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DCN: 2019-UKR-008

Initial Environmental Examinations (IEE)

US Agency for International Development (USAID)for Ukraine, Belarus, and Moldova

Amendment 1 to DOBRE Initial Environmental Examination (IEE)Program/Project/Activity Data

Activity/Project Name:Decentralization Offering Better Results and Efficiency (DOBRE) Program under the Democracy and Governance Development Objective Agreement (DG DOAG) -

Assistance Objective: 2.2 Good Governance Program Area

Program Area: 2.2.3 Local Government and Decentralization2.2.4 Anti-Corruption Reforms

Country(ies) and/or Operating Unit: USAID/UkraineOriginating Office: USAID/Ukraine/ODG Date: August 20, 2018PAD Level IEE: Yes NoSupplemental IEE: Yes NoRCE/IEE Amendment: Yes No

DCN of Original RCE/IEE: 2017-UKR-015

DCN of Amendment(s):

If Yes, Purpose of Amendment (AMD): Add new water/wastewater activities to the scope of potential interventions under Sub-component 1.2.2

DCN(s) of All Related EA/IEE/RCE/ER(s): 2014-UKR-010 (DOAG IEE) and multiple ERCsImplementation Start/End: LOP: FY2016-FY2021Funding Amount: LOP Amount: $ 50,000,000Contract/Award Number (if known):Recommended Environmental Determination:Categorical Exclusion: Positive Determination: Negative Determination: Deferral:

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

1. Background and Project Description1.1. Purpose and Scope of IEE

This Amendment 1 to the IEE (2017-UKR-0015) has been prepared to expand the scope of activities authorized under for the Decentralization Offering Better Results and Efficiency (DOBRE) Program IEE. Pursuant to 22CFR216, this amendment has been prepared to evaluate potential impacts of expanding DOBRE interventions under Sub Component “1.2.2 Improved, more inclusive local services and provide more transparently” and assign a threshold determination and mitigation and monitoring requirements.

The DOBRE program is currently in compliance with the original IEE. To date, there have been 47 Environmental Review Checklists prepared under the DOBRE project. This Amendment was triggered as a result of the screening process in place for consolidated communities (CC) assistance requests against the scope of the IEE which stipulated (bolding added for clarity):

Illustrative distinctions of size and scope are: improved services such as waste collection would be in the scope but not development of a landfill;

replacement of water piping for drinking water but not developing a new water supply;

Ukraine / DOBRE 1EE.BEU Standard Form: IEE.v3

DCN: 2019-UKR-008 replacement of wastewater pipes and refurbish existing systems but not construction of new system; simple expansion of electrical supply with transformers and projects consistent with this level of

development such as new LED streetlights; sidewalks and roads with sustainable storm water drainage (infiltrate water locally instead of sending it

to a river).

By way of this amendment, the DOBRE project seeks to add flexibility under Component 1.2.2 “Improved, more inclusive local services and provide more transparently” to allow for CCs consideration of new water supply and new waste water systems. The scope of this type of work would be assessed by the mission and reviewed with the BEO to ensure there are no significant impacts which would trigger an environmental assessment (EA). Requirements for a local environmental impact analysis would also be coordinated. Typical significant impacts would be depletion of the water resources, impact to cultural resources, impact to sensitive ecosystems or species and poor siting. Other factors such as technical and administrative capabilities will be assessed by the DOBRE project in the review and selection of projects.

This Amendment only addresses changes to the IEE relative to Component 1.2.2, all other terms, conditions, and limitations from the original IEE remain in effect.

1.2. Project Overview The DOBRE Program is a timely and important investment in Ukraine’s stability, economic prosperity and democratic development in line with European standards for local self-governance. Decentralization is a stated priority of Ukraine’s post-Euromaidan government, and should result in more decisions and policies being set at the local level, with more resources flowing from the central government down to local communities. As a first step, the government introduced a process through which Ukraine’s more than 11,000 towns, villages and settlements could consolidate into larger and more self-sustaining communities.

Since 2015, nearly two hundred of a projected 1500 new communities have consolidated or amalgamated, and held local elections to set new leadership. Now these communities face the challenge of governing in ways they may not have had to in the past. Ukraine’s previous system of more centralized governance means that local governments, especially villages and rural settlements, have little or no experience exercising the new responsibilities given them under decentralization.

DOBRE intends to help those new local governments effectively manage these new responsibilities, and support the development of stronger community cohesion through citizen engagement in these new communities. DOBRE will focus on the lowest level, specifically enabling newly formed Consolidated Communities (CCs) to better manage resources, increase the quality of public services, stimulate the local economy, and improve citizen engagement. DOBRE will help CCs thrive and prosper through stronger local governance and better conditions for development, while serving as a model and motivation to other communities seeking to amalgamate.

DOBRE will work in seven target Oblasts: Dnipropetrovsk, Ivano-


DCN: 2019-UKR-008Frankivsk, Kharkiv, Kherson, Kirovograd, Mykolayiv, and Ternopil. DOBRE will provide direct assistance to 50 consolidated communities in these Oblasts, with cohorts of 25 at a time selected competitively. Showcasing the achievements of participating CCs and the benefit to community members will allow DOBRE to encourage adoption of best practices in other CCs and promote decentralization on a national scale.

DOBRE will support CCs in participatory strategic planning, emphasizing mechanisms for including citizen voices. Resulting strategic plans should then reflect what citizens want and need. In each community, DOBRE will then help CCs implement plans to address those needs. Projects to support local economic development or develop public-private partnerships, or plans to improve the management and delivery of public services or develop improved infrastructure will be supported with technical advice and co-funding.

DOBRE will also support improved operations and performance in local government, from individual staff capacity, council performance and transparency, permitting, planning and management systems, technology solutions, or inclusive processes to integrate the needs of vulnerable community members (such as, people with disabilities, displaced, women, or elderly). DOBRE will help CCs develop better budgeting and financial management to build trust with citizens.

Mechanisms for citizens to participate in local government and decision making will be emphasized throughout the program. DOBRE will support civil society and help the community better advocate for their interests and form a partnership with their CC, while also supporting anti-corruption, transparency and monitoring mechanisms to strengthen trust between CCs and their citizens. DOBRE will encourage innovative methods for improving broad participation, particularly through ICT solutions.

