usaid environmental procedures
DESCRIPTION
USAID Environmental Procedures. Objectives of this Module. Explain the regulations; Help you understand how regulations affect the design and implementation process; Assist you in obtaining environmental clearances; Apply environmental assessment principles based on USAID procedures; - PowerPoint PPT PresentationTRANSCRIPT
USAID Environmental Procedures
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2USAID Procedures
Objectives of this Module
Explain the regulations; Help you understand how regulations affect
the design and implementation process; Assist you in obtaining environmental
clearances; Apply environmental assessment principles
based on USAID procedures; Support decentralization of responsibility for
environmental review and decision-making.
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3USAID Procedures
USAID Environmental Policy and Regulations
USAID’s environmental regulations contained in 22 Code of Federal Regulations (CFR) Part 216 -- commonly referred to as Reg. 16:
Identify and consider, with host country, environmental consequences prior to making decisions;
Ensure that appropriate environmental safeguards are adopted;
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Assist developing countries in evaluating environmental effects of development strategies and activities;
Identify environmental impacts of USAID actions; Define environmental limiting factors that
constrain development; Identify and carry out activities that “assist in
restoring the renewable resource base on which sustained development depends.”
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The Purpose of Reg. 16
Implement regulations consistent with the National Environmental Policy Act (NEPA) and Executive Order 12114.
Ensure integration of environmental factors and values into the USAID decision-making process.
Assign responsibility for assessing environmental effects of USAID actions.
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Reg. 16 Applies to:
All new USAID programs or activities. Substantive amendments or extensions to
ongoing activities with: New components; A significant expansion; Imported commodities in addition to those in the
original environmental review process; Unforeseen adverse impacts that have occurred in
original activity.
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Environmental Review & USAID Design Process
Environmental Review:
Strengthens activity proposals. Aids...is not an obstacle to project
design. Identifies in advance “reasonably
foreseeable impacts.”
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Summary of Environmental Procedures
Prepare an Initial environmental Examination (IEE) to make threshold determination:
A negative determination means “no” significant impact.
A positive determination means “yes” significant impact.
A deferred determination applies to sub-activities where information is still insufficient and postpones analysis.
"A significant impact" does “significant harm to the environment.”
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Activities with only beneficial impacts receive a negative determination.
Activities with benefits and significant harm to the environment receive a positive determination, because harm to the environment requires mitigation.
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Some activities are exempt or excluded:
Exemptions may be for activities responding to emergencies, such as famine relief.
Exclusions apply to activities considered very unlikely to have significant impacts.
These activity types are eligible for "categorical exclusion," i.e., no IEE needed.
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Reg. 16 also lists specific activities expected to have significant impacts:
Comprehensive analysis, the Environmental Assessment or EA, is typically required.
An IEE is often done to determine if EA is needed.
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The Full Reg.16 Approach
Results Framework, Strategic ObjectiveConcept Paper or Proposal
Documented Activity, Results Package, or Grant/Subgrant(detailed description of proposed program or project)
Exemptionper 22 CFR Part
216.2(b)
CategoricalExclusionper 22 CFR Part
216.2(c)
EnvironmentalAssessment (EA) or
Environmental ImpactStatement (EIS)
Requiredper 22 CFR Part 216.2(d)
InitialEnvironmental
Examination (IEE)Required
Apply Reg. 16 Classifications: See 22 CFR Part 216
Prepare an IEE
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Prepare IEE and Make Threshold Decision
DeferralPositive Determination
(Significant Impact)Negative Determination
(No Major Impact)
EA or EIS
** Assuming USAID decides to fund
Conduct IEE forActivities and Program
ComponentsThreshold Decision
PROCEED WITH ACTIVITYOR PROGRAM AS PROPOSED
PROCEED WITH ACTIVITY OR PROGRAMSUBJECT TO CONDITIONS**
(E..G. MONITORING OR MITIGATION)
Environmental Review ofSubgrant Activities**
withoutconditions
withconditions
if umbrellaor subgrants
program
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Apply Environmental Screening Form
for Umbrella NGO/PVO Grant and Activity Proposals where Umbrella IEEs Exist
Step 1: Determine Grant Category
Category 1:Similar to Categorical
Exclusion
Category 2:Similar to Negative
Determination
Determine Nature of Activity/Grant
Step 4: Prepare Environmental Review
Review by Mission Evironmental. Officer (MEO)
Step 2: Summarize and Itemize Activities by Category
Step 3: Determine Need for Environmental Review
Review by Regional/Bureau Env. & Legal Officers (REDSO et Washington)
Category 3:Similar to Positive
Determination
Category 4:Activities typically notFunded: EA Required
Approval DisapprovalMore Env. Review Needed
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Prepare IEEs with initial proposal.
