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Photo: © IngaL | istock.com Design & layout: ULTRAdesigns Sectoral Recovery Capacity Assessment (SRCA) Methodology Peer-reviewed in September 2020 and updated in February 2024 Table of Contents 1 Acronyms........................................................................................................................................................... 3 Acknowledgements ........................................................................................................................................... 4 01 Introduction ................................................................................................................................................. 5 02 Rationale for a sectoral recovery capacity assessment ............................................................................. 8 03 Objectives.................................................................................................................................................... 9 04 The Sectoral Recovery Capacity Assessment Framework ....................................................................... 10 4.1 Data collection.........................................................................................................................................................10 4.2 Data analysis............................................................................................................................................................11 4.3 Visualization of results...........................................................................................................................................13 4.4 Analysis of results, recommendations and reporting......................................................................................14 5.1 Preparation stage....................................................................................................................................................15 5.2 Collection of data and information stage...........................................................................................................15 5.3 Data analysis stage................................................................................................................................................15 05 Implementation of the methodology ......................................................................................................... 15 5.4 Results analysis and reporting stage..................................................................................................................16 06 Development process of the Sectoral Recovery Capacity Assessment..................................................... 17 07 Project team .............................................................................................................................................. 18 Annex 1. Glossary of key terminology.............................................................................................................. 19 Annex 2. The SRCA questionnaire ................................................................................................................... 21 Annex 3. Summary of the SRCA questionnaire ............................................................................................... 29 Annex 4. Notes on the treatment and analysis of SRCA data ......................................................................... 31 Annex 5. References ........................................................................................................................................ 35 a. Documents consulted to develop the SRCA methodology .................................................................................36 SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 2 Figures Figure 1. Phases of the Disaster Risk Management cycle and related priority interventions. ................................... 6 Figure 2. The SRCA framework structure. ..........................................................................................................................11 Figure 3. Schematic representation of the data used in the calculation of the Recovery Capacity Index (RCI) for one of the SRCA’s components and each of its key elements and sub elements. ............................................... 12 Figure 4. Illustrative example of the SRCA results visualization.....................................................................................13 Figure 5. Diagrammatic representation of the SRCA framework....................................................................................14 Tables Table 1. Scoring system for qualitative responses to questions in the SRCA questionnaire.................................... 32 Table 2. Definition of value ranges for the RCI....................................................................................................................33 SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Acronyms 3 BBB Build Back Better CDEMA Caribbean Disaster Emergency Management Agency CDM Comprehensive Disaster Management CCA Climate Change Adaptation CRF Canada-Caribbean Resilience Facility DRM Disaster Risk Management GIS Geographic Information System GFDRR Global Facility for Disaster Reduction and Recovery HR Human Resources M&E Monitoring and Evaluation NGO Non-governmental Organization PD-PFM Post-Disaster-Public Financial Management PCM Project Cycle Management activities PDNA Post-Disaster Needs Assessment PFM Public Financial Management RCI Recovery Capacity Index SRCA Sectoral Recovery Capacity Assessment SIDS Small Island Developing States USD United States Dollars SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 4 Acknowledgements The Sectoral Recovery Capacity Assessment (SRCA) The team is grateful to the World Bank specialists methodology was developed by a core team of World who provided constructive insights and technical Bank specialists, including Roberto Mendez (Senior inputs during the methodology’s peer review process Disaster Risk Management Specialist, Consultant), in September 2022, and to the Caribbean Disaster Clara Ariza (Senior Disaster Risk Management and Emergency Management Agency (CDEMA) for its Climate Adaptation Specialist, Consultant), Naraya active involvement during the SRCA pilot applica- Carrasco (Senior Disaster Risk Management Specialist), tion in six Caribbean countries, and for its feedback, and Francesco Varotto (Disaster Risk Management which contributed to improve and update this docu- Specialist, Consultant). This effort was strengthened ment. The development and application of the SRCA with inputs from Suranga Kahandawa (Senior Disaster methodology was funded by the Canada-Caribbean Risk Management Specialist), Mirtha Escobar (Disaster Resilience Facility (CRF), a single-donor World Bank- Risk Management Specialist), and Lesli Walling (Climate executed trust fund managed by the Global Facility for Adaptation Specialist, Consultant). Disaster Reduction and Recovery (GFDRR). 01 5 Introduction The Caribbean region is highly prone to disasters. for the same period (Ötker and Srinivasan, 2018). The Between 2000 and 2019, the region experienced 8 cost of some disasters has exceeded the size of the earthquakes, an average of 17 hurricanes per year and economy of the countries affected. For example, the 23 Category 5 hurricanes. The 2017 hurricane season impacts of Hurricane Maria in Dominica in 2017 have broke the records in the number of countries affected been estimated at USD 1.37 billion, equivalent to 226 and the magnitude of damage. In 2019, Hurricane percent of the nation’s 2016 Gross Domestic Product Dorian became the strongest hurricane to ever impact (GDP). This includes, among other things, damages a landmass, and in 2020, an above-average hurricane and losses of USD 382.5 million in the housing sector, season is expected, with between 13 and 19 named USD 234.8 million in the transport sector, USD 179 mil- storms, of which 6 to 10 could become hurricanes, lion in the agriculture sector, USD 116.7 million in the including 3 to 6 major hurricanes (NOAA, 2020). tourism sector, USD 77.2 million in the commerce and Recurrent flooding, landslides and drought events microbusiness sector and significantly larger finan- also affect Caribbean countries, while volcanic activ- cial needs for building back better (Government of the ity, with the potential of causing 100 percent property Commonwealth of Dominica, 2017). destruction and major death tolls, is a latent hazard for several of the region’s Small Island Developing States With climate change, the risk of disasters and their (SIDS) (OCHA, 2020). associated burdens could be heightened in the Caribbean, particularly in the region’s SIDS, where Such disasters cause direct losses from the destruc- more frequent extreme weather events, more intense tion of infrastructure and property; indirect losses from tropical storms and sea level rise are expected, and foregone output and incomes, and costs as individu- where most of the population and critical infrastruc- als and businesses work around disruptions. In addi- ture are located along the coast. In these countries, tion, the destruction of productive assets is an implicit national economies are small and reliant on weather tax on capital, which tends to deter country invest- sensitive sectors and their capacity to manage risk, ments and lowers productivity and living standards including the needed resources and the number of pro- on a sustained basis (IMF, 2016). Disasters jeopardize fessionals with the requisite level of knowledge, skills, hard-won national development gains and growth and experience, are limited. The limited national risk prospects and erode fiscal cushions. The economic management capacity is further constrained during burden of disasters in the Caribbean exceeded USD compounded crises, as the prospect of an active 2020 22 billion between 1950 and 2016,1 almost 40 percent hurricane season amidst the COVID-19 pandemic cur- of the total cost of similar disasters across the globe rently shows. 