Guidelines - Climate Resilient Village Development Planning in Sri Lanka

IMPLEMENTATION GUIDELINES FOR
CLIMATE RESILIENT VILLAGE DEVELOPMENT
PLANNING IN SRI LANKA
MINISTRY OF DISASTER MANAGEMENT
DEVELOPED UNDER THE
CLIMATE CHANGE ADAPTATION PROJECT (C-CAP)
SUPPORTED BY UNITED NATIONS DEVELOPMENT PROGRAMME

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Developed under the Community Resilience Framework of Sri Lanka 2015
By Indu Abeyratne, Village Development Planning Specialist
Programme Management Unit
Ministry of Disaster Management

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Table of contents
1. Introduction...................................................................................................................................5
The objectives of the Guideline ..........................................................................................................6
Implementation of the guidelines ......................................................................................................7
2. The process of building climate change and disaster resilient communities ..........................8
Target Audience..................................................................................................................................9
Drivers of Resilience..........................................................................................................................10
3. Implementation Process.............................................................................................................11
Step 1: Strengthening the Divisional Development Planning Mechanism .......................................12
Step 2: Selection, Mobilization andStrengthening the Community Institution................................15
Step 3: Climate Change and Disaster Risk Assessment.....................................................................22
Step 4: Risk sensitive village development planning towards resilience..........................................36
Step 5: Participatory Implementation, Monitoring and Evaluation .................................................42
Annexes ................................................................................................................................................46
Annex 1: Indicators for measuring Climate Change and Disaster Resilience ...................................46
Annex 2: Community selection criteria.............................................................................................49
Annex 3: Sample Community Level Risk Sensitive Development Plan.............................................53

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1. Introduction
Disaster impacts are becoming more vicious in the Sri Lanka and its economy during recent past. Floods,
landslides, land degradation, high winds, forest-fires, droughts, and other natural hazards collectively
threatened thousands of people every year and affect the lives of many more. Disasters destroy homes
and businesses, displace people, disrupt transportation, and interrupt economic activity. And human-
induced disasters, such as improper land use, water pollution, break of social networks, or social unrest,
can be as destructive as natural ones.
Today uncertainties associated with climate variability poses great risks to the economic development
all over the world. Sri Lanka has reasons to be concerned about climate change. Its population depends
upon climate-sensitive sectors like agriculture and forestry for its livelihood. Any adverse impact on
water availability due to changes in rural ecosystem, decrease in rainfall and increased flooding in certain
pockets would threaten food security, pose risk to the natural ecosystems including species that sustain
the livelihood of rural households, and adversely impact the coastal system due to sea-level rise and
increased extreme events.
If our nation continues its current approach to disasters and climate change; one that relies heavily on
ex-post context; the toll taken by disasters will likely continue to rise. We can choose instead to embark
on a new path, one that recognizes the value of resilience to the individual, household, community, and
nation. A culture of resilience provides a way to reduce vulnerability to disasters and their impacts before
they occur, with the potential to decrease disasters’ costs and consequences. However, building the
culture and practice of disaster resilience is not simple or inexpensive. Decisions about how and when to
invest in increasing resilience involve short- and long-term planning and investments of time and
resources prior to an event. Although the resilience of individuals and communities may be readily
recognized after a disaster, resilience is currently rarely acknowledged before a disaster takes place,
making the “payoff” for resilience investments challenging for individuals, communities, the private
sector, and all levels of government to demonstrate.
Building resilience requires an integrated approach and a long-term commitment to improving three
critical capacities: absorptive capacity, adaptive capacity, and transformative capacity (as described in the
Community Resilience Framework). Absorptive capacity is the ability to minimize exposure to shocks
and stresses where possible and to recover quickly when exposed. Adaptive capacity involves making
proactive and informed choices about alternative livelihood strategies based on changing conditions.
Transformative capacity relates to governance mechanisms, policies/regulations, infrastructure,
community networks, and formal social protection mechanisms that are part of the wider system in
which communities are embedded. The capacity for collective action is evident in the processes of
customary and formal institutions in five main areas relative to community resilience: disaster risk
reduction, conflict mitigation, social protection, natural resource management, in managing and
maintaining public goods and services.
In this context Ministry of Disaster Management is implementing a Climate Change Adaptation Project
(C-CAP) with the support of UNDP Sri Lanka for four years in most vulnerable districts to climate induces
disasters in Puttalam, Kurunegala and Ratnapura. The project scope is in line with the Community
resilience Framework which will be key guiding framework for risk sensitive development in the country
in future which was developed under the Sri Lanka Comprehensive Disaster Management Programme.
In order to address above risks, the project aims to build adaptability to climate change into the design
and implementation of developments planning. Building resilience in rural development programmes to
current and projected climatic change will include developing institutional capacities to assess risk,

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designing appropriate interventions and implementing adaptation actions with community
participation. Through the Ministry of Disaster Management’s internal coordinating mechanisms the
project will work with a range of technical partners- such as the Department of Agriculture, Irrigation,
Livestock, and Disaster Management Centre. The project aims to conduct climate risk assessments in 12
districts to identify areas with greater risk; and train district planning officials to manage climate risks. At
village level, the project will support incorporation of climate risk assessments in to every Grama
Niladhari (GN) level Village Development Plan.
The project will deliver concrete adaptation measures in three selected districts with high vulnerability to
climate change, building on the government-funded rural development programmes. These measures
will include enhanced water storage and rational use, conservation of soil, coastal ecosystems for
improved agricultural production, improved crop choice and built infrastructure such as roads, irrigation
systems and water supply which incorporate climate risk reduction.
Following set of guidelines is to facilitate the implementation of the project with greater emphasis to
mainstream disaster risk management and climate change adaptation into development planning
process. Further this guideline helps to incorporate risk sensitive planning to periodic and annual
programmes at local levels to build a disaster resilient society and bring about sustainable development.
These guidelines promote and present strategies to engage a broad range stakeholders and community
representatives so that communities vulnerable to hazards would benefit. With series of five steps this
will provide insight to achieve greater resilience with better participation and ownership.
THE OBJECTIVES OF THE GUIDELINE
The following are the objectives of the guideline which elaborates the enabling environment to
build sustainable approach; seeks through the community resilience framework;
 Provide a guide with a set of tools for the planners and practitioners in carrying out
climate change and disaster risk sensitive local development planning process
It is now widely accepted that disasters are not unavoidable interruptions to development, to
be dealt with solely through rapid delivery of emergency relief, but are the result of unmanaged
risks within the development process itself. Conversely, climate and disaster risk can be
significantly reduced through strategies that seek to decrease vulnerability and exposure to
hazards in the paradigm of development to be climate change and disaster risk sensitive.
 Provide guidance for planners and practitioners in creating an enabling environment for
sustaining the climate change and disaster risk sensitive development planning towards
building resilient communities
Developing an enabling environment; as the governance context determines how people
access resources, skills, technology, etc. to protect themselves from hazards, recover
effectively, and adapt to changes in the longer term, practitioners of disaster risk reduction
need to understand it. Knowing what roles individuals and organizations play both within and
outside the community; how they interact with all sectors of the population and in particular
with high-risk groups; and identifying the barriers and constraints to good governance, can
help practitioners plan and implement projects and programs that are sustainable in the long
term, and that have impact at scale.

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 Provide step guide for planners and practitioners to implement climate change and
disaster risk sensitive programmes at community level with greater involvement of
communities
Unlike traditional community based programming the need of governance oriented risk
reduction and climate change adaptation programmes are encouraged to any stakeholder,
plans to develop and implements intervention towards building resilience.
This guideline provides a method for local planners and field practitioners to understand risks
associated with development so that they would plan to minimize climate change and disaster risk.
Disaster risk reduction and climate change adaptation would not be ensued singlehandedly by a
specific entity or organization but would be effectively implemented to benefit all with a joint
approach in which many relative parties are actively participating. Simultaneously ‘risk’ is
associated with most of the development schemes. Therefore having some thoughts to reduce risk
would save time and energy among all sectors. Hence the guideline provides an insight for multiple
stakeholders be sensitive to risk when planning development initiatives.
This document advocates an approach of all relevant stakeholders at the divisional level to
participate in risk sensitive planning in relevant sectors. Ultimately community resilience for
external shocks would be developed as a result of the outcome of planning of different agencies
with understanding their role in risk reduction and climate change adaptation.
IMPLEMENTATION OF THE GUIDELINES
The guideline is focused on local level development planning working group (Could be established
at the divisional secretariat level) steered by divisional planning committee which is represented by
both local governance and administrative system in the country. However this approach can be
followed by any practitioner, humanitarian organization, community based organization, non-
government organization or individuals through making enabling platform to integrate disaster risk
and climate change adaptation measures into development planning.
Ideally the nucleus for the implementation of the guideline is the Village Development Committee
(or a strong sustainable community organization existing according to the local context) which
gives the leadership and ownership towards building resilience. These particular groups could use
the guideline for the purposes of designing, implementing, monitoring and evaluating annual
development plans in their respective areas and delivering services and facilities intended for the at
risk communities and sustaining development.
It is essential to incorporate disaster risk and climate change adaptation measures into current
development planning process adequately in bringing holistic approach to reducing risk of
vulnerable communities at local levels. The guide shows a pathway to all planners and practitioners
to utilize given guidelines to reach the expected objectives of the laid document.