IEES have an approval process: Regional Environmental Officer Bureau Environmental Officer (BEO) General Counsel's office.
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Applicable Forms
Initial Environmental Examination or Categorical Exclusion form
Environmental Screening/Report Form for NGO/PVO Activities and Grant Proposals
Sample Outline for an Environmental Review.
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Positive IEE Thresholds
If IEE threshold is positive (significant or harmful impacts), prepare Environmental Assessment (EA) or an Environmental Impact Statement (EIS):
EISs are for projects affecting the United States or the global environment.
EAs are for projects with impacts more limited in geographic scope.
EAs and EISs require teams of consultants, usually with USAID environmental staff.
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Non-Project Assistance (NPA)
NPA involves institutional or policy change & sectoral adjustment.
USAID requires IEEs for NPA.
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Exemptions
International disaster assistance: Other emergency situations [requires
Administrator (A/AID) or Assistant Administrator (AA/AID) formal approval]; and
Circumstances with exceptional foreign policy sensitivities [requires A/AID or AA/AID formal approval].
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Categorical Exclusions
Education, training or technical assistance; Controlled experimental research of limited
scope and carefully monitored; Analysis, studies, workshops, meetings; Projects in which USAID is a minor donor; Documents or information transfer; Contribution to international, regional or
national organizations not for the purpose of carrying out specifically identifiable activities;
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Institution building grants to research and educational institutions in the US;
Nutrition, health, population and family planning activities, except for their construction components and other activities directly affecting the environment
Commodity Import Programs (CIPs), when USAID has no knowledge of or control over use;
Support to intermediate credit institutions if USAID does not review or approve loans;
Maternal or child feeding programs under Title II of PL 480;
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Food for development programs under Title III, when USAID has no specific knowledge or control;
Grants to PVOs where USAID has no specific knowledge or control;
Studies or projects that develop the capability of countries to engage in development planning, except those resulting in activities directly affecting the environment;
Activities that involve the application of USAID approved design criteria.Note: Categorical exclusions are not applicable to assistance for the procurement or use of pesticides.
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Actions Normally Requiring an Environmental Assessment (EA)
River basin development(What is not in a river basin?);
Irrigation or water management including dams; Agricultural land leveling; Drainage; Large scale agricultural mechanization; New land development; Resettlement; Penetration road building or road improvement;
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Power plants; Industrial plants; Potable water and sewage, unless small scale
(Size limit?); Activities jeopardizing endangered and
threatened plant and animal species and critical habitat;
Pesticides (require an IEE at least, often an EA).
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If Not CE and Not EA?
- Prepare an IEE to make determination
- Probably a Negative Determinationwith or without conditions
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Non-Project Assistance: Look at planned objectives, not just intermediate steps. If possible identify adverse environmental impacts, include mitigative measures.
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Activities financed with host country local currency (not legally subject to Regulation 16 procedures) but:
Prepare IEE because of high visibility if negative impacts result.
Africa Bureau expects Missions to be sensitive to need for environmental examinations.
If local currencies are for general budget support, this may not be practical.
Governments want environmentally sound practices within their development activities.
In-country procedures to evaluate long term environmental impacts exist in many countries.
