CLEAN CITIES, BLUE OCEAN - QUARTERLY PROGRESS ...

CLEAN CITIES, BLUE OCEAN QUARTERLY PROGRESS REPORT Fiscal Year (FY) 2021, Quarter 1 – October 1 to December 31, 2020

Submission Date: January 15. 2021

This publication was produced for review by the United States Agency for International Development by Tetra Tech.

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CLEAN CITIES, BLUE OCEAN | Quarter 3 Progress Report 2

Program Name: Clean Cities, Blue Ocean (CCBO)

Program Start and End Date: 8/29/19 - 8/27/24

Prime Implementing Partner: Tetra Tech

Contract Number: AID-OAA-I-14-00059/7200AA19F00016

Subcontractors/Subawardees: The Manoff Group (TMG), International City/County Management Association (ICMA), Ocean Conservancy (OC)

Geographic Coverage Global, with primary focus in Asia, Latin America, the

Caribbean

Reporting Period: October 1- December 31, 2020

This report was prepared by:

Tetra Tech 159 Bank Street, Suite 300 Burlington, Vermont 05401 USA Telephone: (802) 495-0282 Fax: (802) 658-4247 Email: [email protected]

Tetra Tech Contacts:

Jon Angin, Chief of Party Email: [email protected] Gina Green, Project Manager Email: [email protected]

This report was produced for review by the United States Agency for International Development by Tetra Tech, through USAID Contract No. AID-OAA-I-14-00059/7200AA19F00016, USAID Clean Cities, Blue Ocean Program. DISCLAIMER

This publication is made possible by the support of the American people through the United States Agency for International Development (USAID). The contents of this publication are the sole responsibility of Tetra Tech and do not necessarily reflect the views of USAID or the United States Government.

Cover Photo: CCBO conducts a site visit with Philippine grantee, Green Antz, to assess potential sites for the project’s Eco Hub and meets local waste collectors that may participate in the hub.

mailto:[email protected]



CLEAN CITIES, BLUE OCEAN | FY21 Quarter One Progress Report 1

Table of Contents Acronyms and Abbreviations...........................................................................................................................2 1. Introduction and Program Overview .........................................................................................................3 2. Focal Country Activity Progress .................................................................................................................5

Focal Country Engagement and Planning...................................................................................................................... 5

Advancing Technical Objectives ..................................................................................................................................... 6

Focus Area 1: Build Capacity of CCBO Engagement Sites in Improved Solid Waste Management ................ 6

Focus Area 2: Improve Enabling Environment for 3Rs with a Focus on CCBO Engagement Sites ................. 7

Focus Area 3: Build SBC for 3Rs and Improved SWM and Address Livelihood Challenges for Waste Workers ................................................................................................................................................................. 8

Focus Area 4: Support Gender Equality and Women’s Economic Empowerment ............................................. 8

Country-Specific Progress Updates ............................................................................................................................. 10

2.3.1 Latin America and the Caribbean ..................................................................................................................... 10

2.3.2 Southeast Asia ....................................................................................................................................................... 14 3. Global Activity Progress ........................................................................................................................... 23

Focus Area 5: Strengthen Public-Private Partnerships and/or Multi-Stakeholder Alliances ............................ 23

Focus Area 6: Strengthen USAID Leadership in Combating Marine Plastics ..................................................... 23 4. Management and Operations................................................................................................................... 24

4.1 Contract Management and Procurements .................................................................................................................... 24

4.2 Organization and Staffing .................................................................................................................................................. 25

4.3 Communications and Reporting ...................................................................................................................................... 26

4.4 Monitoring, Evaluation, and Learning (MEL) ................................................................................................................. 26

4.5 Grants Management ........................................................................................................................................................... 30 5. Implementation Challenges and Lessons Learned ................................................................................ 33 6. Planned Tasks for Next Reporting Period .............................................................................................. 33 Annex I. Progress Against Year Two Work Plan ....................................................................................... 34 Annex II. Financial Overview (December 31, 2020) ..................................................................................... 39 Annex III. Deliverables ................................................................................................................................. 39 Annex IV. Summary of Grants Awarded and in Pre-Award .................................................................... 40

List of Figures and Tables Figure 1. CCBO Focal Countries and Engagement Sites ........................................................................................... 10 Figure 2. CCBO Salesforce Data Management Portal ................................................................................................ 27 Figure 3. Status of Annual Program Statement/Request for Application Solicitations ........................................ 30

Table 1. CCBO Country Engagement Progress ..............................................................................................................5 Table 2. CCBO Field Staff Onboarded and Recruited .............................................................................................. 25 Table 3. CCBO indicators, targets, and progress to date ......................................................................................... 29

https://ttprojects-my.sharepoint.com/personal/melinda_donnelly_cleancitiesblueocean_org/Documents/Documents/Contract%20Deliverables_Program%20Reporting%20and%20Strategies/Quarterly%20Reports/2021.01.14_USAID%20CCBO_FY21%20Q1%20Progress%20Report_submission.docx#_Toc61640341


Table 4. Grant Solicitations and Progress Summary ................................................................................................... 31 Table 5. Grants Program Financials: Pre-Award and Awarded ................................................................................ 32

Acronyms and Abbreviations 3Rs Reduce, Reuse, and Recycle APS Annual Program Statement CCBO Clean Cities, Blue Ocean CEL [USAID] Communications, Evidence and Learning CO Contracting Officer COR Contract Office Representative DR Dominican Republic EMMP Environmental Monitoring and Mitigation Plan EPA [United States] Environmental Protection Agency FY Fiscal Year ICMA International City/County Management Association ISWMA Initial Solid Waste Management Assessment KML Knowledge Management and Learning MEL Monitoring, Evaluation, and Learning MOU Memorandum of Understanding MRF Material Recovery Facility MWRP [USAID] Municipal Waste Recycling Program OC Ocean Conservancy PPP Public Private Partnership RFA Request for Applications SBC Social and Behavior Change SWM Solid Waste Management SWMP Solid Waste Management Plan TMG The Manoff Group U.S. United States USG U.S. Government USAID U.S. Agency for International Development W-GDP Women’s Global Development and Prosperity Initiative WWEE Women in Waste’s Economic Empowerment


1. Introduction and Program Overview On August 29, 2019, Tetra Tech was awarded Clean Cities, Blue Ocean (CCBO), a five-year, $48 million program designed to respond to the global crisis of ocean plastics pollution. CCBO is the U.S. Agency for International Development’s flagship program to target ocean plastics, mitigating their impact directly at their source in rapidly urbanizing areas throughout many low- and middle-income countries. The program’s four main objectives are to:

Objective 1: Promote reduction, reuse, recycling (3Rs) practices and strengthen local and regional

markets for recycled plastics;

Objective 2: Build social and behavior change (SBC) for 3Rs and sustainable solid waste management

(SWM);

Objective 3: Increase capacity and effective governance of SWM and recycling systems; and

Objective 4: Support international fora, public-private partnerships (PPPs), and multi-stakeholder

alliances.

As a crosscutting objective, CCBO also works to address and improve the livelihoods of those working in the SWM and recycling sectors, including to further gender equity and advance women’s economic empowerment. CCBO is also supported by the Women’s Global Development and Prosperity (W-GDP) Initiative, through which it secured an additional $3 million in funding in Year One to implement targeted programming in two CCBO focal countries through a new Women in Waste’s Economic Empowerment (WWEE) Activity.

CCBO works across seven focal countries in Asia, Latin America, and the Caribbean—Indonesia, the Maldives, the Philippines, Sri Lanka, Vietnam, the Dominican Republic, and Peru. In its first year, CCBO finalized these focal countries and selected engagement sites within where it will test, scale, and share inclusive and sustainable 3R/SWM solutions—in collaboration with USAID, focal country Missions, and global, regional, national, and local stakeholders.

The following report details CCBO’s progress and achievements over the first quarter of the program’s second year (FY 2021). The report’s structure mirrors the program’s Work Plan—with focal country progress and achievements detailed first (including individual country-specific progress reports for quick reference), followed by global activity achievements, and capped by details on CCBO’s management and operations—including contract management; organization and staffing; communications and outreach; Monitoring, Evaluation, and Learning; and grants management.

While the program’s accomplishments and areas of progress were many, there were several core areas in which the program particularly excelled. These included, but are not limited to:

• Largely graduating from the engagement and planning stages of program launch – CCBO worked throughout Year One to conduct foundational research, develop Country Concept Notes, and make connections with Mission and national government counterparts. As of the close of Q1, CCBO had completed and submitted all seven of the Country’s Work Plans;

• Entering the “in-field implementation” stage across several focal countries – Not


only did the CCBO team grow, with additional technical expertise and administrative support added, the program also continued to award grants to local partners and select additional, high-potential organizations to join the program’s pipeline of prospective grantees. Within Q1, CCBO completed recruitment for and successfully filled seven new in-field staff positions, with over ten additional individuals expected to be onboarded in Q2.1 The program also awarded three additional grants in the Philippines, graduated one grant to final technical negotiation stages, and built its pipeline of forthcoming grants;

• Advancing progress toward CCBO performance indicators and targets – CCBO advanced its progress toward meeting program performance metrics through technical assistance, capacity building support to grantees, and activities conducted by its grantee partners. In Q1, the program trained a total of 72 individuals, supported the development of three innovations through its grants in the Philippines, and demonstrated USAID influence in ocean plastics reduction through six signed MOUs and one international event. With this progress, CCBO is already 42% and 87% to its Year Two targets for Indicators 4 and 11, respectively.

• Building out resource tools to build partners’ technical capacities and future sustainability – CCBO built out three distinct resources during the quarter (with one in continued development) to support its local stakeholders, grantee partners, and—in time—other organizations to advance their capacity for effective, sustainable SWM development. These included an:

o Initial Gender Self-Assessment - a questionnaire that enables CCBO to learn where organizations are currently applying a gender lens, assess how much organizations currently know about gender in the communities they intend to reach and how they have learned about gender and the people in the communities they seek to serve (e.g., through research, experience, etc.).

o 3R/SWM Local Government Capacity Index (in continued development) - a tool that will enable local governments to self-assess their current capabilities associated with key criteria that local governments need to have in place to ensure sustained SWM practices.

o Grantee Organizational Action Plan - part of CCBO’s pre-award assessment tool and customized per grantee to enable CCBO to translate an organization’s weaknesses into actionable steps that can be supported by CCBO during the life of the grant.

While CCBO has been impacted by the COVID-19 pandemic and related travel restrictions, these achievements are evidence that the program has adaptively managed its approach and, as a result, has continued to achieve significant progress toward in-field implementation during the quarter. CCBO’s leadership will continue to monitor and respond to related new developments and the considerations they require.

CCBO’s full Q1 progress is further detailed in Sections Two through Four, with three supporting annexes.

1 Onboarding dates are subject to change and dependent on completion of hiring processes and availability of program funds.


2. Focal Country Activity Progress Section Two provides an overview of progress made during Year Two’s first quarter to advance country-level objectives. This is provided in three sections.

• Section 2.1 provides an overview of the progress made toward focal country engagement and planning—this includes the development and submission of key deliverables required prior to full in-field implementation.

• Section 2.2 provides a summary of progress made toward each of the program’s country-level objectives. As the program prepares for in-field implementation, a significant amount of work was achieved at CCBO’s headquarters to build general research, tools, and resources that will be implemented locally (and customized as relevant) in each country in the latter half of 2020.

• Section 2.3 provides short country-specific summaries of progress made in each focal country, by region.

Focal Country Engagement and Planning

CCBO continued to follow its step-wise approach to plan, implement, and monitor focal country activities that buttress existing Mission goals and contribute to CCBO’s overall programmatic objectives. Under its phased implementation approach, CCBO continued its efforts to mobilize activities across all of its primary focal countries (the Philippines, Vietnam, Sri Lanka, the Maldives, and Indonesia in Asia; and the DR and Peru in Latin America and the Caribbean). A summary of engagement and planning efforts in each country follows in Table 1 and is further detailed in Section Two.