1.3. Project Description Component 1 –Local Governments Effectively Manage Resources and Services that Respond to Community Priorities is comprised of several sub activities consisting of:

1.1 Increased local government capacity to promote sub-national and sub-regional development: Refer to the original

NO CHANGE UNDER THIS AMENDMENT

1.2 Targeted local government services improved

1.2.1 CCs, citizens and private sector jointly prioritize service improvementsNO CHANGE UNDER THIS AMENDMENT

1.2.2 Improved, more inclusive local services and provide more transparentlyDOBRE will implement a variety of interventions based on approved Service Delivery Improvement Planning (SDIP) such as:

Provide TA through local consultants and Polish experts to CCs for process improvements; Facilitate domestic peer exchanges to share best practices in service delivery; Co-finance communal infrastructure improvements; Provide TA to develop PPPs for service delivery; Develop or expand Centers for Administrative Service Provision (CASPs) and ensure accessibility for

the elderly and those with physical handicaps; Develop e-governance tools to promote efficiency and transparency, as well as internal ICT systems

that increase productivity; Provide TA and grant support for inter-municipal service improvement projects for transportation (rural

roads), water and sanitation, electrification and waste management; and Strengthen Internally Displaced Persons (IDP) access to legal and administrative services to restore

documentation and protect rights, to health, education and social services that meet their needs.


DCN: 2019-UKR-008The scope and services under DOBRE will be limited with regard to infrastructure improvements to ensure compliance with ADS 303.maw and those consistent with the limited capabilities of these small CCs to ensure activities undertaken do not trigger a positive determination per 22CFR216. New scope covered by this Amendment is highlighted in Yellow. Illustrative distinctions of size and scope are:

improved services such as waste collection would be in the scope but not development of a landfill; clean-up of surface debris from unauthorized landfills without major toxic materials (i.e., municipal

waste) replacement of water piping for drinking water small scale development of new water supply systems, including new small scale wells; replacement of pipes and refurbish existing systems installation of new small scale wastewater pipes to expand connection within existing systems installation of small scale wastewater treatment systems; simple expansion of electrical supply with transformers and projects consistent with this level of

development such as new LED streetlights; sidewalks and roads with sustainable storm water drainage (infiltrate water locally instead of sending it

to a river).

1.3 Local governments’ budgets and financial systems implemented transparently.


Component 2 – Improved Citizen Engagement and Oversight in Local Governance


2. Baseline Environmental Information Excerpt/adapted from the Ukraine Country Environmental Analysis, World Bank, January 2016 and updated based on recent developments as of February 2017 and other sources.

2.1. Locations Affected and Environmental ContextDescriptions of each Oblast are provided below. Of relevance to this Amendment, it should be noted that additional baseline information is collected and analyzed as part of the DOBRE project and is incorporated into the Environmental Review conducted for each site-specific intervention under subcomponent 1.2.2.

Ukraine is the second largest country in Europe and has a population of 43 million, the majority of whom live in urban areas. It is a lower middle income country, with the services, industry and agriculture sectors being main contributors to the country’s GDP. Ukraine faces a number of environmental challenges, as identified in its National Environmental Strategy 2020 (NES). Key among these are: air pollution; quality of water resources and land degradation; solid waste management; biodiversity loss; human health issues associated with environmental risk factors; in addition to climate change.

Dnipropetrovsk OblastThe oblast is situated in Ukraine’s steppe region. Forests in the oblast occupy about 3.9% of the oblast's total territory. The average temperature in the winter ranges from −3 to −5 °C and in the summer from 22 to 24 °C. The average annual rainfall is 400–490 mm. During the summer, Dnipropetrovsk oblast is very warm (average day temperature in July is 24 to 28 °C (75 to 82 °F), even hot sometimes 34 to 38 °C (90 to 97 °F).

The Dnipropetrovsk Oblast has recorded more than 1700 species of vegetation, 7500 species of animals (including elk, wild boar, dappled deer, roe, hare, fox, wolf, etc.) There are also 114 parks and nature objects, including 15 state reserves; 3 nature memorials, 24 local parks; 7 landscape parks; 3 park tracts, which altogether make up approximately 260 square kilometers.

217 rivers flow within the area, including 55 rivers which are longer than 25 km, the major one being the Dnieper, which crosses through the center of the oblast. Three major reservoirs are located within the oblast, the Kamianske, Dnieper and Kakhovka, as well as the Dnieper-Kryvyi Rih Canal.


DCN: 2019-UKR-008Dnipropetrovsk Oblast is highly industrial. Although anthropogenic pressure on environment is decreasing, nevertheless there are 716 enterprises of mining and smelting, metal, fuel and energy production industries, chemical industries and transport. Also, significant amount of agricultural activities possessing the risk of land and water pollution with fertilizers and crop protection agents. Typical environmental issues are high level of air pollution (although decreasing), water consumption (negative renewal rate) and pollution, and wastes accumulation as a results of absence of wastes disposal system, illegal landfills and non-insulated dump wells. Most of wastes could be a source of raw materials which makes recycling and waste management one of the top priorities. Most of the land has gone through anthropogenic transformation and are under industrial enterprises, ore mining or agricultural.

At the same time most of the consolidated communities (CCs) that DOBRE program will be working with are smaller in size, located far from a concentration of the industrial enterprises, and any environmental impact will be limited by the CCs limits as well as by the scope of the program, which is mostly on a soft side and focused on assistance with participatory strategizing and planning with the following approval of plans by CCs councils.

Ivano-FrankivskThe oblast is situated partly in the Eastern European Plain and partly Carpathian foothills. The oblast may be divided into three regions: mountainous, foothills, and plains. The climate is mildly-continental and damp with cool summers and mild winters. The average monthly temperature in June is 18 °C (64 °F) with 12 to 16 °C (54 to 61 °F) in the mountains. Average precipitation varies annually around 650 mm (25.6 in) with 1,550 mm (61 in) in the mountains.

The elevation of the oblast varies from 230m to 2,061m above sea level. Mountains occupy almost one half of the oblast and their elevation rises from north-east to south-west stretching along the oblast's south-western border.

The rest of oblast is located within the Dniester river and Prut river valleys. The plains of the oblast are part of the Carpathian Foothills and Opillia Upland (part of Podillia Upland). The upland has a temperate-climate mixed with grassland and woodland (forest steppe). The relief of the region consists mostly of rolling hills of 230-400m to sea level.

