Attachment_4_-_LAC-IEE-16-34_ETD_(HO_-_Human_Capital_Improved_-_Focus_on__Children).pdf

RFP No. SOL-522-17-000002

ATTACHMENT 4

INITIAL ENVIRONMENTAL EXAMINATION (IEE) No. No.

LAC-IEE-16-34

ENVIRONMENTAL THRESHOLD DECISION

Activity Location: Honduras

Activity Title: Human Capital Improved with a Focus on Children

(DO2 IR 2.3)

Activity Number: TBD

Life-of-Activity Funding: $140,000,000

Life-of-Activity FY 2016 – FY 2022

IEE Prepared by: Sofia Mendez, D/MEO; Peter Hearne, MEO

Reference Env. Threshold Decisions: LAC-IEE-14-12, LAC-IEE-14-11, LAC-IEE-14-10

Recommended Threshold Decision: Categorical Exclusion; Negative Determination with Conditions

Bureau Threshold Decision: Concur

Background Information:

Development Objective (DO) 2 seeks to improve human capacity in western Honduras to sustainably reduce poverty. The “Human Capital Improved with a Focus on Children” activity aims to improve educational and nutritional service provision and improve the quality of and access to local services in up to 80 municipalities within six departments of western Honduras (Copan, Santa Barbara, Ocotepeque, Intibuca, Lempira, and La Paz). Interim Result (IR) 2.3 on-going activities include: NEXOS, MUNASBAR, DEE, EducAccion, MIDEH, Mercado, ULAT, and Alliance for the Dry Corridor (ACS). These on-going activities were addressed under three Environmental Threshold Decisions (LAC-IEE-14-12, LAC-IEE-14-11, and LAC-IEE-14-10);

these on-going activities are now absorbed into LAC-IEE-16-34.

Comments:

This Environmental Threshold Decision (ETD) for Honduras’ “Human Capital Improved with a Focus on Children (DO2, IR 2.3)” activity is new even though “reference ETDs” are listed above. Reference ETDs are listed since the new activity incorporates several on-going sub-activities of USAID/Honduras’ previous Country Development Cooperation Strategy (CDCS).

This ETD is issued subject to the following terms and conditions.

A Categorical Exclusion is issued for USAID/Honduras’ “Human Capital Improved with a Focus on Children” according to the following table; pursuant to 22 CFR 216.2(c)(2):

IR 2.3 Intermediate Result (Sub IR) Sub-Activities

Categorical Exclusion Citation

Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; Sub

IR 2.3.2.2; NEXOS;

MUNASBAR; DEE; ULAT;

EducAccion; and MIDEH

Education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as small-scale construction or/and or renovation of facilities and family orchards);

22 CFR 216.2 (c)(2)(i)

Sub IR 2.3.1.1 Analysis, studies, academic, or research workshops and meetings to develop the capability of recipient countries to engage in development planning, except to the extent designed to result in activities directly affecting the environment (such as small-scale construction or/and or renovation of facilities).

216.2(c)(2)(iii)

A Negative Determination with Conditions (NDWC) is issued for USAID/Honduras’ “Human Capital Improved with a Focus on Children” according to the following table; pursuant to 22 CFR 216.3(a)(3)(iii).

Activities Condition

1. All sub-award activities. Sub-awards are presently envisioned for Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; and Sub IR 2.3.2.2; except for those under categorical exclusion, such as to provide training or to perform assessments.

Award-specific Environmental Monitoring and Mitigation Plan

(EMMP)

2. Small-scale construction/renovation of facilities for schools, health centers, municipal and regional government offices, water service management, home improvements works, and others, under Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; Sub IR 2.3.2.2; NEXOS;

MUNASBAR; DEE; and ULAT

Umbrella EMMP for existing sites (by type of construction )

Site-specific EMMP for all new sites.

3. Promoting cultivation of crops for nutrition purposes under Sub IR 2.3.1.2

Comply with USAID/Honduras PERSUAP and “Best Agricultural Practices”

Conditions for the implementation of activities with Negative Determination with Conditions include:

• Each activity manager or Contracting (or Agreement) Officer Representative (COR or AOR) is responsible for making sure environmental conditions are met (ADS 204.3.4).

In addition, CORs/AORs are responsible for ensuring that appropriate environmental guidelines are followed, mitigation measures in the IEE are funded and implemented, and that adequate monitoring and evaluation protocols are in place to ensure implementation of mitigation measures. The COR/AOR and Chief of Party for implementing mechanisms will require the use of the EMMP (attached).

• NDWC activities listed above (e.g. small-scale construction; agricultural interventions that may involve the use of pesticides) will require the preparation of an EMMP. The EMMP will be used for all of the activities listed within this IEE that receive a Negative Determination with Conditions threshold decision. The EMMP shall be reviewed and approved by the AOR/COR, Mission Environment Officer (MEO), and the Regional Environmental Advisor (REA) prior to any implementation of these activities. The EMMP specific actions shall be consistent with the activity’s Annual Work Plan. The EMMP shall be revised and/or updated to include the Year 2 specific actions, impacts, and necessary mitigation measures. For each year, an updated EMMP shall be prepared based on the annual work plan.

