1. 1. Welcome and overview of usaid’s environmental procedures
Location  Month Year

2. Introduction, Core Concepts, and Procedures
Group introductions
Image credit: USAID Learning Lab’s Collaborating, Learning, and Adapting Case Competition captures real-life case studies of USAID staff and implementing partners using a CLA approach for organizational learning and better development outcomes.
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Introduction, Core Concepts, and Procedures

3. Training Learning Outcomes
Understand core concepts that underlie USAID’s approach to environmental compliance
Comprehend basics of USAID’s environmental procedures
Identify environmental compliance requirements over USAID’s program cycle, including roles and responsibilities
Appreciate why these requirements are important to development outcomes
Learn key concepts, practice key skills, and become acquainted with key resources needed for compliance over the project cycle.
Review the objectives for the workshop—these track directly to the workshop structure.
Briefly preview the materials provided and explain the nature of the training materials/resources and how they will be used in the context of the workshop.
Image credit: Cocoa farm, Ghana. M Stoughton/Cadmus
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Introduction, Core Concepts, and Procedures

4. Core concept: the goal of environmental compliance
Environmental compliance is NOT just paperwork;
it is a framework to assure that:
Environmental and social risks are minimized (i.e., prevention)
Projects are designed to maximize economic, social, and environmental benefits via application of best practices
The Goal is Sustainable Development
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Introduction, Core Concepts, and Procedures

5. Core concept: usaid’s definition of Environment
The complex of physical, chemical, and biotic factors that affect and influence the growth, development, and survival of an organism or an ecological community
and
The complex of social and cultural conditions affecting the nature of an individual or community
When we talk about environment in the context of USAID’s procedures, and in this training, we do NOT mean just the biophysical environment, but also the social one.
This is consistent both with the common-sense and dictionary definition of environment: Webster’s defines environment as “The totality of circumstances surrounding an organism or group of organisms, especially: the complex of physical, chemical, and biotic factors (e.g. climate, soil, and living things) that affect and influence the growth, development, and survival of an organism or an ecological community. The complex of social and cultural conditions affecting the nature of an individual or community”
22 CFR 216 is contradictory with regard to the scope of “environmental impacts” to be considered. It defines the environment as the biophysical environment, but also requires examination of certain social impacts in scoping statements and Environmental Assessment, and human health impacts in the context of pesticides. Consistent with NEPA, international good practice, and almost all host county Environmental Impact Assessment systems, USAID’s Bureau Environmental Officers (BEOs) interpret the term environment as inclusive of human health, and social and cultural aspects.
Image: Fish farming in Lake Malawi
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Introduction, Core Concepts, and Procedures

6. Core concept: environmental impact assessment
A formal process for identifying:
Likely effects of activities or projects on the environment, and on human health and welfare
Means and measures to mitigate and monitor adverse effects
Internationally relatively standardized, good practices well-understood
For USAID, the EIA process is defined by 22 Code of Federal Regulations (CFR) 216
and
Is designed to be consistent with the National Environmental Policy Act (NEPA)
Environmental Impact Assessment is often referred to as environmental and social impact assessment. Because of how we use the term environment (see previous slide), the term Environmental Impact Assessment is inclusive of social impact assessment.
While all impact assessment systems are slightly different in their details, the basic elements of the process and good practices are relatively standardized internationally, and well understood.
Because USAID developed 22 CFR 216 to implement the requirements of NEPA) (see “Origin and Mandates,” forthcoming) USAID’s implementation of the Environmental Impact Assessment process needs not simply to comply with the letter of 22 CFR 216, but must also be consistent with NEPA and its implementing regulations.
“Effects of Suction Dredging on Streams: a Review and an Evaluation Strategy” By Bret C. Harvey and Thomas E. Lisle; Fisheries Habitat vol 23 No 8 August
“Suction dredging for gold is a small-scale mining practice whereby streambed material is excavated from a wetted portion of a river channel and discarded elsewhere. Suction dredges use high-pressure water pumps driven by gasoline-powered motors to create suction in a flexible intake pipe [commonly cm (3 in-12 in) in diameter]. The intake pipe sucks streambed material and water and passes them over a sluice box that is usually mounted on a floating barge. Dense particles (including gold) are trapped in the sluice box. The remainder of the material is discharged into the stream and can form piles of tailings or spoils. Large boulders, stumps, and rootwads may be moved before excavating a site, and rocks too large to enter the intake pipe are piled nearby. Dredging can vary in area from a few small excavations to the entire wetted area in a reach and can exceed several meters in depth.
Image Credit: An illegal barge conducts suction dredging for Gold on the Pra River in Ghana. In foreground, a pile of sand from sand mining sits on the riverbank. Both practices have significant adverse effects on the river, which serves as a water source and fishery for many downstream communities. Processing with mercury then creates toxicological hazards. [M Stoughton/2012]
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Introduction, Core Concepts, and Procedures

