ecd.usaid.gov · Web view4.4.3A summary report of Mission’s compliance relative to this IEE shall...

DCN: 2018-ARM-011

US Agency for International Development (USAID)USAID/Armenia

Initial Environmental Examination (IEE)Program/Project/Activity DataActivity/Project Name: Civic Engagement in Local GovernanceAssistance Objective: Democracy, Human Rights and GovernanceProgram Area: DR.3 Political Competition and Consensus BuildingCountry(ies) and/or Operating Unit: Armenia/E&E

Originating Office: Sustainable Development Office (SDO) Date: June 29 2018

PAD Level IEE: Yes NoSupplemental IEE: Yes No RCE/IEE Amendment: Yes No

DCN of Original RCE/IEE: DCN: 2014-ARM-001

DCN of Amendment(s):

DCN: 2014-ARM-008, 2017-ARM-006,2017-ARM-0082018-ARM-009

If Yes, Purpose of Amendment (AMD): Cost Extension and Performance Period Extension of CELoG and adding new activities

DCN(s) of All Related EA/IEE/RCE/ER(s):

Implementation Start/End:AMD: October 26, 2019 – FY 22 LOP: FY14-FY22

Funding Amount: AMD: $900,000 LOP Amount: $59,179,348.00

Contract/Award Number (if known): AID-111-A-14-00004IEE Expiration Date (if any): FY20 Reporting due dates (if

any):Recommended Environmental Determination:Categorical Exclusion: Positive Determination: Negative Determination: Deferral:

Additional Elements:Conditions: Local Procurement: Government to Government: Donor Co-Funded: Sustainability Analysis (included): Climate Change Vulnerability Analysis (included):

1. Background and Project Description

1.1. Purpose and Scope of IEE

The purpose of this amendment to PAD level IEE is to analyze potential environmental impacts and to recommend environmental determination for new activities under the Civic Engagement in Local Governance activity. This amendment extends the period of performance by 11 months to August 2020 and increases the total budget of the activity by $900,000, which will raise the ceiling of the activity to $4,399,815.

The added activities will entail technical assistance and training sessions. This work may include some small-scale renovation activities of the training facilities, if needed.

Armenia/Civic Engagement in Local Governance 1

DCN: 2018-ARM-011

1.2 Project Overview

The Republic of Armenia is a relatively small, mountainous, land-locked country with a total area of 29,740 km2, located in the south-central Caucasus region of Eurasia. The country has a challenging development context because of its geopolitical constraints and unresolved conflict, energy dependency, limited economic and political competition, and population dynamics in the country.

Before 2015 Armenia consisted of 915 communities, a large number given the size of the country. The local self-government reform has been on the agenda of the Government of Armenia (GOAM) for many years. Armenia has committed to the reform by joining the Council of Europe Charter of Local Self-Government. USAID, World Bank, GTZ/GIZ, UNDP and EU have provided assistance, such as support in developing the legislative framework and the capacities of local self-government bodies, sharing international experience, promoting participation of women and youth, and assisting civil society actors. Beginning from 2015 Government of Armenia embarked on ambitious reform to revise the territorial administrative structure of the country through merging (consolidating) communities. As a result of this process as of today about half of all municipalities were consolidated into larger local government units (465 municipalities were consolidated into 52 larger units); the previous government program also clearly set the completion of the reform by the end of 2019. New Armenian Government voted in May 2108 is just starting to shape its approaches to sectoral policy in territorial administration and local government and USAID along with other donors continues to provide technical assistance to support decentralization efforts.

The Civic Engagement in Local Governance activity (CELoG or “Activity”) (DCN: 2014-ARM-001) implemented under the Cooperative Agreement AID-111-A-14-00004 (period of performance October 1, 2014-September 30, 2019) aims to increase civic engagement in and oversight of reforms aimed at improving transparency and accountability of government actions and policies. More specifically, the Activity pursues the following objectives:

1. to strengthen and improve civil society’s capacity to engage citizens and articulate their interests in local self-government and in the process of implementation of decentralization reform;

2. to strengthen civil society’s capacity to monitor the central and local government institutions and officials, and implementation of decentralization reform;

3. to increase citizens’ access to independent and reliable information on decentralization reforms;4. to create enabling environment for the civil society with a special focus on decentralization

process.

As the prime implementer of the Activity, Communities Finance Officers Association (CFOA) leads a consortium of six local organizations that focus on strengthening public participation and the role of civil society in local governance, at the same time addressing the need to introduce and strengthen mechanisms of public participation in local government affairs, and contributing to development of the legislative framework in harmony with this process.

CFOA is successfully implementing the Activity focusing on both civil society’s capacity to participate in monitoring the government institutions, engaging in their decision-making and strengthening the government institutions’ ability and readiness to work openly and transparently. These efforts are planting the seeds for institutionalizing participatory decision-making and are leading to a more constructive civil-society dialogue on policy issues.

