RFI_No._72052718RFI00001_-_Combating_Environmental_Crimes.pdf

U.S. Agency for International Development

USAID/Peru, Regional Office of Acquisition & Assistance (ROAA) La Encalada Avenue, cuadra 17

Monterrico – Surco Lima 33, Peru

REQUEST FOR INFORMATION

Date: July 5, 2018

Subject: Request for Information No. 72052718RFI00001

Title: Draft Statement of Objectives: Combating Environmental Crimes in the Peruvian Amazon (CEC) Activity

The United States Government, represented by the U.S. Agency for International Development (USAID) Peru, is seeking comments on the attached draft Statement of Objectives (SOO) for the Combating Environmental Crimes in the Peruvian Amazon (CEC) Activity. These comments will assist USAID in finalizing this SOO.

USAID requests comments related to the following questions:

1. Are the proposed performance objectives achievable and aligned with appropriate measures?

2. Do you perceive any other operating constraints?

3. Based on the constraints and opportunities in Peru, will the proposed services and resources achieve the performance objectives?

4. How can USAID promote innovation/creative approaches to maximize technical, institutional and financial resources in implementing the activity?

5. How can USAID engage with civil society and private sector to support the objectives of this activity?

6. Peruvian government agencies and civil society are using multiple forest monitoring tools and data management platforms. How can the interoperability of these tools be improved to strengthen early warning systems and support prosecution efforts?

As you provide your comments and input to this SOO, please be mindful of the purpose, extent and content of a SOO and the differences between this procurement method and other traditional methods such as the SOW. Responses are limited to a maximum of 5 pages (single space, Times New Roman 12 pt).

Responses to this Request for Information are not binding to the U.S. Government and do not obligate USAID to issue a Request for a Proposal, nor does it commit USAID to pay any costs incurred in the preparation and submission of comments.

SBU - PROCUREMENT SENSITIVE - SBU

Combating Environmental Crimes in the Peruvian Amazon Activity Statement of Objectives (SOO)

(July 5, 2018 version)

Combating Environmental Crimes Activity At A Glance

I. Purpose: Reduce threats to biodiversity in the Peruvian Amazon by strengthening Peru’s ability to effectively address environmental crimes.

II. Scope:

This Activity will contribute to the following sub-purposes of USAID/Peru’s Amazonia Verde Project: 1) Strengthen forest sector governance, and 2) Reduce the negative impacts of extractive industries. It will also contribute to the Project’s cross-cutting efforts to secure the rights and resources of indigenous peoples and increasing the generation, use, and dissemination of science-based information.

The Combating Environmental Crime (CEC) Activity should work closely with entities such as the Government of Peru’s (GOP) Judicial Branch, the Prosecution Office (Public Ministry), the Ministry of Justice and Human Rights, Peru’s National Parks Service (SERNANP)1, and other relevant administrative agencies, as proposed by the Offeror and approved by USAID. USAID expects that all Offerors will propose activities that comply with Section 660 of the Foreign Assistance Act of 1961, as amended (22 U.S.C. 2420)2. The Activity will also promote synergies with and cooperation from other key GOP agencies for enhancing the effectiveness and efficiency of Peru’s environmental law enforcement system.

Technical assistance, to both Indigenous Organizations3 (IO) and national and sub-national government entities, shall consider differences in age, gender, and cultures and make special efforts to build capacity and provide benefits to all groups. This includes identifying opportunities to integrate traditional knowledge into activities.

The Offeror must coordinate, where relevant, with other activities supported by the U.S.

Government (USG) in Peru, the GOP, and other donors; and shall seek opportunities for collaboration with academic institutions, private sector, and civil society to reduce threats to targeted biodiversity in the Peruvian Amazon.

This Activity will be implemented primarily with funds earmarked by the U.S. Congress for “Biodiversity Conservation”. Any activities used with such funds must align with USAID’s Biodiversity Policy and Biodiversity Code.4 The Activity will build upon USAID investments and coordinate with other USG agencies and donors to ensure alignment.

1 Servicio Nacional de Areas Naturales Protegidas.

2 This section generally prohibits USAID assistance to law enforcement entities. Some exceptions may apply for activities that further environmental protection, so please consult with USAID if questions arise.

3 Indigenous Organizations (IO) might be local federations, associations or other type of formal aggrupation.

4 Requirements of USAID’s Biodiversity Programs: https://www.usaid.gov/biodiversity/impact/requirements https://www.usaid.gov/biodiversity/impact/requirements

III. Period and Place of Performance: A five-year contract to be implemented in Peru.

IV. Background The Peruvian Amazon is expansive and contains large swaths of isolated territories with limited state presence and an abundance of valuable resources. This provides the perfect conditions for illicit activity including illegal logging and illegal Artisanal and Small Gold Mining (ASGM).

