.g. Nepal).

In Nepal, earthquake

preparedness saved lives

– and limbs. © European

Union/DG ECHO/Pierre

Prakash

DG ECHO Disaster Preparedness Guidance Note

NUTRITION

The scope of work considered under the Nutrition sector includes the treatment

and prevention of undernutrition (including through the use of cash), nutritional

rehabilitation, and surveillance and surveys. Tackling high-risk, moderate and

severe acute malnutrition and preventing excess mortality and morbidity from

malnutrition is a priority for DG ECHO. This primarily involves direct nutrition

interventions to identify and diagnose undernutrition and address the symptoms

through appropriate treatment. The following six activities are the main ways to

integrate preparedness, and risk-proof nutrition projects:

• Highlight to partners (in the context of strategic dialogues) the need to include risk

monitoring and preparedness activities in nutrition response operations and, on

the basis of the risk monitoring, ensure that they are ready to respond quickly to

changing situations;

• Assess the level of understanding of undernutrition determinants, of undernutrition

prevalence/admissions monitoring, of good stock management, etc. among partners

and project implementation staﬀ (in the context of ﬁeld missions);

• Provide training and capacity building for national, regional, and local healthcare

staﬀ to make sure qualiﬁed human resources are readily available when needed;

• Promote and support the prepositioning of nutrition commodities in areas where

mobility restrictions can be expected and/or when peaks of undernutrition are

foreseen (e.g. the Covid-19 epidemic or the rainy season in South Sudan) while

ensuring that RUTF is available, accessible and aﬀordable, and supply chains are

sustainable;

• Support the integration of a Community Management of Acute Malnutrition

(CMAM)

surge approach to ensure that health

systems maintain their quality of service through

peaks of undernutrition;

• Promote an integrated approach to nutrition and

complementary and coordinated nutrition-sensitive

interventions in health, WASH and food security as

well as education and social protection to contribute

to the mitigation of malnutrition risks.

The following are examples of DRR and DP

mainstreaming in nutrition operations:

• Support the nutrition cluster/coordination systems and promote partners’ active

participation in the cluster/systems;

• Support partners in purchasing buﬀer stocks of therapeutic food to be better

prepared in case the supply chain is disrupted or there is a sudden increase in

the caseload of malnourished children;

• Preposition a buﬀer stock of commodities at the national level (through UNICEF)

to manage potential increases and shocks, and at the ﬁeld level if transportation

issues are foreseen;

• Promote the surge approach and the establishment/strengthening of

68. DG ECHO Thematic Policy Document n° 4 - Nutrition: Addressing Undernutrition in Emergencies.

69. The CMAM approach is based on the observation that in contexts where there is a high level of seasonal variation, capacities

are overwhelmed and external support is needed during peaks of malnutrition. Better planning and organisation within the health

system helps to prevent disruption to services. Consequently, external partners (i.e., INGOs) are only called upon to provide support

as a last resort. This approach also has the potential to feed into Early Warning Systems, by quantifying the proportion of facilities

struggling to meet needs. Pilot programmes are currently being implemented to extend this approach to health emergencies.

“

The main response

is through direct Nutrition

interventions to identify and

diagnose undernutrition and

address the symptoms through

appropriate treatment.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

risk monitoring systems to anticipate and reduce the impact of peaks of

undernutrition, including in Niger, Ethiopia, DRC, South Sudan and Sudan,

through the Pilot Programmatic Partnership with CONCERN;

• Develop/strengthen drought surveillance systems and nutrition surveillance

bulletins to ensure that all relevant stakeholders are informed about how the

nutrition situation is evolving in the country.

PROTECTION

Ensuring the protection of populations is a core objective of humanitarian action.

When needs arise as a consequence of violence, deliberate deprivation and

restrictions of access, the European Commission aims to ensure that the projects

it funds look beyond mere material needs to the broader issues of personal safety

and dignity.

Hence, for DG ECHO, the aim of humanitarian protection is to prevent, reduce/

mitigate and respond to the risks and consequences of violence, coercion,

deliberate deprivation and abuse for persons, groups and communities in the

context of humanitarian crises, in compliance with the humanitarian principles

of humanity, neutrality, impartiality and independence and within the framework

of international law and in particular international human rights law (IHRL),

International Humanitarian Law (IHL) and Refugee Law.

When disasters strike, or violence and conﬂicts erupt, people are oen subject to

threats to their lives, safety and dignity, as well as to discrimination, loss of access

to basic services and new protection concerns.

Preparedness is one of the key aspects that is oen missing in standard protection

programming, which is typically more reactive than proactive. The meaningful

integration of disaster preparedness in protection targeted actions ensures at

the same time an improved understanding of the vulnerabilities and capacities

of diﬀerent aﬀected groups, the eﬀective and timely identiﬁcation and tailored

early actions to better respond to speciﬁc protection threats, the reinforcement

of social cohesion and social care services before, during and in the aermath

of a disaster, and the promotion of a protection-sensitive, and gender- and age-

sensitive approach.

The extent to which preparedness considerations need to be addressed in

protection interventions will be inﬂuenced by the type of hazards and threats faced

by individuals, households and communities, their level of vulnerability to these

hazards and threats, as well as the existing capacities of individuals, communities,

authorities and other relevant actors. An all-risk approach to programming, based

on continuous and comprehensive risk analysis, helps to identify and integrate

preparedness considerations into protection interventions.

While it is recognised that basic preparedness should be context speciﬁc, a key

preparedness activity for the protection sector is to work with communities to build

their capacity for self-protection. Among other activities, this involves:

• Identifying and strengthening existing basic self-protection mechanisms that

most communities, families, and individuals will have;

• Enhancing horizontally and vertically the shock-responsiveness and

70. DG ECHO Thematic Policy Document n° 8 - Improving protection outcomes to reduce risks for people in humanitarian crises.

DG ECHO Disaster Preparedness Guidance Note

inclusiveness of social care systems and services, and their ability to rapidly

scale-up and adapt in the event of a disaster;

• Ensuring that detention facilities and sites (whether for migrants, asylum

seekers or the general population) are well equipped, appropriately staﬀed and

able to cope with disasters, both natural and human-induced;

• Developing scenario plans that anticipate the impacts of a wide variety of

protection-related factors, and their implications for response and recovery

eﬀorts;

• Pre-positioning items that enable an eﬀective protection response (and

advocating in favour of such actions within coordination mechanisms) - i.e.

post-exposure prophylaxis (PEP) kits or clinical management of rape (CMR) kits;

• Developing internal response capacities prior to the emergency phase, including

the training of non-protection staﬀ in basic information provision, identiﬁcation

and referral to maximise the potential of service delivery;

• Reinforcing regular disaster preparedness exercises (including evacuation drills,

training and the establishment of support systems), with a view to continuously

assessing the relevance of risk analysis, the inclusive participation of all

vulnerable individuals and groups, and adapting the protocols if necessary;

• Integrating basic messages to preserve family safety and unity, to prevent

civil documentation loss, and to inform on safe displacement routes, analysed

according to risk, in awareness campaigns and information dissemination

activities that are communicated in a manner that is culturally appropriate,

child-friendly and accessible to all;

• Monitoring displacement risks and protection concerns, and ensuring that early

warnings identify these and meaningfully integrate them.

Communities in the

remote areas around

the border between

Nicaragua and Honduras

where DG ECHO’s

partner, Oxfam, is

present.

DG ECHO/Silvio

Balladares

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

WATER, HYGIENE, AND

SANITATION (WASH)

Risk-informed WASH programming is

paramount, meaning that, where feasible

and relevant, DRR measures are integrated

into every stage of the response cycle of

emergency WASH operations. Investment in

making WASH systems more disaster-proof

should always be based on an assessment

of local hazards and the vulnerabilities of

WASH services, considering: the situation

(nature and frequency of risks); the

impact of previous events; environmental

& demographic pressure and DRR and

climate change adaptation strategies and

capacities.

