Transcript Document

USAID Environmental
Procedures
[SPEAKERS NAMES]
[DATE]
Basis & Applicability
 USAID’s environmental review
procedures:
 Implement the general EIA process in
specific form
 Are defined by “Regulation 216”
(22 CFR 216)
 Foreign Assistance Act & other regulations
& laws also contribute to requirements
 The procedures (Reg. 216) apply to:
 All USAID programs or activities,
(including non-project assistance.)
 Substantive amendments or extensions to
ongoing activities
!
USAID’s
environmental
procedures are a
FEDERAL
REGULATION, not
just an agency
policy.
Compliance is
mandatory.
Implementation
requirements are set out
in USAID’s ADS
Procedures Origin and Timeline
1970
1970. U.S. National
Environmental
Policy Act (NEPA)
becomes law on 1
Jan.
(First national EIA
requirements in any
country.)
1975. US NGO sues
USAID over negligent
pesticide use
1976. USAID develops
environmental review
procedures for all
activities
1970-1980
1979. Exec. Order 12114
requires all U.S.
agencies to consider
environmental impacts
of actions abroad
1980. 22 CFR 216
revised and finalized.
A generation of
implementation.
Current challenges:
Satisfy host country
environmental
procedures without
duplicating effort.
Implement procedures
effectively at the SO level
Integrate into contracting,
project management
Post-1980
Purpose of the Procedures
The procedures
have 2 main objectives:
 Use EIA to achieve
environmentally sound
design
 Fulfill USAID’s legal
obligation to implement
NEPA

The procedures
also support
transparency and
accountability, for
USAID and its
partners.
Review: The EIA Process
Phase II:
Full EIA
(if needed)
Phase I:
Initial inquiries
• Understand proposed
activities
• Screen
• Conduct preliminary
assessment (if needed)
•
•
•
•
Scope
Evaluate baseline situation
Identify & choose alternatives
Identify and characterize potential
impacts of proposed activity and
each alternative
• Develop mitigation and monitoring
• Communicate and document
Review of Phase 1: Initial inquiries
Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?
Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?
Conduct a
Preliminary
Assessment
ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK
ACTIVITY IS LOW
RISK (Based on its
nature, very unlikely
to have significant
adverse impacts)
ACTIVITY IS
HIGH RISK (Based
on its nature, likely to
have significant
adverse impacts)
A rapid,
simplified EIA
study using
simple tools
(e.g. the
USAID IEE)
Phase I
SIGNIFICANT
ADVERSE
IMPACTS
POSSIBLE
SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY
STOP
EIA
process
Phase II
BEGIN
FULL
EIA
STUDY
Where does the Reg. 216 process begin?
 The process of compliance under Reg. 216 starts
in the same way as ANY EIA process
2
1
Understand the
proposed activity
Why is the activity
being proposed?
What is being
proposed?
Screen the activity
Based on the nature
of the activity what
level of environmental
review is indicated?
Screening under Reg. 216
start
Screening results & their meaning
1. Is the activity
YES
an EMERGENCY?
NO
2. Is the activity
YES
VERY LOW RISK?
“EXEMPTION”
No environmental review required, but
anticipated adverse impacts should be
mitigated
“CATEGORICAL EXCLUSION”
In most cases, no further environmental
review is necessary.
NO
3. Is the activity
HIGH RISK?
(or not
yet clear)
NO
ATTENTION:
YES
You probably must do a full Environmental
Assessment (EA) or revise the activity
recommended
Prepare
Initial Environmental Examination (IEE)
Allowed by Reg. 216
But not recommended
Prepare Environmental
Assessment (full EIA study)
USAID Screening Categories:
Exemptions
start
1. Is the activity
YES
an EMERGENCY?
! TO ANSWER “YES” TO THIS
QUESTION, THE ACTIVITY MUST
MEET THE DEFINITION OF
“EXEMPTION” IN REG 216
USAID Screening Categories:
Exemptions
Under Reg 216,
EXEMPTIONS are ONLY. . .
1.International disaster assistance
2.Other emergency situations
requires Administrator (A/AID) or
Assistant Administrator (AA/AID)
formal approval
3.Circumstances with “exceptional
foreign policy sensitivities”
requires A/AID or AA/AID formal
approval
activities
! “Exempt”
often have significant
adverse impacts.
