Institutional and Legal Frameworks for Disaster Preparedness and Response
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"A country's legislative and governmental systems provide the basis for plans and organisation in all areas of disaster risk reduction [including preparedness and response]. An adequate institutional basis as well as good governance, therefore, is an important prerequisite for disaster risk management." (UN/ISDR, 2007. Words Into Action: A Guide for Implementing the Hyogo Framework. Geneva, Switzerland, p.21)
Suggested Use of Terms
There are many different ways of referring to institutional and legal frameworks, i.e. institutional architecture, structure or framework; legal, legislative, regulatory frameworks. The suggested use of terms below stems from the thematic discussion paper "Governance: Institutional and Policy Frameworks for Risk Reduction" prepared by UNDP/BCPR, the Provention Consortium Secretariat, UN-Habitat, and UNV with the support of the UN/ISDR for the World Conference on Disaster Reduction, January 2005, Kobe, Japan.
Legal and regulatory frameworks comprise the laws, executive orders and other legal instruments that set the ground rules for governmental and non-governmental activities relating to disasters and risk reduction. They define the authorities, responsibilities and roles of officials and organisations, establish legal authority for organisations and programmes, and sometimes create organisations and coordination mechanisms. They may dictate or encourage relevant policies, practices and processes.
Institutional frameworks and structures comprise all organisations or institutions with a recognised role to play in disaster risk management, the mechanism for coordination between them, their human resources, funding, equipment and supplies, leadership and effectiveness. Appropriate institutional frameworks are needed to carry out policies and legislative measures.
Legal and regulatory frameworks
Of the 119 national reports submitted to the World Conference on Disaster Reduction, Kobe, 2005, 80 % included some form of legislation for disaster management. Typically, the national legal and regulatory framework is governed by a core piece of legislation, often referred to as the National Disaster Management Act. The latter is often quite vague and generally requires specific implementing regulations with details on how the law should be implemented in certain areas. The recently adopted Disaster Management Law of Indonesia (April 2007) for example called for specific implementing regulations to be enacted by the Government including one on the role of international institutions and international non-governmental institutions in disaster management in the country.
Disaster management legislation should not necessarily be equalled to disaster risk reduction legislation. The summary of national reports submitted to the World Conference on Disaster Reduction (2005) finds that "many governments, to their credit, have for some time recognised the importance of shifting from an emphasis on disaster management and response to the wider considerations of disaster risk reduction. However, many legislative initiatives and political mechanisms are still mainly focused on disaster management." The summary of national reports can be accessed here; the national reports are accessible on the ISDR website at www.unisdr.org/wcdr/preparatory-process/national-reports.htm.
The existence of appropriate national legislation with respect to disaster management is of particular interest not only to the country itself but to all disaster relief actors. Indeed, legal problems occur in many disaster settings when international assistance is required and the latter is not sufficiently addressed in the national legal framework. Problems include delayed customs clearance and issuance of visas for relief workers, the legal status of organisations and many more.
The International Federation of Red Cross and Red Crescent Societies (IFRC) has over the last years led a process of research and consultations that led in November 2007 to the unanimous adoption of the "Guidelines for the Domestic Facilitation and Regulation of International Disaster Relief and Initial Recovery Assistance" by all state parties to the Geneva Conventions and the components of the International Red Cross and Red Crescent Movement (also available here in French and Spanish). The Guidelines
- specifically address the need for speedy and efficient international response to disasters through the development of efficient national legal frameworks
- are a non-binding document, yet include the main principles relating to international disaster response that have already been adopted by States
- provide guidance for domestic authorities wishing to develop or improve their national legal framework on international disaster response
- suggest legal facilities for eased entry and operation, while linking those to compliance with minimum humanitarian and quality standards, as well as safeguards for governments providing these facilities
- apply to slow and rapid onset disasters, whether natural or manmade, for which international relief and initial recovery assistance has either been requested or accepted by the Government
- do not cover armed conflict or situations in which International Humanitarian Law is applicable.
A factsheet on the Guidelines is also available in English, French and Spanish.