The WASH response should explore how to

build back infrastructure to make it more

disaster-proof. The sector can also be

accompanied by emergency preparedness activities. DRR considerations should

always be integrated into the exit strategy of WASH programming, ensuring greater

resilience of services. As an example, watershed management may have to be

integrated into WASH programming.

DG ECHO requires all humanitarian WASH actions to be based on a sound assessment

of risk and the intervention should seek to reduce immediate and future risks. This

can involve:

• Directly reducing risk to people. This would include immediate risks, such

as sickness and death from WASH related diseases such as cholera and/or

acute water shocks and stress. Longer-term risks should also be considered,

such as the impact on aquifer depletion or poor design of drainage or waste

management systems;

• The risk-prooﬁng of interventions to protect them against future hazards, by,

for example, ensuring that WASH infrastructures are designed to withstand

hazards such as landslides, ﬂoods or earthquakes.

Mitigation measures to provide structural protection to water supply and sanitation

facilities are a critical element of disaster preparedness. Mitigation measures can be

at household level (i.e. raising or strengthening of latrine pits subject to ﬂooding) or at

the community level (i.e. location of system intakes at sites less prone to landslides, or

improved design and siting of water storage tanks).

DG ECHO recognises that good professional practice in WASH will incorporate many,

if not most aspects of DRR. Accordingly, DG ECHO will require that humanitarian

interventions in WASH are designed and implemented by agencies possessing the

requisite technical competence in the speciﬁc areas of WASH covered.

The need to consider integrated water management is essential in areas prone to

water insecurity or disasters, or that are environmentally fragile. In a watershed,

water extraction/pumping measures taken upstream may result in negative impacts

downstream (e.g. diverting water from small rivers to increase irrigation).

71. DG ECHO Thematic Policy Document n° 2: Water, Sanitation and Hygiene Meeting the challenge of rapidly increasing

humanitarian needs in WASH, §4.3, pp 18-20.

Preparedness

programmes in

La Esperanza

(Nicaragua) aim to help

the inhabitants react

eﬀectively when there

are heavy rains and

tropical storms, and

to take the necessary

measures to minimise

the risk of damage.

Silvio Balladares

DG ECHO Disaster Preparedness Guidance Note

The following are examples of preparedness mainstreaming in the WASH sector:

• Support to the Western & Central Africa UNICEF Cholera Platform 2012-2019

(4 funding allocations), as part of a strategic WASH contribution to cholera

preparedness, anticipating WASH needs and requirements and reducing cholera

outbreak risks;

• Support to Action Contre la Faim (ACF) Uganda for integrated water management

in Karamoja 2011-2013 (2 funding allocations). Droughts are the second most

frequent type of disaster in Africa, but the type with the greatest impact in

terms of the number of people aﬀected. With DG ECHO’s support, a pilot project

between ACF and the International Union for Conservation of Nature (IUCN)

in Uganda built resilience against drought through improved water resource

management;

• India - Rapid humanitarian assistance to vulnerable and excluded communities

impacted by COVID-19 and ﬂooding in Assam by Oxfam Novib. The action

incorporated risk reduction features in the rehabilitation of water points to

make them more resilient and safe from future disasters;

• In the Dominican Republic, in the context of a WASH response following

Hurricane Sandy, the Emergency Plan of the national WASH service provider

(INAPA) was revised and updated in order for them to maintain their capacity

to deliver water in emergency situations according to diﬀerent scenarios. In

parallel, on the main water network, some distribution points were installed/

adapted to ﬁll the tanker trucks, in order to do water trucking in emergencies

while rehabilitating destroyed sections of pipes, which is a recurrent problem

aer strong hurricane impacts.

SHELTER AND SETTLEMENTS

It is essential to adopt a risk-informed approach to Shelter and Settlements (S&S)

programming whether before, during or aer a crisis. Understanding the exposure

to diﬀerent hazards and the speciﬁc vulnerabilities and capacities of the population

is vital, as is due consideration to the range of measures and safety standards that

serve to mitigate and prevent risks. Measures should be taken to protect settlements,

shelters and their occupants from natural hazards as well as from human-induced

threats. Examples of measures include:

• Non-structural measures

(e.g. checking that S&S is adequately addressed

in the contingency plans; settlement planning; pre-positioning of S&S relief

items, reviewing or updating building practices and training builders to use safe

techniques and materials etc.);

• Structural measures

(e.g. retroﬁtting of existing buildings; land-raising/

elevation of buildings or homesteads in ﬂood plains; strengthening roofs and

shelters using hurricane straps in storm-prone areas, slope stabilisation in

landslide-prone mountainous communities, etc.).

In some cases, it may be suitable to adopt a

participatory approach to safe

shelter awareness

, which aims to raise awareness of everyday vulnerabilities

and risks related to the built environment and to foster locally appropriate safe

S&S practices.

DG ECHO requires all humanitarian S&S actions to be based on a sound assessment of

72. DG ECHO Thematic Policy Document n° 9: Humanitarian Shelter and Settlements Guidelines.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

risk and they should seek to reduce immediate and future risks. This can involve:

• Directly reducing risk to people.

This includes immediate risks, such as ﬁre,

sickness and death from exposure in cold climates, and measures to prevent

gender-based violence in camps (e.g. through improved external walling,

internal partitions, and providing lockable doors for improved shelter safety and

privacy, especially in collective shelters, the location of latrines in safe/lighted

areas, suﬃcient lighting and security in the area). It also includes shelter and

settlement non-structural vulnerability assessments, reviewing infrastructure

-such as pathways - to allow safe access to other basic services, HLP issues,

and considering the S&S needs of host communities;

• The “risk-prooﬁng” of interventions

to protect them against future

hazards, such as ensuring that shelters, following a structural assessment, are

designed to withstand, as far as is possible, hazards such as wind, rain/ﬂoods,

and earthquakes.

DG ECHO recognises that good

professional practice in S&S

incorporates many, if not most

aspects of DRR. Accordingly,

DG ECHO requires that

humanitarian interventions

in S&S are designed and

implemented by agencies who

have the requisite technical

competence in the speciﬁc

areas of shelter covered.

In cases of major displacement

and camp settlements, risk-

informed camp planning and

management is of utmost

importance and is critical to

reducing risk to the displaced

population. Site selection and

site planning determine the

risks that the population will

face for the following years.

Therefore, during a settlement planning activity, increased technical support is necessary

for site selection, planning and development, including the appropriate distance between

shelters for ﬁre safety and drainage systems for sanitation purposes.

Where large population displacements are expected, sites and technical solutions for

shelter should be anticipated as far as possible. Additionally, as it is normally observed

that shelter provision during the immediate response stage tends to be temporary or

transitional, this stage presents an opportunity for capacity building, awareness raising

and risk reduction for safer shelter construction in the longer term.

An analysis of the impact of disasters on S&S facilitates an early recovery and informs a

‘Build Back Better’ approach. Furthermore, risk reduction measures should be promoted

whenever possible as they result in cost-eﬀectiveness.

This should be implemented within a framework of local risk assessment (i.e. mapping

the areas at risk and unsafe houses), improvement of local building practices and skills,

improved and more resilient building materials and techniques, greater accessibility

and contingency planning (i.e. stockpiling materials) for subsequent disaster events.

This woman lives in a

slum area in El Salvador

where a disaster

preparedness DG ECHO

project (DIPECHO) is

trying to improve the

way these vulnerable

communities can react

in the face of a disaster.