The Global Initiative against Transnational Organized Crime reports that 28% of all gold exported from Peru is illegally mined, mostly from alluvial deposits in the Amazon. Further, according to a World Bank study from 2012, an estimated 80% of Peru’s timber is logged illegally. The deforestation and degradation that occurs through engaging in these activities destroy Peru’s globally significant biodiversity and the forest’s ability to sequester carbon, one of the gases that contributes to climate change. In addition, these illegal activities are linked to human rights abuses of indigenous groups and environmental defenders5, health impacts from mercury used in gold extraction, trafficking in persons, money laundering and degradation of the rule of law.

While laws and regulations exist for the management of protected areas, their buffer zones, forest land management units and indigenous lands, combating environmental crimes requires addressing significant challenges of the Peruvian environmental law enforcement system. Such challenges include the lack of policies and institutional strategies; insufficient means and resources within the key public agencies to process environmental infractions (administrative and criminal); weak coordination among those agencies and corruption.

The USG is already working on many fronts with the GOP to address the conditions that can lead to environmental crimes,6 particularly in the forest and ASGM sectors. For example, in the forest sector, USAID is supporting the implementation of Peru’s Forestry and Wildlife Law (Law 29763) with activities that promote sustainability, legality, profitability and inclusivity in forest management units.7 USAID’s forestry activities provide support to: 1) capacity building and implementation of sustainable forest management policies and practices; 2) increase production and efficiency in the use of forest resources by private sector and civil society; and, 3) indigenous people and other communities to benefit from the sustainable management of forest lands. Significant oversight to the forestry sector is also applied via commitments between the USG and the GOP to support the Annex on Forest Sector Governance (Forest Annex) of the

5 Global Witness, describes environmental defenders as “ordinary people …finding themselves on the frontline of the battle to defend their environment from corporate or state abuse, and from unsustainable exploitation.”

https://www.globalwitness.org/documents/12993/deadly%20environment.pdf

6 Environmental crimes or environmental offenses, include a set of criminal actions defined on the Peruvian Criminal Code (PCC). Peru’s Criminal Code (Articles 307 and 310) describe the circumstances under which mining and logging are considered crimes. The sanctions for environmental crimes depend on various factors, such as the means employed and the damage caused. Considered most serious is when the case involves public officials or administrative authorities in charge of environmental control.

7 A forest management unit can include: timber and non-timber concessions, protection forests, among other forest categories identified in the Peruvian Forests and Wildlife Law (Law 29763).

US-Peru Trade Promotion Agreement (PTPA), which addresses the environmental and economic consequences of trade associated with illegal logging and illegal trade in wildlife.

Though much work is being done, important gaps remain to strengthen the ability of the GOP to detect, prosecute and sanction crimes related to illegal logging.

In terms of ASGM, in February 2017, the USG and GOP signed a Memorandum of Understanding (MOU) for Collaboration on Small Scale Mining8 that highlights five areas of cooperation: 1) eliminate the use of mercury from artisanal and small gold mining; 2) reinforce transparent and licit supply chains for artisanal and small scale gold; 3) stimulate alternative economic opportunities in areas where mining is prohibited; 4) prevent, investigate, and prosecute illegal gold mining and related crimes; and 5) prevent illegal miners from operating in protected areas. A joint work program was developed with the GOP with numerous agencies from both governments, including USAID, contributing with expertise and resources. There are also important efforts underway by the GOP that USAID can support and build upon to reduce the threats posed by illegal ASGM. One such opportunity is the implementation of SERNANP’s “Strategy to fight Illegal Mining in Nationally Administered Protected Areas.”

In some cases, the entities involved in the prevention, detection, enforcement and sanctioning of environmental crimes are specific to the sector or issue; in other cases, they are one and the same regardless of the sector. There is, however, no higher level national policy on environmental crime under which all these sector- and issue-specific actions articulate. The consequences of this lack of an overarching policy are numerous. For example, there is a lack of a clear baseline of information on the type and extent of environmental crimes; insufficient resources like environmental courts, judges and specialized prosecutors; and weak interagency coordination in addressing environmental crimes. These challenges limit the GOP’s ability to address illegal logging, illegal mining, and other environmental crimes such as wildlife trafficking and illegal deforestation that threaten Peru’s Amazonian forests.

Civil society, in general, but particularly forest-related organizations and actors directly involved in the management and surveillance of concessions, indigenous lands, and protected areas can play a key role in the law enforcement system because they can provide timely, first-hand information to authorities. Peru’s General Environment Law (N° 28611), as well as its associated decrees, provide guidance for the participation of civil society on the management of environmental and natural resources. However, lack of resources for monitoring activities, security concerns, and distrust in government authorities are factors that limit participation in the monitoring of the environment and natural resources. Along with the civil society, the private sector can play a key role in combating environmental crimes by supporting the conservation of natural resources through the lawful management of private conservation areas and concessions (timber, ecotourism, non-timber forest products), and by supporting innovation that helps prevent illegal activity. Private sector can also be a strategic partner in building political will for the enforcement of environmental laws and regulations.