1.3 Project Description

Community residents’ participation in decision making is key to democratic, open and accountable local government. The community members’ attitude towards LGs is currently changing, also as an outcome of USAID programming. To achieve this change, the ability of community members to articulate their interests should increase. This requires improvement of mechanisms of public Armenia/Civic Engagement in Local Governance 2

DCN: 2018-ARM-011participation in the decision making process, creation of illustrative precedents of change via public participation, and sustaining the effective participation of the community. Youth is playing a critical role in such change. Spring 2018 political events in Armenia proved that young generation became a critical mass to bring political changes in the country; new government by and large consists of young activists and needs to build its capacity; same may be expected in local governments elected in the next few years.

These political developments necessitate expanding efforts by focusing on people who will come to lead the local governments newly formed after consolidation. It is critical to bring a new generation of politically savvy young people to engage into local government leadership as mayors, council members or municipal servants.

Increase in public participation will impact all levels of the reform: if communities are active in promoting their interests at the LG level, the LG relations with central authorities will change, the legislative framework will start working, and the needs for further changes will become clearer.

Previous USAID and other donor projects have visibly strengthened youth capacities in the regions, establishing dozens of youth clubs and active groups, creating a strong grassroots base. Some beneficiaries of these past projects are volunteers, others have become mid-career professionals; a few serve as council members, deputy mayors or local government staff. They advance local causes, circulate petitions and elevate issues to local political agendas. Against the political cynicism and indifference among the general population, youth display a strong mindset shift, generating community and political activism.

The proposed additional activities will build on this critical mass to encourage, equip the youth with skills and support their ambition to bring change in local politics. The total budget of the additional activities is $900,000 and shall be delivered through the following 3 components:

Component 1. Civic and Political Engagement on the Local Level

Through existing local government training centers a pool of young professionals will be trained. Training centers will transform into Schools of Local Democracy (SLD) to sustain continuous zeal of young people to build their political skills and governance capacity.

Component 2. Oversight of Policy Implementation on the Local LevelIn order to strengthen public oversight of electoral processes on the local level, SLDs will mobilize youth to competently engage in monitoring LG performance after local elections in 2018 and onward.

Component 3. Raise Local Issues on the National LevelThrough this component the Activity will facilitate the trained youth’s strategic outreach to national stakeholders, particularly standing committees of the National Assembly, parliamentary factions and individual parliamentarians.

Expected outcomes and results of the project:

By the end of the activity implementation, it is expected that the following results will be achieved:

At least 500 youth will be reached to coach them in creating political platforms, running campaigns, functioning as mayors or council members, monitoring elections, lobbying the National Assembly, organizing petitions and overseeing local and national authorities.

In the long run, this will catalyze new political platforms on the local level and lead to diversification of the political landscape within and outside the existing political parties on the national level. This additional activity will play a catalytic role in converting LG training centers into fully-functional SLDs and strengthen the first cohort of politically savvy youth.


DCN: 2018-ARM-011

2. Baseline Environmental Information

2.1 Locations Affected and Environmental Context

General Baseline data

Over the past decade, the USG and the GOAM have worked closely together to lay the foundation for a more equitable and efficient local government in Armenia. Interventions spread around the entire country targeting several dozens of municipalities in all 10 regions (marzes) of Armenia. Geography of the partner communities covers both relatively larger urban and smaller rural communities around the country. In the context of proposed activities the geography will cover several regions (marzes) of Armenia, where the suggested training process will take place. The initial plan is to use facilities formerly established through USAID support in Armavir (Armavir marz), Sisian (Syunik marz) and Vanadzor (Lori marz). These three local government training centers will serve as hubs where the beneficiaries of the proposed activity will be trained how to enter into local politics and lobby the parliament for local issues.

Sector Specific Baseline Data:

Administratively, Armenia is currently divided into 10 Marzes (regions), and the capital – the city of Yerevan. It is further sub-divided into 502 municipalities, including 52 consolidated ones. Control over resources is still largely concentrated at the central level, while the ability of most municipalities to fulfill their functions effectively – to meet the population’s need for provision of public services, maintenance of public infrastructure, and support to local social and economic development – is limited, due to multiple system inefficiencies, including:

• The current territorial administrative division of the country is not conducive to effective and efficient management of local affairs by local self-governance bodies at the community levels.

• Many communities are still too small to generate a sufficient revenue base, to ensure capable staff with adequate regulatory knowledge and professional background, to set up sustainable models of basic service delivery, or to plan and facilitate economic activities in their territories.

• Local governments have specified responsibilities (i.e., local road maintenance, pre-school education, communal utilities, public lighting, beautification, etc.) partially funded from the local budget, and delegated responsibilities (e.g. maintenance of vital statistics, health or veterinary services, etc.) that are meant to be funded from the state transfers. However, legal procedures for exercising mandatory and delegated functions are undeveloped, and funding mechanisms for delegated responsibilities are often not sufficient.

• There is a low level of fiscal decentralization: all municipal budgets including Yerevan are subsidized by the central government, while roughly only 40-50% of funds originate from local revenues (mainly property and land taxes).