• Monitoring of the EMMP mitigation measures using Table 3 of the EMMP shall be done by the Implementing Partners. At the end of each year, the Activity shall compile the monitoring results from Table 3 of the EMMP and provide an annual environmental compliance report (ECR), preferably as part of the regular reporting. The ECR must be submitted to the COR/AOR and approved in writing by the MEO.

• The Implementing Partner(s) (IP) shall ensure that appropriate environmental guidelines are followed and that mitigation measures described in the EMMP and this ETD for each of these activities are funded and implemented, including any necessary training or capacity building, and adequate monitoring. The IP(s) will also have qualified environmental staff to oversee the EMMP and its execution.

• In addition to USAID Reg. 216 requirements, also comply with Government of Honduras

(GOH) environmental regulations and obtain all required permits from the appropriate GOH officials.

• To ensure that all these environmental requirements and conditions are met in an adequate and timely manner, each implementing contractor or partner will hire a qualified environmental specialist.

• Applicable best management practices to use within the EMMP process are found in the USAID Sectoral Environmental Guidelines (http://www.usaidgems.org/sectorguidelines.htm); specific Guidelines to utilize: (1) Small-Scale Construction and (2) Agriculture.

• Agricultural training and production (including seedling production) will implement additional Best Management Practices as per Global Gap, FAO Agriculture BMPs and other relevant agricultural BMPs [http://www.scsglobalservices.com/certification-standards-and-program-documents for Global Gap BMP Manual, www.sustainable-agriculture.org/sustainable-agriculture-in-practice, http://www.fao.org/ag/magazine/GAP-V2-June02.pdf

• An amendment of this IEE is required for any activity resulting in policy changes that have the potential to affect negatively the environment, including large scale irrigation, large scale construction/infrastructure, and other activities not yet designed and therefore not described in this document. An amendment of this IEE is required if any changes in the Life of the Project and/or Life of Project funding occurs.

• The IP(s) is responsible for utilizing the existing USAID/Honduras PERSUAP (ACCESSO PERSUAP LAC-IEE-13-48) if any pesticide training, purchase of pesticides, and/or use of pesticides will occur. If the Activities will be producing crops and/or using pesticides that are not included in the existing PERSUAP, then a PERSUAP amendment shall be prepared. NOTE: the existing ACCESSO/USAID/Honduras PERSUAP in LAC- IEE-13-48 is in the process of being updated to include new FTF Activities. Activities within Sub-IR 2.3.1.2 of this IEE shall follow the revised PERSUAP when it is completed.

• Any activities involving large scale construction (over 1000 sq. meters), large infrastructure, irrigation, or other similar actions would require an IEE amendment to recommend a Positive Determination and the preparation of an Environmental Assessment.

• The A/COR, Mission MEOs and REA will be required to conduct spot monitoring checks for all of the activities listed in this IEE to ensure that the conditions listed in the IEE, Environmental Threshold Decision (ETD), and EMMP are being followed. The A/COR, MEO, and REA should use the EMMP monitoring form (Table 3) to conduct monitoring of activity mitigation measures.

• The IP(s) will ensure that all activities conducted under this Activity comply with this ETD. Also, through its regular reporting requirements, a section on environmental compliance (e.g. mitigation monitoring results) will be included using Table 3 of the EMMP as a monitoring tool for documenting the monitoring results.

http://www.usaidgems.org/sectorguidelines.htm http://www.scsglobalservices.com/certification-standards-and-program-documents http://www.scsglobalservices.com/certification-standards-and-program-documents http://www.sustainable-agriculture.org/sustainable-agriculture-in-practice http://www.sustainable-agriculture.org/sustainable-agriculture-in-practice http://www.fao.org/ag/magazine/GAP-V2-June02.pdf

• It is the responsibility of the Development Objective (DO) Team to ensure that environmental compliance language from the ETD is added to procurement and obligating documents, such as activity-related Development Objective Grant Agreements (DOAGs), program descriptions, and statements of work.

Amendments

• Amendments to Initial Environmental Examinations (IEE) shall be submitted for LAC Bureau Environmental Officer (BEO) approval for any activities not specifically covered in the IEE, which include:

o Funding level increase beyond ETD amount, o Time period extension beyond ETD dates (even for no cost extension), or o A change in the scope of work, such as the design of new activities not listed in this IEE, the use of pesticides or activities subject to Foreign Assistance Act sections 118 and 119 (e.g. procurement of logging equipment), to clear the Deferral ETD regarding potential large scale infrastructure, among others.

• Amendments to IEEs include Environmental Assessments (EA) or Programmatic Environmental Assessment (PEA) and approval of these documents by the LAC BEO could require an annual evaluation for environmental compliance.

Environmental Compliance Language for Contracts/Awards

Contract/Award Officers will use documents listed in ADS 204.5 “Environmental Compliance:

Language for Use in Solicitations and Awards; An Additional Help for ADS Chapter 204” dated May 19, 2008. The following language is to be inserted into all RFPs, contracts and agreements to tell partners how the Agency expects them to comply with 22 Code of Federal Regulations 216.