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2. The process of building climate change and disaster
resilient communities
The guideline derived from the Community Resilience Framework (the strategic framework towards
building community resilience) in Sri Lanka. The core of the strategy is to ensure the climate change
and disaster risk sensitive development planning is pragmatic and sustainable.
Existing divisional setup is a key platform for the local level planning which can have the most
number of agencies, institutions and line departments. This is also the most connected level with
the communities in terms of government and local government services on their development and
risk reduction, since this is the lowest platform to have administrative system in the country. In
additional the elected local government system (Urban Councils, Pradeshiya Sabha, Municipal
Councils) is also converged in this layer and also part and partial of the development process which
needs to be included in the risk sensitive development approach.
Divisional development planning is an annual process conducted to plan the annual budget and to
allocate respective actions to divisional departments. The divisional planning process targeted to
ensure greater level of integrated planning of different stakeholders concerned in building
community resilience. As per Sri Lanka’s administrative system the divisional level or the Divisional
Secretariat holding the implementing mechanisms as well as powers of all the line ministries. With
the addition of the provincial administrative system, Provincial Ministries are also executing
development tasks, parallel or independent to the Central Government implementation systems.
For example, the education system in Sri Lanka, for instance, almost completely functions through
Provincial Administrative System.
Simultaneously local councils are the elected bodies and functions at the local level, however having
similar or larger (with several divisional secretaries) geographical coverage. Within these
complexities, the Framework proposes a working group for community disaster risk reduction that
could jointly advocate considering risks in development planning at the divisional secretariat.
This working group comprises with representatives from all development sector agencies at division
level including local authorities. Hence this set of guidelines assist them for their task in bringing risk
reduction and climate change adaptation measures into consideration at large. The established
divisional mechanism leads the process while the Disaster Management Centre (DMC) plays an
active role in facilitating the total process in its technical and coordination capacity. Further DMC
has greater responsibility to synergize this effort through consultative and participatory approach.
On the other hand the Local Authorities are the empowered arm in welfare development of the
society with considerable financial setup needs to be fully engaged in the process. It is paramount
the synergized and collaborated efforts from both streams are placing shared responsibility toward
achieving resilience of the people.
However the facilitators or animators of this process are allowed to device their own mechanism
which is feasible at ground with the conformity of local disaster management units.

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Figure – Sri Lanka administrative structure: central government and provincial system with proposed
divisional DRR planning mechanism
TARGET AUDIENCE
This guideline is to support the planners, facilitators, practitioners and implementers of
development activities at community level to incorporate risk reduction and climate change
adaptation measures. Divisional Secretariat, local authorities (Local Councils), Institutions who are
implementing community level development programmes, Corporates with CSR intentions. The
guideline provides sound pathway even for community based organizations and community leaders
who are involved in programming activities towards the village empowerment. The guidelines are
to be referred by the above stakeholder groups. Hence guidelines consists possible actions relevant
for those organizations.

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DRIVERS OF RESILIENCE
In disasters, apart from communities; local authorities are the first line of response, sometimes with
wide-ranging responsibilities but insufficient capacities to deal with them. They are equally on the
front line when it comes to anticipating, managing and reducing disaster risk, setting up or acting
on early warning systems and establishing specific disaster/crisis management structures. In many
cases, a review of mandates, responsibilities and resource allocations is needed to increase the
capacity of local governments to respond to these challenges.
To understand that disasters are “not natural”, it is important to consider the elements of risk. Risk
is a function of the hazard (a cyclone, a landslide, a flood, or a fire, for example), the exposure of
people and assets to the hazard, and the conditions of vulnerability of the exposed population,
assets or systems. These factors are not static and can be improved, depending on the institutional
and individual capacity to cope and/or act to reduce risk. Societal and environmental development
patterns can increase exposure and vulnerability and therefore increase risk.
The resilience framework’s applicability depends on a government policy that recognizes the role of
the Divisional Level institutions in risk reduction and climate change adaptation. Such a policy
consequently should support a Divisional Level mechanism comprising of different institutions
working for community development and disaster risk management. Based on such a policy
somewhat legitimate institutional support needed to recognize how multiple parties work together
for implementation, resource mobilization, monitoring and evaluation. It is recommended to
establish or strengthen a Divisional Working Committee on Building Community Resilience so that
divisional planning would be supported to develop a Climate Change and Disaster risk sensitive
development plan.
There are many reasons for a local authority and the local development committee to prioritize
resilience as part of their governance and sustainable development agenda. For local government
leaders, reducing climate change and disaster risk can be a legacy opportunity—paying attention to
protection will improve environmental, social and economic conditions, including combating the
future variables of climate change, and leave the community more prosperous and secure than
before.
The costs of recovery from these natural disasters—borne by the government, NGOs, CBOs and
communities—consume scarce public and private resources which could otherwise be used to
develop social, economic and natural capital. Much of this can be prevented by building disaster-
resilient communities and economies. Reducing disaster risk before an event can have a direct
impact on how well, and how quickly, communities “build back better”.

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3. Implementation Process
In this Process, an assessment and analysis of the community’s hazard exposure and analysis
of their vulnerabilities as well as capacities is the basis for activities, projects and programs
to reduce climate change and disaster risks. The community needs to be involved in the
process of assessment, planning and implementation. This approach will guarantee that the
community’s real needs and resources are considered. There is more likelihood that
problems will be addressed with appropriate interventions, through this process together
with authorities. The process has five sequential stages, which can be executed before the
occurrence of a disaster, or after one has happened, to reduce future risks. Together, the
sequence can build up a planning and implementation system, which can become a powerful
climate change and disaster risk sensitive development planning tool.
Step 1: Strengthening the divisional development planning mechanism:
The key aspect of planners’ involvement is the sustainability of community level
initiatives for risk reduction. External agencies, like government, non-government
organizations may initiate and implement community level programs before and
after disasters. However, such initiatives many times discontinue once the external
support is ended. There can be many reasons behind this lack of sustainability, some
of which are the lack of partnership, participation, empowerment and ownership of
local communities. Unless the disaster risk management efforts are sustainable at
individual and community level, it would be difficult to reduce the vulnerability and
achieving resilience. It is therefore important to have adequate linkage for the
divisional development platform to the community for holistic approach of
sustainable development. Representation and active engagement of government
departments (i.e: agrarian, agriculture, education, health, irrigation, road
development, economic development and etc) and local governance, service sector
agencies are encouraged to this platform.
Step 2: Mobilization and strengthening the Communities
This is the process of choosing the most vulnerable
communities for possible assistance on risk reduction using a
set of criteria. This is basically building the relationship and
trust with the local people. As relationship is established,
general position of the community in terms of social, political
and economic aspects is understood. Deeper appreciation of
the community dynamics will happen later, when
participatory risk assessment is undertaken. Potential risks
are better managed by a community organization that will
ensure that risks are reduced through implementation of the
plan. Therefore it is imperative to build a community
organization, if there is none yet or strengthen the current
one, if there is any. Training the leaders and members of the
organization to build their capacity is also important.
Step 3: Climate Change and Disaster Risk Assessment:
This is an analytical process to identify the climate change and disaster risks that the community faces and how people overcome those risks. The process involves
hazard assessment, vulnerability assessment and capacity assessment. In doing the assessments, people’s perception of risk is considered. Identification of root
causes using participatory tools is important in this step. Assessment needs to be conducted through the sub-systems namely: Social, Human, Physical, Economic,
Environmental and Governance which are identified in the Community Resilience Framework.
Step 4: Risk sensitive planning towards resilience:
This follows after the analysis of the results of participatory risk
assessment. People themselves together with divisional authorities identify
risk reduction measures that will reduce vulnerabilities and enhance
capacities. These risk reduction measures are then translated into a Climate
Change and Disaster Risk Sensitive Community Development Plan. These
plans need to be reflected in the annual divisional development plans and
also to be financed with annual government allocations. The plan should
have development component as well as preparedness measures.
Step 5: Participatory Implementation, Monitoring and Evaluation:
The community structure should lead to the implementation of the
community plan together with divisional authority and motivate the other
members of the community to support the activities in the plan. Further
technical guidance needs to be obtained from the divisional subject
experts towards implementing mitigation projects available through
annual budgetary provisions or ongoing projects. Monitoring should be
overseen by the divisional resilience working group together with
community leaders and also periodic evaluation needs to be conducted.
Necessary recommendations should be taken to divisional planning
platform to be incorporated in the next development planning cycle.
Step 1:
Strengthening
the divisional
development
planning
mechanism
Step 2:
Selection,
Mobilization
and
strengthening
the
Community
institution
Step 3:
Risk
Assessment
Step 4:
Risk sensitive
planning
towards
resilience
Step 5:
Participatory
Implementatio
n, Monitoring
and Evaluation

