Sectoral Recovery Capacity Assessment Implementation Guidelines © 2024 International Bank for Reconstruction and Development / The World Bank 1818 H Street NW, Washington, DC 20433 Telephone: +1-202-473-1000; Internet: www.worldbank.org Some rights reserved. This document is a practical guide to the implementation of the Sectoral Recovery Capacity Assessment (SRCA) Methodology, published in the following document: World Bank. 2024. Sectoral Recovery Capacity Assessment (SRCA) Methodology. Washington, D.C.: The World Bank Group. This work is a product of the staff of The World Bank and the Global Facility for Disaster Reduction and Recovery (GFDRR). The findings, inter-pretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. 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Cover: Tropical storm, heavy rain and high winds in the Caribbean. © galitskaya | istock.com Design and layout: ULTRAdesigns Sectoral Recovery Capacity Assessment Implementation Guidelines January 2024 Table of Contents 1 Acronyms........................................................................................................................................................... 3 Acknowledgements............................................................................................................................................ 4 01 Introduction.................................................................................................................................................. 5 02 The Sectoral Recovery Capacity Assessment.............................................................................................. 7 03 About this document.................................................................................................................................... 9 04 Before engaging in the implementation of a SRCA.................................................................................... 10 05 SRCA framework structure........................................................................................................................ 11 06 Methodological process............................................................................................................................ 12 07 Stage 1: Collection of data and information.............................................................................................. 14 08 Stage 2: Data analysis................................................................................................................................ 16 Scoring.................................................................................................................................................................16 Calculation of the Recovery Capacity Index......................................................................................................19 09 Stage 3: Analysis of results ....................................................................................................................... 22 10 Preparation and validation of the SRCA report.......................................................................................... 23 Annex 1. Case study - Background .................................................................................................................. 24 Annex 2. SRCA questionnaire........................................................................................................................... 26 Annex 3. Options to enable the automatic application of the traffic-light system in the coloring of points in the spider charts. ......................................................................................................................................... 34 Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 2 Figures Figure 1. Disaster Risk Management cycle .......................................................................................................................... 8 Figure 2. The SRCA framework structure............................................................................................................................11 Figure 3. Diagrammatic representation of the assessment process.............................................................................13 Tables Table 1. Scoring system for the quantitative evaluation of qualitative responses to questions in the SRCA questionnaire..............................................................................................................................................................................16 Table 2. Traffic light system used to categorize Recovery Capacity Index (RCI) values............................................ 19 SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 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 GDP Gross Domestic Product GFDRR Global Facility for Disaster Reduction and Recovery HR Human Resources M&E Monitoring and Evaluation systems for projects NGO Non-governmental Organization PDNA Post-Disaster Needs Assessment PWD Persons living with disabilities RCI Recovery Capacity Index SRCA Sectoral Recovery Capacity Assessment SIDS Small Island Developing States Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 4 Acknowledgements This document was prepared by a World Bank Agency (CDEMA) for its active involvement in the pilot team composed of Clara Ariza (Senior Disaster Risk phase of the Sectoral Recovery Capacity Assessment Management and Climate Adaptation Specialist, (SRCA) methodology and for its insights on key Consultant), Roberto Mendez (Senior Disaster methodological and practical aspects to be detailed in Risk Management Specialist, Consultant) and this document. The SRCA methodology development Francesco Varotto (Disaster Risk Management and its implementation in six Caribbean countries was Specialist, Consultant), with overall guidance from financed by the Canada-Caribbean Resilience Facility, Naraya Carrasco (Senior Disaster Risk Management a single-donor World Bank-executed trust fund Specialist) and Suranga Kahandawa (Senior Disaster managed by the Global Facility for Disaster Reduction Risk Management Specialist). The team is grateful and Recovery. to the Caribbean Disaster Emergency Management SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 01 5 Introduction The Caribbean region is highly prone to disasters, rapid recovery of pre-disaster development levels. including hurricanes, earthquakes, droughts, flood- This critically depends on strong public systems that ing, and landslides. Higher temperatures, changing can rapidly coordinate and cost-effectively mobilize precipitation patterns, more frequent, intense, and resources, reconstruct infrastructure, deliver