**Annex D**

**Title II Environmental Review and Compliance**

## I. Background on USAID Environmental Compliance (22 CFR 216)

All projects funded by USAID must conform to US environmental
regulations (22 C.F.R. 216) requiring evaluation to (1) ensure that
mitigation plans for any environmental impacts resulting from the
project implementation are managed and (2) integrate proven associated
activities to preserve or restore the natural resource base. The federal
regulation 22 CFR 216 was developed as a result of a settlement of a law
suit brought against the Agency in 1975 regarding the lethal exposure of
beneficiaries to the pesticide malathion. Through development of the
Initial Environmental Examination (IEE), 22 C.F.R. 216 or "Reg. 216"
ensures that environmental (i.e., natural resource or public health)
unintended impacts of USAID-funded activities are identified and
mitigation measures proposed at the [design]{.underline} stage prior to
the irreversible obligation of USAID funds. Subsequently, over the Life
of the Activity (LOA), these environmental mitigation measures are
expected to be a standard component of program [management]{.underline}.

## II. Title II Compliance with Regulation 216: Executive Summary

Compliance with USAID\'s Environmental Procedures (known as 22 CFR 216
or Reg. 216) is required of all Title II non-emergency activities as
well as slow-onset and persistent, complex emergencies protracted beyond
one year, whether they are supported by Title II commodity, Section
202(e), ITSH, monetization, Development Assistance or other USAID
funding. Refer to sections IV-A through G below for further details on
submission of the Initial Environmental Examination (IEE). Section VII
of this document contains copies of USAID Title II environmental
compliance forms and templates.

All Title II Multi-Year Assistance Program (MYAP) proposals and
Single-Year Assistance Program (SYAP) proposals for slow-onset or
complex emergencies must include an Initial Environmental Examination
(IEE) or Request for Categorical Exclusion, depending on the nature of
the activities. If a CS\'s submission contains changes that require a
proposal amendment, an IEE amendment must be submitted with the proposal
amendment. Environmental Status Reports (ESRs) are required with the
annual Pipeline and Resource Estimate Proposal (PREP) submission.

Given the increased competitive environment for Title II funding, CS are
not required to secure IEE clearances from the Mission prior to
submission of [new]{.underline} MYAPs. To expedite MYAP IEE review
during the FFP proposal review process, FFP encourages the CS to be
proactive and work with the Mission during the IEE development. It
should be noted that where funding is [not]{.underline} contingent upon
competition, then Mission clearances [are required]{.underline} before
submission of the PREP or SYAP (i.e., ESRs, IEE-Amendments, and
preferably SYAP IEEs (Table 1)).

All Title II Reg. 216 documentation are first cleared through the
Mission and then with the DCHA BEO in Washington. IEEs are cleared by
the Mission Director and his/her designate, typically the Mission
Environmental Officer (MEO) or Regional Environmental Officer (REO) for
non-presence countries. The Mission may request revisions from the CSs
to ensure that Mission objectives, consideration of local conditions,
and consistency with environmental documentation of other CSs in the
same country are achieved.

**Table 1. Timing of USAID Clearances for Reg. 216 Documentation**

  ------------------- --------------------------------- ------------------
  **Reg. 216          **Mission Clearance Required      **DCHA BEO**
  Document**          (Before/After) Submission**       

  MYAP IEE            After                             After

  ESR                 Before                            After

  IEE-A               Before                            After

  SYAP IEE            Before Preferred                  After
  ------------------- --------------------------------- ------------------

For access to information, training opportunities related to Reg. 216
and Environmentally-Sound Design best practices CSs should consult
[www.usaid.gov/our_work/environment/compliance](http://www.usaid.gov/our_work/environment/compliance).

Financial resources to support Reg. 216 training for CS staff should be
included in the proposal of every operating budget.

**LIST OF ACRONYMS**

  ------------ ----------------------------------------------------------
  BEO          Bureau Environmental Officer

  CBO          Country Backstop Officer

  CE           Categorical Exclusion

  C.F.R.       Code of Federal Regulations

  CS           Cooperating Sponsor

  DCHA         Democracy, Conflict, and Humanitarian Assistance

  EA           Environmental Assessment

  EDM          Environmental Documentation Manual

  EMP          Environmental Management Plan

  ENCAP        Environmental Capacity Building Program

  EPTM         Environmental Procedures Training Manual

  ER           Emergency Resources

  ESF          Environmental Screening Forms

  ESR          Environmental Status Report

  FFP          Food for Peace

  FFW          Food for Work

  IEE          Initial Environmental Examination

  LOA          Life of Activity

  MEO          Mission Environmental Officer

  MYAP         Multi-Year Assistance Program

  NER          Non-Emergency Resources

  NGO          Non-governmental Organization

  PEA          Programmatic Environmental Assessment

  PERSUAP      Pesticide Evaluation Report and Safe Use Action Plan

  PREP         Pipeline and Resource Estimate Proposal

  REA          Rapid Environmental Assessment

  REO          Regional Environmental Officer

  SYAP         Single-Year Assistance Program

  USAID        United States Agency for International Development

  WFP          World Food Program
  ------------ ----------------------------------------------------------