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STEP 1: STRENGTHENING THE DIVISIONAL DEVELOPMENT PLANNING MECHANISM
Communities themselves are not adequately capable to mainstream risk reduction measure into development
plans; as risk is not confined to specific geography specially limiting to community (Probably Grama Niladhari
Division) mostly transboundary from one locality to another. This may be due to various vulnerabilities and
exposure in Human, Social, Physical, Environmental and Economic as well as Governance subsystems.
Local decision-making is not yet risk sensitive and participatory. Governance decentralization is seen as a top
down process that often fails to transform decision making to be risk-sensitive and participatory. In addition,
many community based risk reduction programmes do not promote participation in local decision making
further creating a gap in integrating local needs and know how in local risk reduction programmes. Local
DRR/CCA is best accomplished and sustained when it is integral to local development processes, influencing
local development plans and actions. Clearly, though, in order for this to gain traction it must be in the best
interest of each organization and stakeholder at the local level to develop appropriate policies and strategies
to address specific DRR and CCA issues. Typically it is evident that at the local level there is often a lack of
prioritization and planning with regard to DRR/CCA.
Thus mainstreaming risk reduction measures into divisional or local authority level plans is a key in achieving
resilience. This can realize through the existing mechanisms and frameworks of the government system
whereby communities are a key partner in the process.
The divisional planning is an annual process undertaken by the divisional departments concerned under the
Divisional Secretariat. This structure is more formalized to look at development in a risk reduction outlook
with an appropriate wider participation. The key aspect of planners’ involvement is the sustainability of
community level initiatives for risk reduction.
Effective DRR and CCA must primarily address local development issues. When there is local ownership and
solutions are inspired by local know-how, activities not only succeed but also are often sustainable. Local
initiatives must include the full participation of vulnerable groups, in particular the disadvantaged, not only to
consider the specific nature of their vulnerability to disasters, but also to harness their abilities to build
resilience.

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RECOMMENDED STEPS
Coordination and initiation
 The initial step of coordination and facilitation is to initiate from the District Disaster Management Unit
together with the Divisional Planning Division.
 Both agencies need to identify the planning committee members / stakeholders invited for the initial
meeting.
 It is encouraged to ensure representation from government departments like planning, agrarian,
agriculture, education, health, irrigation, road development, economic development and etc and local
governance, service sector agencies to this platform.
 The divisional planning committee meeting is called with the invited participants and chaired by the
Divisional Secretary and co-chaired by Local Authority Chairman.
 The planning committee meeting is the technical platform to device planning strategies, assess various
development proposals and provide recommendation to the Divisional development committee on
making approval decisions.
Formation of the Divisional Resilience Working Group;
 The working group is formed / selected at the divisional planning committee meeting with the
participation from all sectoral departments and officials working on community resilience development at
Divisional and community levels (GN).
 The working group is the ground-level implementation arm / body of the divisional planning committee to
facilitate risk sensitive development planning at the divisional and community levels.
 The working group is oriented and trained to lead the risk sensitive planning for community resilience with
the relevant stakeholders with the assistance of the set of guidelines below.
Functions of the Divisional Resilience Working Group
 Ensure regular coordination with and suggestions sought from the Divisional development planning
committee, line agencies, the local government authorities, Village level Development Committee, GN
Disaster Management Committee and other stakeholders in the planning process.
 Facilitate the formation and strengthening of community level Committees and required task forces for
development, disaster preparedness and response.
 Collect and analyses data and information on risk at community / GN level to understand the vulnerability
and the development need to be addressed at the GN, Village and divisional level.
 Collect, verify and analyses necessary secondary information by reviewing the documents of the Divisional
and District Development Committee, line agencies, the provincial authorities and Village Development
organisations.
 Formulate risk sensitive development plans for the Village, GN, Divisional level on the basis of the
information and data received through the processes and methods described under the community
resilience framework and used for local risk sensitive development planning.
 Prepare the risk sensitive development and risk management plan as per the Guideline by developing an
action plan along with the responsibilities.

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 Ensure the representation of at risk and vulnerable communities, women, elderly citizens, Persons with
disabled, and all ethnicities and classes at each stage of the planning.
 Present the plans by fulfilling all necessary procedures and methods to the divisional planning and
development committee for approval and submit to the district Secretariate, line agencies, and the local
government authorities for necessary budget allocation and incorporation for implementation.

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STEP 2: SELECTION, MOBILIZATION AND STRENGTHENING THE COMMUNITY INSTITUTION
a) Selection of community / GN
The community resilience framework promotes the full coverage of the communities for the process of
building resilience. But due to the obvious reasons on resources and other limitation the process doesn’t
necessarily cover the entire population. Therefore a selection process is recommended.
RECOMMENDED STEPS
1. Formation of a selection committee; comprised with the divisional resilience working group
and facilitated by the District Disaster management unit.
2. Agree on a selection criteria / check list and a scoring system. It is important to agree on a
criterion to select the committees / GNs.
3. Collection and reviewing of secondary data (historical); the following are considered at the
secondary data review. List of disaster affected DS and GNs every year. Type of hazard/its
magnitude and frequency, available risk mapping, resource profile, development programs
planned / implemented and etc.
4. Use the Climate Exposure and Sensitivity maps for verification and also ongoing project
activities in targeted areas
5. Direct field observation; Discuss with DDMU and DoA about the most affected DS divisions,
Share past experiences, Discuss with actors involved in DRR for quick mapping
6. Primary data collection; Have a focus group discussion with 10-15 households (including
female-headed households, Persons with disability, elderly, children, etc.) as well as the
relevant GN officer and Samadhi officer.
7. Finalisation; the finalisation of the GNs/ villages for the implementation need to be endorsed
by the committee and submission to the relevant authorities for approval / information.
b) Community Mobilization
Community mobilization is the process of engaging communities to identify community priorities, resources,
needs and solutions in such a way as to promote representative participation, good governance,
accountability and change towards better resilience.
Proper mobilization is a key in improving participation of communities and encourages them to be part and
own the outcomes of better resilience. Strategies and approaches presented below are some of the many
accepted methods of community mobilization and don’t limit the practitioner to look for more effective and
appropriate strategies.
With community mobilization, participation is about meeting the interests of the whole community .
When every member of a community has the chance, directly or through representation, to participate in the
design, implementation and monitoring of community-level initiatives, there is a higher likelihood that the

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program accurately reflects their real needs and interests. The approach takes into consideration the different
experiences, needs and capabilities of various groups in a community – women and men, youth and the
elderly, persons with disabilities and the able- bodied, ethnic/religious/language minorities and majorities.
Participation can take a number of forms. At one end of the spectrum is “passive participation” in which
community members participate by being informed about something that will happen or has already
happened. At the other end of the spectrum is “self-mobilization”, when communities organize and take
initiative independent of any external actors.
Community mobilization…. And the long-term benefits can be…
• Increases participatory decision-making processes by
bringing diverse stakeholders into a common process
• Expands inclusion of often marginalized
populations, such as women, youth, persons with
disabilities, the elderly, and religious or ethnic
minorities
• Depends on local resources, both human and
material
• Fosters stronger relationships between local
government, businesses, community members and
CBO/NGOs
• Ensures local ownership of development
• Promotes a more active and informed citizenry
• Communities reduce their dependence on outside
aid, as they become adept at identifying and
solving their own problems
• Communities can better prepare for or respond to
disasters and crises because they have
relationships with decision-makers and experience
in quickly identifying communal needs and
priorities
• Local governments gain greater credibility with
their own constituencies and can better lobby
national level decision-makers because they are
truly aware of local needs and have local support
• A more stable foundation for breaking cycles of
inter-group tension and achieving lasting stability
Levels of Mobilization
Like levels of participation, there are levels of mobilization. Knowing where a community is starting from and
progressing toward is helpful for program staff to work appropriately with the community, while always
challenging them to take their responsibilities to the next level. Below table identifies seven levels of
mobilization and includes some sample elements of a mobilization program. This diagram has evolved over
several years and has been applied in many countries. Before every mobilization stage or major activity, it is
helpful for teams to discuss the progress of mobilization efforts and the evidence that contributes to the
assessment using this matrix or another process. Remember to think about what factors in the larger context
may be helping or hindering the level of community mobilization, such as changes in the local economy.

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Reaching out the community
There are many strategies and practices used to reach the community. One popular methodology is the house
to house visit and contact. Through this activity the message is spread across the community and especially
the vulnerable groups.
Rapport Building: Building rapport and trust with the community is an essential in the process for
development of VDMP. A relationship of trust, friendship and rapport is the key to facilitation of appropriate
participation.
Facilitators can take a number of actions in order to build
trust with community people. These can include the
following:
 Living in the community
 Being transparent and open about who they are
and what is being done
 Participating in daily life in the community, as well
as community activities and cultural events
 Listening to local people about their life, issues
and problems
 Learning new skills from local people
 Performing local task
The behavior of facilitators is very important in establishing
a proper relationship of trust and openness. Ways in which
outsiders should behave include:
 Show humility
 Respect local culture, problems and way of life
 Be patient
 Have interest in what people have to say
 Be observant rather than judgmental
 Have confidence that local people can achieve
what they set out to do, and transmit that
confidence
Proposed steps;
- Identification of volunteers (from the community and persons representing various CBOs) and
resource persons for the activity
- Training the team on conducting a house to house awareness and dos and don’ts of the exercise
- Agree on the key messages to be disseminated to the community at the training program for the
team.
- Form few teams (depending upon the size of GN / village) each team will consist 4-5 members
including Volunteer, CBO members and others. Ensure the team is balanced and inclusive.
- Divide entire GN/ village into parts based on habitat pattern, location and distance etc.
- Assign each team one part of the village to carry out house to house contact campaign. All 4 teams
will conduct this campaign for 1-2 days which will be pre-decided and cover 100 % families by door-to-
door visit.
- Team will conduct this campaign using IEC materials and priority would be given to women, persons
with disabilities, elderly and children (boys and girls), because these groups are the most vulnerable
compared to others.
- A review and a feedback session are conducted every month to understand the status and plan for
each month.