The oblast has numerous rivers but few lakes and water reservoirs. Most of rivers either flow into Dniester or Prut River. The total water drainage area of the region is 13,900 km2 (5,400 sq mi). The water drainage divide between Dniester and Prut roughly runs through the middle of following districts: Nadvirna Raion, Kolomyia Raion, Tlumach Raion, and Horodenka Raion.

There are a number of preserved areas in the region (456 as of 2006) covering 195,633 ha (483,420 acres), 30 out of which are of national importance with an area of 108,742 ha (268,710 acres) and the rest of a local significance. There is also a strict nature reserve, Gorgany, created in 1996 and five national parks as well as numerous natural monuments and habitat management areas.

Natural resources, landscape and forests of Ivano-Frankivsk Oblast create favorable conditions for creation of national parks (there are several in oblast) as well as for tourism development (there are lots of hotels, green tourism sites, etc.), which leads to significant amount of construction as well as increase of irresponsible use of natural resources increasing environmental concerns. Besides that there are more than 500 industrial enterprises of (chemical, energy, oils extraction, timber). More than 4% of oblast territory is occupied by oil and gas pipelines. There are 30 landfills of solid wastes. The most problematic districts are Halytskyi (Burshtyn Power Station), Kaluskyi (chemical enterprises), Nadvirnyanskyi (oil refinery, timber), Tysmenytskyi (cement production, fur factory), and Dolynskyi (timber, leather). Among other main environmental concerns, a low level of ecological awareness of residents lead to such environmental issues as illegal wastes disposal (70% of the households do not use waste collection system, absence of sewage system leads to wastes going into the soil and local waters). Another typical issue is illegal logging and deforestation.

As known, DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils, therefore, it is not expected to have any significant environmental impact.


DCN: 2019-UKR-008KharkivThe oblast is the third most populous province of Ukraine. The oblast’s climate is humid continental with cold snowy winters and hot dry summers, with an average rainfall totals 513 mm.

Kharkiv Oblast is a great industrial zone with a dominant machine building and as a result has a lot of ecological issues. Typical environmental issues are air pollution (Zmyiv – two Power Stations, Balakleya – cement plant, Kharkiv – tractor building plant), lack of river water resources complicated by river water pollution, increased reliance on ground water (4000 Artesian wells), which is in plenty, intensive soil farming (80% of land) and erosion (growing).

Addressing some of those issues may be expressed coming up as a priority of consolidated communities. However, it is important to remember that DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils. Program activities do not possess any significant environmental impact.

KhersonThe Kherson Oblast, located in the Black Sea lowlands, is bordered by the Dnipropetrovsk Oblast on the north, the Black Sea and the disputed region of Crimea on the south, the Mykolayiv Oblast on the west, and the Azov Sea and the Zaporizhzhia Oblast on the east. The Dnieper River runs through the oblast which includes the Kakhovka Reservoir. The oblast includes (within Henichesk Raion) the northern portion of the Arabat Spit, a thin strip of land between the brackish Syvash and the Sea of Azov that is geographically part of the Crimean Peninsula. Due to Russia gaining de facto control of the Autonomous Republic of Crimea in 2014 the southern areas of Kherson are the only parts of the Crimean Peninsula under direct Ukrainian control.

Kherson oblast is highly agricultural. It has the largest territory of agricultural lands in Ukraine and one of the leading producers of vegetables and cucurbit crops. The climate is rather dry, which makes land irrigation a top priority among agricultural activities. A cattle farming is another feature of local economy. Agricultural cooperatives are common in the rural areas. As far as industrial development, it is mostly machine building, food producing and processing, chemical, paper producing, energy producing and shipbuilding industries. Geographical position and natural conditions are favorable for creation of national preserves (“Nyzhnyodniprovskyi”, “Fedorivskyi”, “Mylovska Balka”, “Shylova Balka”, “Kamyanska Sich”, “Askania Nova”).

Major environmental issues are air pollution caused by industrial enterprises and transport, water pollution caused by wastewaters, inappropriate waste management and recycling of solid wastes, absence of the centralized households sewage systems, accumulation and inappropriate storage of fertilizers. The most polluted areas are Kakhovka, Nova Kakhovka as well as Bilozerskyi, Beryslavskyi, Henicheskyi, Holoprystanskyi and Tsyurupinskyi Districts (Rayons). According to the Department of Ecology of Kherson Oblast State Administration, one of the most urgent needs is setting up legal landfills in accordance with Land Code of Ukraine as well as upgrading industrial waste management systems.

As stated above, DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils, therefore, it is not expected to have any environmental impact.

KirovogradA regional report on the state of the environment Kirovograd region

The climate is temperate continental with mild winters and hot summers. The average January temperature -5,4 ...- 6,5 ° C, July +20 - + 21,4 ° C. Annual precipitation is 400-490 mm. The region experiences droughts and occasionally dust storms. According to the recent state of the environment report, the Kirovograd oblast experiences heavy rains, hail, ice, and dust storms. Frequent occurrence in the steppe zone are dust storms and dry winds up to 25-30 m / s, occurring typically in autumn-summer period, which cause significant damage to the economy due to decrease or complete loss of crops.


http://ekolog.kr-admin.gov.ua/files/dopovid_2015_rik.docx

DCN: 2019-UKR-008Kirovohrad Oblast is predominantly agricultural with 70% of crops, vegetables, and fruits and 30% of cattle farming. Industrial production (food production, machine building, electricity production) is another big share of economy. Major environmental problems are caused by ore extraction, mining, producing, transport and communication industries. The most environmentally harmful enterprises are Eastern mining and processing plant (Kirovohradskyi, Malovysivskyi, and Petrivskyi Districts), Pobuzkyi Ferronickel Enterprise and Dnipro-Kirovohrad Utility Enterprise. Major environmental issues are water pollution by industrial and mining wastewaters, quality of drinking water, solid wastes sorting and recycling, and pesticides utilization.

Given environmental issues described above, some of the local CCs may request an assistance to mitigate those. It is important to remember that DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils. Program activities do not possess any significant environmental impact.