**III. New Issues and Sectoral Guidance Updates for the IEE**

**A. Social Impact Assessment**

It is important to consider the social equity or distribution of impacts
across different populations in the IEE. Just as the biophysical
sections of IEEs devote attention to threatened or vulnerable
landscapes, the IEE must also devote attention to the impacts on
vulnerable segments of the human population. Examples include the poor,
the elderly, adolescents, the unemployed, and women; members of the
minority and/or other groups that are racially, ethnically, or
culturally distinctive; or occupational, cultural, political, or
value-based groups for whom a given community, region, or use of the
biophysical environment is particularly important.

**B. Energy Sources for Commodity Preparation**

Many of the countries where FFP operates experience high rates of
deforestation exacerbating desertification and regional climate
variability with associated impacts on community livelihoods and health.
The typical FFP project (ca. 70,000 beneficiaries) uses \~30,000 MT of
fuelwood per year based upon a conservative fuel wood consumption rate
of 1 kg fuelwood per person per day. FFP encourages that the CS factor
host-country settings such as fuelwood availability and deforestation
rates when determining the applicable food aid commodity (i.e., longer
cooking time of certain pulses or reduced fuelwood use due to milling or
soaking practices). In addition, FFP suggests that the CSs develop
appropriate energy provision management plans which involve the
following illustrative activities: improved cookstoves, improved cooking
practices using current stoves, non-timber energy sources such as
organic matter briquettes, oil-seed, small-scale biogas technologies to
convert animal or human waste to methane gas for household cooking and
agricultural drying. Also recommended are sustainable fuelwood
harvesting practices from native forests as well as tree nurseries and
plantations.

## IV. Title II Compliance with Regulation 216: IEE Clearance and Submission Details 

Further details pertaining to the content of the IEE are contained in
section VII, under the Template \# 4: "Annotated IEE Outline".

## [A. New MYAP Clearances]{.underline}

All MYAP proposals must include an IEE, which must be cleared by the
Mission Director and MEO or Regional Environmental Officer (REO) for
non-presence countries as well as the DCHA BEO and FFP Director. Given
the increased competitive environment for Title II funding, CSs are not
required to secure IEE clearances from the Mission prior to submission
of [new]{.underline} MYAPs. During the proposal review process, the IEE
must first be cleared by the Mission and then by the DCHA BEO for final
concurrence.

The IEE is reviewed separately from the main proposal, therefore the IEE
face sheet, maps, and activity photographs should be submitted with the
IEE, [preferably as a single digital document]{.underline}. The IEE
should [not]{.underline} be a lengthy document. A clear and concise
presentation including important activities, monitoring and mitigation
strategies, environmental management forms, and associated maps and
photos (compressed to screen resolution) may be 15-20 pages in length.

[**B. MYAP** **Amendments**]{.underline}

All MYAP (or other) amendments must include an IEE amendment if a change
has occurred from what was submitted in the original IEE. The same
clearance process is followed as described above for MYAP proposals. If
no change has occurred, the process as described below for PREPs should
be followed.

##### **[C. PREP Submission]{.underline}**

If the IEE of the proposal was cleared without conditions or a
categorical exclusion was granted, the CS should only state \"No
changes\" in the Environmental Compliance section of the Pipeline and
Resource Estimate Proposal (PREP).

If the original proposal IEE contained "negative determination with
conditions", the CS should include, as an appendix to the PREP, an ESR
detailing the actions they have undertaken with regard to the previously
approved IEE. The ESR is only required for years subsequent to the first
year of the 1) MYAP proposal or 2) sequential SYAP submission (if any).
In 2-10 pages, The ESR should detail the monitoring and evaluation
measures (including process and/or impact indicators) being undertaken
by the CS and indicate whether mitigation plans are on schedule or if
unplanned impediments have occurred (see Section C.5 of the [USAID
Environmental Procedures Training Manual AFR Edition, (EPTM,
2002)](http://www.encapafrica.org/EPTM.htm) for the ESR "Facesheet" and
"Instructions and Format"). For greater clarity, photographs displaying
success or failure of mitigation measures are encouraged. The CSs should
include a matrix, or table, in the ESR outlining that mitigation plans
are being implemented as submitted in previous environmental
documentation (i.e., the IEE or IEE amendment).

ESRs are cleared by either the Mission Environmental Officer or Food for
Peace Officer, and Mission cleared ESR copies must be sent to the
DCHA/Bureau Environmental Officer (BEO) for clearance and the DCHA FFP
CBO for its official files.