8 https://pe.usembassy.gov/2017-mou-gold-mining/ https://pe.usembassy.gov/2017-mou-gold-mining/

The purpose of this CEC Activity is to complement and fill the gaps of ongoing USG and GOP activities that focus on preventing, detecting, prosecuting and sanctioning environmental crime and to help create the conditions within which these kind of actions can be supported and sustained. Efforts under this activity will support the implementation of the MOU to promote cooperation on small scale gold mining, in particular to Objectives IV and V. The Activity shall engage non-governmental actors to participate in the monitoring, prevention, and reporting of environmental crimes in support of conservation goals. The results of this Activity are expected to reduce threats to biodiversity in the Peruvian Amazon by strengthening Peru’s ability to effectively address and prevent environmental crimes, in particular illegal logging and illegal ASGM in protected areas and their buffer zones, indigenous lands, and other relevant forest management units in the Amazon.

V. Development Hypothesis The Development Hypothesis for the Activity is that IF i) the GOP has strengthened its environmental policy framework and increased capacity to enforce the rule of law; ii) civil society, including private sector and indigenous peoples, is engaged to support the GOP response to environmental crimes; iii) there is inclusive participation to ensure that gender and vulnerable populations are incorporated into decision making; AND iv) science, technology and information are used to improve policy and support decision making, THEN the threat of environmental crimes will be reduced and biodiversity and ecosystem services will be conserved in the Peruvian Amazon.

VI. Performance Objectives Offerors will determine how the following Objectives and Results will be met and must propose specific deliverables for each.

The Objectives of this Activity are to:

1. Improve enabling conditions for preventing and combating environmental crimes.

2. Reduce environmental crime within protected areas, their buffer zones, forest lands management units, and indigenous lands.

3. Build partnerships to mobilize resources in support of preventing and reducing environmental crimes.

Required Results by Objective

The Objectives and Results of this Activity are mutually reinforcing, and their concurrent implementation is expected to achieve the Activity Purpose.

Objective 1: Improve enabling conditions for preventing and combating environmental crimes.

Peru currently lacks a national policy framework within which all the work related to environmental crime can be addressed. Such a policy can generate a shared vision among relevant GOP agencies on how to deal with environmental crimes such as illegal mining in a concerted manner. It can also help clarify roles and responsibilities of individual GOP entities in order to achieve economies of scale in addressing environmental crimes, while avoiding duplication of effort, promoting interagency coordination, and identify gaps where effort is needed. It can help rationalize and clarify the plethora of laws, regulations, and strategies that address environmental crime, and provide a common basis for data collection and sharing on environmental crimes so that agencies can fulfill their increased responsibilities under Peru’s new Criminal Procedural Code.9

The National Criminal Policy Council (CONAPOC)10 has prioritized the development of a policy against illegal mining. Efforts are underway for the elaboration of the studies needed to inform such policy. CONAPOC has also approved an Interoperability Plan to connect different databases within the justice system. This work is expected to improve the efficiency and effectiveness of justice agencies to process on-going cases. Work under the CEC Activity can support and build on such efforts.

For the purpose of this SOO, justice agencies include the Prosecution Office (Ministerio Publico), the Judicial Branch (Poder Judicial), and the environmental solicitors (Procurador Especializado en Delitos Ambientales). Administrative agencies include GOP agencies such as, but not limited to: the Ministry of Environment (MINAM), Ministry of Energy and Mines (MEM), Peru’s National Forest and Wildlife Service (SERFOR), the Forest Resources and Wildlife Supervisory Agency (OSINFOR), the National Service of Natural Protected Areas (SERNANP), the Ministry of Agriculture (MINAGRI) and the National Water Authority (ANA).

USAID expects the following Results from activities implemented under Objective 1 with direct impacts at the national and sub-national levels, particularly in priority areas:

Result 1.1. A national framework on environmental crimes is developed and promoted at national and sub-national levels.

This Activity will support the GOP’s development of a national framework on environmental crimes, which could take the form of a policy, law or other legal tool. Formulating such a national framework may require action from the Executive Branch led by the Ministry of Justice and Human Rights in coordination with other relevant public agencies, such as the National Criminal Policy Council,11 the Public Ministry, the Judicial Branch, Ministry of Interior (MININTER), 9 https://scc.pj.gob.pe/wps/wcm/connect/NCPP/s_corte_suprema_utilitarios/as_enlaces/as_ncpp/as_libro_cpp/ 10 CONAPOC is composed by the Ministry of Justice, Judiciary, Public Ministry, Ministry of the Interior, Congress of the Republic, Ombudsman's Office, Municipality of Lima, National Police of Peru, National Penitentiary Institute, National Council for Citizen Security, National Assembly of Regional Governments, Association of Municipalities of Peru and Association of Universities of Peru.

The Technical Secretariat is with the Ministry of Justice.

11 https://www.minjus.gob.pe/consejo/ https://www.minjus.gob.pe/consejo/

Ministry of Defense, with the contributions of other institutions such as, the Ministry of Culture (MINCUL), MINAM, MEM, SERNANP, SERFOR, OSINFOR, ANA, Regional Environment Authorities (ARA) etc.

Performance Measures:

1. National framework for environmental crimes developed and agreed upon, based on an open and participatory process of relevant stakeholders, and building on existing knowledge and efforts at the national and sub-national level.