7. USAID’S Environmental Procedures: three pillars
Federal statute, regulation and executive order
22 CFR 216, underpinned by NEPA
FAA Sections 117, 118, 119
Agency Operating Policy
Automated Directives System (ADS)
Best Practices Required via approved Reg 216 documentation
Environmental Mitigation and Monitoring Plans (EMMP)
Including environmental compliance as part of regular project reporting
Federal regulation and legal requirements
Automated Directives System
Agency Best Practice
USAID Environmental Procedures
22 CFR 216 specifies USAID’s environmental compliance process. It is almost completely silent on how the outcomes of the process are carried forward into solicitation, award, and implementation. It is also silent on how environmental considerations are to be taken onboard earlier in the design process. These requirements are established by the Automated Directives System (ADS), which also specifies how the agency implements 22 CFR 216.
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Introduction, Core Concepts, and Procedures

8. USAID’S Environmental Procedures: ENVIRONMENTAL COMPLIANCE OVERVIEW
Environmental considerations integrated early in project design process
to reduce risk and increase sustainability
22 CFR 216 Process / ADS
22 CFR 216 documentation
Request for Categorical Exclusion, Initial Environmental Examination (IEE), or Environmental Assessment (EA). Must be approved by MD & BEO before obligation of funds.
Awards require IP Compliance with 22 CFR 216 documentation Agreement Officer’s Representative/Contracting Officers
Representative (AOR/COR) monitors IP compliance &
modifies or ends activities not in compliance
Environmental compliance is assessed annually as part of formal Mission (operating unit) reporting.
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Introduction, Core Concepts, and Procedures

9. USAID’S Environmental Procedures: ORIGINS & MANDATES
1970: NEPA
Requires United States Government (USG) agencies to assess the potential environmental and social impacts of their actions
Early 1970s: Malathion
Unsafe use of the pesticide malathion by USAID/Pakistan project — 5 dead, 100s poisoned
Consortium of US Non-Governmental Organizations (NGO) sued USAID to force it to comply with NEPA
1975: Settlement and Development
In court settlement, USAID agreed to develop procedures for NEPA implementation that became 22 CFR 216
The mandate has been reinforced repeatedly by the President and Congress
USAID’s justification for resisting implementation of NEPA was that it had no US domestic programs.
The basis of the original lawsuit is why so much of 22 CFR 216 concerns pesticides.
Section 117 of the Foreign Assistance Act, as amended in 1985/86, requires that:
(c)(1) The President, in implementing programs and projects under this chapter and chapter 10 of this part, shall take fully into account the impact of such programs and projects upon the environment and natural resources of developing countries. Subject to such procedures as the President considers appropriate, the President shall require all agencies and officials responsible for programs or projects under this chapter—
to prepare and take fully into account an environmental impact statement for any program or project under this chapter significantly affecting the environment of the global commons outside the jurisdiction of any country, the environment of the United States, or other aspects of the environment which the President may specify; and
to prepare and take fully into account an environmental assessment of any proposed program or project under this chapter significantly affecting the environment of any foreign country.
Such agencies and officials should, where appropriate, use local technical resources in preparing environmental impact statements and environmental assessments pursuant to this subsection.
Image credit: USAID
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Introduction, Core Concepts, and Procedures