services, extreme weather events, and sea level rise (SLR) result- and enable the rebuilding of local economies in the ing from climate change, further exacerbate disaster aftermath of disasters. Confronted with recurrent risk in the region. Major hazard impacts destroy infra- extreme weather conditions and the prospect of more structure and property, result in losses from foregone frequent and intense hydrometeorological events output and incomes, and escalate costs as individuals with climate change, resilient recovery planning and and businesses are forced to work around disruptions. investments have become a priority for the Caribbean Disasters jeopardize hard–won national development region. gains and growth prospects, erode fiscal cushions, and disproportionately impact the wellbeing of the Preparing for recovery entails strengthening ex-ante poor.1 Caribbean countries lost an average of 3.6 per- the capacity of national governments to recover from cent of aggregate Gross Domestic Product (GDP) per losses and damages, define and reinforce institu- year Between 2000 and 2019 to damages related to tional and financial systems that support the recov- natural hazards, compared to 0.3 percent in all emerg- ery process, and obtain the political commitment ing markets and developing economies (World Bank, 20212). Indeed, the economic cost of disasters in the Caribbean region is so high that it often exceeds the A better understanding of capacity gaps and size of the economy of the countries affected (Ötker a focus on strengthening existing recovery and Srinivasan, 20183). capacity of the development sectors most affected by disasters can increase the More timely and inclusive recovery efforts and, efficiency and effectiveness of recovery consequently, better reconstruction, can lower investments. social and economic burdens and allow a more 1 Marginalized groups and individuals that do not have equal access to societal and economic resources are disproportionately represent- ed among the poor. This often includes women, girls, and the gender diverse; people living with disabilities; those that are geographically isolated; and ethnic and religious minorities 2 World Bank. 2021. Global Economic Prospects, January 2021. Washington, DC: World Bank. 3 Ötker, I. and Srinivasan, K. 2018. Bracing for the Storm: For the Caribbean, Building Resilience is a Matter of Survival. Finance and Devel- opment 55 (1): 49-51. Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 6 necessary for the development of recovery poli- by disasters in these countries can increase the effi- cies and programs (GFDRR, 20204) more rapidly. ciency and effectiveness of recovery investments. This is particularly important in the Caribbean Small Island Development States (SIDS), where long-stand- Joining forces for a more efficient resilient recov- ing and pervasive human-resource constraints and ery. To assist Caribbean governments better prepare country-specific technical-capacity gaps, both at the for the timely, efficient, and effective implementation national government level and in all sectors, repre- of inclusive and resilient recovery projects well before sent major obstacles for planning and implementing disasters strike, the Canada Caribbean Resilience timely and efficient disaster–recovery operations. Facility5 partnered with the Caribbean Disaster Consequently, a better understanding of capacity Emergency Management Agency (CDEMA) to develop gaps and a focus on strengthening existing recovery the Sectoral Recovery Capacity Assessment (SRCA). capacity of the development sectors most affected 4 Global Facility for Disaster Reduction and Recovery (GFDRR). 2020. Disaster Recovery Framework Guide. Revised Version March 2020. 5 The Canada Caribbean Resilience Facility (CRF) is a single-donor World Bank-executed trust fund administered by the Global Facility for Disaster Reduction and Recovery (GFDRR), whose objective is to achieve more effective and coordinated gender-informed climate-resilient preparedness, recovery, and public financial management practices in nine Caribbean countries. The CRF provides technical and imple- mentation support to accelerate the implementation of recovery projects and overall resilience-building efforts across the Caribbean. SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 02 7 The Sectoral Recovery Capacity Assessment The SRCA is a methodology, including a semi-quan- » Supports the identification of opportunities to titative assessment tool, that evaluates the capacity implement the solutions. of key development sectors to take the necessary actions to prepare for and undertake timely, effective, Benefits: Results emerging from the implementation and coordinated climate-resilient, gender-responsive of a SRCA serve as planning instruments and benefit and disability-inclusive disaster recovery projects. national governments, sectoral stakeholders, national DRM agencies, and CDEMA in their efforts to enable The SRCA: a timely and effective recovery in the aftermath of disasters. Additionally, they allow donors to identify » Can be applied to any development sector. and align their contributions to the sectoral needs and » Focuses on the capacity needed to plan, develop, priorities of the country. and boost the implementation of resilient recovery projects after disasters strike. The SRCA tool is part of CDEMA’s Comprehensive » Determines capacity gaps, weaknesses and chal- Disaster Management (CDM) Audit Tool, which is peri- lenges that limit the timely and efficient implemen- odically applied in CDEMA’s member countries and tation of recovery projects. covers all phases of the Disaster Risk Management » Facilitates the identification of solutions to recov- (DRM) cycle (figure 1). The CDM Audit Tool is an Excel ery capacity limitations (at policy, strategic, plan- tool, includes a tab for the national (cross-sectoral) ning and operational levels), which can be financed recovery component and a tab for the SRCA, which with national resources as well as by bilateral and complements the assessment made through the multilateral development partners. national (cross-sectoral) recovery component. Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 8 FIGURE 1. Disaster Risk Management cycle. Adapted from Swiss Federal Office for Civil Protection (2020)6. 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. 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 > Emergency planning ne 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 Even preparednesss, response y and recovery l Prevention and mitigation bi t ra > Policy and planning E lne > Structural measures and valu nature-based solutions Recovery, rehabilitation and 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 6 Swiss Federal Office for Civil Protection (FOCP). 