D’haese

DG ECHO Disaster Preparedness Guidance Note

Below are some examples of mainstreaming in the S&S sector:

• Ecuador: strengthening of institutional and community capacities at the national

and local levels, to reduce vulnerability to seismic events in Ecuador (Inspection

and Rapid Evaluation of Structures Post-Seismic Event)

• Philippines: the Move Up Project, which includes the design and employment of

Alternative Temporary Shelters (ATS), developed a menu of diﬀerent models/

designs, from which communities and local governments can select the most

appropriate for their context. These are locally-designed and use locally-

available materials (DG ECHO - DP Compendium of Experiences, page 21).

• Dominican Republic: providing temporary shelter to hurricane and ﬂood victims

is a challenge for the Civil Protection and local authorities. In the context of

these recurrent emergencies, a concept for mobile and modular shelter has

been developed. It is easy to implement and can meet diﬀerent emergency

response requirements. Habitat for Humanity.

• Caribbean: aer the impact of Hurricane Irma and Maria in 2017, in the context

of support to 7 Caribbean countries, the response systematically integrated a

Participatory Approach for Safe Shelter Awareness training (PASSA) and training

on how to build safe roofs for all the families involved in IFRC operations. A

similar approach was adopted during the response aer the impact of Hurricane

Maria in Dominica.

73. Document can be downloaded at www.preventionweb.net/ﬁles/52771_guiainpeccinpostevento.pdf. Note that this guide was

used by the Government (and UCPM), following the 2016 EQ to identify the level of damages of individual houses, allowing for a

classiﬁcation and broad rebuilding policy/program.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

The use of Crisis Modiﬁers

Fostering Flexible, Early and Anticipatory Action in Humanitarian Assistance

DG ECHO views ﬂexible, early and anticipatory humanitarian action as a critical

element of managing crises more eﬃciently and eﬀectively. Complementing

response operations, Crisis Modiﬁers (CMs) allow DG ECHO partners to integrate

ﬂexibility and preparedness into actions. This note aims to clarify terminology

related to, and provide overall guidance on, the use of CMs, in order to help DG

ECHO and its partners with the programming of their interventions.

1. Concept, element and use

The concept of CM was developed in the early 2000s in the framework of the USAID

resilience strategy to protect development gains from recurrent, predictable shocks

through a “timely response to crises by partners who are already operational on

the ground and running development projects”

. The CM aims at enhancing the

ﬂexibility and responsiveness of both humanitarian action and longer-term resilience

programming. However, its objectives are context-speciﬁc. In a resilience framework,

the CM is used to protect development gains when the beneﬁciaries of the development

programme are aﬀected by a shock, for example through the protection of productive

livelihood assets. In humanitarian contexts, the CM is solely used to provide essential

life-saving assistance to those who are most vulnerable and aﬀected by a crisis

within a crisis.

The purpose of the CM, within DG ECHO-funded action, is to promote the systematic

consideration and integration of ﬂexible, early and anticipatory action in order

to address, in a timely manner, immediate and life-saving needs resulting

from a rapid-onset crisis and/or a deterioration

(a crisis within a crisis) and

when no other response mechanisms are yet in place.

With reference to the DG ECHO Single Form (e-Single Form), the term CM refers to a

speciﬁc result (sector and sub-sector) - please see section 2 below for more

details - to enhance the responsiveness and ﬂexibility of partners implementing

humanitarian operations.

74. Other examples, in Eastern and Southern Africa, of using a CM within resilience programmes are:

• The EU-funded RESET II in Ethiopia, which developed a Crisis Modiﬁer Mechanisms with a separate emergency fund to be

released to implementing partners based on localised risk proﬁling and contingency plans.

• The III Pillar of the EU-DFID-UNDP funded ZRBF (Zimbabwe Resilience Building Fund) developed a risk ﬁnancing mechanism

to release funds to implementing partners and activate early response to upcoming crises and provide a resilience cushion,

and, if required, a humanitarian response.

• The DFID funded resilience building BRACED programme introduced a CM in Sahel to enable early response to new

humanitarian needs to protect programme’s investments and development gains.

75. For example, although a drought is a slow onset crisis, it could trigger acute malnutrition rapidly. For more information, please

refer to FAQ n.6.

Annex 2.

Crisis Modiﬁer Note

DG ECHO Disaster Preparedness Guidance Note

The comparative advantage of the CM is

in increasing the rapidity of intervention,

shortening the overall time gap before

other response mechanisms are

activated (e.g. DG ECHO’s Emergency/

Rapid Response Mechanism, Emergency

Toolbox, top-ups or other donor support).

Speciﬁcally, the CM oﬀers the possibility

for partners to ﬂexibly mobilize resources

from their on-going actions, to swily

respond to new emerging shocks occurring

in the area where their operations are

taking place, or in other areas where

they have the capacity to quickly surge.

Particularly in conﬂict areas, a partner that

is already active in the area can increase

the level of acceptance of interventions

by the local communities and possibly by

armed groups.

The CM is used as follows:

i) To respond quickly to the most acute

needs and potentially shorten the

time gap whilst exploring potential

additional resources (ALERT or top-

ups).

ii) To allow for a very localised response to needs which may have remained fully

unattended by a partner present in the area with an ongoing DG ECHO action

iii) To activate early and/or anticipatory response(s) to the likely immediate

consequences of natural hazards or other threats on the basis of a scientiﬁc or

risk-based analysis (risk-informed and anticipatory approach).

Risk-informed approach: The CM can be used to strengthen early response and

anticipatory capacity within an intervention; it can ﬁnance activities that aim at

reducing the possible impact of future crises on the most vulnerable people in the

area targeted by the action itself. The probability of such crises must be determined

on the basis of a comprehensive risk analysis and/or scientiﬁc forecast, as in

the case of weather-related hazards or anticipatory actions. In doing so, the CM

exempliﬁes the application of a risk-informed approach that is based on a multi-

risk analysis forecasting the impact of a shock, including likely, expected needs and

estimating the potentially aﬀected population. The consideration of pre-existing

vulnerabilities remains crucial to identify those who are most vulnerable.

Target population and area(s): the target population/area(s) are generally those

indicated in the action, whether this is a response or targeted preparedness action.

However, for response operations, it is possible to use a CM for other population

groups/geographical areas, provided that the partner has the capacity to scale up

and respond. In the case of targeted preparedness actions

, the CM should be used

to respond to a sudden crisis if related to the focus/target population and area of the

action, and if the partner has the capacity to do so. Exceptionally, a CM can be used

76. Provided that other DG ECHO funding mechanisms, such as the Emergency Toolbox, are not activated by the Emergency

Response Coordination Centre (ERCC).

77. Targeted disaster preparedness actions indicate those projects whose interventions (i.e. every output) are fully focused on DP

and do not have any response components.

Local brigades who have

received capacity building

assistance as part of a

disaster preparedness

project implemented

by DG ECHO’s partner

ACSUR-Las Segovias

perform a rescue

operation during a drill in

DG ECHO/I.Coello

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

in a targeted preparedness action to address a shock unrelated to the action if this is

hampering its implementation.

Triggers: CM activation should be dependent on clearly identiﬁed, deﬁned and agreed

triggers and thresholds, particularly when designed and used in targeted DP actions

and/or as anticipatory and early response tools. Triggers and thresholds should be

based on a comprehensive analysis of risks to which the population/area of the

action is exposed, and of the capacities already in place to respond to these risks.

The triggers and thresholds should be discussed and embedded in the design of the

action. Triggers should also be clearly linked to existing early warning systems and/or

contingency plans (national government and/or UN-led), whenever possible.

Timeframe and Budget: the CM should respond to more pressing and urgent life-

saving needs (not necessarily respond to all needs) and it is typically designed

for a limited period of time (average duration observed is generally 1-4 weeks).