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Awareness sessions
Awareness sessions on the resilience concepts and on the potential benefits of being resilient are important.
Strategies developed by divisional working group with the local authorities and administrative bodies to
aware individuals on local hazards. The strategies need to be area specific so that issues of risk and solutions
for such issues could be very much suitable for specific communities.
Separate awareness sessions could be arranged at the community level and apart from that meetings and
sessions of the departments with the communities also recommended as opportunities to disseminate the
messages.( Eg: Samadhi, agriculture, village development).
Table 1 sample format for communication strategy
S.
N
Key
Message
Identific
ation
How
(Approach)
How (Interventions)
Step 1 Step 2 Step 3 1. Organize specific group meetings and
orientation with GN along with other sector
meetings.
2. Identify key resource persons at GN level for
awareness building and provide
orientation/training
3. Draw consensus to make message related
campaign time bound (before disasters/after
disasters)
4. Develop GN level communication strategy
within GN (see the sample)
5. Use IEC materials to demonstrate or take
practical sessions
6. Involve schools/other existing groups within
GN
7. Document the outcomes of campaign
1. Message
A
Hands on
Demonstration
using IEC
material
Meeting
sessions
Drama
Orientation
of the
members/co
mmittee/ GN
Linking
issues/outc
omes with
Governmen
t
Department
s
Community consultation / meetings
Community meetings are another tool used to target the specific and otherwise to gather and provide
information on various topics.
There is evidence, too, that consulting the community about the agenda for development projects does work
and does serve the ends of social and economic development. Consultation that goes beyond eliciting
informed consent and involves poor men, women, and youths in decision-making is usually effective, efficient
and equitable. Community consultation enlarges people’s range of choices. At the same time, community
consultation enhances men’s and women’s capacity to organize them to solve the problems they experience
and articulate.

Page | 19
Above skeleton shows different level of community engagement and the status of these levels in the longer
term sustainability.
Plan group consultation sessions
The ability to arrange a series of sessions will depend on local circumstances but, in general, taking the
following steps will be helpful:
 Work with informal leaders and respected members of the community and ask them to help convene
sessions.
 Work with key stakeholders to ensure that community members affected by the issue can attend the
sessions.
 Ask for volunteers to ensure that others come to the sessions.
 Arrange sessions at places and times where community members already meet.
 Make any special arrangements to enable people to attend, such as childcare for women with
children.
c) Strengthening the community Structure (institution)
Communities and Community Structures (CS) have a substantial role to play in supporting and building
resilience at community and even individual levels. Their position both physically and relationally within the
community means they have access to some of the most vulnerable and hard-to-reach population groups. CSs
also hold considerable social capital within networks, necessary for recovery and resilience building. Thus, CSs
play a crucial role in supporting vulnerable individuals, families and communities to build resilience with the
services they provide comprising a critical component of community social infrastructure.
Resilience building can also serve as a useful integrating framework for integrated management, community-
driven development, livelihood assessments, and disaster preparedness and planning. Livelihoods have been
placed at the center of development efforts in protecting communities from the adverse effects of natural
disasters.
Village development societies, rural development societies, death reparation societies, farmer organizations
etc., which might be an entry point at community level as one or more these organizations are existing in the
targeting localities. Local authorities or other agency may have initial dialog with these mechanisms as those
are serving the particular locality for a considerable time period and it would be recommended to build
harmony with existing set-up to incorporate CCA & DRR on measure as a programme or project in the locality.

Page | 20
An appropriate community set-up could build up subsequently and strengthen henceforth to promote risk
reduction measures at their locality to contribute risk sensitive development planning with local knowledge.
Disaster Management Committees create an important vertical and horizontal coordination mechanism at the
community level. Disaster Management Committee’s also play a critical role in disseminating information and
strengthening links within and outside the community. In order to increase involvement and ownership of
disaster management activities, the committee needs to include a wide representation of community
members.
A community system strengthening is an approach that promotes the development of informed, capable and
coordinated communities and community-based organizations, groups and structures. It involves a broad
range of community actors and enables them to contribute to the long-term sustainability of resilience
interventions at the community level, including an enabling and responsive environment in which these
contributions can be effective.
Key underlying principles of community systems strengthening include:
 a significant and equitable role in all aspects of program planning, design, implementation and
monitoring for community-based organizations and key affected populations and communities, in
collaboration with other actors;
 programming on rights based, including the right to protection and to safe from discrimination;
 programming informed by evidence and responsive to community experience and knowledge;
 commitment to increasing accessibility, uptake and effective use of services to improve the health and
well-being of communities;
 accountability to communities – for example, accountability of networks to their members,
governments to their citizens, and donors to the communities they aim to serve.
Community
Structure
Farmer
Organization
Rural
Development
Society
VDMC
Death
benevolence
society

Page | 21
Community system strengthening implementers will generally be larger organizations such as governmental
agencies, humanitarian agencies or large NGOs that work with community organizations and actors. A
functional system for strengthening interventions addresses identified needs and demonstrates progress
toward strengthening community systems. Below table provide key steps in Community system
strengthening;
Step 1: Define where community systems strengthening interventions at are required in order to successfully implement
the development sector plans / specific risk reduction programs.
Step 2: Conduct a needs assessment to determine the strengths and weaknesses of the community system in the
targeted area(s).
Step 3: Based on expected results, define clear and achievable objectives.
Step 4: Determine the Interventions where strengthening interventions are required.
Step 5: For each of the selected Interventions agree on the most appropriate activities.
Step 6: Select a number of strengthening indicators and modify as needed to fit with the specific country context.
Step 7: Determine baselines for each of the selected indicators, set ambitious yet realistic targets and finalize the budget
and work plan for the strengthening interventions.
Step 8: Ensure that M&E for strengthening is integrated into the divisional/local reporting system.
Step 9: Reach an agreement on roles and responsibilities of the various stakeholders involved.
Gender aspect in Community Structure
Gender analysis examines the differences in women's and men's lives, including those which lead to social and
economic inequity for women, and applies this understanding to policy development and service delivery is
concerned with the underlying causes of these inequities aims to achieve positive change for women.
A gender analysis should recognize that:
 women's and men's lives and therefore experiences, needs, issues and priorities are different
 women's lives are not all the same; the interests that women have in common may be determined as
much by their social position or their ethnic identity as by the fact they are women
 women's life experiences, needs, issues and priorities are different for different ethnic groups
 the life experiences, needs, issues, and priorities vary for different groups of women (dependent on
age, ethnicity, disability, income levels, employment status, marital status, sexual orientation and
whether they have dependents)
 different strategies may be necessary to achieve equitable outcomes for women and men and
different groups of women analyses aim to achieve equity, rather than equality.
An analysis of gender relations can tell us who has access, which has control, who is likely to benefit from a
new initiative, and who is likely to lose. Gender analysis asks questions that can lead us in a search for
information to understand why a situation has developed the way it has. It can also lead us to explore
assumptions about issues such as the distribution of resources and the impact of culture and traditions.