**[D. Deferrals]{.underline}**

Deferrals are allowed but not encouraged. For those CSs who received a
deferral on one or more activities of their program from the DCHA BEO,
an amended IEE should be included with their following year\'s PREP to
resolve each deferral or indicate that the activity will not be
conducted, if that is the case.

**[E. SYAP IEE Requirements]{.underline}**

 

The Initial Environmental Evaluation (IEE) process must be invoked for
slow-onset and persistent or complex emergencies as these interventions
typically last more than one year. IEE is not required for rapid-onset
emergency funded by a SYAP. Points of clarification for the SYAP IEE
requirements are found below and summarized in Table 2. For rapid-onset
emergencies, the CSs are recommended to use the [Rapid Environmental
Assessment
(REA)](http://www.benfieldhrc.org/disaster_studies/rea/rea_index.htm)
approach and the [Sphere Handbook (2004)](http://www.sphereproject.org/)
paying particular attention to fuelwood consumption issues during direct
distribution of food.

This policy applies only to programs implemented by NGOs, not by WFP.
WFP environmental protection procedures are outlined in the WFP
Programme Guidance Manual under topic "Environmental/Natural Resources"
(1999) and in [WFP and the
Environment](http://www.wfp.org/policies/Introduction/policy/index.asp?section=6&sub_section=1)
(1998).

 

[SYAP IEE Points of Clarification:]{.underline}

 

1.     For unpredictable emergencies that also have a
[rapid-onset]{.underline} (e.g. hurricane, conflict outbreak), the IEE
is not required in the first year. The IEE would be required if there is
a second year of SYAP funding (Table 2).

2\. For more predictable a) [slow-onset]{.underline} (e.g. drought)
and/or b) [persistent, complex]{.underline} (e.g. post-conflict
rehabilitation, conflict support, safety nets) emergencies, where the CS
is operating for the first time with a new population, under a set of
new activities, then the IEE is NOT required in the first year of the
SYAP. The IEE will be required if the CS prepares a follow-on SYAP given
that these types of humanitarian assistance responses typically persist
for more than one year (Table 2).

3\. If the CS submits a SYAP for a more predictable emergency when they
have had previous experience or a program with the same population,
including under other USAID funding (i.e., as a subcontractor to WFP),
then the SYAP IEE is required whether the CS plans to implement Direct
Distribution or FFW (Table 1). This caveat does not apply to a
rapid-onset emergency, given the unpredictability of on-the-ground
operations.

**Table 2. Decision Matrix of Requirements for Submission of SYAP IEE**

+---------------+--------------+---------------+------------+---------+
| **Emergency   | **CS has     |               | **IEE      | **IEE   |
| Type**        | Previous     |               | R          | Requ    |
|               | Country      |               | equired?** | ired?** |
|               | E            |               |            |         |
|               | xperience?** |               | **Year 1** | **Year  |
|               |              |               |            | 2**     |
+---------------+--------------+---------------+------------+---------+
|               | **Yes /No**  | **What        |            |         |
|               |              | activity      |            |         |
|               |              | type?**       |            |         |
+---------------+--------------+---------------+------------+---------+
| Rapid-Onset   | No           | NA            | No         | Yes     |
+---------------+--------------+---------------+------------+---------+
| Rapid         | Yes          | Direct        | No         | Yes     |
|               |              | Distribution  |            |         |
+---------------+--------------+---------------+------------+---------+
|               | Yes          | FFW           | No         | Yes     |
+---------------+--------------+---------------+------------+---------+
| Slow-Onset or | No           | NA            | No         | Yes     |
| Persistent,   |              |               |            |         |
| Complex       |              |               |            |         |
+---------------+--------------+---------------+------------+---------+
| Slow or       | Yes          | Direct        | Yes (for   | Yes     |
| Complex       |              | Distribution  | DD or      |         |
|               |              |               | FFW\*)     |         |
+---------------+--------------+---------------+------------+---------+
|               | Yes          | FFW           | Yes        | Yes     |
+---------------+--------------+---------------+------------+---------+

\* An IEE is required in this scenario given greater risks associated
with FFW activities and the need for expertise during implementation
coupled with the more predictable slow-onset/complex situation on the
ground.

**[F. Environmental Management Forms]{.underline}**

As a means of presenting the management plan to mitigate potential
impacts for a series of planned activities, an environmental management
form is highly recommended. A management form may contain a list of
activities, potential impacts, mitigation, monitoring (with suggested
indicators (Table 1). Table 2 provides an example M&E table template to
demonstrate the "status" of the environmental indicator over the Life of
the Activity (LOA) using standard M&E procedures of separating results
by output, outcome, and impact indicators to be measured annually
(output) and at Baseline, Mid-Term and Final Evaluation Years (outcome
and impact).