2020. National Risk Analysis Report. Disasters and Emergencies in Switzerland 2020. FOCP, Bern. SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 03 9 About this document This document has been prepared to guide and facil- In the following sections, guidance and advice are pro- itate the implementation of a SRCA in any country vided to agencies in charge of disaster and emergency and development sector. It is based on the experience management and to technical officers working in key gained from the initial application of the SRCA meth- sectors and wishing to lead a SRCA. odology in six Caribbean SIDS7 and three sectors – agriculture, housing, and tourism. Inputs provided in To facilitate the understanding of the SRCA process June 20238 by representatives from national disaster and guide leading agencies across all aspects of its management offices in Caribbean countries are also implementation, these guidelines introduce a generic reflected in an optimization of the SRCA tool and pro- case study depicting a fictitious yet typical Caribbean cess and presented here. SIDS context. The background of the case study is pre- sented in Annex 1. 7 Antigua and Barbuda, Dominica, Grenada, Guyana, Saint Lucia and Saint Vincent and the Grenadines. 8 Inputs were provided during the CDEMA and CRF “Sectoral Recovery Capacity Assessment (SRCA) Training” conducted in Kingston, Jamaica between the 27 and 29 of June, 2023. Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 04 10 Before engaging in the implementation of a SRCA Before engaging in the implementation of a SRCA, the informed and engaged from the beginning in the following issues need to be addressed: implementation of an SRCA. 5. Appointment of a sectoral focal point within 1. Coordination with CDEMA for the implementa- the lead agency. The appointment of a sectoral tion of the SRCA as part of the CDM Audit pro- focal point at the lead agency is key. This person cess. CDEMA is the regional agency in charge will oversee the coordination, administration and of the coordination and implementation of the completion of the SRCA tool by all relevant stake- CDM Audit Tool in its member States, has been holders. The sectoral focal point and an external trained in the application of the SRCA tool and consultant can team up for a more rapid imple- has partnered in the pilot implementation of the mentation and finalization of the assessment. In SRCA in six countries. Therefore, national sectors that case, the sectoral focal point will: a) support interested in the SRCA can take advantage of the the consultant in the identification of relevant CDM Audit process in their country and gain the stakeholders and invite them to consultations; b) required support from CDEMA. review and offer feedback on draft reports deliv- 2. Identification of a development sector for SRCA ered by the consultant, and c) establish contacts application. The sector is to be selected based and set up in-person and virtual meetings between on national criteria, priorities and needs, and the the consultant and key sectoral and technical selection should be conducted in agreement with experts. A specialized consultant can provide use- national programming ministries and agencies, ful inputs and help accelerate the SRCA process, including for example, the Ministry of Finance, but it is not indispensable. A good consultant for a the Ministry of Planning and the national office in SRCA should have, at least, enough experience in charge of disaster management. analysing and consolidating information from mul- 3. Establishing a lead agency for the SRCA. This tiple sources, a good notion of DRM and climate is usually the institution with responsibility for change issues, and experience in report writing. managing the sector. When two or more agencies 6. The implementation of a SRCA requires a suffi- share such responsibility, it must be clear from the cient level of resources, mainly to cover the costs start which institution is the lead agency or – if of in-person consultations. A typical SRCA will the lead will be shared – what will be the specific require one consultation and one validation work- arrangements. All relevant agencies must agree shop, although for some sectors workshops with with this decision. additional stakeholders may be needed to ensure 4. Engaging the National Disaster Management inclusion. When resources are scarce, online con- Office in the SRCA process from the start. As the sultations can be considered as an option, and key player in disaster management, the National can work well if it is ensured that all stakeholder Disaster Management Office should be well groups in the sector are well represented. SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 05 11 SRCA framework structure The SRCA framework consists of: theme is to be defined according to national cir- cumstances and refers to one additional group, for » Three main and interrelated components: (i) example children/youth, elderly, indigenous peo- Governance, (ii) Competencies, and (iii) Resources ples, people living in extreme poverty, and migrants. and Tools. The main components are relevant at the policy-making level. The assessment structure establishes a relational » Key elements: Complementary areas covered by cascade between the main components and their each of the main components. Key elements are key and sub elements, which allows addressing key relevant at the strategic and programmatic levels. enabling factors for recovery at each level of the » Sub elements: Topics covered by each Key ele- framework (figure 2). ment. Sub elements are relevant at the operational level. The information required for the analysis of main » Crosscutting themes: The SRCA framework components, key elements and sub elements is pro- includes three cross-cutting themes, namely vided by answers to a set of questions per sub ele- Gender, Disability inclusion, and other vulnera- ment included in the SRCA assessment questionnaire ble/marginalized groups. The latter cross-cutting (Annex 2). FIGURE 2 . 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 n o …, 1, SE es t SE en KE 2, .R , Qn 1, … cie KE 2, C3 2 , SE Q1 s …, …, SE 1, 2,… ,Q KE KE 2, 1, ,Q 2, ,S n SE …, En Q1 Q n Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 06 12 Methodological process Implementing a SRCA is a process consisting of four 4. Recommendations framework. Following the main stages: SRCA results analysis, specific recommenda- tions can be extracted from the stakeholders’ 1. Collection of data and information to provide responses to the questionnaire, as well as from clear narrative answers to all questions in the inputs received during additional consultations SRCA questionnaire. This stage includes: with sectoral experts. Wherever possible, poten- a. An in-depth desk review. tial funding sources are assigned to specific b. Stakeholder consultations. recommendations. a. Key informant interviews. 