Cooperative for Assistance and Relief Everywhere, Inc.
FOCAPRE:
Fortalecimiento de Capacidades en Preparación y Respuesta
Strengthening Capacities in Preparedness and Response
USAID/DCHA/OFDA Annual Program Statement (APS) for Building Disaster-Resilient Communities in Latin America and the Caribbean
Funding Opportunity Number: APS-OFDA-11-000003
Original Proposal Submitted April 22nd, 2011
Request to USAID/OFDA for a NEW Award, APS No. APS-OFDA-11-000003 , for USAID/DCHA/OFDA Annual Program Statement (APS) for Building Disaster-Resilient Communities in Latin America and the Caribbean
PROPOSAL SUMMARY
Applicant Organization Name: Cooperative for Assistance and Relief Everywhere (CARE)HeadquartersContact Information:
Contact Person: Robert Laprade
Title: Senior Director,
Emergency and Humanitarian Assistance Unit
Mailing Address:
151 Ellis Street, NE
Atlanta, GA 30303
Telephone: 1.404.979.9224
Fax: 1.404.589.2622
E-mail: / Field Contact Information:
Contact Person: Claudia Futterknecht
Title: Country Director
CARE Ecuador
Mailing Address: Av. Al Parque s/n y Alonso Torres, Centro Comercial Galerías del Bosque
Telephone: 593 2 253615
Fax: 593 2 253615
E-mail:
Country/Region of Country: Ecuador/ Provinces of Chimborazo, Guayas and Cañar
Submission/Revision Date: April 22, 2011
Program Title: Strengthening Capacities in Preparedness and Response
Proposed Start Date: July1, 2011
Program/Extension Duration: 20 months
Proposal includes the following categories of restricted goods:
Restricted Goods / Check Box if ApplicableAgricultural commodities
Fertilizer
Pesticides
Pharmaceuticals—human and veterinary
Used equipment
USG-owned excess property
Vehicles not manufactured in the U.S.
Dollar Amount Requested from OFDA $ 976,760
Dollar Amount from Other Sources $ 0
Dollar Value of In-kind Contributions $ 0
Total Dollar Amount of Program $ 976,760
Program Goal: Strengthen the preparedness and response capacity of vulnerable populations and institutions by improving their resilience to potential disasters.
Total Number of Individuals Affected in the Target Area: 100,900
Total Number of Beneficiaries Targeted (Individuals): 3,670
Total Number of IDP Beneficiaries Targeted (Individuals) as subset of above:
Estimated Cost per beneficiary: Direct - $266.15, Indirect – $9.68
Synopsis:
CARE proposes the FOCAPRE Project, Strengthening Capacities in Preparedness and Response,in response to OFDA’s APS for Building Disaster-Resilient Communities in Latin America and the Caribbean. The project aims to increase the preparedness and response capacities of the population living in rural and urban areas of the municipalities of Pallatanga, Cumanada, El Triunfo, General Antonio Elizalde and La Troncal which are frequently affected by adverse events such as landslides, floods and seismic movements. It will do so by building the capacity of the institutions responsible for disaster risk management at the local, provincial and national level. The project will include the rehabilitation of homes located in high risk areas with a focus on the most vulnerable populations (children, the disabled, seniors, women, and others). Any reconstruction and/or improvements will be properly designed according to international – SPHERE- and national standards - the Ministry of Economic and Social Inclusion, the National Council for the Disabled (CONADIS) and the National Risk Management Secretariat. The project includes strengthening of local capacities in construction techniques and alternative technologies that are applicable to areas that are highly vulnerable to natural disasters.
Sector Table:
Sector Name: / Natural and Technological RisksObjective: / Strengthen the preparedness and response capacities of communities and institutions in the targeted areas to mitigate the negative impacts as a result ofnatural and man-made disasters.
Amount requested: / US$ 589,566
Number of target beneficiaries: / Direct – 2070, Indirect – 100,900
Number of IDP target beneficiaries:
Geographic areas: / 30 communitiesand 5 municipalities in the provinces of Guayas, Chimborazo and Cañar
Key words / Capacity Building/Training
Children
Disability / Disaster Risk Reduction (DRR)
Gender Relations
Protection Mainstreaming
Sub-sector name: / Disaster Preparedness, Mitigation and Management
Indicator 1: / Number of people trained in disaster preparedness, mitigation, and management.