Table 1. CCBO Country Engagement Progress

Activities Dominican Republic

Peru The Philippines

Sri Lanka/Maldives

Vietnam Indonesia

Initial Country Trip

January 2020 TBD - postponed due to COVID-19

November 2019 February 2020

December 2019 (Sri Lanka)

November 2019

TBD - postponed due to COVID-19

Country Concept Note

Approved January 2020

Approved June 2020


Approved April 2020


Not Required for Review (to be submitted to satisfy contractual requirements)

Assessment Conducted

January 2020 In Process – to be submitted Year Two, Q2

Completed August 2020

Completed December 2020


In Process – to be submitted Year Two, Q2

Work Plan Approved May 26, 2020

Submitted December 24

Approved August 2020

Submitted November 11, December 30

Approved September 2020

Submitted December 9


3R/SWM and Marine Debris Reduction Strategies







Grants Solicitation Request for Applications (RFA) Released April 2, 2020

Year Two Annual Program Statement (APS) Published February 2020

APS Published May 26, 2020

APS Published April 29, 2020

Year Two

Grant Award First grant awarded September 2020

Year Two First grants awarded September 2020

Year Two Year Two Year Two

Legend

Completed Awaiting Approval Scheduled/Pending Completion

Advancing Technical Objectives

Section 2.2 details advances that have been made at a broader, programmatic level to progress focal country goals. For example, in Q1, CCBO developed a prototype of its 3R/SWM Local Government Capacity Index (Capacity Index) that will be applied and tailored across its focal country engagement sites. It also continued to explore potential private sector and organizations partners at the global level to identify potential opportunities for country-specific collaborations. Activities such as these, were advanced to support CCBO’s in-field implementation.

Focus Area 1: Build Capacity of CCBO Engagement Sites in Improved Solid Waste Management

Improved and effective SWM requires strong local governments that are empowered and have the capacity to implement national regulations, plans, and mandates and operate effective and efficient local systems. Accordingly, in Year Two, CCBO is working to identify and engage key government representatives, begin to provide capacity building support and technical assistance to develop and/or strengthen local engagement site SWM Plans (SWMPs), identify and share best 3R/SWM practices for local learning and potential application, and—ultimately, begin to improve local capacities for policy implementation and enforcement.

At the broader, programmatic level, CCBO’s team in Washington, DC made great progress in the quarter


to initiate the development and finalize a key tool for this process—CCBO’s 3R/SWM Local Government Capacity Index (Capacity Index).

In the quarter’s first week, CCBO held a kick-off meeting with its Capacity Index consultant, approved by USAID in Q4. CCBO’s Capacity Development and Governance Director worked closely with the consultant throughout the quarter to build out the tool, with modules that cover all aspects of 3R/SWM, such as planning processes, legal framework, monitoring and enforcement, service delivery, infrastructure requirements, financial management/revenue generation, private sector engagement, inter-and intra-governmental relations, organizational structure and staffing, gender equity and inclusion, behavior change communication, civic participation, and informal sector engagement. By the quarter’s close, CCBO has developed a prototype of the tool and an accompanying handbook, which is in draft form and undergoing additional internal review and development. The program plans to present the tool to USAID in Q2 and polish the tool’s presentation/usability. To support further capacity building needs anticipated amongst its local stakeholders, CCBO also worked to identify expert consultants to build out additional training modules, including a module on identifying hazardous and contaminated waste.

Focus Area 2: Improve Enabling Environment for 3Rs with a Focus on CCBO Engagement Sites

In order to prevent plastics and other waste from entering inland and oceanic bodies of water, as well as other natural environments, CCBO must support the development of more sustainable enabling environments in each of its focal countries that promote and facilitate 3R practices for more circular economies. At the broad, programmatic level, continued to research and engage in discussions to identify high-potential solutions that might be applicable to and implemented at the local level in subsequent years of the program.

Most notably, CCBO advanced its ongoing program activity to assess viable technology and infrastructure solutions that can be locally tailored, right-sized, and tested at scale. In Q1, this included the development of white paper research through subcontractor, Good Company, to explore the need for practical solutions to fugitive plastics in developing nations. It advocates for choosing the best solutions for managing waste plastic given the existing market and infrastructure context to stop the proliferation of ocean plastics now, while more elegant global solutions emerge over time. The paper explores and examines a variety of options—from education and awareness campaigns to energy recovery, fuel switching, and use

Resource Highlight: CCBO’s 3R/SWM Local Government Capacity Index is a tool that will enable local governments to self-assess their current capabilities associated with key criteria that local governments need to have in place to ensure sustained SWM practices. The assessment will provide a capacity rating that will allow local governments to measure initial status and then progress over time (and potentially compare their ratings with other local governments.) The assessments will be conducted with support from CCBO; initially with the expectation that these will eventually be administered by the local governments as part of their annual review of 3R/SWM capacity. The assessments will provide a roadmap for improvements in the key capacity areas, particularly those that are critical to the development of SWMPs, providing valuable information to the local governments on needed training, as well as policy and operational changes.


of waste plastic for construction materials.

The program also continued to engage with and assess potential relationships with private sector organizations, national and local government entities, non-governmental organizations, and other development partners. In Q1, the program developed and submitted its Year Two Annual Stakeholder Report. The report aims to support CCBO’s goal of identifying high-impact partnership opportunities, developing partnership concepts, and formalizing partnership agreements. The deliverable compiles CCBO’s Year One findings and private sector/stakeholder discussions to highlight, map, and layout recommendations for partnership next steps at the global and focal country levels. The report was submitted at the close of December.

CCBO continued to connect with and engage members of the private sector, at a global level, to develop high-impact partnerships in each of its focal countries. These engagements are detailed in Section 3.1.

Focus Area 3: Build SBC for 3Rs and Improved SWM and Address Livelihood Challenges for Waste Workers

CCBO’s SBC efforts crosscut each of its programmatic objectives. As such, CCBO’s SBC Director worked throughout the quarter to review developing Scopes of Work, Work Plans, and grantee applications to provide technical feedback and ensure SBC objectives are met. As such, all activity was country-focused and is detailed in Section 2.3.

Focus Area 4: Support Gender Equality and Women’s Economic Empowerment

Like SBC, CCBO’s gender and women’s economic empowerment objectives cross-cut program workstreams and are integrated across all program strategies and activities. Similar to Focus Area 3, much of this work in Q1 was focused at the country-level. Consistent with the program’s Gender Strategy, CCBO’s SBC (and Gender) Director continued to work closely with program technical leads to review all work plans, Scopes of Work, grant solicitations, and other relevant working documents to ensure that all program efforts are inclusive of key gender strategy objectives and acknowledge country-specific gender equity differential.

At the broader programmatic level, CCBO did work in the quarter to develop, finalize, and begin rolling out its Initial Gender Self-Assessment tool amongst its first grantee partners. In its first year, CCBO observed the potential to build capacity among grantees and other potential partner organizations in designing and implementing development programming that is gender-inclusive, -responsive, and can meaningfully close current gaps in gender inequalities. Accordingly, in Q1, CCBO designed and began to use questionnaire with grantee organizations.

Resource Highlight: The Initial Gender Self-Assessment is a questionnaire that enables CCBO to learn where organizations are currently applying a gender lens, assess how much organizations currently know about gender in the communities they intend to reach and how they have learned about gender and the people in the communities they seek to serve (e.g., through research, experience, etc.). Ultimately, the tool enables CCBO to identify areas where it could help the organization to strengthen future proposals with regard to gender, as well as identify areas where capacity building is needed so that it can be delivered throughout the life of the activity.


Also of note was CCBO’s SBC and Gender Director’s participation in the USAID Office of Land and Urban Ocean Plastic team’s virtual event, The Intersection of Gender and Ocean Plastics, held on October 22. CCBO spoke at the event, designed for internal USAID staff to discuss and better understand the intersection of USAID’s Gender and Ocean Plastics programming. CCBO’s SBC and Gender Director and CCBO grantee, Project Zacchaeus, spoke at the event—attended by over 60 individuals from 19 Missions and Regional Bureaus and Washington D.C.

Lastly, although most work was focused at the country-level (in the Philippines and Indonesia), CCBO dedicated significant effort in the quarter to launching its W-GDP-funded Women in Waste’s Economic Empowerment (WWEE) Activity, for which it was awarded funds in July 2020. WWEE is a five-part activity designed to serve as a business incubator for women who want to start or expand their SWM businesses. Further details can be found in Section 2.3.2: The Philippines.

CCBO’s SBC and Gender Director participated in USAID’s “Intersection of Gender and Ocean Plastics” event, accompanied by grantee Project Zacchaeus. Source: USAID CEL


Indonesia - Kota(s) Ambon, Makassar, and Semarang

Maldives - Malé

Philippines - Iloilo City, Batangas City, Manila Bay area (Pasig and Las Piñas Cities) Peru - Ica, Piura

Sri Lanka - Colombo Metropolitan Area, Galle, Dominican Republic – Samaná Jaffna District Province

Vietnam - Biên Hòa, Phú Quốc, Da Nang, and Huế City

Country-Specific Progress Updates

In Q1, CCBO made significant progress across its focal countries to develop and submit the last of its seven total country work plans that will guide implementation in its first year in-country. The program also worked to award its largest number of grants thus far (six to date), solicit ongoing interest from local partners through the program’s grants program, and engage key audiences toward implementation. This section provides country-specific progress updates regarding country engagement and planning, as well as specific work being done in CCBO’s engagement sites (see Figure 1) to advance technical objectives in preparation for in-field implementation.

Figure 1. CCBO Focal Countries and Engagement Sites

2.3.1 Latin America and the Caribbean

Dominican Republic

COUNTRY ENGAGEMENT AND PLANNING

In Year One, CCBO completed required country engagement and planning steps, as one of the first countries that CCBO engaged with and visited. With the Country Work Plan developed and approved in Year One, CCBO focused in the outset of Year Two to operationalize the Work Plan, particularly given that the

DR’s proposed National Solid Waste Law passed at the close of Year One and will provide many critical elements needed for reform. The law’s passage enables CCBO to move forward in a much more


meaningful way and to engage with and support those at the helm of leading the implementation of the law.

The program continued its regular coordination with the Dominican Republic Mission, and having held a kick-off call with the Ministry of Environment in Q4, continued to advance its infield operational structure toward implementation.

A significant gain during the quarter was the finalization of a subcontract with Sostenibilidad 3Rs, lead by Ms. Ginny Heinsen—a local Dominican Republic resident and seasoned advocate and implementor of SWM and 3R initiatives. The organization will support CCBO’s in-field work in the DR, particularly to engage with national and local government and facilitate CCBO’s technical assistance around the rollout of the national law. In Q1, Sostenibilidad completed their first subcontract deliverables—a work plan (outlining how the organization and its activities will support CCBO’s Work Plan for the Dominican Republic), as well as other technical deliverables and engagements outlined below. On December 2, CCBO and Sostenibilidad 3Rs-met with USAID/DR to discuss CCBO’s strategy for national governance support and the work Sostenibilidad will be undertaking in support of the program. ADVANCING TECHNICAL OBJECTIVES

In Q1, the team accomplished several key achievements toward on-the-ground implementation in the DR and continued to advance activities initiated in Year One—namely, it’s grants program. In September, at the close of Year One, CCBO awarded a grant to the Center for the Conservation and Eco-Development of Samaná Bay and its Surroundings (CEBSE) Consortium. As of the close of Year One, CEBSE had begun implementation of their grant by completing CCBO grant orientations, bringing on research consultants, developing a COVID-19 Protocol and Contingency Plan, and beginning a research ethics course offered through Southern Connecticut University to prepare staff and consultants for in-field research.