**[G. Monitoring and Evaluation]{.underline}**

If required by the IEE (e.g., activity is classified as a "Negative
Determination with Conditions), all activities in agriculture, natural
resource/watershed management, water and sanitation, health and
nutrition, food distribution and/or physical infrastructure development
should describe how the environmental impact will be monitored and
viable indicators suggested. Also, discuss whether the environmental
effects will be part of the project\'s overall monitoring and evaluation
system (i.e., in the IPTT), and if so, whether annual and impact
indicators have been developed. Funding should be specified for
monitoring and evaluation of any environmental impacts of activities
classified as "Negative Determination with Conditions". An Environmental
Management Plan (EMP) would specify how this environmental-impact M&E
budget would adaptively manage the effectiveness of mitigation
strategies for biophysical interventions that may have a negative impact
on the environment (i.e. public health and/or ecological services). In
the EPTM (March 2002), refer to Box 4.J for information on EMPs, a
sample EMP table is located in the EPTM Annex E.3.

## V. IEE Preparation Materials

While taking precedence, these guidelines draw from existing documents
which can be accessed at:
[www.usaid.gov/our_work/environment/compliance](http://www.usaid.gov/our_work/environment/compliance)[.]{.underline}

For a short overview to the Reg. 216 process for Title II partners refer
to [A Field Guide to USAID Environmental Compliance Procedures
(2000)](http://www.usaid.gov/locations/latin_america_caribbean/environment/docs/fld_guide_2000_text1.pdf)*.*
More details for partners are found in the [USAID Environmental
Procedures Training Manual AFR Edition, (EPTM,
2002)](http://www.encapafrica.org/EPTM.htm). A searchable database for
IEEs is found on the Environmental Assessment Capacity Building
Program ([ENCAP](http://www.encapafrica.org/)) website supported by
USAID's Africa Bureau. Recommended best management practices are found
in "[Environmental Guidelines for Small Scale Activities in
Africa](http://www.encapafrica.org/SmallScaleGuidelines.htm)", and
"[Environmental Guidelines for Development Activities in Latin America
and the
Caribbean](http://www.usaid.gov/locations/latin_america_caribbean/environment/docs/epiq/epiq.html)"
and Environmental Guidelines for Small Scale Activity in Asia Near East
.

Sector-specific guidance can be found at the
[ENCAP](http://www.encapafrica.org/) website. Illustrative
sector-specific guidelines include:

-   **Water/Sanitation/Hygiene:** [Guidelines for the Development of
    Small Scale rural Water Supply & Sanitation Projects In East Africa.
    Warner.D, Abate.C July
    2005](http://www.crs.org/publications/pdf/Wat0509_e.pdf)**;**

-   **Roads:** "[Low-Volume Roads Engineering: Best Management Practices
    Field Guide (Keller and Sherar,
    2003](http://www.encapafrica.org/download/USFSRoadsBMPManual/index.htm))";

```{=html}
<!-- -->
```
-   **Fertilizer:** *"*[Inorganic Fertilizer Use in Africa Environmental
    and Economic
    Dimensions](http://www.dec.org/pdf_docs/PNACS819.pdf)*"*;

```{=html}
<!-- -->
```
-   **Pesticides:** "[USAID/AFR Guidance: Preparing PERSUAPs for
    pesticide programs in
    Africa](http://www.encapafrica.org/docs/pest-pesticide mgmt/PERSUAP Guidance.doc)";

-   **Fuelwood:** "[Cooking Options in Refugee Situations: A Handbook of
    Experiences in Energy Conservation and Alternative
    Fuels](http://www.unhcr.org/cgi-bin/texis/vtx/protect/opendoc.pdf?tbl=PROTECTION&id=406c368f2.)"
    (UNHCR 2002); and "[Environmental Guidelines, Item 3,
    "Energy/Environmental Food Needs Assessment" and "Sample Terms of
    Reference No.
    1"](http://home.wfp.org/manuals/pg_environ/3energy.htm) (WFP, 2005).

For rapid-onset emergencies, the [Rapid Environmental Assessment
(REA)](http://www.benfieldhrc.org/disaster_studies/rea/rea_index.htm.)
tool can be used to minimize impact of relief to public health and the
natural resource base. In addition to these documents, MEOs and BEOs,
and REAs, should be consulted for program-specific feedback.

**VI. Financial Resources to Support "Reg. 216"**

CSs implementing Title II non-emergency and/or emergency programs are
expected to ensure that their staff is sufficiently trained to meet the
requirements of USAID regulations, such as 22 CFR 216. It is recommended
that funds be allocated specifically in proposal budgets to support all
training (under the training line item). USAID funds to support such
training would arise from program P.L. 480 Title II funds (e.g., Section
202 (e), etc.) and Missions. Cost-sharing using CS private resources is
highly recommended, but not required. Consult with the FFP training
coordinator for guidance in this area.