1 Losses and damages are provided in constant 2009 USD. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 6 While the economic repercussions of disasters vary lowering social and economic burdens and allowing between hazards and countries, these events have a a more rapid recovery of national consumption and disproportionate impact on the poor (Hallegatte et al., development levels (Hallegatte, Rentschler and Walsh, 2017). Well beyond asset losses, disasters reduce the 2018). This makes disaster recovery planning and poor’s wellbeing, which makes it harder for them to investments a priority for Disaster Risk Management escape poverty, lowers national consumption, slows (DRM) in the region. economic recovery and hampers poverty alleviation and sustainable development efforts (Hallegatte et al., Building the necessary capacity for resilient recovery 2016). It has been recently shown that in Caribbean should take place before disasters strike. The pre- SIDS, more timely and inclusive recovery efforts and paredness phase of the DRM cycle (Figure 1) presents, thus faster and better reconstruction can reduce ahead of a crisis, the best opportunity for assessing, disaster-related wellbeing losses up to 74 percent, planning and investing in building the capacity needed FIGURE 1 Phases of the Disaster Risk Management cycle and related priority interventions. Adapted from Swiss Federal Office for Civil Protection (2020). Asterisks indicate the phases of the DRM cycle that are most relevant for the SRCA. These are the recovery phase and the preparedness phase, where the necessary actions for recovery need to be implemented. For a more detailed definition of terms see Annex 1. Limita tion Event of da m Preparations a ge for interventions s Intervention Preparedness > Management * > Early warning and early Recondition Respo actions systems nse > Resources for interventions ss ne > Emergency planning ion an repared > Training and exercises > Individual preparations Understanding dP duction > Risk transfer systems, e.g - Insurance Risk - Safety nets Event analysis ent > Forecast-based financing > Documentation of event ity re Re ev > Lessons learnt for co Pr ver Eve preparednesss, response y and recovery l Prevention and mitigation i n b t ra > Policy and planning Eva lne > Structural measures and nature-based solutions Recovery, rehabilitation and lu u * V - Technical measures a reconstruction (”Build back better”) tio - Biological measures > Strengthening resilience n > Organisational measures > Livelihoods and ecosystem restoration > Financing recovery, rehabilitation and DRR Actions - Development reconstruction & Humanitarian Nexus Emergency Response - Humanitarian Actions SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY to ensure that the fast and efficient restoration of ser- solutions to capacity issues that could delay the imple- 7 vices, activities and infrastructure can take place in a mentation of recovery projects. timely and efficient manner after a disaster, during the recovery phase. Results of the SRCA are expected to benefit national governments, sectoral stakeholders, national DRM Preparing for recovery involves enhancing the capac- agencies and the Caribbean Disaster Emergency ity of national governments and other stakeholders Management Agency (CDEMA) in their efforts to to help countries recover from losses and damages, enable a rapid and effective recovery in the aftermath defining and strengthening institutional and financial of disasters. Recommendations resulting from the systems that support the recovery process and obtain- assessment will also inform the design and implemen- ing the necessary political commitment for the devel- tation of recovery capacity activities lead and funded opment of recovery policies and programs (GFDRR, by national governments, international organizations 2020). A capacity assessment is a starting point to and other stakeholders. identify the strengths and needs of governmental agencies and civil society to manage and recover from This document consists of seven sections. After this hazard impacts (UNISDR and OCHA, 2008). Further, introduction, Section 2 describes the rationale for the focusing the capacity assessment and subsequent development of the methodology. In Section 3, the capacity building interventions on the recovery of the objectives of the SRCA are presented. Section 4 intro- development sectors most affected by disasters can duces the main conceptual elements of the assess- further increase the efficiency and effectiveness of ment framework, explains their relationship, details investments in recovery. An overview of Post-Disaster the data requirements to assess the current status Needs Assessments (PDNAs) in SIDS suggests that in of sectoral recovery capacity and offers details on the Caribbean, housing, transport, agriculture, tourism methodological aspects of data collection, data anal- and education have been the sectors most affected by ysis, results interpretation and presentation. Section 5 catastrophic events in recent years. describes the stages and steps to be followed for the implementation of the methodology, from the moment This document presents the Sectoral Recovery preliminary contact has been established with national Capacity Assessment (SRCA), a methodological governments to the preparation and circulation of the approach to assess the capacity of key national sec- final assessment report. The development process of tors in Caribbean countries to implement recovery the SRCA methodology is described in Section 6. The projects in a timely, efficient and effective manner. project team is presented in Sections 7. The assessment was developed as a tool to identify SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 02 8 Rationale for a sectoral recovery capacity assessment National Disaster Preparedness Assessments tool for the region, which had recently been updated (NDPAs) often address physical damage and economic to respond to the Caribbean Community’s (CARICOM) multisectoral losses to allow planning and making directive for CDEMA to expand its mandate, histor- decisions immediately after the disaster for the recov- ically focused on disaster response, to also support ery of key development sectors, usually based on the recovery activities in the region. identification of recovery needs and information from the affected population. The need for a methodology The SRCA methodology was developed to assist gov- to conduct an early, in-depth and consistent assess- ernments in the Caribbean region in assessing their ment of the existing capacity for the rapid and effec- capacity to undertake sectoral recovery projects on the tive implementation of sectoral and national recovery ground in a timely, efficient, and effective manner after interventions in a framework of transition to develop- disasters strike. By concentrating on capacities, sec- ment is growing due its utility. The capacity for better tors, and the implementation of recovery operations, recovery can be built as part of the DRM preparedness the SRCA complements the strategic and cross-sec- phase. This includes the capacity for mapping hazards, toral overview of the country’s recovery situation pro- assessing and communicating risks and managing vided by CDEMA’s CDM Audit Tool. In addition, the projects, including reconstruction projects, as well as SRCA facilitates the identification of capacity building the capacity for building back better, among other tech- interventions to be conducted at the preparedness nical aspects. phase of the DRM cycle. The CRF2 developed the SRCA methodology and part- Although the assessment methodology was devel- nered with CDEMA to coordinate its implementation in oped to strengthen readiness for disaster recovery six CRF eligible countries within the process of appli- and validated in six Caribbean countries, it can be cation of the Comprehensive Disaster Management implemented in any country and sector. (CDM) Audit Tool, CDEMA’s main DRM assessment 2 The Canada-Caribbean Resilience Facility (CRF) is a World Bank-executed single-donor trust fund, valued at CAN 20 million (estimated USD 15.2 million), and will be implemented over a five-year period (FY19-FY23). The Facility was established with support from the Glob- al Affairs Canada, the Global Facility for Disaster Reduction and Recovery (GFDRR) and the World Bank to achieve more effective and coordinated gender-informed climate-resilient preparedness, recovery, and public financial management in nine (9) Caribbean countries, namely: Antigua and Barbuda, Belize, Dominica, Grenada, Guyana, Jamaica, Saint Lucia, Saint Vincent and the Grenadines, and Suriname. The Facility supports these countries by deploying technical experts in the region for closer partnership, collaboration and just-in-time support, to accelerate implementation of recovery projects and overall resilience building efforts across the Caribbean SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 03 9 Objectives The purpose of the SRCA methodology is to provide timely and efficient climate resilient, gender- a systemic and comprehensive understanding of the responsive and inclusive recovery projects; capacity challenges and constraints faced by key » Identify capacity gaps, weaknesses and challenges national sectors and governments, when generating that limit and slow down the timely and efficient DRM strategies, plans and interventions ahead of implementation of recovery projects in key national emergencies, and their capacity to timely, efficiently sectors; and and effectively implement recovery projects after » Identify investment opportunities to assist key sec- disasters strike. The SRCA focuses on the capacity tors and their institutions in addressing recovery needed to plan, develop and boost the implementation capacity gaps, weaknesses, and limitations (e.g., of resilient and inclusive recovery projects. policy reforms, institutional restructuring, train- ing, and physical investments –including invest- The objectives of the SRCA are to: ments on grey/green infrastructure, equipment and systems), and recommend interventions to be » Improve the understanding of the existing capacity financed by the government, bilateral and multilat- of national governments and key sectors to take eral donors, and other institutions, to improve the the necessary actions to prepare for and undertake capacity of key sectors to prepare for recovery. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 04 10 The Sectoral Recovery Capacity Assessment Framework The SRCA follows a semi-quantitative approach to The main components are defined as follows: evaluate the conditions and extent to which the exist- ing national and sectoral capacity enables timely, » Governance: Required policy, legal, regulatory, effective and coordinated disability inclusion and other strategic and institutional conditions, gender-informed, climate resilient disaster recovery. It » Competencies: Knowledge, skills and models allows the identification of capacity gaps and weak- required to operationalize the governance ele- nesses, as well as appropriate solutions for recovery. ments, and » Resources and Tools: Information, methodologies, The framework is based on the understanding that the systems, tools and protocols required for deci- policy, strategic, programmatic and operative direction sion-making and better results generation. of DRM is part of the overall responsibility of national governments. In consequence, the development of The assessment structure establishes a relational resilient DRM, including recovery initiatives, takes cascade among sub elements of each key element place under institutional, administrative, financial and between key elements of each of the three com- and operative mechanisms decided by governments, ponents. The information required for the assessment including those applicable at different levels and rele- is obtained from responses to the SRCA question- vant to different sectors. naire, included in Annex 2. This structure facilitates the identification and characterization of gaps and The assessment framework consists of three main constraints, their causes and solutions. The key ele- and inter-related capacity components, namely (i) ments and sub elements of each component of the Governance, (ii) Competencies, and (iii) Resources and SRCA are presented in Annex 3, and a schematic rep- Tools. Each of these components includes a series of resentation of the SRCA framework structure is pro- complementary key elements (areas covered in the vided in Figure 2. component) and each key element includes a series of complementary sub elements (topics covered in the key element). Gender, disability inclusion and other 4.1 Data collection vulnerable/marginalized groups are cross-cutting issues. This structure allows addressing key factors for The SRCA uses a desk review, key informant inter- recovery at each level of the framework (i.e., under the views and sectoral expert opinion as secondary and key and sub elements). Further, the three components primary sources of information to respond to the were conceived to respond to a vision of sustainable SRCA questionnaire, which is included in the SRCA and resilient development for the Caribbean region. tool, a Microsoft Excel spreadsheet. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY FIGURE 2 . 11 The SRCA framework structure. Components 1 (C1), 2 (C2), and 3 (C3) are the main and inter-related components of the assessment, each consisting of a set of key elements (KE) and their respective sub elements (SE). The letter Q (1, 2, 3, etc.) represents the questions per sub element. The yellow, aquamarine and purple circles denote the crosscutting themes: gender, disability inclusion and inclusion of other vulnerable/marginalized groups. Q1, Q2, …, Qn ps SE1, SE2,…, SEn ou gr d KE1, KE2, …, KEn lity lize ina r nde arg C1. Governance Ge e/m abi Dis Other vulnerabl RECOVERY nd C2 ols s a .C To urce n om KE KE pe En o …, 1, es te ,S SE KE 2, .R nc Qn 1, 2,… KE 2, ie C3 SE Q1 s …, …, SE 1, 2,… ,Q KE KE 2, 1, ,Q 2, ,S n SE …, En Q1 Qn The SRCA questionnaire includes questions for each Caribbean Resilience Facility Tool and in the Sendai of the sub elements and for cross-cutting issues. The Framework for Disaster Risk Reduction. The complete current condition of each key element in the frame- list of sources reviewed for this purpose is presented work is estimated from the information obtained from in Annex 5. the responses to the questions of its corresponding sub elements. This approach facilitates the identifica- tion of gaps, bottlenecks, deficits, blockages and other 4.2 Data analysis factors limiting the planning of and implementation of resilient projects during the disaster recovery phase. The semi-quantitative treatment of the information The quantification and analysis of the identified limita- collected is an appropriate approach to the analy- tions offer guidance to the selection and prioritization sis of the responses to both open-ended and binary of appropriate interventions to strengthen national questions included in the SRCA questionnaire. This and sectoral recovery capacity. The questions in the approach enables the translation of qualitative and questionnaire are based on the review of existing DRM quantitative opinion and value judgments into numer- assessment tools and indicators, including those in ical values within established ranges. The numerical CDEMA’s CDM Audit Tool, in the Capacity for Disaster values obtained from the analysis describe the extent Reduction Initiative (CADRI) Capacity Assessment and to which the considerations necessary for effective Planning Tool for Disaster Risk Management, in the recovery are taken into account and integrated by a SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 12 specific sector as part of the process of operationaliz- responses of all questions included for the respective ing the country’s DRM policies. level in the SRCA questionnaire (Figure 3). The SRCA questionnaire includes a total of 84 questions for the Scoring system: A scoring system has been designed sector, split between a finite number of questions per for the assignation of numerical values to the sub element, key element and component (see the responses obtained for each question. The scores number of questions in Annex 3). The RCI ranges from range from 0 to 4, where a value of 0 indicates the defi- 0 to 100 and provides an appreciation of the extent to nite absence of consideration given to a topic, which which recovery planning and implementation factors could exacerbate the impact of a catastrophic event are integrated at each level of the framework. For exam- and, therefore, needs to be prioritized. On the other ple, an RCI of 0 to 24 calculated for Strategies and Plans extreme, a value of 4 indicates that a topic has been (key element of the Governance component) indicates fully addressed; there is evidence supporting this fact that the integration of recovery factors is low or absent and there is no need for further action. across the sector’s plans and strategies and that the awareness and knowledge of the importance of their Recovery Capacity Index (RCI): An RCI is calculated integration is low. For this example, an RCI value of 90 to for each level of the framework (i.e. for each sub- 100 would indicate that the integration of recovery fac- element, key element, component, and for the sector), tors into sectoral activities is a working principle, man- using the sum of the score values assigned to the aged as part of organizational culture and operating at FIGURE 3 Schematic representation of the data used in the calculation of the Recovery Capacity Index (RCI) for one of the SRCA’s components and each of its key elements and sub elements. Key inputs for the calculation of the RCIat each level are the score values (0 to 4) assigned to the answers to the questions (Q) in the level and the number (1 to n) of questions included for the level in the SRCA questionnaire. Note that the number of questions at each level of the framework is finite. The total number of questions is 84. Data for Sub Sub element 1 – Q1, Q2, Qn element 1 RCI Data for Key element 1 Sub element 2 – Q1, Q2, Qn RCI Sub element n – Q1, Q2, Qn Sub element 1 – Q1, Q2, Qn Data for Data for Sub Key element 2 Sub element 2 – Q1, Q2, Qn element 2 RCI RCI Sub element n – Q1, Q2, Qn Sub element 1 – Q1, Q2, Qn Data for Key element n Sub element 2 – Q1, Q2, Qn RCI Data for Sub Sub element n – Q1, Q2, Qn element n RCI Data for Component RCI SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY all levels of the sector. It also indicates that the sector Annex 4 provides details on the calculation of scores 13 has tools and protocols in place for its continuous per- and RCI at various scales. It also includes descriptions formance and impact improvement. of the scores for questions and sub elements, as well as on the RCI value ranges. Because crosscutting issues are included as sub elements of each key element and addressed with specific questions in the questionnaire, gender, dis- 4.3 Visualization of results ability, and other vulnerable/marginalized groups3 are already integrated in the calculation of the indexes and To maximize the use of the results, their presenta- in the results of these analyses. However, cross-cut- tion requires flexibility. It is recommended that spider ting issues can also be analyzed separately, following charts are used to provide a visual representation of the same method, by identifying the relevant ques- the status of each component, key element and sub tions and using the scores of the responses to these element to help stakeholders quickly understand questions to calculate indexes specific for cross-cut- the results (Figure 4). A traffic light system running ting issues at the various levels. from dark red to light green will be applied to RCI val- ues to indicate the existing capacity at each level It is to be noted that RCI values cannot be compared of the assessment, with dark red indicating absence between levels (i.e., the RCI value of a key element of capacity, yellow a moderate degree of capacity cannot be compared with that of a component. This or progress (e.g., a key document or