5. SRCA report elaboration, validation and approval. 2. Data analysis and scoring. This is the application A draft SRCA report is elaborated as informa- of a semi-quantitative approach to translate the tion is generated during the previous stages and narrative, qualitative information previously col- includes a curated list of recommendations. The lected into numerical values within established draft report is to be validated by sectoral stake- ranges. holders, their inputs included in a final version of 3. Analysis of results. This stage includes a com- the report, which is to be submitted to govern- parative overview of qualitative answers and ment authorities for review and approval. indexes to establish recovery capacity strengths, weaknesses and gaps at the different levels of Each of the stages of the assessment process (figure the assessment. Based on the analysis of results, 3) will be elaborated in the following sections. solutions to bridge gaps, as well as actions and investments to strengthen recovery capacity are provided. SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines FIGURE 3.. 13 Diagrammatic representation of the assessment process 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 Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 07 14 Stage 1: Collection of data and information The SRCA involves a desk review, stakeholder consul- 7. Conduct some verification steps, including: tations, key informant interviews and sectoral expert a. Ensuring that the questionnaire is com- opinion as sources of information to respond to the plete, and the responses offer a sector-wide questions in the SRCA questionnaire. perspective. b. Confirming that the information received from In practice, a good approach to collect the data and the stakeholders respond to the questions in information required for the assessment would be to: the SRCA questionnaire and that all questions were well understood by respondents. 1. Review and familiarize yourself with the SRCA 8. Consult experts on issues that may remain unclear questionnaire in detail. (semi-structured interviews are recommended for 2. Conduct a desk review of all relevant national and this step). sectoral documentation that can help answer the SRCA questions. 3. Pre-fill the SRCA questionnaire with the informa- TIPS tion obtained from the desk review (this should be done in Column I of the SRCA tool). 1 The success of the SRCA depends on the level of 4. Tackle this task on a component-by-component detail and quality of the narrative answers to the basis. questions in the SRCA questionnaire. Therefore, 5. Hold one consultation per component with the ensuring a good and detailed narrated answer sectoral focal point and, if necessary, a resource to each question is essential. Simple yes or no person from the national disaster manage- answers should be avoided. ment agency, to add information to the pre-filled 2 Ensure stakeholders propose recommendations responses to the SRCA questionnaire or clarify to recovery limitations discussed for each compo- doubts. nent and key element. During consultations stake- 6. Hold a broader sectoral consultation session with holders can also provide valuable information on all major sectoral stakeholders to discuss the opportunities to address limitations (including answers to the three components of the question- those opened by upcoming processes). naire and include additional information and views as needed. SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines In addition to data and information for responding to > Gender-specific vulnerabilities to disaster 15 the SRCA questionnaire, the desk review and infor- impacts and expected climate change impacts. mation-gathering exercise should also provide other > Additional information regarding the current background information necessary to complete the context of gender issues in the country and SRCA report. sector. » Inclusion of persons living with disabilities (PWD) This includes background information on: and other vulnerable/marginalized groups (for example migrants, people living in extreme pov- » Sectoral contributions to the economy (e.g., contri- erty, the elderly, children, indigenous groups, and bution to GDP and workforce). specific minorities, as appropriate to the national » Climate change and projected impacts on the context), including: country and sector. > Details on the consideration of PWD and other » Impact of previous disasters on the country and vulnerable groups in national and sectoral pol- sector. icy and action. » Key sectoral infrastructure and investments, both > Access to jobs and services in the sector and at the national and multilateral levels, and key gaps country. and needs in terms of sectoral infrastructure. > Differentiated vulnerability of PWD and other » Gender issues, including: vulnerable groups to disaster impacts and > Consideration of gender issues in DRM, sectoral expected climate change impacts. and national policies. > Additional information regarding the current > Gender balance in access to jobs and services issues faced by PWD and other vulnerable/mar- in the sector and country. ginalized groups in the country and sector. TIP TIP Discussing preliminary findings with government Discussing preliminary findings with government agencies and organizations in charge of supporting agencies and organizations in charge of promoting PWD and other vulnerable/marginalized groups can gender equality can be helpful for the analysis and to be of good help for analysis and to complete the SRCA complete the SRCA report. report. Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 08 16 Stage 2: Data analysis Data analysis takes place once all questions in the Scoring SRCA questionnaire have been completed in Column I At this stage, the responses received for each ques- of the SRCA tool, and the information verified. tion in the questionnaire are to be scored using the following scoring system. TABLE 1.. Scoring system for the quantitative evaluation of 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 Partially Acceptable measure (> 75 percent completed) 2 In progress Major problem Need for action and Partially Scarce measure (> 50 percent completed) 1 Planned or started Severe problem Immediate action and No Minimum with minimum actions acute measure 0 A definitive NO Catastrophic problem Immediate action and No None acute measure The scoring process translates narrative responses capacity for each key element, sub element and main into quantitative values, which enables the SRCA component in the SRCA. tool to calculate the indexes that evaluate the level of SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines Practical examples - Based on the case study intro- question are recorded in Column I and how scores are 17 duced in Annex 1, the following practical example assigned in column K of the SRCA tool. shows how information and data that answers to each Column G Column I Column K Score of the answer Sectoral perspectives, additional comments, (according to the Question evidence and remarks scoring system, 0 to 4) 1 Is there a National Disaster Risk The DRM Policy of 2012 is the main DRM Management (DRM) policy that document available at caribiapolicies.car. It includes clearly defined institu- dedicates a section to the national institu- tional mandates for DRM and tional DRM structure in the country, desig- evidence of its use or practice? nates the National DRM Committee as the main multisectoral mechanism to lead all 4 phases of DRM in the country, and sets out clearly identified mandates. There is evidence of the use of the policy in disaster prepared- ness, including awareness raising activities conducted as part of the Caribia Hurricane Preparedness Week this year. 2 Is there a main sectoral devel- The 2030 Tourism Development Strategy is opment policy that addresses the main policy guide for the sector and in- climate change adaptation and cludes a section integrating gender aspects, DRM and integrates recovery biodiversity considerations and climate considerations, as well as evi- change adaptation. However, while some dence of its use or practice? DRM considerations are made in the Strategy, 3 there are no references to recovery. Evidence of use of the Strategy includes the creation of the Office for Innovation in Coastal Tourism at the Ministry of Tourism last year. This office was included as a priority in the Strategy. In this case, the response to the first question indi- change adaptation considerations and DRM and, c) cates that: a) there is a National Disaster Risk it is used. However, this document does not include Management Policy, b) the policy clearly designates recovery-specific issues. Therefore, the response only institutional mandates and c) there is evidence of its partially fulfils the requirements of the question, and use. Therefore, according to the scoring system (Table according to the scoring system the score should be 1), the response is a qualified yes and the correspond- a 3. ing score should be a 4. The scoring system provides options for the different The response to the second question shows that types of responses expected to the questions in the there is progress, as: a) there is a guiding sectoral pol- SRCA questionnaire. However, the scoring process icy document (even if it is a strategy and not a pol- sometimes requires the person scoring to make some icy), b) the guiding policy document includes climate logical decisions. See the following example: Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 18 Column G Column H Column I Column K 30 Are there sufficient DRM There are no DRM specialists specialists in the sector to in public or private institu- ensure that each project is tions of the country’s tourism overseen by at least one DRM sector. However, some efforts 1.5 specialist? have been made in the private sector to generate some DRM   capacity through consultants. The response to question 30 in the case study shows Audit. When available, these responses can offer a there is a severe problem. The response does not qual- cross-sectoral view on a specific issue, but do not nec- ify for a score of 0 because some efforts have been essarily reflect the sectoral view. For example, at the made by the private sector to address the issues in the national (cross-sectoral level) the response to a ques- question. These efforts are more than the minimum tion on the existence of hazard maps may be pos- efforts that would qualify the response for a score of itive, as these maps exist, but the sectoral response 1, but still less than the efforts or progress that would (Column I) may explain that the maps are at a scale qualify the response for a score of 2. Therefore, the that is irrelevant to the sector and therefore not utilized. person scoring this response opted for a score of 1.5. An important step to complete the scoring process is Note: Column H in the tool may show responses pro- to fill columns L (Explanation for the score) and M (evi- vided by national stakeholders to very similar ques- dence), as these will justify the score provided. See the tions when filling the cross-sectoral tab of the CDM following example. Column G Column I Column K Column L Column M Score of the answer Sectoral perspectives, additional (according to Explanation for Question comments, evidence and Evidence the scoring the score remarks system, 0 to 4) 1 Is there a The DRM Policy of 2012 is the There is a DRM DRM Policy of 2012, National main DRM document available Policy with clear available online at: www. Disaster Risk at caribiapolicies.car. It dedicates designated man- caribiapolicies.car/DRM Manage- a section to the national insti- dates and there Policy 2012. Evidence of ment (DRM) tutional DRM structure in the is evidence of use: Hurricane Awareness policy that country, designates the National its use. For ex- Week - Brochures for the includes DRM Committee as the main ample in aware- public including key steps clearly multisectoral mechanism to lead ness raising to prepare for the hurri- defined in- all phases of DRM in the country, 4 activities. cane season and sources stitutional and sets out clearly identified of reliable information mandates mandates. There is evidence of and responsible agencies, for DRM and the use of the policy in disaster all of which is included in evidence of preparedness, including aware- the DRM Policy. Brochures its use or ness raising activities conducted are available at: www. practice? as part of the Caribia Hurricane NEMA.ca/brochures_hur- Preparedness Week this year. ricane_preparedness_ week.pdf SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines Calculation of the Recovery Capacity Index This is a major, automatic, and effective step in the 19 SRCA methodology, because: Upon completion of the scoring exercise, the SRCA tool automatically: » RCI values describe the extent to which the consid- erations necessary for effective recovery have been » Calculates the Recovery Capacity Index (RCI) for