Indicator 2: / Number and percent of beneficiaries retaining disaster preparedness, mitigation, and management knowledge two months after training.
Indicator 3: / Number of hazard risk reduction plans, policies or curriculum developed
Sector Name: / Shelter and Settlements (S&S)
Objective: / Ensure that homes and schools in the targeted area to be able to withstand natural and man-made disasters through the rehabilitation of vulnerable shelters and structures.
Amount requested: / US$ 387,194
Number of targeted beneficiaries: / Direct: 1,600, Indirect 100,900
Number of targeted IDP beneficiaries:
Geographic Areas: / 3 municipalities in the border area of the provinces of Guayas, Chimborazo and Cañar
Key words / Capacity-building/training
Children
Disability / Disaster Risk Reduction
Gender relations
Protection Mainstreaming
Subsector name: / Shelter Hazard Mitigation
Indicator 1: / Number of shelter incorporating hazard mitigation measures
Indicator 2: / Number of settlements adopting hazard mitigation measures
TABLE OF CONTENTS
TECHNICAL PROPOSAL
PROPOSAL SUMMARY ii
A. JUSTIFICATION 1
1. Problem Statement 1
2. Needs Assessment Summary 2
3. Justification for Intervention 3
B. PROGRAM DESCRIPTION 5
1. Program Level 5
Sector 1: Natural and Technological Risks 8
Sub-sector 1.1: Disaster Preparedness, Mitigation and Management 10
Sector 2: Shelter and settlements 14
Sub-sector 2.1:Shelter Hazard Mitigation 14
C. TRANSITION AND EXIT STRATEGY 16
D. MONITORING AND EVALUATION 16
1. Monitoring Plan 16
2. Evaluation Plan 18
PROGRAM ANNEXURE
ANNEX A – Work Plan
ANNEX B – Capacity Statement
ANNEX C – Letters of Support
ANNEX D – Staffing
COST/BUDGET ANNEXURE
ANNEX E – Detailed/Itemized Budget
ANNEX F – Budget Narrative
ANNEX G – Branding Strategy and Marking Plan
ANNEX H – Certifications and Representations
ANNEX I – USG Negotiated Indirect Cost Rate (NICRA)
ANNEX J – Self Certifications
ANNEX K 1– Safety and Security Plan 1
ANNEX K 2– Safety and Security Plan2
SF424
SUPPORTING DOCUMENTATION ANNEXURE
ANNEX L – Organizational Structure
ANNEX M – Accountability to Code of Conduct
ANNEX N – Past Performance References
ANNEX O – Statement of Accountability
ANNEX P1 – Needs Assessment 1
ANNEX P2 – Needs Assessment 2
ANNEX P 3– Needs Assessment 3
LIST OF ACRONYMS
CAMAREN / Ecuadorian System for the Sustainable Management of Renewable Natural ResourcesCONADIS / National Council for the Disabled
COOPI / Italian International Cooperation
DANA / Damage Assessment and Needs Analysis
DECABI / Development Capacities Bi National (Ecuador – Peru)
DIPECHO / Program European Commission
DRR / Disaster Risk Reduction
EOCs / Municipal Emergency Operations Committees
FOCADES / Bi-national project to strengthen and integrate capacities in prevention and risk management
IEC / Information, Education, Communication
INAMHI / National Institute of Meteorology and Hydrology
MIES / Ministry of Economic and Social Inclusion
OFDA / Office of U.S. Foreign Disaster Assistance
SENAGUA / National Secretariat for Water
SNGR / National Risk Management Secretariat
TRMS / Technical Risk Management Secretariat
1
CARE Original proposal to USAID OFDA – April 22, 2011
FOCAPRE: Strengthening Capacities in Preparedness and Response
A. JUSTIFICATION
1. Problem Statement
The municipalities of Pallatanga, Antonio Elizalde, El Triunfo and La Troncal, located at the beginning of the coastal plain at the foot of the Andean mountains of Ecuador are frequently plagued by severe sudden and gradual floods. This area is marked by a bimodal rainfall pattern, with two rainy seasons each year, peaking between March and April, and October and November. The intensity of these rainy reasons is only increased by the effects of the El Niño and La Niña phenomena.