• Self-funding of municipalities is far too little to meet citizen’s public services needs or to assure public infrastructure maintenance. At the same time, many rural communities own oversized and unsustainable public infrastructure. Fees and tariffs for public service provision are not set on a cost-recovery basis, which implies a need to subsidize them from the public budget. Although the local government revenues have grown in absolute terms, their share in the consolidated budget remains very low. The share of local budget expenditures in the total public expenditures is in the range of 4-5%, if Yerevan excluded.

• The process of expanding the introduction of electronic governance in Armenian municipalities is presently underway, and about half of them reportedly have MMIS


DCN: 2018-ARM-011(Municipal Management Information Systems) installed. Nevertheless, there is a strong need to adapt and standardize the utilization of the MMIS and some commercial software products.

• Strong kinship ties and favoritism combined with weak capacities of local councils and underdeveloped civil society participation culture leads to concentration of power, eroded accountability, and distorted processes of public decision-making. There is no functioning system of checks and balances at the local level. Municipal councils assumed to undertake this role are institutionally very weak and lack the skill sets to fulfill their responsibilities in this area.

• Armenia has adopted important Conventions and other international legal instruments reaffirming its commitment regarding gender equality; however, including equal representation of women in decision-making processes on policy changes are slow to translate into practice. Despite a massive outflow of men resulting from labor migration, participation of women in local politics is low and women are under-represented in local government structures, especially in the higher positions. Thus, at the local level women comprise barely 12% in local councils (except Yerevan, where women representation is 28%) and 2% among the mayors. Although in 2017 parliamentary elections women improved their representation, only 18% of parliamentarians are women. This underrepresentation is among the main reasons for gender inequalities in access to public resources and in control over public assets at the local level.

2.2 Description of Applicable Environmental and Natural Resource Legal Requirements Policies, Laws, and Regulations

The major law that regulates the sector is the Law on Local Self-governance in Armenia. It contains specific provisions referring to the powers of the mayor in environmental protection (article 51) and efficient use of natural resources (particularly land use, article 43).

Waste management is the principal issue in the Republic of Armenia (RA) and it is regulated through RA International Agreements, RA Constitution, RA Law on Waste and a number of other legal acts. RA Law on Waste adopted on November 24, 2004 is a key piece of legislation regulating relations on waste collection, storage, transportation, processing, recycling, removal and volume reduction. The main objectives and principles of the law are establishment of a unified state policy in the area of waste management, provision of conditions and requirements for an environmentally friendly policy on waste management, provision of economic incentives for resource-saving activities, avoidance of generation of excessive waste, promotion of waste utilization and mitigation of adverse impacts of waste on human health and the environment, setting of legal basis for the regulation of waste management.

Domestic waste management is regulated by the Law on Waste Collection and Sanitary Cleaning (2011). The law regulates legal relations in the sector, established the principles of domestic waste collection and disposal, fees for solid waste collection, the range of payers and legal obligations stemming from non-payment of solid waste collection fees, local government powers in the sector.

2.3 Country/Ministry/Municipality Environmental Capacity Analysis

The RA Ministry of Territorial Administration and Development is responsible for overall policy design and execution in the territorial administration, development and oversight over local governments. The latter is specifically done through ten governor offices (marzpetarans) located in each provincial center.

Marzpetarans typically have departments of agriculture and environment which are responsible for:

• supporting execution of government programs in environment protection;


DCN: 2018-ARM-011• overseeing compliance with environmental legislation;• supporting the management of special protected areas;• liaising the government with civil society organizations and citizens in the scope of issues

related to environment and use of natural resources;• coordinating operations of environmental inspectorate, district branches of forest management

agency and other branches of state environmental bodies;• overseeing protection and reproduction of the flora and fauna.

Municipalities have their own powers to protect the environment and insure efficient use of natural resources according to mandate given them by the Law on Local Government. Their powers typically spread over the jurisdiction of municipality and do not intervene with natural resources which are under the state jurisdiction.


DCN: 2018-ARM-0112.4 Climate Change Vulnerability Analysis and Climate Risk Screening

ActivitiesPotential Climate

RiskClimate Risk Rating*

Component 1: Civic and Political Engagement on the Local Level

1.1 Technical assistance and trainings to improve the capacity of youth to engage in political activity on the local level

N/A Low

1.2 Acquire standard office equipment, such as computers, peripherals, LCD projectors, smart boards etc.

N/A Low

1.3 Small-scale renovation in the premises of the training centers to ensure proper operational environment of the trainings. This may include plastering and painting the walls and ceilings, floor hardwood repair/replacement, bathroom renovation, installation of plumbing fixtures and toilets, tiling the walls and floors.

N/A Low

Component 2: Oversight of Policy Implementation on the Local Level

2.1 In order to strengthen public oversight of electoral processes on the local level, Schools of Local Democracy will mobilize youth to competently engage in monitoring LG performance after local elections in 2018 and onward.

N/A Low

Component 3: Raise Local Issues on the National Level

3.1 Through this component the Activity will facilitate the trained youth’s strategic outreach to national stakeholders, particularly standing committees of the National Assembly, parliamentary factions and individual parliamentarians.

N/A Low

*See Annex 1 of this IEE for further details of the climate risk screening for the activity.