Good practice
requires mitigating
these impacts, where
possible.
USAID Screening Categories:
Categorical Exclusions
start
1. Is the activity
an EMERGENCY?
NO
2. Is the activity
YES
VERY LOW RISK?
! TO ANSWER “YES” TO THIS
QUESTION, THE ACTIVITY MUST
MEET THE DEFINITION OF
“CATEGORIAL EXCLUSION” IN
REG. 216
USAID Screening Categories:
Categorical Exclusions
Under Reg. 216,
ONLY a specific set of activities may
receive categorical exclusions. . .
1. Education, tech. assistance, training
2. Documents or information transfers
3. Analyses, studies, academic or
research workshops and meetings
4. Support to intermediate credit
institutions where USAID does not
review loans
!
No categorical
exclusions are
possible when an
activity involves
pesticides
5. Nutrition, health, family planning
activities except where infectious
medical waste is generated
And certain other situations where USAID does
not have direct knowledge or control
Note:
see 22 CFR 216.2(c)(2)
for full list
USAID Screening Categories:
EA Typically Required
start
1. Is the activity
an EMERGENCY?
NO
2. Is the activity
VERY LOW RISK?
NO
3. Is the activity
HIGH RISK?
YES
! TO ANSWER “YES” TO THIS
QUESTION, THE ACTIVITY WILL
NORMALLY BE AN “ACTIVITY FOR
WHICH AN EA IS NORMALLY
REQUIRED” IN REG. 216
USAID Screening Categories:
EA Typically Required
Under Reg. 216, the following
activities USUALLY require a full
environmental assessment
• Penetration road building or
improvement
• Irrigation, water management, or
drainage projects
• Agricultural land leveling
• New land development; Programs of
river basin development
• Large scale agricultural mechanization
• Resettlement
• Powerplants & Industrial plants
• Potable water & sewage,
“except small-scale”
AND. . .
!
Reg. 216 does not
specify scales for
these activities.
USAID Screening Categories:
EA Typically Required
AND. . .
Sections 118 & 119 of the Foreign
Assistance Act require an EA for. . .
1.
Activities involving procurement
or use of logging equipment.
2.
Activities with the potential to
significantly degrade national
parks or similar protected areas or
introduce exotic plants or animals
into such areas.
216 allows you
!toReg.
proceed directly to
an Environmental
Assessment for these
activities.
However, we
recommend doing a
preliminary
assessment (IEE)
first.
Review: Screening under Reg. 216
start
Screening results & their meaning
1. Is the activity
YES
an EMERGENCY?
NO
2. Is the activity
YES
VERY LOW RISK?
“EXEMPTION”
No environmental review required, but
anticipated adverse impacts should be
mitigated
“CATEGORICAL EXCLUSION”
In most cases, no further environmental
review is necessary.
NO
3. Is the activity
HIGH RISK?
(or not
yet clear)
NO
ATTENTION:
YES
You probably must do a full Environmental
Assessment (EA) or revise the activity
recommended
Prepare
Initial Environmental Examination (IEE)
Allowed by Reg. 216
But not recommended
Prepare Environmental
Assessment (full EIA study)
What documentation is required?
 The outcome of your screening process
determines the documentation you must submit:
Overall screening results
Environmental documentation
required
All activities are exempt
None*
All activities are categorically
excluded
Categorical Exclusion request*
All activities require an IEE
IEE covering all activities*
Some activities are
categorically excluded, some
require an IEE
An IEE that*:
 covers activities for which an
IEE is required AND
 Justifies the categorical
exclusions
*plus a
Compliance
facesheet
Basic Reg. 216 compliance documents
1
Initial Environmental
Examination
1. Goals and purpose of
project; list of activities
2. Baseline information
3. Evaluation of potential
environmental impacts
2
Categorical
Exclusion
Request
1.Goals and purpose of
project: list activities
2.Justification for a
Categorical Exclusion
(must cite the appropriate
section of Reg. 216.)
