Global IEE Annex B_Template for Initial Environmental Examination.pdf

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 1

ANNEX B: TEMPLATE FOR INITIAL ENVIRONMENTAL EXAMINATION

INITIAL ENVIRONMENTAL EXAMINATION

ACTIVITY DATA

Activity Name:

Amendment (Y/N):

Geographic Location(s) (Country/Region):

Implementation Start/End:

Solicitation/Contract/Award Number:

Implementing Partner(s):

Link of Other, Related Analyses: ASHA Global IEE:

https://ecd.usaid.gov/document.php?doc_id=5114

ORGANIZATIONAL/ADMINISTRATIVE DATA

Implementing Operating Unit(s):

(e.g. Mission or Bureau or Office)

DCHA/ASHA

Funding Operating Unit(s):

(e.g. Mission or Bureau or Office)

DCHA/ASHA

Funding Account(s):

Funding Amount:

Amendment Funding Date: Amendment Funding Amount:

Other Affected Unit(s):

Lead BEO Bureau:

Prepared by:

Date Prepared:

ENVIRONMENTAL COMPLIANCE REVIEW DATA

Analysis Type: ☐ Initial Environmental Examination ☐ Amendment

Environmental Determination(s): ☐ Categorical Exclusion ☐ Negative Determination ☐ Positive Determination ☐ Deferral

Initial Environmental Examination Expiration Date:

Additional Analyses/Reporting Required:

Climate Risks Rating for Risks Identified:

Low ____ Moderate ____ High ____

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 2

SUMMARY OF FINDINGS

PURPOSE AND SCOPE OF THE INITIAL ENVIRONMENTAL EXAMINATION

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a brief statement that this is an Initial Environmental Examination (IEE) for (activity title) operating in the (region) of (country) from (start to end date).

If the purpose is to amend a previous IEE to add scope and new activities, briefly state this and what else is changing (funding amount, life of award, geographic scope).]

ACTIVITY SUMMARY

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a brief summary of the activity. Concisely describe how this IEE relates to any other RCEs/IEEs/EAs that cover this activity area for the mission or operating unit.]

ENVIRONMENTAL DETERMINATIONS

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a summary of the environmental determinations applicable to the specific activities.]

Upon approval of this document, the determinations become affirmed, per Agency regulations (22 CFR 216).

IMPLEMENTATION

In accordance with 22 CFR 216 and Agency policy, the conditions and requirements of this document become mandatory upon approval. This includes the relevant limitations, conditions and requirements in this document as stated in Sections 3, 4, and 5 of the IEE and any BEO Specified Conditions of Approval.

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 3

USAID APPROVAL OF INITIAL ENVIRONMENTAL EXAMINATION

ACTIVITY NAME:

Approval: __________________________________________________ Anne Dix, ASHA Director

Date

Clearance: __________________________________________________ Agreement Officer’s Representative (AOR)

Date

Clearance: __________________________________________________ Mission Environmental Officer (MEO)*

Date

Clearance: __________________________________________________ Regional Environmental Advisor (REA)*

Date

Clearance: __________________________________________________ Erika J. Clesceri, DCHA Climate Integration Lead (CIL)

Date

Concurrence: __________________________________________________ Erika J. Clesceri, DCHA Bureau Environmental Officer (BEO)

Date

*Clearance recommended, but optional.

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 4

THRESHOLD DECISION MEMO

BEO-SPECIFIED CONDITIONS OF APPROVAL

[THIS SECTION IS TO BE COMPLETED BY USAID UPON APPROVAL OF THIS Activity-Level IEE.]

[BEOs may provide specific conditions tied to USAID approvals. In cases where no additional conditions of approval are required, this section receives a “N/A”. This approach is used to provide direct and specific conditions to the IPs and may be presented in three parts: 1) Issue; 2) Discussion; 3) Condition.]

[Remaining page is intentionally left blank.]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 5

1.0 ACTIVITY DESCRIPTION

1.1 PURPOSE AND SCOPE OF IEE

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): This section explains the purpose and scope of the IEE. Standard language is provided below to be augmented with activity specifics. If the purpose is to amend a previous IEE to add scope and new activities, briefly state this and what else is changing (funding amount, life of award, geographic scope). Briefly describe how this IEE relates to any other RCEs/IEEs/EAs that cover this activity area for the operating unit.]

The purpose of this document, in accordance with Title 22, Code of Federal Regulations, Part 216 (22 CFR 216), is to provide a preliminary review of the reasonably foreseeable effects on the environment of the USAID intervention described herein and recommend determinations and, as appropriate, conditions, for these activities. Upon approval, these determinations become affirmed, per 22 CFR 216 and specified conditions become mandatory obligations of implementation. This IEE also documents the results of the activity’s Climate Risk Management process in accordance with USAID policy (specifically, ADS 201mal).