The following language will be included in all contracts/awards that are given a Categorical Exclusion:

“The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID’s activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/who-we-are/agency-policy/series-200), which, in part, require that the potential environmental impacts of USAID-financed activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. [Offeror/ applicant/contractor/recipient] environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this [RFP/RFA/contract/task order/grant/cooperative agreement].

http://inside.usaid.gov/ADS/200/204sac.pdf http://inside.usaid.gov/ADS/200/204sac.pdf http://www.usaid.gov/policy/ADS/200/

In addition, the contractor/recipient must comply with host country environmental regulations unless otherwise directed in writing by USAID.

No action funded under this [contract/task order/grant/CA] will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE) duly signed by the Bureau Environmental Officer

(BEO).

As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor/recipient, in collaboration with the USAID COR/AOR and MEO, REA or BEO, as appropriate, shall review all ongoing and planned activities under this [contract/task order/grant/CA] to determine if they are within the scope of the approved Regulation 216 environmental documentation.”

The following language will be included in all contracts/awards that have a Negative Determination with Conditions:

“An Initial Environmental Examination (IEE) [(insert IEE # or hyperlink, if available)] has been approved for [the Activity] funding this [RFA/RFP/contract/task order/grant/cooperative agreement (CA)]. The IEE covers activities expected to be implemented under this [contract/task order/grant/CA]. USAID has determined that a Negative Determination with Conditions applies to one or more of the proposed actions.

This indicates that if these actions are implemented subject to the specified conditions, they are expected to have no significant adverse effect on the environment. The [offeror/applicant/contractor/recipient] shall be responsible for implementing all IEE conditions pertaining to actions to be funded under this [solicitation/award].

As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor/recipient, in collaboration with the USAID COR/AOR, and MEO, REA, or BEO, as appropriate, shall review all ongoing and planned actions under this [contract/task order/grant/CA] to determine if they are within the scope of the approved

IEE.

If the contractor/recipient plans any new actions outside the scope of the approved IEE, the contractor/recipient shall inform USAID in writing of these changes. No such new actions shall be undertaken prior to receiving written USAID approval.

When the approved IEE contains one or more Negative Determinations with Conditions, the [contractor/recipient] shall:

● Prepare an environmental mitigation and monitoring plan (EMMP) for each proposed action under the Negative Determination with Conditions in the IEE, describing how the contractor/recipient will, in specific terms; implement all IEE conditions that apply within the scope of the award. The EMMP format is attached. The EMMP shall include monitoring the implementation of the

INITIAL ENVIRONMENTAL EXAMINATION

Activity Location: Honduras

Activity Title: Human Capital Improved with a Focus on Children

(DO2 IR 2.3)

Life of Activity Funding: $ 140,000,000

Life of Activity: FY 2016 – FY 2022

Referenced Threshold Decision: LAC-IEE-14-10, LAC-IEE-14-11, LAC-IEE-14-12

IEE Prepared by: Sofia Mendez, D/MEO Peter Hearne, MEO

Date Prepared: March 10, 2016

Recommendation for Threshold Decision:

Pursuant to section 216.2(a) of USAID environmental procedures, environmental analysis/evaluation is required for new projects, programs, or activities authorized by USAID. The attached information presents an analysis of activities planned under USAID/Honduras’ IR 2.3 PAD: Human Capital Improved, with focus on Children.

The USAID/Honduras Mission recommends the following Environmental Threshold Decision

(ETD):

Categorical Exclusion for the following activities:

IR 2.3 Intermediate Result (Sub IR) see IEE for details.

Categorical Exclusion Citation

Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; Sub

IR 2.3.2.2; NEXOS;

MUNASBAR; DEE; ULAT;

EducAccion; and MIDEH

(i) Education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as small-scale construction or/and or renovation of facilities and family orchards);

22 CFR 216.2 (c)(2)(i)

Sub IR 2.3.1.1 Analysis, studies, academic, or research workshops and meetings to develop the capability of recipient countries to engage in development planning, except to the extent designed to result in activities directly affecting the environment (such as small-scale construction or/and or renovation of

Negative Determination with Conditions for the following activities:

Activities Type of EMMP

1. All sub-award activities. Sub-awards are presently envisioned for Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; and Sub IR 2.3.2.2; except for

Award-specific EMMP

2. Small-scale construction/renovation of facilities for schools, health centers, municipal and regional government offices, water service management, home improvements works, and others, under Sub IR

Umbrella EMMP for existing Sites (by type of construction )

Site-specific EMMP for all new sites.