As for the budget, it should be proportional to the overall total budget of the

action (an average observed amount is 10%). It should be based on the type of

envisaged interventions and an indicative number of beneﬁciaries (if possible).

The partner will determine whether such a budget can be provided at the

proposal stage and, if not, should indicate “0”, and should provide an indicative

budget if/when activating the CM.

2. How to include a CM in a DG ECHO funded action and activate it

The inclusion of a CM is not mandatory but recommended to all partners, unless

mechanisms such as E/RRM are in place. Should a partner decide to include a

CM in an action, a dedicated result must be present in the Logical Framework

of the action (preferably the last result) and it is recommended that the Single

Form (eSF) includes the following:

• Deﬁnition of the CM result. Note that there is no standard phrasing for the

CM result and partners can propose their formulation (see example in the box

below);

• A thorough risk analysis in the appropriate eSF section (chapter 4).

These camps in

Bangladesh are prone

to seasonal ﬂooding,

landslides and cyclones.

The EU and its partners

have established early

warning systems, helped

to reinforce houses

to resist storms, and

have taught disaster

preparedness in local

Union/Peter Biro

DG ECHO Disaster Preparedness Guidance Note

• Details on the proposed CM result, including:

> Sector: the CM must be recorded under the “Disaster Risk Reduction/Disaster

Preparedness” sector and the “Contingency planning and preparedness for

response” sub-sector, independently of whether it is a multi-sector or single

sector approach

> Options for activation (for example, displacement due to conﬂict, epidemics,

natural hazards etc.), triggers and thresholds of the CM.

> Target population and geographic area(s) where the partner intends to use

the CM.

> The range (numerical) of persons targeted and type of assistance should

be provided. With regard to the type of assistance, partners can use the

section “Comments on Transfer Modalities of the Result”

” to justify the

choice of the modality with regards to preparedness measures.

> A short description of preparedness measures already in place (for example

linkages with national early warning systems, triggers for engagement/

disengagement, prepositioning of stocks and equipment, internal SOPs,

surge staﬀ, coordination with non-DG ECHO/EU funded assistance).

> Key results indicators (KRIs) - these should

be context speciﬁc. However, it is important

to include an indicator measuring the time

lapse between the trigger and the activation

of the crisis modiﬁer – for example: number

of days between the crisis and such a

response (suggestion to generally quantify

as 24/48/72 hours between the crisis and

the response).

> The partner should indicate in the Single

Form the potential use of the budget

attached to the CM in case not used. If

partially used, the partner should just inform

DG ECHO of the reallocation of the remaining

funds to another result when reporting. If no

activation is foreseen close to the end, an

amendment can be triggered to cancel the

CM result.

DG ECHO’s approval for CM use:

as the CM is

a separate result and budget of the action, it is

already approved in the same way as any other

component of the action. This helps to keep the

activation process simple and rapid. However, DG

ECHO expects to be informed in a timely manner

about the need to use the CM, providing essential

information on the crisis, such as triggers,

thresholds and speciﬁc planned support, if multi-

sector. An e-mail to the DG ECHO Technical

Assistant (TA) in the country suﬃces, unless

otherwise speciﬁed.

78. The reason is that the CM is one of the preparedness funding instruments available to partners within the range of preparedness

investments envisaged by DG ECHO.

79. In this regard, partners are reminded to ﬁll in the Transfer Modality Tab (TMT), also for the CM Result.

Examples of a CM result

formulation

• CARE (MOZAMBIQUE): Enhanced capacity to

respond to rapid onset emergency through

access to a crisis modiﬁer.

• BRITISH RED CROSS (KENYA): KRCS responds to

sudden onset emergencies or triggers of slow-

onset emergencies, eﬀectively and within 48

hours.

• ACF (SOMALIA): Vulnerability of the targeted

communities to external shocks is reduced

through agile life-saving interventions

answering to immediate needs brought

by rapid onset disasters; and eﬃcient

patient management and/or public health

preparedness and response to current and

future disease outbreaks including COVID-19

outbreak.

• WELTHUNGERHILFE (DRC): Emergency

assistance for targeted households in case of

renewed displacement due to violence.

• IMC (YEMEN): Contribute to the national

emergency preparedness and response eﬀorts

to mitigate and manage the impact of identiﬁed

and potential crises, including COVID-19.

• SAVE THE CHILDREN (YEMEN): Emergency

Preparedness for rapid onset disasters and

spikes in the conﬂict.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

3. Frequently asked questions (FAQs)

1. If no activation happens, can the partner re-direct funds from the CM

result to other results?

2. If no activation happens, how does the partner report against the

indicators?

3. In the case of a crisis requiring the use of the CM, is the partner still

accountable for achieving the other results in full? Or can the partner

claim that due to the occurrence of a crisis within a crisis, other results’

targets had to be reduced?

4. In the case of a crisis requiring the use of the CM, are partners

contractually accountable / obliged to respond?

5. Is the CM to be used for rapid-onset or slow-onset crises?

6. Is the CM to be used for crises caused by natural hazards or also for

human-induced and other types of crisis?

7. How should partners design triggers for the activation of a CM?

8. What are the typical activities of a CM response?

9. Is the CM always used to provide initial lifesaving assistance in the

aermath of a crisis?

10. Is the assistance provided through the CM unconditional?

11. Why do we need a separate result? Would DG ECHO contractual

ﬂexibility not be suﬃcient? What is the diﬀerence between the CM and

the E/RRMs (Emergency/Rapid Response Mechanism)?

12. What is the diﬀerence between the CM and the E/RRM (Emergency/

Rapid Response Mechanism)?

Simulating a full scale

natural disaster in the

mountains of Kyrgyzstan

Near the sports ground,

the school gymnasium

has been transformed

into an evacuation centre,

where the volunteers

prepare and distribute

food to the villagers who

have been ﬂocking here

DG ECHO/Pierre Prakash

DG ECHO Disaster Preparedness Guidance Note

1. If no activation happens, can the partner re-direct funds from the CM

result to other results?

Yes, the partner should state in the eSF that unused funds will be allocated to scale

up another result(s). Eﬀective internal monitoring by the partner is paramount to

track unused funds early enough before the project ends, so that suﬃcient time is

allocated to use them in a relevant way. The indicators of other results may need to

be amended

. Communication in writing with the relevant DG ECHO Country Oﬃce

(CO) and Desk Oﬃcer (DO) should be attached at Final Report (FR) stage.

2. If no activation happens, how does the partner report against the

indicators?

The partner explains in the Final Report that there was no crisis and no need to use the

CM (partially or fully), thus indicators were not relevant anymore.

3. In the case of a crisis requiring the use of the CM, is the partner still

accountable for achieving the other results in full? Or can the partner

claim that due to the occurrence of a crisis within a crisis, other results’

targets had to be reduced?

A crisis-within-a-crisis and the need to use a CM is not per-se a reason/justiﬁcation

for implementing the action that was originally planned diﬀerently or for reducing the

targets of the other results. The CM is itself part of the originally agreed work-plan and

its activation should not impact the remaining planned activities. However, should the

needs created by a crisis-within-a-crisis overwhelm the response capacity of the CM

and require additional resources within the action, a Modiﬁcation Request (MR) may be

necessary to re-programme project activities. In that case, targets of indicators of other

results may be adapted accordingly. In extreme situations, if the planned action cannot

be implemented, termination of the project might be considered.

4. In the case of a crisis requiring the use of the CM, are partners

contractually accountable / obliged to respond?

The partner does not have a contractual obligation. However, if a CM result has been

included in Section 4 of the eSF (risk analysis, scenarios, rule of engagement), the

partner is expected to activate the CM. If the CM is not activated, the partner should

provide a justiﬁcation.