integrated at each level of the SRCA framework. each sub element, key element, main component » The traffic light system and the spider charts pro- in the SRCA framework, as well as for cross-cutting vide a rapid, visual overview of both the areas where issues and the overall sector. recovery capacity is strong, and where major chal- » Categorizes RCI values according to a traffic light lenges exist and action is urgently needed, which system (Table 2). simplifies the analysis of results. » Creates spider charts for the RCI values obtained at each level of the assessment. TABLE 2 Traffic light system used to categorize Recovery Capacity Index (RCI) values. RCI value range Appreciation of the extent to which recovery considerations are integrated in the sector Low or absent 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 HIGH 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 25–49 importance and added value of recovery integration for sectoral development. CAPACITY BUILDING NEEDS 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. Full integration Integrating recovery considerations at all levels is a working principle, managed as part of 90–100 LOW the sector’s organizational culture. Tools and protocols for the continuous improvement of the sector’s performance and impact are available. Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 20 In practice, system color classification, in columns AE to AP in the SRCA tool, as shown for the Caribia example 1. RCI values for each level of the assessment in the figure below. will automatically appear, with their traffic light Column Column Column Column Column Column AE AH AK AN AO AP Index Index Index Components Key elements Sub elements Index (RCI) (RCI) (RCI) (RCI) 1. Governance 60.58 1.1 Policies and 66.35 1.1.1 Policies 87.50 Components Other Legal Framework vulnerable Gender Disability group (Migrants) 2. Competencies 41.45 1.2 Strategies 50.00 1.1.2 Legal 56.25 1. Governance 62.50 66.67 45.00 (operational and Plans Framework capacity) and Skills 3. Resources and 60.08 1.3 Institutions 57.81 1.1.3 Foundations 68.75 2. Competencies 37.50 31.25 15.00 Tools and Coordination for recovery (operational capacity) and Skills Continues for the key Continues for all remaining 3. Resources 50.00 37.50 38.50 elements in components sub elements in the SRCA and Tools 2 and 3 framework 2. The spider charts will appear in columns BA to EC The following is the example of the spider chart the of the SRCA tool. Please always click the “Coloring tool produced for the sub elements of the Resources markers of all graphs” button in column BA or the and Tools key element in the case study. “Coloring bookmarks” button for each individual spider chart in the tool to ensure the traffic light system is applied to the RCI values automatically (see Annex 3). Low absent (0–24) Basic Recovery Capacity Index (25–49) Moderated (50–74) Advanced (75–89) Full (90–100) SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines In this example, the chart allows to rapidly visualize 21 that for one sub element (3.5.1. Resources) there is Once the scoring process has been full integration of recovery considerations, and no completed, the RCI values calculated, and action is needed, while for others (which obtained RCI the spider charts created the person or team values between 25 and 49) the level of integration of in charge of the SRCA will be well placed the required considerations (in other words, the recov- to analyze the results and start drafting the ery capacity) is basic or incipient and action is needed, SRCA report. as per the traffic light system (Table 2). Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 09 22 Stage 3: Analysis of results The recommended steps to approach the analysis of a key element level are related to the RCI val- results are the following: ues of specific sub-elements. Also take note of all recommendations made by stakehold- 1. Make an initial analysis at the level of the three ers to bridge gaps and strengthening capacity main components: in the issues addressed by the key elements. a. Describe the general results, highlighting first c. Analyze the results obtained at the level of which component shows the highest and the main components, identifying which key ele- lowest RCI values. ments contribute the most to the component RCI value, and where main weaknesses and 2. Focus on Component 1 (Governance): strengths exist. Highlight strengths and lim- a. Analyze the results obtained at the level of itations identified at this level (policy and deci- sub elements, identifying the highest and sion-making level). lowest RCI values and describing the reason d. Check that the results obtained at the level for these values (as per the responses to of main components are supported by the the questions in Column I). This analysis will results at the key element level and that results show the strengths but also the gaps and at the key element level are in turn supported constraints that recovery planning and imple- at the sub element level. This will provide a mentation face at the operational level. If con- good understanding of the current capacity nections or causal relationships are detected context at the main component, key element between the responses and the scores, these and sub element levels (policy, strategic and should also be described. Also take note of planning, and operational levels, respectively). any opportunity identified for bridging gaps or strengthening capacity mentioned or vali- 3. Focus on Component 2 (Competencies) dated by stakeholders (for example, upcom- a. Repeat the steps described for Component 1. ing policy or program reviews, ongoing or upcoming projects, etc.). 4. Focus on Component 3 (Resources and Tools): b. Analyze the results obtained at the level of key a. Repeat the steps described for Component 1. elements, identifying the highest and lowest RCI values and identifying the reasons for 5. Focus on cross-cutting issues (gender, disability these values at this level. This analysis will and vulnerable group inclusion): show the strengths but also the gaps and con- a. Repeat the steps described for Component 1. straints that recovery planning and implemen- 6. Return to the initial analysis made for the three tation face at the strategic and programmatic main components in Step 1, and complement the levels. Describe if the high or low RCI values of analysis with the findings made at the key element level for each component (Step 2c). SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 10 23 Preparation and validation of the SRCA report Upon finalizing the analysis of results: » Prepare a complete draft of the SRCA report. The » Circulate the draft SRCA report among sectoral and SRCA reports published by the World Bank for the national stakeholders for discussion and inputs. Tourism Sector in Dominica9 and Saint Lucia10, for » Prepare a report validation workshop with key sec- the agriculture sector in Antigua and Barbuda11, toral stakeholders, as well as with independent Guyana12 and Saint Vincent and the Grenadines13 experts on the sector. and for the housing sector in Grenada14 provide » Prepare a final version of the SRCA report. good examples to follow in the drafting of the » Submit the final SRCA report for Government report. approval and endorsement. 