In Q1, CCBO supported the capacity building of CEBSE and its research staff in robust and ethical research practices. Three members of the CEBSE consortium participated in Southern Connecticut University’s online Collaborative Institutional Training Initiative (CITI) Social and Behavioral Research Ethics training, completed a follow up capacity assessment and training on ethnographic research, as well as received a training on reflexivity conducted by CCBO’s SBC technical consultant. The capacity assessment focused on ethnographic research, building on the CITI research ethics training, and focused on

Grantee Highlight: Center for the Conservation and Eco-Development of Samaná Bay and its Surroundings (CEBSE) Consortium

CCBO grantee, the CEBSE consortium, will meet with Samaná community members, households, and businesses to conduct community research and better understand how various population groups are producing and disposing of waste and the reasons behind these practices. From their findings, community members and other local partners will be engaged to try out new, practical practices that can help stop the ever-increasing production of waste, especially plastic, that flows into rivers, Samaná Bay, and the ocean.

CEBSE will also meet with women working in Samaná’s waste sector, including informal waste workers, recyclables sellers, upcycling business owners, and larger waste management service providers to assess how women are currently involved in the waste management lifecycle and identify opportunities for women’s economic empowerment. Knowledge gained from the grant’s activities will inform CCBO’s approach over the next four years of the program.


understanding ethical and practical guidelines for participating in ethnographic research. These included research principles such as confidentiality, appropriate questions, establishing trust, boundaries between researcher and participant, and strategies for adjusting and analyzing data in the field. The assessment sought to ensure that training participants’ capacities were enhanced in the area of being able to address cultural sensitivity and competence, i.e., maintaining and facilitating positive interactions and being respectful and reflexive surrounding issues of class, ethnicity, language and value differences between researcher and participant. Those that completed the training and the capacity assessment rated the

training highly and reported that the training was helpful in “reinforc[ing] their knowledge… about the management of privacy and objectivity in field work,” “awareness of preconceived notions” and in providing “readings and reflections on neutrality.” They also provided that the training could have been shorter, as the participants and intended future trainees (i.e., interviewers) would enter the training with a background in social research. With the feedback, the next round of trainings for interviewers who will conduct the household interviews were shortened, while also providing an opportunity for the trainer to assess their capacity and understanding of ethnographic research.

Lastly, CCBO-delivered reflexivity training (mentioned above) guided participants through a self-assessment and self-examination of personal biases, values, attitudes and prejudices that have the potential

to impact interactions with interview participants in the field and understand how that may affect data collection and data analysis. Through these trainings, participants explored gender, age, ethnicity, nationality, language, class, and values that can influence objectivity in a research setting. Qualitative research demands that interviewers understand their role in the interview process and are sensitive to their position in the race, class, gender hierarchy so that participants are encouraged and supported as they help CCBO understand SWM at the individual, household, and community level.

CEBSE is expected to begin in-field research in Q2, utilizing and drawing upon the research instruments and training delivered thus far. However, planned Household observational research will not be immediately conducted due to COVID health considerations and, instead, research will be conducted through small-group, socially distant interviews. CEBSE has also now collected all pertinent local solid waste management policies and regulations and is reviewing with a gender lens to deliver a brief gap analysis report.

In addition to these grantee activities, CCBO began coordinating immediately with the Ministry of Environment to communicate its support for the implementation of the National Law, as well as the program’s planned activities in Samaná Province. CCBO’s in-country subcontractor, Sostenibilidad 3Rs, met

CCBO’s partner, Ms. Ginny Heinsen, meets with the Minister of the Environment. Source: Instagram/Jorge Mera


with the Minister of Environment (MOE) and the MOE’s Vice Minister of Cooperation to introduce CCBO, and worked with USAID/DR to schedule a formal kick-off meeting with the Ministry.

In line with this support, the program also began engaging with Samaná Tourism Cluster leaders in December. Representatives from the Samaná Tourism Cluster, namely the Vice President of the Samaná Association, are interested in developing and supporting the implementation of a more sustainable SWM system in the Province—including the closure and mitigation of current, harmful open dumpsites and the development of environmentally-sound new landfill(s) and waste reduction programs. At the close of December, CCBO held several calls with this group to provide technical assistance for the development of a budget, outline, and proposal for a Solid Waste Master Plan that will be presented to the President of the Dominican Republic. The President is extremely interested in establishing a model SWM system in Samaná that can be a model for and replicated across other areas in the country. In Q2, to support and leverage this opportunity for presidential funding and the systems and infrastructure needed to achieve truly CCBO’s objectives—CCBO will continue to support this opportunity and provide technical assistance to the Tourism Cluster, Office of the President, and relevant Cabinet members.

Additional progress made in the quarter included: • Additional exploratory conversations with international organizations and donors such as the

Inter-American Development Bank (IADB). IADB is engaged in ongoing sanitary landfill work in Santo Domingo;

• Completion of CCBO’s 3R/SWM Marine Debris Strategy Alignment Assessment for the DR, (to be submitted to USAID in early Q2), which will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyzing how CCBO activities can support progress toward each of its focal countries’ national goals, and making recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets;

• Completion of a Stakeholder Landscape Analysis, authored by Sostenibilidad 3Rs, which was integrated into CCBO Year’s Two Annual Stakeholder Report. Following, Sostenibilidad will develop a Private Sector Landscape Analysis Report with additional private sector detail on high-potential partnership and collaboration opportunities.

Peru


In Year One, CCBO engaged regularly with USAID/Peru and Peru’s Ministry of Environment’s (MINAM) to build relationships, seek approval for its Country Concept Note, and develop a foundation upon which to develop its Year One Country Work

Plan. In November, the program launched into intensive work plan development, conducting additional research, holding team strategy development sessions, and putting the plan to paper. CCBO submitted its full Peru Work Plan, and a shorter, summary version, on December 24 and, at the close of the quarter, was awaiting USAID and MINAM feedback for inclusion and finalization. The program anticipates that it will begin soliciting grantee applications for Peru in Q2, as the work plan approach is approved.


In parallel, the program worked to recruit for its in-country staff team, establish itself (legally and operationally) in-country, and prepare to open its Peru office in Year Two. By the close of the quarter, CCBO has identified and selected candidates for its Country Director and Finance and Administration Manager. The program continues to recruit and interview for its Solid Waste Management Specialist. ADVANCING TECHNICAL OBJECTIVES

In Q1, CCBO actively worked through subcontractor, Good Company, to interview stakeholders from government, private sector, and civil society to gather information around Peru’s national ocean plastics and solid waste management strategies to identify how CCBO can best advance these efforts. The result will be a comprehensive 3R/SWM Marine Debris Strategy Alignment Assessment for Peru, which will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyze how CCBO activities can support progress toward each of its focal countries’ national goals, and make recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets. The team also initiated its Initial Solid Waste Management Assessment for Peru and began completing desk research, as well as conducted research on solid waste governance to more fully understand current levels of capacity and governance.

CCBO also continued to meet with stakeholders to gather information and develop relationships with critical actors and potential partners. Notable engagements included conversations with Colgate Palmolive around potential collaboration in Peru—a market Colgate is very active in—and JICA’s Tokyo and Peru offices. JICA is working on multiple sanitary landfills that could serve Ica and Piura and noted that waste collection and aggregation are continued challenges that remain as these landfills are being developed.

2.3.2 Southeast Asia

Vietnam


At the close of its first year, CCBO had begun collaborating with its national government counterpart, Vietnam Administration of Seas and Islands (VASI), Point of Contact—the Vice Director of Department of Science Technology and International Cooperation (DSTIC), with plans to hold initial meetings in early Year Two. On October 22, CCBO and USAID/VN held a call with its VASI point of contact to present an overview of the program and learn more about Vietnam’s national priorities and desired areas of collaboration. Out of the call, CCBO

received feedback on its FY2020-developed Year One Work Plan and areas VASI would like to collaborate.

Following this meeting, on November 21, CCBO submitted a final draft of its Vietnam Year One Work Plan and plan summary, integrating USAID feedback captured during the program’s Year Two Work Planning process and USAID/Vietnam requests.

Throughout the quarter, CCBO also worked to identify resources for staffing and operational needs in the country. By the quarter’s close, a Country Director, Solid Waste Specialist, Grants Specialist, and Finance and Administration Specialist had been selected and are expected to begin in Q2.


ADVANCING TECHNICAL OBJECTIVES

CCBO worked to develop and finalize its first assessments—its Initial Solid Waste Management Assessment (ISWMA)—to determine specific gaps and opportunities in each of its engagement sites. It also initiated its 3R/SWM Marine Debris Strategy Alignment Assessment, through a subcontract with Dr. Jenna Jambeck’s team at the University of Georgia, which will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyzing how CCBO activities can support progress toward each of its focal countries’ national goals, and making recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets. The ISWMA was submitted on October 23 and, after incorporating feedback, finalized on December 22. The Marine Debris Strategy was submitted on December 10 and, similarly, resubmitted as final on December 29. Both were shared with CCBO’s local point of contact at VASI.

The year’s first quarter held a significant amount of engagement and outreach efforts to potential partners and other organizations and entities working in the area. Outreach included but was not limited to discussions with:

• Asian Venture Philanthropy Network – a network/platform for investment, interested in various levels of investment (large, small, and policy engagement) in multiple aspects of the plastics issue (varies by network partner).

• Evergreen Labs – an organization processing low value plastics and integrating the informal sector around Da Nang.

• The USAID-funded Building Healthy Cities project – aims to refocus city policies, planning, and services with a health equity lens while improving data-driven decision making for Smart Cities in India, Indonesia, and Vietnam. The project is interested in finding ways to address public disposal issues in Da Nang.

• Falk Foundation – interested in co-funding opportunities and expressed an interest in SBC work through youth engagement.

• Ocean Conservancy –providing ongoing support for the implementation of the National Action Plan for Management of Marine Plastic Litter By 2030. CCBO and Ocean Conservancy are continuing to look for ways to work together and may have identified a co-funding opportunity around a grantee working with women waste collectors in Da Nang.

• WWF Vietnam – implementing the Plastic Smart Cities in Phu Quoc and Danang.

In regard to CCBO’s Vietnam grants program, the team made several key decisions in the quarter to advance applications it had received in prior APS submission windows. With CCBO having successfully held meetings with its VASI POC and support of the work plan, the program notified three organizations of their advancement to Full Application: Environment and Development Action (Enda), Center for Environment and Community Research (CECR), and the Center for Social Research and Development (CSRD).

Following this decision, CCBO also began carrying out final reviews for shortlisted Round 1 and 2 Concept Papers and conducted a pre-Review and Evaluation Committee meeting to discuss technical priorities and timelines and update the Vietnam APS to reflect high-priority areas for grantee support. The modified APS was republished on November 12, and the team decided to hold subsequently received Concept Notes for review until early 2021 to focus on moving current organizations through the selection progress.


Before the quarter’s close, CCBO received and reviewed the requested Full Applications and selected CSRD to move forward to the pre-award stage for fund. ENDA was under review. In Q2, CCBO will work to award grants to selected organization/s and continue reviewing incoming applications.

The Philippines


In Year One, CCBO laid a solid foundation for its Year Two work in the Philippines, enabling the team to make immediate progress toward its technical objectives in Year Two’s first quarter. CCBO’s Asia Regional Director, onboarded in Year One, continued to coordinate and meet with the USAID/Philippines Mission regularly, and at the close of December, was preparing for an introductory meeting between USAID, CCBO, and the

Philippines Department of Environment and Natural Resources’ (DENR) Solid Waste Management Division and Foreign Assisted and Special Projects offices.

The program continued planning and engagement for its newest activity, the W-GDP-funded Women in Waste’s Economic Empowerment (WWEE) activity. In October, members of the CCBO team worked to develop the WWEE Year One Work Plan and MEL Plan, which was finalized and submitted on October 30. A revised version was submitted on November 25 and approved by USAID on November 30. In parallel, CCBO also worked to recruit and identify a WWEE Activity Manager and Deputy Activity Manager (who will also serve as the Philippines/Indonesia Gender Specialist); engaged with and developed a subcontract Scope of Work with the Johns Hopkins University SEE Change Initiative to support WWEE’s training component (to be finalized in Q2); and developed, published, revised, and republished (in late December) a Request for Applications (RFA) for a local grantee organization that will serve as the activity’s main implementation partner. Pending USAID approval, the two new staff members will join the program in early January. Grantee applications are expected in February 2021—in preparation, CCBO plans to hold an Applicant’s Conference for the WWEE RFA on January 6 to present the technical scope and hold a Q&A session.