2. A roadmap developed through a participatory process to integrate the national framework into relevant GOP agency’s operational planning mechanisms at the national and sub-national levels. Such mechanisms can include Strategic Plans, Annual Operations Plans, among others.

Result 1.2. Justice institutions and administrative agencies working in a coordinated manner to address environmental crimes.

Efforts to achieve this result will focus on building the internal capacities of the Specialized Environmental Prosecutor’s Office (FEMA) and the Judicial Branch so that they have the systems, and the financial and human resources required to effectively operate. Efforts may also include strengthening capacities of specialized environmental courts and judges, and relevant administrative agencies to build their skills to ensure that environmental offenders are adequately sanctioned. Under Peru’s new Criminal Procedural Code, prosecutors have increased responsibilities to investigate and decide if further action is needed on a case. In order to fulfill these responsibilities, environmental prosecutors need to strengthen their ability to investigate all types of environmental crimes in a timely and efficient manner; as well as to coordinate with other branches of the Public Ministry on complex cases. Prosecution efforts must include collaboration with Solicitors12 for environmental crimes to build strong cases and with relevant administrative agencies to secure the provision of timely and relevant evidence and information.

1. Weaknesses and bottlenecks in the operational workflow to address environmental crimes identified, and interagency performance improved.

2. Capacities are built for institutions to conduct baseline and gap analyses to identify the human and financial resources needed to combat environmental crimes.

3. Increased quality of timely substantiated reports used for effective prosecution efforts13.

12 The Solicitor for environmental crimes operates under MINAM and is in charge of estimating damage and assessing civil compensations.

13 Substantiated report: Term used under the General Law on the Environment (Art. 149.1). According to this article all criminal investigations should have an in-depth technical report produced by the pertinent Administrative Environmental Authority. http://cdam.minam.gob.pe/novedades/leygeneralambiente2.pdf

4. Joint strategic plans, annual work plans and protocols developed in a participatory manner to improve the efficiency of key agencies.

5. Increased capacities among relevant GOP agencies to improve the interoperability of their databases with agreed-upon tools, protocols and agreements.

6. Increased number of formal charges brought against offenders that lead to sanctions.

Objective 2. Reduce environmental criminal activity within protected areas, their buffer zones, forest lands management units, and indigenous lands.14

Illegal mining and illegal logging seriously threaten the conservation and sustainable use of forests in the Amazon, as well as the people, including indigenous communities, in charge of managing and protecting those forests. Detecting and addressing environmental crimes is a major first step to being able to stop them. This activity will fill important gaps in existing USG on-the-ground forestry activities and actions in support of the MOU for Collaboration on Small Scale Mining. It must have a focus on strengthening the monitoring of environmental crime in priority areas and supporting implementation of concrete plans and actions of the GOP with the purpose of preventing, enforcing, prosecuting and sanctioning environmental crimes. It must also contribute to securing the rights and resources of indigenous peoples for the sustainable management of their lands. It will also build on existing efforts by the GOP and others to reduce the threats posed by illegal mining and illegal logging to priority areas, helping reduce threats to biologically significant areas.

Result 2.1. Tools to detect, monitor and deter illegal activities in priority areas are improved and fully operational.

GOP agencies are using multiple tools and platforms for monitoring, gathering and managing relevant data for their daily operations. Efforts under this result will focus on strengthening the interoperability of these tools to support interagency coordination and improve the GOP response to environmental offenses. Work under this result will use innovative and locally-sound approaches to ensure that digital monitoring goes hand-in-hand with on-the-ground efforts (ground-truthing, patrolling, monitoring, early detection, engagement of Local Management Committees, among others).

There are various relevant digital platforms operating in Peru operated by their corresponding GOP entities. SERNANP is currently using a system called “La Grilla” (“the Grid”), to monitor status of biodiversity and ecosystem integrity within protected areas. This system, however, lacks the ability to integrate more dynamic and real time spatial monitoring data (such as, satellite, drones, etc.). MINAM developed the GEOBOSQUES satellite platform to monitoring deforestation and land use changes in the Amazon. This platform generates reports and early warnings, and it can model deforestation trends in given areas; all these products are freely and openly available and are widely distributed every 15 days. Efforts from SERFOR to develop the GEOSERFOR satellite platform for forests and forest management units are underway as well

14 For the purposes of this document protected areas, buffer zones, etc. will be referenced “priority areas” as the roll-out of their Control Module of the National Information System for Forestry and Wildlife, which will help to verify legality by tracing timber from the time it is cut until it is exported. OSINFOR uses its Sistema de Información Gerencial del Osinfor (SIGO) monitoring system to supervise forest management units. FEMA has four satellite monitoring units to gather evidence related to environmental crimes. Additional notable monitoring efforts include those by the Amazon Conservation Association through the Monitoring of the Andean Amazon Project (MAAP)15 and Global Forest Watch.16

1. GOP agencies and civil society strengthen their capacity to actively share data, information and new technologies.

2. GOP agencies have increased access to environmental crime data as a result of interoperable databases.

3. Increased number of relevant government officials using new technologies to address illegal mining and logging issues (e.g. Satellite Monitoring Units, drones, SMART, applications, etc.).

