3. Regulation 216: process and documentation

1. 3. Regulation 216: process and documentation Location  Month Year

2. Learning outcomes Learning Outcomes • Understand 22 CFR 216 • Screening Process • Documents • Post-approval process • Differentiate criteria for various threshold decisions 22 CFR 216: Process and Documentation

3. Applicability of 22 CFR 216 • All USAID programs and activities are subject to 22 CFR 216, including: • Substantive amendments or extensions to ongoing activities • Non-project assistance • Exemptions to full procedures are possible in extreme (and rare!) circumstances 22 CFR 216: Process and Documentation

4. 22 CFR 216 overview Screen activity into impact risk categories Exempt Low Impact/ Categorically Excluded Moderate or Unknown Impact High Impact: Initial Environmental Examination (IEE) Exemption Memo Request for Categorical Exclusion Negative Determination Positive Determination Negative Determination with Conditions Environmental Assessment (EA) USAID Submit for Approval 22 CFR 216: Process and Documentation

5. Screening • ALWAYS the first step in the process • Sort proposed activities into risk categories • DOES NOT require detailed analysis or extensive baseline data • DOES require a basic understanding of what the proposed activity is, and where it will be undertaken • The impact risk category determines the next step in the process 22 CFR 216: Process and Documentation

6. SCREENING process UNDER REG 216 Start “Emergency Activities” as defined by 22 CFR 216 and ADSNo environmental review required, but anticipated adverse impacts should be mitigated. Process ends in Exemption Memo. 1. Is the activity EXEMPT? YES NO Very low-risk; no USAID knowledge or control (within categories defined by 22 CFR 216)Process ends in Request for Categorical Exclusion YES 2. Is the activity CATEGORICALLY EXCLUDED? NO 3. Is the activity HIGH RISK? YES Environmental Assessment or revise the activity No or not yet clear Prepare Initial Environmental Examination (IEE) 22 CFR 216: Process and Documentation

7. SCREENING process UNDER REG 216:exemptions Start Exemption Memo 1. Is the activity EXEMPT? YES • Under 22 CFR 216, exemptions are only Emergency Activities as defined by 22 CFR 216 and ADS • International disaster assistance • Other emergency situations (requires Administrator (A/AID) or Assistant Administrator (AA/AID) formal approval) • Circumstances with “exceptional foreign policy sensitivities”(requires A/AID or AA/AID formal approval) No environmental review required “Exempt” activities often have significant adverse impacts Mitigate these impacts where possible ! 22 CFR 216: Process and Documentation

8. SCREENING process UNDER 22 CFR 216:categorical exclusions Request for Categorical Exclusion 2. Is the activity CATEGORICALLY EXCLUDED? YES Very low-risk; no USAID knowledge or control (within categories defined by 22 CFR 216) • ONLY activities fitting in a set of 15 specific categories MAY qualify for categorical exclusions, including: • Education, technical assistance, or training programs • (as long as no foreseeable adverse impacts) • Documents or information transfers • Analyses, studies, academic or research workshops and meetings • Nutrition, health, family planning activities except where medical waste is generated directly or indirectly 22 CFR 216: Process and Documentation

9. SCREENING process UNDER REG 216:categorical exclusions - limitations Request for Categorical Exclusion 2. Is the activity CATEGORICALLY EXCLUDED? YES Very low-risk; no USAID knowledge or control (within categories defined by 22 CFR 216) • An activity may “fit” into a categorically excluded class but if adverse impacts are reasonably foreseeable, the activity will NOT receive a categorical exclusion • No categorical exclusions are possible when an activity involves pesticides (22 CFR 216.2(e)) Categorical exclusions would not apply in these situations. Why? Midwife training in management of 3rd-stage labor Credit support to large-scale agro-processing A technical advisor to the ministry of environment & energy with co-signature authority over mining concession awards 22 CFR 216: Process and Documentation

10. SCREENING process UNDER 22 CFR 216:determining high risk Environmental Assessment or revise the activity 2. Is the activity HIGH RISK? YES • An IEE will: • Allow you to determine if impacts can be easily controlled below a significant level - if so, an Environmental Assessment is not necessary • Gather information needed to jump-start the Environmental Assessment process 22 CFR 216: Process and Documentation

11. ACTIVITY TRACKING TABLE • EACH activity in your program/project must be screened • As each activity is screened, use a table like this for tracking. It helps. 22 CFR 216: Process and Documentation