The broader CCBO program continued staffing efforts as well. In late October, CCBO’s Philippines Solid Waste Specialist joined the team, followed by its local Capacity Development and Governance Manager (via ICMA) on December 20. CCBO continues to recruit and onboard its full complement of staff in the Philippines and also looks forward to opening its Asia Regional office in Manila in Year Two (as possible with COVID-19 rates and lockdown restrictions). In Q2, it expects to onboard the WWEE staff (mentioned above) and a Regional MEL Specialist. ADVANCING TECHNICAL OBJECTIVES

In Q1, the team accomplished several key achievements in its on-the-ground implementation in the Philippines and continued to advance activities initiated in Year One—namely, it’s grants program. By the close of Year One, CCBO had selected five grantees as its first class of grantees—awarding one grant before the year’s close. In Q1, the program awarded three additional grants and completed the


final stages of the pre-award process with its final first wave grantee. First wave grantees and their project titles (in order of award) include:

• Catholic Relief Services: Clean Manila, Blue Bay, City of Manila - $99,828 (Awarded Year One);

• Green Antz Builders, Inc - Community EcoHub: Integrated Waste Management Solution, Pasig City -$247,790;

• Communities Organized for Resource Allocation (CORA): Circular Center – Enhanced Recovery and Recycling Mechanism for Marine Litter, Paranaque City - $245,680;

• Plastics Credit Exchange (PCEx): Aling Tindera Network, City of Manila - $79,351; and

• Project Zacchaeus: Project e-Kolek, Puerto Princesa, Palawan - ~$200,000.

Before the close of the quarter, CCBO received and selected Concept Notes from the Central Philippines University (Iloilo) and the Philippine League of Local Environment and Natural Resources Officers (PLLENRO) to move forward to Full Application in Q2.

See Annex IV for a complete overview of grantee projects, timelines, and budgets. The Philippines APS remains active through March 2021. The next Concept Paper submission deadlines will be January 11 and March 1, 2021.

Beginning early in the quarter, CCBO worked with USAID/Philippines to plan a virtual grant award and launch event to publicly announce the grantees and celebrate the program milestone. The event, originally scheduled for November 12, was postponed just hours before its start due to typhoon Vamco—a significant weather event that caused tremendous damage in Metro Manila. Later in the quarter, January 14 was set as a new date for the event. CCBO prepared press releases, communications materials, worked with grantees to develop short video overviews of their projects, lined up local Mayors as speakers, and prepared the virtual event platform in advance of the original date. With

much of the preparatory work accomplished during the quarter, CCBO will work in Q2 to update materials, make last preparations, and conduct the virtual event in January.

As CCBO’s first awarded grantee, CRS made the most significant progress of the grantees in in-field implementation during Q1. CRS began implementation with a multi-day training on Trials of Improved Practices (TIPS) provided by CCBO, meetings with selected barangays and other local government units (LGUs) to introduce the program and garner support, and preparations for their planned

Grantee Highlight: Catholic Relief Services (CRS)

CCBO grantee, CRS, will work to build the capacity of local governments and the private sector to effectively implement SWM laws, while supporting communities in the adoption of sustainable 3R and SWM practices. CRS will involve women in trainings on SWM policies and strategies, identify and support SWM Ambassadors from women’s groups, and specifically work with women on SWM-based livelihoods through skills training, business planning and seed funds to start a business with ongoing mentorship and support.

CCBO worked in Q1 to plan a virtual grant award ceremony to announce its first wave of grantees. The event, scheduled for November, was postponed until January.


research through identifying volunteer enumerators and preparing research tools for baseline surveys. CCBO’s Asia Regional Director and Regional Grant Specialist visited the CRS offices and met some of the LGU leaders participating in the program.

As mentioned, out of the gate, CCBO worked with the CRS team and their implementation partner, Caritas Pasig, to build the capacity of grantee staff around TIPS—part of CCBO’s approach to SBC. CCBO’s SBC Director developed a TIPS training module and worked with a local SBC consultant to deliver the training to the grantee team. Eleven individuals completed the TIPS Training in early October (9 women and 2 men). The training served as a trainer’s training to be echoed to community volunteers who shall become TIPs enumerators. Most participants (10) rated the training as good (5) or excellent (5). When asked what parts of the training were the most helpful, respondents noted the clear explanation of the topics, roleplaying and negotiation activities, as well as the TIP manual shared by the trainers. Feedback for improvement included more sample forms reflecting local contexts, and suggestions for inclusion of videos or other media presentations to show how TIPS are conducted to help contextualize and recall material.

Also, during October, CRS: • Continued on to conduct their own trainings for their project teams. In mid-October, CRS held an

Enumerator Training. Twenty-two enumerators were trained during the three-day training to prepare staff to conduct the baseline study and collect data for the barrier analysis. The training included an orientation on qualitative and quantitative inquiries and the use of Kobo application to record data.

• Held a training for members of the Manila City Department of Public Services and barangay leaders handling SWM and livelihood programs. The Solid Waste Management Training of Trainers (SWM TOT) was held over three days and trained 32 individuals (17 women, 15 men).

• Signed Memorandums of Understanding (MOUs) with six Barangays (91, 93, 98, 105, 128, 133) to formalize their support and cooperation around CRS’ activities for capacity building and strengthening of the SWM systems.

• A total of 65 individuals were trained in Q1 through these activities and contributed to CCBO’s performance indicators.

Other grantees worked through the pre-award, award signing, and orientation stages during the quarter. Grantees also worked to make their own site visits and prepare for implementation, in coordination with CCBO’s Manila team who frequently met with and conducted site visits

CCBO staff and the Green Antz team during a site visit. Photo: CCBO/Rene Acosta

Grantee Highlight: Green Antz Builders, Inc.

Green Antz will pilot its previously successful private EcoHub model in Pasig City as a cost-effective 'community' EcoHub that will eventually be turned over to the LGU with specific conditions to ensure continuity and service assurances of the facility. By engaging LGUs, private sector partners and communities, Green Antz will promote sustainable 3R/SWM practices and create a community-level waste management plan that will be supported by the EcoHub’s ability to process organics and single use plastics into usable products.


with the grantee teams (see right photo of Green Antz team with CCBO’s Asia Regional Director as they visit the proposed EcoHub site). Additional progress made in the quarter, apart from CCBO’s grants program, included:

• Completion of CCBO’s 3R/SWM Marine Debris Strategy Alignment Assessment for the Philippines, (submitted to USAID on December 10), which will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyzing how CCBO activities can support progress toward each of its focal countries’ national goals, and making recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets;

• Development of first and second drafts of a Memorandum of Understanding (MOU) between CCBO and LGUs where CCBO will support Solid Waste Management Planning in 2021, with potential funding from the Alliance to End Plastic Waste. The program also met with the World Bank’s lead consultant, Vic Luis, for bank-funded Metro Manila Solid Waste Management Master Plan project;

• Compilation of CCBO engagement sites’ SWM plans, ordinances, and programs for further analysis and review.

CCBO also held a significant and notable number of additional exploratory conversations with members of the private sector, international organizations, and donors such as:

• GA Circular - consultants hired by World Bank to conduct a Plastics Circularity Opportunities and Barriers Market Study for the Philippines. Following the conversation, CCBO participated in a World Bank/GA Circular a materials flow analysis and stakeholder workshop in late October;

• WWF Philippines – implementing the Plastic Smart Cities program in Manila and Batangas; • Geocycle – an organization with co-processing facilities in the Philippines and ongoing recycling

efforts in Pasig. • Colgate-Palmolive and Unilever – a potential partner to provide hand sanitizing options for select

CCBO grantees (in December, CCBO shared a one-page proposal); • Dow Chemical Philippines; and • Circulate Capital Singapore.

Sri Lanka and Maldives

COUNTRY ENGAGEMENT AND PLANNING At the close of Year One, CCBO had dedicated the month of September to work plan strategy sessions and plan development to submit the work plans in early Year Two. In parallel, the program also initiated development of its Initial Solid Waste Management Assessments for the countries, which provides additional, detailed information on current

engagement sites SWM systems and informed the plan—in addition to later providing the foundation for ongoing SWM planning in the sites. CCBO finalized and submitted its Year One Work Plan for Sri Lanka and the Maldives on November 11 and received initial feedback from USAID on the plan on December 15. CCBO resubmitted the Work Plan with feedback incorporated just as the quarter closed, on December 30, and will await further feedback or approval in Q2.

In addition to maintaining communication with USAID/Sri Lanka throughout the quarter, on October 15,


representatives from USAID and CCBO spoke with representatives from the Ministry of the Environment in the Maldives. The representatives from the Maldives were very receptive to USAID and CCBO. There was a strong recognition of the economic and environmental threats that plastics pose, as well as an emphasis on the need to address the entire SWM stream, organics, plastics, metals, and papers on all inhabited islands as economical collection and aggregation are ongoing challenges.

CCBO made progress within the quarter in identifying and beginning to onboard its local team. On October 19, CCBO’s Finance and Administration Specialist joined the program; and on December 17, CCBO’s Sri Lanka/Maldives Country Director. By the quarter’s close, the program had also identified candidates for the roles of Grants Specialist and Solid Waste Specialist, expected to join in Q2, and actively recruited for an in-country MEL Specialist.

ADVANCING TECHNICAL OBJECTIVES

In addition to the progress noted above, CCBO continued to dig in to advance technical objectives. In parallel to its country work planning, the program initiated development of its Initial Solid Waste Management Assessments for the countries, which were submitted on December 23. A second research deliverable was produced during the quarter, as well—the 3R/SWM Marine Debris Strategy Alignment Assessment, authored (via subcontract) by Dr. Jenna Jambeck’s team at the University of Georgia. The assessment, which was completed in the quarter and will be submitted at the outset of January, will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyzing how CCBO activities can support progress toward each of its focal countries’ national goals, and making recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets.

CCBO also continued work to launch its first grants—managing and reviewing applicants that responded to the Year One-issued Annual Program Statement. Early in the quarter, CCBO began receiving full applications from five applicants that were marked to proceed at the close of Year.

Selected Grantees Moving to Pre-Award (Sri Lanka): Ceylon Chamber of Commerce (CCC)

Building on their MWRP grant, CCC proposes to create public-private partners that can increase the amount of PET and HIPS packaging that is collected and recycled. Private sector consortia will be formed to facilitate packaging upcycling, CCC will also work to develop governance mechanisms and operating systems, engage IWCs and support youth-led plastic collection to improve/create innovative, market-based collection and recycling schemes. Lastly, CCC aims to design and operationalize an online Plastic Use Reporting System.

Public Interest Law Foundation

Through their MWRP-funded grant, PILF identified ongoing challenges to SWM enforcement that will be addressed in this follow-on CCBO grant including: developing a legal system with the Central Environment Authority (CEA) to create a database of all actors in recycling sector and a legal reporting system; assisting CEA in writing Extended Producer Responsibility into law and reducing the cost on private sector; and drafting regulations for disposal of hospital waste.


From Sri Lanka: The Sri Lanka Centre for Development Facilitation (SLCDF), the Public Interest Law Foundation (PILF), and the Ceylon Chamber of Commerce (CCC); and from the Maldives: Soneva Foundation, and Small Island Geographic Society (SIGS). After meeting with the grantees and holding

ongoing discussions, by the close of the quarter the program had selected to move four grantees forward to pre-award. These included PILF and CCC in Sri Lanka and SIGS and Soneva Foundation in the Maldives.

By the quarter’s close, CCBO was undergoing technical negotiations and the pre-award process with those selected.

