RFA -72051723RFA00006- Oceans Plastics Solid Waste-Management program.pdf

Issue Date: August 4, 2023 Deadline for Question: August 14, 2023 Closing Date: September 18, 2023 Closing Time: 4:00 PM Eastern Standard Time

Subject: Request for Full Application (RFA) Number: 72051723RFA00006.

Program Title: Oceans Plastics - Solid Waste Management Program.

Federal Assistance Listing Number: 98.001- USAID Foreign Assistance Programs Overseas

The United States Agency for International Development (USAID) is seeking applications for a Cooperative Agreement from qualified entities to implement the Oceans Plastics - Solid Waste Management Activity. Eligibility for this RFA is not restricted.

USAID intends to make an award to an Applicant if it meets the objectives of this funding opportunity based on the merit review criteria described in this RFA subject to a risk assessment.

Parties interested in submitting applications are encouraged to read this RFA thoroughly to understand the type of program sought, application submission requirements, and the selection process. To be eligible for award, Applicants must provide all information as required in this RFA and meet eligibility standards in Section C of this RFA.

This funding opportunity is posted on www.grants.gov, and may be amended. It is the responsibility of the Applicant to regularly check the website to ensure they have the latest information pertaining to this RFA and to ensure that the RFA has been received from the internet in its entirety. USAID bears no responsibility for data errors resulting from transmission or conversion process. If you have difficulty registering on www.grants.gov or accessing the RFA, please contact the Grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

USAID may not award to an Applicant unless the Applicant has complied with all applicable unique entity identifier and System for Award Management (SAM) requirements detailed in Section D.6.g. The registration process may take many weeks to complete. Therefore, Applicants are encouraged to begin registration early in the process.

U.S. Agency for International Development Avenida República de Colombia #57, Altos de Arroyo Hondo Santo Domingo, D.N., Dominican Republic, 10605

Tel.: (809) 567-7775

RNC: 4-30-00171-6

http://www.usaid.gov/dr http://www.grants.gov http://www.grants.gov http://www.usaid.gov/where-we-work/latin-american-and-caribbean/dominican-republic

SBU-Sensitive but Unclassified

Please send any questions to the point(s) of contact identified in Section D. The deadline for questions is shown above. Responses to questions received prior to the deadline will be furnished through an amendment to this RFA.

Issuance of this RFA does not constitute an award commitment on the part of the Government nor does it commit the Government to pay for any costs incurred in preparation or submission of comments/suggestions of an application. An application is submitted at the risk of the Applicant.

All preparation and submission costs are at the Applicant’s expense.

Thank you for your interest in USAID programs.

Sincerely, Chadwick Mills Deputy Regional Agreement Officer (AO) Regional Office of Acquisition & Assistance (ROAA)

TABLE OF CONTENTS

SECTION A: PROGRAM DESCRIPTION 4

SECTION B: FEDERAL AWARD INFORMATION 33

SECTION C: ELIGIBILITY INFORMATION 35

SECTION D: APPLICATION AND SUBMISSION INFORMATION 36

SECTION E: APPLICATION REVIEW INFORMATION 48

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION 51

SECTION G: FEDERAL AWARDING AGENCY CONTACT(S) 55

SECTION H: OTHER INFORMATION 56

ANNEXES 57

ANNEX 1 - DETAILED & SUMMARY BUDGET TEMPLATE 57

ANNEX 2 - STANDARD PROVISIONS 58

ANNEX 3 - BRANDING STRATEGY & MARKING PLAN TEMPLATE 63

SECTION A: PROGRAM DESCRIPTION

ANTICIPATED ACTIVITY NAME: Oceans Plastics - Solid Waste Management Activity ANTICIPATED MECHANISM TYPE: Cooperative Agreement ANTICIPATED TOTAL BUDGET: $15 million ANTICIPATED TIMEFRAME: 5 years

I. JUSTIFICATION

Marine plastic pollution poses a serious threat to the health of all oceans and seas, with potentially dire consequences to climate, ecosystems, and livelihoods worldwide. An estimated 85 percent of all marine debris is plastic in one form or another . One of the regions that is most1 vulnerable to the ocean plastic problem is the Caribbean, as its economies depend on tourism and fisheries. Ocean plastics pollution exacerbates the challenges of climate change, threatening livelihoods, destroying ecosystems, and reducing the resilience of millions of people. Caribbean nations generate the largest volume of plastic per capita in the world , leaving more than 3202 metric tons (MT) of plastic uncollected in the Caribbean each year.

The Dominican Republic is amongst the largest and fastest growing economies of both Central America and the Caribbean. Despite having a more diversified economy in relation to the rest of the region, tourism represents 8.4 percent of the country’s economy, according to its central bank. The Ministry of Tourism of the DR claims the sector’s true impact is closer to 30 percent, once ancillary services are factored in. The DR significantly contributes to the plastic waste problem while also being impacted by plastic waste originating from other countries in the Caribbean Basin. It is estimated that 441,650 MT of plastic waste is generated annually in the DR, making it one of the highest plastic waste producers in the Caribbean region . Because of the low3 recovery rates for plastic, low public awareness of the environmental impacts of plastic waste, and extremely poor final disposal practices, up to 90 percent of plastic generated in the country could potentially enter water streams and ultimately, the ocean . The same applies to the4 estimated 46,700 MT of plastic waste that are generated annually in the four northern provinces of Monte Cristi, Dajabon, Puerto Plata, and Espaillat. Solid waste, including plastic waste, is projected to increase in the DR as populations, coastal cities, and tourism continue to grow.