Page | 22
STEP 3: CLIMATE CHANGE AND DISASTER RISK ASSESSMENT
Populations exposed to hazards may experience stresses due to longer-
term changes in the climate; such as changes in seasonality, unpredictable
rainfall, and sea-level rise; that affect their livelihoods and health, making
them more vulnerable to all types of shocks, events and further changes
exploring to more risk conditions.
Due to complexity of these risky conditions is needed to be carefully
beheld in many dimensions. The Framework suggest that a universally
promoted community sub-systems approach to be adopted in the risk
assessment process focusing Human, Physical, Environment, Economic,
Social, Governance and Knowledge. This enables the practitioners to think
broadly to bring multi-dimensional integrated measures to reduce
underlying risk factors.
At the divisional development planning the working group will facilitate
planning the planning process to be ‘sensitive’ for possible risks that
different sectors could come-a-cross. They will be identifying risk as per
indicators given in the resilience framework (annex 01) i.e. the different
sectors (or as per areas human, physical, environment, social, economic
and governance) planners will look into factors that could be ‘risky’. Then
they will be identifying measures to rectify or mitigate such risks so that
better resilience at the community level would be developed.
Community risk assessment
The objective of a hazard assessment is to identify the occurrence
probability of a specific hazard in a specific interval, as well as its intensity
and area of impact. Assessment usually begins with the identification of
potential hazards such as land degradation, water contamination and poor
land use. Both hazard assessment and vulnerability/capacity assessment
utilize formal procedures that include gathering of primary data,
monitoring of hazards and vulnerability factors, data processing, mapping
and social survey techniques.
To reduce risk in a particular community it needs to be able to identify
prevailing risks so that it could enhance its coping abilities though
reducing vulnerabilities and strengthening coping capacities. Integrated
Vulnerability Capacity Assessment (ICVA) is a systematic way of
understanding and analyzing the capacity and vulnerability of
communities, and distinct groups within a community, to potential threats
and also especially climate change and disaster risks, and is an important step in planning for and
implementing development initiatives.
Step 1: Understanding of current
situation, needs and gaps to assess
what already exists, avoids
duplication of efforts, and builds on
existing information and capacities.
This is done through a systematic
inventory and evaluation of existing
risk assessment studies, available
data and information, and current
institutional framework and
capabilities
Step 2: Hazard assessment to
identify the nature, location, intensity
and likelihood of major hazards
prevailing in a community or society
Step 3: Exposure assessment to
identify population and assets at risk
and delineate disaster prone areas
Step 4: Vulnerability analysis to
determine the capacity (or lack of it)
of elements at risk to withstand the
given hazard scenarios
Step 5: Loss/impact analysis to
estimate potential losses of exposed
population, property, services,
livelihoods and environment, and
assess their potential impacts on
society
Step 6: Risk profiling and
evaluation to identify cost-effective
CCA & DRR options in terms of the
socio-economic concerns of a society
and its capacity for risk reduction
Step 7: Formulation or revision of
DRR strategies and action plans
that include setting priorities,
allocating resources (financial or
human) and initiating DRR and
development programmes

Page | 23
Community risk assessment is a process whereby all stakeholders collect and analyze potential risk
information. Based on this, plans are made and appropriate activities implemented that aim to reduce risks
that may adversely affect people’s lives. The basis for such an assessment needs to be based on the
subsystems of the Resilience Framework so that all development sectors could be looked into.
Linkage and building rapport with community is the most important part for the initiating the process of
community analysis and this may be initiated by community or outsiders. This follows the community profiling
or the initial understanding of disaster situation and orientation on CBDRM. This step is pre requisite for the
community based participatory assessment of hazards, vulnerabilities, capacities and people’s perception of
risks. Since the process provide information on community such as Socio-economic information, Livelihoods
activities, Spatial characteristics, Vulnerable households and groups, hazards, Stakeholder identification, etc,
and the assessment also will be covered by the team consist of local people, representative from state sector
institutions and civil society members. This will enhance the understanding of the community’s development
circumstances and the context upon which disasters will impact. Further this will enhance understanding of
the coping capacity of communities with respect to disasters and hence build the better contact and
relationships between the community and related stakeholders through introductory meetings and initial
discussion among them.
However to carry out the process in a sustainable manner the team including the local people needs to be train
on skills to work with the local communities , organize a GN meeting, facilitate group discussions, facilitation,
and knowledge of participatory risk assessment tools. It is highly required to ensure the participation of
vulnerable groups such as women, children, the elder, people with disability, etc, in the entire CBDRM Process
as well as the climate change and other global issues in local environment under participatory risk assessment
approach.
After collected data analysis it is required to arrange a GN meeting with all villagers within the GN division to
keep them aware the prevailing disaster risk, to rank the risk with community participation and to get
feedback. Results from risk assessment will be inputs for risk reduction planning and help to provide key
performance indicators for monitoring and evaluation to evaluate changes in vulnerability and capacity of the
community.
The outcome of the participatory risk assessment needs to be shared among communities, local government
agencies and other stakeholders for the sound implementation since Community connections are the
relationships necessary to develop, implement, and maintain an effective CBDRM system.
To facilitate the community risk assessment local councils and/or local administration (including education)
should facilitate government officers working for community development (GN, Agrarian Officers, PHI,
DDMCU personnel working at Divisional level etc.), recognized CBOs and NGOs for local level risk assessment.
Information derived from risk assessment needs to be taken in to development planning. Organizations
working for community resilience development and DRR should liaise with local councils, and local
administration.
Inclusive risk assessment guidelines need to be issued to all parties who engage in community resilience and
DRR. Relevant training needs to be given on risk assessment. Such training could be arranged through
planning officers of local councils and local (Divisional) administration. Community level assessment could be

Page | 24
led by DDMCU and officers attached to Divisions, Divisional Planning officers, line ministries focal points at
Divisional level, Zonal Education officers, CBOs- including traders associations, and groups working with
NGOs.
Assessment process
Disaster risk is part of everyday life. Awareness of risk is therefore a necessary condition to engage in disaster
risk reduction. A focus on risk management, rather than on disaster events alone, reflects a proactive attitude
for dealing with potential threats to social and material assets, before they are lost.
Understanding risk relates to the ability to define what could happen in the future, given a range of possible
alternatives to choose from. Assessing risks based on vulnerability and hazard analysis is a required step for
the adoption of adequate and successful disaster reduction policies and measures.
Community risk assessment involves study of past patterns of hazards and present threats at community
level. It involves (1) hazard assessment, combined with an understanding of the underlying causes of why
hazards become disasters, (2) vulnerability assessment – how the community is having gaps or inabilities to
face threats (3) and the capacity assessment - available resources and abilities of a community to face a threat
The aspect of risk (R) is calculated (or understood) by studding the interaction between hazard (H),
vulnerability (V) and capacity (C).
R α (H V)/C

Page | 25
The resilience framework suggests assessing community risk level as per the subsystems so that the outcomes
of community risk assessment could be used for development planning. Following the assessment risk
information would be collected; gap analysis would be done; action points would be identified for CCA and
DRR.
Risk assessment encompasses the systematic use of available information to determine the likelihood of
certain events occurring and the magnitude of their possible consequences. As a process, it is generally agreed
that it includes:
 identifying the nature, location, intensity and probability of a threat;
 determining the existence and degree of vulnerabilities and exposure to those threats;
 identifying the capacities and resources available to address or manage threats; and
 determining acceptable levels of risk.
Basic stages of Risk Assessment

Page | 26
Below Table is one component of series of tools that can be used for prioritizing and “scoring” risk. Facilitating
team could use this to describe the likelihood of specific risks occurring.
Qualitative Measures of Risk Likelihood
Level Description Characteristics
A Almost Certain
. Event is expected to occur.
· High level of recorded incidents and/or very strong anecdotal evidence.
· Strong likelihood event will re‐occur.
· Strong opportunity, reason, or means to occur.
B Likely
. Event will probably occur.
· Regular recorded incidents and strong anecdotal evidence.
· Considerable opportunity, reason, or means to occur.
C Unlikely
· Event could occur at some time.
· No recorded incidents or any anecdotal evidence.
· No recent incidents in associated organizations or facilities.
· Little opportunity, reason, or means to occur.
Vulnerability is the susceptibility to suffer loss or harm from some type of incident or event. This may vary
based on assorted factors, such as preparedness and the capabilities of the local level services providers. A
community’s ability to resist the impacts and effects of various hazards must be determined. Below table
could use as a qualitative measure to describe the consequences or impact of a particular risk or event.
Level Description Characteristics
1 Insignificant
 No injuries or fatalities. Small number or no people displaced, and only for
short duration. Little or no personal support required (support not
financial or material).
 Inconsequential or no damage. Little or no disruption to community.
 No measurable impact on environment.
 Little or no financial loss.
2 Minor
 Small number of injuries, but no fatalities. Minor medical treatment
required. Some displacement of people (less than 24 hours). Some
personal support required.
 Some damage. Some disruption (less than 24 hours).
 Small impact on environment with no lasting effects.
 Some financial loss.
3 Moderate
 Medical treatment required, but no fatalities. Some hospitalization.
Localized displacement of people who return within 24 hours. Personal
support satisfied through local arrangements.
 Localized damage, which is rectified by routine arrangements. Normal
community functioning with some inconvenience.
 Some impact on the environment with no long‐term effects, or small
impact on environment with long‐term effect.
 Significant financial loss.