5. Is the CM to be used for rapid-onset or slow-onset crises?

The speciﬁcity of the CM is its rapidity. Its added value is thus evident in the event of

rapid-onset shocks, of small magnitude, but high impact. For slow-onset events, other

ﬁnancial instruments are more appropriate as the impact on beneﬁciaries unfolds over

a longer timeframe. However, in speciﬁc circumstances, the activation of a CM may be

justiﬁed for slow-onset crises in order to design an anticipatory or early action.

80. This does not apply in every case as, according to DG ECHO’s rules, when an indicator or number of beneﬁciaries only exceeds

the original target by a reasonable amount, there is no need for an amendment. See DG ECHO FPA partner website: www.dgecho-

partners-helpdesk.eu/iofpa/changes/amendments-by-mutual-consent

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

6. Is the CM to be used for crises caused by natural hazards or also for

human-induced and other types of crisis?

The CM can be used to address all types of risks to which DG ECHO responds, as long

as mechanisms in place demonstrate it is eﬀective to initiate rapid responses to sudden

crises (see examples below).

In Eastern Africa, a CM was used in the event of small-

scale displacements due to conﬂict

In March 2018, in connection with a project implemented by the British Red Cross, the

Kenya Red Cross Society implemented a cash transfer programme for drought aﬀected

pastoralists in Kenya’s northern districts during which it activated a CM. Through the

CM, they were able to respond within 24 hours to the displacement of 10,000 Ethiopian

asylum seekers who crossed the border with Kenya. The Kenya Red Cross Society

assisted the asylum seekers ﬁrst with NFIs from its pre-positioned stocks, aer which a

2-week food ration was distributed to provide for immediate food needs, thus ﬁlling the

gap before the WFP took over food assistance.

In southern Africa, CMs were activated for the initial

response to ﬂoods and cyclones

Weeks before the start of the cyclone season, partners implemented disaster

preparedness activities to reinforce local and district committees’ preparedness plans,

such as prepositioning items at national and community level. Days and hours before

the cyclones hit the coast, based on meteorological information, CM activation was

used to mobilise large emergency stocks to be moved closer to the area of forecasted

impact, along with the activation of civil protection committees and the dissemination

of warning messages and for active evacuation activities.

Aer the cyclones hit, the CMs were used for the initial response: rescue services, ﬁrst aid,

the distribution of non-food items and the setting up camps and evacuation sites. This

assistance bridged with the DG ECHO ALERT/Small scale funds that were subsequently

received by partners who provided assessments and deployed operational personnel.

Madagascar (tropical cyclones Enawo and Belna in 2017 and 2020) and Mozambique

(Dineo/IDAI/Kenneth - 2018/2019).

7. How should partners design triggers for the activation of a CM?

For recurring and predictable crises (e.g. cyclone and monsoon season, recurring

cholera outbreaks or conﬂict-related displacement), partners should have the

programming ability to take into account predictable events in their risk analysis

and design scenarios for activation and triggers, which can be quantitative or

qualitative. Triggers should be deﬁned in collaboration with the relevant sectors/

sector clusters and national authorities for the purpose of harmonisation and

complementarity, whenever possible.

DG ECHO Disaster Preparedness Guidance Note

8. What are the typical activities of a CM response?

The CM should be used to save lives through actions/activities such as (non-

exhaustive list):

• Emergency shelter, WASH, health and/or food or non-food items (NFIs) provided

during the ﬁrst phases of displacement.

• Emergency water supply provided in the ﬁrst phases of an epidemic/displacement.

• Short-term unconditional and unrestricted cash transfers; this could also be

considered in the form of horizontal or vertical scaling-up of an on-going

humanitarian programme or national social protection mechanism.

• Short-term food distribution, before food assistance is in place.

• Protection: services such as restoring family links, assistance to unaccompanied

minors and other vulnerable groups, information and referral of lifesaving services.

• Emergency health, nutrition and vaccination.

• Preventive evacuation (for example from areas at risk of ﬂoods/cyclones).

Cash can be used as a delivery modality for a CM.

9. Is the CM always used to provide initial lifesaving assistance in the

aermath of a crisis?

Yes. Activities related to recovery such as poverty mitigation (Cash/Food

for Work - C/FfW), support to income-generating activities, rehabilitation

of infrastructures (water supply schemes), provision of farm inputs/seeds,

livestock restocking, etc., should be supported through other medium-/long-

term response mechanisms.

10. Is the assistance provided through the CM unconditional?

Yes. As for any other DG ECHO intervention.

11. Why do we need a separate result? Would DG ECHO contractual

ﬂexibility not be suﬃcient? What is the diﬀerence between the CM and

the E/RRMs (Emergency/Rapid Response Mechanism)?

Indeed, the contractual ﬂexibility of DG ECHO would allow for such reorientation

of activities and funds within an action. However, this contractual ﬂexibility would

still entail a discussion with DG ECHO and the immediate availability of additional

funding that might slow down the intervention. In contrast, as it is already part

of the action, the CM ensures rapidity of intervention, and it is also good practice

to identify risks and potential interventions in areas where there is a very high

probability that risks will materialise. Having a separate result is a good way to

materialise it in line with ALERT. The CM thus forces both DG ECHO and its partners

to anticipate ways to respond early from the beginning of the intervention.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

12. What is the diﬀerence between the CM and the E/RRM (Emergency/

Rapid Response Mechanism)?

Both instruments (CM & E/RRM) have the same purpose of enhancing the ﬂexibility

and rapidity of the response, but on diﬀerent scales. Both, to be eﬀective, have to

be based on robust risk analysis, as comprehensive and cohesive preparedness

plans as possible, early warning systems and related triggers and agreed scenarios

and contingency plans.

Deﬁnitions - INSPIRE report “Review of Emergency/

Rapid Response Mechanisms (E/RRMs)”

E/RRMs are contractual arrangements that DG ECHO establishes with one or multiple

partners in a given country to ensure that a network of humanitarian organizations

can access suﬃcient personnel, and ﬁnancial and material resources to respond to

recurring localized, small-scale emergencies as soon as possible aer they occur. These

can either be conﬂict-related or natural disasters. The exact arrangements diﬀer from

country to country. Depending on the context, E/RRMs include funding for pre-positioning

of goods and staﬀ capacity, to facilitate coordinated needs assessments, or to make

cash reserves available for a timely response. DG ECHO makes funding available before

shocks occur, and partners commit to serve the needs of those aﬀected by those shocks.

E/RRMs are more than just a ﬂexible funding instrument. They are designed to improve

coordination and harmonize approaches throughout the assessment, response and

monitoring phases. The DG ECHO-funded E/RRMs may be diﬀerent in the way they are

organised as they are linked to speciﬁc contexts and rely on diﬀerent implementing

modalities.

The principal diﬀerence between CM and E/RRM is that the CM is embedded as a

result into a humanitarian action and is typically designed to be used either at once

if the entire budget is needed or several times on a smaller scale if this is suﬃcient.

It beneﬁts from the fact that the partner is already working in the area, and has

the capacity to scale up their activities within days. For conﬂict-aﬀected areas, the

previous presence of the partner can facilitate acceptance and reduce mistrust

among the population in the event of a sudden crisis and response. The E/RRM, on

the other hand, is a stand-alone action providing predictable resources for several,

larger-scale responses, either subcontracted or directly implemented by the grant

holder, in diﬀerent and larger geographical areas.

The CM and the E/RRM are not mutually exclusive. They can coexist in the same

country/geographical subdivision and be complementary both in terms of time-

sequence and needs addressed.

