What If I Must Go Beyond a Preliminary Assessment? (the example of a USAID EA under Reg. 216)

1. What If I Must Go Beyond a Preliminary Assessment?(the example of a USAID EA under Reg. 216) [SPEAKERS NAMES] [DATE]

2. Our focus thus far To this point, we have focused on Phase I of the EIA process. . . Phase I:Initial inquiries Phase II:Full EIA (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 • Understand proposed activities • Screen • Conduct preliminary assessment (if needed) Our focus! ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

3. Now, we focus on the full EIA When is a full EIA needed? The “full EIA” is Phase II of the EIA process: Phase II:Full EIA (if needed) When a preliminary assessment indicates that significant adverse impacts are possible 1 • 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 2 When screening indicates an activity is high risk* New focus! *But we still recommend doing a preliminary assessment! ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

4. Review: Phase 1 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 EIA process 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) ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

5. Review: the IEE Remember, the IEE is USAID’s “Preliminary Assessment” • A positive determination triggers an full EIA ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

6. USAID: 2 types of full EIA study Reg. 216 specifies 2 types of full EIAs: Programmatic Environmental Assessment (PEA)* The Environmental Assessment (EA) Reg 216 discusses only the content of the EA in detail. However, the regulation states: “To the extent practicable,the form and content of the PEA will be the same as for EAs.” • Used to assess the environmental effects of a specific project or action, e.g. • An EA to assess a single dam or irrigation project • An EA to assess impacts of a gas or oil pipeline Used to assess the environmental effects of a class of similar actions, e.g., • dams, irrigation projects and related water resource development, • sustainable forest management plans *The term in Reg. 216 is “Program Assessment” ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

7. How is an EA different than an IEE? ! • Analysis of environmental impacts is much more detailed • Alternatives must be formally defined. The impacts of each alternative must be analysed, and the results compared. (216.6(c)) • USAID must consult with the host country government during preparation and regarding the results (216.6(e)) ! ! ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

8. First steps in preparing an EA The purpose of scoping is to determine the the significant issues the EA will address. The deliverable for the scoping process is the scoping statement. The statement includes: • Scope and significance of issues to be analyzed • Issues that do not need to be addressed • Schedule and format of EA, expertise needed PrepareScopingStatement 1 2 BEO review 3 PrepareTORs 4 Assemble Team ! Public consultation is not required by Reg. 216. However, good EIA practice requires public consultation during scoping. ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

9. First steps in preparing an EA The scoping statement must be submitted to and approved by the Bureau Environmental Officer (BEO). STRONGLY RECOMMENDED:Consult with the BEO before beginning the Scoping process. PrepareScopingStatement 1 2 BEO review Terms of Reference for the EIA team are based on the types of issues and analysis required by the scoping statement 3 PrepareTORs Assemble a team based on the TORs. Frequently requires contracting with one or more experts, or an EIA consulting firm. 4 Assemble Team ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

10. The EA outline Reg. 216 specifies that an EA will contain the following elements: 1. Summary 2. Purpose 3. Comparison of alternatives* 4. Affected Environment 5. Environmental Consequences 6. List of Preparers and appendices Appendices (as indicated) *Reg. 216 uses the term: “Alternatives Including the Proposed Action” ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

11. Contents of the EA sections Summary Major conclusions Areas of controversy Issues still to be resolved. Purpose Describes the development need or objective that the proposed actions (and its alternatives) are intended to address Comparison of alternatives Affected Environment EnvironmentalConsequences List of Preparers ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

12. Contents of the EA sections Present the alternatives considered Summary Includes the no action alternative Explain why certain alternatives were not considered Purpose Comparison of alternatives Compare the environmental impacts of these alternatives. Affected Environment NOTE: This is a summary of the analysis presented in “Environmental Consequences” Include mitigation actions EnvironmentalConsequences List of Preparers Identify the preferred alternative ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

13. Contents of the EA sections Summary “Succinctly” describe the environment of the area(s) to be affected Note that different alternatives may affect different geographic areas or aspects of the environment. The description here must cover all alternatives Purpose Comparison of alternatives Affected Environment ! Descriptions shall be “no longer than is necessary to understand the effects of the alternatives” EnvironmentalConsequences List of Preparers ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

14. Contents of the EA sections Presents the environmental impacts of each alternative Summary • Includes the proposed action and the no action alternative • Impacts of alternatives are not compared. • Should include* • Any adverse effects and their significance (including those that cannot be avoided) • Relationship between short-term uses of the environment and maintenance/ enhancement of long-term productivity • Conflicts with other policies, plans or controls for the areas under consideration • Recommended mitigation measures Purpose Comparison of alternatives Affected Environment EnvironmentalConsequences List of Preparers *See 216.6.(c)(5) for full list ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

15. NOTE:WHEN ASSESSING IMPACTS,TOO MUCH INFORMATION IS AS BAD AS NOT ENOUGH ! Provide the most detailed analysis for the more significant impacts. . Summarize or reference for lesser impacts *See 216.6.(c)(4) ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

16. Contents of the EA sections Summary Names and qualifications of the EA Team Annexes can be useful in organizing the EA so that only the most critical information for decision-making is in the body of the EA Purpose Comparison of alternatives Affected Environment EnvironmentalConsequences List of Preparers ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

17. Coordination with host country procedures The large majority of host countries now have EIA policies and procedures Most projects that require an EA under Reg. 216 will also require a full EIA under host country procedures & What are the implications? • USAID projects must satisfy BOTH Reg. 216 AND host country procedures • One EIA document should be created to satisfy both procedures • Will require discussions in the scoping process with host country EIA regulatory agency. 1 2 ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org

18. Gaps in the Reg. 216 EA requirements • Reg. 216 does not have language that emphasizes the importance of a detailed mitigation and monitoring plan • However, Mitigation and Monitoring Plans are essential to making the EA effective • Remember, Mitigation and Monitoring plans assign responsibilities and establish schedules/time lines and reporting requirements.  ENCAP EA-ESD Course: Beyond the Preliminary Assessment. Visit www.encapafrica.org