Page | 27
4 Major
 Extensive injuries, significant hospitalization, large number displaced
(more than 24 hours duration). Fatalities. External resources required for
personal support.
 Significant damage that requires external resources. Community only
partially functioning, some services unavailable.
 Some impact on environment with long‐term effects.
 Significant financial loss—some financial assistance required.
5 Catastrophic
 Large number of severe injuries requiring hospitalization. Significant
fatalities. General displacement for extended duration. Extensive personal
support.
 Extensive damage. Community unable to function without significant
support.
 Significant impact on environment and/or permanent damage.
 Huge financial loss—unable to function without significant support.
Table: Qualitative Measures of risk impact
Elements at risk are, first of all, people (i.e. the population, workers or users of a transport system) but they
can also be economic in nature. It is the number of such vulnerable elements that will be affected by a
hazardous phenomenon that determines the damage level of an accident. For example, an accident occurring
where no vulnerable element (e.g. population, building, natural environment) is present will cause no damage,
whereas one with intensity beyond the lethal effect limit occurring in a densely populated area would cause a
large number of fatalities. An estimate of the elements at risk exposed to the effects of an accident is thus an
essential aspect of a risk estimate. The risk profile assesses elements at risk by inviting users to make the
choices indicated below:
Human beings exposed:
 Local population: Select the human density of the area at risk
 Transport users: Select the type of transport lines present in the area at risk
Economic assets exposed:
 Industry: Select the type of industrial activity in the area at risk
 Service: Select the type of economic activity in the area at risk
 Transport lines (roads, railways, waterways): select the types of transport lines in the area at risk.
 Critical facilities*: Select the answer that characterizes the exposed area
 Energy: Select the types of energy production and transport infrastructure present in the area at risk
 Communications: Select the types of communication infrastructure present in the area at risk
Environmental exposure:
 Natural environment: Describe the natural environment in the exposed area
 Water supply system: Select the type of water resource present in the exposed area
*Critical facilities are the amenities and equipment that are necessary to ensure the smooth functioning of an area and that play a major
role in its resilience. They include schools, hospitals, major administrative departments, railway stations, airports, police stations, fire
department, etc.

Page | 28
Tools for assessing vulnerability and risks
Below is the list of most commonly-used tools for assessment of hazard risks and the community
situation. Depending on specific needs and locations, CBDRM practitioners could use other additional
tools, such as Gender Resource Mapping; Wealth ranking, or Livelihoods Analysis.
No. Tools Purpose/Expected results
1 Historical Profile
To collect relevant information about past events in order to help
local people to be more aware of the changes that occurred in their
community
2 Hazard assessment
matrix
To systematize information regarding the properties of the
community’s hazard exposure.
3 The hazard map
To make a spatial overview of the main features of an area and to
identify the hazards, factors in risk, safe areas; available resources
can be used in disaster management.
4 Transect walk
To get a picture of zones of danger, sites of evacuation, land use
zones, and seek problems and opportunities in disaster
management.
5
Hazard and
seasonal calendar
Identify periods of stress, hazards, diseases, debts, and
vulnerability; identify what people do in these periods, when do
they have time for community activities, what are their coping
strategies; and identify gender specific division of work in times of
disasters and normal times.
6 Problem tree To identify local major problems/ vulnerabilities as well as root
causes and effects that needs to be prioritized.
7
Livelihoods
analysis
To understand livelihood strategies, behavior, decisions and
perceptions of risk, capacities and vulnerabilities of households
from different socio-economic backgrounds.
8
The Venn diagram
(Institutional and
social network
analysis)
To identify organizations/groups/individuals (local and outside),
their role/importance and perceptions that people have about
them, especially activities related to disaster prevention and
response.
9 Ranking
To identify issues and understand community’s concerns and
priorities and to encourage problem solving through discussion and
ranking problems and solutions.
10 VCA matrix To get a complete picture about the vulnerabilities and capacities of
the community in order to find out suitable coping strategies.

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Mapping
Hazard occurrence probability varies from place to place. One of the most important ways of understanding
the risk faced by communities or a region is to use the available data to plot hazard maps. According to the
type of hazard, various types of hazard maps may be useful.
Community Flood Hazard Map-Sri Lanka
This map is a visual representation of the area by the community. It is a rough spatial overview and sketches of
the area and specific locations which are vulnerable to various hazards or which has been hit by disasters in the
past. The main feature of hazard mapping is to facilitate discussion on issues pertinent to hazards. It is made
by men and women, who know the area and are willing to share their experiences on large sheets.
Hazard maps can be prepared with the participation of the community by organizing a meeting. The basic
requirement would be a simple map of the area indicating roads, main buildings and structures, including any
important landmarks. Natural hazard mapping is not restricted to record the hazard occurrences in the past,
but it is also focused on making predictions about the occurrence of such events in the future.
Exposure - to refer to the presence (location) of people, livelihoods, environmental services and resources,
infrastructure, or economic, social, or cultural assets in places that could be adversely affected by physical
events and which, thereby, are subject to potential future harm, loss, or damage.

Page | 30
Drought exposure map in Kurunegala District
Above map shows climate exposure in Grama Niladhari division wise in a particular divisional secretariat
division with relate to drought impact. Selecting villages for a project interventions can be done using these
scientific tools and also for decision making.
Hazard/risk map – To show hazards or risks and which ones pose a threat and when, which ones are
unpredictable or occur after heavy rains. Also shows where risks have been getting worse or identifies
vulnerable populations in the area.
Spatial map – To get an overview of the main features of an area in relation to its surrounding. Map features
could include the arrangement of houses, fields, roads, rivers and other l and uses and which resources are
assessable and owned by the community or individuals.
Capacity resource map – To show local resources and capacities as well as gender differences or land use
zones. Community (or village) resource mapping is a method of showing information regarding the
occurrence, distribution, access to and use of resources; topography; human settlements; and activities.

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Seasonal Calendar
It involves making a calendar showing different events primarily the time of occurrence of hazards throughout
the annual cycle. It helps to identify the periods of stress and prepare for the specific stress in normal times
before the threat of hazard looms large on the community.
Livelihood Analysis: The tool focuses on the studying the vulnerability of the livelihood of the community to
various disasters. The tool analyzes the various livelihood activities that are spread over the year and the
impact of hazards on the livelihood activities. It also focuses on understanding livelihood strategies, behavior,
decisions and perceptions of risk, capacities and vulnerabilities from different socioeconomic background.
In addition, a certain amount of secondary information is needed for climate risk assessment.
This includes
■ daily rainfall, temperature and evaporation data to assess the moisture deficit and drought
periods (early, mid and late season),
■ agro-climatic indicators such as crop evapotranspiration and rainfall ratios,
■ groundwater depths, dry spells, wet spells, and periods of water deficit,
■ Trends of heat waves, extreme temperatures, hail storms and wind storms,
■ climate change scenarios and anticipated future impacts on agriculture sector,
■ land use changes over the years,
■ onset of climate risks such as delayed monsoon, early withdrawal of rainfall, intermittent dry spells,
extended wet spells, water stagnation, etc.,
■ geographical coverage of the climate risk based on the past records (e.g. droughts)

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Problem Tree / Solution Tree Analysis
A problem tree provides an overview of all the known causes and effect to an identified problem. This is
important in planning a community engagement or behavior change project as it establishes the context in
which a project is to occur. Understanding the context helps reveal the complexity of life and this is essential in
planning a successful change project.
A problem tree involves writing causes in a negative form (eg: lack of knowledge, not enough money etc).
Reversing the problem tree, by replacing negative statements with positive ones, creates a solution tree. A
solution tree identifies means-end relationships as opposed to cause-effects. This provides an overview of the
range of projects or interventions that need to occur to solve the core problem.
Climate Risk Assessment checklist –
How to undertake this section of the analysis: This can be done either through the VCA process or during the
project proposal development
1. The Environmental context:
Have you considered current climate hazards*
(events and conditions) affecting the target
area?
* This could be floods, droughts, changing rainfall patterns, cyclones, etc.
 Y  N
Have you considered any evidence of climate change that is already being observed?
Note: This could be based on scientific data and/or community observations. Wherever
possible community observations should be/needs to be validated by scientific information
 Y  N
Have you taken into account future climate conditions based on climate change scenarios
taken into account?
Note: This could include changing temperatures, changes to the rainy season, etc which can
be informed by the Meteorological Department or research reports.
 Y  N
Has you considered the changing trends in climate hazards that are being observed or
predicted in the target area?
 Y  N
Have you considered the possible change of frequency and intensity of climate events in
future based on climate change scenarios?
For example: are droughts likely to occur more frequently? Will floods become more
extensive?
 Y  N
Have you observed any evidence that climate change is having an impact on vector borne
diseases?
 Y  N

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Note: For example: increase in prevalence of mosquitoes. This can be informed through
health reports or research studies.
2. The Socio-Economic Context
Has there been an identification of social or economic groups within the community that
are particularly vulnerable to climate change?
 Y  N
Has you taken into account assessments on how current climate hazards affect
livelihoods/water security/health of different groups?
 Y  N
Have you taken into account assessments on how future climate scenarios will affect
livelihoods/water security/health of different groups?
 Y  N
Has there been an identification of the livelihoods resources that are most important to
the livelihoods and its adaptation for different groups, including men, women and
marginalized groups?
Note: This may include land, water, agricultural inputs, access to financial services such as
savings and credit, etc. (The five categories of livelihoods resources: human, social, physical,
natural and financial)
 Y  N
Have you consider the concerns with current water availability, collection and usage
patterns for different groups within the community?
 Y  N
Has there been an identification of any groups within the community that may be
particularly vulnerable to water stress due to climate change?
 Y  N
Have you taken into account future impacts of climate hazards on water availability,
quality and demand?
 Y  N
3. The Political and Institutional Context:
Have you taken into account relevant policies and institutions which would have an
impact on promoting or constraining adaptation?
Note: For example Government of Sri Lanka National and Local Adaptation Plans, policies
on water management, seeds and plants and so on.
 Y  N
Have you considered opportunities and gaps for climate change adaptation in relevant
policies and programmes?
 Y  N
Have you considered strengths and weaknesses of government and civil society
organizations in the target area to implement climate change programs?
Note: A SWOT Analysis would support this.
 Y  N
Are there resources allocated for adaptation activities at national and local levels?  Y  N
Have you identified organizations that may be potential partners or competitors in
project activities?
Note: Please provide names
 Y  N

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4. Problem Analysis
Does the current climate hazard affect lives (health) and livelihoods of different groups,
and will this change in the future based on climate change scenarios?
 Y  N
Have you identified livelihood resources that are most vulnerable to climate change?  Y  N
Have you identified current coping/adaptation strategies used by different groups to deal
with climate hazards?
Note: Take into consideration the effectiveness and sustainability of their
coping/adaptation strategies
 Y  N
Have you identified opportunities and constraints towards diversification of livelihoods
for different groups?
 Y  N
Would climate hazards interact with other hazards (such as land use
planning/development activities/health issues) in the geographical area to intensify
vulnerability of the community?
 Y  N
Have you identified health concerns impacted by climate change?  Y  N
Have you identified groups most vulnerable to these health impacts?  Y  N
Above check list is incorporate to this guide which is developed by the developed by Sri Lanka Red Cross
Society in its climate smart programming guide.