MykolayivThe Mykolaiv Oblast is located in the southern half of Ukraine. The oblast borders the Odessa Oblast to the west-southwest, the Kirovohrad Oblast to the north, the Dnipropetrovsk Oblast to the northeast, and the Kherson Oblast to the southeast. To the south the oblast is also bordered by the Black Sea

Mykolaiv Oblast industrial complex and multi-sectorial agriculture significantly impact local environment. In spite of the fact that major industrial production has been decreasing recently, typical environmental issues are still in place and far from resolution, although Mykolaiv Oblast is further down the list of environmentally problematic regions. Among major environmental issues there are air pollution, highly depreciated and not upgraded industrial equipment causing environmental harm, mines wastewaters polluting rivers of Inhulets and Dnipro, households wastewaters (fewer than 30% are connected to the sewage disposal systems), ongoing construction of Tashlytska Electric Station causing landscape change at landscape park “Pobuzhzhia”, Yuzhnoukrainsk Nuclear plant, illegal solid wastes landfills, poor drinking water quality due to insufficient capacity of its purification works, drinking water shortage.

It would be fair to expect that mitigating some of the environmental issues may come up as consolidated communities’ priorities. It is important to remember though that DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils. Program activities do not possess any significant environmental impact.

TernopilThe oblast is located in Western Ukraine and has an area of 13,800 km². It is situated at the western part of the Podilian Upland which is known for its rocky and mountainous terrain, Twenty percent of land in the region is comprised of highly productive chernozem soil. The Dniester forms southern and southwestern borders of Ternopil Oblast with the adjacent Chernivtsi Oblast and Ivano-Frankivsk Oblast. Its tributaries that flow through the oblast include Zbruch, Seret, and Strypa among others. The Seret River flows through the oblast administrative center, i.e. Ternopil.

Major economic sectors of Ternopil Oblast are food processing (sugar, spirit, fruits and vegetable processing), agriculture (60% crops and vegetables, 40% cattle), tourism, machine building. Major environmental issues are high level of chemical pollution that possesses threat to surface and underground waters and soils, lack of sewerage in the communities and around them, lack of water supply system despite increasingly critical problem related to drying out of wells in summer, overfull landfill site in need of reclamation.

Addressing some of the issues described above could be expressed by consolidated communities. However, it is important to remember though that DOBRE program is mostly focused on a soft assistance with participatory strategizing and planning with the following approval of plans by CCs councils. Program activities do not possess any significant environmental impact.

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


DCN: 2019-UKR-008The scope of Ukrainian environmental legislation is quite broad and comprehensive (more than 300 legal acts). However, environmental legislation is largely declaratory in nature and does not have all the essential enforcement mechanisms, many of the acts are not coordinated with each other, and legislation undergoes limited analysis of its impact and is frequently changed. The signature of the EU-Ukraine Association Agreement is expected to spur the enhancing environmental legislation by bringing in line with the EU directives. Ukraine’s legislation provides for the use of a wide spectrum of direct and indirect environmental policy instruments. However, implementation requires strengthening to ensure that they are in line with international good practices:

Environmental Regulations and Standards are based mainly on the use of maximum allowable concentrations. Only recently, Ukraine started introducing changes for implementation and adoption of the EU Integrated Pollution Prevention and Control Directive and use of the principle of best available techniques.

Environmental and Compliance Monitoring and enforcement: A number of government agencies have responsibilities for environmental monitoring, but the efficiency of their work is undermined by outdated equipment, lack of qualified personnel, and insufficient funding. There is need to clearly divide responsibilities between the state bodies at the national and regional levels. The OSA environmental departments lost some of the functions that regional MENR departments had. Cooperation between departments of OSA and oblast branches of State Ecological Inspectorate is weak.

Environmental Licensing: The environmental licensing system is broad, and it is characterized by a large number of permits. By the Law of 2012 (mentioned above), responsibilities for environmental permits were divided between the central government and OSA environment departments. Most functions stayed with the central agency, which also reserves the right to revoke any permit approved by regional authorities.

Environmental Impact Assessment and Strategic Environmental Assessment: Efforts to modernize and adopt EIA and SEA processes in line with EU norms have advanced in recent years, but have not passed in to law. The MENR, the Ministry of Regional Development and Construction plays an important role in regulating requirements to EIA, as well as in reviewing EIA documentation. The Law of Ukraine “On Environmental Impact Assessment” and the Law of Ukraine “On Strategic Environmental Assessment” were drafted in response to the adaptation of Ukraine’s legislation to EU norms. They were adopted on 4 October 2016, by the Rada but subsequently vetoed by the President of Ukraine. There was substantial resistance to the passage of these laws from multiple trade groups, particularly those representing livestock growers.

Market-Based Instruments / Economic Instruments: Market-based mechanisms/instruments are not well developed in Ukraine. Environmental economic instruments that are in use in Ukraine include emission charges, taxes for special use of natural resources, sanctions on environmental pollution, and excises and customs duties on environmentally harmful products. However, in many cases, emission charges and sanctions are low and do not stimulate the introduction of environmentally sound technologies.

2.3. Country/Ministry/Municipality Environmental Capacity Analysis

The information below is from the original IEE. Of relevance to this Amendment, it should be noted that enhancements to local municipal services, such as new water supply and treatment facilities, will only be undertaken if analysis has confirmed local capacity to ensure operation and maintenance (O&M) of the investment or is provided concurrently with capacity building to ensure efficient O&M and sustainability planning (i.e. plans to cover O&M costs within municipal budgets, etc.)

To address its environmental challenges, Ukraine has made important steps in building its environmental institutions and management: the country developed a comprehensive regulatory framework for environmental protection; became signatory to major international conventions; established the Ministry of Ecology and Natural Resources (MENR) and a number of agencies with environmental protection responsibilities; developed environmental management instruments; and established environment and nature protection funds.


DCN: 2019-UKR-008The system of environmental protection inevitably depends on the overall system of public governance in the country. In 2014, Ukraine embarked on decentralization reform, which aims to delegate significant governance authority and financial resources from central level to local government. Ukraine’s environmental management has been undergoing changes with the ongoing decentralization reform. It includes, inter alia, achieving optimal distribution of powers between the local authorities and central authorities; implementing fiscal decentralization, including through redistribution of taxes; improving the quality of management at the regional level; strengthening inter-sectoral coordination in the formation and implementation of state regional policy; and harmonizing national and regional long-term strategic priorities. In 2014, the Association Agreement between Ukraine and the EU was ratified. This agreement now defines the principles of cooperation in different spheres, including environmental protection and natural resources management.