Risk assessment took a standard risk-based approach using local information and expert knowledge. It allowed us to identify that potential climate change risks are fairly low. We also compared the climate risks in this activity to similar activities implemented in the last 5 years.

3. Analysis of Potential Environmental Impact

Pursuant to 22 CFR 216.3(a)92)(iii), the originator of the proposed project has reviewed the potential environmental impacts of the action summarized in the foregoing IEE. None of activities outlined below will have adverse impact. However, the small-scale renovation of training facilities, such as plastering, painting the walls and ceilings etc., may contribute to minor impacts that can be eliminated or adequately minimized by appropriate mitigation measures.


DCN: 2018-ARM-0114. Recommended Environmental Actions

4.1 Recommended Mitigation Measures

Defined/Illustrative Activities

Potential Impacts Mitigation Measures Recommended Threshold Determinatio

n

1.3 Small-scale renovation in the premises of the training centers to ensure proper operational environment of the trainings. This may include plastering and painting the walls and ceilings, floor hardwood repair/replacement, bathroom repair, installation of plumbing fixtures and toilets, tiling the walls and floors.

Potential impact on land, water, air, human health. Waste from the activity may contaminate surface and ground water if not properly managed.

USAID will ensure the implementing partner prepares and submits for USAID approval the attached ERC with appropriate EMMPs. The ERC/EMMP will be completed and approved, prior to activities beginning. In particular, the EMMP will address all specific mitigation measures including, but not limited to: fugitive dust; use water sprays; reduce diesel exhaust; keep equipment in good operating condition; workers protective gloves; proper storage of construction materials to reduce visual impacts; waste removal to designated landfill. All procured materials and other equipment must be environmentally friendly and meet host government standards. No lead containing paints are allowed for used.

NegativeDeterminatio

n

4.2 Recommended Environmental Determination:

Categorical Exclusions:A categorical exclusion is recommended for the following identified activities under 22 CFR 216.2(c)(2):

Activities 1.1, 1.2 under component 1, and activities under components 2 and 3 fall under §216.2(c)(2)(i) The action does not have an effect on the natural or physical environment;

Negative Determination with Conditions:Under §216.3(a)(2)(iii), a negative determination with conditions is recommended for the activity 1.3 under component 1.

4.3 Terms and Conditions:

The implementer should follow the following:

4.3.1 Prior to initiating the activity 1.3 the IP shall prepare an ERC/EMMP(s) in the format provided in the Annex 1 of this IEE. The COR/AOR, MEO, and BEO shall approve the ERC/EMMP(s) prior to implementation. For each site-specific activity, the ERC/EMMP shall


DCN: 2018-ARM-011be attached to the signed Certification of No Adverse or Significant Effects on the Environment (See ERC/EMMP Annex 1). This should be signed by the IP, COR/AOR, MEO, and BEO. After the IP has finalized its activities at a specific site, the IP shall sign a Record of Compliance with the ERC/EMMP (see ERC/EMMP Annex 2) certifying that the organization met all applicable ERC/EMMP conditions and submit it to the COR/AOR. The COR/AOR shall keep the original for the project files and provide a copy to the MEO and BEO.

4.3.2 Activity 1.2 will be implemented with the requirements of the local environmental legislation and health standards, as well as best international practices, such as identification of existing hazards, such as lead paint, installing water conserving fixtures and ensuring the proper recycling/disposal of waste/equipment after generation/use.

4.3.4 ERC/EMMPs shall be captured in annual work plans, and therefor budgeted for and reviewed for adequacy at least annually.

4.3.5 Changes in activities, and their associate ERC/EMMPs shall necessitate amending the IEE or issuing a Memo to the File (depending on extent and potential impact of the changes).

4.4 USAID Monitoring and Reporting

4.4.1 The AOR/COR, with the support of the MEO, is responsible for monitoring compliance of activities by means of desktop reviews and site visits.

4.4.2 If at any time the project is found to be out of compliance with the IEE, the AOR/COR or MEO shall immediately notify the BEO.

4.4.3 A summary report of Mission’s compliance relative to this IEE shall be sent to the BEO on an annual basis, normally in connection with preparation of the Mission’s annual environmental compliance report required under ADS 203.3.8.5 and 204.3.3.

4.4.4 The BEO or his/her designated representative may conduct site visits or request additional information for compliance monitoring purposes to ensure compliance with this IEE, as necessary.

4.5 Implementing Partner (IP) Monitoring and reporting

4.5.1 The originator of the proposed project has reviewed the potential environmental impacts of the action summarized in the foregoing IEE.

4.5.2 IPs shall report on environmental compliance requirements as part of their routine project reporting to USAID.

5. Mandatory Inclusion of Requirements in Solicitations, Awards, Budgets and Workplans5.1 Appropriate environmental compliance language, including limitations defined in Section 6, shall be incorporated into solicitations and awards for this activity and projects budgets shall provide for adequate funding and human resources to comply with requirements of this IEE.

5.2 Solicitations shall include Statements of Work with task(s) for meeting environmental compliance requirements and appropriate evaluation criteria.

5.3 Environmental mitigation and monitoring requirements, when available, shall also be included in solicitations and awards.