12. SCREENING DETERMINES required documentation 22 CFR 216: Process and Documentation

13. SCREENING documentation UNDER 22 CFR 216:request for categorical exclusion Request for Categorical Exclusion 2. Is the activity CATEGORICALLY EXCLUDED? YES Very low-risk; no USAID knowledge or control (within categories defined by 22 CFR 216) • Very simple; 1-2 pages. • Describes the activities. • Cites 22 CFR 216 to justify the categorical exclusion • Must be signed by MD and BEO 22 CFR 216: Process and Documentation

14. SCREENING process UNDER 22 CFR 216:high risk Environmental Assessment or revise the activity 2. Is the activity HIGH RISK? YES An EA is required if: • IEE documents likelihood of significant environmental impacts • (Positive Threshold Decision) • High-risk activities are proposed during program or activity design (e.g., PAD development) • (i.e., activity is designated as high-risk per 22CFR216.2(d)) 22 CFR 216: Process and Documentation

15. SCREENING documentation UNDER 22 CFR 216:initial environmental examination Start 1. Is the activity EXEMPT? NO Basic outline • Background & Activity Description • Purpose & Scope of IEE • Background • Description of activities • Country & Environmental information • Locations affected • National environmental policies and procedures • Evaluation of potential environmental impacts • Recommended threshold decisions and mitigation actions • Recommended threshold decisions and conditions • Mitigation, monitoring & evaluation 2. Is the activity CATEGORICALLY EXCLUDED? NO 3. Is the activity HIGH RISK? No or Not yet clear Prepare Initial Environmental Examination (IEE) 22 CFR 216: Process and Documentation

16. SCREENING documentation UNDER REG 216:iee recommended determinations For each activity addressed, an IEE makes one of 4 recommended determinations regarding its possible impacts IMPACTS NEED NOT BE DIRECT Significant adverse indirect or cumulative impacts will trigger a positive determination 22 CFR 216: Process and Documentation

17. SCREENING documentation UNDER 22 CFR 216:iee conditions Start 1. Is the activity EXEMPT? IEE conditions can be mitigation measures Implementation and monitoring of IEE conditions is required by the ADS Global Health: med waste management; training on standards of care Econ. Growth: training in environmental BMPs for agriculture, safeguards for institutional TA Education: WASH provision, standards for small-scale construction D&G: ensure CBO, peace-building, service delivery efforts are environmentally sound NO 2. Is the activity CATEGORICALLY EXCLUDED? Illustrative IEE Conditions NO 3. Is the activity HIGH RISK? No or Not yet clear Prepare Initial Environmental Examination (IEE) 22 CFR 216: Process and Documentation

18. SCREENING documentation UNDER REG 216:strong iees Start 1. Is the activity EXEMPT? NO 2. Is the activity CATEGORICALLY EXCLUDED? • Recommended determinations are well reasoned and substantiated (may include all) • Categorical Exclusion • Negative Determination With or Without Conditions • Positive Determination • Deferrals • Provide sufficient information for the reviewer to agree or disagree with the preparer’s determinations NO 3. Is the activity HIGH RISK? No or Not yet clear Prepare Initial Environmental Examination (IEE) 22 CFR 216: Process and Documentation

19. After the iee is approved IEE is posted to USAID’s environmental compliance database Recommended determinations & categorical exclusions become Threshold decisions Conditions become required elements of project implementation and monitoring Conditions are written into or written in solicitation & award documents AORs & CORs oversee implementation 22 CFR 216: Process and Documentation

20. Screening under 22 CFR 216: Climate Risk Screening • Climate risk screening must be incorporated into the environmental review process for RCE, IEE, and EAs, per agency requirement EO 13677 • Climate is considered at every step • Baseline characterization • Project description • Impact assessment • Mitigation design 22 CFR 216: Process and Documentation

21. RCE (and IEE) must incorporate climate risk screening • New Agency requirements per EO 13677 for climate risk screening apply to preparation of RCEs and IEEs 22 CFR 216: Process and Documentation

22. QUIZ time! What will the 22 CFR 216 threshold decision likely be? Negative determination with conditions? Negative determination? Positive determination? Categorical exclusion? Exemption? 22 CFR 216: Process and Documentation

23. Classroom instruction on education curriculum development 22 CFR 216: Process and Documentation

24. Market feeder road rehabilitation only, Liberia 22 CFR 216: Process and Documentation

25. Commercial Nursery 22 CFR 216: Process and Documentation

26. Promoting Cacao cultivation 22 CFR 216: Process and Documentation

27. Forestry 22 CFR 216: Process and Documentation

28. Hurricane disaster response: - Initial? - Long term reconstruction? 28 22 CFR 216: Process and Documentation

29. Pesticide use 22 CFR 216: Process and Documentation