The extent and rapidly increasing volume of plastic pollution are putting marine and coastal environments in jeopardy. Plastics are the most common, most harmful, and most persistent solid pollutants in marine environments. They cause severe health effects to a diversity of species, damage ecosystems, and disrupt critical biogeochemical cycles. Unless effective actions are taken, the volume of marine plastic waste is expected to triple by 2040 . In addition, human5

5 United Nations Environment Programme (2021). From Pollution to Solution: A global assessment of marine litter and plastic pollution. Nairobi.

4 Rapid Review of Plastic Pollution in the the Northern Coastal Areas of the Dominican Republic 3Rapid Review of Plastic Pollution in the the Northern Coastal Areas of the Dominican Republic 2 ACS- World Environment Day 2022 Opening words. (1000kg = 2,204 pounds = 1MT)

1United Nations Environment Programme (2021). From Pollution to Solution: A global assessment of marine litter and plastic pollution. Nairobi. From Pollution to Solution: A global assessment of marine litter and plastic pollution. (n.d.). UNEP - UN Environment Programme. Retrieved October 4, 2022, from https://www.unep.org/resources/pollution-solution-global-assessment-marine-litter-and-plastic-pollution https://www.bancentral.gov.do/a/d/5003-importancia-del-turismo-en-republica-dominicana#:~:text=La%20tendencia%20en%20la%20llegada,Producto%20Interno%20Bruto%20(PIB).

https://www.bancentral.gov.do/a/d/5003-importancia-del-turismo-en-republica-dominicana#:~:text=La%20tendencia%20en%20la%20llegada,Producto%20Interno%20Bruto%20(PIB).

https://research.usc.edu.au/esploro/outputs/report/From-Pollution-to-Solution-A-Global/99584903702621 https://research.usc.edu.au/esploro/outputs/report/From-Pollution-to-Solution-A-Global/99584903702621 https://drive.google.com/file/d/1tib2B1K9OEkujhmvYqeMhWVOvSBSHmA2/view?usp=sharing https://drive.google.com/file/d/1tib2B1K9OEkujhmvYqeMhWVOvSBSHmA2/view?usp=sharing http://www.acs-aec.org/index.php?q=disaster-risk-reduction/association-of-caribbean-states-disaster-risk-reduction-environment-and-cari#:~:text=Unfortunately%2C%20the%20Caribbean%20islands%20are,%2C%20Guyana%2C%20Barbados%2C%20St https://research.usc.edu.au/esploro/outputs/report/From-Pollution-to-Solution-A-Global/99584903702621 https://research.usc.edu.au/esploro/outputs/report/From-Pollution-to-Solution-A-Global/99584903702621 https://www.unep.org/resources/pollution-solution-global-assessment-marine-litter-and-plastic-pollution health hazards related to plastic waste are typically associated with the ingestion of contaminated seafood, the release of toxic chemicals, and the exposure to harmful pathogens transported in plastics. These environmental effects reduce ecosystems’ resilience to climate change.

The country has taken major steps to strengthen its solid waste management (SWM) practices including the passing of the SWM law in 2020. In response to these positive actions, USAID-DR has designed the USAID Addressing Ocean Plastics - Solid Waste Management Activity (referred to as the Activity) to tackle marine plastic pollution at the source and its consequences. The Activity will support components of the aforementioned law as it relates to the implementation of SWM practices at the national and municipal level in the Northern Coast regions of the DR in coordination with local governments and the private sector. This includes reducing waste at the source by supporting communities to adopt sustainable waste management practices, and working with the private sector to establish or strengthen recycling initiatives and circular economy models. These efforts are aligned with USAID’s Dominican Republic 2020-2025 Country Development Cooperation Strategy (CDCS) which is to promote a more secure and inclusively prosperous Dominican Republic that advances local and regional resilience.

I. PURPOSE

This Activity’s goal is to reduce waste in municipalities leading to cleaner oceans in the Dominican Republic. To achieve clean oceans, USAID will work on the Northern Coast of the Dominican Republic enabling communities and economies to thrive and to build resilience to climate and economic shocks.

The objectives of this activity are:

a. Best SWM practices are implemented in accordance with the 2020 SWM Law at the national and municipal level on the Northern Coast by building capacity and strengthening governance.

b. Communities, in coordination with local governments and the private sector, reduce waste at the source by adopting sustainable waste management practices.

c. Circular economy models for plastic that foster innovations and partnerships are established and expanded in collaboration with private sector partners.

II. DEVELOPMENT HYPOTHESIS

IF national and municipal actors in the Northern Coast have the capacities, funds, and tools to adopt and implement best SWM practices according to the 2020 SWM Law; and IF communities in coordination with local governments and the private sector, reduce waste at the source by adopting sustainable waste management practices; and IF private sector is committed to promoting circular economy models for plastic that foster innovations and partnerships;

THEN the amount of plastic waste entering inland water bodies, streets, and dumpsites will be reduced, leading to cleaner oceans along the Northern Coast of the Dominican Republic.