From an environmental management perspective, several key institutional challenges exist for Ukraine’s attracting public and private investments and fostering sustainable development.

The Government of Ukraine approved the National Environment Strategy – 2020 among other key strategies. The following key gaps are identified in Ukraine’s strategy documents in the area of environment: lack of clear prioritization among the different environmental goals (this lack undermines opportunities for implementation by failing to be responsive to financial and human resources scarcity); lack of a clear baseline and realistic target indicators; lack of clear time frames in the national plans of measures; and weak integration of environmental issues into sectoral strategies, programs, and activities.

A number of agencies at the central level are responsible for environmental management. The Ministry of Ecology and Natural Resources (MENR) is the main state authority tasked with the key role of developing and ensuring the implementation of environmental policy at the central government level. The ministry coordinates several agencies, including the State Ecological Inspectorate, State Agency of Water Resources, State Service of Geology and Mineral Resources, and State Agency of Ukraine on Exclusion Zone Management. MENR also supervises three research institutes and nine state enterprises.

MENR collaborates with other Ministries: Ministry of Energy and Coal Industry; Ministry of Agrarian Policy and Food; Ministry of Regional Development, Construction, Housing, and Communal Services; Ministry of Infrastructure, and other ministries, state agencies, and inspectorates. However, the level of collaboration is low and consists mainly of providing "no objection" to legislative acts, programs, and regulations issued by each government agency. This multitude of agencies with responsibilities in environmental management, coupled with sometimes overlapping responsibilities, frequent organizational change and weakness in coordination limit the effectiveness of environmental management.

The environmental management system underwent significant changes due to the Law of 2012 on “Introducing Changes to Certain Legislative Acts of Ukraine with the Aim of Optimization of Powers and Authorities of the Executive Authorities in the Sphere of Ecology and Natural Resources, Including the Local Level.” The law amended several laws and codes and transferred a number of functions (such as permits for certain activities, monitoring, supervision, expert reviews, and so forth) from the central government (MENR) to local governments (oblast state administrations). This law was followed by the Resolution of the Cabinet of Ministers No. 159 (2013) by which MENR’s oblast branches were abolished and respective departments in oblast state administrations (OSA) were created. This process led to lack of continuity between MENR’s oblast branches and OSAs’ environmental departments. Consequently, these environmental departments do not have legal information regarding past actions, such as decisions of ecological expertise, records of past performance, and violations of environmental regulations.

At present, each oblast has several agencies with responsibilities for natural resources, permitting, control, and enforcement – and there is no procedure outlining the coordination mechanism among them. Consequently, the system of environmental management at the sub-national level requires considerable effort to develop and organize, because legislative acts are not consistent; regulatory acts are often missing; and the functions of various agencies are not clearly defined, which results in gaps for some functions on one hand, and overlap with the central level functions on the other hand.


DCN: 2019-UKR-008

Ukraine is party to the Aarhus Convention on Access to Information, Public Participation, and Access to Justice on Environmental Protection. The MENR publishes some information and the results of its work on its Web site, and so do environmental departments of OSA and other agencies. Agencies also share information they have upon request, but often they do not have the requested information. Public participation is effected through the MENR Public Council (Hromadska Rada), which fulfills the functions of consultation and of an advising body for the development of environmental policy. Similar councils exist as advisory bodies at OSAs. There is significant scope for enhancing public access to information and public participation by activating the public consultation and participation mechanisms of the different policy instruments and strengthening the environmental monitoring and data availability.

The NES–2020 foresaw the development and implementation by 2015 of incentives for enterprises to introduce clean technology production, various energy-efficient and environmental measures, corporate social responsibility, and environmental audit and certification to stimulate Private Sector Engagement in Environmental Management. However, assessment of the NES’s implementation demonstrated that this objective of the strategy was not achieved.

Synergies for Strengthening Ukraine’s Environmental Institutions. The ongoing decentralization reform and the EU–Ukraine Association Agreement create an opportunity and an impetus for the much-needed reform of the environmental management system in Ukraine. Strengthened environmental institutions would help Ukraine to more efficiency and cost-effectively address the country’s environmental priorities; would contribute towards ensuring that Ukraine’s economic growth and development objectives are met in an environmentally sustainable manner; and facilitate Ukraine’s ability to be in line with international financing institutions’ requirements for environmental and social safeguards, thus improving the country's attractiveness for investments. Strengthened environmental management system will also contribute towards facilitating the implementation of the signed EU-Ukraine Association Agreement.

2.4. Sustainability Analysis

The Local Governance program targets the supply and demand side of local governance, by empowering local authorities through strengthening their ability to provide basic local governance functions and services (administrative services, communal services, economic growth, health, etc.). There is demonstrable local demand and ownership for this project, as local government is the level of government closest to citizen and most responsive to local needs. In public perception surveys (IFES), citizens frequently more favorably rank local governments higher than other government institutions as these entities are closest to citizens.

Citizens and local governments are particularly interested in local ownership of devolved local authorities and budgets as an inherently self-reinforcing process. Local government officials have an inherent interest in not only receiving additional authorities, but also in improving their ability to perform and meet citizen demands at the local level, as they are closer to their constituencies. As local government officials live in the communities they serve, receive the same level of services (health, education, water, sanitation, etc.), as well as interact with the direct citizen beneficiaries on a daily basis, they are more intrinsically interested in the outcomes of effective local governance and decentralized authorities. Therefore, local government officials have a greater interest in ensuring effective performance and continuation of successes achieved. Decentralization reforms will also help ready Ukraine for closer ties with the European Union.

It is envisioned that through improved coordination of CCs, particularly through implementation of Component 1.1, Targeted local government services improved, that DOBRE will help to establish the foundation for improved municipal services including those aimed at improving the local environment. Project support aimed at developing the capacity of local authorities to implement devolved environmental management in accordance with updated laws and regulations would be warranted.