Result 2.2. SERNANP’s capacity to implement actions to prevent and combat illegal activities in and around protected areas is improved.

SERNANP, as the leading agency in protected areas in Peru, has developed and received MINAM’s approval and funding for their “Strategy to fight against Illegal Mining in National Administered Protected Areas (2017-2021)”.17 The Strategy identifies key priorities such as: 1) mitigating the encroachment on protected areas by illegal mining activities, including raising awareness and working with relevant national and sub-national authorities and key actors; 2) recuperating degraded lands; and 3) promoting sustainable economic activities. Further, the Strategy considers SERNANP’s role in assisting interdiction efforts through coordination with FEMA, the National Police and the General Directorate of Captaincies and Coast Guard (DICAPI)18 within protected areas and their buffer zones. In addition, this Strategy is further complemented by SERNANP’s regulations and policies such as Legislative Decree 1079 and its regulation19 that addresses illegal logging and wildlife trafficking in protected areas.

Work under this result will strengthen SERNANP’s capacities to lead and coordinate a rapid response to environmental crimes in and around protected areas to significantly reduce illegal environmental activities. Work under this result will support the successful implementation of

15 http://maaproject.org/imgs/ 16 https://www.globalforestwatch.org/ 17 http://www.sernanp.gob.pe/estrategia-en-mineria-ilegal 18DICAPI exercises control and vigilance to prevent and combat the effects of aquatic pollution in general, in everything that causes ecological damage within its area of competence (e.g. Amazonian rivers).

https://www.dicapi.mil.pe/dirCap_medAmb.html 19 http://legislacionanp.org.pe/reglamento-del-decreto-legislativo-no-1079/ http://www.sernanp.gob.pe/estrategia-en-mineria-ilegal

SERNANP’s Strategy and complementary efforts in priority areas. Activities implemented as part of achieving this result should also take into account the efforts and vision of local Management Committees20 associated to protected areas. Overall, this result aims at promoting the rule of law, and will send a clear message to environmental offenders and society as a whole, that protected areas are off limits.

1. SERNANP’s public awareness campaigns and civil society engagement strategy improved to prevent and combat environmental criminal activity in or around protected areas.

2. Increased public and private funds leveraged to implement SERNANP’s Strategy.

Objective 3. Build partnerships to mobilize resources to support prevention and reduction of environmental crimes.

Civil society organizations and the private sector can play an important role in enhancing transparency and the rule of law on issues related to environmental crime. They can do this, for example, by serving in a “watchdog” role in which they monitor the activities of the ASGM and forest sectors as well as government actions, and alert the public when they detect actions that go against the public interest. They may educate, inform and advocate on issues related to environmental crimes, helping to generate the political will to address the problem. They may develop their own innovative approaches to help prevent and combat illegal environmental activities. They may help to increase public debate on issues surrounding the formulation and implementation of government budgets to address environmental crime or leverage resources that can be applied towards the problem of environmental crime. Efforts under Objective 3 will help to mobilize and strengthen the support of civil society and the private sector in addressing environmental crime. USAID expects the results from activities implemented under Objective 3 to complement work under Objectives 1 and 2 in order to increase the impact of USAID’s investment and build a foundation for sustainability in priority areas.

Result 3.1. Participation of civil society in monitoring initiatives improved and mainstreamed in priority regions.

Civil society organizations in Peru, including non-governmental, community, indigenous or religious organizations, academia and the media, are already involved in the prevention and monitoring of environmental crimes. In protected area and indigenous lands, management committees, and communal vigilance/monitoring committees, respectively are examples of organized civil society groups in charge of preventing, monitoring and reporting environmental offenses to relevant authorities. There are also experiences of Indigenous Forest Oversight activities (“Veeduria Forestal”), which oversee the rights of indigenous communities in relation to

20 http://www.sernanp.gob.pe/gestion-participativa the sustainable management of forest goods and services and promote the conservation of natural resources. In addition, the World Resources Institute (WRI) together with indigenous communities in the Peruvian Amazon, are spearheading efforts to monitor forests and generate alerts, using gps-enabled smartphones.21

Academia is also supporting the prevention and prosecution of environmental crimes by conducting the research needed to better understand the damage caused to the natural patrimony. For example, the USAID-supported Center for Amazonian Scientific Innovation (CINCIA) in Madre de Dios generates scientific data in support of the recovery of areas degraded by ASGM and awareness raising activities with civil society to mobilize their support for actions to mitigate the negative impacts of gold mining.

In addition, at the national level, reports generated by civil society organizations, such as ACA’s MAAP reports, employ high definition geospatial information to support monitoring and alerting efforts, with the added value of covering extensive geographic ranges and time periods.

Efforts under this result will strengthen the individual organizational capacities of civil society groups to monitor environmental crime in priority areas, and the on-the-ground coordination among these groups to improve their efforts to prevent and monitor environmental crimes. It will strengthen efforts to connect civil society efforts to those of the GOP in such a way as to ensure transparency and access to information that can help prevent and combat environmental crimes.