process under is because the key elements (and components) reflect development or under review for approval), and green the capacity to undertake different processes, such as very high or full performance (e.g., documents pend- policy, strategic and operational processes, which are ing approval or approved). It is recommended that the not comparable, but necessary for a timely, more resil- visualization of results starts with the plotting of spi- ient and inclusive recovery. der charts at the component level, followed by charts at the key element level and finally at the sub element FIGURE 4 . Illustrative example of the SRCA results visualization. Component 3: Component 1: Resources and tools 1.1. Policies and Legal Governance Low or Framework absent Low 3.6. Resilient Infrastructure 100 absent (0–24) (0–24) investments 1.2. Strategies and Plans 80 Basic or 75 71 Recovery 59 incipent Basic Recovery Capacity 3.5. Project 60 (25–49) (25–49) Implementation 1.3. Institutions and 40 Coordination 63 58 Moderate Capacity Index Moderated 20 (50–74) (50–74) 3.4. Financing 63 0 63 2.1. Workforce Index Advanced Advanced (75–89) (75–89) 64 66 38 Full 3.3. Resilient recovery 2.2. Capacity (knowledge Full 63 (90–100) project design 63 and skills) (90-100) 3.2. PDNA and Project portfolio planning 2.3. Human resurces, 3.1. Natural-hazard data Profile suitability Component 2: and risk information Competencies 3 Other vulnerable/marginalized groups refers to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, indigenous peoples or another selected group. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 14 level. This sequence will enable the rapid identification and their visual representation highlight the areas at of strengths and limitations, as well as the urgency for the policy, strategic and operational levels where gaps, action on the specific issues addressed at each level. constraints and bottlenecks limit the implementation of projects for a fast, resilient, and more inclusive To give more visibility to inclusion (gender, disability disaster recovery in the sector of focus. The causes inclusion, and the inclusion of other vulnerable/mar- and specific factors contributing to low RCI values, ginalized groups) the RCI calculated for cross-cutting as well as solutions, are analyzed at the sub element issues at the component, key and sub element levels level. This analysis includes expert knowledge and can be plotted in separate graphs. judgment, and discussions with the main stakehold- ers. This analysis also facilitates the identification and prioritization of potential solutions. 4.4 Analysis of results, recommendations and reporting Potential solutions and recommendations addressing the identified capacity limitations are to be organized The spider graphs and the actual RCI values calculated according to their potential sources of financing, namely, for the components and key and sub elements of the country resources, international technical assistance SRCA offer a rapid overview of the results and of the and potential investments by international donors, as areas in need of capacity strengthening. Both the RCIs shown in the SRCA process presented in Figure 5. FIGURE 5.. Diagrammatic representation of the SRCA framework. ENABLING ENVIRONMENT FOR RESILIENT RECOVERY Governance Competencies Resources and Tools COLLECTION DATA ANALYSIS OF RECOMMENDATIONS OF DATA AND ANALYSIS RESULTS FRAMEWORK INFORMATION Desktop review Data analyses Analysis of gaps Technical assistance and constraints Assessment Results Country resources questionnaire visualization Identification of solutions and recommendations Semi-structured Identification of Investments interviews and constraints stakeholder Reporting consultations Data verification Gaps identification Results validation SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 05 15 Implementation of the methodology The implementation of the SRCA methodology con- 2. Key informant interviews. Semi-structured inter- sists of the following five main stages and steps views are to be conducted with the sectoral focal point and key informants to complete the ques- 5.1 Preparation stage tions in the SRCA questionnaire that could not be filled through the desk review. Preparing and con- Preliminary contact with national governments: ducting three interviews (one per SRCA compo- With the support of CDEMA, preliminary contact with nent) and sharing the pre-filled SRCA questionnaire national governments is to be established to introduce with the sectoral focal point and key informants in the aims of the SRCA methodology, identify the prior- advance of the interviews is recommended. ity sector(s) for its implementation, the key informants 3. Information verification - broad sectoral con- in the selected sector(s), and request the appointment sultations. With support from the sectoral focal of a sectoral focal point for the SRCA. Key informants point and CDEMA, a consultation with a broad include government officials and practitioners who are range of sectoral stakeholders is to be planned best able to confirm and verify the status of the sec- and conducted to verify the answers given to the tors’ enabling environment for recovery through direct SRCA questionnaire through the desk review and knowledge and experience. the key informant interviews. During this event the stakeholders are introduced to the SRCA and its objectives, and offered the opportunity to review 5.2 Collection of data and information and complement the information included in the stage SRCA questionnaire and to discuss and agree on the response to specific SRCA questions for 1. Desktop review. An in-depth desktop review is which different views may exist. After the broad to be used to gather secondary information on stakeholder consultation, any additional verifica- national and sector recovery planning and imple- tion is to be conducted through follow-up with key mentation circumstances. This step provides informants and the sectoral focal point. answers to some of the questions in the SRCA questionnaire in advance of interviews with key 5.3 Data analysis stage informants and consultations with sectoral stake- holders and also provides insights into capacity At this stage, with the SRCA questionnaire completed, gaps and other issues to be addressed in depth the data analysis methodology designed for the SRCA during the assessment. is applied, as described in Annex 4. This includes SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 16 scoring the answer to each question, calculating RCI key elements, and sub elements (policy, strategic and values for each level of the assessment and visualiz- planning, and operational levels, respectively). It also ing the results in spider charts. offers the opportunity to identify existing opportunities for bridging gaps, strengthening the areas that limit 1. Questionnaire administration: This step entails recovery, and to make actionable recommendations. filling out the questions in the assessment ques- tionnaire that were not answered during the 1. Draft report preparation and circulation: After the desktop review by sharing the questionnaire completion of the SRCA exercise, a report sum- with CDEMA for their inputs and conducting the marizing its main findings is to be produced and semi-structured interviews with key informants. circulated with CDEMA, other partners and stake- 2. Verification of responses: After the question- holders, including national authorities, for review naire has been fully completed, a verification pro- and comment. It is recommended that the struc- cess consisting of follow-up consultations with ture and content of the SRCA reports published CDEMA and key informants will be conducted to by the World Bank in 20244 are used as general secure additional information needed to confirm guidance on the draft report structure. the results. 2. Validation of report findings: Validation work- 3. Analysis of questionnaire responses: Analysis of shops are to be be organized, in collaboration with the survey results will be conducted using the data CDEMA, with the purpose of providing national analysis methodology designed for the SRCA. stakeholders with an opportunity to discuss and clarify the reported survey scores and findings. 5.4 Results analysis and reporting stage 3. Final report preparation and circulation: Once reported scores and findings have been vali- At this stage, applying the sequential analysis of dated, the report can be finalized and shared with results described in Annex 4 is recommended, as it the government authorities participating in the provides a good understanding of the current recov- assessment and CDEMA. ery capacity context at the level of main components, 4 Sectoral Recovery Capacity Assessment Report for Antigua and Barbuda’s Agriculture Sector. Sectoral Recovery Capacity Assessment Report for Dominica’s Tourism Sector. Sectoral Recovery Capacity Assessment Report for Grenada’s Housing Sector. Sectoral Recovery Capacity Assessment Report for Guyana’s Agriculture Sector. Sectoral Recovery Capacity Assessment Report for Saint Lucia’s Tourism Sector. Sectoral Recovery Capacity Assessment Report for Saint Vincent and the Grenadines’ Agriculture Sector. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 06 17 Development process of the Sectoral Recovery Capacity Assessment This document was prepared as the principal guide Kingston, Jamaica in June 2023. Best practices and for discussions on the SRCA methodology within the lessons learned from the implementation of the SRCA CRF team, the World Bank, the donor of the CRF, gov- in the six CRF member states were shared at these ernments, CDEMA and with other partners as needed. events. Based on the feedback received from CDEMA In collaboration with CDEMA, the SRCA methodology and the CRF member states during these events, the was implemented in six countries and three sectors SRCA questionnaire was slightly adapted by reduc- between 2020 and 2022. The results of the assess- ing the initial number of questions to simplify the tool ments were presented in international DRM events application and adding “other vulnerable/marginalized and the respective reports are available online. The groups” as a cross-cutting theme. A final adjustment to CRF also engaged in actively building the capacity of the questionnaire was the inclusion of key element 3.6 CDEMA’s staff and DRM officers from CRF member “Resilient infrastructure investments”. This addition countries to implement the SRCA methodology. For was necessary to assess key management aspects this purpose, two training sessions were designed and of the critical infrastructure the sector relies upon for conducted. The first in the context of the Understanding operation and recovery. The modifications made to Risk conference in Florianopolis, Brazil in November the questionnaire are reflected in this document. 