2.5. Climate Change Vulnerability Analysis


DCN: 2019-UKR-008CRM screening was prepared as part of the DOBRE supplemental IEE, DCN: 2017-UKR-015. Given the nature of DOBRE project, long term outcomes of the USAID investment are not likely to be impacted by climate change. The exception being for support to municipal services. It is critical that technical assistance to CCs include awareness raising and proper planning to ensure any physical works be designed, sited, and constructed taking in to account more extreme weather events. The implementing partner should ensure the impacts of climate change on supported infrastructure as well as potential impacts on land management planning and zoning to improve the long term effectiveness and sustainability of economic plans.


DCN: 2019-UKR-008

3. Analysis of Potential Environmental Impact3.1. Component 1: Local Governments Effectively Manage Resources and Services that Respond to Community Priorities has several

defined elements and sub-elements. Under this Amendment to the IEE, additional scope under Sub-element 1.2.2 may have potential impacts on the environment as the activity focuses on improving service delivery and direct or indirect support for infrastructure improvements. Such improvements may be impacted by extreme weather events or prolonged droughts and should consider opportunities for climate resiliency planning. As specifics are not available at this time as to what infrastructure improvements may be pursued, the implementing partner will complete the E&E Bureau’s ENVIRONMENTAL REVIEW CHECKLIST (ERC) for Identifying Potential Environmental Impacts of Project Activities and Processes/ ENVIRONMENTAL MITIGATION AND MONITORING PLAN for each sub activity involving infrastructure improvements (EMMP)

Defined/Illustrative Activities Potential ImpactsPotential Climate Risk Climate Risk

RatingOpportunities for Climate Resiliency

1.2 Targeted local government services improved

1.2.2 Improved, more inclusive local services and provide more transparency, types of interventions include but are not limited to:

Procurement of construction equipment

Rehabilitation and/or construction of recreational, playground, or sports parks

Creation of outdoor markets Infrastructure improvements

such as street lighting, building ventilation, side walk and road repair

Infrastructure improvements such as water and waste water system repairs and expansion

Installation of new water delivery services, including installation of wells

Installation of small scale waste water treatment

Potential impact on environment, water quality impairment, habitat alteration, resource depletion, waste generation, and/or human health

The type and scale of potential impacts will vary from site to site and will be thoroughly addressed through site specific analyses to be completed for each intervention.

Climate variability may impact service improvement projects (drought – availably of water, flooding may effect roads/bridges)

moderate Ensure service improvement projects are designed for consideration of more extreme weather events based on local Oblast conditions.


DCN: 2019-UKR-008

Defined/Illustrative Activities Potential ImpactsPotential Climate Risk Climate Risk

RatingOpportunities for Climate Resiliency

systems

4. Recommended Environmental Actions4.1. Recommended Mitigation Measures

Component 1 – Local Governments Effectively Manage Resources and Services that Respond to Community Priorities, sub-element 1.2.2 will involve service delivery improvement planning which will include improving accessibility, likely to result in small scale construction/renovation activities. Co-financing and provision of technical assistance and grant support for inter-municipal service improvement projects for transportation (rural roads), water and sanitation, electrification and waste management is also planned. To ensure environmental impacts do not result from USAID co-financing, technical assistance or grants for such work additional environmental screening of defined activities is needed. In addition to this screening, the TA provided must support capacity development of local authorities to understand and comply with newly devolved regulations and laws governing environmental management. From a climate risk management perspective, support provide CCs should also ensure service improvement projects are designed for consideration of more extreme weather events.


DCN: 2019-UKR-008

Defined/Illustrative Activities Potential Impacts Mitigation Measures

Recommended Threshold Determination

1.2.2 Improved, more inclusive local services and provide more transparency, types of interventions include but are not limited to:

Procurement of construction equipment

Rehabilitation and/or construction of recreational, playground, or sports parks

Creation of outdoor markets Infrastructure improvements such

as street lighting, building ventilation, side walk and road repair

Infrastructure improvements such as water and waste water system repairs and expansion

Installation of new water delivery services, including installation of wells

Installation of small scale waste water treatment systems

Potential impact on environment, water quality impairment, habitat alteration, resource depletion, waste generation, and/or human health

The type and scale of potential impacts will vary from site to site and will be thoroughly addressed through site specific analyses to be completed for each intervention.

1. Provide capacity development of local authorities to understand and comply with newly devolved regulations and laws governing environmental management.

2. Ensure service improvement projects are designed for consideration of more extreme weather events.

3. Ensure each intervention includes capacity building to ensure efficient O&M and sustainability planning.

4. The IP will complete the Environmental Review Checklist (ERC) and/or Environmental Monitoring and Mitigation Plan (EMMP) for performance improvement projects, make a preliminary determination regarding any negative environmental impact, and submit it to the USAID COR/ AOR and MEO for their review and approval. Approval of the E&E BEO of the completed ERC/EMMP will be required.

5. If local regulations require an EIA, the BEO will be notified so a determination can be made if a USAID environmental assessment (EA) is needed. The final local EIA document will be submitted (executive summary in English, full EA in local language) along with the completed USAID document an ERC/EMMP or EA.

6. Consultation with the BEO during the project design will be performed to avoid delays in approving the ERC/EMMP.

7. New well-field development requires water quality testing, confirmation of adequate draw and recharge rates, and well-head protection zones.

Negative Determination with Conditions


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4.2. Recommended Environmental Determination:

Negative Determination with Conditions:

Under §216.3(a)(2)(iii), a negative determination with conditions is recommended for activities 1.2.2. Specific terms and conditions are presented below in Section 4.3.

4.3. Terms and Conditions:

4.3.1. The IP shall provide capacity development of local authorities to understand and comply with newly devolved regulations and laws governing environmental management.

4.3.2. The IP shall ensure service improvement projects are designed for consideration of more extreme weather events.

4.3.3. Prior to initiating activities that have the potential to result in significant adverse environmental, health, and safety impact, the IP shall prepare an ERC/EMMP(s) in the format provided in the Annex 1 of this IEE. The COR/AOR, MEO, and BEO shall approve the ERC/EMMP(s) prior to implementation. For each site-specific activity, the ERC/EMMP shall be attached to the signed Certification of No Adverse or Significant Effects on the Environment (See ERC/EMMP Annex 1). This should be signed by the IP, COR/AOR, MEO, and BEO. After the IP has finalized its activities at a specific site, the IP shall sign a Record of Compliance with the ERC/EMMP (see ERC/EMMP Annex 2) certifying that the organization met all applicable ERC/EMMP conditions and submit it to the COR/AOR. The COR/AOR shall keep the original for the project files and provide a copy to the MEO and BEO.