9 The SRCA report for the Tourism sector in Dominica is available at: https://documents.worldbank.org/en/publication/documents-re- ports/documentdetail/099020124172530437/p17125619706840d9192601b4fccfc5918e 10 The SRCA report for the Tourism sector in Saint Lucia is available at: https://documents.worldbank.org/en/publication/documents-re- ports/documentdetail/099755411302267028/p171256107cb0d08819d681a1ea6e5192ea 11 The SRCA report for the Agriculture sector in Antigua and Barbuda is available at: https://documents.worldbank.org/en/publication/doc- uments-reports/documentdetail/099020124172541831/p171256178621c003180671e6ece62ae41f 12 The SRCA report for the Agriculture sector in Guyana is available at: https://documents.worldbank.org/en/publication/documents-re- ports/documentdetail/099755311302237754/p17125615a10af0211a39a117235f892b6d 13 The SRCA report for the Agriculture sector in Saint Vincent and the Grenadines is available at: https://documents.worldbank.org/en/pub- lication/documents-reports/documentdetail/099020124173018289/p171256157f354059183cb164bfe198fcf3 14 The SRCA report for the Housing sector in Grenada is available at: https://documents.worldbank.org/en/publication/documents-reports/ documentdetail/099020124173033296/p1712561dcdbb307f188ba1b507900d3f98 Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 24 Annex 1 Case study - Background The imaginary Small Island Developing State of Caribia businesses, and access to essential services were is located in the Western Caribbean region and faces substantially disrupted, and it is taking a significant significant challenges as it grapples with its exposure amount of time and resources to rebuild and recover. and vulnerability to natural disasters and the adverse impacts of climate change. The nation’s unique geo- Climate change is exacerbating existing vulnerabil- graphical location makes it prone to hurricanes, tropi- ities. Rising sea levels threaten coastal communi- cal storms, and floods, as well as to earthquakes and ties, resulting in coastal erosion, loss of land, and the landslides. Climate change is already negatively affect- intrusion of saltwater into freshwater sources. The ing the country, through phenomena such as coastal Intergovernmental Panel on Climate Change (IPCC) erosion, sea level rise, and weather events becoming projects that sea levels in the Caribbean region could increasingly frequent and extreme. rise by up to one meter by the end of the century, ampli- fying the risks faced by Caribia. Higher temperatures Caribia encompasses a diverse range of landscapes, contribute to heatwaves, adversely affecting human including coastal areas, low-lying islands, and moun- health and productive sectors such as tourism, as well tainous regions. Its coastal regions, with their sandy as freshwater availability. Changes in rainfall patterns beaches and coral reefs, are not only beautiful but also impact agriculture, leading to crop failures and food essential for the nation’s tourism industry. However, insecurity. these same coastal areas are highly vulnerable to ero- sion and inundation due to rising sea levels. The coun- Recognizing the urgent need for action, the govern- try’s economy heavily relies not only on tourism, but ment of Caribia has prioritized resilience-building and also on agriculture, including fisheries, all of which are climate change adaptation as crucial policy objectives. profoundly impacted by climate change. The country has been working towards the integration of mitigation measures against the impacts of natural Caribia’s location within the hurricane belt exposes it disasters and climate change, including investments to frequent and intense tropical cyclones during the in early warning systems, emergency preparedness, Atlantic hurricane season. These storms bring heavy response mechanisms to enhance resilience and rainfall, strong winds, storm surges, and flooding, reduce the loss of life and property during disasters, causing significant damage to infrastructure, property, infrastructure development, natural resource manage- and livelihoods. For instance, Hurricane Matthew in ment, and climate change adaptation. 2016 caused unprecedented devastation, with heavy losses in terms of lives and livelihoods, and extensive Caribia is actively studying ways to more systemati- damages of property and infrastructure. 10 percent cally engage in international cooperation and part- of the population was displaced or made homeless; nerships to enhance its resilience to natural disasters infrastructure, including roads, bridges, buildings, and and climate change impacts. The country currently utilities such as power and water systems, are still collaborates with regional organizations such as the being reconstructed; transportation, communication, Caribbean Disaster Emergency Management Agency SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines (CDEMA) and the Caribbean Community (CARICOM) and climate change impacts. Ensuring equitable 25 to share best practices, exchange information, and resilience-building efforts and addressing socio- access financial resources. It is also seeking sup- economic disparities are crucial, particularly for port from other international institutions, including women and people living with disabilities. the World Bank and the United Nations Development Programme (UNDP), for capacity building, technical Despite these challenges, Caribia has several opportu- assistance, and funding. nities to enhance its resilience: Despite its efforts, Caribia faces several challenges in » Knowledge sharing and collaboration: By actively addressing the impacts of natural disasters and cli- participating in regional and international net- mate change. These include: works, Caribia can learn from the experiences of other countries facing similar challenges. Sharing » Constrained resources: Caribia’s financial, technical knowledge, best practices, and lessons learned and human resources are currently limited, making can enhance the effectiveness of resilience-build- it