2022, and the second in a three-day SRCA training in SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 07 18 Project team The methodology was developed by a core team Escobar (Disaster Risk Management Specialist), consisting of Roberto Mendez (Senior Disaster and Lesli Walling (Consultant Climate Adaptation Risk Management Specialist, consultant), Clara Specialist, consultant). Prior to its implementation, the Ariza (Senior Climate Adaptation and Disaster Risk SRCA methodology underwent a peer-review process Management Specialist, consultant), Naraya Carrasco by World Bank specialists. The assessment implemen- (Senior Disaster Risk Management Specialist) and tation in six CRF member states was conducted by the Francesco Varotto (Disaster Risk Management core team, CDEMA and national and sectoral authori- Specialist, consultant). The methodology was ties. Other members of the CRF team were drawn in to strengthened with inputs from Suranga Kahandawa contribute on technical aspects, including gender and (Senior Disaster Risk Management Specialist), Mirtha disability inclusion specialists. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Annex 1. 19 Glossary of key terminology 1 Building code: A set of ordinances or regulations and the strengthening of resilience and reduction of disas- associated standards intended to regulate aspects ter losses. of the design, construction, materials, alteration and occupancy of structures which are necessary to Disaster risk reduction: Disaster risk reduction is ensure human safety and welfare, including resis- aimed at preventing new and reducing existing disas- tance to collapse and damage.1 ter risk and managing residual risk, all of which con- tribute to strengthening resilience and therefore to the Build back better: The use of the recovery, rehabil- achievement of sustainable development. itation and reconstruction phases after a disaster to increase the resilience of nations and communities Disaster risk assessment: A qualitative or quantitative through integrating disaster risk reduction measures approach to determine the nature and extent of disas- into the restoration of physical infrastructure and soci- ter risk by analyzing potential hazards and evaluating etal systems, and into the revitalization of livelihoods, existing conditions of exposure and vulnerability that economies and the environment. together could harm people, property, services, liveli- hoods and the environment on which they depend. Coping capacity: The ability of people, organizations and systems, using available skills and resources, to Exposure: The situation of people, infrastructure, manage adverse conditions, risk or disasters. The housing, production capacities and other tangible capacity to cope requires continuing awareness, human assets located in hazard-prone areas. resources and good management, both in normal times as well as during disasters or adverse condi- Hazard: A process, phenomenon or human activ- tions. Coping capacities contribute to the reduction of ity that may cause loss of life, injury or other health disaster risks. impacts, property damage, social and economic dis- ruption or environmental degradation. Critical infrastructure: The physical structures, facili- ties, networks and other assets which provide services Preparedness: The knowledge and capacities devel- that are essential to the social and economic function- oped by governments, response and recovery orga- ing of a community or society. nizations, communities and individuals to effectively anticipate, respond to and recover from the impacts of Disaster risk management: Disaster risk management likely, imminent or current disasters. is the application of disaster risk reduction policies and strategies to prevent new disaster risk, reduce existing Prevention: Activities and measures to avoid existing disaster risk and manage residual risk, contributing to and new disaster risks. 1 The following key terminology is provided by the United Nations Office for Disaster Risk Reduction. Online resource available at: https:// www.undrr.org/terminology SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 20 Recovery: The restoring or improving of livelihoods and Retrofitting: Reinforcement or upgrading of existing health, as well as economic, physical, social, cultural structures to become more resistant and resilient to and environmental assets, systems and activities, of a the damaging effects of hazards. disaster-affected community or society, aligning with the principles of sustainable development and “build Reconstruction: The medium- and long-term rebuild- back better”, to avoid or reduce future disaster risk. ing and sustainable restoration of resilient critical infrastructures, services, housing, facilities and liveli- Response: Actions taken directly before, during or hoods required for the full functioning of a community immediately after a disaster in order to save lives, or a society affected by a disaster, aligning with the reduce health impacts, ensure public safety and meet principles of sustainable development and “build back the basic subsistence needs of the people affected. better”, to avoid or reduce future disaster risk. Resilience: The ability of a system, community or Vulnerability: The conditions determined by physical, society exposed to hazards to resist, absorb, accom- social, economic and environmental factors or pro- modate, adapt to, transform and recover from the cesses which increase the susceptibility of an individ- effects of a hazard in a timely and efficient manner, ual, a community, assets or systems to the impacts of including through the preservation and restoration of hazards. its essential basic structures and functions through risk management. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Annex 2. 21 The SRCA questionnaire COMPONENT 1: GOVERNANCE Key elements Sub elements Questions 1.1 Policies and Legal 1.1.1 Policies 1 Is there a National Disaster Risk Management (DRM) policy that Framework includes clearly defined institutional mandates for DRM and evidence of its use or practice? 2 Is there a main sectoral development policy that addresses climate change adaptation and DRM and integrates recovery considerations, as well as evidence of its use or practice? 1.1.2 Legal 3 Do national DRM laws and regulations define institutional roles framework and mandates for recovery? 4 Are recovery considerations integrated in sectoral laws and regulations? 1.1.3 Foundations 5 Is there an official document that clearly defines the for recovery government's vision for recovery? (for example national/ centralized; sectoral/decentralized, focused on a specific sector; focused on building back better, etc.) 6 Is there any sectoral policy, law, regulation, program or project that addresses the simultaneous impact of multiple hazards (such as an epidemic and a hurricane)? 1.1.4 7 Do government agencies in charge of the sector participate Mainstreaming in the elaboration of DRM or recovery policies and legal DRM&CCA frameworks? 8 Do the private sector, academia, Non-governmental Organizations (NGOs), local communities, and statutory organizations participate in the elaboration/review of DRM policies and/or legal frameworks? 9 Do DRM policies and legal frameworks currently require sectoral ministries to formulate and implement sectoral resilient recovery strategies and/or plans? including for non-traditional and emerging hazards such as epidemics/pandemics, sargassum, etc.? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 22 COMPONENT 1: GOVERNANCE Key elements Sub elements Questions 1.1 Policies and Legal 1.1.5 Inclusion 10 Do the most relevant national policies, laws and regulations for Framework (cont.) recovery consider gender-based recovery needs? 11 Do the most relevant national policies, laws and regulations for recovery take into account the differentiated recovery needs of persons with disabilities? 12 Do the most relevant national policies, laws and regulations for recovery take into account the differentiated recovery needs of other vulnerable/marginalized groups? (Please note that this relates to maximum one additional vulnerable/ marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). 1.1.6 Building 13 Do most constructions - in all sectors- conform with building codes and codes regulations? regulations 14 Are there mechanisms for enforcing compliance with building codes currently in place? Recommendations: What would you recommend to improve the integration of recovery factors into sectoral policies and legal frameworks? Are there visible or upcoming opportunities for updating policies, strategies, plans at the national or sectoral level to strengthen recovery readiness? 1.2 Strategies and 1.2.1 Strategies 15 Does the sector currently have a recovery strategy and/or plans Plans and plans in place? 16 Are there financing mechanisms for recovery in place (e.g., recovery funds)? 1.2.2 Building Back 17 Do sectoral strategies and/or plans specifically call for the Better (BBB) application of muti-hazard, climate resilience measures and the Build Back Better approach? 1.2.3 Inclusion 18 Do recovery strategies and plans take into account gender- differentiated recovery needs and capacities? 19 Do recovery strategies and plans take into account the differentiated recovery needs and capacities of persons with disabilities? 