5.4 The IP shall incorporate conditions set forth in this IEE into their annual work plans.


DCN: 2018-ARM-0115.5 The IP shall ensure annual work plans do not prescribe activities that are defined as limitations, as defined in Section 6.

5.6 The USAID Mission will include an indicator for environmental compliance as part of the project’s performance monitoring plan.

6. Limitations of the IEE: This IEE does not cover activities (and therefore should changes in scope implicate any of the issues/activities listed below, a BEO-approved amendment shall be required), that:

6.1 Normally have a significant effect on the environment under §216.2(d)(1) [See http://www.usaid.gov/our_work/environment/compliance/regulations.html]

6.2 Support project preparation, project feasibility studies, engineering design for activities listed in §216.2(d)(1);

6.3 Affect endangered species;

6.4 Result in wetland or biodiversity degradation or loss;

6.5 Support extractive industries (e.g. mining and quarrying);

6.6 Promote timber harvesting;

6.7 Provide support for regulatory permitting;

6.8 Result in privatization of industrial or infrastructure facilities;

6.9 Lead to new construction of buildings or other structures;

6.10 Assist the procurement (including payment in kind, donations, guarantees of credit) or use (including handling, transport, fuel for transport, storage, mixing, loading, application, cleanup of spray equipment, and disposal) of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials and /or pesticides (cover all insecticides, fungicides, rodenticides, etc. covered under the Federal Insecticide, Fungicide, and Rodenticide Act); and

6.11 Procure or use genetically modified organisms.

7. RevisionsUnder §216.3(a)(9), if new information becomes available that indicates that activities covered by the IEE might be considered major and their effect significant, or if additional activities are proposed that might be considered major and their adverse effect significant, this environmental threshold decision will be reviewed and, if necessary, revised by the Mission with concurrence by the BEO. It is the responsibility of the USAID COR/AOR to keep the MEO and BEO informed of any new information or changes in the activity that might require revision of this IEE.


DCN: 2018-ARM-011

8. Recommended Environmental Threshold Decision Clearances:

Approval : _________________________________________Adam Stefan, Acting Mission Director

_____________________Date

Clearance: _________________________________________Marina Vardanyan, Mission Environmental Officer

_____________________Date

Clearance :________________________________________Artur Drampyan, AOR, SDO(required)

_____________________Date

Concurrence: ________________________________________Mark KamiyaE&E Bureau Environmental Officer

_____________________Date

Distribution:IEE FileMEO (to also provide a copy to AOR/COR)


Annex 11 DCN: 2018-ARM-011

1.1: Defined or Anticipated DOs, IRs, or sectors:

civil society

1.2: Timeframe*

1.3: Geography

2: Climate Risks*

3: Adaptive Capacity*

4: Climate Risk Rating

of DO or IR*

[Enter rating for each DO or IR* High, Moderate, or

Low]

5: Opportunities

6.1: Climate Risk

Management Options

6.2: How Climate

Risks Are Addressed

in the Strategy*

7: Next Steps for Project and/or

Activity Design*

8: Accepted Climate Risks*

Activity 1.1September 1, 2018 –August

31, 2020Nationwide N/A N/A Low

Schedule works in a way to avoid severe weather

events

N/A N/A N/A N/A

Activity 1.2September 1, 2018 –August

31, 2023*Nationwide N/A N/A Low


events

N/A N/A N/A N/A

Activity 1.3

September 1, 2018 –August

31, 2020

Nationwide N/A N/A Low

Renovation of training facilities

will create opportunities of

using environmentally

friendly construction

materials with lower embodied

carbon and durability, led-free

paints, energy saving

technologies

N/A N/A N/A

Minor risks connected to

use of cement and other energy

intensive materials,

use of electric

power for some

construction works;

transportation, treatment and disposal

of demolition

debris to the landfill

Activity 2 September 1, 2018 –August

Nationwide N/A N/A Low Schedule works in a way to avoid

N/A N/A N/A N/A

EE.BEU Standard Form: IEE.v3

Annex 11 DCN: 2018-ARM-011

31, 2020 severe weather events

Activity 3

September 1, 2018 –August

31, 2020 Nationwide N/A N/A Low


events

N/A N/A N/A N/A

* Average lifespan of office equipment considered 5 years


Annex 21 DCN: to be assigned by BEO

ENVIRONMENTAL REVIEW CHECKLIST (ERC) for Identifying Potential Environmental

Impacts of Project Activities and Processes/ ENVIRONMENTAL MITIGATION AND

MONITORING PLAN (EMMP)

ERC/EMMP

for [Activity Name]

Implemented under: [Project Name]

DCN: [of Parent IEE]

Prepared by: [Implementer]