CCBO also continued to evaluate incoming Concept Notes on a rolling basis, according to their deadlines. From the quarter’s submissions, two Concept Notes from the Maldives were selected to go onto the CCBO Review and Evaluation Committee (REC) to evaluate.

CCBO also continued to identify and engage with potential partners which the program may collaborate with in implementation. Of note, CCBO collaborated with the Asian Development Bank about their ongoing work in the Maldives. ADB is in the process of developing an energy recovery facility on Thilafushi, which is an island currently openly burning much of the waste generated in greater Malé.

Meetings included conversations with national companies Lion Brewery (Ceylon) PLC, Mount Lavinia Hotel, Eco Spindles, and the Hotel Association of Sri Lanka; with multi-national corporations Unilever, Nestle, Tetra Pak, SUEZ, and Coca-Cola; and international development partners like the Asian Development Bank, Department for Environment, Food and Rural Affairs (UK), and the World Bank, as well as numerous NGOs.

Indonesia


At the close of Year One, CCBO had initiated regular meetings with the USAID/Indonesia Mission to prepare for in-country launch

and initial meetings with Indonesia’s Ministry of National Development Planning (Bappenas) in early Year Two. In Year Two’s first week, on October 5, CCBO met with Bappenas and USAID/Indonesia to formally present an overview of the CCBO program, its approach, and proposed activities in Indonesia, as well as

Selected Grantees Moving to Pre-Award (Maldives): Small Island Geographic Society (SIGS)

SIGS proposes to research households’ current behavior to identify solutions for reduced single-use plastic consumption and plastic-free living. Each households’ journey will be documented through journaling, regular visits from the SIGS team, and shared with the broader community through interactive webinars that present individuals’ journeys and encourage others to join.

Soneva Foundation

Soneva Foundation will build on its Soneva Namoona program that works with island communities on waste management through the Atoll Council to: audit waste management systems and create regular collection logistics for plastics, train Women's Development Committees in household waste collection and 3R promotion, develop compacting stations to receive and process plastics for transportation to recycling partners, and promote the use of reusable glass bottles stations for households, guest houses, and cafes.


receive feedback from Bappenas on national priorities and potential engagement sites. Out of the call, CCBO received broad support from Bappenas, was designated a formal point of contact within the agency for ongoing coordination and set out to determine proposed engagement sites for consideration by the Mission and Bappenas.

A follow-up meeting was held on October 16, wherein CCBO proposed engagement sites to Bappenas and USAID/Indonesia for review and feedback. Out of the call, the engagement sites of Makassar, Kota Semarang, and Kota Ambon were selected. By the close of October, CCBO had received sign-on from the Government of Indonesia (GOI) and USAID on the three engagement sites.

With the program’s strategy, proposed engagement sites, and high-level activities already presented and acknowledged through these meetings, CCBO moved immediately to begin developing its country work plan while it awaited the finalization of USAID/Indonesia’s Country Development Cooperation Strategy and signing of the Grant Implementation Agreement (GIA), required before the program formally begins engaging in field and onboarding staff. The Team initiated work planning sessions in November, building on technical research conducted throughout the year and launching additional research into CCBO’s focal areas. The plan was developed and submitted to USAID on December 9, reviewed by CCBO’s incoming Indonesia Country Director who formally joined the program on December 17.

By the close of the quarter, CCBO had received word that the GIA had been signed by GOI and was anticipating USAID countersignature imminently. The program had also received initial feedback on its work plan submission, with additional feedback due from the Mission and Bappenas in Q2 for revisions. Upon the GIA’s full approval, the work plan will be reviewed by multiple GIA ministries involved in Indonesia’s SWM efforts.

CCBO continued recruiting throughout the quarter for additional country staff and, in Q2, expects to onboard its identified candidates for the roles of Solid Waste Specialist and Finance and Administration Specialist. ADVANCING TECHNICAL OBJECTIVES

To advance in-field implementation and related technical objectives, CCBO also worked throughout the quarter to identify and engage with potential partners, including actors like WWF Indonesia related to their Plastic Smart Cities project in Makassar. In parallel, CCBO worked to develop its first assessment for Indonesia—its Initial Solid Waste Management Assessment (ISWMA)—to determine specific gaps and opportunities in each of its engagement sites. It also initiated its 3R/SWM Marine Debris Strategy Alignment Assessment, through a subcontract with Dr. Jenna Jambeck’s team at the University of Georgia, which will support and inform CCBO’s approach by identifying national-level strategic plans that are in place, analyzing how CCBO activities can support progress toward each of its focal countries’ national goals, and making recommendations regarding policy, infrastructure or partnership opportunities that can further progress toward national targets. By the close of the quarter, the program had developed near final drafts for each, and the ISWMA and the 3R/SWM Marine Debris reports will be submitted in Q2.

CCBO also expects to determine a strategy for and release a grant solicitation in Q2 to begin implementing locally-led activities in its engagement sites.


3. Global Activity Progress At a global level, CCBO works to strengthen the environment for and build sustainable partnerships, grow USAID’s role and visibility in combating ocean plastics, and increase the capacity and knowledge of those that can support program ocean plastics initiatives.

Focus Area 5: Strengthen Public-Private Partnerships and/or Multi-Stakeholder Alliances

In Year One, CCBO built a solid foundation to develop formal private sector partnerships, connecting with over fifty companies and organizations to assess alignment, interests, and potential opportunities. In Year Two, CCBO will focus on continued partnership exploration with the aim to establish high-impact partnership opportunities, develop partnership concepts, and formalize partnership agreements.

At the outset of Year Two, CCBO completed its Year Two Annual Stakeholder Report (as noted in Section 2.2: Focus Area 3), to compile CCBO’s Year One findings and private sector/stakeholder discussions to highlight, map, and layout recommendations for next partnership steps at the global and focal country levels. The report was submitted on December 30 and will guide CCBO’s approach.

During the quarter, CCBO met with a variety of organizations and continued to explore opportunities to collaborate with its partner, the Alliance to End Plastic Waste (AEPW). In Q1, CCBO developed a funding proposal to support the design of Solid Waste Management Plan(s), on the ground assessments, and pilot of proof of concept projects (supporting grantees) starting with two cities in the Philippines (Las Pinas and Pasig City) and later expanded to up to ten cities in Asia. Developed early in the quarter, CCBO continued to coordinate with the Alliance on their consideration of the proposal throughout the quarter. In December, AEPW approved the proposal. In Q2, the partners will work together to determine the feasibility of the project.

Other notable organizations that the program engaged with at the global level included: • SUEZ - offers various waste management, water sanitation, and consulting services—an AEPW

member. • International Finance Corporation - to discuss the respective organizations’ efforts underway

in Indonesia, Vietnam, and Peru. • Veolia - to discuss waste management needs and opportunities in CCBO focal geographies, as

well as potential low-tech solutions applicable to focal country contexts. Veolia works with organizations to address their environmental and sustainability challenges in water, waste, and energy.

• Terracycle Foundation - to discuss the foundation’s interest in collaboration on river capture devices and collecting hard to recycle materials.

Focus Area 6: Strengthen USAID Leadership in Combating Marine Plastics

As part of CCBO’s objectives to strengthen USAID’s leadership in combating ocean plastics, CCBO engages inter-governmental fora to facilitate dialogue, commitments, and global coordination. In Q1, the program engaged in several activities and explored potential high-profile virtual events to further establish


the program’s identity amongst U.S. and international experts in development, solid waste, and ocean plastics and educate target audiences about the program’s goals, next steps, and partnership interests (detailed in Section 3.2). Most notably, CCBO coordinated a slot for the program in an Asia-Pacific Economic Cooperation (APEC) webinar on land-based waste management, organized in collaboration with the Malaysian Green Technology & Climate Change Centre and Ocean Conservancy. At the webinar, CCBO’s Contract Office Representative represented the program and shared how USAID and CCBO are addressing ocean plastic pollution by working with APEC cities to create enabling environments where innovative 3R approaches can thrive. USAID was joined by its grantee, Green Antz Builders, Inc.; as well as USAID Municipal Waste Recycling Program (MWRP) grantees, the Center for Environment and Community Research; innovation and incubation specialists, SecondMuse; and members of the private sector who each shared their experiences in supporting innovative technologies and business ventures geared towards improved solid waste management in the Asia-Pacific region. Over 120 global audience members joined the program from public and private sector, civil society organizations, and science-based organizations.

CCBO continued to explore other opportunities, including a potential collaboration with the Asian Venture Philanthropy Network later this year.

4. Management and Operations

4.1 Contract Management and Procurements

CCBO’s leadership continued to coordinate regularly with its USAID COR, Contracting Officer (CO), and other relevant USAID counterparts to discuss topics including, but not limited to, the program’s overall strategy (particularly in the development of various strategic planning documents), immediate next steps, and to review key deliverables (detailed in Section 2 and in Annex III). Throughout the quarter, CCBO and USAID’s management teams held bi-weekly management meetings to review these and other pressing items to facilitate real-time decision making and ensure seamless coordination.

Within the quarter, CCBO’s management and operations teams also continued preparations for in-country CCBO operations—including hiring (detailed in Section 4.2), establishing bank accounts, legal identities, and preparing for office openings, where relevant. The team also continued to adhere to regular contractual operations and reporting requirements,

CCBO’s COR and grantee partner share how USAID is creating stronger enabling environments for more sustainable, circular waste management systems. Photo: APEC webinar


including those relating to environmental compliance. CCBO has made environmental compliance and monitoring a crosscutting aspect of staff activities, and in Year One, brought on extended support from an experienced environmental mitigation and monitoring process (EMMP) consultant is now responsible for guiding the EMMP process. In Q1, CCBO carried out ERFs for all grants sent to USAID and will continue working with awarded grantees on compliance. CCBO’s Environmental Consultant also provided initial trainings to Philippines staff on the CCBO IEE, EMMP and process for developing and ensuring compliance with the grantee ERFs. Ongoing training and support will continue.

4.2 Organization and Staffing

CCBO continued to recruit and onboard final core staff to complete the program’s complement of technical and operational experts, with a focus on building out CCBO’s field offices. In Q1, the program completed recruitment for and successfully onboarded 7 positions.

CCBO also worked to continue recruiting, identifying, and working through negotiations and approvals with over 13 individuals that are expected to be onboarded and fill open positions in Q2. A summary of positions onboarded during the quarter and expected to join next quarter is provided below. Table 2. CCBO Field Staff Onboarded and Recruited2

Position Date Joined/Expected

Onboarded in Q1

Global – Governance Interns (2) October 20

Philippines – Solid Waste Specialist October 20

Sri Lanka/Maldives – Finance Manager October 20 (joined as consultant)

Philippines - Capacity Development and Governance Manager December 20 Indonesia – Country Director December 17 (joined as

consultant) Sri Lanka/Maldives – Country Director December 20 (joined as

consultant) Expected to Join in Q2 Philippines/Indonesia – Gender Specialist and Deputy WWEE Activity Manager January

Philippines – WWEE Activity Manager February

Peru – Country Director February

Sri Lanka/Maldives – Grants Specialist February

Indonesia – Finance Manager February

Peru – Finance Manager February

US – Communications and Outreach Specialist March

Vietnam – Solid Waste Specialists (2) March

Vietnam – Country Director March

Vietnam – Finance Manager March

Sri Lanka/Maldives – MEL Specialist March

2 Onboarding dates are subject to change and dependent on completion of hiring processes and availability of program funds.


Position Date Joined/Expected

Vietnam – Grants Specialist April

4.3 Communications and Reporting

During the reporting period, CCBO’s Communications Director provided support to program leadership and technical leads to develop and submit the quarter’s programmatic deliverables (summarized in Annex III), responded to USAID requests, such as those for Talking Points and presentations, and continued to develop the program’s suite of communications and outreach materials—including, this quarter, a factsheet on CCBO’s gender equality and women’s economic empowerment work.