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Mission Environmental Officer ensures that the responsible staff in appropriate ministry knows about environmental concerns, and asks for progress reports.
Cash grant program should include support for training environmental staff to carry out monitoring & mitigation and to develop response mechanisms if adverse impacts occur.
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Intermediate credit: Categorical Exclusions apply only to capitalize an intermediate credit institution (ICI) where USAID has no right to review and approve each loan.
If a Categorical Exclusion is not appropriate, the MEO should recommend a negative determination or a deferral.
Must identify types of participating businesses, and existence of environmental guidelines.
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Use Technical Assistance (TA), training, and promotional support to help monitor process.
Note: Credit programs for agricultural inputs, promotion of export crops, or other activities that might increase pesticide use, even indirectly, should be funded concurrently with programs to provide farmers with alternatives to pesticides.
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Environmental Impact Statement (EIS)
An EIS is a detailed study of reasonably foreseeable environmental impacts, both beneficail and adverse when a proposed Agency action could significantly affect:
Global environment or areas outside jurisdiction of any nation (e.g., the oceans);
Environment of the United States; or Other aspects of the environment at Administrator’s
discretion.
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Other Categories Of Activities Where Assistance May Be
Denied, Or An IEE Or Environmental Assessment
Is Required
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Tropical Forests: Section 118 of the Foreign Assistance Act as amended 1986. Assistance must either be denied or an EA carried out, pursuant to Reg. 16, for any activities that:
involve procurement or use of logging equipment;
have the potential to significantly degrade national parks or similar protected areas or introduce exotic plants or animals into such areas;
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According to Section 118, assistance is denied unless an EA shows proposed activity contributes significantly to improving the livelihood of the rural poor and is conducted in an environmentally sound manner supporting sustainable development for: activities which would result in the conversion of
forest lands to the rearing of livestock; entail construction, upgrading or maintenance of
roads which pass through relatively undegraded forest lands;
the colonization of forest lands; or entail construction of dams or other water
control structures which flood relatively undegraded forest lands.
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Biological Diversity: Section 119 and of the Foreign Assistance Act as amended 1986. Under this section assistance must be denied for actions which significantly degrade national parks or similar protected areas or introduce exotic plants or animals into such areas.
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Commercial Extractive Forestry: Section 533(c)(3) of the Foreign Operations, Export Financing and Related Programs Act, 1991 Expenditure prohibited if it "would result in any significant loss of tropical forests" or involve "commercial timber extraction of primary tropical forest areas," unless EA shows:
potential impacts on biological diversity; all timber extraction conducted according to environmentally
sound management system to maintain the ecological functions of the natural forest and minimize impacts of biological diversity; and
activity contributes to reduced deforestation.
Classifying Activities With Multiple Components
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The Deferral Process
Environmental analysis deferred when programs, activities or sub-activities not specifically identified at the time of authorization.
Deferral should be minimized, i.e., do the IEE to avoid or mitigate impacts during design.
Covenants or conditions precedent needed to ensure environmental review completed prior to irreversible commitment of resources.
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If there is deferral of IEE, proposal must: explain why the IEE cannot be completed; estimate amount of time required to complete the
IEE; and recommend that a Threshold Decision be deferred
until the IEE is completed.
Assistant Administrator acts on deferral request concurrently with action on initial proposal and designates time to complete IEE.
Normally completion date is sufficient for preparation of an EA or EIS, if required, before final funding decision.
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Categorization Process for PVO/NGO Grants and Subgrants
USAID has increased funding to private voluntary organizations (PVOs) and non-governmental organizations (NGOs).
Generally support is through "umbrella" projects with many subgrants, and several NGO/PVO grantees.
USAID must ensure that activities are consistent with Reg. 16.
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Environmental Review procedures and Environmental Screening Form have been developed for umbrella project subgrantees, where the umbrella grant IEE has already received a negative determination with conditions.