DG ECHO Disaster Preparedness Guidance Note

For the 2021-2024 cycle, there are four global priorities for targeted preparedness

actions funded by the DG ECHO dedicated budget - the DP Budget Line (DP BL). All

priorities are inter-connected and mutually reinforcing as activities implemented under

one priority will beneﬁt the other priorities. The priorities are as follows:

1. Risk-based and anticipatory actions;

2. Preparedness in conﬂict and fragile settings;

3. Climate and environmental resilience;

4. Urban preparedness.

Additionally, cross-cutting issues should be integrated into the global priorities whenever

relevant and feasible as follows: Protection; Logistics; and Enhanced partnerships.

EXAMPLES OF ACTIONS FOR EACH PRIORITY

Priority 1 - Risk-based and anticipatory actions

Preparedness (in no particular order)

• Conducting of risk and vulnerability assessments.

• Strengthening of data collection/monitoring capacity.

• Establishment/strengthening of Early Warning Systems (EWS) at local and

national level.

• Development/update of contingency plans (on the basis of risk/vulnerability

assessments).

• Development/reinforcement/update of Standard Operating Procedures

(SoPs).

• Development/strengthening of institutional capacities and inclusion of

preparedness/anticipatory approach in government legislative frameworks.

• Establishment of preparedness/emergency response/early action funds.

• Conducting of simulations/drills.

• Stipulation of pre-agreements with international/local providers for stocks/

assets.

Annex 3. Targeted

Preparedness Actions -

Global Priorities 2021-2024

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

• Ensuring the establishment of coordinated and well-functioning networks

and systems for the early identiﬁcation of protection risks, trends and

violations.

• Preparing and training front-line workers and ﬁrst responders on the

identiﬁcation of vulnerable individuals in need of protection assistance as

well as on the provision of quality service provision (e.g. psychological ﬁrst

aid, safe referrals etc.).

• Ensuring appropriate safeguarding and protective measures to mitigate the

loss of civil documentation and housing, land and property documentation.

• Facilitating the replacement of lost or destroyed legal documents by

establishing advance measures to reduce administrative hurdles for

displaced people in accessing services.

• Strengthening systems and mechanisms to prevent and mitigate the risk of

family separation, and ensure pre-emptive identiﬁcation of alternative care

solutions for unaccompanied, separated and orphaned children. Training

communities and ﬁrst responders in psychological ﬁrst aid in order to get

the appropriate reaction in an emergency to support people in need/aﬀected

by distress during the acute phase of the emergency.

• Setting up of School Disaster Risk Management Committees responsible

for establishing strong safety and protection contingency plans as well as

child-friendly warning systems on participatory risk assessments.

• Awareness campaigns (various topics – e.g. health protection, risk awareness,

preparedness actions, GBV, etc.).

• Preparedness for camp management (e.g. pre-identiﬁcation of sites/material

needs).

• Strengthening capacities of all actors (community, humanitarian workers,

government oﬃcials - including police and military) on protection.

• Building of emergency shelters and/or adjustments to diﬀerent group needs.

• Fostering community structures and protection networks to cope with

exposure to risks.

• Reinforcing self-protection plans at community level, including speciﬁc

prevention and mitigation measures to ensure the inclusion of the most

vulnerable in mechanisms and systems.

• Ensuring that culturally appropriate mental health and psychosocial

services delivered by qualiﬁed staﬀ remain available in the Disaster

Preparedness framework and that clear pathways to access these services

are disseminated beforehand.

• Reinforcing social workers’ capacities to provide appropriate assistance to

protection cases, securing data protection and conﬁdentiality also during

disasters through protocols with clear standards of care and treatment for

survivors.

• Development of a local and national framework that supports tailored

country Emergency Preparedness, early action and response to incorporate

quality benchmarks for International Humanitarian Law, and support

dissemination and roll-out.

DG ECHO Disaster Preparedness Guidance Note

Preparedness for anticipation (in no particular order)

• Development/reinforcement/update of Early Action Protocols.

• Scaling up of Early Action Protocols (through institutionalisation, for example).

• Strengthening of institutional capacity to implement forecast-based actions,

including institutionalisation of protocols.

• Coordination and harmonisation with relevant stakeholders (including

harmonisation of triggers and collaboration in terms of advocacy for

institutionalisation of anticipatory approach).

• Simulation and testing of forecast-based actions (e.g. testing evacuation and

transportation of people/livestock to shelters).

• Preparedness for cash transfers/SRSP.

Anticipatory actions - activated on the basis of scientiﬁc forecasts aer

trigger is reached (in no particular order):

• Cash distribution - possibly tied to preparatory actions (e.g. protection of assets/

lives).

• Livestock vaccination campaigns.

• Livestock destocking (mostly for drought).

• Mass chlorination of water sources.

• Rehabilitation of water sources.

• Setting up of mobile cooling centres.

• Prepositioning of personal protective equipment.

• Mass evacuations, ensuring they are justiﬁed, based on law, and implemented

without discrimination.

• Distribution of livestock feed, water puriﬁcation tablets, hygiene kits, etc.

Priority 2 - Preparedness in conﬂict and fragile settings

The interventions below do not repeat some of those already listed under priority 1 that

are applicable also in conﬂict areas (e.g. risk analysis).

• Undertaking a dividers and connectors analysis prior to designing interventions.

• Mapping of shock-responsive social care structures and mechanisms in conﬂict-

aﬀected and disaster-prone settings.

• Integration of protection indicators and housing, land, property issue considerations

in contingency plans.

• Integration of displacement and protection concerns in existing conﬂict, violence

and disaster early warning systems.

• Training of front-line workers and ﬁrst responders on speciﬁc protection risks.

Training of social workers to respond appropriately to gender-based violence

survivors, securing data protection and conﬁdentiality also during disasters.

• Creation of a roster of trained deployable protection professionals.

• Dissemination of information on how to access culturally-appropriate mental

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

health services delivered by qualiﬁed staﬀ or how to access safe displacement

routes, analysed according to risks.

• Reinforcement of community structures and protection networks. This

may include the reinforcement of self-help groups, school and community

activities, as well as more targeted interventions such as the development

and dissemination of socially and culturally acceptable information about

coping and self-help/self-protection techniques.

• Community-based risk awareness-raising with practical information on how to

reduce displacement-related risks, such as the need to carry legal documents,

secure productive assets le behind and bring essential medication.

• Capacity building of regional, national and local government units and

protection service providers through, for example, real-life simulations in

emergency preparedness and prevention skills to protect the most vulnerable

populations.

• Reinforcement of advocacy capacities of regional, national and local

stakeholders to address the protection needs of refugees and forcibly

displaced people.

• Assessment of the consequences of protracted displacement.

• Establishment and strengthening of public and private employment

partnerships to provide skills and language training to aﬀected people, GBV

survivors and victims of violence, abuse and exploitation for socio-economic

reintegration and recovery.

• Reinforcing self-protection plans at community level, including speciﬁc

prevention and mitigation measures to ensure the inclusion of the most

vulnerable in mechanisms and systems.

• Reinforcing systems’ preparedness in relation to refugee, asylum seeker,

migrant and/or IDP displacement ﬂows.

• Ensuring that culturally appropriate mental health and psychosocial services

delivered by qualiﬁed staﬀ remain available in the Disaster Preparedness

framework and that clear pathways to access these services are disseminated

beforehand.

• Reinforcing social workers’ capacities to provide appropriate assistance to

protection cases, securing data protection and conﬁdentiality also during

disasters through protocols with clear standards of care and treatment for

survivors.

• Development of a local and national framework that supports tailored country

Emergency Preparedness, early action and response to incorporate quality

benchmarks for International Humanitarian Law, and support dissemination

and roll-out.

• Understanding the level of IHL integration in the domestic normative

framework as well as the level of IHL dissemination among the military, police

and other security forces. Analysing how and where additional eﬀorts can

be undertaken to support relevant IHL dissemination and otherwise promote

compliance with IHL.