10. USAID’S Environmental Procedures: APPLICABILITY
Environmental compliance procedures apply to all* USAID-funded and USAID-managed programs and activities, including:
Substantive amendments or extensions to ongoing activities
Non-project assistance
Image Credit: A Catholic Relief Services-led Joint Emergency Operation in Amhara, Oromia, SNNP, Somali, and Tigray regions.
* Exemptions are very limited, principally disaster assistance. (216.2(b); ADS )
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Introduction, Core Concepts, and Procedures

11. USAID’S Environmental Procedures: RESPONSIBILITIES WITHIN USAID
Assures approved 22 CFR 216 documentation is in place prior to obligation/implementation.
Project Design Team Lead, AOR/COR if designated
Advice; quality gatekeepers
Mission Environmental Officers (MEO), Regional Environmental Advisors (REA)
Clears* 22 CFR 216 documents. Ultimately responsible for compliance
Mission Director
Concurs on 22 CFR 216 documents
Bureau Environmental Officer (BEO)
Technically under 22 CFR 216, the BEO “approves” scoping statements and “reviews and clears” Environmental Assessments. In practice, they are approved by the mission director (or equivalent) clearing and submitting to the BEO. The same is true for Requests for Categorical Exclusions (RCE) and Initial Environmental Examinations (IEE).
Under Section 118 of the Foreign Assistance Act, USAID must deny assistance for (A) the procurement or use of logging equipment, unless an environmental assessment indicates that all timber harvesting operations involved will be conducted in an environmentally sound manner which minimizes forest destruction and that the proposed activity will produce positive economic benefits and sustainable forest management systems; and (B) actions which significantly degrade national parks or similar protected areas which contain tropical forests or introduce exotic plants or animals into such areas.
Also under Section 118 of the Foreign Assistance Act, USAID must deny assistance under this chapter for the following activities unless an environmental assessment indicates that the proposed activity will contribute significantly and directly to improving the livelihood of the rural poor and will be conducted in an environmentally sound manner which supports sustainable development: (A) Activities which would result in the conversion of forest lands to the rearing of livestock. (B) The construction, upgrading, or maintenance of roads (including temporary haul roads for logging or other extractive industries) which pass through relatively undegraded forest lands. (C) The colonization of forest lands. (D) The construction of dams or other water control structures which flood relatively undegraded forest lands.
Oversees compliance with IEE/Environmental Assessment conditions; makes sure activities stay within the scope of approved 22 CFR 216 documentation.
AOR/COR or AM
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Introduction, Core Concepts, and Procedures

12. USAID’S Environmental Procedures: RESPONSIBILITIES
Implementing Partner
Assures approved 22 CFR 216 documentation in place
Establishes and approves environmental mitigation & monitoring conditions
Oversees compliance with these conditions, a core part of AOR/COR responsibilities
Implements environmental management conditions established in 22 CFR 216 documentation
Reports on implementation to USAID
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Introduction, Core Concepts, and Procedures

13. THE BOTTOM LINE Getting sustainable development right means:
USAID is a development agency.
Environment and development are inseparable.
Good development does not simply respond to external environmental challenges
Getting sustainable development right means:
Being AWARE
of potential adverse impacts on ecosystems, environmental resources, and environmental quality
PROACTIVELY seeking to limit adverse impacts, particularly where they affect health and livelihoods
Most USAID programming already directly responds to or is directly affected by environmental mega-trends: climate change, population growth, urbanization. Thus, USAID is necessarily an environment and development agency and, whether we think of ourselves as such, we are almost all environment and development professionals.
So it is a small – but essential – step to go from responding to the impact of the environment on development needs to being concerned with the impact of our development interventions on the environment.
Image credit: Phuong Nguyen; rice farmers in one of Vietnam’s poorest districts are using new climate-resilient rice strains and growing practices that are dramatically increasing yields while curbing greenhouse gas emissions and increasing resilience to climate impacts. Here, farmers learn to spot pests and diseases in their plants.
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Introduction, Core Concepts, and Procedures