As noted in Section 2.3.2: Philippines, the program dedicated significant effort to plan a virtual grant award and launch event to publicly announce the program’s Philippines grantees and celebrate the program milestone. CCBO prepared press releases, communications materials, worked with grantees to develop short video overviews of their projects, lined up local Mayors as speakers, and prepared the virtual event platform. The event, originally scheduled for November 12, was postponed die to extreme weather events to January 14. With much of the preparatory work accomplished during the quarter, CCBO will work in Q2 to update materials, make last preparations, and conduct the virtual event in January. CCBO also began to engage in discussions with other focal country Missions about Q2 and Q3 launch event plans.

CCBO’s communications also continued to support the program’s in-field launches and operational efforts, spreading awareness of and distributing communications around the program’s grant opportunities and recruiting efforts. In Q1, CCBO distributed seven blast emails to communicate these opportunities, as well as the planned program event. Program email communications continue to draw high open and response rates, averaging open rates of 57.8%.

The program continued to explore and articulate how CCBO objectives and activities are linked to larger development challenges—including global priorities such as climate change adaptation and mitigation. At the close of the quarter, CCBO was working with technical experts to develop talking points and a brief presentation on CCBO’s intersectionality with and potential positive impacts on climate change efforts.

4.4 Monitoring, Evaluation, and Learning (MEL)

Continued Development and Operationalization of CCBO’s MEL System –

In the program’s inaugural year, CCBO focused significant efforts on the design, development, and finalization of its MEL Plan, along with the corresponding systems and tools that will be used to execute the plan over the length of the program. The resulting MEL system, outlined in the MEL Plan, is multi-faceted with a strong emphasis in collaborating, learning, and adapting (CLA). The plan is designed to guide program management, engender accountability, advance learning, and track program and country-level progress. It also integrates program gender equality and women’s empowerment priorities, including both dedicated and gender-disaggregated indicators, and outlines learning questions to track and provide insight into CCBO’s gender-related impacts.

Expanding CCBO’s program MEL Plan, in Q1, CCBO also developed a MEL Plan for its new W-GDP-funded WWEE Activity, which included the selection of standard indicators and the development


and inclusion of a new custom indicator to capture WWEE’s support to small, medium, and large enterprises. The WWEE MEL Plan is an addendum to the overarching CCBO MEL Plan and will support the capture of additional impacts possible through the program. The plan was developed over the end of Year One and finalized and submitted on October 30. A revised version was submitted on November 25 and approved by USAID on November 30.

To support the overall implementation of CCBO’s MEL Plan, CCBO continued to build out its Data Management (and Grants) Portal, which will be used to manage MEL indicators, as well as grants data, and aid in stakeholder management. The team worked closely with Tetra Tech’s Technology for Development Director to continue developing the tool on the Salesforce platform—and, during this quarter, focused on review, and refinement of the portal and its integration with the internal filing system for streamlined filing of backup documentation. In December, the app moved from the “sandbox” where it was being built and tested to being launched to its final stage of testing, wherein indicator data could be uploaded and saved for future use. The MEL Manager has been working closely with the TetraTech Technology for Development team and Salesforce to upload data, refine data entry forms and fields, and develop and test the reporting features for use with actuals from CCBO activities. In the upcoming quarter, CCBO will continue finalizing the portal and begin developing orientation material and guidance for rolling out the system for internal and external (grantee and USAID) users.

CCBO continued recruiting efforts for its Regional Monitoring and Evaluation Specialist (Asia), who will support MEL monitoring, training, and Knowledge Management and Learning efforts in CCBO’s Asia focal countries, and other focal country MEL Specialists to be based in Asia. Until need is determined, CCBO’s US team will support Latin America and Caribbean MEL efforts.

Throughout the quarter, CCBO responded to and provided information for various USAID and W-GDP data requests, such as submission to W-GDP of indicators being used to monitor W-GDP funding and, separately, exploration with USAID on the level of geospatial data to be collected and reported in CCBO’s work.

Monitoring and Building Capacity in CCBO Engagement Sites –

Since the launch of CCBO’s grants program, CCBO’s MEL Manager has provided MEL support to prospective grantees from the pre-award stage, in order to ensure the activity design, theory of change, and MEL components align with CCBO objectives. In Q1, the MEL Manager continued to collaborate with the Grants Manager, Grants Specialist, technical leads, as well as the grantee staff to develop and refine each grant’s theory of change, ensuring that there is a logical flow of desired results and activities towards the achievement of CCBO objectives and that the theories are able to be shared, understood, and

Figure 2. CCBO Salesforce Data Management Portal


accepted by USAID and other stakeholders. Support has also been provided to identify gaps in grantee organizations’ capacity for data collection and management and offer suggestions and guidelines to grantees on their organizational structure, hiring, and division of MEL-related duties. As grantees have progressed through the design and negotiation process, the MEL Manager has also worked to provide feedback on milestone deliverables, indicator selection (from the CCBO MEL plan as well as unique indicators for their activity), and estimation of targets for success.

As grantees have moved from pre-award to full award status, the MEL specialist has supported grantee orientations by providing detailed information on MEL reporting expectations for indicators, learning questions, and a brief overview on submission requirements for the USAID Development Data Library (DDL). This orientation provides initial guidelines on near-term submission of data with the caveat that MEL reporting will be migrating over to the Salesforce system in the foreseeable future, and that some reporting tasks will be shared with the Regional MEL Specialist. The orientations have also provided a forum to obtain feedback from the grantees on the MEL system—which CCBO believes is integral to ensuring that the system is relevant to their activities, accessible, and user friendly for grantees with varying MEL capacities.

Year One Progress Toward Program Indicators and Targets –

Through its first-year activities, CCBO achieved and exceeded Year One targets against two of its indicators, (11) Number of events, engagements, or publications demonstrating USAID influence in ocean plastics reduction—exceeding its target for Year One by 133%; and (8) Number of individuals reached through USG assistance, reaching 2,598 individuals and increasing their awareness of issues central to the issue of ocean plastics through program events.

In its first quarter of Year Two, CCBO continued adding progress to its indicators through its in-country and global activities and began to report progress toward two additional indicators: Number of people trained in 3R/SWM supported by USG assistance (Indicator 7) and number of innovations supported through USG assistance (Indicator 4). In Q1, CCBO:

• Trained a total of 72 individuals—65 in the Philippines and seven in the Dominican Republic (Indicator 7);

• Supported the development of three innovations through its grants in the Philippines3. The Green Antz EcoHub model, the Aling Tindera model, and the CORA Circular Center model, are all newly developed, locally-led approaches that have the potential to achieve significant improvements in development outcomes versus existing alternatives; and

• Demonstrated USAID influence in ocean plastics reduction through six MOUs signed by CCBO grantee, CRS, with barangays for capacity development support, and one event via another grantee, CORA’s, attendance at the SEA of Solutions 2020 Virtual Conference, where the organization’s Founder and Executive Director, Antoinette Taus highlighted how USAID’s support would enable CORA to find new solutions toward reducing ocean plastics.

3 CCBO’s operational definition of “innovation” include: Initiatives or approaches that have been newly developed or significantly adapted for purposes of addressing, accelerating, or increasing efficiency or other benefits in 3R/SWM and materials management. Also counted will be innovative efforts towards the reduction of plastic use. If the initiative is something that had previously existed, it could be counted towards this indicator if it has been modified or adapted in a new way, not just if it has been applied in a new location, which would be more an example of scalability of an existing intervention.


With this progress, CCBO is already 42% and 87% to its Year Two targets for Indicators 4 and 11, respectively.

Table 3 provides a summary of CCBO performance indicators, progress to date, and targets. Some CCBO indicators will be reported on an annual basis and have been indicated as such in the table below. Table 3. CCBO indicators, targets, and progress to date

Indicator Title

Achieved Targets

Y2Q1 Cumulative (Since Program Inception) Y2 LOP

1. Metric Tons of plastic secured from leaking into the environment as a result of USG assistance 0 0 500 3,000

2. Metric Tons of material recovered and diverted from disposal as a result of USG assistance 0 0 4,000 25,000

3. Metric Tons of waste and recyclables aggregated as a result of USG assistance 0 0 6,000 40,000

4. Number of innovations supported through USG assistance 3 (new this period) 3 7 35

5. Amount of Investment mobilized for 3R/SWM supported by USG assistance 0 0 $3M $50M

6. Number of households / establishments participating in 3R/SWM programs as a result USG assistance Annual reporting 0 6,000 55,000

7. Number of people trained in 3R/SWM supported by USG assistance

Total: 72 DR: 7 (6F, 1M)

Phil: 65 (26 F / 15 M / 22 unknown)

72 (32F / 16 M / 22 unknown) 400 3,000

8. Number of individuals reached through USG assistance

Annual reporting

2,598 430,000 2,500,000 Direct 0 2,000 11,600 Indirect (Beneficiary) 0

428,000 2,488,400 Indirect (Awareness)4 2,598 9. Number of entities with increased capacity to assess or address 3R/SWM Annual reporting 0 10 100

10. Number of public policies that advance 3R/SWM supported by USG assistance Annual reporting 0 6 50

11. Number of events, engagements, or publications demonstrating USAID influence in ocean plastics reduction

7 (6 engagements,

1 event)

15 (8 events, 7

engagements) 8 50

12. Percent of individuals with new employment following participation in USG-assisted workforce development programs (EG 6-12)

0 0 50% 50%

Number of individuals newly employed (numerator) 0 0 118 900 Number of individuals who participate (denominator) 0 0 235 1800 13. Percent of individuals who complete USG-assisted workforce development programs (EG 6-14)

80% 80%

Total number of individuals who complete (numerator) 0 0 188 1440 Total number of individuals who participate (denominator) 0 0 235 1800 14. Number of microenterprises supported by USG assistance (EG 5-3) 0 0 5 50

15. Percentage of female participants in USG-assisted programs designed to increase access to productive economic resources (assets, credit, income or employment) (GNDR-2)

65% 65%

Number of female program participants (numerator) 0 0 130 975

4 In November 2020, CCBO updated the categorization of “indirect reach” to disaggregate between beneficiaries and those who the program engaged with to increase their awareness. The latter will be used to capture the number of people who learn about CCBO via events including webinars and conferences. CCBO will use the appropriate disaggregated group/s in its program communications.


Indicator Title

Achieved Targets

Y2Q1 Cumulative (Since Program Inception) Y2 LOP

Total number of participants in the program (denominator) 0 0 200 1500 16. Number of legal instruments drafted, proposed or adopted with USG assistance designed to promote gender equality or non-discrimination against women or girls at the national or sub-national level (GNDR-1)

0 0 1 7

17. Number of persons trained with USG assistance to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (GNDR-8)

0 0 200 1500

4.5 Grants Management

Grants Program Management –

CCBO’s grants program continued to operate and implement according to its Grants Manual and its protocols for grant competition, pre-award, implementation, and reporting. CCBO’s Grants Manager and Asia Regional Grant Specialist continued to manage active solicitations, facilitate the screening of incoming submissions, and actively manage and support selected grantee organizations through the application, review, negotiation, pre-award, and implementation stages. As applications were received, CCBO’s grants team and selected Review and Evaluation Committees (RECs) worked together to review, score, and provide feedback to grant applicants to move high-potential concepts forward. Through this process CCBO worked closely with prospective grantees through strategic and targeted assistance from its broad range of technical experts to fine-tune applications, expand stakeholder engagement, build comprehensive and logical Results Frameworks, identify organizational gaps that can be improved in implementation, and optimize concepts’ sustainability, impact, and opportunities to leverage additional private sector funding.

During the quarter, CCBO developed a targeted Request for Applications for CCBO’s new WWEE activity. The RFA was published on October 29, and revised and republished on December 22 to refine the request’s scope and republish to a more targeted group of potential bidders.

Figure 3 illustrates Annual Program Statements (APS) and Requests for Applications (RFAs) and associated submission deadlines, active as of Q1.