ENVIRONMENTAL REVIEW CHECKLIST FOR IDENTIFYING POTENTIAL ENVIRONMENTAL IMPACTS OF PROJECT ACTIVITIES AND PROCESSES

The Environmental Review Checklist for Identifying Potential Environmental Impacts of Project Activities and Processes (ERC) and Environmental Mitigation and Monitoring Plan (EMMP) is intended for use by implementing partners to: assess activity-specific baseline conditions, including applicable environmental requirements; identify potential adverse environmental effects associated with planned activity(s) and processes; and develop EMMPs that can effectively avoid or adequately minimize the identified effects. This ERC/EMMP may be substituted for other ERC/EMMP versions that may have been attached to previous initial environmental examinations (IEE). If implementing partners are in doubt about whether a planned activity requires preparation of an ERC, they should contact their Contracting Officer’s Representative (COR)/Agreement Officer’s Representative (AOR) for clarification. In turn, the COR/AOR should contact their Mission Environmental Officer (MEO) if they have any questions. In special circumstances and with approval of the BEO it is possible to have one very comprehensive ERC/EMMP for multiple projects if they are similar in scope. (When preparing the ERC/EMMP, please indicate “not applicable” for items that have no bearing on the activity. The ERC/EMMP should be completed by an environmental specialist. The ERC/EMMP must be completed and approved prior to the activity beginning.)

A. Activity and Site Information Project Name: (as stated in the triggering IEE)Mission/Country:DCN of Most Recent Triggering IEE or Amendment:Activity/Site Name:Type of Activity:Name of Reviewer and Summary of Professional Qualifications:Date of Review:

B. Activity Description 1. Activity purpose and need2. Amount of activity3. Location of activity4. Beneficiaries, e.g., size of community, number of school children, etc.5. Number of employees and annual revenue, if this is a business6. Implementation timeframe and schedule7. Detailed description of activity, items that will be purchased (This section should fully

describe what funds are being used for.)8. Detailed description of site, e.g., size of the facility or hectares of land; steps that will

be taken to accomplish the activity;9. Existing or planned certifications, e.g., ISO 14001 EMS, ISO 9000, HCCP, SA 8000,

Global Gap, Environmental Product Declarations, Eco Flower, EcoLogo, Cradle to


Cradle, UL Environment, GREENGUARD, Fair Trade, Green Seal, LEED, or various Forest Certifications

10. Site map, e.g., provide an image from Google Earth of the location11. Photos of site, items to be purchased, engineering construction plans (when available)

C. Activity-Specific Baseline Environmental Conditions 1. Population characteristics2. Geography3. Natural resources, e.g., nearby forest/protected areas, ground and surface water

resources4. Current land use and owner of land5. Proximity to public facilities, e.g. schools, hospitals, etc.6. Other relevant description of current environmental conditions in proximity to the

activity

D. Legal, Regulatory, and Permitting Requirements1. National environmental impact assessment requirements for this activity2. Applicable National or local permits for this activity, responsible party, and schedule

for obtaining them:

Permit Type Responsible party ScheduleZoningBuilding/ConstructionSource Material ExtractionWaste DisposalWastewaterStorm Water ManagementAir QualityWater UseHistorical or Cultural PreservationWetlands or Water bodiesThreatened or Endangered SpeciesOther

3. Additional National, European Union, or other international environmental laws, conventions, standards with which the activity might be required to complya. Air emission standardsb. Water discharge standardsc. Solid waste disposal or storage regulationsd. Hazardous waste storage and disposale. Historical or cultural preservationf. Other

E. Engineering Safety and Integrity (for Sections E. and F., provide a discussion for any of the listed issues that are yes answers and likely to have a bearing on this activity)1. Will the activity be required to adhere to formal engineering designs/plans?

Have these been or will they be developed by a qualified engineer? If yes, attach the plans to the ERC/EMMP.

2. Do designs/plans effectively and comprehensively address:a. Management of storm water runoff and its effects?

Mission / Project 2EE.BEU Standard Form: IEE.v3


b. Reuse, recycling, and disposal of construction debris and by-products?c. Energy efficiency and/or preference for renewable energy sources?d. Pollution prevention and cleaner production measures?e. Maximum reliance on green building or green land-use approaches?f. Emergency response planning?g. Mitigation or avoidance of occupational safety and health hazards?h. Environmental management of mobilization and de-mobilization?i. Capacity of the host country recipient organization to sustain the

environmental management aspects of the activity after closure and handover?

3. Are there known geological hazards, e.g., faults, landslides, or unstable soil structure, which could affect the activity? If so, how will the project ensure structural integrity?

4. Will the site require grading, trenching, or excavation? Will the activity generate borrow pits? If so, how will these be managed during implementation and closure?

5. Will the activity cause interference with the current drainage systems or conditions? Will it increase the risk of flooding?

6. Will the activity interfere with above- or below-ground utility transmission lines, e.g., communications, water, sewer, or natural gas?

7. Will the activity potentially interfere with vehicle or pedestrian traffic? 8. Does the activity increase the risk of fire, explosion, or hazardous chemical

releases?9. Does the activity require disposal or retrofitting of polychlorinated biphenyl-

containing equipment, e.g., transformers or florescent light ballasts?