20 Do recovery strategies and plans take into account the differentiated recovery needs and capacities of other vulnerable/marginalized groups? (Please note that this relates to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). Recommendations: What would you recommend to strengthen recovery strategies and plans in the sector? Are there visible or upcoming opportunities for developing, or improving existing recovery strategies and plans? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 23 COMPONENT 1: GOVERNANCE Key elements Sub elements Questions 1.3 Institutions and 1.3.1 Institutions 21 Is the development of recovery plans and strategies at the Coordination sector level led by one or more institutions with authority and autonomy? 22 Are there clearly defined roles and responsibilities for the implementation of recovery plans within the sector? 1.3.2 Coordination 23 Is there a coordination mechanism (formal or informal) between sectors to implement national recovery plans? 24 Are there specific recovery activities being coordinated between the sector and the National Disaster Management agency? 1.3.3 Building 25 Within national laws and regulations, are there stakeholders codes and who are responsible, accountable and liable for ensuring regulations compliance with building-related legislation? 26 Is there a sufficient budget approved for enforcing building codes? 1.3.4 Inclusion 27 Are there mechanisms in place used for the coordination of recovery actions amongst the DRM agencies, gender agencies, women’s networks and youth groups and network? 28 Are there mechanisms in place used for the coordination of recovery actions between the DRM agency and public institutions and NGOs involved in supporting persons with disabilities? 29 Are there mechanisms in place used for the coordination of recovery actions between the DRM agency, public institutions and NGOs involved in supporting other vulnerable/marginalized groups? (Please note that this relates to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). Recommendations: What would you recommend to improve institutional coordination issues for the timely effective and efficient recovery in the sector? Are there visible or upcoming opportunities for implementing the suggestions? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 24 COMPONENT 2: COMPETENCIES Key elements Sub elements Questions 2.1 Workforce 2.1.1 Workforce 30 Are there sufficient DRM specialists in the sector to ensure that each project is overseen by at least one DRM specialist? 31 Is there sufficient technical staff to implement the sector's current portfolio of projects, and for potentially implementing recovery projects? 32 Do technical teams have the necessary working conditions to fulfil their tasks (e.g. connectivity, equipment, software, etc.)? 2.1.2 Inclusion 33 Is there a sufficient number of gender specialists to fill the needs of the sector? 34 Is there a sufficient number of disability inclusion specialists to fill the needs of the sector? 35 Is there a sufficient number of specialists in the inclusion of other vulnerable/marginalized groups to cover the needs of the sector? (Please note that this relates to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). 2.1.3 Private 36 Does the sector have an adequate number of qualified sector contractors based in the country? 37 Do in-country contractors implement most recovery projects in the sector? Recommendations: What would you recommend to strengthen workforce issues for resilient recovery in the sector? Are there visible or upcoming opportunities for implementing the suggestions? 2.2 Capacity 2.2.1 Skills 38 Are there sufficient professionals in the sector with expertise to (knowledge and skills) implement resilient recovery projects? 39 Are there sufficient experts in the sector with knowledge of DRM methods and tools such as integrating hazard risks, geo- referenced information management systems (GIS, remote sensing, etc.)? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 25 COMPONENT 2: COMPETENCIES Key elements Sub elements Questions 2.2 Capacity 2.2.2 Training 40 Are there frequent opportunities to enhance the technical (knowledge and skills) activities skills required to ensure resilient reconstruction of physical (cont.) infrastructure/buildings? 41 Are technical persons trained on gender responsiveness? 42 Are technical persons trained on disability inclusion? 43 Are technical persons trained on inclusion of other vulnerable/ marginalized groups? (Please note that this relates to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). 44 Is there currently a mentoring and advising program/process for Building Back Better? 2.2.3 Proven 45 Are there sufficient professionals with the technical capacities capacity to implement Project Cycle Management (PCM) activities, with a climate resilience focus, in the sector? NOTE: PCM includes at least the following activities: management of sector portfolio; execution of PFM procedures; project management; M&E; mainstreaming climate and disaster resilience into projects; coordinating recovery activities with other relevant sectors; performing quality control projects and inspections of building codes compliance during and after design and construction of buildings and infrastructure. 46 Do technical persons in the sector currently have the capacity to translate Post Disaster Needs Assessment (PDNA) results into actionable projects? 47 Do technical persons in the sector understand the basics of DRM and are able to interpret and use hazard maps? 48 Do technical persons have the knowledge and necessary training to formulate quality Terms of Reference for project implementation? Recommendations: What would you recommend to strengthen the knowledge and skills of people in the sector to undertake resilient recovery projects? Are there visible or upcoming opportunities for implementing the suggestions? 2.3 Human Resources 2.3.1 Human 49 Is there a Human Resources recruitment plan that includes (HR), Profile resources (HR), recovery activities? Suitability profile suitability 50 Are there currently Terms of Reference for recovery-related positions? Recommendations: What would you recommend to improve human resources-related issues in the sector to ensure recovery projects in the sector can take place in a timely, efficient and effective manner? Are there visible or upcoming opportunities for implementing the suggestions? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 26 COMPONENT 3: RESOURCES AND TOOLS Key elements Sub elements Questions 3.1 Natural-hazard 3.1.1 Data collection 51 Are there mechanisms in place for the collection and Data and Risk and management management of natural-hazard data and risk information, Information including an online repository for risk data and information? 52 Is the existing risk data and information accessible to technical people in the sector? 3.1.2 Use of risk 53 Are there up-to-date multi-hazard risk maps available in the information country? 54 Does the sector currently use risk and multi-hazard risk maps? Recommendations: What would you recommend to improve the generation and management of natural hazard data and risk information in order to have reliable and useful data for risk-informed project planning? Are there visible or upcoming opportunities for implementing the suggestions? 3.2 PDNA and Project 3.2.1 PDNA 55 Is there currently an efficient and effective PDNA coordination Portfolio Planning mechanisms mechanism? 56 Does the PDNA methodology used in the country include the formulation of recovery plans for the sector? 57 Are there focal points with clearly defined roles and responsibilities assigned within the sector to carry out a PDNA? 3.2.2 Planning of 58 Does the government currently have criteria to define priority recovery priorities sectors for recovery support? 59 Has the government used the results of PDNAs to prioritize recovery projects? 3.2.3 Inclusion 60 Does the PDNA methodology require the collection of (pre and post disaster) gender disaggregated data? 61 Does the PDNA methodology require the collection of (pre and post disaster) disability disaggregated data? 62 Does the PDNA methodology require the collection of (pre and post disaster) disaggregated data for other vulnerable/ marginalized groups? (Please note that this relates to maximum one additional vulnerable/marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group) Recommendations: What would you recommend to enhance the integration and use of recovery considerations in PDNA mechanisms and project portfolio planning in the sector? Are there visible or upcoming opportunities for implementing the suggestions? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 27 COMPONENT 3: RESOURCES AND TOOLS Key elements Sub elements Questions 3.3 Resilient 3.3.1 Availability of 63 Does the sector currently have access to the necessary tools Recovery Project BBB tools (e.g., best practices, software, check lists, cost-benefit analyses Design for resilience measures, etc.) available to ensure project designs incorporate the Build Back Better approach? 3.3.2 Use of risk 64 Does the sector currently use risk information to design information resilient recovery projects? 65 Is the risk information currently available at the resolution and geographic coverage required for sectoral project planning and implementation? 3.3.3 Building codes 66 Are building codes and land use planning guidelines currently and regulations integrated into project design in the sector? 3.3.4 Inclusion 67 Do project designs in the sector take into account gender considerations? 68 Do project designs in the sector take into account the basic needs of persons with disabilities? 69 Do project designs in the sector take into account the basic needs of other vulnerable/marginalized groups? (Please note that this relates to maximum one additional vulnerable/ marginalized group identified or prioritized according to national circumstances, for example, youth, elderly, migrants, or another selected group). Recommendations: What would you recommend to improve the design of resiient projects, including the design of resilient recovery projects in the sector? Are there visible or upcoming opportunities for implementing the suggestions? 