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Climate Change and Disaster Risk Analysis
Hazard/threat assessment focuses on the existing or latent factors present in, or around, the community that
could potentially have a harmful effect on the community. Below framework elaborates how the planning
group may analyze climate change and disaster risk using above vulnerability analysis based on community
systems described in the Community Resilience Framework.
Baseline Data Sub-System Hazard Exposure Vulnerability
Assessment
Risk Assessment
Administrative
boundaries
Human
Social
Economic
Physical
Environment
Governance
Cyclone exposure on
Housing, Education,
Hospital, Irrigation,
Infrastructure, Industry,
Power, Tourism and Trade
sectors
Cyclone vulnerability on
Housing, Education,
Hospital, Irrigation,
Infrastructure, Industry,
Power, Tourism and
Trade sectors
Infrastructure
• Housing
• Health
• Education
• Transportation
• Irrigation
• Fisheries
• Power and Telecom
• Tourism
• Trade and Financial
Flood exposure on
Agriculture, Transportation,
Housing, Fisheries,
Education, Hospital,
Tourism, Industry, Irrigation
and Trade sectors
Flood vulnerability of
Agriculture,
Transportation,
Housing, Fisheries,
Education, Hospital,
Tourism, Industry,
Irrigation and Trade
sectors
Socio Economics
• Housing
• Health
• Education
• Demographic Data
• Economics
Drought exposure on
Agriculture, Irrigation
sectors
Drought
vulnerability
assessment on
Agriculture,
Irrigation sectors
Disaster Events
• Departments
Disaster Database
• Des-Inventar
• EM-DAT
Landslide exposure on
Transportation sectors
Landslide vulnerability
assessment of
Transportation
sectors
Hazard Related
• Geology
• Extreme Discharge
• Precipitation
• Landslide Inventory
Health Hazards exposure on
Health and Social System
Epidemic vulnerability of
Health and Social System
Gap
Recommendations for
CCA/DRR Strategy
Sectoral CCA/DRR
strategy in close
consultation with
national agencies

Page | 36
STEP 4: RISK SENSITIVE VILLAGE DEVELOPMENT PLANNING
Planning is a management tool to help make decision on the appropriate mix of risk reduction options. Results
from the risk assessment process described in above step would have revealed the risks posed by various
hazards in the locality. This information provides the basis for formulating a risk sensitive plan at various levels
in the locality. The plan is a guide to keep implementers on track and serves as documentation of the thoughts
and considerations that were the foundation of the planning process.
With the above information from the risk assessment the Divisional Level Planning may identify steps to
reduce risk in each sector; identified risk mitigation targets would be included in to the plan and strategies to
achieve such targets needs to be developed.
Strategic planning should again be facilitated by the Divisional risk sensitive planning working group. That is
to identify relevant resources and paths to implement the plan. Technical, financial and other supports of
local councils, NGOs, and, VDCs and other CBOs (Samurdhi Societies, Farmer societies, Women’s Societies
etc.) needs to be considered. Strategic plans should include method of links and roles of specific organization
or group.
The working group should also look in to implementation strategies. Government administrative and finance
regulations, acts and circulars of different government bodies need to be studied. Modes of legitimacy for
maximum collaboration need to be explored. Especially central and provincials systems of administration
need to be considered. Geographical administrative boundaries of (local councils, divisional secretariat
divisions, police divisions, Grama Niladhari divisions, wildlife department etc.) need to be studied and identify
possible coordination methods to implement risk reduction measures.
Purpose of Risk sensitive planning is to develop a disaster risk reduction into local development planning
through a participatory process with the targeted community. Under this process a disaster risk reduction plan
is prepared and own by the community and further the community, government agencies and related
stakeholders identify disaster risk reduction measures, which meet the needs of local people and reflect
socioeconomic plans. Hence human, physical, finance resources are effectively mobilized
Disaster risk reduction plan should base on the outcome of the participatory risk assessment and thereby it
will be realistic and address the local issues on disaster risk reduction. Since the plan ensure grassroots
participation community equip with the information on the associated risk , measure to be implement to
reduce the risk and the way in which these measures can be incorporate into local development activities as
well as the responsibilities of government agencies, related organizations and the beneficiaries.

Page | 37
Steps of planning
Describe the community and their surrounding environment: This includes defining the geographical
boundaries of the community and the land use within them, the prevailing agro-ecological and sub-watershed
systems, degradation features, such as ravines and gullies, areas of greatest shock risks such as flooding and
landslides, and community infrastructure, such as homes, water points, and schools, etc. This provides the
spatial dimension, or map, within which to place and interpret problems faced.
Identify problems and solutions from a community perspective, the aspects of vulnerability, trends and
exposure to shocks, wealth ranking, coping strategies, and targeting are discussed within the context of the
community map. This links problems, challenges, solutions and opportunities to the environment in which
people live, providing foundations to develop concrete response plans.
Select and design activities
Activities needed to solve the problem are identified. Technical design aspects, such as standards and work
norms, transfer modalities, and environmental safeguards are determined, tailored to context, and finalized.
Build partnerships
Complementary activities across sectors that reinforce each other are identified, sequenced, and aligned with
partners. For example, programmes for livestock can include water ponds, vaccination and health, as well as
market and value chain development, with specific components delivered by different partners; or the
rehabilitation of irrigation schemes complemented with improved drought resistant seeds, training on
efficient water use, and improvement of tenureship agreements, etc.
Developing the plan
Finally, targets are set based on realistic projections of resources and priorities. Plans include what each
stakeholder will support and the contribution of the community (self-help), an activity calendar and budget,
and an implementation map to visualize and track progress. Below elaboration shows major planning process
to guide divisional planning group to skeleton-out the risk sensitive development plan.
Community risk reduction planning
A disaster risk reduction plan needs to be developed for (target) communities. This needs to be addressing the
outcomes of the risk assessment so that related areas identified as per the subsystems would propose actions
with sustainable features. This plan helps to consolidate the community’s efforts to prepare for, respond to
and recover from shocks as well as to reduce level of risk.
The plan will be developed by the community representative team as mentioned above. The disaster risk
reduction plan should have long-term development plan to reduce risk as well an emergency response
mechanism. However this would be facilitated by trained individuals from stakeholder agencies. Such plans
developed would be validated by the Local Councils and local administrative bodies. Furthermore they would
support village development considering the village DRR/CCA plan. Simultaneously at the top level, such
organizations will facilitate incorporation of DRR and resilience development into development plans as per
the Subsystems of the Resilience Framework.

Page | 38
Participatory Planning is a practical and easy-to-use planning tool for vulnerable communities, government
extension staff and cooperating partners. Below functions may help the development group to provide
productive inputs for the development of risk sensitive plans at local level:
Link short- and long-term multi-sectorial interventions to tackle the underlying causes of disasters and
shocks. For example, complementary programmes to address land degradation, a major cause of reduced
production and food insecurity, also multiplies the impacts of natural shocks such as droughts and floods, and
it exacerbates local conflicts over scarce natural resources.
Prioritizes key actions needed to reduce disaster risk and build resilience against shocks. For example,
building flood protection dikes, raising grounds for feeder roads and homesteads, stabilizing steep degraded
slopes with terracing, and repairing damaged irrigation schemes.
Provide a local level tool for partners to complement food assistance by identifying a package of activities
that better support vulnerable groups.
Empower marginalized groups by including them in discussing, selecting, implementing, and benefitting from
programmes that reduce their environmental, social and economic hardships within a community.
Enable the building and maintaining of quality assets. This is essential, especially in environments that by
their nature are difficult to restore (e.g. arid lands, sloping terrains, etc.), where resources are depleted, access
to food is problematic, and where the effects of shocks are compounded by fragile livelihoods and climate
variability.
The risk assessment phase is a good entry point for connecting local concerns with disaster risk issues. Local
development planning is where these issues can be paired up with solutions. A DRR plan can be developed in
light of economic, social and political realities. This in turn increases the likelihood that planned risk reduction
measures are successfully implemented. These can be further driven by assessment based on community sub
systems focusing Human, Social, Environment, Physical, Financial and Governance which are described in
the Conceptual Framework of the Community Resilience Framework.
Developing the plan
Step 1: Validation of collected data, selection of impacts
 After the exchange of greetings and introduction of the group to the exercise, the facilitator presents the work of the
preparation phase. In an open discussion, the group validates the data based on their own experiences. Where
necessary and conclusive, the table can be adapted.
 Based on the hazards and impacts identified in this table, the group defines the impacts that are most pressing for
them. Subsequently, the group decides which impact could be tackled with short term, medium term or long term
interventions. Short term activities could be single events such as awareness rising whereas medium and long term
activities are those who require repeated or continuous engagement such as maintenance work. All the interventions
have the goal to reduce the impact of the disaster in the long term.
 The result of the definition can be presented, in some cases; the timeframe of engagement with a specific impact
cannot be assessed at this stage. In such cases, the period could be measured after the analysis of specific impact in
below step 2.
 The group chooses 6-7 impacts to include them in the action plan. The group should give the greatest importance to