F. Environment, Health, and Safety Consequences 1. Potential impacts to public health and well-being

a. Will the activity require temporary or permanent property land taking?b. Will activities require temporary or permanent human resettlement?c. Will area residents and/or workers be exposed to pesticides, fertilizer, or

other toxic substances, e.g., as a result of farming or manufacturing? If yes, then there should be an approved, current PERSUAP on file and discuss how it will be used in this situation. If so, how will the project:

i. Ensure that these chemicals do not contaminate ground or surface water?

ii. Ensure that workers use protective clothing and equipment to prevent exposure?

iii. Control releases of these substances to air, water, and land?iv. Restrict access to the site to reduce the potential for human exposure?

d. Will the activity generate pesticide, chemical, or industrial wastes? Could these wastes potentially contaminate soil, groundwater or surface water?

e. Will chemical containers be stored at the site? f. Does the activity remove asbestos-containing materials or use of building

materials that may contain asbestos, formaldehyde, or other toxic materials? Can the project certify that building materials are non-toxic? If so, how will these wastes be disposed of?



g. Will the activity generate other solid or hazardous wastes such as construction debris, dry or wet cell batteries, florescent tubes, aerosol cans, paint, solvents, etc.? If so, how will this waste be disposed of?

h. Will the activity generate nontoxic, nonhazardous solid wastes (subsequently requiring land resources for disposal)?

i. Will the activity pose the need to handle and dispose of medical wastes? If so, describe measures of ensuring occupational and public health and safety, both onsite and offsite.

j. Does the activity provide a new source of drinking water for a community? If so, how will the project monitor water quality in accordance with health standards?

k. Will the activity potentially disturb soil contaminated with toxic or hazardous materials?

l. Will activities, e.g., construction, refurbishment, demolition, or blasting, result in increased noise or light pollution, which could adversely affect the natural or human environment?

2. Atmospheric and air quality impactsa. Will the activity result in increased emission of air pollutants from a vent or

as fugitive releases, e.g., soot, sulfur dioxide, oxides of nitrogen, volatile organic compounds, methane.

b. Will the activity involve burning of wood or biomass? c. Will the activity install, operate, maintain, or decommission systems

containing ozone depleting substances, e.g., freon or other refrigerants?d. Will the activity generate an increase in carbon emissions?e. Will the activity increase odor and/or noise?

3. Water quality changes and impacts a. How far is the site located from the nearest river, stream, or lake?(Non-

yes/no question)b. Will the activity disturb wetland, lacustrine, or riparian areas?c. What is the depth to groundwater at the site? (Non-yes/no question)d. Will the activity result in increased ground or surface water extraction? If

so, what are the volumes? Permit requirements? (Non-yes/no question)e. Will the activity discharge domestic or industrial sewage to surface, ground

water, or publicly-owned treatment facility?f. Does the activity result in increased volumes of storm water run-off and/or

is there potential for discharges of potentially contaminated (including suspended solids) storm water?

g. Will the activity result in the runoff of pesticides, fertilizers, or toxic chemicals into surface water or groundwater?

h. Will the activity result in discharge of livestock wastes such as manure or blood into surface water?

i. Does the site require excavation, placing of fill, or substrate removal (e.g., gravel) from a river, stream or lake?

4. Land use changes and impactsa. Will the activity convert fallow land to agricultural land?b. Will the activity convert forest land to agricultural land?c. Will the activity convert agricultural land to commercial, industrial, or

residential uses?Mission / Project 4



d. Will the activity require onsite storage of liquid fuels or hazardous materials in bulk quantities?

e. Will the activity result in natural resource extraction, e.g., granite, limestone, coal, lignite, oil, or gas?

f. Will the activity alter the viewshed of area residents or others?5. Impacts to forestry, biodiversity, protected areas and endangered species

a. Is the site located adjacent to a protected area, national park, nature preserve, or wildlife refuge?

b. Is the site located in or near threatened or endangered (T&E) species habitat? Is there a plan for identifying T&E species during activity implementation? If T&E species are identified during implementation, is there a formal process for halting work, avoiding impacts, and notifying authorities?

c. Is the site located in a migratory bird flight or other animal migratory pathway?d. Will the activity involve harvesting of non-timber forest products, e.g., mushrooms,

medicinal and aromatic plants (MAPs), herbs, or woody debris?e. Will the activity involve tree removal or logging? If so, please describe.

6. Historic or cultural resourcesa. Are there cultural or historic sites located at or near the site? If so, what is the

distance from these? What is the plan for avoiding disturbance or notifying authorities?

b. Are there unique ethnic or traditional cultures or values present in the site? If so, what is the applicable preservation plan?

G. Further Analysis of Recommended Actions (Most activities will have a threshold determinations of negative determination with conditions.

1. Categorical Exclusion: The activity is not likely to have an effect on the natural or physical environment. No further environmental review is required.* (This is rarely used in the ERC/EMMP.)