3.4 Financing 3.4.1 Availability of 70 Are there identified and accessible funding sources for funding sources recovery interventions in the sector (e.g., national, multilateral development banks, bilateral partners, others)? 71 Are the mechanisms for accessing funding for recovery actions clear and widely known to people working in the sector? 3.4.2 Access to 72 Is it easy to access recovery funding (e.g., National multilateral, recovery funding bilateral, others)? 73 Do the eligibility criteria for recovery funding reflect the PDNA results for the most affected sectors? 3.4.3 Budget for 74 Is there a national mechanism for rapid budget reallocation for recovery recovery after disasters? 75 Does the sector currently have a sufficient actual or estimated annual budget for recovery? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 28 COMPONENT 3: RESOURCES AND TOOLS Key elements Sub elements Questions Recommendations: What would you recommend to improve recovery financing in the sector? Are there visible or upcoming opportunities for implementing the suggestions? 3.5 Project 3.5.1 Resources 76 Is there an inventory of qualified contractors relevant for the Implementation sector's operations? 77 Is there an efficient procurement process in place for goods and services to implement recovery projects? 3.5.2 Project 78 Does the sector (or reconstruction projects) have access to and management properly use project management tools? 3.5.3 Building codes 79 Are there mechanisms in place to ensure that the construction materials used in recovery projects meet accreditation standards (e.g., strength, testing, quality, etc.)? 80 Does the sector currently have the resources and tools to comply with building codes? 3.5.4 M&E at project 81 Does the sector currently have in place and actively use a level monitoring and evaluation (M&E) system for projects? Recommendations: What would you recommend to improve project implementation in the sector? Are there visible or upcoming opportunities for implementing the suggestions? 3.6 Resilient 3.6.1 Project 82 Have climate and disaster vulnerabilities of critical infrastructure evaluation infrastructure for the sector been evaluated? investments 3.6.2 Maintenance 83 Is there an infrastructure maintenance plan and budget plan currently in place? 3.6.3 Infrastructure 84 Is there a long-term resilient infrastructure plan (including plan retrofitting of existing infrastructure)? Recommendations: What would you recommend to improve the resilience of critical infrastructure for the sector? Are there visible or upcoming opportunities for implementing the suggestions? SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Annex 3. 29 Summary of the SRCA questionnaire Number of Components Key elements Sub elements questions 1. GOVERNANCE 1.1. Policies and Legal 1.1.1 Policies 2 Framework 1.1.2 Legal framework 2 1.1.3 Foundations for recovery 2 1.1.4 Mainstreaming DRM & CCA 3 1.1.5 Inclusion 3 1.1.6 Building codes and regulations 2 1.2. Strategies and Plans 1.2.1. Strategies and plans 2 1.2.2. Building back better (BBB) 1 1.2.3 Inclusion 3 1.3. Institutions and 1.3.1 Institutions 2 Coordination 1.3.2 Coordination 2 1.3.3 Building codes and regulations 2 1.3.4 Inclusion 3 SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 30 Number of Components Key elements Sub elements questions 2. COMPETENCIES 2.1. Workforce  2.1.1 Workforce 3 (operational   2.1.2 Inclusion 3 capacity, skills) 2.1.3 Private sector 2 2.2. Capacity (knowledge 2.2.1 Skills 2 and skills) 2.2.2 Training activities 5 2.2.3 Proven capacity 4 2.3 Human Resources (HR), 2.3.1 Human resources (HR), profile suitability 2 Profile Suitability 3. RESOURCES AND 3.1 Natural-hazard Data 3.1.1 Data collection and management 2 TOOLS and Risk Information 3.1.2 Use of risk information 2 3.2. PDNA and Project 3.2.1 PDNA mechanisms 3 Portfolio Planning 3.2.2 Planning of recovery priorities 2   3.2.3 Inclusion 3 3.3. Resilient Recovery 3.3.1 Availability of BBB tools 1 Project Design 3.3.2 Use of risk information 2     3.3.3 Building codes and regulations 1 3.3.4 Inclusion 3 3.4. Financing 3.4.1 Availability of funding sources 2   3.4.2 Access to recovery funding 2   3.4.3 Budget for recovery 2 3.5. Project Implementation 3.5.1 Resources 2 3.5.2 Project management 1 3.5.3 Building codes 2 3.5.4 M&E at project level 1 3.6 Resilient infrastructure 3.6.1 Project evaluation 1 investments 3.6.2 Maintenance plan 1 3.6.3 Infrastructure plan 1 3 12 39 84 SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Annex 4. 31 Notes on the treatment and analysis of SRCA data This Annex provides details on the treatment of data Post-Disaster-Public Financial Management (PD-PFM) to be followed to identify existing capacity limitations tool developed for this purpose. Financial aspects to and to suggest solutions for the fast and effective related to funding sources and access are covered in recovery of key national sectors after disasters strike. the SRCA questionnaire. The Annex explains in detail the calculations to be per- formed at each level of the SRCA structure, and for The analysis of data and results in this structure crosscutting issues. It also provides tables with generic focuses on the sub element, key element and com- explanations for both assigning quantitative scores to ponent levels. The SRCA framework structure is pre- responses to qualitative questions in the SRCA ques- sented in Figure 1. tionnaire and for understanding the resulting index values. Scoring system The SRCA framework structure Responses to questions A score ranging from 0 to 4 is assigned by the person The assessment structure consists of three inter- or team in charge of the assessment to the response related components (Governance, Competences given to each question included in the SRCA question- and Resources and Tools). Each component encom- naire. The score reflects the existence of and/or the passes a number of complementary key elements, level of development or performance of factors in the and each key element contains a number of sub ele- enabling environment and the related processes or ments. Gender, disability inclusion and the inclusion of issues addressed by the question, which can include, other vulnerable/marginalized groups are crosscutting among others, processes in development or opera- issues. Key and sub elements address the main fac- tion; assignment and compliance functions in place; a tors contributing to an enabling environment for good degree of progress; a planning stage; a difficulty level; recovery. problems and a level of existence. The information required for the assessment is The following table provides the system for transform- obtained from responses to the SRCA questionnaire, ing the qualitative responses to the questions in the which includes one or more questions per sub element. SRCA questionnaire into quantitative scores, ranging It is to note that procurement-related factors are not from 0 to 4. As the type of responses to be scored addressed in the questionnaire or included under the depends on the question posed, different responses recovery financing key element, as they are already are presented to assign the score. assessed by the Governance team of the CRF, using the SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 32 FIGURE 1 The SRCA framework structure. Components 1 (C1), 2 (C2), and 3 (C3) are the main and inter-related components of the assessment, each consisting of a set of key elements (KE) and their respective sub elements (SE). The letter Q (1, 2, 3, etc.) represents the questions per sub element. The yellow, aquamarine and purple circles denote the crosscutting themes: gender, disability inclusion and inclusion of other vulnerable/marginalized groups. Q1, Q2, …, Qn ps SE1, SE2,…, SEn ou gr d KE1, KE2, …, KEn lity lize ina r nde arg C1. Governance Ge e/m abi Dis Other vulnerabl RECOVERY nd C2 ols s a .C To urce n om KE KE pe En o …, 1, es te ,S SE KE 2, .R nc Qn 1, 2,… KE 2, ie C3 SE Q1 s …, …, SE 1, 2,… ,Q KE KE 2, 1, ,Q 2, ,S n SE …, En Q1 Qn TABLE 1.. Scoring system for qualitative responses to questions in the SRCA questionnaire. Score Type of response to the question Evidence 4 a qualified YES minor problem / no no need for action or yes adequate problem measure 3 in progress moderate problem need for action and measure partially acceptable (> 75% completed) 2 in progress major problem need for action and measure partially scarce (> 50 % completed) 1 Planned or started severe problem immediate action and acute no minimum with minimum measure actions 0 a definitive NO catastrophic immediate action and acute no none problem measure SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY RCI calculation for sub elements, key elements and projects. These indexes are a measure of progress 33 components appreciation and can be calculated for each sub ele- RCIs are calculated to measure the degree of the ment, key element and component, as well as for the integration or evolvement of disaster recovery con- sector, using the following formula: siderations into the sector’s policies, strategies and RCI = (sum of questions’ scores in A / maximum score)*100, Where A is a single sub element, a single key element, a single component, or the sector, Maximum score = 4 * (number of questions of a single sub element, a single key element, a single component, or the sector). The RCI, therefore, includes the sum of the scores Note that the RCI values cannot be compared of the questions included at the level for which it between levels in the assessment structure. This is is being calculated, divided by the number of ques- because the key elements (and components) reflect tions in the sub element, key element or component, different processes, such as policy, strategic and oper- multiplied by 4 (maximum score possible for each ational processes, which are not comparable. question). The RCI is presented as a percentage. TABLE 2 Definition of value ranges for the RCI. The colors in this table, indicate the level of urgency for