The recurring flooding in this region has a tremendous negative impact on the population, primarily in rural areas and more severely affects the most vulnerable groups: children, women, the elderly, the disabled. Such natural disasters often cause loss of shelter, considerable damage to municipality infrastructure, exposure to communicable diseases through water-borne vectors and disruption of the school curriculum. They also disturb the livelihoods of the low-income populations, especially those engaged in subsistence and small-scale farming and animal-rearing. In the Municipality of La Troncal, during 2010[1], there were 12 flood and landslide events, which affected 369 people, and resulted in the evacuation of 6,945 families who had to live in temporary shelters. Ninety-three houses were damaged, over 100 hectares of banana, cacao and corn crops were lost, and three major bridges collapsed.
The impact of such events on the communities in these high-risk areas is also a result of significant institutional vulnerabilities such as the lack of organization among municipal authorities in developing disaster preparedness and response programs. These programs would include trained community brigades, evacuation plans, proper management of temporary shelters and first responder equipment. But if immediate disaster risk reduction programs are not put in place, these vulnerable communities will continue to suffer the devastating effects of natural disasters year after year.
2. Needs Assessment Summary
In March 2011, CARE Ecuador conducted an assessment of Disaster Risk Reduction interventions in the proposed project areas to determine what DRR programs have been established and what major gaps remain to be addressed. These were done through site visits and analyzing assessment data from outside sources. Below is a summary of the major findings.
Natural and Technological Risks
Organizational Structures
Municipalities and the communities within, do not have adequate organizational structures (committees and brigades) with defined roles and responsibilities in disaster preparedness and response initiatives. Ad-hoc committees have been formed during some emergencies, with some representatives from different institutions and the municipality, but they only meet after a warning has been sounded or the emergency has already happened, and do not have continuity afterwards.
Adequate training in the various aspects of emergency response has not been provided to emergency response leaders.
DRR Documentation
At the community level, no risk reduction strategies have been established and the official municipal development plans do not incorporate disaster risk reduction (DRR). There is an obvious lack of well-articulated preparedness and contingency plans for potential emergencies. There is also no specific information on risks, monitoring mechanisms, or the systematization of properly documented and shared experiences. One significant weakness identified is the lack of Protocols, Manuals and Procedures for the processes of evacuation, shelter management, humanitarian assistance, communications and other aspects.
DRR Advocacy
There is no participatory platform that brings together government officials, community leaders and the population in general to discuss Disaster Risk Reductionpolicies and legislation on this subject. There are no mechanisms for accountability in the area of emergency response such as after action reviews in the aftermath of disasters.
Institutional Links
The institutional links between frontline responders at the community level and superior levels within the National Response System, are quite tenuous. Community disaster preparedness and response efforts are inadequately linked to municipalities’ efforts, let alone strategies at the national level.
Infrastructure, Resources, Tools and Emergency Supplies
Currently, when disasters strike, temporary facilities are set up. The physical space that is eventually assigned to theMunicipal Emergency Operations Center (EOC) is not amply equipped for it to function properly. In the communities and municipalities, there is no basic equipment (stretchers, ropes, first aid kits, megaphones, etc.) available for immediate, agile and efficient responses to municipal or community-level emergencies and no pre-positioning of emergency supplies. Furthermore, municipalities are not equipped with updated technology to process information and feed into inter-institutional decision-making for the operation of the (EOC). Based on our assessment, only one of the municipalities has a radio communications system (with a radio frequency assigned by the ministry) between the municipal government and the communities for emergencies. However, it only functions occasionally, and does not cover 100% of the at-risk communities.
Emergency Preparedness in Schools
Even though the National Risk Management Secretariat recognizes the importance of addressing emergency preparedness in schools, very little information is shared in schools about disaster preparedness and response. Schools, in the affected municipalities, for the most part, do not have safe building structures placing many children and teachers at risk. Also, these schools are without emergency plans or transition strategies for the prompt re-starting of classes after an emergency.
Shelter
Many homes and other building structures in the area cannot stand up to the sever effects of natural disasters. This is a result of poor construction methods and lack of adherence to building codes.
3. Justification for Intervention
The selected geographic areas for intervention – municipalities of Pallatanga, Antonio Elizalde, El Triunfo and La Troncal – are considered high-risk for frequent natural disasters particularly flooding and landslides. These events often result in loss of shelter, loss of livelihoods and the disruption of school curriculum. Another factor is the vulnerability of the homes already built in the zone, which offer little or no resistance to the effects of natural disasters, mainly due to the fragility of the structures and the use of construction techniques that are not appropriate for high risk zones. The weak preparation of the population and lack of DRR measures implemented at multiple levels of government only exacerbates the negative impacts of disasters. Specifically, the lack of trained officials in disaster preparedness and response, fully equipped emergency shelters and widely communicated disaster preparedness and response plans creates considerable vulnerabilities in the population’s capacity to withstand the effects of natural disasters.