Figure 3. Status of Annual Program Statement/Request for Application Solicitations

Opportunity Number

Published Due Date(s)

RFA-WWEE-001 (Philippines)

December 22, 2020

February 5, 2021

APS-Philippines-001 Feb. 26, 2020

March 20, 2020

May 29, 2020

July 30, 2020

January 11, 2021

March 1, 2021

APS-Vietnam-001 April 29, 2020

June 5, 2020

Aug. 28, 2020

Nov. 27, 2020 (canceled)

Feb. 26, 2021

April 30, 2021

APS-Sri Lanka and Maldives-001

May 27, 2020

July 6, 2020 Sept. 18, 2020

Dec. 11, 2020

March 18, 2021

May 14, 2021


During the quarter, the grants team also continued to build out operational structures and tools to ensure efficient and effective portfolio management, as well as robust resources to support capacity building amongst its grantee organizations throughout all stages of the grant lifecycle. In particular, the program further refined grant strategies in each country based on annual work plans and available resources; finalized the pre-award assessment tool’s organizational Action Plan that is customized per grantee and allows CCBO to translate an organization’s weaknesses into actionable steps that can be supported by CCBO during the life of the grant; and launched the Grants App that is part of CCBO’s Data Management Portal (mentioned in Section 4.4) that is currently being populated with existing data as Tetra Tech finalizes functionality for other users (specifically grantees) to begin utilizing the App to tracker their grant progress and reporting requirements. Additional dashboard functionality for current and future users, including USAID, will continue to be built out in the next quarter.

Finally, as the team began to rapidly increase its grants pipeline and began processing multiple rounds of Concept Paper and Full Applications for review, CCBO bolstered its staffing capacity with the recruitment of Grants Specialists in its remaining countries and selection of a Grants Specialist for both Sri Lanka/Maldives and Vietnam. The Sri Lanka/Maldives Grants Specialist is anticipated to start in February 2021 and the Vietnam Grant Specialist in March 2021 (pending USAID approval). A review of Grants Specialist CVs for Indonesia and Peru will resume in Q2.

Current and Prospective Awards –

Through its grants program, CCBO made significant progress toward operationalizing its in-field activities with, by quarter’s end, three additional grants awarded and several more in the pipeline for award in Q2. Table 4 provides a snapshot of total concept papers received at the close of Q1, those that were awarded and were in the pipeline (either developing a Full Application or moved to pre-award) at the close of Q1. Table 5 provides an overview of grants awarded to date and associated financials for awarded, in the pipeline (pre-award only), and estimated remaining budget funds for each focal country. Additional details on all grants solicitations can be found in Section 4’s country-specific progress sections.

Table 4. Grant Solicitations and Progress Summary

Country Solicitation Number Status Concept Papers (CP) Received to Date

Grants Imple-menting

Grants in Pipeline5

Philippines APS-Philippines-001 Open 34 4 5

RFA-WWEE-001 Open N/A

Vietnam APS-Vietnam-001 Open 23 5

Sri Lanka APS-Sri Lanka and Maldives-001

Open 34 2

Maldives 8 2

Dominican Republic

RFA-Dominican Republic-001

Closed 6 1 1

5 Full Application Development or Pre-Award


Table 5. Grants Program Financials: Pre-Award and Awarded 6

Country Grantee Name Location Timeframe Status Budget

Philippines

Catholic Relief Services City of Manila August 2020 - July 2021

Awarded $99,828

CORA Las Piñas City Nov 2020 - Oct 2022

Awarded $245,680

Green Antz Builder, Inc. Pasig City, Metro Manila

Oct 2020 - March 2022

Awarded $247,790

Plastic Credit Exchange, Inc. City of Manila Nov 2020 - Oct 2021

Pre-award $79,351

Project Zacchaeus Marketing Cooperative

Puerto Princesa City, Palawan

Nov 2020 - Oct 2022

Pre-award $220,000

Total awarded/ projected $892,649 Total anticipated ($2M for CCBO, $.5M WWEE) $2,500,000 Remaining $1,607,351

Sri Lanka

Public Interest Law Foundation (PILF) National TBD Pre-award $140,000

The Ceylon Chamber of Commerce National TBD Pre-award $200,000

Total awarded/projected $340,000 Total anticipated $1,000,000 Remaining $660,000

Maldives

Small Island Geographic Society (SIGS) Male, Maldives TBD Pre-Award $144,000

Soneva Foundation Baa Atoll, Maldives

TBD Pre-Award $150,000

Total awarded/ projected $294,000 Total anticipated $750,000 Remaining $456,000

Vietnam

The Centre for Social Research and Development

Hue City TBD Full App $150,000

Environment and Development in Action (Enda Vietnam)

Bien Hoa TBD Full App $150,000

Total awarded/ projected $300,000 Total anticipated $2,000,000 Remaining $1,700,000

Indonesia

N/A – Solicitation not issued

Total awarded/ projected

Total anticipated ($1.5M for CCBO, $.5M WWEE) $2,000,000 Remaining $2,000,000

Dominican Republic

CEBSE, Foro Ambiental de Samana, Ecoservices

Samana Province

September 2020-July 2021

Awarded $79,444

Total awarded/ projected $79,444

Total anticipated $250,000

Remaining $170,556

Peru N/A – Solicitation not issued

6 Table and budget figures are not inclusive of organizations that are currently developing Full Applications and have not yet been selected to move forward to pre-award.


Total awarded/ projected

Total anticipated $1,500,000

Remaining $1,500,000

Total awarded/projected $1,906,093

Total anticipated $10,000,000 Total Remaining $8,093,907

5. Implementation Challenges and Lessons Learned Primary challenges faced by CCBO continued to primarily be related to the impacts and evolving dynamics of the coronavirus pandemic. Nearly a year into the pandemic, the program’s inability to travel and the delays it has faced in being able to onboard staff, open offices, and carry out in-person activities has required the program to adapt its approach. CCBO is hopeful and continues to plan for resumed international travel in 2021, while—in parallel—building out its country teams to ensure sufficient in-country presence. The nature of CCBO’s work in all focal countries requires in-country staff to, using the local systems approach, begin working on social behavior change, capacity building and governance, and provide local and national advisory services on solid waste and recycling planning. All of these activities are ramping up in FY2021 and are expected to peak in FY2022 and FY2023. In addition, most CCBO grant activity is focused on “proof of concept” models at the local level, which require coaching and oversight from CCBO staff and consultants, with the goal being to prove the concept and actively move toward replication to broaden system impact rapidly. The program has adjusted its financial forecasts and remains in constant contact with USAID on financial projections, as requested.

To date, CCBO remains on schedule according to its Work Plan and is using this time to complete key planning deliverables required ahead of in-field implementation. CCBO continues to monitor and incorporate contingency plans for prolonged travel restrictions and limited in-country mobility in each of its Work Plans and grant solicitations.

6. Planned Tasks for Next Reporting Period In the program’s second quarter, January 1 to March 31, 2021, CCBO will focus heavily on continued focal country implementation, with a focus on:

• Finalizing and awarding grants to selected organizations; • Onboarding remaining Country Directors and technical staff, establishing their relationships with

local Missions and stakeholders (public and private); • Finalizing the development of program tools, such as the Capacity Index, to begin engaging in

capacity building activities and delivering technical support to local governments; and • Completing remaining program research and deliverables—as outlined in Annex III.

Please refer to Annex III for a complete overview of scheduled Q2 activities.


Annex I. Progress Against Year Two Work Plan Legend – Complete/Ongoing X Scheduled

Focal Country Activities

Activity Lead Resources

2020 2021 Notes Q1

Oct - Dec

Q2 Jan - Mar

Q3 Apr - June

Q4 July - Sept

Focus Area 1 - Build Capacity of CCBO Engagement Sites in Improved Solid Waste Management 1.1 Identify and initiate dialogue with key government stakeholders (national and local)

Tt

ICMA Local/HQ staff X

Ongoing – In country staff and subcontractors onboarded in PH and DR actively engaging in focal countries. Additional Country Directors to be onboarded in Q4. Notable progress includes MOUs being developed in the Philippines with LGUs by both CCBO and its grantees.

1.2 Support the development and/or strengthening of long-range SWMPs in engagement sites

• 1.2.1 - Establish baseline of how waste, especially plastics, is managed in CCBO engagement sites (for remaining countries – Sri Lanka, Maldives, Peru, and Indonesia)

Tt

ICMA

Consultant: Solid Waste West

X In Progress – Vietnam, Sri Lanka, and Maldives ISWMAs submitted. Indonesia and Peru remaining.

• 1.2.2 - Present findings of baseline assessments with key stakeholders in engagement sites to validate results, transfer information, and further the 3R/SWM planning process

Tt ICMA TMG

Local/HQ staff/ICMA Consultants

X X

Pending.

• 1.2.3 - Complete 3R/SWM Capacity Self-Assessments with CCBO engagement sites

ICMA Consultants

Local/HQ staff X X In Progress – First draft of modules and handbook developed in Q1 by CCBO expert consultant. CCBO currently reviewing internally and continuing development.

• 1.2.4 - Provide data and technical assistance to begin developing or strengthening local SWMPs

Tt ICMA

Local/HQ staff Consultants

Grantees X X X

Pending.

Developed proposal for SWM Planning funding in Q1.

1.3 Share international and domestic best practices through virtual or in-person training and consultations

Tt

ICMA

Local/HQ staff/consultants/Grantees

X X Pending.

1.4 Improve local implementation and enforcement of laws, policies, and regulations

• 1.4.1 – Analyze national level SWM laws, policies, and enforcement mechanisms and identify current gaps in local (engagement site) compliance and enforcement practices

ICMA Local staff/consultant X X X

Pending. Gap analysis report template has been developed and research initiated.


Activity Resources

Q1 Oct - Dec

Q2 Jan - Mar

Q3 Apr – June

Q4 July - Sept

Notes

• 1.4.2 – Develop awareness and training materials for local government to build capacity for local implementation and enforcement

Local staff/consultant Grantees (CRS)

X X X

In Progress – CCBO grantee, CRS (Philippines), currently contributing to this activity.

1.5 Strengthen the financial sustainability of SWM in CCBO engagement sites

• 1.5.1 – Develop and Customize Overviews of 3R/SWM Funding Options

Tt

ICMA

Local/HQ staff X X X Pending.

• 1.5.2 - Begin to apply, where information is available, CCBO Cost of Service Analysis Framework to assess the cost of expanding and improving service delivery

Local/HQ staff X X

Pending.

Focus Area 2 - Improve enabling environment for 3Rs with focus on CCBO engagement sites

2.1 Increase uptake of 3Rs in CCBO engagement sites

• 2.1.1 - Assess potential, locally viable technology and infrastructure solutions that may be recommended in future program years or support local/international decision making

Tt

ICMA

Local/HQ staff Consultants

TT SWW X X X

Ongoing – Developed white paper on alternative end-uses for waste and associated benefits/impacts. Held discussions with private sector groups exploring alternative uses/ technologies: Unilever/Cemex, Geocycle and Veolia

• 2.1.2 - Promote 3Rs by identifying and testing new local business models

Grantees

(PH - PCEx, Project Zacchaeus, Green Antz, CORA)

X X X

Ongoing – Grantees awarded to contribute to this activity

• 2.1.3 - Identify scalable best practices for the 3Rs Local/HQ staff

Grantees X X X See above.

• 2.1.4 - Establish opportunities for 3R market development by assessing current commodity and reuse markets, quality control specifications, and capacity

Local/HQ staff/

TT SWW

X X

Pending.

2.2 Identify strategic actions for 3R/SWM and marine debris reduction in support of national plans

• 2.2.1 - Identify strategic actions for 3R/SWM and marine debris reduction in support of national plans

Tt

ICMA

Consultants – Good Company, UGA

X In Progress – Completed and delivered strategies for

Philippines, Vietnam. Sri Lanka, Maldives, Indonesia, Peru, and Dominican Republic to be delivered in Q2.