Follow USAID/Honduras PERSUAP and best agricultural practices

Signature Page for lEE for D02 JR 2.3 Human Capital Improved with a Focus on Children, LOP 2016-2022

Drafted: March 10, 2016 SMendez: D/MEO Peter Heame: MEO

Concurrence: Date:

Mission Clearance:

Kay Leherr, D02

Gustavo Avila, HPN

Ted Glenn, DG

Anya Glenn, P0

Peter Heame, MEO

Cleared by e-mail

Cleared by e-mail

Cleared by e-mail

Cleared by e-mail

Cleared by e-mail

Date: 05/09/16

Date: 04/01/16

Date: 05/03/16

Date: 04/21/16

Date: 05/11/16

REA Clearance:

Joseph Torres, REA Cleared by e-mail Date: 05/12/16

Mission Clearance:

Kurt Pope, DMD Date:

1. BACKGROUND AND PROJECT DESCRIPTION

USAID/Honduras Country Development Cooperation Strategy (CDCS) (2015-2019) was approved by the Assistant Administrator for the Bureau of Latin America and the Caribbean on December 23, 2014. The CDCS includes two Development Objectives: DO1, citizen security increased for vulnerable populations in urban, high-crime area; and DO2, extreme poverty sustainably reduced for vulnerable populations in western Honduras. DO2 includes the following intermediate results (IRs): IR 2.1: Resilience of livelihoods increased; IR 2.2: Incomes increased; and IR 2.3: Human capital improved with a focus on children.

1.1 Purpose and Scope of IEE

USAID/Honduras’s DO2 team will produce three IR-level PADs. Therefore, following the Project Design Guidance which states that each PAD requires an Initial Environmental Examination (IEE), there will be three IEEs for DO2. The purpose of this document is to analyze the potential environmental impact for activities proposed under USAID/Honduras CDCS DO2, IR 2.3: Human capital improved with a focus on children Project (further referred to as “the Project” or “IR 2.3”).

The Total Estimated Cost (TEC) for DO2’s IR 2.3 Project is $140,000,000. As defined for DO2, the Project seeks to improve human capacity in western Honduras to sustainably reduce poverty.

The Project shall improve educational and nutritional service provision and improve quality and access to local services in up to 80 municipalities within the six departments of western Honduras (Copan, Santa Barbara, Ocotepeque, Intibuca, Lempira, and La Paz). IR 2.3 Project on-going activities include: NEXOS, MUNASBAR, DEE, EducAccion, MIDEH, Mercado, ULAT, and Alliance for the Dry Corridor (ACS). These current activities were covered under LAC-IEE-14-10, LAC-IEE-14-11, and LAC-IEE-14-12 but are now absorbed into this new PAD IR 2.3 IEE as their actions have been incorporated into the new PAD Activities. The past Environmental Threshold Decision for these current Activities, listed in Section 1.3 of this IEE, is still valid.

The Project Appraisal Document (PAD) envisions four new awards under the IR 2.3 PAD that are included in this IEE, namely: Local Service Delivery Systems Activity, Reading Improvement Activity, Small Infrastructure Activity, and the Quality Reading Materials Activity. These four activities are further described in section 1.3.

1.2 Background

Poor social and economic conditions are especially pronounced in western Honduras. Extreme poverty, undernutrition, climate change vulnerability, low educational levels, lack of access to basic services, and other socio-economic challenges are endemic. In Lempira and Intibucá, almost half of all children suffer from stunting, and 46 percent of all families do not have latrines. In many communities in western Honduras, conditions do not promote educational success; in rural schools, 77 percent of children completing sixth grade are unable to read at grade level. The diverse causes of poverty are perpetuated and exacerbated by the absence of active civil society groups, weak institutions, and the lack of local ownership.

The IR 2.3 Project builds on the premise that sustainability can only be achieved where there is local citizen and government ownership of the desired development results. In this sense, governance actions that promote empowerment and ownership will be promoted to interact with education and health interventions under IR 2.3, and other technical interventions under IR 2.1 and 2.2, which are covered under separate IEEs.

The Project aligns with the U.S. Government strategies such as the National Security Council’s Central America Strategy, the Global Education Strategy, Gender Equality and Female Empowerment, Feed the Future, and LAC reads. The Project is also aligned with the Local Solutions component of the USAID Forward reform agenda.

1.3 Description of Activities

The Project goal is to improve human capital with a focus on children to sustainably reduce extreme poverty for vulnerable populations in western Honduras. IR 2.3 includes two output-level accomplishments: i) Basic Education and Nutrition Service Delivery Improved (Sub-IR 2.3.1); and ii) Local Service Management Systems Improved (Sub-IR 2.3.2).

Sub-IR 2.3.1: Basic Education and Nutrition Service Delivery Improved The Project will focus on basic service delivery by local government in the areas of education and nutrition services.

Sub-Output IR 2.3.1.1: Education The Project will focus on promoting tailor-made interventions to increase student ability to read at grade level by the end of grade six. Illustrative interventions include:

Reading assessments at the municipal level.

Promotion of curricular reforms through engagement with the Ministry of Education

(MOE) at the national level.

Training and other professional development support to teachers to improve instruction, including curricular coverage, differentiated instruction, and the use of materials and formative assessment.

Training and technical assistance to teachers in proven methods for teaching early grade reading.

Design, production, and distribution of curricular and supplemental materials for teachers and students, Establishment of management committees and parent and community mobilization to address reading issues.

Access to data for local decision making to increase public awareness, Technologies to improve the enabling environment.

Subject to the availability of funds, the project will include small-scale construction1 in school infrastructure investments to increase school access rates.