III. RESULTS FRAMEWORK

Figure 1. Results framework for the Activity, including purpose statement, goal, objectives, intermediate result (IR) and sub intermediate results.

Nearly 80% of marine debris originates from land . To effectively address the plastic pollution in6 our oceans, we must first tackle plastic pollution where it primarily originates, on land. This Activity focuses on three objectives over a five-year period in the provinces of Dajabon, Monte Cristi, Puerto Plata, and Espaillat, with potential positive spillover effects across other Northern Coastal provinces. Efforts will support the government (national and municipal), communities, and private sector to improve their solid waste management practices and help the Dominican Republic become a model for the Caribbean while protecting its natural heritage, and reducing greenhouse gas (GHG) emissions originating from the waste sector. Once achieved, the three objectives will improve waste segregation practices at source, increase material recovery through reuse and recycling, reduce waste disposal in the landfills and environment, ultimately leading to less plastic leakage in the ocean (See Figure 1).

Cross-cutting themes for this Activity include climate resilience, private sector engagement, innovation, gender equity, and social inclusion. Applicants are expected to explicitly highlight how these four cross-cutting themes will be addressed in their proposals.

6 Jambeck, J.R., Andrady, A., Geyer, R., Narayan, R., Perryman, M., Siegler, T., Wilcox, C., Lavender Law, K. , (2015). Plastic waste inputs from land into the ocean, Science, 347, p. 768-771;DOI: 10.1126/science.1260352 http://jambeck.engr.uga.edu/ http://www.sea.edu/academics/faculty_detail/dr_kara_lavender_law https://www.science.org/doi/10.1126/science.1260352 https://www.science.org/doi/10.1126/science.1260352 https://doi.org/10.1126/science.1260352

Objective 1: Best SWM practices are implemented in accordance with the 2020 SWM Law at the national and municipal level on the Northern Coast by building capacity and strengthening governance

In 2020, the Dominican Republic passed a new national SWM Law (Law 225-20), providing the foundation to advance the implementation of sustainable solid waste management practices across the country and setting the stage for a critical shift towards a more efficient municipal waste management system. To support the implementation of Law 225-20, this objective will work to strengthen capacities and governance at the national and municipal level.

Given that the law is relatively new, many aspects of it, including the development and socialization of multiple assessments, plans, and protocols, need to be completed in order to advance its implementation. Additionally, while national and local authorities have taken important steps to begin remediating open and informal dump sites, the roles and responsibilities among different stakeholders are not clear. For example, many dumpsites along the Northern Coast (e.g. Nagua Municipal Dump, Vergua Municipal Dump, and Sosua Municipal Dump) still need technical assistance to be permanently closed, remediated, and/or relocated.

USAID has been supporting Samana Province under its Clean Cities Blue Oceans (CCBO) program over the last 3 years remediating two informal dumps in Las Terrenas and Samana city. The Activity will aim to build on existing best practices from USAIDs experience and other programs fostering coordination among actors, including the Ministry of Environment, the newly established SWM fideicomiso (a private public trust fund specifically created to manage final destination dumps and logistics), and municipalities. The fideicomiso is expected to solve 40% of the solid waste problem nationwide. Enhancing clarity on roles and responsibilities of each actor will be essential to achieve sustainability and ownership of the new dumpsite management system under the 2020 SWM Law.

At the national level, Objective 1 aims to support the central government, particularly the Ministry of the Environment and Natural Resources, in proposing, developing, and adopting SWM policy instruments to guide implementation of best practices at the municipal level (i.e., IR-1). For this, the Activity will support organizations to clearly identify institutional and technical needs and to articulate roles and responsibilities between the Ministry of the Environment and Natural Resources and other ministries and agencies. By filling these needs, the Activity will strengthen the technical capacity of the Ministry of Environment and Natural Resource’s SWM division to implement the 2020 SWM Law (i.e., sub-IR 1.2).

At the municipal level, the Activity will support the logistical, technical, and financial challenges of developing and implementing comprehensive municipal SWM Plans required by the new SWM Law. Until recently, and despite numerous efforts from the government to adopt best management practices related to solid waste, municipalities were in charge of managing dumpsites and providing collection routes through public-private partnerships. This responsibility coupled with the lack of technical capacities, organizational deficiencies, limited financial and human resources, inadequate waste collection fleets and routes (with poor access to marginalized neighborhoods), limited understanding of the amount of waste produced per municipality, and inadequate access to waste collection points, has overwhelmed municipalities.

Under the new law, the national government is accelerating the closure of most municipal https://presidencia.gob.do/noticias/gobierno-lanza-el-fideicomiso-publico-privado-de-gestion-integral-de-residuos#:~:text=El%20gobernante%20inform%C3%B3%20que%20a,de%2013%2C290%20millones%20de%20pesos.

dumpsites, turning them into transfer stations which, in turn, will be supplying regional landfills.