Performance Measures:

1. Alliances established between GOP agencies and civil society groups to improve coordination in the prevention and monitoring of environmental crimes.

2. An increase in the number of relevant individuals or civil society groups participating in prevention and monitoring initiatives.

Result 3.2 Timely and strategic media reporting on illegal mining and logging cases enhanced.

Accurate and timely reporting of environmental offenses, including threats to environmental defenders22, can help build public awareness to catalyze efforts and commitments towards combating environmental crimes. Engaged journalists and civil society organizations can also

21 http://www.wri.org/blog/2017/09/indigenous-communities-fend-invaders-peruvian-amazon.

22 Global Witness, describes environmental defenders as “ordinary people …finding themselves on the frontline of the battle to defend their environment from corporate or state abuse, and from unsustainable exploitation.”

https://www.globalwitness.org/documents/12993/deadly%20environment.pdf demand accountability from government agencies to be law abiding and ensure that environmental offenses are timely and adequately addressed and sanctioned.

Work under this result will engage with national and sub-national media outlets and civil society organizations to promote the accurate and timely dissemination of information about environmental crimes. This work will also reinforce positive actions taken by government agencies and civil society while considering the safety of environmental defenders. Such efforts will also help elevate environmental crimes in the agenda of policy- and decision-makers at the national and sub-national level.

Performance Measures:

1. Increased number of timely reports published using regular and social media outlets targeting strategic audiences.

Result 3.3. Private sector engaged in preventing and combating environmental crimes

Fostering a culture of legality requires direct participation from all sectors of society. The private sector is an important ally and many of their members can be champions in the pursuit of this effort. The private sector can catalyze change and assist in promoting a culture of legality, including in the effective monitoring and prevention of environmental offenses.

Work under this result will leverage private sector resources, including financial ones. Efforts will include building partnerships with civil society organizations (CSOs), indigenous peoples, academia, and relevant government agencies to seek creative and innovative approaches (such as joint ventures, public private partnerships, development and implementation of new technological approaches, awareness raising, etc.). These efforts can help to maximize the impacts and sustainability of USAID’s investment.

Performance Measures:

1. Amount of new private sector resources leveraged (including new technologies) for forest management and/or biodiversity conservation.

2. Increased number of new partnerships established between private sector entities and civil society or GOP agencies.

VII. Operating Constraints

The Activity will have to take into account several operating constraints, such as:

● Weak political will and GOP presence in the field.

● High turnover in national, regional and local governments.

● Changes in political priorities.

● Inadequate financial resources to implement policies, laws and regulations.

● Overlap of functions and responsibilities among GOP agencies, and corruption.

● Increased in prices and demand of gold and timber.

● Land tenure and rights conflicts.

● Limited internet connectivity.

VIII. Additional Considerations

Grants

Pursuant to ADS 302.3.4.13, USAID will consider sub-grants with non-governmental organizations (non-profits or for-profits) and partner government entities (as defined in ADS

220) in the implementation of this Activity.

Geographic Focus

Priority geographies for activities specific to illegal logging crimes are the regions of Loreto and Ucayali, from where 80% of Peru’s timber is harvested. The priority geography for crimes related to ASGM is the region of Madre de Dios. Some activities will also occur at the national level and will support the sustainability of the on-the-ground interventions by helping improve GOP response related to environmental crimes and fostering the rule of law.

Gender and Social Inclusion

The Contractor’s approach to gender and social inclusion for this Activity should be reflected in a Gender and Social Inclusion Strategy included in the proposal. A final draft will be agreed with USAID after the award, together with the first Annual Work Plan. Planned actions to advance this Strategy should be included in the Activity’s Annual Work Plans, and progress made should be reported in the Activity’s Annual and Final Reports.

The recognition of social inequalities and the need to move towards social equity is a prerequisite for the long-term success of environmental projects. Identifying the different ways in which individuals of diverse backgrounds, genders and ages relate to environment resources is essential to understand the complexity and link between social and environmental processes that cause and/or perpetuate inequality.

This Activity should contribute to more effective participation, monitoring and overall influence of indigenous peoples, women, other vulnerable populations, and local communities. Tools generated by the Activity should take into consideration the specific needs of these groups and set the foundation for building relationships with government institutions.

USAID Amazon Vision

The Amazon Regional Environment Project (AREP) of USAID/Peru will collect information and data that support learning and adaptive management among all USAID operating units in the Amazon region along with contributing to the cumulative achievement of USAID’s Amazon Vision. USAID/Peru or a designated implementing partner(s) will play a key role in working with all USAID environment activities across the Amazon region to ensure that theories of change and monitoring frameworks are aligned to the Amazon Vision, information generated contributes to learning and that USAID activities are adaptively managed.

The Contractor (the Offeror) will be responsible for the primary data collection under this Activity. The Contractor, along with all USAID partners implementing environment activities in the Amazon region, will also be required to contribute to reporting on the progress towards USAID’s Amazon Vision.