1 USAID uses a working definition of small-scale construction as construction or repair of facilities where the total surface area of the disturbed environment is under 10,000 square feet and less than $200,000 total cost. Projects of this size and cost are unlikely to cause significant adverse environmental impacts. Construction up to several times larger than this “rule of thumb” may still be small-scale, but significant adverse impacts become more likely and

Sub-Output IR 2.3.1.2: Nutrition

IR 2.3 will build on existing, evidence-based interventions in community child health, and nutrition models that have been shown to prevent and adequately address undernutrition during the first 1,000 days of life. The Project will strengthen and apply the Ministry of Health (MOH) Community Childhood Integrated Care (AIN-C in Spanish) strategy and improve community and household sanitation and hygiene. Illustrative interventions include:

Training on the content and methodology of the AIN-C of MOH personal to decentralized providers and community volunteers including monthly child growth monitoring.

Nutrition counseling and education for appropriate feeding for children under two years of age and management of common childhood diseases, among others.

Introduction of home-grown high-nutrient produce for sale and consumption.

Improvement of home conditions such as the installation of covered floors.

Sub-awards are envisioned under this sub-output

Sub-IR 2.3.2: Local Service Management Systems Improved The governance mechanism will achieve this output by improving basic service provision and working through Civil Society Organizations (CSO) to promote a demand for these services.

The Project will work in municipalities and local groups that demonstrate commitment to these reform processes and show active citizen engagement.

Sub-Output IR 2.3.2.1: Civil Society Participation Improved IR 2.3 will focus on increasing the capacity of civil society groups, including women’s organizations, to advocate for their needs and priorities and to monitor funding allocations and quality of service delivery. There is a need to monitor the provision of education, nutrition, and environmental services. In addition, USAID needs to organize advocacy groups to cooperatively work on expanding school and health infrastructure, water and sanitation systems, and environmental preparedness. Illustrative interventions include:

Targeted technical assistance to facilitate dialogue and collaboration between service-delivery institutions and citizen organizations.

Appropriate service monitoring tools to local populations to help them understand and influence decision- making.

Technical assistance to identify and support vulnerable infrastructure that needs strengthening.

Technical assistance to formalize community organizations and to meet legal requirements.

Promotion of private sector engagement in private-public alliances around common objectives.

Sub-awards are envisioned under this sub-output.

require more rigorous consideration and mitigation. This rule of thumb does not hold when complicating factors are present—e.g., the site is an environmentally sensitive area, or the activity involves rehabilitation of a structure containing toxic materials.

Sub-Output IR 2.3.2.2: Improved service provision IR 2.3 will support the improvement on service provision in chosen municipalities through the following illustrative interventions:

Technical support to assist municipalities to develop, implement, and monitor strategic plans for key sectors, including education, agriculture, environment, and nutrition.

Technical support to decentralized service providers and municipalities to improve their administrative and financial management capacities Technical assistance to identify and support vulnerable infrastructure.

Technical assistance to municipalities to increase own-source revenue accompanied with an awareness campaign on the importance of paying taxes, and the link between paying taxes and demanding better public services.

Strengthen municipal human resource capital to guarantee continuity at the technical level that guarantees cost benefit on trained audience to maximize USAID financial resources.

Sub-awards are envisioned under this sub-output.

Current Activities within IR2.3

Most of the IR 2.3 implementing mechanisms are already in operation and will be closing during FY 2016, although some are anticipated to continue. Current activities which have a Categorical Exclusion for training and technical assistance, and a Negative Determination with Conditions for small-scale infrastructure under the current ETD, include:

• NEXOS (contract, 2011-2016, implemented by Deloitte Consulting LLP). A cost-extension is being negotiated to cover all of Alliance for Prosperity’s municipalities in western Honduras.

• MUNASBAR (cooperative agreement, 2014-2016, implemented by Municipal

Association of South East of Santa Barbara). This activity builds the capacity of municipalities to generate own-source income and embrace financial transparency.

Supported activities include crime prevention, local crime and violence prevention plans, citizen cohesion, and economic activities that create employment opportunities for youth-at-risk.

• DEE (cooperative agreement, 2011-2017, implemented by FOPRIDEH). This activity builds the capacity of national institutions, local governments, and civil society organizations to promote and apply legislative reforms that enhance decentralization in all sectors such as health and education.

The current activity which has a Categorical Exclusion for training and technical assistance, and a Negative Determination with Conditions for handling of medical wastes, under the current ETD, include:

• ULAT (contract, 2011-2016, implemented by Management Science for Health (MSH)). This activity includes maternal and child health, family planning and health system strengthening actions. Also, strengthen the technical and management capacity of

MOH personnel to implement, monitor and evaluate the rural FP strategy to guarantee access to family planning services with special emphasis on guaranteeing the correct distribution of family planning methods to rural health centers and community family planning monitors.

The current activities which have a Categorical Exclusion for training and technical assistance, under the current ETD, include:

• EducAcción (cooperative agreement, 2011-2017, implemented by American

Institutes for Research). EducAccion Time and TEC extension included alignment of activities, indicators and targets with the CDCS. This extension covers activities that will implemented only in target municipalities in the zone of influence of the CDCS and an additional $1.3 million will be allocated for an impact assessment of the expanded services, to be carried out through a LAC managed award with Mathematica.