Under this new scheme, municipalities will only be responsible for waste collection and transportation to the transfer station, while the fideicomiso will be managing the transfer stations and regional landfills through public private contracts. This scheme can be an opportunity for municipal authorities to achieve some financial savings, enabling the retention of some of the resources that would otherwise be used on dumpsite property lease or its operational management. However, it also poses a challenge to local authorities, which must rearrange their operational and financial SWM planning in order to successfully adapt to the new model, while improving collection services and expanding to remote areas within their jurisdiction. Objective 1 aims to build the technical and financial planning capacities of the selected municipalities to carry out SWM plans (i.e., sub-IR 2.1) and develop- implement comprehensive and sustainable municipal SWM plans (i.e., sub-IR 2.2). By the end of the Activity, selected municipalities will be implementing SWM best practices (i.e., IR 2) having the appropriate skills, knowledge, and planning instruments in place (Figure 1). In addition, the Activity will be providing targeted technical assistance and building capacity of the fideicomiso to strengthen the linkage with municipalities and other organizations with vested interest in the implementation of the 2020 SWM Law, such as La Liga Municipal to ensure sustainability of the interventions.

Once the Activity starts the capacity needs of the Municipalities and linkage to the fideicomiso must be reassessed. Capacity assessments, inclusion of best practices from other programs and study tours are encouraged.

Improved solid waste management can also have important climate change mitigation co-benefits. It is estimated that emissions from landfills, mainly methane and carbon dioxide, represent 5 percent of the total global GHG emission and 12 percent of the world’s emissions of methane . Additionally, waste separation and organic waste diversion are approved approaches7 for decreasing methane emissions in the waste sector and decreasing waste disposed of in the landfills. Appropriate data collection and analysis in the DR is needed to better gauge GHG emissions related to dumpsites and SWM, as well as potential emissions reduction achievable through source reduction, waste separation and recycling, zero-waste communities and overall emissions resulting from SWM.

As part of Objective I, the Activity will identify methods and processes for collecting and reporting information on GHG emissions related to dumpsites mitigation, closure, and operation activities (i.e., sub-IR 3.3). Once appropriate guidelines, tools, and methods are established in close coordination with government authorities and local experts, high quality SWM climate change data will be collected at selected municipalities as a pilot (i.e., sub-IR 3.2). SWM climate change data from pilots at the municipal level will record measurements, and incorporate them into national initiatives such as the DR Climate Change Observatory (i.e., sub-IR 3.3). Having a more comprehensive understanding of the potential GHG emissions reductions from sustainable solid waste management at the municipal level will support waste-related decision making for

7 Stocker, T. IPCC, 2013: Technical Summary. In Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change; IPCC: Geneva, Switzerland, 2013; pp.

159–254 reduction, sequestration and avoidance of GHG emissions (i.e., IR 3). These decisions will contribute to the country’s UNFCCC Nationally Determined Contribution (NDC) targets.

The priority provinces for this objective at the municipal level are Dajabon and Monte Cristi.

However, cost-effective solutions in other provinces of the Northern Coast will also be considered if viable. For example, these can include any of the following: technical assistance to develop dumpsite relocation plans for the Veragua municipal dump at la Cuchara (Puerto Plata), assisting the tourism cluster of Puerto Plata with the completion of their municipal Solid Waste Risk Management Plan, and/or assisting local grassroots NGOs (like Heroes del Medio Ambiente, Cabarete Sostenible, or Oceano Limpio) with Zero Waste Initiatives in Cabarete, Sosua, and Puerto Plata. In addition, through the technical support to La Liga Municipal the best practices implemented in the focus provinces have the potential to be spread across the broader northern region.

Objective 2: Communities, in coordination with local governments and the private sector, reduce waste at the source by adopting sustainable waste management practices

One of the primary outcomes of this Activity is to reduce the volume of plastic pollution in the inland water bodies and streets of the Northern Coast by working with communities to reduce their plastic consumption and improve their waste sorting and disposal practices. Implementing the 3Rs (reduce, reuse and recycle) on the Northern Coast will reduce improper plastic disposal.

In order to achieve this, behavioral change and increased awareness on best waste management practices at households is essential. It is well known that Dominican households have a strong attachment to the use of plastic, especially plastic bags. This cultural norm, in addition to the lack of plastic alternatives, lack of incentives (or disincentives) paired with limited programs that promote and accompany households while implementing the 3Rs, leads to a large consumption of plastics followed by inappropriate sorting and disposal practices at the household level.

Objective 2 aims to achieve zero-waste communities where households improve responsible8 consumption and adoption of appropriate waste segregation and disposal practices (i.e., IR 4). To achieve this, the Activity should leverage partnerships with both public and private stakeholders in order to establish incentive (or disincentive) programs that encourage communities to adopt sustainable SWM practices (i.e., IR 4.1). Illustrative activities may include: supporting local businesses and communities to create collection centers for recyclables, placing trash bins and aggregation points in convenient locations, providing basic training on waste segregation, promoting scale appropriate organic waste processing technologies (e.g anaerobic digestion, composting, gasification, etc), conducting formative research on communities’ behavior towards waste and plastic, organizing public awareness campaigns to facilitate compliance and community buy in to implemented SWM programs and systems, or conduct a waste reduction competition between municipalities. Study tours to countries with proven working and successful community driven SWM models may also be utilized.

8 The Global Alliance for Incinerator Alternatives (GAIA), a USAID grantee and leader in the approach, defines “zero waste” as “significantly reducing — and eventually completely eliminating—the amount of resources that we send to disposal. The zero-waste model, as outlined by GAIA, has ten components: source separation, door-to-door collection, composting, recycling, reuse/repair/deconstruction, waste reduction initiatives, economic incentives, residual separation and research facilities, better industrial design, and interim landfills.