This IEE is a critical element of USAID’s mandatory environmental review and compliance process meant to achieve environmentally sound activity design and implementation. Potential environmental impacts are addressed through formal environmental mitigation and monitoring plans (EMMPs) attached and/or Environmental Assessments (EAs), if needed.

1.2 ACTIVITY OVERVIEW

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): In this section provide a brief overview of the activity.]

1.3 ACTIVITY DESCRIPTION

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Describe the activity interventions. This information can be presented in table form, see below. Clearly describe the interventions in detail sufficient to determine whether (1) they belong to classes of actions eligible for Categorical Exclusion and (2) whether direct or indirect impacts are reasonably foreseeable. For guidance in preparing your 22 CFR 216 documentation, please visit http://www.usaidgems.org/Assistant/gettingStarted.htm.]

TABLE 1: DEFINED INTERVENTIONS

[Intervention 1 — Title] [Intervention 2 — Title] [Intervention 3 — Title] [Intervention 4 — Title] [Intervention 5 — Title] [Intervention 6 — Title] [Intervention 7 — Title] [Add rows as needed]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 6

2.0 BASELINE ENVIRONMENTAL INFORMATION

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Include information pertinent to making informed environmental determinations and improving mitigation and monitoring of activities.]

2.1 LOCATIONS AFFECTED AND ENVIRONMENTAL CONTEXT (ENVIRONMENT,

PHYSICAL, CLIMATE, SOCIAL)

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): This section is to be tailored and include baseline environmental condition information appropriate to the activity context and scale. The information obtained in this section should serve as an environmental baseline for future environmental monitoring and evaluation and may include information on public health and safety, atmospheric and air quality, water quality, indigenous peoples, etc.]

2.2 APPLICABLE AND APPROPRIATE PARTNER COUNTRY AND OTHER

INTERNATIONAL STANDARDS (E.G. WHO), ENVIRONMENTAL AND SOCIAL LAWS,

POLICIES, AND REGULATIONS, AND INSTITUTIONAL STANDARDS (E.G.ISO,

SCHOOL/HOSPITAL CERTIFICATIONS)

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): In this section, summarize partner country environmental, health, and safety laws and regulations, as well as those pertaining to land tenure, relevant to the proposed activities. Discuss applicable permit requirements, policies, and regulations, including whether partner country Environmental Impact Assessment requirements apply. If applicable, implementing partners may provide information on any institutional standards and certifications that the institution as a whole, holds or is working towards. This can include Institutional Organization for Standardization (ISO) certifications, or green building certifications, including Leadership in Energy and Environmental Design (LEED), Building Research Establishment Environmental Assessment Method (BREEAM) and Green Star or other standards specific to educational and healthcare institutions.]

2.3 COUNTRY/MINISTRY/MUNICIPALITY ENVIRONMENTAL CAPACITY ANALYSIS (AS

APPROPRIATE)

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): If government-to-government agreements are planned, discuss the state of the entities’ legal enforcement authority, institutional arrangements and capacity building, compliance monitoring, enforcement response, compliance assistance and information management, economic and other incentive-based instruments, indicators to evaluate program success and programmatic priority-setting, public participation, etc. As applicable, also discuss the capacity of local governmental and non-governmental organizations to implement applicable permit requirements, policies, laws and regulations. If there have been consultations with the partner government on the environmental capacity analysis, they should be described here.]

3.0 ANALYSIS OF POTENTIAL ENVIRONMENTAL RISK11

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): In this section, analyze and document all potential adverse environmental and social impacts of activity interventions, such as water quality impairment, habitat alteration, resource depletion, health, safety, contributions to climate change, increased vulnerability to climate change impacts, etc. With regards to climate change, consider how your activity might contribute to greenhouse gas emissions (e.g., through diesel generators) and how climate impacts may exacerbate the environmental impacts of your activity (e.g., by reducing water flows). How climate risks may impact the success of your activity is considered separately in section 4.2. The information from this section will support analysis sufficient to

11 Includes analysis of environmental and social

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 7

identify the appropriate mitigation measures and monitoring indicators necessary to avoid or sufficiently reduce impacts of the activity.]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 8

[INTERVENTION 1 TITLE]

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a narrative detailing potential adverse environmental and social impacts for the intervention and summarize results in the table.]

TABLE 2A: POTENTIAL IMPACTS – [INTERVENTION 1 TITLE]

[Intervention Title] Potential environmental and social impacts [Description of Intervention]

[INTERVENTION 2 TITLE]

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a narrative detailing potential adverse environmental and social impacts for the intervention and summarize results in the table.]

TABLE 2B: POTENTIAL IMPACTS – [INTERVENTION 2 TITLE]

[Intervention Title] Potential environmental and social impacts

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Add narratives and summary tables as needed for additional activity interventions.]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 9

4.0 ENVIRONMENTAL DETERMINATIONS

4.1 RECOMMENDED ENVIRONMENTAL DETERMINATIONS

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a narrative summary of the recommended determinations based on the environmental analysis conducted.]