**VII. Title II Environmental Compliance Forms and Templates**

**(July 2007)**

**Templates for Use by USAID Food for Peace Title II Cooperating
Sponsors**

**1. Title II Environmental Compliance Facesheet**

**2. Request for a Categorical Exclusion**

**3. Outline of the IEE Narrative: Template**

**4. Annotated IEE Narrative**

**5. Environmental Status Report Facesheet**

# Environmental Status Report Instructions and Format

# Environmental Management Table Templates

**TITLE II ENVIRONMENTAL COMPLIANCE FACESHEET**

**Title of MYAP or SYAP:**      

**FFP Grant Number:**      

**Country/Region:**      

**Implementing Partner:**      

  ------------------------- ----------------------- ----------------------
  **Funding Begin:**        **Funding End:**        **LOA Amount:** \$

                            **Sub-Activity          
                            Amount:** \$            
  ------------------------- ----------------------- ----------------------

+------------------------+----------------------+---------------------+
| **Resource Levels:**   | **Commodity:**       |                     |
|                        | MT                   |                     |
+------------------------+----------------------+---------------------+
| **Monetization**       | **202(e):** \$       | **ITSH:** \$        |
|                        |                      |                     |
| **Request: \$**        |                      |                     |
+------------------------+----------------------+---------------------+

  -------------------------------------------- --------------------------
  **IEE Prepared by:**       (Name/Title)      **Date:**      

  -------------------------------------------- --------------------------

  ---------------------- ------------------------------------------------
  **IEE Amendment        If "Yes," Date of Original IEE:      
  (Y/N):**               

  ---------------------- ------------------------------------------------

+-----------------------------------------------------------------------+
| **[ENVIRONMENTAL ACTION RECOMMENDED:]{.underline}** (Place X where    |
| applicable)                                                           |
+-----------------------------------------------------------------------+
| **Request for Categorical Exclusion(s):** activities have no adverse  |
| effect (i.e., training, technical assistance; [not to                 |
| include]{.underline} any infrastructure rehabilitation.)              |
+-----------------------------------------------------------------------+
| **Negative Determination:** no significant adverse effects expected   |
| for activities which are well defined over life of the award.         |
|                                                                       |
| **[without]{.underline} conditions** (no special mitigation measures  |
| needed)                                                               |
|                                                                       |
| **[with]{.underline} conditions** (mitigation measures specified)     |
+-----------------------------------------------------------------------+
| **Positive Determination:** potential for significant adverse effect  |
| of one or more activities. Appropriate environmental review           |
| needed/conducted.                                                     |
+-----------------------------------------------------------------------+
| **Deferral:** elements not well defined; activities will not be       |
| implemented until amended IEE is approved. Briefly describe here:     |
+-----------------------------------------------------------------------+

**Environmental Media and/or Human Health Potentially Impacted**

(check all that apply):

*Air***;** *Water***;** *Land* **;** *Biodiversity* (specify) **;**
*Human Health* ; *Social* **;** *None*

**Summary of Findings:**

Discrete activities to be implemented under the Title II program
include:

1.  [xxxxxxx]{.mark}

2.  [xxxxxxx]{.mark}

3.  [xxxxxxx]{.mark}

4.  ...

The IEE 1) classifies all activities under an award according to level
of adverse impact to the environment (i.e., natural and physical
environment and the relationship of people with that environment (NEPA
Section 1508.14)) and 2) develops mitigation measures to minimize or
eliminate risk for activities having direct, indirect or cumulative
impacts.

Briefly describe (in 1 or 2 paragraphs) the activities being implemented
or proposed and those deferred. Justify the reason for the recommended
action(s) and cite appropriate sections of Reg. 216 as needed. For IEEs,
reproduce here the Summary from Section 5 of the IEE narrative, and/or
Section 2 of the Request for Categorical Exclusion.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**USAID APPROVAL OF ENVIRONMENTAL ACTION(S) RECOMMENDED:**

**Clearance:**

Mission Director:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Food for Peace Director:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Concurrence:**

DCHA Bureau Environmental Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Approved:

Disapproved:

**Optional Clearances:**

FFP Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Mission Food for Peace Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Mission Environmental Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Regional Environmental Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Geographic Bureau Environmental Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

General Counsel:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

### REQUEST FOR A CATEGORICAL EXCLUSION

1\. **Background and Activity Description**

> More in-depth information than what was provided on the cover sheet,
> especially if activities are relatively diverse, complex, and likely
> to operate for several years. This will allow the environmental
> recommendation to be more self-explanatory and free-standing,
> especially for the BEO's record keeping and tracking purposes.