Recently, the population and government officials have increased their level of concern regarding disaster preparedness and capacity building, primarily motivated by recent disasters that have occurred in other countries (e.g. Haiti, Chile and Japan), along with some national events. The Republic of Ecuador’s new Political Constitution has resulted in the creation of the National Risk Management Secretariat. The objective of this initiative is to protect people, communities and nature from the negative effects of natural and man-made disasters, by establishing prevention, mitigation, preparedness and recovery measures and by improving social, economic and environmental conditions in the country. An enhanced institutional structure for risk management has been developed in recent years, allowing for a broader and more comprehensive approach; however, institutional capacities and resources have not managed to cover critical areas in the country that are very susceptible to the impact of adverse events. The next rainy season is quickly approaching (October 2011) and is expected to yet again affect a significant portion of the population is these areas, so it is important the begin DRR interventions, particularly capacity building, as soon as possible to mitigate the effects of imminent floods. Furthermore, the growing interest in DRR amongst government officials makes it a good time to implement DRR programs in the most severely affected communities in Ecuador.
CARE proposes a package of interventions to address the current vulnerabilities of disaster-prone communities in the municipalities of Pallatanga, Antonio Elizalde, El Triunfo and La Troncal, thus reducing the extent of damage caused by natural disasters. These interventions include:
-An analysis of risk conditions and the population’s capacity to reduce such risks
-Creation of community and municipal risk management plans
-Organization of community and municipal response brigades
-DRR awareness raising and training workshops
-Provision of disaster preparedness and response equipment and supplies
CARE intends to carry out these various activities with the active participation of members of the community, and in close coordination with government officials at the community, municipal, provincial and national levels. Such an approach will generate a broad commitment to DRR among the various stakeholders thereby promoting sustainability. Particularly vulnerable groups in disasters (children, women, the disabled and the elderly) will be prioritized to ensure that everyone’s needs are met through disaster preparedness and response operations.
CARE has extensive experience in implementing DRR projects in Ecuador. CARE has participated in a number of disaster preparedness projects through the DIPECHO Program, such as the Bi-national project to strengthen and integrate capacities in prevention and risk management(FOCADES) project (2004-2005), which focused on reducing the risk of disasters (floods) in the two neighboring municipalities along the border between Ecuador and Peru. More recently, CARE has implemented the SINCHI RUNA Project (2009-2011): “Building response capacities to landslides in the provinces of Chimborazo and Cañar, with an emphasis on the indigenous populations”, in coordination with the National Risk Management Secretariat of Ecuador. This project focuses on many of the priorities of the proposed FOCAPRE program including the organization and training community brigades and provincial EOCs on disaster preparedness and response, the design of emergency plans, and raising awareness through information, education, communication (IEC) campaigns.
Through these experiences, CARE has established strong linkages with government bodies leading DRR initiatives in Ecuador, such as the National Risk Management Secretariat of Ecuador.
CARE Ecuador participates in the UNETE team meetings, led by the United Nations and the National Risk Management Secretariat, for coordinating preparedness and response and information sharing. CARE is a co-founder of the Forum of International NGOs, and participates in meetings to coordinate disaster response efforts. CARE also works together with the Ministry of the Environment, with significant participation in the area of climate change and is a member of CAMAREN (Ecuadorian System for the Sustainable Management of Renewable Natural Resources), a consortium made up of NGOs, the government, and universities, to produce documents on the soil conservation, water and sanitation, the environment and other issues related to Risk Management.
USAID/OFDA DRR strategy for 2009-2013 defines a broad framework in which to develop projects aimed at reducing risk, improving preparedness and response capabilities and facilitating the quick recovery of populations in the aftermath of disasters. Given these specific DRR priorities and also taking into consideration OFDA’s mandate of saving lives, alleviating human suffering and reducing the economic and social impact of disasters, OFDA is uniquely placed to support this project. CARE Ecuador’s strategy and priorities in DRR are aligned with USAID/OFDA priorities, since they seek to build local capacities for disaster preparedness, improve community organization, better link local levels with provincial and national levels, and improve local infrastructure for shelter.