The following table summarizes the recommended determinations based on the environmental analysis conducted. Upon approval, these determinations become affirmed, per 22 CFR 216.

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): For Table 3, add your intervention titles in the table below and place an X in the appropriate column for each title.]

TABLE 3: ENVIRONMENTAL DETERMINATIONS

Interventions Categorical Exclusion Citation (if applicable)

Negative Determination

Positive Determination Deferral

[Intervention 1 Title] [Intervention 2 Title] [Intervention 3 Title] [Intervention 4 Title]

4.2 CLIMATE RISK MANAGEMENT

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): In accordance with Agency policy, include a brief narrative of the risk assessment methodology and the Climate Risk Management Summary Table (table below or table from Climate Risk Screening and Management Tool). Refer to ADS 201mal “Climate Risk Management for USAID Projects and Activities.” Additionally, CRM Screening Guidance for ASHA Projects is another resource.]

TABLE 4: CLIMATE RISK MANAGEMENT SUMMARY TABLE

Defined or Anticipa ted Program Interven tions

Timeframe Geography Climate Risks

List key risks related to the program interventio ns identified through either the strategy-or project-level climate risk assessment

Risk Rating

Low/ Moderate/ High

Climate Risk Manage ment Options

How are risks addre ssed

Opportunities to Strengthen Climate Resilience

Describe opportunities to achieve development objectives by integrating climate resilience or mitigation measures.

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 10

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Add rows as needed.]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 11

5.0 MITIGATION MEASURES

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Provide a narrative here detailing required mitigation measures for reducing the undesirable impacts of the activities on the environment.]

The mitigation measures presented in this section constitute the minimum required based on available information at the time of this IEE and the environmental analysis in Section 4.

[INTERVENTION 1 TITLE]

TABLE 5A: SUMMARY OF MITIGATION MEASURES FOR [INTERVENTION 1 TITLE]

[Intervention Title] Mitigation Measures

[INTERVENTION 2 TITLE]

TABLE 5B: SUMMARY OF MITIGATION MEASURES FOR [INTERVENTION 2 TITLE]

[Intervention Title] Mitigation Measures

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Add summary tables as needed for additional activity interventions.]

USAID ASHA FY 2019-2023 GLOBAL IEE- ANNEX B 12

6.0 LIMITATIONS OF THIS INITIAL ENVIRONMENTAL

EXAMINATION

The determinations recommended in this document apply only to interventions described herein. Other activities that may arise must be documented in either a separate IEE, an IEE amendment if the activities are within the same activity, or other type of environmental compliance document and shall be subject to an environmental review.

Other than activities determined to have a Positive Threshold Decision, it is confirmed that the activities described herein do not involve actions normally having a significant effect on the environment, including those described in 22CFR216.2(d).

It is confirmed that the activities described herein do not involve any actions listed below. Any of the following actions would require additional environmental analyses and environmental determinations:

[INSTRUCTIONS (TO BE DELETED ONCE COMPLETED): Remove any bullets below covered by this

IEE.]

• Support project preparation, project feasibility studies, or engineering design for activities listed in §216.2(d)(1);

• Affect endangered and threatened species or their critical habitats per §216.5, FAA 118, FAA 119;

• Provide support to extractive industries (e.g. mining and quarrying) per FAA 117;

• Promote timber harvesting per FAA 117 and 118;

• Lead to new construction, reconstruction, rehabilitation, or renovation work per §216.2(b)(1);

• Support agro-processing or industrial enterprises per §216.1(b)(4);

• Provide support for regulatory permitting per §216.1(b)(2);

• Lead to privatization of industrial facilities or infrastructure with heavily polluted property per §216.1(b)(4);

• Procure or use genetically engineered organisms per §216.1(b)(1); and/or

• Assist the procurement (including payment in kind, donations, guarantees of credit) or use (including handling, transport, fuel for transport, storage, mixing, loading, application, clean-up of spray equipment, and disposal) of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials. Pesticides cover all insecticides, fungicides, rodenticides, etc. covered under the Federal Insecticide, Fungicide, and Rodenticide Act per §216.2(e) and §216.3(b).

7.0 REVISIONS

Per 22 CFR 216.3(a)(9), when ongoing programs are revised to incorporate a change in scope or nature, a determination will be made as to whether such change may have an environmental impact not previously assessed. If so, this IEE will be amended to cover the changes. Per ADS 204, it is the responsibility of the USAID AOR and awardees to keep the MEO/REA and BEO informed of any new information or changes in the activity that might require revision of this environmental analysis and environmental determination.

ATTACHMENTS:

1. ENVIRONMENTAL MITIGATION AND MONITORING PLAN

2. REFERENCE DOCUMENTS