2\. **Justification for Categorical Exclusion Request**

Refer to appropriate guidance from Reg. 216, especially 22 CFR 216.2(c)

**TITLE II INITIAL ENVIRONMENTAL EXAMINATION**

**[Program/Project Data:]{.underline}**

MYAP/SYAP Program/Activity:

CS Name, Country/Region:

**1. BACKGROUND AND ACTIVITY DESCRIPTION**

**1.1 Background**

**1.2 Description of Activities**

**1.3 Purpose and Scope of IEE**

**2. COUNTRY AND ENVIRONMENTAL INFORMATION (BASELINE INFORMATION)**

**2.1 Locations Affected**

**2.2 National Environmental Policies and Procedures (of host country
both for environmental assessment and pertaining to the sector)**

**3. EVALUATION OF ACTIVITY/PROGRAM ISSUES WITH RESPECT TO ENVIRONMENTAL
IMPACT POTENTIAL**

**4. RECOMMENDED MITIGATION ACTIONS (INCLUDING MONITORING AND
EVALUATION)**

**4.1 Recommended IEE Determination**

**4.2 Mitigation, Monitoring, and Evaluation**

***FOR UMBRELLA IEE, THE FOLLOWING MIGHT BE USED:***

**4.1 Recommended Planning Approach**

**4.2 Environmental Screening and Review Process**

**4.3 Promotion of Environmental Review and Capacity Building
Procedures**

**4.4 Environmental Responsibilities**

**4.5 Mitigation, Monitoring, and Evaluation**

**5. SUMMARY OF FINDINGS**

**5.1 Environmental Determinations**

**5.2 Conditions**

**TITLE II INITIAL ENVIRONMENTAL EXAMINATION**

**[Program/Project Data:]{.underline}**

MYAP/SYAP Program/Activity:

CS Name, Country/Region:

> The following narrative should be organized around the major activity
> sub-headings, if the activity categories are rather distinct, e.g.,
> road construction, agricultural development, and irrigation works. As
> in sample IEEs (EPTM, Annex D.3 & D.4), treat each major activity
> under each section. Previously approved IEE from the Africa region are
> found at [www.encapafrica.org](http://www.encapafrica.org/), "IEE
> Archives". Alternatively, one could organize by activity and then each
> major heading would cover the Sections 1 to 4. The summary in Section
> 5 is to cover all categories addressed, with an overview of the
> summaries at the end.
>
> **If you are preparing an "Umbrella" IEE, please refer to EPTM Annex
> D.5 for the detailed description of what the outline might include.**

**1.0 BACKGROUND AND ACTIVITY DESCRIPTION**

> Describe why the activity is desired and appropriate, and outline the
> key activities proposed for Title II funding. A current activity
> description should be provided and the purpose and scope of the IEE
> indicated (amendment, why needed, what it covers).

**2.0 COUNTRY AND ENVIRONMENTAL INFORMATION**

> This section is critical and should briefly assess the current
> physical environment that might be affected by the activity. Depending
> upon the activities proposed, this could include an examination of
> land use, geology, topography, soil, climate, groundwater resources,
> surface water resources, terrestrial communities, aquatic communities,
> environmentally sensitive areas (e.g., wetlands or protected species),
> agricultural cropping patterns and practices, infrastructure and
> transport services, air quality, demography (including population
> trends/projections), cultural resources, and the social and economic
> characteristics of the target communities.
>
> The information obtained through this process should serve as an
> environmental baseline for future environmental monitoring and
> evaluation. Be selective in the country and environmental information
> you provide, as it should be specific to the activity being proposed
> and more information is not necessarily better.
>
> Finally, indicate the status and applicability of host country,
> Mission, and CS policies, programs and procedures in addressing
> natural resources, the environment, food security, and other related
> issues.

**3.0 EVALUATION OF ACTIVITY/PROGRAM ISSUES WITH RESPECT TO
ENVIRONMENTAL IMPACT POTENTIAL**

> This section of the IEE is intended to define all potential
> environmental impacts of the discrete activities whether they are
> considered direct, indirect and/or cumulative over the life of the
> activity including design and operation as well as reasonable
> provisions for program close-out. Be clear and concise in the
> organization of this section.
>
> According to NEPA, direct effects or impacts, are caused by the action
> and occur at the same time and place. Indirect impacts, are caused by
> the action and are later in time or farther removed in distance, but
> are still reasonably foreseeable. Indirect impacts may include
> growth-inducing impacts and other impacts related to induced changes
> in the pattern of land use, population density or growth rate, and
> related effects on air and water and other natural systems, including
> ecosystems.
>
> As a review, environmental impact is based upon both the 1) underlying
> or "baseline" condition of the surrounding environment (e.g., depth to
> water table, degree of slope and stability of soil) and 2) the nature
> of the activity itself (e.g., solid waste removal, road
> construction/rehabilitation). It is logical when developing an IEE to
> cluster the mitigation measures for those activities that are of a
> similar nature and have comparable underlying conditions (e.g., well
> rehabilitation in a peri-urban setting). It is also commonsense,
> however, that for those activities that are of similar nature (e.g.,
> well rehabilitation), but operating under widely different underlying
> environmental conditions (e.g., peri-urban setting vs. upland plateau
> vs. coastal plain), that the environmental mitigation measures would
> not be entirely clustered. In this illustrative case, protection of
> the water source from automobile oil contamination would be more
> relevant in a peri-urban setting while salinization would be more so
> in a coastal plain. In contrast, there will be several mitigation
> measures for well rehabilitation that will be common across all wells
> (i.e., prevention of disease vector breeding sites and protection from
> human or animal waste contamination) and hence clustered in the IEE.