Page | 39
those impacts which could have a positive impact on the biggest number of households, specifically those of extreme
poor/poor, women, children and disabled. Existing resources, opportunities and facilities should be considered
during the selection.
Step 2: Analysis of impacts and development of strategies to address them
 The group analyses the impacts chosen in the first step. The results from the information collected in the preparatory
phase should be used as a basis for the analysis.
 Following the analysis, one or more strategies are planned for each issue. For the planning, consultation with present
resource persons and consideration of existing initiatives and opportunities are important.
 During the analysis of existing initiatives (in the third column) aspects like effectiveness, cost, sustainability,
simplicity, etc. should be discussed.
Step 3: Development of an action plan
 Based on the strategies developed in the previous step, the group elaborates an action plan for the next year. One
example is presented in Annex 3. Detail activities and budget can alternatively be developed by a small task force at
a later stage. The activities under a specific initiative/project should follow the DRR Principles.
 For the medium and long term issues, also the steps for the subsequent year(s) should already be planned. Where
needed, the maintenance work should be planned for the following years, including the procurement of necessary
materials or finances. The finances for the maintenance of a risk reducing installation could for example be taken
from a common income generating activity or business.
 The action plan should include the development of a general plan of behavior for the whole community during and
after a disaster. Each community member should know what steps are necessary in case of an emergency to reduce
the impact of the disaster. This plan includes for example evacuation plans to the shelters, distribution of emergency
food reserves, etc.
Below are some indicative measures which can be implemented through development plans at divisional level
or may be at community level risk reduction plans.
Risk
management
and
vulnerability
reduction
Components of
Resilience Characteristics of an enabling environment
Environmental and
natural resource
management
Sustainable
livelihoods
Social protection
Financial instruments
Physical protection;
structural and
technical measures
Planning regimes
Health and well being
Vulnerability reduction is a poverty reduction and development target; government plans
and donor help reflect including and risk sensitive and climate smart livelihood
development
Officials have skills and engage in vulnerability reduction methods. Tools and guidance
risk sensitive planning, scenario based planning etc. available
Project and programmes have adequate guidance to plan and implement risk sensitive
development
Environmental and natural resource management is considered a core value in
development programmes.
Financial institutions and insurance companies align their services to promote risk
sensitive development
Local awareness, linkages, resource mobilization and capacity add value to local plans;
community practice respect leadership of local authorities and governments

Page | 40
The integration of DRR/CCA into the local livelihood & other development activities ensures that the
communities and households would internalize hazard and risk analysis, consider risk and vulnerability as well
as opportunities while determining their development strategies.
Some risk reduction principles
 Enable priority to prevent the cause or impact of a disasters and climate change phenomena’s
 Enable thrust on the development of initiatives that increase preparedness and reduce the dependency on relief;
to address disaster, depend on local capacity instead of depending on external support;
 Enable priority to organized local support rather than depending on a high number or uncoordinated external
support initiatives;
 Enable priority to community wide preparedness interventions rather than individual preparedness activities;
 Enable emphasize on permanent measures rather than temporary measures in reducing risks.
Formulate an Action Plan
Based on the agreed upon goals and objectives and on results of the risk assessments, risk reduction actions
are identified and prioritized. This is often done by organizing a committee meeting which could be facilitated
by divisional planning group.
What is in an action plan? The action plan addresses the following questions:
What do we need to do?
Who is responsible for implementing which risk reduction measures?
Who can help implement the measures?
How much will they cost? (budget)
What will be the funding sources for these measures?
When do we need to complete activities? (implementation schedule)
What are the arrangements for monitoring, evaluation, review and revision (when, how, who, what)

Page | 41
Below charts suggests some parameters might be incorporated into plans;
Community
Sub System
Potential Negative Impact Proposed Mitigation Measures
Physical Sub
System
Infrastructure
 Incorrect alignments can result
in blocking the natural water
courses and become potential
flood hazard.
 Substandard construction
can result in different types
of disaster risks.
 Slope cutting for
roads widening may
trigger landslides.
 Improper disposal of debris
like dumping into rivers
and streams.
 Avoid new alignments which can
block natural water courses.
 Adopt slope stabilization
measures;
 Ensure proper designing
and quality control through
monitoring and inspection
regimes.
 Identify proper debris dumping
site away from streams and
rivers
 Drainage system may be
blocked, which may result in
stagnant water;
 Improper disposal of the
debris;
 Ensure that proper designing and
quality control of the street
pavements & drainage systems;
 Identify proper debris dumping
preferably in depressions that
need filling;
Human Subsystem
Education
 In case of single entry and exit
it is likely to be choked during
an emergency and result in
casualties.
 Similarly the doors opening
inwards are likely to be
choked in an emergency.
 Construct multiple emergency
exits and create DRR awareness
among all stakeholders.
 Lay-down and rehearse SOPs for
evacuation in an emergency.
Economic Subsystem  Local seed market may be
adversely affected.
 Distribution of new and
untried seeds can be
extremely harmful for the
farmers.
 If seeds cannot be provided in
time for cultivation, it may
ultimately do more harm than
good.
 A proper assessment is carried
out prior to distributions of seeds
to safeguard the interest of the
seed traders.
 Local varieties should be
considered if available.
 Timing is critical. The seeds must
be provided at the right time for
timely cultivation and obtaining
optimum yield.

Page | 42
Communicating Plans
It is crucial to put in place a mechanism to keep stakeholders regularly informed of their risks, and provide
avenues for dialogue during the planning process. Here are some ways to do it: Media agencies should be
involved in covering the planning process, thus reaching not only the stakeholders but also the public in
general.

Page | 43
STEP 5: PARTICIPATORY IMPLEMENTATION, MONITORING AND EVALUATION
With growing emphasis on participatory approaches towards development, there has been recognition that
implementation, monitoring and evaluation (IM&E) should also be participatory. Conventionally, IM&E has
involved outside experts coming in to measure performance against pre-set indicators, using standardized
procedures and tools. In contrast, participatory implementation, monitoring and evaluation (PM&E) involves
primary stakeholders as active participants and offers new ways of assessing and learning from change that
are more inclusive, and reflects the perspectives and aspirations of those most directly affected.
Implementation of climate change and disaster risk sensitive development plan
The plan will be implemented by community structure with the support of multiple stakeholders with close
coordination with the divisional planning group. Their roles and responsibilities will be as per the agreed plan
at the village level. The planning department of the Divisional Secretariat will have the key responsibility in
facilitating and mobilizing adequate resources for each implement organization.
While implementing the risk sensitive village development plan prepared with the community participation
vulnerable communities can play major role in reducing disaster risks faced by them. But obviously the step
required effective support and assistance from governmental agencies and outside stakeholders for
sustainability. Further effective use of resources mobilized from inside and outside the community, reduce
community’s vulnerability and enhance their capacity to cope with disaster risks, in contribution to poverty
reduction, living condition improvement and local development process can also be expected from the sound
implementation of the disaster risk reduction plan.
Involvement of community based societies like, village development committees (Grama Sanwardana), Elders
societies, Samurdhi Societies etc. for the implementation will ensure better coordination and active
participation of the community and related agencies as well as transparent and accountable implementation
process to both communities and stakeholders
Integrate Risk Reduction Measures in Development Plans local level authorities (Divisional secretarial & local
governments) are the governmental body responsible for the long-term development of its area and the well-
being and safety of its populations. It cannot afford to ignore risk considerations because disasters may
destroy development outputs and gains.
The risk assessment phase is a good entry point for connecting local concerns with disaster risk issues. Local
development planning is where these issues can be paired up with solutions. A DRR plan can be developed in
light of economic, social and political realities. This in turn increases the likelihood that planned risk reduction
measures are successfully implemented. These can be further driven by assessment based on community sub
systems focusing Human, Social, Environment, Physical, Financial and Governance which are described in the
Conceptual Framework of the Community Resilience Framework.

Guidelines - Climate Resilient Village Development Planning in Sri Lanka

Guidelines - Climate Resilient Village Development Planning in Sri Lanka

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