• 2.2.2 - Monitor (and engage in select) national and local opportunities for policy advancement

Local/HQ staff

Grantees X X X Ongoing – Notable engagements in the DR (see Section 2.3.1) and in Sri Lanka with the expected award of grants to CCC and PILF.

2.3 Engage the private sector on 3Rs

• 2.3.1 - Develop Private Sector Landscape Tt Local/HQ staff X In Progress.


Analyses


Q1 Oct - Dec

Q2 Jan - Mar

Q3 Apr – June

Q4 July - Sept

Notes

• 2.3.2 - Engage domestic and international companies in dialogue and knowledge exchange

Tt

Local/HQ staff X X X In Progress. See notes in body of report.

• 2.3.4 - Explore opportunities with and match private sector organizations with potential grantees

Local/HQ staff X X X In Progress. See notes in body of report.

• 2.3.5 - Engage multilateral banks and development finance institutions to advance and scale initiatives Local/HQ staff X X X

In Progress. See notes in body of report.

Focus Area 3 - Build SBC for 3Rs and improved SWM and address livelihood challenges for waste workers

3.1 Develop SBC plans in CCBO engagement sites based on localized research

• 3.1.1 - Conduct formative research for SBC in engagement sites and capacity building of CCBO grantees, as appropriate, to contribute to the research

TMG

Local/HQ staff

Grantees

(CEBSE - DR; CRS - PH)

Consultants

X

In Progress – CCBO grantees CEBSE Consortium (DR) and CRS (Philippines) currently contributing to this activity.

• 3.1.2 - Begin to conduct Trials of Improved Practices (TIPs) for key behaviors

Local/HQ staff

Grantees

(CEBSE - DR; CRS - PH)

X X

In Progress – CCBO grantees CEBSE Consortium (DR) and CRS (Philippines) currently contributing to this activity.

• 3.1.3 - Develop SBC plans for each engagement site(s)

Local/HQ staff

Grantees

(CEBSE) X X

Pending.

3.2 Begin implementation of SBC plans in CCBO engagement sites

• 3.2.1 - Create and pilot a self-assessment tool for grantees and local governments to incorporate SBC effectively in 3R promotion

TMG

Tt

HQ/local staff

X X Pending.

• 3.2.2 - Engage with commercial enterprises to learn how businesses can support 3Rs and improved SWM

HQ/local staff

Grantees

(CRS)

X X

Pending.

• 3.2.3 - Engage youth and women’s organizations HQ/local staff

Grantees X X

Pending.

3.3 Address and improve livelihood challenges

• 3.3.1 - Identify ways to increase safety, income, living conditions for waste workers

TMG HQ/local staff X X X In Progress – CCBO grantees CEBSE Consortium (DR),

CRS (Philippines) currently contributing to this activity—


ICMA Grantees

(SMJ, CORA)

additional grantees, including CORA and PZ to contribute in Q2.

• 3.3.2 - Design and test solutions to improve the experiences and well-being of waste workers

HQ/local staff

Grantees X X X

See above.


Q1 Oct - Dec

Q2 Jan - Mar

Q3 Apr – June

Q4 July - Sept

Notes

Focus Area 4 - Support Gender Equality and Women’s Economic Empowerment

4.1 Incorporate gender considerations and build capacity for equality as cross-cutting program objective

• 4.1.1 - Conduct all research with a gender lens and gather critical gender dynamics information to inform program interventions

Tt

TMG

HQ/local staff

Subcontractors

Grantees X X X

Ongoing.

• 4.1.2 - Build capacity of grantees and local partner organizations in gender-inclusive programs that promote gender equality and gender transformative (when possible) programming

HQ/local staff

Grantees (CRS)

X X X

Ongoing – CCBO developed and released its Initial Gender Assessment in Q1 to directly address this.

4.2 Advance Women’s Economic Empowerment

• 4.2.1 - Support workforce development and training to empower women working in SWM (supporting W-GDP Pillar I)

Tt

TMG

HQ/local staff

Grantees (CORA, CRS, Green Antz)

X X X

Ongoing – Through grantee activities.

• 4.2.2 - Support women-owned businesses and entrepreneurs through the Women in Waste’s Economic Empowerment (WWEE) activity (supporting W-GDP Pillar II) - Philippines and Indonesia only

HQ/local staff

Grantees X X X

In Process – Developed Year One Work Plan and MEL Plan, recruited staff, developed SOW for subcontract with JHU, and developed and published RFA for supporting grantee in PH.

• 4.2.3 - Support women-owned businesses and entrepreneurs, including upcycling and reuse businesses (supporting W-GDP Pillar II)

HQ/local staff

Grantees

(CRS) X X X


• 4.2.4 - Advocate for women’s broader enablement in the economy (supporting W-GDP Pillar III)

HQ/local staff

Grantees

(CRS) X X X



Global Activities


2020 2021

Q1

Oct - Dec

Q2

Jan - Mar

Q3 Apr – June

Q4

July - Sept

Notes

Focus Area 5 - Strengthen Public-Private Partnerships and/or Multi-Stakeholder Alliances

• 5.1.1 - Appraise partnership opportunities and formalize partnership agreements

Tt

HQ/local staff

X X X

Ongoing – Developed and submitted Year Two Annual Stakeholder Report, developing Private Sector Landscape Analyses in Q2. Ongoing engagement.

• 5.1.2 - Participate in high-level global and industry events

HQ/local staff

X X X

Pending.

• 5.1.3 - Convene private sector engagement workshops

HQ/local staff

X X

Pending.

Focus Area 6 - Strengthen USAID Leadership in Combating Marine Plastics

6.1 Engage inter-governmental fora, such as APEC, to facilitate dialogue, commitments, and global coordination

Tt HQ/local staff

X X X

Ongoing – Participated as a speaker in APEC-hosted webinar

6.2 Serve as thought leader for ocean plastics initiatives, expanding international and domestic knowledge on depth of crisis and scalable solutions

• 6.2.1 - Commission research related to ocean plastics’ impact, potential (infrastructure and technology) solutions, and other innovative emerging approaches

Tt HQ/local staff

Consultants/

STTA X X X

Ongoing – see activity 2.1.1

• 6.2.2 - Organize and host learning exchanges for grantees and other key stakeholders to share lessons learned, approaches, and successes as best practices

HQ/local staff

X X X

Pending.

• 6.2.3 - Disseminate program research, technical expertise, and best practices through knowledge products, virtual events, and requested technical guidance

HQ/local staff

X X X

Pending.


Annex II. Financial Overview (December 31, 2020)

Agreement Ceiling: $47,999,306 Obligated funds through December 31, 2020 $14,388,438 Ceiling Remaining: $33,610,868

Cumulative life-of-project expense invoiced through December 31, 2020

Total costs excluding grants and fees $3,805,575 Grants $42,680 Fees $252,965 Total cumulative costs through 12/31/20 $4,101,220 Obligated funds remaining $10,287,218

Annex III. Deliverables Deliverable Submission Dates Contract Deliverables/Strategy Documents Year Two Work Plan September 4, 2020; November 5

(resubmission) Environmental Mitigation and Monitoring Plan December 8, 2020 (resubmission) 3R/SWM and Marine Debris Reduction Strategy - Philippines

December 10, 2020

3R/SWM and Marine Debris Reduction Strategy - Vietnam

December 10, 2020; December 22 (resubmission)

Annual Stakeholder Report November 27, 2019 Program Progress Reports FY20 Annual Progress Report October 30, 2020; November 20

(resubmission) Country Work Plans Country Work Plan – Indonesia December 9, 2020 Country Work Plan – Peru December 24, 2020 Country Work Plan – Sri Lanka and the Maldives November 11, 2020; December 30

(resubmission) WWEE Year One Work Plan and MEL Plan October 30, 2020; November 25

(resubmission) Baseline Assessments Country Baseline Assessment – Initial Solid Waste Management Assessment (ISWMA) – Vietnam

October 23, 2020; December 29 (resubmission)

ISWMA – Sri Lanka and the Maldives December 15, 2020


Annex IV. Summary of Grants Awarded and in Pre-Award Grantee and Project Name

Status Award Amount

Location Timeline Description

Philippines

Catholic Relief Services – Clean Manila, Blue Bay

Implementing

$99,828 City of Manila, Metro Manila

August 2020 - August 2021

Catholic Relief Services will build the capacity of local governments and the private sector to effectively implement SWM laws, while supporting communities in the adoption of sustainable 3R and SWM practices. CRS will involve women in trainings on SWM policies and strategies, identify and support SWM Ambassadors from women’s groups, and specifically work with women in SWM-based livelihoods through skills training, business planning, and providing seed funds to start a business with ongoing mentorship and support.

Green Antz Builders Inc. – Integrated Platform for Community level Zero Waste System

Implementing

$247,790

Pasig City, Metro Manila

October 2020 - March 2022

Green Antz Builders Inc. will pilot its previously successful private EcoHub model as a cost-effective 'community' EcoHub that will eventually be turned over to the LGU with specific conditions to ensure continuity and service assurances of the facility. By engaging LGUs, private sector partners and communities, Green Antz will promote sustainable 3R/SWM practices and create a community-level waste management plan that will be supported by the EcoHub’s ability to process organics and single use plastics into usable products.

Communities Organized for Resource Allocation (CORA) Inc. – Circular Center: Enhanced Recovery and Recycling Mechanism for Marine Litter

Implementing

$245,680

Parañaque City, Metro Manila

November 2020 -October 2022

Communities Organized for Resources Allocation will develop a Circular Center within an existing, underutilized local material recovery facility. The Center will sort and clean waste from beach cleanups; provide increased processing of materials from households and businesses; and provide women with skills trainings to work in the facility, take SWM positions in government and private sector, and/or become SWM ambassadors in their communities. The Center will also serve as an education center to bring awareness to the broader community about the importance of sustainable 3R/SWM practices.

Plastics Credit Exchange (PCEx) – Aling Tindera Network

Implementing

$79,351 City of Manila, Metro Manila

December 2020 – December 2021

PCEx, with its partner Friends of Hope, is establishing the Aling Tindera Network—a waste-to-cash program that supports women micro-entrepreneurs and targets the collection of post-consumer plastic waste directly from community sources and transports it to pre-vetted processors who have committed to environmentally-compliant disposal. This process


is funded by a market-based credit mechanism that takes pledges from private companies who wish to offset their plastic footprints through PCEx’s non-profit integrated platform. In collaboration with CCBO, PCEx will participate in policy dialogue that would support the Aling Tindera model through required offsets or stipulations that cement kilns must receive a certain percentage of their energy from renewable sources like plastics.

Project Zacchaeus – Project e-Kolek

Pre-Award Est. $220,000

Puerto Princesa City, Palawan

January 2021 – January 2023

Project Zacchaeus will address the societal gap among the marginalized community of Purok Masikap, Bgy. Bancao-Bancao wherein most of the family members are engaged in waste collection/scavenging without proper safety equipment and gear. Eco-Kolek will help the community establish a safer and more efficient waste collection system through the provision of protective gear, transportation bikes, and route optimization; equip individuals and families to be leaders, recognized 3R champions, and valued members of their community; and will explore alternative sources of income for their families.

Dominican Republic

CEBSE Consortium – Cambio Social y de Comportamiento (CSC) para la gestion de residuos solidos (GRS) y las practicas de reduccion y reciclaje (3R) en la provincia de Samana

Implementing $79,444 Samaná Province

September 2020 - July 2021

CEBSE, FAS and Ecoservices are taking a consortium approach to carry out formative research to develop a Social and Behavior Change Strategy that can be utilized by CCBO and its implementing partners. Through observations, interviews, analysis, and trials of improved practices, the consortium seeks to understand what various population groups in the Samaná Province are doing now, why, and what they would be willing to do to help stop the ever-increasing production of waste, especially plastic, that flows into rivers and the Samaná Bay, as well as how to spark their interest in doing so. Research will also seek to identify strategies to enhance women’s economic empowerment in the 3R/SWM sector.