The Contractor, along with all USAID partners implementing environment activities in the Amazon region, shall share information such as mechanism-level results chains/ (i.e., theories of change), outcome statements, baseline data, collected indicator data, geographic activity data, and other relevant information with USAID/Peru or its designated implementing partner(s).

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LIST OF ANNEXES

ANNEX I. RESULTS FRAMEWORK

ANNEX II. ENABLING CONDITIONS AND PREVIOUS USAID ACTIVITIES

ANNEX III. USAID’s AMAZON VISION

ANNEX IV. ACRONYMS

SOO Annexes Combating Environmental Crimes in the Peruvian Amazon Activity

ANNEX I. RESULTS FRAMEWORK

Goal: Strengthen forest sector governance and reduce negative impacts of extractive industries in the Peruvian Amazon.

Purpose: Reduce threats to biodiversity in the Peruvian Amazon by strengthening Peru’s ability to effectively address environmental crimes.

Objective 1: Improve enabling conditions for preventing and combating environmental crimes.

Objective 2: Reduce environmental criminal activity within protected areas, their buffer zones, Objective 3: Build partnerships to mobilize resources in support of reducing environmental

Result 1.1: A national framework on environmental crimes is developed and promoted

Result 1.2: Justice institutions and administrative agencies working in a coordinated

Result 2.1: Tools to detect, monitor and deter illegal activities in priority areas improved and fully

Result 2.2: SERNANP’s capacity to implement actions to prevent and combat illegal activities in

Result 3.1: Participation of civil society in monitoring initiatives improved and

Result 3.2: Timely and strategic media reporting on illegal mining and logging cases enhanced.

Result 3.3: Private sector engaged in preventing and combating environmental crimes.

- DRAFT-

ANNEX II. ENABLING CONDITIONS AND USAID ACTIVITIES

Relationship to USAID policies and forthcoming activities

1. USAID’s Biodiversity Policy (2014)1 aims to shape a future in which both people and biodiversity thrive through economic prosperity, social equity, and environmental stewardship. Among other priorities, the Policy directs USAID to improve the practice of conservation and the integration of biodiversity with other development outcomes, using an evidence-based approach that uses learning to improve outcomes. The Policy explicitly defines the criteria (known as the Biodiversity Code) that must be satisfied for the use of biodiversity funding.

These include the need to undertake activities in biodiversity significant areas;

base activities on an analysis of threats to biodiversity; develop clear theories of change that link funded activities to the reduction of threats; and monitor progress using indicators clearly linked to those theories of change. This Activity will be implemented in alignment with the Biodiversity Code.

2. USAID’s Amazon Vision was developed in late 2014, when all USAID Operating Units (OUs) with biodiversity and climate change projects in the Amazon Basin came together to discuss and agree upon a common vision, purpose and set of goals for their work in the region (See Annex III). All USAID environment projects operating in the Amazon Basin are aligning to this vision and new investments are guided by its purpose and high level goals. This will allow for results to be consolidated and reported and for the promotion of greater synergies. Bilateral USAID OUs are the primary entities to implement country-specific actions that contribute to the overall vision and goals. USAID’s South American Regional (SAR) OU represents and promotes the vision and its goals and results. SAR also plays a convening role in the region and through its regional program (AREP, see below) implements targeted activities to address gaps or respond to critical needs which cannot be effectively executed bilaterally (e.g. cross-border activities, regional research, development, and scientific exchange, strengthening of regional institutions, activities designed to achieve economies of scale, etc.). USAID/Washington OUs provide technical support and services to the region and recommend resource allocations in support of the Amazon Vision and goals.

3. USAID's Amazon Regional Environment Project (AREP) is the flagship Project for the USAID South American Regional Environment Program. The Project will collect information and data that supports learning and adaptive management among all USAID OUs in the Amazon Region along with contributing to the cumulative achievement of USAID’s Amazon Vision.

USAID/Peru or their designated implementing partner(s) will play a key role in working with all USAID environment activities across the Amazon region, including this Activity, to ensure that theories of change and monitoring frameworks are aligned to the Amazon Vision, information generated by this Activity will contribute to a learning agenda and support adaptive management.

4. This Activity will be implemented under USAID/Peru’s Amazonia Verde Project, designed to address biodiversity and land-based climate needs in targeted

1 The USAID Biodiversity Policy (June 2015) https://www.usaid.gov/sites/default/files/documents/1865/USAID%20Biodiversity%20Policy%20- %20June%202015.pdf https://www.usaid.gov/sites/default/files/documents/1865/USAID%20Biodiversity%20Policy%20-%20June%202015.pdf https://www.usaid.gov/sites/default/files/documents/1865/USAID%20Biodiversity%20Policy%20-%20June%202015.pdf landscapes with the purpose to “Conserve biodiversity and ecosystem services in the Peruvian Amazon”. All activities under this Project will be expected to coordinate to ensure alignment to the overall Objectives of the Amazonia Verde Project and avoid duplication of efforts.