Informal waste pickers are essential community actors in waste recycling in the Dominican Republic, locally known as “buzos”. Currently, the Dominican Republic has over 10,000 registered Buzos, 60 percent of which are undocumented migrants from Haiti. Buzos can play a major role in achieving high recycling rates by collecting and selling recyclables. However, being a Buzo in the DR is considered a dangerous, socially marginalized activity. Most waste pickers have limited access to dumpsites or other sources of valuable materials which, coupled with inadequate equipment and sorting facilities, leads to very low recovery rates for valuable materials.

In order to achieve higher levels of efficiency in recovery and recycling, it is critical to streamline the flow of valuable materials from the point of discard to the potential collector or buyer. As informal dumpsites are phased out and closed under SW LAW 225-20, Buzos will likely lose access to the dumpsites as their main source of recyclable materials, making it even more critical to facilitate and expand new alternatives to better collect recyclable waste at the source. Under Objective 2, the Activity aims to establish and/or strengthen sourcing agreements between waste producers, buzos, communities, and recycling collection centers (i.e., IR 5). These collection centers (or “centros de acopio”) might include local hotels, small businesses, schools, or other community gathering places (like small local shops or “colmados”, where community members can bring their recyclables). Community members could also leave sorted plastic waste at their curb and allow for piloting doorstep recyclables collection programs in collaboration with waste collectors organizations. To achieve this, interventions under this objective will also support the formal or informal organization of waste pickers so they are better able to coordinate and respond to potential arrangements with collection centers and small business opportunities (i.e., sub-IR 5.1). Since Buzos are often members of marginalized groups and communities, Objective 2 will strongly emphasize social inclusion by conducting appropriate local needs assessments and adapted community engagement plans where possible that take into account the social context of waste pickers. After the award is made, a Gender Empowerment and Social Inclusion analysis are expected to be conducted to understand different gender and social dimensions across communities, including buzos.

Objective 3: Circular economy models are established and expanded in collaboration with private sector partners

The private sector plays a critical role in the reduction, reuse, and recycling of waste, particularly plastic waste. The new SWM Law establishes a series of parameters by which private companies will be responsible for the financing of the operations destined to handle the waste they produce through a mandatory Extended Producer Responsibility (EPR) mechanism for several waste classes, including plastic. Under the law, producers, importers, and marketers of these products will be responsible for proper post-industrial and post-consumer SWM upon completion of a National EPR Plan for each type of covered waste by the Ministry of Environment through a multi-stakeholder consultation process.

Under this Objective, the Activity will aim to enhance the Ministry of the Environment capacity and other national actors responsible for establishment of mandatory EPR for plastic by bringing the voices of different stakeholders, supporting the consultation process for and implementation of national EPR Plan for plastic waste which support an integrated SWM system.

In addition, the SWM Law seeks to stimulate investments in green technologies, innovative product design, and use of biodegradable materials. In the DR, there are private sector actors that are already taking steps to support circular economy practices and paving the way towards the implementation of the new SWM requirements. For example, one of the largest industry associations in the country recently established a public private partnership to create a culture to reduce, reuse and recycle called NUVI. In 2022, NUVI announced its goal to collect and recycle 90 million pounds of plastic bottles in the next 5 years. NUVI is also considering the expansion of their operations to new provinces on the Northern Coast. Examples in the tourism sector include Iberostar, a hotel chain that has recently established water purification systems in order to reduce plastic bottles in their resorts. The Puerto Plata tourism cluster has also started developing a SWM plan, which will be implemented in 2023. However, despite great initial efforts, further expansion of current initiatives and greater participation from the private sector is required as companies learn how to navigate the technical, cultural, and financial challenges that establishing circular economy models poses.

Under Objective 3, the Activity will support the private sector in implementing circular economy and waste reduction models, establishing new initiatives, or supporting the expansion of successful programs to the Northern Coast provinces (i.e., IR 6). Interventions could leverage and expand initiatives like NUVI to the Northern Coast or seek to introduce new models of circular economy and zero-waste management. These could include the introduction of single use plastics alternatives in hotels or supermarket chains, the piloting of new biodegradable materials for packaging, the establishment of collective sorting and disposal initiatives, supporting EPR initiatives, etc. To support the implementation of circular economy models, the Activity will leverage partnerships with public and private sector stakeholders in the Northern Coast. These partnerships might yield results such as: donation of funds or equipment to support local SWM initiatives, collaborative agreements in order to establish shared collection facilities, or technical support.

In alignment with USAID’s Private Sector Engagement Policy, the Activity will embrace market-based approaches, as well as the resources and expertise the private sector offers to address development issues and propose solutions to address solid waste challenges in the area.

Past experience has shown that working with the private sector can produce better, cost-effective, and sustainable outcomes. Potential engagements may include efforts to support behavioral change, circular economy development, sustainable business practices, enhanced access to sustained markets and green jobs creation.