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

4.3.5. If local regulations require an EIA, the BEO will be notified so a determination can be made if a USAID environmental assessment (EA) is needed. The final local EIA document will be submitted (executive summary in English, full EA in local language) along with the completed USAID document an ERC/EMMP or EA.

4.3.6. Consultation with the BEO during the project design will be performed to avoid delays in approving the ERC/EMMP.

4.3.7. New well-field development requires water quality testing, confirmation of adequate draw and recharge rates, and well-head protection zones.

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

4.4. USAID Monitoring and Reporting

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

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

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

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

4.5. Implementing Partner (IP) Monitoring and reporting

EE.BEU Standard Form: IEE.v3

DCN: 2019-UKR-008

4.5.1. If an individual activity is found to pose significant adverse environmental effects that have not been identified and addressed in the attached EMMP(s), or EMMPs that were subsequently approved for the project, new EMMPs shall be developed to include environmental safeguards for such effects.

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

5. Mandatory Inclusion of Requirements in Solicitations, Awards, Budgets and Workplans5.1. Appropriate environmental compliance language, including limitations defined in Section 6, shall

be incorporated into solicitations and awards for this activity and projects budgets shall provide for adequate funding and human resources to comply with requirements of this IEE.

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

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

5.4. The IP shall incorporate conditions set forth in this IEE into their annual work plans.5.5. The IP shall ensure annual work plans do not prescribe activities that are defined as limitations, as

defined in Section 6. 5.6. The USAID Mission will include an indicator for environmental compliance as part of the project’s

performance monitoring plan. [If an IEE has a threshold determination of negative determination with conditions, then a possible indictor is if the IP did the ERC/EMMP.]

6. Limitations of the IEE: This IEE does not cover activities (and therefore should changes in scope implicate any of the issues/activities listed below, a BEO-approved amendment shall be required), that: 6.1. Normally have a significant effect on the environment under §216.2(d)(1) [See

http://www.usaid.gov/our_work/environment/compliance/regulations.html]6.2. Support project preparation, project feasibility studies, engineering design for activities listed in

§216.2(d)(1);6.3. Affect endangered species;6.4. Result in wetland or biodiversity degradation or loss;6.5. Support extractive industries (e.g. mining and quarrying);6.6. Promote timber harvesting;6.7. Provide support for regulatory permitting;6.8. Result in privatization of industrial or infrastructure facilities;6.9. Lead to new construction of buildings or other structures; 6.10. Assist the procurement (including payment in kind, donations, guarantees of credit) or use

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

6.11. Procure or use genetically modified organisms.

7. Revisions7.1. Under §216.3(a)(9), if new information becomes available that indicates that activities covered by

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


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8. Recommended Environmental Threshold Decision Clearances:

Approval :________________________________________Susan Fritz, Mission Director

_____________________Date

Clearance: ________________________________________John Pennell, Deputy Mission Director

_____________________Date

Clearance: ________________________________________Joel Sandefur, Regional Legal Officer

_____________________Date

Clearance: ________________________________________David Hatch, Program Office Director

_____________________Date

Clearance: ________________________________________Tatiana Kistanova, Mission Environmental Officer

_____________________Date

Clearance: ________________________________________Marat Kyurchevsky, AOR

_____________________Date

Concurrence: ___________________________________________Mark KamiyaE&E Bureau Environmental Officer

10/9/2018____________________Date

Distribution:IEE File

MEO (to also provide a copy to AOR/COR)


DCN: 2019-UKR-008

ENVIRONMENTAL REVIEW CHECKLIST (ERC) for Identifying Potential Environmental Impacts of Project Activities and Processes/ ENVIRONMENTAL MITIGATION AND MONITORING PLAN

(EMMP)

ERC/EMMP

for [Activity Name]

Implemented under: DOBRE

DCN: 2017-UKR-015

Prepared by: Global Communities


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

The Environmental Review Checklist for Identifying Potential Environmental Impacts of Project Activities and Processes (ERC) and Environmental Mitigation and Monitoring Plan (EMMP) is intended for use by implementing partners to: assess activity-specific baseline conditions, including applicable environmental requirements; identify potential adverse environmental effects associated with planned activity(s) and processes; and develop EMMPs that can effectively avoid or adequately minimize the identified effects. This ERC/EMMP may be substituted for other ERC/EMMP versions that may have been attached to previous initial environmental examinations (IEE). If implementing partners are in doubt about whether a planned activity requires preparation of an ERC, they should contact their Contracting Officer’s Representative (COR)/Agreement Officer’s Representative (AOR) for clarification. In turn, the COR/AOR should contact their Mission Environmental Officer (MEO) if they have any questions. In special circumstances and with approval of the BEO it is possible to have one very comprehensive ERC/EMMP for multiple projects if they are similar in scope. (When preparing the ERC/EMMP, please indicate “not applicable” for items that have no bearing on the activity. The ERC/EMMP should be completed by an environmental specialist. The ERC/EMMP must be completed and approved prior to the activity beginning.) A. Activity and Site Information Project Name: (as stated in the triggering IEE) 2017-UKR-015

Mission/Country:DCN of Most Recent Triggering IEE or Amendment:Activity/Site Name:Type of Activity:Name of Reviewer and Summary of Professional Qualifications:Date of Review:

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

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

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

Environmental Product Declarations, Eco Flower, EcoLogo, Cradle to Cradle, UL Environment, GREENGUARD, Fair Trade, Green Seal, LEED, or various Forest Certifications

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

C. Activity-Specific Baseline Environmental Conditions 1. Population characteristics2. Geography3. Natural resources, e.g., nearby forest/protected areas, ground and surface water resources4. Current land use and owner of land5. Proximity to public facilities, e.g. schools, hospitals, etc.