especially challenging to design and implement ing efforts. large-scale resilience-building and recovery proj- » Innovative financing mechanisms: Exploring inno- ects and initiatives. vative financing mechanisms, such as climate » Data and information gaps: Accurate and up-to- funds, public-private partnerships, and insurance date data on climate change impacts, vulnerability schemes, can help mobilize resources for resil- assessments, and risk mapping are essential for ience-building projects and initiatives. informed decision-making. However, Caribia faces » Community engagement and empowerment: challenges in accessing and utilizing such data and Involving local communities in decision-making information. processes, promoting awareness, and building » Socioeconomic inequalities: Vulnerable com- capacity at the grassroots level can enhance the munities, such as those living in informal settle- effectiveness and sustainability of resilience-build- ments or with limited access to resources, are ing measures. disproportionately affected by natural disasters Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 26 Annex 2. SRCA questionnaire COMPONENT 1: GOVERNANCE Key elements Sub elements Questions 1.1 Policies and 1.1.1 Policies 1 Is there a National Disaster Risk Management (DRM) policy that Legal 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 and framework 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 government’s for recovery 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 in the Mainstreaming elaboration of DRM or recovery policies and legal frameworks? DRM&CCA 8 Do the private sector, academia, 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.? 1.1.5 inclusion 10 Do the most relevant national policies, laws and regulations for 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? SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 27 COMPONENT 1: GOVERNANCE Key elements Sub elements Questions 1.1 Policies and 1.1.5 inclusion 12 Do the most relevant national policies, laws and regulations for Legal Framework recovery take into account the differentiated recovery needs of other (cont.) 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 codes and 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 in Plans and plans place? 16 Are there financing mechanisms for recovery in place (e.g., recovery funds)? 1.2.2 Build 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? Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 28 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 sector Coordination 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 23 Is there a coordination mechanism (formal or informal) between Coordination 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 who are codes and responsible, accountable and liable for ensuring compliance with regulations 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 Implementation Guidelines 29 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 contractors sector 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 implement resilient recovery projects? skills) 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.)? 2.2.2 Training 40 Are there frequent opportunities to enhance the technical activities skills required to ensure resilient reconstruction of physical 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). Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 30 COMPONENT 2: COMPETENCIES Key elements Sub elements Questions 2.2 Capacity 2.2.2 Training 44 Is there currently a mentoring and advising program/process for (knowledge and activities Building Back Better? skills) 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 Public Financial Management (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 2.3.1 Human 49 Is there a Human Resources recruitment plan that includes Resources (HR), resources (HR), recovery activities? Profile 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 Implementation Guidelines 31 COMPONENT 3: RESOURCES AND TOOLS Key elements Sub elements Questions 3.1 Natural hazard 3.1.1 Data 51 Are there mechanisms in place for the collection and Data and Risk collection and management of natural-hazard data and risk information, Information management 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? Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 32 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 resilient information 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 66 Are building codes and land use planning guidelines currently codes and integrated into project design in the sector? regulations 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? Recommendations: What would you recommend to improve recovery financing in the sector? Are there visible or upcoming opportunities for implementing the suggestions? SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 33 COMPONENT 3: RESOURCES AND TOOLS Key elements Sub elements Questions 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 79 Are there mechanisms in place to ensure that the construction codes 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 81 Does the sector currently have in place and actively use a project 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 infrastructure evaluation for the sector been evaluated? investments 3.6.2 Maintenance 83 Is there an infrastructure maintenance plan and budget currently plan 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? Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT 34 Annex 3. Options to enable the automatic application of the traffic- light system in the coloring of points in the spider charts. NOTE FOR GRAPHICS: Press the “Coloring markers of all graphs” button to color the markers of all graphs. To make it for a Coloring markers single graph, first select the graph and then press the corresponding button in the upper left corner of the graph. of all graphs Component Index Option 1. Pressing on the “Coloring markers of all 1. Governance 100 graphs” button in Column BA 80 Low absent (0–24) 60 Basic Recovery Capacity Index (25–49) 60 Moderated 20 (50–74) Advanced 0 (75–89) Full (90–100) 3. Resources and Tools 2. Competencies (operational capacity) and Skills SECTORAL RECOVERY CAPACITY ASSESSMENT Implementation Guidelines 35 Coloring bookmarks Option 2. Pressing on the “Coloring bookmarks” Key elements Governance button for each selected 1.1 Policies and Legal Framework spider chart 100 80 Low absent (0–24) 60 Basic Recovery Capacity Index (25–49) 60 Moderated (50–74) 20 Advanced 0 (75–89) Full (90–100) 1.3 Institutions and Coordination 1.2 Strategies and Plans Implementation Guidelines SECTORAL RECOVERY CAPACITY ASSESSMENT