IV. GEOGRAPHIC AND POPULATION TARGETING

This Activity will be implemented in the Northern Coast of the Dominican Republic, in the provinces of Dajabon, Monte Cristi, Puerto Plata, and Espaillat (Figure 2). The provinces of Dajabon, Monte Cristi, and Puerto Plata are considered priority provinces, meaning the objectives 1, 2 and 3 will be implemented as described in Table 1. Espaillat (specifically municipalities of Veragua, Rio San Juan, Jamao) is considered optional and activities under Objectives 1, 2 and 3 will be implemented if opportunities are identified.

https://nuvi.do/ https://www.usaid.gov/policy/private-sector-engagement

Figure 2. Geographic scope of the Activity in the northern provinces of Dajabon, Monte Cristi, Puerto Plata, and Espaillat.

More specifically, Objective 1 and 2 must be implemented in Monte Cristi and Dajabon border provinces. Objective 1 also has a national component. These objectives aim to improve SMW and promote zero-waste initiatives at the municipal and community levels. These provinces are critical for the USAID/DR Mission, and are consistent with its 2020-2025 CDCS and its Border Resilience Project. The provinces also align well with the DR government priorities sites for SWM interventions.

If feasible, Objectives 1 and 2 can also be implemented in Espaillat and Puerto Plata to support Municipal SWM and community-based solutions including technical assistance to locate and support the establishment of adequate dumpsites and/or collection centers. Under Objective 3, the applicant is expected to explore opportunities and must engage with the private sector in Monte Cristi, Dajabon, and Puerto Plata to achieve results.

Dajabon 1 Monte Cristi1

Puerto Plata1

National level1 , 2

Espaillat (Veragua, Rio San Juan, Jamao)2

Objective 1 - National and Municipal level work

Yes Yes Yes If opportunity identified

Objective 2 - Community-based work

Yes Yes If opportunity identified

Not applicable

If opportunity identified

Objective 3 - Private sector work

Yes Yes Yes Yes If opportunity identified

1 These are priority provinces or geographies where USAID expects and requires objectives to be implemented.

2 Optional provinces or geographies, where the applicant could identify opportunities and propose complementary activities with a high return on investment and/or impact.

Monte Cristi

Monte Cristi is a province located in the north west end of the Dominican Republic, on the border with Haiti, with 118,000 inhabitants. Historically, it is known for its agriculture production, namely banana, aloe vera, and rice, as well as smaller animal husbandry activities and fisheries.

Monte Cristi is poised for rapid development and growth given the recent investments in the Port of Manzanillo in Pepillo Salcedo - located in the Monte Cristi province (See figure 3- Monte Cristi). The Port of Manzanillo is projected to become one of the main distribution hubs in the Caribbean for exports, binational businesses, and international trade by 2030 . In addition, the9 province and its community members are committed to becoming the first plastic-free province in the country.

Despite its relatively low generation of waste (113 T/ day - 41,014 T/ year), Monte10

Cristi Bay receives large volumes of waste that are ultimately discharged into the Atlantic Ocean. Most of this waste originates in larger communities that are located upstream (Jarabacoa, Mao and Santiago de los Caballeros) along the Yaque del Norte River, one of the three largest rivers in the country.

The province is also high in biodiversity, with a total of 10 protected areas that cover 30 percent of the province’s territory. These include: Manglares de Estero Balsa National Park (one of the most important mangrove systems on the island), El Morro National Park, Monte Cristi Underwater National Park (which protects one of the longest uninterrupted and healthiest barrier reefs in the country), and a series of wildlife refuges.

The Activity envisions implementing all three objectives in Monte Cristi as it represents the most important gateway for solid waste to reach the Atlantic Ocean in the Dominican Republic. Monte Cristi’s unique ecosystems are also highly threatened by these same sources of contamination.

10 Ibid 9 Northern Hispaniola assessment conducted for USAID - Dominican Republic (see annex 1), The fact that Monte Cristi manages lower levels of solid waste, compared to the surrounding provinces, offers a more controlled setting (smaller population, fewer localized sources of pollution, etc.) and could yield a greater impact given the amount of funds available for this intervention. A successful intervention in Monte Cristi could trigger a chain reaction of behavior change for other related locations. The Activity is expected to leverage related USAID and other donor and government activities that are active upstream where change in SWM management is crucial.

Dajabón

The Dajabon province is located in the north west of the DR and is separated from Haiti by the Massacre River (also known as the Dajabon River). Dajabon has an estimated population of 40,000 inhabitants , and a very dynamic binational market, where at least 2,600 Dominican and11

Haitian merchants formally trade goods each day—with an additional 15,000 to 25,000 transient traders around the periphery of the market. In Dajabón, a city official reported that the estimated daily solid waste generation is 32 MT/day for the whole city, with the border market producing roughly 12 MT/ day when it is open. This provides the basis for an average estimate of 35.5MT/day ( 12,957.5/ year ), which often reaches the Atlantic ocean through drains and rivers12 including the Massacre river that crosses the market. Most of the waste generated, including plastic, from Dajabon and its market, empties into the Manzanillo Bay on the DR-Haiti northern border. This waste affects marine protected areas in both countries such as Three Bays National Marine Park on the Haitien side and the Monte Cristi Underwater Sub-marine National Park on the DR side, along with the Los Siete Hermanos wildlife refuges islets.

All three objectives must be implemented in Dajabon. Opportunities in this province include support to the already established new controlled sanitary landfill (La Patilla), intended to be a regional site for solid waste.

