Writing a Preliminary Assessment (The example of the Initial Environmental Examination)

1. Writing a Preliminary Assessment(The example of the Initial Environmental Examination) [SPEAKERS NAMES] [DATE]

2. Review:the Preliminary Assessment in the EIA process Phase I Phase II 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 A rapid, simplified EIA study using simple tools(e.g. the USAID IEE) BEGIN FULL EIA STUDY SIGNIFICANT ADVERSE IMPACTS POSSIBLE ACTIVITY IS OF MODERATEOR UNKNOWNRISK SIGNIFICANT ADVERSE IMPACTS VERY UNLIKELY STOP the EIA process ACTIVITY IS LOW RISK (Of its nature, very unlikely to have significant adverse impacts) ACTIVITY IS HIGH RISK(Of its nature, likely to have significant adverse impacts) ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

3. Review: Purpose of a Preliminary Assessment The purpose of any preliminary assessment 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 The IEE is USAID’s preliminary assessment ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

4. The Initial Environmental Examination (IEE) • Basic IEE outline • Background & Activity Description • Purpose & Scope of IEE • Background • Description of activities • 2. Country & Environmental information • Locations affected • National environmental policies & procedures • 3. Evaluation of potential environmental impacts • 4. Recommended threshold decisions & mitigation actions • Recommended threshold decisions & conditions • Mitigation, monitoring & evaluation In this presentation, we use the IEE as an example of a preliminary assessment ! Note: The IEE is very similar to preliminary assessments required by other donors and governments. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

5. Overview: Steps in Preparing an IEE A. Get ready B. Conduct Environmental Analysis C. Write Conclusions, Mitigation and Monitoring Plan D. Finalize & submit Sections 1-3 of the IEE Section 4 of the IEE Assemble informationReview screening results Attach supplemental informationComplete facesheet, sign & submit ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

6. Step A:  • GET READY! ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

7. Step A: GET READY!Check screening results First, review the screening results as recorded in your summary table. Note which activities the IEE must cover & which categorical exclusions it must justify. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

8. Step A: GET READY!Review, research & gather information Review screening results (Per previous slide) Review Chapter 4 of EPTM (“Writing the IEE”) The EPTM also contains sample IEEs Research likely impacts & mitigation Consult the Small Scale Guidelines or other resources to understand the key impacts & mitigation measures typical for your activities. Assemble keyinformation May include biophysical, economic & social information, maps and photos. Figure out who you should talk to! ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

9. Step B:  Conduct theEnvironmental Analysis (Sections 1-3 of the IEE) ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

10. Step B: Conduct the Environmental AnalysisWrite “Background & Activity Description” • Purpose & scope of the IEE Original IEE or IEE amendment? Are all activities covered? Are there other, related IEEs? • Background Why are the activities desirable and appropriate ? Were alternatives considered and rejected? Why? • Description of Activities May require quantitative information IEE Section 1: Background and Activity Description IEE Section 2: Country and Environmental Information IEE Section 3: Evaluation of Environmental Impact Potential ! For more detail about the contents of each section, see the annotated IEE outline in the EPTM (annex C) ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

11. Step B: Conduct the Environmental AnalysisWrite “Country & Environmental Information” IEE Section 1: Background and Activity Description • Locations affected Describe the affected biophysical and socioeconomic environment(s) succinctly. Relevant information only! • National environmental policies & procedures Describe applicable host country environmental regulations or policies IEE Section 2: Country and Environmental Information IEE Section 3: Evaluation of Environmental Impact Potential ! Organize this section by location or activity, whichever is most convenient ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

12. Step B: Conduct the Environmental AnalysisEvaluate potential environmental impacts ! IEE Section 1: Background and Activity Description Use tools such as checklists, matrices, networks or overlays to assist in evaluating impacts. IEE Section 2: Country and Environmental Information Describe the potential impacts of EACH activity, including: • all applicable environmental components (e.g., air, water, soils, flora and fauna, cultural) • Direct, indirect & cumulative impacts • Adverse AND beneficial impacts IF AN ACTIVITY HAS NO POTENTIAL IMPACT, NOTE THIS! IEE Section 3: Evaluation of Environmental Impact Potential ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

13.  Step C: Write Conclusions, Mitigation & Monitoring Plan (Section 4 of the IEE) ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