Priority 3: Interventions for climate and environmental resilience

Contributing to both climate and environmental resilience:

• Preparedness for shock-responsive/mobile cash transfer systems to serve

forecast-based anticipatory actions aiming at limiting response needs.

DG ECHO Disaster Preparedness Guidance Note

• Capacity building in the use of technology (e.g. drones

and remote sensing) to

assess the eﬀects of a disaster, including on the environment, search and rescue

operations or for risk analysis (e.g. digital tools such as artiﬁcial intelligence).

• With the objective of reducing emissions and pollution due to transport: i.

Positioning and/or pre-positioning of stocks/supplies in areas which are the

most relevant to reach most at-risk areas (based on risk analysis)

; ii. Pre-

identiﬁcation & pre-contracting of local vendors who comply with environmental

and social criteria; ii. Resource pooling.

• Based on climate and environmental risk analysis, and in cooperation with local

and national governments, review sections of contingency plans/guidelines

speciﬁcally dealing with camp management to ensure that camps are either

planned in safe locations or existing ones are relocated.

Environment speciﬁc:

• Capacity building for waste management during emergencies.

• Integration of environmental considerations into contingency/response plans

at national and local level (e.g. ensuring reuse and recycling of materials for

shelter construction, including debris, provision of clean/renewable energy and

energy eﬃcient solutions, sound waste management, including faecal sludge

management, etc.).

• Integration of environmental considerations into camp management guidelines/

plans at national and local level (e.g. type of shelter materials, to avoid use of

illegally sourced local timber, use of renewable energy for electricity, provision

of energy-eﬃcient cooking solutions, promotion of tree planting activities,

sound waste management, including faecal sludge management, etc.).

• Supporting awareness-raising and capacity-building for communities on sound

environmental management (waste management, preventing conﬂict over

natural resources, e.g. water, preventing deforestation, etc.).

• Supporting the inclusion in preparedness/contingency plans (national/local

level) of clearing of stagnant/polluted water and of waste from canals prior to

rainy season, particularly in urban areas.

Climate resilience speciﬁc:

• Integrating climate risk/impact projections into Early Warning Systems, triggers

and standard protocols.

• Based on climate risk analysis/forecast, supporting epidemic outbreak

preparedness (e.g. dengue, malaria, cholera, Covid-19, etc. from epidemiological

surveillance to vector control).

• Using future climate risk projections to identify preparedness needs, and updating

plans accordingly.

• Identiﬁcation/construction/improvement of community shelters to withstand

climate shocks (particularly more frequent ﬂoods/cyclones).

• Improving evacuation routes and practices based on existing climate risk/impact

81. The use of drones helps limit the use of cars/helicopters or helps to plan a more targeted use so that it reduces emissions

due to transport.

82. The positioning/pre-positioning of stocks/supplies does not necessarily imply that purchase of stocks/supplies should be funded

by the DP BL. Should DP BL funded projects comprise prepositioning and or procurement of equipment/supplies, it is suggested that

this amount does not exceed 5% of the total project budget.

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

projections (e.g. simulations for cyclone/ﬂood evacuation, or for projected risks,

such as coastal erosion or rising sea levels).

• Updating vulnerability and capacity assessments to integrate climate risk/

impact projections.

• Awareness raising and EWEA for heatwaves (e.g. mobile cooling centres,

retroﬁtting of buildings with features reducing heat impact, nature-based

solutions).

• Conducting Gendered Climate Vulnerability and Capacity Analysis (GVCAs) in

target communities for dissemination of tailored and appropriate early warning,

application of techniques to reduce damage to homesteads and assets, and

protection assistance in evacuations.

• Promotion/capacity building/improvement of rainwater harvesting (drought

speciﬁc measure).

Priority 4 - Urban preparedness

The interventions below do not repeat those already listed under priority 1 that are

applicable also in urban areas.

• Strengthening/updating of disaster risk/impact mapping (geospatial and open

street mapping, crowdsourcing, etc.).

• Draing/reinforcing/updating of Standard Operating Procedures/Early Action

Protocols for potential hazards in urban settings (e.g. epidemics, earthquakes).

• Conducting Early Action Protocol simulations and drills.

• Establishing urban community centres for the delivery of adequate and accessible

social services to the most vulnerable individuals and groups, promoting public

awareness, and considering the stockpiling of necessary protection materials and

services to assist the most aﬀected populations.

• Establishing urban community centres for the delivery of adequate and accessible

social services to the most vulnerable individuals and groups, promoting public

awareness, and stockpiling of necessary protection materials and services to assist

the most aﬀected populations.

• Training of stakeholders to enhance preparedness of urban social care services with

regard to speciﬁc urban risks, whether from natural hazards, or human-induced

threats such as violence and high levels of criminality.

• Upgrading/strengthening infrastructures so that they can withstand speciﬁc urban

risks, whether from natural hazards, or human-induced threats such as violence.

• Engaging with private sector and critical service providers before the disaster

strikes.

• Designing mass evacuation plans and undertaking drills.

• Improving evacuation routes and practices.

• Ensuring that preparedness/contingency plans include activities such as the clearing

of stagnant/polluted water and waste from canals prior to the rainy season.

• Advocating for the inclusion of gender, age, diversity and disability considerations

in longer-term urban development and management programmes to ensure that

there are no barriers increasing the vulnerability of diﬀerent population groups

when an emergency takes place.

DG ECHO Disaster Preparedness Guidance Note

Risk assessment

National level:

• Index for Risk Management (INFORM)

• World Risk Index

• FAO (2016) - Resilience Index Measurement and Analysis II (RIMA - II)

• Disaster loss databases: DesInventar, EM-DAT: The International Disaster

Database IOM’s Needs and Population Monitoring tool.

Community level:

• Government of Bangladesh and UNDP (2005) - Community Risk Assessment

Tool

• IFRC (2006-2008) - Enhanced Vulnerability and Capacity Assessment

• Trocaire (2020) - Environmental Stewardship Tool

Disaster risk ﬁnance

• DG ECHO commissioned Overseas Development Institute - ODI (2019): Risk-

informed approaches to humanitarian funding: using risk ﬁnance tools to

strengthen resilience

• CARE (2019) - Insuring for a changing climate

• Centre for Disaster Protection (2019) - Ensuring impact: the role of Civil

Society Organisations in strengthening World Bank disaster risk ﬁnancing

• Start Network and Overseas Development Institute (2019) - Analysing Gaps

in the Humanitarian and Disaster Risk Financing Landscape

• Start Network (2019) - Disaster Risk Financing in Concert

Early warning systems

National level:

• GDACS - Global Disaster Alert and Coordination System

• CREWS - Climate and Early Warning Systems

• IFCR 2018 - Collaborating with national climate and weather agencies: a

guide to getting started

• Integrated Food Security Phase Classiﬁcation (IPC) - www.ipcinfo.org

Community level:

• IFRC (2020) - Community early warning systems: guiding principles

• IFRC (2014) - Community Early Warning Systems (CEWS), training toolkit

• Norwegian Red Cross & IFRC - Community Based Surveillance

Annex 4.

Resources and Tools

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

Anticipatory action

• German Red Cross Anticipation Hub

• Climate Services Journal (2020) - Fostering_anticipatory_humanitarian_actions_

for_heatwaves_in_Hanoi_through_forecast-based_ﬁnancing

• WFP-ODI (2020) - The Evidence Base on Anticipatory Action

• ODI (2020) - Integrating anticipatory action in disaster risk management

• D. Maxwell and P. Hailey (2020) - Towards Anticipatory Information Systems

and Action: Notes on Early Warning and Early Action in East Africa

• ODI (2020) - Anticipatory Action for livelihood protection. A collective

endeavour

• RCCC (2020) - Forecast-based Financing and Early Action for drought

Strengthening capacity

• Oxfam Novib - Strengthening local and national capacity: How to rethink

capacity and complementarity

• UNDP - Community-Based Resilience Analysis (CoBRA)

Logistics

• DG ECHO Logistics Policy - forthcoming

• Logistics Cluster

• Logistics cluster’s Logistics Capacity Assessment

Shock Responsive Social Protection (SRSP)

• European Commission - Social Protection across the Humanitarian-Development

Nexus. A game changer through crisis.