Mission / Project 1EE.BEU Standard Form: IEE.v3

DCN: 2019-UKR-008

6. Other relevant description of current environmental conditions in proximity to the activity

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

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

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

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

will they be developed by a qualified engineer? If yes, attach the plans to the ERC/EMMP.2. Do designs/plans effectively and comprehensively address:

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

aspects of the activity after closure and handover?3. Are there known geological hazards, e.g., faults, landslides, or unstable soil structure, which

could affect the activity? If so, how will the project ensure structural integrity?4. Will the site require grading, trenching, or excavation? Will the activity generate borrow pits? If

so, how will these be managed during implementation and closure?5. Will the activity cause interference with the current drainage systems or conditions? Will it

increase the risk of flooding?6. Will the activity interfere with above- or below-ground utility transmission lines, e.g.,

communications, water, sewer, or natural gas?7. Will the activity potentially interfere with vehicle or pedestrian traffic? 8. Does the activity increase the risk of fire, explosion, or hazardous chemical releases?


DCN: 2019-UKR-008

9. Does the activity require disposal or retrofitting of polychlorinated biphenyl-containing equipment, e.g., transformers or florescent light ballasts?

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

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

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

i. Ensure that these chemicals do not contaminate ground or surface water? ii. Ensure that workers use protective clothing and equipment to prevent exposure?

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

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

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

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

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

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

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

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

k. Will the activity potentially disturb soil contaminated with toxic or hazardous materials?l. Will activities, e.g., construction, refurbishment, demolition, or blasting, result in increased

noise or light pollution, which could adversely affect the natural or human environment?2. Atmospheric and air quality impacts

a. Will the activity result in increased emission of air pollutants from a vent or as fugitive releases, e.g., soot, sulfur dioxide, oxides of nitrogen, volatile organic compounds, methane.

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

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

3. Water quality changes and impacts a. How far is the site located from the nearest river, stream, or lake?(Non-yes/no question)b. Will the activity disturb wetland, lacustrine, or riparian areas?c. What is the depth to groundwater at the site? (Non-yes/no question)d. Will the activity result in increased ground or surface water extraction? If so, what are the

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

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

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


DCN: 2019-UKR-008

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

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

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

4. Land use changes and impactsa. Will the activity convert fallow land to agricultural land?b. Will the activity convert forest land to agricultural land?c. Will the activity convert agricultural land to commercial, industrial, or residential uses?d. Will the activity require onsite storage of liquid fuels or hazardous materials in bulk

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

or gas?f. Will the activity alter the viewshed of area residents or others?

5. Impacts to forestry, biodiversity, protected areas and endangered speciesa. Is the site located adjacent to a protected area, national park, nature preserve, or wildlife refuge?b. Is the site located in or near threatened or endangered (T&E) species habitat? Is there a plan for

identifying T&E species during activity implementation? If T&E species are identified during implementation, is there a formal process for halting work, avoiding impacts, and notifying authorities?

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

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

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

What is the plan for avoiding disturbance or notifying authorities?b. Are there unique ethnic or traditional cultures or values present in the site? If so, what is the applicable

preservation plan?

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

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

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

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

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


DCN: 2019-UKR-008

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

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

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

Processes IdentifiedEnvironmental

Impacts

Do the Impacts Require Further Consideration?

Mitigation Measures Monitoring Indicators

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

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

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

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

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

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

2. Activity-specific monitoring planMonitoring Indicators Monitoring and Reporting

FrequencyResponsible

PartiesRecords

GeneratedSpecify indicators to (1) determine if mitigation is in place and (2) successful (for example, visual inspections for seepage around pit latrine; sedimentation at stream crossings, etc.)(Taken from column 5 of the environmental mitigation plan above.)

For example:“Monitor weekly, and report in quarterly reports. If XXX occurs, immediately inform USAID COR/AOR.”

Separate parties responsible for mitigation from those responsible for reporting, whenever appropriate,

If appropriate, describe types of records generated by the mitigation, monitoring, and reporting process.


DCN: 2019-UKR-008


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ERC/EMMP ANNEX 1

Certification of No Adverse or Significant Effects on the Environment

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

_________________________________________Implementer Project Director/COP Name

_____________________________Date

Approvals:

_________________________________________USAID COR/AOR Name

_______________________________Date

_________________________________________Mission Environmental Officer Name

_______________________________Date

Concurrence:

_________________________________________Mark Kamiya, Bureau Environmental Officer

_______________________________Date

Distribution: Project Files IEE Files


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

ENVIRONMENTAL MITIGATION AND MONITORING PLANS (EMMPs)

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

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

1. Mobilization and Site Preparation

2. Activity Implementation Phase

3. Site Closure Phase

4. Activity Handover

Sincerely,

_________________________________________Implementer Project Director/COP Name

____________________________Date

Approved:

_____________________________________USAID/COR/AOR/Activity Manager Name

____________________________Date

Distribution: Project Files MEO Bureau Environmental Officer


DCN: 2019-UKR-008

Climate Risk Screening and Management Tool for Activity DesignACTIVITY CRM TOOL OUTPUT MATRIX: CLIMATE RISKS, OPPORTUNITIES, AND ACTIONS

1.1: Defined or Anticipated Tasks or Interventions*

1.2: Time-frame

1.3: Geo-graphy 2: Climate Risks*

3: Adaptive Capacity

4: Climate Risk

Rating*

5: Opportunities*

6.1: Climate Risk

Management Options

6.2: How Climate Risks Are Addressed in the Activity*

7: Next Steps for Activity

Implementation

8: Accepted Climate Risks*

1.2.2 Improved, more inclusive local services and provide more transparently

0-20 years

Oblasts:DnipropetrovskIvano-Frankivsk,Kharkiv,Kherson,Kirovograd,Mykolayiv, and Ternopil

Climate variability

may impact service

improvement projects

(drought – availably of

water, flooding may

effect roads/bridges, sewer system)

Environmental responsibilities have recently been devolved to the local and regional level. There remains

gaps and overlap in

authorities and oversight. CCs

have low capacity and this a main

focus of this project to develop a

sustainable framework

where climate and other

environmental factors are

considered in the planning

process

Moderate

Ensure service improvement projects are designed for

consideration of more extreme

weather events. Educate

stakeholders to ensure they incorporate

climate resiliency into infrastructure improvement

projects

Work with utilities to

survey infrastructure to fully assess risk

in target districts and to

adapt development

plans accordingly

Implementing partner to

incorporate in to the work plan

Consider opportunities listed in #5

N/A


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