National, Bilateral and Multilateral Initiatives:

1. The U.S. Government and the Government of Peru have signed a Memorandum of Understanding (MOU) to promote cooperation on issues related to artisanal and small scale gold mining (ASGM). The MOU details five (5) priority areas of cooperation, including work expected to be achieved by this Activity. This Activity will be implemented under the umbrella of this MOU; and the implementer is expected to exchange information and to the extent possible coordinate with other U.S. funded activities in Peru with the goal of increasing the impact of U.S.

resources.

2. The Minamata Convention, which aims at protecting human health and the environment from anthropogenic emissions and releases of mercury and mercury compounds, will become legally binding in 2017. Peru ratified this Convention in January 2016, and developed a National Action Plan that includes specific actions to reduce the use of mercury in artisanal and small scale gold mining, and control the trade of mercury. The implementer of the CEC Activity is expected to be familiar with Peru’s commitments under the Minamata Convention (in accordance with Supreme Decrees 061-2015-RE and 010-2016-MINAM) and support its implementation as related to the prosecution of environmental crimes.

3. Annex on Forest Sector Governance of the U.S.-Peru Trade Promotion Agreement (PTPA) and the associated U.S.-Peru Environmental Cooperation Agreement include commitments to strengthen forest sector governance. To meet these commitments, the U.S. Government has supported Peruvian institutions such as SERFOR and OSINFOR in the development and implementation of Peru’s National Forest and Wildlife Law, and an integrated timber tracking system to ensure timber traceability. The implementer of the CEC Activity is expected to be familiar with Peru’s commitments under the PTPA and support its implementation as related to the prosecution of environmental crimes.

4. The Organization for Economic Cooperation and Development (OECD) environmental review provides recommendations to meet environmental goals and advance Peru towards modernization and development. The Activity will support Peru in fulfilling specific OECD recommendations including but not limited to:

expanding the capacities of the judiciary, public prosecution service and other agencies of the justice system responsible for law enforcement in addressing environmental topics, and assess the creation of specialized courts.

5. The National Policy for the Modernization of Public Management (Supreme Decree Number 004-2013-PCM) was approved in 2013, with a focus on management by results, information management and interagency coordination.

6. In 2006, Peru began the gradual implementation of a new Criminal Procedure Code (CPC) which seeks to make the criminal justice system more efficient and transparent while protecting due process guarantees for victims and defendants.

The CPC integrates the principles and rules of the accusatory system. Prosecutors have strengthened their roles under the new CPC to investigate and prosecute cases. Judges serve as third party arbiters, whose responsibilities include making pretrial determinations, enforcing procedural rules, determining the admissibility of evidence, deciding guilt or innocence, and sentencing guilty defendants.

Other Relevant Ongoing Activities2:

1. The Association for the Conservation of the Andean Amazon is currently implementing the Project Strengthening Near Real-Time Monitoring Capabilities and Forest Governance in the Peruvian Amazon, which aims to help counteract the increase in deforestation in the Peruvian Amazon and works with the government, civil society and concessions in Madre de Dios.

2. Peru’s Ministry of Environment is implementing budget program PP 136, "Environmental Prevention and Recovery of Contaminated Sites and Degraded Areas for Illegal and Informal Mining.” This program includes efforts to strengthen geospatial monitoring and reporting of target areas, including Madre de Dios.

3. The International Narcotics and Law Enforcement Section (INL) of the U.S.

Embassy in Peru provided support to FEMA and the Judicial Branch to enhance their skills and capabilities for handling environmental crimes. In 2017 and 2018, INL provided joint training activities for judges and environmental prosecutors to investigate environmental crimes and enhance oral litigation skills.

4. The Center for Amazonian Scientific Innovation (CINCIA) with support from USAID and implemented by Wake Forest University, is working in Madre de Dios to strengthen scientific capacity on environmental monitoring of mercury pollution and generate tools for reforestation. This Activity is also generating public awareness of the impacts of alluvial mining in the region.

Past USAID Activities:

1. USAID has provided technical assistance to the FEMA, including trainings for environmental prosecutors; the establishment and implementation of Satellite Monitoring Units (SMU), and the drafting of two public investment projects to ensure sustainability of existing SMUs and establish new ones.

2. USAID has also accompanied the institutions of the Peruvian Justice System in their efforts to combat corruption in the public administration and strengthen the Rule of Law. During three years (2013 - 2015) USAID provided technical assistance to the Public Ministry, the Judicial Branch and the Ministry of Justice and Human Rights for strengthening their capacities for the management of corruption cases. One of the lines of USAID technical assistance was focused on the administrative management of prosecution offices and tribunals under the new Criminal Procedural Code. The assistance provided the institutions with tools (manuals, guidelines, new operating procedures, and training to the administrative personnel) to more efficiently manage tribunal and prosecution offices for handling corruption cases. The Activity also developed in alliance with a local university a specialized diploma on Anti- Corruption topics addressed to judges, prosecutors and solicitors, which has been formally transferred to the Judicial School (Academia de la Magistratura), the official entity for training judges and prosecutors created by the 1993 Peruvian Constitution.

3. Between October 2014 and January 2015, USAID/Peru conducted an assessment to analyze…