14. Step C: Write Conclusions, Mitigation and Monitoring PlanNote: Judging the significance of impacts Section 4 of the IEErequires you to judge the SIGNIFICANCE of impacts. Significance depends largely on 2 factors: • Context of the impact(environmental context AND policies, laws & local values) • Intensityof the impact In part, this is often a VALUE JUDGMENT ? What do we mean by context & intensity? ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

15. Step C: Write Conclusions, Mitigation and Monitoring PlanNote: Judging the significance of impacts When the impact. . . Contextual factors that tend to increase the significance of adverse impacts include: Evinces public concern or controversy. May set a precedent for how similar situations are addressed in future. Affects protected habitats, land or ecosystems. Affects habitats, land or ecosystems which may not be protected, but which are particularly valued for aesthetics, recreation, cultural reasons. Affects resource availability critical to subsistence & livelihood. Disrupts local customs. Is subject to law, policy or regulation that treat the impact as a matter of particular concern. Has a high or unknown potential impact public health and safety. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

16. Step C: Write Conclusions, Mitigation and Monitoring PlanNote: Judging the significance of impacts How can CONTEXT affect the significance of impacts? Example: Context & Intensity An improved pit latrine is planned at a new market site. The most significant potential impact of latrines is usually the potential for groundwater contamination. Construction impacts are typically minimal. A shallow well serving a primary school is located 10m away. The planned site contains a sacred stone, tree or shrine. National law requires that any potential impacts on groundwater is considered significant and requires district approval. What about INTENSITY? A 10-seat latrine is planned to serve 1000 persons/day ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

17. Step C: Write Conclusions, Mitigation and Monitoring PlanBEFORE YOU WRITE. . .  DON’T WRITE YET!Step back and consider: • Based on your analysis. . .what recommendation seems likely for EACH activity WITHOUT mitigation and monitoring not already part of the activity design? • What may change once mitigation and monitoring is added? OK. . .NOW proceed to write the mitigation and monitoring plan What are the impacts of constructing my market access road?  ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

18. Step C: Write Conclusions, Mitigation and Monitoring Plan Write the mitigation & monitoring plan IEE Section 3: Evaluation of Environmental Impact Potential • Recommended threshold decisions and conditions Includes justifications for any categorical exclusions. • Mitigation, monitoring and evaluation Remember, mitigation & monitoring plans should specify what, who, how much, when and why! IEE Section 4: Recommended Threshold Decisions and Mitigation Actions ! Write mitigation and monitoring BEFORE making recommended determinations! WHY? Because mitigation should reduce the significance of impacts! ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

19. Step C: Write Conclusions, Mitigation and Monitoring Plan Write the mitigation & monitoring plan IEE Section 3: Evaluation of Environmental Impact Potential • Recommended threshold decisions and conditions Includes justifications for any categorical exclusions. • Mitigation, monitoring and evaluation Remember, mitigation & monitoring plans should specify what, who, how much, when and why! IEE Section 4: Recommended Threshold Decisions and Mitigation Actions Once mitigation and monitoring is specified, you are ready to make your recommended determinations. REMEMBER, each activity receives one of 4 determinations. . . ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

20. Step C: Write Conclusions, Mitigation and Monitoring Plan Recommended Determinations in the IEE Based on IEE section 3 & 4.b, make a recommendation for EACH activity. . . ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

21. Step C: Write Conclusions, Mitigation and Monitoring Plan Justifying categorical exclusions For example. . . If your screening results indicate that some activities qualify for categorical exclusions, these exclusions must be justified in section 4.A. To justify a categorical exclusion, you should cite the language in Reg. 216.2(c)(2) that creates the exclusion “Per 22 CFR 216.2(c)(2)(i), A categorical exclusion is recommended for training activities. XXX intends to train farmers belonging to producer organizations in financial and business management. These activities will have no effect on the environment.” 216.2(c)(2)(i) reads. . . “Education, technical assistance or training programs, except to the extent such programs include activities directly affecting the environment.” ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

22.  Step D: Finalize & submit the IEE ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

23. Step D: Finalize & submit the IEEFinish your summary table First, enter the recommended determinationsin your summary table ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

24. Step D: Finalize & submit the IEEAttachments & facesheet Finish summary table (Per previous slide) Attach supplemental information Attach maps, photos, site descriptions & any other information that will help the reviewer make a decision. Complete facesheet Be sure to transfer recommended determinations from your summary table. Submit ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.

25. Some final advice In reality, IEE preparation is usually an ITERATIVE process Know your activities as well as possible before you begin: Do desk research, visit the field, talk with colleagues. Start to draft the IEE. Identify missing information. Talk to more people.Revise & continue! ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org.