• MIDEH (cooperative agreement, 2011-2016, implemented by American Institutes for Research). At the end of 2015, MIDEH assisted the MOE in conducting a large scale assessment of student's achievement at the municipal level that will be used as a baseline for the educational activities to be implemented under the CDCS. A TEC increase in the amount of $2.6 million will extend the evaluation component of the activity until 2018, allowing for complete handover to a GOH independent evaluation institute.

Planned New Activities within IR2.3

The following new activities planned under this Project, are proposed in this IEE as a Categorical Exclusion for training and technical assistance, and a Negative Determination with Conditions for small-scale infrastructure:

• Small Infrastructure Activity (2017-2022). This Activity will provide construction efforts for infrastructure priorities defined under the new governance activity. The new governance activity will prioritize, design, and provide oversight for small-scale construction activities that support targeted sector priorities and municipal strategic plan.

The Infrastructure Activity will construct the small infrastructure projects such as improvements to education and health facilities, water and sanitation (including watersheds) infrastructure, roads, parks, and markets, among others – that have direct linkages to, or enable, improved service delivery.

• Governance Activity in western Honduras (2016-2021). This new governance activity will be cross cutting throughout the DO2. The Activity will promote responsive governance and supply-side focused assistance to service providers to improve service delivery. Service providers include, but are not limited to, municipal governments and councils, as well as civil society, grassroots, and non-governmental local actors and stakeholders. Civil society participation in local decision making will also be supported.

This activity will foster local institutional strengthening and provide the enabling environment to promote governance as a key cornerstone for sustainability.

The following new activities planned under this Project, are proposed in this IEE as a Categorical Exclusion for training and technical assistance:

• Reading Improvement Program (2017-2022). The purpose of this activity is to provide technical assistance to improve early grade reading skills for Honduran students in grades one to six in the target regions. These interventions will include, but not be limited to, providing support for improving teacher effectiveness; strengthening various types of student assessment at different levels of the education system; increasing the quality, availability, and use of reading materials; strengthening classroom and school management; and, and fostering community and civil society participation in the quality of education.

• Reading Materials Program (2017-2020). The purpose of this activity is to provide financial support to the Ministry of Education to print and distribute the reading materials designed and developed in the Reading Improvement Program and other materials designed and developed by the MOE, USAID, or other donors.

1.4 Geographic Coverage and Existing Conditions

As mentioned above, the IR 2.3 Project will improve human capital with focus on children in the six departments of western Honduras (Copan, Santa Barbara, Ocotepeque, Intibuca, Lempira, and La Paz). In these areas, 81 percent of all households live in poverty underlined by a chronic lack of basic services, poor health status, low educational levels, inadequate infrastructure, and weak governance.

The municipalities of western Honduras lag behind those of other regions in many important measures of educational attainment and governmental service provision. The student population in the six targeted departments represents 20 percent of national enrollment in basic education, but the net enrollment rate is below the national average. For example, the national primary school enrollment rate is 66 percent, while that of Copan is only 56 percent. The situation is even worse for grades 7-9 where we find a national average of 48 percent but only 25 percent in Lempira and 31 percent in Intibucá; drop-out rates after age 11 are also significantly higher than the national average (e.g., 52 percent in Lempira vs. 28 percent nationally). The quality of education in the country in general is poor, with only 30 percent of sixth grade students reaching proficiency in reading and 10 percent in mathematics. The situation in some departments of western Honduras is even worse. Only 20 percent of students in Lempira and 21 percent in San Bárbara reached expected proficiency levels in reading. In mathematics, only two percent of sixth grade students in Intibucá, five percent in Santa Bárbara, and seven percent in Lempira reached the proficiency level.

Regarding nutrition, according to a 2012 demographic and health survey, nationally seven percent of children ages 0-59 months are underweight and 22.6 percent are stunted, while in the DO2 zone of influence, these rates are 15 percent and 40 percent, respectively. In the household and community, the presence of fecal bacteria, both animal and human, causes diarrheal and other diseases that stunt growth and sap the productivity of the entire family.

Similar to the inhabitants, municipal governments, and decentralized line ministries in this region are poorer than in the rest of Honduras. The effectiveness of basic government services is compromised due to low educational levels and professional capacities of local government employees and local organization staff members, some of whom are even illiterate. In addition, the ability of these municipalities to collect own source revenue is much more limited than for municipalities in more affluent parts of the country. Civil society organizations and women’s groups are in the early stages of development, if they exist at all.

1.5 National Environmental Policies, Procedures and Regulations

IR 2.3 Project shall follow Honduran environmental laws and regulations. The environmental regulatory framework for this Project is guided by the following regulations:

Honduras National Environmental Law (Ley General del Ambiente) applies to all activities of the IR 2.3 Project. The General Environmental Law (Decree 104-93 of May 27th, 1993) created the National Environmental Impact Assessment System (SINEA in Spanish). SINEA coordinates the environmental management and licensing process for all activities (public or private) with a foreseeable potential to affect the environment. The SINEA is coordinated by the Ministry of Natural Resources and Environment's (MiAmbiente) Directorate of Environmental Evaluation and Control (DECA in Spanish). SINEA's structure and procedures for environmental licensing are normed in their updated Regulation (Decree 189-2009, dated December 31, 2009).