More information about the IDRL Programme can be found at www.ifrc.org/what/disasters/idrl/
Institutional frameworks and structures
Where a National Disaster Management Act exists, it usually describes the overall institutional framework and structures, i.e. the National Disaster Management Office (NDMO), if existing, and its cooperation with other relevant actors. Whilst the institutional framework should indeed be based on appropriate legislation, it covers more than that. Ideally, the institutional framework is described in the National Disaster Management Plan with details on coordination structures (both horizontal and vertical) between various actors involved, their human resources, Standard Operating Procedures, other types of agreements, funding, equipment and supplies, etc.
A study prepared by InterWorks in 1998 for the UN Disaster Management Training Programme (DMTP) found that national disaster management models generally fall into three main categories. (UNDMTP, Model for a National Disaster Management Structure, Preparedness Plan, and Supporting Legislation, InterWorks, 1998)
- The NDMO is located in the Prime Minister's Office:
- The NDMO is located in a line ministry:
- There is no signle NDMO but certain ministries that have their own disaster units or departments:
According to the previously mentioned thematic discussion paper Governance: Institutional and Policy Frameworks for Risk Reduction prepared for the WCDR in Kobe, 2005, option 1 is the recommended structure. "It is widely believed that a strong, well located or central agency/ authority for disaster and risk management is a key element in the institutional framework, providing a visible focal point for the management and reduction of risk as well as efficient emergency response. Successful nodal agencies facilitate a coherent approach to disaster management and provide a framework for coordinated action. But it is vitally important that such agencies demonstrate leadership and professional competence, and earn the confidence and support of stakeholders at all levels. In practice, such calibre and commitment are often lacking. It must be acknowledged that in many if not most countries such agencies originated to undertake disaster response/civil defence activities and have found it difficult to adjust to new, holistic, approaches to risk management."
Useful resources and tools
Legislation for mainstreaming disaster risk reduction, M. Pelling and A. Holloway, Tearfund, October 2006 (see also at http://tilz.tearfund.org/Research/Disaster+Risk+Reduction+reports/. The report is aimed primarily at national governments in disaster-prone countries, as well as bilateral and multi-lateral donor organisations. It should also be of interest to NGOs and agencies engaged in lobbying for legislative reform on disaster risk reduction.
Law and legal issues in international disaster response: a desk study - Summary Version, D. Fisher, IFRC, 2007. The desk study summarized here offers an overview of existing IDRL and of the common regulatory problem areas in non-conflict disasters. It draws on an extensive process of consultations and research carried out over six years, including over 20 case studies and a global survey of governments and humanitarian organizations. The full version of the desk strudy can be found at http://www.ifrc.org/what/disasters/idrl/research/publications.asp#deskstudy
IDRL Database at www.ifrc.org/what/disasters/idrl/publication.asp. The IDRL legal database is a collection of international and national legal documents (such as treaties, resolutions, laws and regulations) relevant to international disaster response operations. Its aim is to improve the awareness of existing rules and standards by disasters response actors and governments as well as assist in the development of new regulation and policy, where needed.
Model for a National Disaster Management Structure, Preparedness Plan, and Supporting Legislation, prepared by InterWorks, UNDMTP, 1998
Governance: Institutional and Policy Frameworks for Risk Reduction prepared by UNDP/BCPR, the Provention Consortium Secretariat, UN-Habitat, and UNV with the support of the UN/ISDR for the World Conference on Disaster Reduction, January 2005, Kobe, Japan
A Global Review: UNDP Support to Institutional and Legislative Systems for Disaster Risk Management, UNDP, 2005. and an executive version. www.undp.org/bcpr/documents/dru/proj_fact/ILS_DRM_Global_Review_Final_AP.doc. The UNDP review provides an understanding of certain trends in the development and strengthening of institutional and legislative systems, and reveals areas of opportunity for more effective assistance to the countries reviewed.
National Reports on Current Status of DRR, as submitted to UN/ISDR for the World Conference on Disaster Reduction, Kobe, 2005. www.unisdr.org/wcdr/preparatory-process/national-reports.htm