This new landfill includes composting and recycling facilities, storage space for recyclable materials, and a disposal area in trenches for non-recoverable waste. The infrastructure still requires some additional equipment as well as the final authorization to operate from the Ministry of Environment, but once operational it will provide the Dajabón province with substantially improved end disposal and waste recycling capacity. According to the municipality, more land is available in the vicinity, which presents the opportunity for extension and sharing of the infrastructure with other neighboring municipalities, as stipulated in the SWM Law 225-20.13

13 USAID HAITI - DOMINICAN REPUBLIC SOLID WASTE MANAGEMENT ANALYSIS BRIEF - JUNE 2021- Annex 2 12 USAID HAITI - DOMINICAN REPUBLIC SOLID WASTE MANAGEMENT ANALYSIS BRIEF - JUNE 2021- Annex 2 11 USAID HAITI - DOMINICAN REPUBLIC SOLID WASTE MANAGEMENT ANALYSIS BRIEF - JUNE 2021- Annex 2

Dajabón will collect and process waste produced within its province and the province of Monte Cristi. At the provincial level, the fideicomiso expects to manage volumes of 142 Tons per day from Montecristi and 80 Tons per day in Dabajon respectively.

In addition to the new dumpsite, the following factors identified in the Dajabón area also create potential SWM investment opportunities .14

● Strong collective capacity to pay for SWM services. The high concentration of economic activity in the large border markets provides the collective capacity and purchasing power to support sustainable SWM service provision (i.e. Objective 1 and 2).

● Economic incentives and the SWM Law in the Dominican Republic create investment opportunities in the border area. A 2001 law enabled the establishment of a special development zone in Dajabón province and created fiscal exemptions for several types of projects and companies promoting local development inclusive of SWM initiatives. The country’s recent SWM Law also includes several requirements that provide a framework for SWM improvement (i.e. Objective 3).

● Existing infrastructure and private sector investment in plastic recycling plants and PET plastics collection for export to countries like Honduras, Guatemala, and El Salvador (i.e., Objective 3).

Puerto Plata

Puerto Plata is located on the Northern Coast of the DR. This province and its capital, Puerto Plata city, is the largest populated center (160,000 inhabitants ) on the Northern Coast of the15

DR. This area also generates the most solid waste in the northern region of the country (314 MT/day or 114,879 MT/ year) . This province depends primarily on the tourism sector.16

16 Ibid 15 Ibid 14 USAID HAITI - DOMINICAN REPUBLIC SOLID WASTE MANAGEMENT ANALYSIS BRIEF - JUNE 2021- Annex 2

In addition to the hotels and restaurants that characterize the area there are also two ports in Puerto Plata Bay, one that receives commercial ships (Municipal Port of Puerto Plata) and one that receives cruise ships (Taino Bay Port).

Maimon (a town in Puerto Plata) also has a cruise ship terminal at Amber Cove which hosts two cruise ships daily and sometimes up to three. There is a regional landfill (at the old landfill site), currently under construction, across from the Amber Cove Port’s main entrance.

Before remediation, toxic fumes from burning waste in this open dump site impacted the health of local populations and the cruise ship businesses at the Amber Cove and Taino Bay. Given the strong presence and high stakes of international and national tourism stakeholders in the area, the province of Puerto Plata is identified as an important location to implement and leverage work with the private sector in reducing plastic waste (i.e. Objective 3).

Monte Christi and Puerto Plata have well developed tourism. While the tourism in Monte Cristi is more of a nature-based, small scale endeavor, the Puerto Plata’s tourism is of a more complex nature given its larger size and more traditional nature. Further, both Monte Cristi and Puerto Plata have strong active tourism clusters that have been strengthened by USAID programming17 in the past (2003-2007 and 2008-2011). The existence of the tourism clusters facilitates collaboration and the sharing of best practices between the provinces. The Activity can build on the previous USAID work with the tourism clusters and facilitate knowledge and experience transfer from private sector successes in the tourism sector between the two provinces.

Municipalities within Espaillat

Veragua (37,378 inhabitants), Rio San Juan (16,998 inhabitants), and Jamao al Norte (42,953) are smaller towns within the Espaillat province with a relatively smaller generation and accumulation of waste (19,100 MT per year, 81,124 MT per year and 2,568 MT per year respectively) . Given18 the relatively small generation and accumulation of waste and the competing interests for limited resources for SWM in the country, these cities are not an immediate priority in terms of addressing SWM.

18 2012 partial census and other 2010 complete census from ONE

17 A cluster is a geographical concentration of enterprises, institutions and universities that share an interest in a particular economic and strategic sector ( in this case tourism is the particular sector).These associations generate a collaboration that allows members to address joint projects of all kinds, from outreach and promotion of the sector or creating shared capacities (model based on the theory of Michael Porter, 2000).

However, the Activity aims to support community based solutions where feasible (i.e., Objective

2) as well as to provide technical assistance to locate and support the acquisition of adequate sites or enable the municipality to i) create collection centers and/or

ii) create a final destination site for disposing of solid waste (i.e.

Objective 1). For example, the Veragua dumpsite at La Cuchara is located in an area of fragile mangroves with waterways that empty directly into the ocean.