**4.0 RECOMMENDED MITIGATION ACTIONS (INCLUDING MONITORING AND**

**EVALUATION)**

> For each proposed activity or major component recommend whether a
> specific intervention included in the activity should receive a
> categorical exclusion, negative determination (with or without
> conditions), positive determination, etc., as well as cite which
> sections of Reg. 216 support the requested determinations.
>
> Recommend what is to be done to avoid, minimize, eliminate or
> compensate for environmental impacts. For activities where there are
> expected environmental consequences, appropriate environmental
> monitoring and impact indicators should be incorporated in the
> activity's monitoring and evaluation plan.
>
> Mitigation measures for direct, indirect and/or cumulative impacts of
> discrete activities must include the design and operation phases as
> well as reasonable provisions for program close-out. It is expected
> that the close-out component of this plan will adaptively developed
> over the course of the program as reported in the annual Environmental
> Status Report (ESR).

**5.0 SUMMARY OF FINDINGS**

> This should summarize the proposed environmental determinations and
> recommendations.

**TITLE II ENVIRONMENTAL STATUS REPORT FACESHEET**

**Title of MYAP or SYAP:**      

**FFP Grant Number:**      

**Country/Region:**      

**Implementing Partner:**      

  ------------------------- ----------------------- ----------------------
  **Funding Begin:**        **Funding End:**        **LOA Amount:** \$

                            **Sub-Activity          
                            Amount:** \$            
  ------------------------- ----------------------- ----------------------

+------------------------+----------------------+---------------------+
| **Resource Levels:**   | **Commodity:**       |                     |
|                        | MT                   |                     |
+------------------------+----------------------+---------------------+
| **Monetization**       | **202(e):** \$       | **ITSH:** \$        |
|                        |                      |                     |
| **Request: \$**        |                      |                     |
+------------------------+----------------------+---------------------+

  -------------------------------------------- --------------------------
  **ESR Prepared by:**       (Name/Title)      **Date:**      

  -------------------------------------------- --------------------------

  -------------------------- --------------------------------------------
  **Date of Previous ESR:**  **Date of Most Recent IEE:**      
                             **Contact:**      

  -------------------------- --------------------------------------------

**A. Status of the IEE/Categorical Exclusion/EA**

> **No revisions** or modifications needed. IEE/CE or CE and all
> activities still applicable

**Amended IEE** submitted, based on attached report, summary, etc.,
(referencing the body).

**EA/PEA** needs to be amended to cover additional or modified
activities. \[Note: If yes, immediately notify the MEO, REO (where one
exists) or the DCHA BEO\]. Amended EA or PEA submitted, based
on\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_.

**B. Status of Fulfilling Conditions in the IEE, including Mitigative
Measures and Monitoring**

> Environmental Status Report describing compliance measures taken is
> attached.
>
> For any condition that cannot be satisfied, a course of remedial
> action has been provided within an IEE Amendment. \[Note: For
> conditions under an EA, consult the MEO, REO (where one exists) and/or
> BEO\].

**USAID APPROVAL OF ENVIRONMENTAL STATUS REPORT:**

**Clearance:**

Mission Environmental Officer:\*
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Food for Peace Officer:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_[\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

DCHA Bureau Environmental Officer:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}\_\_\_\_\_\_\_\_\_\_\_\_ Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\*or USAID Environmental Representative, such as Regional Environmental
Advisor, if MEO does not exist.

**6. ENVIRONMENTAL STATUS REPORT (ESR) REPORT INSTRUCTIONS AND FORMAT**

In 2-10 pages or less, the Environmental Status Report should indicate
whether steps need to be taken to amend previous environmental
documentation and whether conditions are being met, e.g., mitigation
plans are on schedule and the monitoring and evaluation measures being
undertaken by the Cooperating Sponsor. In a Mission\'s comments and/or
approval cable to DCHA/FFP, the Mission should state whether it concurs
with the Environmental Status Report.

**Section A. Status of the IEE/Categorical Exclusion/EA**

Use the answers to the following questions to determine if the status of
the IEE has changed.

Use the same instructions for a Categorical Exclusion submission in the
event all CS activities were Categorical Exclusions.

If any activities are covered under an Environmental Assessment (EA)
which is typically activity or site-specific or a broader sectoral,
thematic or geographic Programmatic Environmental Assessment (PEA), the
questions below need to be interpreted in the context of the specific
activity, sector or area.