2. EVALUATION OF ENVIRONMENTAL IMPACT POTENTIAL

The Mission conducts environmental monitoring and evaluation as established under USAID Environmental Procedures (22 CFR Section 216). For negative determinations with conditions, all implementing partners are required to submit an Environmental Mitigation and Monitoring Plan (EMMP) for review and approval by the Mission Environmental Officer (MEO). Additionally, Agreement Officer Representatives (AORs) and Contract Officer Representatives (CORs), in conjunction with the MEO and/or the Regional Environmental Advisor (REA) conduct random field visits to review compliance with mitigation measures. Based on these monitoring and evaluation processes, all activities that will be covered under this IEE are in compliance with USAID’s Regulation 216 and all prescribed mitigation measures have been applied and are deemed to be effective.

The following activities are expected to have an effect on the environment:

Small-scale construction/renovation of facilities for schools, water service management, home improvement works like the installation of cement floors and ceiling improvements, have the potential to create waste, erosion/sedimentation, and safety hazards. An Umbrella EMMP shall be prepared for existing sites, by type of construction, in order to identify the potential impacts and minimize impacts through the implementation of mitigation measures. USAID’s Guidelines for Small Scale Construction shall be used to assist in identifying necessary mitigation measures.

The promotion of cultivation of high-nutrient crops for nutrition purposes shall be done following the USAID/Honduras PERSUAP, and best agricultural practices.

Many of the activities will be implemented through sub awards. As the specific actions for each sub-award are not yet known until the award proposals are received, an Environmental Mitigation and Monitoring Plan (EMMP) shall be prepared for each sub-award.

3. RECOMMENDED THRESHOLD DECISION AND MITIGATION ACTIONS

3.1 Recommend Threshold Decision. USAID/Honduras recommends the following Environmental Threshold Decision (ETD):

Categorical Exclusion for the following activities:

IR 2.3 Intermediate Result (Sub IR) see IEE for details.

Categorical Exclusion Citation

Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; Sub

IR 2.3.2.2; NEXOS;

MUNASBAR; DEE; ULAT;

EducAccion; and MIDEH

(i) Education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as small-scale construction or/and or renovation of facilities and family orchards);

22 CFR 216.2 (c)(2)(i)

Sub IR 2.3.1.1 Analysis, studies, academic, or research workshops, and meetings to develop the capability of recipient countries to engage in development planning, except to the extent designed to result in activities directly affecting the environment (such as small-scale construction or/and or renovation of

Negative Determination with Conditions for the following activities:

Activities Type of EMMP

1. All sub-award activities. Sub-awards are presently envisioned for Sub IR 2.3.1.1; Sub IR 2.3.1.2; Sub IR 2.3.2.1; and Sub IR 2.3.2.2; except for

Award-specific EMMP

2. Small-scale construction/renovation of facilities for schools, health centers, municipal and regional government offices, water service management, home improvements works, and others, under Sub IR

Umbrella EMMP for existing Sites (by type of construction )

Site-specific EMMP for all new sites.

Follow USAID/Honduras PERSUAP and best agricultural practices

Conditions:

For all the activities listed above as a Negative Determination with Conditions, each implementing contractor or partner shall fulfill the following conditions:

• Prepare an Environmental Management and Monitoring Plan (EMMP) which will identify the negative environmental impacts, propose corresponding mitigation measures, and monitor their effectiveness, utilizing the format in Attachment A, including Tables 1, 2 and 3. Guidance on the preparation of the EMMPs will be provided to the Contractor/Recipient as part of the Request for Proposals. The type of EMMP (umbrella or site-specific) is determined in the table above. All EMMPs will be submitted to the Contracting/Agreements Officer Representative (COR/AOR) for approval by the Mission Environmental Officer (MEO) prior to implementation. EMMPs must be consistent with “USAID's Sectoral Environmental Guidelines.”

http://www.usaidgems.org/sectorGuidelines.htm. This document is available in both English and Spanish.

• Incorporate the completed EMMP into the initial work plan.

• Incorporate the EMMP into subsequent Annual Work Plans, making any necessary adjustments to activity implementation in order to minimize adverse impacts to the environment.

• Submit an annual environmental compliance report (ECR), preferably as part of the regular project reporting. This report should be based on Table 3 of the EMMP Format outlined in Attachment A. This report must be submitted to COR/AOR and approved in writing by the MEO.

• In addition to USAID Reg. 216 requirements, also comply with Government of Honduras (GOH) environmental regulations and obtain all required permits from the appropriate GOH officials.

• To ensure that all these environmental requirements and conditions are met in an adequate and timely manner, each implementing contractor or partner will hire a qualified environmental specialist.

• The agriculture production for nutrition shall follow the Mission PERSAUP and agricultural Best Management Practices/Climate Smart Agricultural techniques as per the Agriculture Section of the USAID Sectorial Environmental Guidelines (see the link above).