The Veragua dumpsite needs better planning and investment in order to upgrade and/or relocate it to more sustainable and environmentally safe areas. While the availability of land for dumpsite relocation is a complex issue in these locations, finding a suitable location for easier management and oversight could be propelled by the Activity under Objective 1.

V. RISKS AND ASSUMPTIONS

PROGRAM RISKS

A. Risks (Objectives 1 and 2): Target population is not ready to adopt new practices and technologies.

a. Potential Impact: Target population refuses or lacks interest in reducing waste at the source by adopting sustainable waste management practices (or zero waste practices).

i. Mitigation Measure: (i) Identify community leaders in the area to model the behavior or new practice; (ii) Highlight community leaders to cities that have clean communities; (iii) Target youth and women head of households as agents of change to model the new behavior; and (iii) Develop a behavior change strategy based on people’s perceived barriers or drivers for the adoption of the new practices.

ii. Mitigation Measure: Recognizing that the proposed intervention may not be appropriate for all geographic locations, the applicant must consult with beneficiaries and other stakeholders to assess the most appropriate solution within the operating context.

b. Potential Impact: Communities do not recognize that they should assume responsibility for their problems or contribute to addressing their development challenges, and prefer to rely on the government. Further communities are not aware of alternatives that they can implement to complement government initiatives.

i. Mitigation Measure: (i) “Locally-led” solutions are generated by the communities to motivate ownership; (ii) Develop activities in a way that encourages cost-share by the communities/beneficiaries (in money or in kind) to procure bins, signage, other related equipment, thereby securing commitment and sustainable adoption of best practices.

B. Risk (Objective 3): Decreased interest and investment from the private sector in recycling, circular economy approaches including EPR schemes, reusing, management waste initiatives due to market fluctuations, or low cost benefits opportunities.

a. Potential Impact: Lack of demand for recycling, EPR, reusing, management waste initiatives

i. Mitigation Measure: Shift programmatic focus initially towards the public sector to create an enabling environment that incentivizes the private sector’s interest.

ii. Mitigation Measure: Include the private sector at the onset of program implementation to understand their challenges and business models, and gain their buy in.

C. Risks (Objectives 1 and 3): Lack of interest from local authorities to act upon or involved in SWM efforts. Additional risks include potential high staff turnover and duplication of efforts that occur in most governments which can result in delays or periods of inactivity.

i. Mitigation Measure: Foster dialogue with government organizations and the private sector to ensure strong initial buy-in.

ii. Mitigation Measure: MOUs at higher governing levels provide understanding with governments for the lifetime of the Activity and beyond.

iii. Mitigation Measure: Promote the integration of climate information from solid waste management services and SWM governance tools, approaches, and methodologies as best practices in protocols, plans, and regulatory frameworks to ensure standardization and potential scaleup.

CONTEXT RISKS

A. Risks (Objectives 1, 2, and 3): Political instability, crime, and violence (individual and gang related activity) in Haiti and binational conflict over resources may disrupt Activity achievements.

a. Potential Impact: Haitian internal political conflict, gangs and/or binational border conflicts can affect targeted border areas thereby delaying/halting program implementation.

i. Mitigation Measure: Continuous dialogue with government organizations and the private sector to ensure strong buy-in.

ii. Mitigation Measure: Leveraging existing coordination platforms, such as the round tables of the DR-Haiti Mixed Bilateral Commission, and developing MOUs that outline a shared vision and development agenda to ensure there is a common understanding between governments and stakeholders at a transboundary level.

iii. Mitigation Measure: Understanding of political culture and decision-makers upfront. Leveraging these connections to minimize impact.

iv. Mitigation Measure: Collaborate with other USAID/U.S. government (USG) agencies that are experts in rule of law, addressing political instability and implementing community violence prevention measures.

B. Risks and Assumptions (Objectives 1, 2, and 3 ): Operational challenges due to climate change (extended periods of drought, floods, hurricanes, natural disasters, etc.

potentially resulting in humanitarian crises).

a. Potential Impact: Program implementation delays.

i. Mitigation Measure: Ensure early understanding of climate risks and embed mitigation measures into the implementation plan of the Activity.

ii. Mitigation Measure: Focus on building the enabling environment for the medium and long term.

b. Potential Impact: Divergence in goals or need to pivot due to changes in immediate needs and/or priorities.

i. Mitigation Measure: Adaptively manage change and impact at the ground level by developing mechanisms for regular check-in or feedback to ensure that the Activity meets beneficiary needs.

ii. Mitigation Measure: Ensure detailed Collaboration, Learning, and Adapting (CLA) strategy is in place to mitigate changes as they come along.

iii. Mitigation Measure: Establish a project management charter which defines internal roles and responsibilities at the local and regional level, and external stakeholder engagement.

VI. ADAPTIVE MANAGEMENT

Refine and Implement The USAID/DR Mission will work closely with the Award Recipient during the post-award co-creation model known as Refine and Implement (R&I) which is intended to improve the activity design, appropriateness for context, and implementation planning. During initial refinement, the new awardee may carry out a number of interventions including traditional start-up tasks and additional activities, such as: conducting additional assessments to address knowledge gaps; community and other stakeholder engagement through participatory or system-driven approaches for strengthened local partnerships, capacity development, and…