2. Negative Determination with Conditions: The activity does not have potentially significant adverse environmental, health, or safety effects, but may contribute to minor impacts that can be eliminated or adequately minimized by appropriate mitigation measures. ERC/EMMPs shall be developed, approved by the Mission Environmental Officer (MEO) and the BEO prior to beginning the activity, incorporated into workplans, and then implemented. For activities related to the procurement, use, or training related to pesticides, a PERSUAP will be prepared for BEO approval, PERSUAPS are considered amendments to the IEE and usually Negative Determination with Conditions. See Sections H and I below.*

3. Positive Determination: The activity has potentially significant adverse environmental effects and requires further analysis of alternatives, solicitation of stakeholder input, and incorporation of environmental considerations into activity design. A Scoping Statement (SS) must be prepared and be submitted to the BEO for approval. Following BEO approval of the SS an Environmental Assessment (EA) will be conducted. The activity may not be implemented until the BEO clears the final EA. If the Parent IEE does not have Positive Determination as one of the threshold determinations, the IEE needs to be amended.

4. Activity Cancellation: The activity poses significant and unmitigable adverse environmental effects. Adequate ERC/EMMPs cannot be developed to eliminate these effects and alternatives are not feasible. The project is not recommended for funding.



*Note regarding applicability related to Pesticides (216.2(e): The exemptions of §216.2(b)(l) and the categorical exclusions of §216.2(c)(2) such as technical assistance, education, and training are not applicable to assistance for the procurement or use of pesticides.

H. EMMPs (Using the format provided below list the processes that comprise the activity, then for each, identify impacts requiring further consideration, and for each impact describe the mitigation and monitoring measures that will be implemented to avoid or adequately minimize the impacts. All environment, health, and safety impacts requiring further consideration, which were identified in Section F., should be addressed)

1. Activity-specific environmental mitigation plan (Upon request, the MEO may be able to provide your project with example EMMPs that are specific to your activity.)

Processes IdentifiedEnvironmenta

lImpacts

Do the Impacts Require Further Consideration?

Mitigation Measures

Monitoring Indicators

List all the processes that comprise the activity(s) (e.g. asbestos roof removal, installation of toilets, remove and replace flooring) A line should be included for each process.

A single process may have several potential impacts—provide a separate line for each.

For each impact, indicate Yes or No; if No, provide justification, e.g.,:(1) There are no applicable legal requirements including permits or reporting and(2) There is no relevant community concern and(3) Pollution prevention is not feasible or practical and(4) Does not pose a risk because of low severity, frequency, or duration

For each impact requiring further consideration, describe the mitigation measures that will avoid or adequately minimize the impact. (If mitigation measures are well-specified in the IEE, quote directly from IEE.)

Specify indicators to (1) determine if mitigation is in place and (2) successful.

For example, visual inspections for seepage around pit latrine; sedimentation at stream crossings, etc.)

2. Activity-specific monitoring planMonitoring Indicators Monitoring and

Reporting FrequencyResponsible

PartiesRecords

GeneratedSpecify indicators to (1) determine if mitigation is in place and (2) successful (for example, visual inspections

For example:“Monitor weekly, and report in quarterly reports. If XXX occurs,

Separate parties responsible for mitigation from

If appropriate, describe types of records generated by



Monitoring Indicators Monitoring and Reporting Frequency

ResponsibleParties

Records Generated

for seepage around pit latrine; sedimentation at stream crossings, etc.)(Taken from column 5 of the environmental mitigation plan above.)

immediately inform USAID COR/AOR.”

those responsible for reporting, whenever appropriate,

the mitigation, monitoring, and reporting process.



ERC/EMMP ANNEX 1Certification of No Adverse or Significant Effects on the Environment

I, the undersigned, certify that activity-specific baseline conditions and applicable environmental requirements have been properly assessed; environment, health, and safety impacts requiring further consideration have been comprehensively identified; and that adverse impacts will be effectively avoided or sufficiently minimized by proper implementation of the EMMP(s) in Section H. If new impacts requiring further consideration are identified or new mitigation measures are needed, I will be responsible for notifying the USAID COR/AOR, as soon as practicable. Upon completion of activities, I will submit a Record of Compliance with Activity-Specific EMMPs using the format provided in ERC Annex 2.

_________________________________________Implementer Project Director/COP Name

_____________________________Date

Approvals:

_________________________________________USAID COR/AOR Name

_______________________________Date

_________________________________________Mission Environmental Officer Name

_______________________________Date

Concurrence:

_________________________________________Mark Kamiya, Bureau Environmental Officer

_______________________________Date

Distribution: Project Files IEE Files



ERC/EMMP ANNEX 2RECORD OF COMPLIANCE WITH ACTIVITY-SPECIFIC

ENVIRONMENTAL MITIGATION AND MONITORING PLANS (EMMPs)

Subject: Site or Activity Name/Primary ProjectIEE DCN:To: COR/AOR/Activity Manager NameCopy: Mission Environmental Officer NameDate:

The [name of the implementing organization] has finalized its activities at the [site name] to [describe activities and processes that were undertaken]. This memorandum is to certify that our organization has met all conditions of the EMMPs for this activity. A summary and photo evidence of the how mitigation and monitoring requirements were met is provided below.

1. Mobilization and Site Preparation

2. Activity Implementation Phase

3. Site Closure Phase

4. Activity Handover

Sincerely,

_________________________________________

Implementer Project Director/COP Name

____________________________Date

Approved:

_____________________________________USAID/COR/AOR/Activity Manager Name

____________________________Date

Distribution: Project Files MEO Bureau Environmental Officer


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