3.2 Monitoring Requirements:

The COR/AOR is responsible for making sure environmental conditions outlined in this IEE, and included in each EMMP, are met (ADS 204.3.4). This includes ensuring that the appropriate environmental guidelines are followed, that the mitigation measures are funded and implemented, and that adequate environmental compliance monitoring and evaluation protocols http://www.usaidgems.org/sectorGuidelines.htm are in place. If during activity implementation, it becomes apparent that there may be additional activities not included in this IEE, an amended IEE will be submitted for approval.

It is the responsibility of the Development Objective (DO) Team to ensure that environmental compliance language from the ETD is added to procurement and obligating documents, such as activity-related Development Objective Grant Agreements (DOAGs), Task Orders, Contracts, etc.

EMMPs shall be monitored by the Implementing Partner using Table 3 of the EMMP on a regular basis as per listed on the EMMP Table 3. COR/AOR/, MEO, and REA shall conduct spot check monitoring of the EMMP mitigation measures effectiveness and implementation together with the Implementing Partner.

3.3 Environmental Compliance Language for Awards

Each technical office, along with the MEO, will ensure that environmental compliance language from this IEE is included in all procurement and obligating documents, such as activity-related Development Objective Agreements, and under Global Acquisition and Assistance Systems (GLAAS). The following language regarding environmental compliance will be included in any kind of procurement instrument within this Project:

Categorical Exclusion and Negative Determination Only. “The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID’s activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/who-we-are/agency-policy/series-200), which, in part, require that the potential environmental impacts of USAID-financed activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. [Offeror/ applicant/contractor/recipient] environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this [RFP/RFA/contract/task order/grant/cooperative agreement].

In addition, the contractor/recipient must comply with host country environmental regulations unless otherwise directed in writing by USAID.

No action funded under this [contract/task order/grant/CA] will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE) duly signed by the Bureau Environmental Officer (BEO).

As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor/recipient, in collaboration with the USAID COR/AOR and MEO, REA or BEO, as appropriate, shall review all ongoing and planned activities under this [contract/task order/grant/CA] to determine if they are within the scope of the approved Regulation 216 environmental documentation.

http://www.usaid.gov/policy/ADS/200/

At least one Negative Determination with Conditions, with sub-awards. An Initial Environmental Examination (IEE) [(insert IEE # or hyperlink, if available)] has been approved for [the Activity] funding this [RFA/RFP/contract/task order/grant/cooperative agreement (CA)].

The IEE covers activities expected to be implemented under this [contract/task order/grant/CA].

USAID has determined that a Negative Determination with Conditions applies to one or more of the proposed actions. This indicates that if these actions are implemented subject to the specified conditions, they are expected to have no significant adverse effect on the environment. The [offeror/applicant/contractor/recipient] shall be responsible for implementing all IEE conditions pertaining to actions to be funded under this [solicitation/award].

As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor/recipient, in collaboration with the USAID COR/AOR, and MEO, REA, or BEO, as appropriate, shall review all ongoing and planned actions under this [contract/task order/grant/CA] to determine if they are within the scope of the approved IEE.

If the contractor/recipient plans any new actions outside the scope of the approved IEE, the contractor/recipient shall inform USAID in writing of these changes. No such new actions shall be undertaken prior to receiving written USAID approval.

When the approved IEE contains one or more Negative Determinations with Conditions, the [contractor/recipient] shall:

● Prepare an environmental mitigation and monitoring plan (EMMP) for each proposed action under the Negative Determination with Conditions in the IEE, describing how the contractor/recipient will, in specific terms; implement all IEE conditions that apply within the scope of the award. The EMMP format is attached. The EMMP shall include monitoring the implementation of the conditions and their effectiveness.

● Integrate a completed EMMP into the initial work plan.

● Prepare an Environmental Compliance Report (ECR) at the end of the year or as per reporting requirements of the contract. The ECR shall be based on the monitoring of mitigation measures using Table 3 of the EMMP.

● A revised EMMP must be completed and approved in subsequent Annual Work Plans, making any necessary adjustments to implementation in order to minimize adverse impacts to the environment.

A provision for sub-awards is included under this award. Therefore, the [contractor/recipient] will prepare an EMMP for each proposed sub-award, except those that qualify for a categorical exclusion. In the case of a categorical exclusion, [contractor/recipient] shall complete and submit for USAID approval table 1 of the EMMP (Environmental Review Form- ERF). In order to ensure the funded proposals will result in no adverse environmental impacts. Implementation of sub-awards shall not begin prior to USAID written approval of the corresponding EMMP.

The contractor/recipient is responsible for ensuring that mitigation measures specified in the EMMP are implemented.”

Guidelines for Implementing Partners USAID/Latin American and Caribbean Bureau (LAC) ENVIRONMENTAL

MITIGATION and MONITORING PLAN (EMMP) 2

July 31, 2015

A. Background

All activities funded by USAID must conform to its environmental procedures outlined in 22 CFR 216, which require Initial Environmental Examinations (IEE) to ensure that “environmental factors and values are integrated into the USAID decision-making process” and that “the environmental consequences of USAID-financed activities are identified and considered by USAID and the host country prior to a final decision to proceed and that appropriated environmental safeguards are adopted”.

Based on the IEE’s…