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Screening and Environmental Review Procedures for PVO/NGO
Grantees and Subgrantees
Category 1: Subgrants that would normally qualify for a categorical exclusion under Reg. 16.Category 2: Subgrants that would normally qualify for a negative determination under Reg. 16, based on the fact that the grantee used an environmentally-sound approach to the activity design and incorporated appropriate mitigation and monitoring procedures.
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Category 3: Subgrants where significant environmental impacts are likely such as those typically requiring an EA.
Category 4: Activities not fundable or fundable only when specifically defined findings to avoid or mitigate the impacts are made, based on an Environmental Assessment.
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Use Screening Form to review subgrant proposals to determine in which Category the activity falls.
The MEO reviews and clears the category determination and any environmental review reports prepared as result of categorization.
Most subgrants will fall within Categories 1 and 2, and will be approvable by the USAID Mission.
Categories 3 and 4, and 2 if MEO so desires, must have Regional and Bureau review to determine if an EA is needed.
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Promotion of Environmental Review and Capacity Building
Environmental review procedures specify how subgrants will be identified and reviewed.
Procedures ensure environmental accountability and soundness, with these assumptions:a. Subgrants individually reviewed and
screened;b. Environmental assessment and
management training provided;
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c. Development and application of host country environmental
policies encouraged;d. Monitoring and evaluation process in
place; andf. Mission tracking and reporting on
subgrants to the BEO and REO in place.
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Environmental Responsibilities
USAID Mission responsible for environmental review and decision-making for all sub-grants:
PVO and NGOs or CBOs submit proposals that consider potential environmental impacts and mitigation, including avoidance, and monitoring.
PVO, NGO or CBO uses Screening Form to categorize proposals.
MEO reviews and passes to REO and BEO Category 3 or Category 4 and, if uncertain, Category 2 activities.
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Lead PVO, NGOs or CBOs ensure implementation of mitigating measures and long-term environmental impact monitoring.
MEO and the Project Officer and/or Project Manager ultimately responsible for monitoring environmental impacts of the grants.
Periodic visits of the REO or REA for advice and validation of the process.
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Environmental Monitoring and Mitigation
Address monitoring of interventions and identify indicators in proposal design.
Plan for monitoring and mitigation to assure funding to do so will later exist.
Spell out how negative impacts will be mitigated, if and when they are detected during monitoring and evaluation.
For example, an agricultural production activity could adopt policy to encourage integrated pest management and sustainable agricultural practices.
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1.0 PROGRAM/PROJECT DESCRIPTION
2.0 COUNTRY AND ENVIRONMENTAL INFORMATION (BASELINE INFORMATION)
3.0 EVALUATION OF PROJECT/PROGRAM ISSUES WITH RESPECT TO ENVIRONMENTAL IMPACT POTENTIAL
4.0 RECOMMENDED MITIGATION (INCLUDING MONITORING AND EVALUATION)
SAMPLE OUTLINE FOR AN ENVIRONMENTAL REVIEW
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Definitions
Significant impacts: Defined in Regulation 16 as impacts that do significant harm to the environment.
Threshold Determination: To determine in preparing an IEE whether or not a proposed activity will have a significant impact on the environment.
Negative Determination: A decision that a proposed action or activity will have no significant adverse environmental impacts. Activities which have only beneficial impacts on the environment also receive a negative determination.
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Positive determination: A decision that a proposed action or activity will have ‘significant impacts.’ Projects which both benefit and harm the environment should receive a positive determination, because despite their benefits the potential damage to the environment requires mitigation. In both cases the IEE results in a positive determination and a comprehensive review is required.
Exemptions: Regulation 16 exempts certain activities undertaken in response to emergencies, such as international disaster assistance (famine, civil war and displaced populations), or in circumstances involving exceptional foreign policy sensitivities.
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Categorical exclusions: Categories of projects which are considered by nature very unlikely to have significant impacts on the environment. These project types are eligible for ‘categorical exclusion,’ and for them the environmental review process ends there.
Deferred determination or deferral: A decision to postpone IEE completion until sub-project activities are identified.