4. Recommended findings,
mitigation & monitoring
The IEE is USAID’s
“preliminary
assessment”
3
The
categorical
exclusion
request is a
simple
document
used when
ALL
activities are
“low risk”
A “facesheet” form
accompanies both the IEE
& the CatEx Request
An IEE is a likely
result of the screening process. . .
 For a program of
small-scale
activities, the
most likely result
of the screening
process is that
you will need to
prepare an IEE.
The IEE is USAID’s
“preliminary
assessment”
What is the purpose
of a preliminary
assessment?
?
Review:
Purpose of the Preliminary Assessment
Understand
proposed
activity
Why is the
activity being
proposed?
What is being
proposed?
Screen the
activity
Based on the
nature of the
activity what
level of
environmental
review is
indicated?
Conduct a
Preliminary
Assessment
ACTIVITY IS
OF MODERATE
OR UNKNOWN
RISK
ACTIVITY IS LOW
RISK (Based on its
nature, very unlikely
to have significant
adverse impacts)
ACTIVITY IS
HIGH RISK (Based
on its nature, likely to
have significant
adverse impacts)
A rapid,
simplified EIA
study using
simple tools
(e.g. the
USAID IEE)
Phase I
SIGNIFICANT
ADVERSE
IMPACTS
POSSIBLE
SIGNIFICANT
ADVERSE
IMPACTS
VERY UNLIKELY
STOP
EIA
process
Phase II
BEGIN
FULL
EIA
STUDY
Purpose of the IEE
Like any preliminary assessment the
purpose of the IEE is to. . .
Provide documentation and analysis that:
•
Allows the preparer to determine
whether or not significant adverse
impacts are likely
•
Allows the reviewer to agree or
disagree with the preparer’s
determinations
•
Sets out mitigation and monitoring for
adverse impacts
What
determinations
result from an
IEE?
Recommended Determinations in the IEE
 For each activity addressed, the IEE makes one of 4
recommendations regarding its possible impacts:
Recommendation
Reg. 216
terminology
Implications
(if IEE is approved)
No significant adverse
environmental impacts
NEGATIVE
DETERMINATION
Activity passes
environmental review
With specified mitigation
and monitoring, no
significant environmental
impacts
NEGATIVE
The activity passes
DETERMINATION
environmental review on the
WITH CONDITIONS condition that the specified
mitigation and monitoring is
implemented
Significant adverse
environmental impacts are
possible
POSITIVE
DETERMINATION
Do full EA
or redesign activity
DEFERRAL
You cannot implement the
activity until the IEE is
finalized
Not enough information
to evaluate impacts
!
Note:
If a
“negative determination
with conditions”
is approved, those
conditions become
REQUIRED parts of
project implementation
& monitoring
Submission & Approval Requirements
 Both IEEs and Categorical
Exclusions must be
approved at the Mission
Level & by the Bureau
Environmental Officer
(BEO; USAID/Washington)
 Approval is not automatic.
 Back-and-forth dialogue is
often required
Note:
!
Categorical
exclusions exist AT
THE DISCRETION of
the BEO
How to avoid rejection or
delay of activities on
environmental grounds. . .
Consult with the MEO/BEO/
REO on difficult issues
BEFORE submission.
Provide adequate information
on each activity for the
reviewer to evaluate your
conclusion.
Recommend appropriate
determinations.
BE PROACTIVE—Include
monitoring and mitigation
plan.
Applying Reg. 216 at the SO level
 Reg. 216 was written with the idea that it would be
applied at the project or activity level
 Increasingly, IEEs are written at the SO level
 To create a more manageable workload for MEOs, BEOs
 To try to assure that environmental issues are considered
early in program design
 The success of SO-level IEEs depends on:
 Mitigation and monitoring conditions successfully transferred
to projects (e.g., written into contractor/partner SOWs)
 Effective implementation of sub-project review where
required
The final message
USAID’s environmental procedures are not an
exercise in paperwork. They should result in
environmentally sound design.
!
At a minimum, this
requires
compliance.
(Especially
implementation and
monitoring of all
conditions.)
GO BEYOND THE MINIMUM!
use the Reg 216 process to
proactively address
environmental issues &
build capacity for
environmentally sound
design.