action and are suggested as a traffic light system to be used in the reporting of RCI values RCI value range Appreciation of the extent to which recovery considerations are integrated in the sector Low or absent HIGH Absent integration of recovery considerations across the sector due to specific limiting integration elements. Low level of awareness and knowledge about the importance and added value 0–24 of recovery integration for sectoral development. Basic or Incipient integration of recovery considerations takes place at different levels of the incipient sector. Some elements are under development, with a certain level of incidence to generate integration an institutional culture. There is a certain level of awareness and knowledge about the CAPACITY BUILDING NEEDS 25–49 importance and added value of recovery integration for sectoral development. Moderated Evident integration of recovery considerations takes place at the majority of levels integration in the sector. An institutional culture that supports and updates recovery factors and 50–74 includes them in sectoral planning processes is identified. A good level of awareness and knowledge about the importance and added value of recovery integration for sectoral development exists. Advanced Evident integration of recovery considerations takes place at most levels in the sector, integration as it is part of sectoral strategic planning processes. Adaptation tools are available to 75– 89 enable the continuity of operations during contingencies, in a coordinated, practical, and documented way. There is also a high capacity to value the impact and contribution of recovery integration to the sector development, and to programmatic efficiency and efficacy. LOW Full integration Integrating recovery considerations at all levels is a working principle, managed as part of 90–100 the sector’s organizational culture. Tools and protocols for the continuous improvement of the sector’s performance and impact are available. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 34 Analysis of results Step 3. Analysis of the results obtained at the level of key elements. For each component under analy- Based on the experience gained by the CRF team sis this includes identifying the key elements with the during the application of the SRCA tool in six Caribbean highest and lowest RCI values and identifying the rea- countries, the following steps are recommended for sons for these values at this level (within the sub ele- the analysis of the SRCA results: ments of the key elements exhibiting the highest and lowest values). This analysis will show the strengths Step 1. Initial and swift overview of the RCI for the but also the gaps and constraints that recovery plan- sector’s main components. This will provide a first ning and implementation face at the strategic and pro- understanding of the overall results and indicate grammatic levels. Identifying relationships between strengths and weaknesses in recovery capacity at the RCI values of key elements and those of specific sub highest level of the assessment. To clarify the causes elements is required. of these results, steps 2 and 3 are to be completed for each component, one-component at a time. Step 4. Detailed analysis of the results obtained at the level of the main components. With the informa- Step 2. Analysis of the results obtained at the level tion analyzed in steps 2 and 3, the analysis returns of sub elements. For each key element in the com- to the highest level of the assessment, and seeks to ponent under analysis, this includes identifying the identify for the sector, the components that contribute subcomponents with the highest and lowest RCI val- the most to the sector’s RCI value and explain those ues and describing the strengths and limitations that values. Following the SRCA framework structure, it is cause of these values, using as reference the answers important to double check that the results obtained provided for and the scores assigned to the relevant at the level of main components are supported by the questions in the SRCA questionnaire. This analysis results at the key element level and these by results at will help establish the key gaps and constraints that the sub element level. This exercise will facilitate the recovery planning and implementation face at the understanding of the current capacity context at each operational level. Any other connection or causal rela- of the levels (policy, strategic and programmatic, and tionship detected between the responses and the RCI operational). values should be described and analyzed. SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY Annex 5. 35 References GFDRR. 2020. Disaster Recovery Framework Guide: Revised Version March 2020. Available online at: https:// www.gfdrr.org/sites/default/files/publication/DRF%20Guide.pdf Government of the Commonwealth of Dominica. 2017. PDNA: Post-Disaster Needs Assessment Hurricane Maria September 18, 2017. Available online at: https://www.gfdrr.org/sites/default/files/publication/dominica-pd- na-maria.pdf Hallegatte, S., et al. 2016. Shock Waves, Managing the Impacts of Climate Change on Poverty. Climate Change and Development Series. World Bank, Washington, DC. Hallegatte, S., et al. 2017. Unbreakable: Building the Resilience of the Poor in the Face of Natural Disasters. Climate Change and Development. World Bank, Washington, DC. Hallegatte, S, Rentschler, J. and Walsh, B. 2018. Building Back Better: Achieving Resilience through Stronger, Faster, and More Inclusive Post-Disaster Reconstruction. World Bank, Washington, DC. IMF. 2016. Small Island States Resilience to Natural Disasters. IMF Policy Paper. IMF, Washington, DC. NOAA. 2020. Busy Atlantic Hurricane Season Predicted for 2020. NOAA media release, May 21, 2020. Available online at: https://www.noaa.gov/media-release/busy-atlantic-hurricane-season-predicted-for-2020 OCHA. 2020. Natural Disasters in Latin America and the Caribbean 2000-2019. Available online at: https://relief- web.int/sites/reliefweb.int/files/resources/20191203-ocha-desastres_naturales.pdf Ötker, I. and Srinivasan, K. 2018. Bracing for the Storm: For the Caribbean, Building Resilience is a Matter of Survival. Finance and Development 55 (1): 49-51. Swiss Federal Office for Civil Protection (FOCP). 2020. National Risk Analysis Report. Disasters and Emergencies in Switzerland 2020. FOCP, Bern. UNISDR. 2015. Sendai Framework for Disaster Risk Reduction 2015-2030. Available online at: https://www.undrr. org/publication/sendai-framework-disaster-risk-reduction-2015-2030 UNISDR and OCHA. 2008. Disaster Preparedness for Effective Response Guidance and Indicator Package for Implementing Priority Five of the Hyogo Framework. Available online at: https://www.preventionweb.net/ files/globalplatform/entry_bg_paper~2909Disasterpreparednessforeffectiveresponse.pdf United Nations. 2016. Report of the Open-Ended Intergovernmental Expert Working Group on Indicators and Terminology Relating to Disaster Risk Reduction. Available online at: https://www.preventionweb.net/ files/50683_oiewgreportenglish.pdf SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY 36 a.  Documents consulted to develop the SRCA methodology CADRI (2020) Capacity Assessment and Planning Tool for Disaster Risk Management, General Module for Disaster Risk Management. Capacity for Disaster Reduction Initiative (CADRI). CDEMA (2014a) Model National Recovery Framework. Enhancing Disaster Recovery among CDEMA Participating States: Final Version. CDEMA (2014b) Adaptation Guide Enhancing Disaster Recovery among CDEMA Participating States: Final Version. CDEMA (2015) Model National Damage Assessment & Needs Analysis Draft 1. For National Adaptation. CDEMA (2017) Model National Operations Readiness Checklist CDEMA (2018) Comprehensive Disaster Management (CDM) Audit – Guyana. EU-ACP NDRRP (2015) Rapid Damage and Impact Assessment Tropical Storm Erika – August 27, 2015. A Report by the Government of the Commonwealth of Dominica. EU-ACP NDRRP (2016) Rapid Damage and Loss Assessment. November 9-11 and November 28, 2016 Floods. A report by the Government of Saint Vincent and the Grenadines. EU-ACP NDRRP (2017) Post-Disaster Needs Assessment - Hurricane Maria, September 18, 2017. A Report by the Government of the Commonwealth of Dominica. GFDRR (2018) Gender Equality and Women’s Empowerment in Disaster Recovery. GFDRR Disaster Recovery Guidance Series. GOCD (2020) Dominica Climate Resilience and Recovery Plan 2020-2030 Hallegatte, S., et al. (2019) Lifelines: The Resilient Infrastructure Opportunity. Sustainable Infrastructure Series. Washington, DC: World Bank. IFRC (2019) The Checklist on Law and Disaster Preparedness and Response. Zero draft for consultation. UNDP (2018) Programme Document: Caribbean Resilient Recovery Facility (CRRF). A flagship initiative of CARICOM, CDEMA and UNDP, 2019-2021. UNDP (2004) Post-disaster Early Recovery in a Caribbean Small Island Developing State. The Case of Hurricane Ivan in Grenada (2004): Best Practices and Lessons Learned UNISDR (2016) Harmonisation of the Comprehensive Disaster Management (CDM) Audit Tool with the Sendai Framework for Disaster Risk Reduction (2015-2030) UNISDR (2018) CDM Audit Tool Country Report for Barbados World Bank (2017a) Building Regulatory Capacity Assessment – Volume 1. Building Regulation for Resilience Program. The World Bank and Global Facility for Disaster Reduction and Recovery. World Bank (2017b) Building Regulatory Capacity Assessment. Level 2 – Detailed Exploration. Building Regulation for Resilience Program. The World Bank and Global Facility for Disaster Reduction and Recovery. World Bank (2018) Disaster Risk Management in the Caribbean: The World Bank’s Approaches and Instruments for Recovery and Resilience. World Bank (2019a) Disaster Response. A Public Financial Management Review Tool Kit. Approach Note. World Bank (2019b) Saint Lucia Post-disaster Public Financial Management Review. Governance and Global Practice. Latin America and the Caribbean. World Bank (2019c) Annual Work Plan. Canada-Caribbean Resilience Facility (CRF). SECTORAL RECOVERY CAPACITY ASSESSMENT (SRCA) METHODOLOGY