Cash preparedness

• DG ECHO Thematic Policy Paper (2013) - Cash and Vouchers

• CALP (2019) - Joint Donor Statement on Humanitarian cash transfers

• CaLP - Programme quality toolbox

Institutional policy and legislative frameworks

• IFRC (2019) - Checklist on Law and Disaster Preparedness and Response

• IFRC & UNDP (2015) - Checklist on Law and Disaster Risk Reduction

Data and information management & technology

• Harvard Humanitarian Initiative - Data preparedness: connecting data,

decision-making and humanitarian response

• ICRC (2017) - Handbook on data protection in humanitarian action

• European Commission - New technology for drone-based emergency response

missions

DG ECHO Disaster Preparedness Guidance Note

Contingency planning & business continuity

• IFRC Contingency Planning Guide

• IFRC Business Continuity Help Desk

• IASC (2015) - Emergency Response Preparedness (ERP) Guidelines

Communication, advocacy and awareness

• IFRC & Save the Children (2018) - Public Awareness and Public Education for

Disaster Risk Reduction

• IFRC (2018) - Public Awareness and Public Education for Disaster Risk

Reduction

• IFRC (2018) - A guide for the media on communicating in public health

emergencies

• IFRC (2012) - Disaster risk reduction: a global advocacy guide

• Care International (2015) - Youth-led Advocacy for Disaster Risk Reduction:

A Guide

Urban preparedness

• IFRC (2017) - Building urban resilience: A guide for Red Cross and Red Crescent

engagement and contribution

• IFRC Climate Centre (2020) - City Heatwave Guide for Red Cross Red Crescent

Branches

• ICRC (2020) - Displaced in Cities: Experiencing and Responding to Urban

Internal Displacement Outside Camps

• ICRC (2015) - Urban services during protracted armed conﬂict: a call for a

better approach to assisting aﬀected people

• URBANET - News and debates on municipal and local governance, sustainable

urban development and decentralisation

• IFRC (2017) - Building urban resilience: A guide for Red Cross and Red Crescent

engagement and contribution

• UNDRR campaign: Making Cities Resilient: My City is getting ready

• UN Habitat - City resilience proﬁling tool

• ICLEI – Local Governments for Sustainability

• ICLEI ACCCRN Process (2014) - Building urban climate change resilience: a

toolkit for local governments

• ISET (2021) - A Framework for Urban Climate Resilience

• ARUP - City Resilience Index

• Disaster resilience of place (DROP) Model

• Plan International (2016) - Child-Centred Urban Resilience Framework

• Climate and environmental interventions

• UNEP-OCHA (2017) - The environmental emergency guidelines

• Sphere Handbook supplementary guidelines on Reducing environmental

impact in humanitarian response

• WWF (2017) - Green Recovery and Reconstruction Toolkit

• EE Centre - Environmental emergency preparedness and response trainings

• IFRC (2020) - What is climate-smart programming and how do we achieve it?

• IFRC (2020) - City Heatwave Guide

• World Bank Climate Change Knowledge Portal

• ICRC (2019) - When Rain Turns to Dust: Understanding and responding to the

combined impact of armed conﬂicts and the climate and environment crisis

on people’s lives

Preparedness in conﬂict and violent situations

DG ECHO Disaster Preparedness Guidance Note DG ECHO Disaster Preparedness Guidance Note

• Global Public Policy Institute - GPPI (2020) - An Agenda for expanding

forecast based action to situations-of conﬂict

• FAO resources on Anticipatory Action

Preparedness for drought

• FAO (2019) - Proactive approaches to drought preparedness

• IASC (2015) - Emergency Response Preparedness

• DG ECHO Thematic Policy Paper (2014) - Water, Sanitation Hygiene

• Start Network (2020) - African Risk Capacity Replica

• African Risk Capacity - Risk View

Preparedness for protection

• DG ECHO Thematic Policy Paper (2016) - Humanitarian Protection

• ICRC (2020) - Professional Standards for Protection Work

• IASC (2018) - Sphere Handbook

Preparedness for displacement

• Platform on Disaster Displacement (PDD)

• NRC, PDD, IOM, IDMC, UNHCR, the German Federal Foreign Oﬃce (2018) -

Words into Action: practical and important tool supporting the inclusion of

human mobility challenges in DRR

• Platform on Disaster Displacement (2018) - Mapping the Baseline - To What

Extent are Displacement and Other Forms of Human Mobility Integrated in

National and Regional Disaster Risk Reduction Strategies,

• Global Compact on Refugees (GCR)

• IOM - Transhumance tracking tool

• IOM (2020) - Human Mobility in the Context of Environmental and Climate

Change - Assessing current and recommended practices for analysis

within DTM

DG ECHO Disaster Preparedness Guidance Note

Anticipatory Action

ALERT

Acute Large Emergency Response Tool - DG ECHO

CBPF

Country Based Pooled Funds

CBS

Community Based Surveillance

Crisis Modiﬁer

CMAM

Community Management of Acute Malnutrition

Civil Protection

CSO

Civil Society Organisation

DIPECHO

Disaster Preparedness (Programme) - DG ECHO

DG ECHO

Directorate General for Humanitarian Aid & Civil Protection,

European Commission

DG INTPA

Directorate General for International Partnerships

DG NEAR

Directorate General for European Neighbourhood Policy and

Enlargement Negotiations, European Commission

Disaster Preparedness

DP BL

Disaster Preparedness Budget Line

DREF

Disaster Relief Emergency Fund

DRF

Disaster Risk Finance

DRM

Disaster Risk Management

DRR

Disaster Risk Reduction

Early Action

European Commission

EEAS

European External Action Service

eSF

electronic Single Form

Early Response

ERP

Emergency Response Preparedness

European Union

EWEA

Early Warning Early Action

EWS

Early Warning System

FAO

Food and Agriculture Organisation of the United Nations

FAFA

Financial and Administrative Framework Agreement

GBV

Gender-based Violence

GIS

Geographic Information System

HDP

Humanitarian Development Peace

Acronyms

DG ECHO Disaster Preparedness Guidance Note

HIP

Humanitarian Implementation Plan

HLP

Housing, Land and Property

IASC

Inter-agency Standing Committee

ICRC

International Committee of the Red Cross

IDP

Internally displaced people

IFRC

International Federation of Red Cross and Red Crescent Societies

IHL

International Humanitarian Law

IHRL

International Human Rights Law

INGC

National Institute for Disaster Management (Mozambique)

INGO

International Non-governmental Organisation

IPC

Integrated Food Security Phase Classiﬁcation

Member States

NGO

Non-governmental Organisation

OECD

Organisation for Economic Co-operation and Development

PASSA

Participatory Approach for Safe Shelter Awareness training

PER

Preparedness for Eﬀective Response

Resilience Marker

SDGs

Sustainable Development Goals

SFDRR

Sendai Framework for Disaster Risk Reduction

SOPs

Standard Operating Procedures

Social Protection

S&S

Shelter and Settlements

SRSP

Shock Responsive Social Protection

UCPM

Union Civil Protection Mechanism

United Nations

UNDRR

United Nations Oﬃce for Disaster Risk Reduction

UNICEF

United Nations Children's Fund

UN OCHA

United Nations Oﬃce for Coordination of Humanitarian Aﬀairs

WASH

Water, Sanitation and Hygiene

WFP

World Food Programme

DG ECHO

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