**A1.** **Modified or New Activities:**

Have new activities been added or activities substantially modified?

Note what these are and reference an amended IEE, if the MYAP or SYAP
has an approved IEE. Reference a Categorical Exclusion Document in the
event the MYAP or SYAP required only a Categorical Exclusion Document
and the new/modified activities are also categorically excluded. If they
are not, a full IEE will need to be prepared.

Note: An amended MYAP or SYAP requires an IEE Amendment. Also remember
that activities can be changed or added that do not require a MYAP/SYAP
amendment, but which do alter Reg. 216 threshold decisions and would
thus require an IEE Amendment.

**A2.** **Resolution of Deferrals:**

Did the previous IEE have deferrals? List these.

State if they are being resolved through an amended IEE to be submitted
with this year\'s activity. If not, indicate when an amended IEE will be
submitted in order to be able to go ahead with the activities.

If the deferred activities have been dropped from the sponsor\'s
program, amend the current IEE to state that and recommend to the BEO
that the deferral is no longer applicable.

**A3.** **Conditions:**

If experience has shown that conditions in the IEE cannot be complied
with, note and reference an amended IEE, which discusses what substitute
conditions are recommended in order to comply with the spirit of the
original conditions (to avoid or reduce environmental effects).

Many conditions in IEEs relate to **Mitigation and Monitoring.** If
based on Section B2 below, it proved not feasible to carry out all
mitigation and monitoring and the sponsor desires to change the
conditions for mitigation and monitoring spelled out in the IEE, discuss
and reference an amended IEE.

**A4.** **Amendments:**

> Based on the above, is an amended IEE needed?

Yes (If yes, attach here.) No

> If the previous documentation was a Categorical Exclusion Submission,
> is an amended Categorical Exclusion needed to deal with new
> Categorical Exclusions for new activities?
>
> Yes (If yes, attach here.) No Not Applicable
>
> Is the CS unable to meet recommendations and/or conditions that are
> part of an EA or does the Sponsor believe an EA or PEA needs to be
> amended to cover additional or modified activities?
>
> Yes No Not Applicable
>
> If yes, immediately notify the MEO, REO (where available) or the DCHA
> BEO.

**A5.** Remember it is necessary to obtain the Mission's concurrence on
an Environmental Status Report prior to proposal approval. Be sure to
complete the ESR Facesheet. Proceed to Section B.

**Section B. Status of Fulfilling Conditions in the IEE, including
Mitigative Measures and Monitoring**

> Take this opportunity to re‑evaluate your mitigation and monitoring
> plan. Make sure the commitments made in the IEE are doable and
> realistic, in other words, not beyond the capabilities and resources
> of the CS to implement. Mitigation and monitoring can be part of
> normal visits to an area to check on activities, unless specific
> testing, surveys or the like have been required. Alternatively,
> experience to date may indicate that the IEE\'s mitigation and
> monitoring plan is not sufficiently specific or is lacking in some
> respect. If conditions or mitigation and monitoring are part of an
> activity-specific EA or sectoral PEA, the instructions below still
> apply.

**B1.** For each component of the program, list or reproduce (as an
Annex to this report) the mitigative measures and monitoring or other
conditions. \[For activities placed under an umbrella process according
to EPTM Annex G, do not reproduce the standard Environmental Screening
Form and Review conditions; follow instructions at B3 below.\]

**B2.** Describe status of complying with the conditions. Examples of
the types of questions a Sponsor should answer to describe \"status\"
follow.

> 1\) What mitigative measures have been put in place? How is the
> successfulness of mitigative measures being determined? If they are
> not working, why not? What adjustments need to be made?
>
> 2\) What is being monitored, how frequently and where, and what action
> is being taken (as needed) based on the results of the monitoring? In
> some situations, a CS will need to note that the monitoring program is
> still being developed with intent to satisfy the conditions.
> Alternatively, it could happen that the conditions cannot be achieved
> because of various impediments.
>
> Sponsors are encouraged to construct table(s) of relevant status
> indicators. Inclusion of photos (compressed to screen resolution) to
> demonstrate mitigation measures and challenges encountered is
> encouraged.
>
> **For any conditions that cannot be satisfied, propose a course of
> remedial action and amend the IEE.** In the case of an EA, consult the
> MEO, REO (where available), and the DCHA BEO, as amending an EA is a
> more elaborate process.

**B3.** If the CS is using Environmental Management Forms and
environmental reviews, prepare: i) a table listing the ESFs prepared and
submitted; (ii) the Category(ies) the activity(ies) was\\were placed in;
and (iii) whether the ESF has been approved by the MEO. For any Category
2 or above activities, the chart should include the status of the
Environmental Reviews, e.g., in preparation; submitted to MEO; approved
by MEO; MEO referred to REO and BEO; and the date of approval by MEO or
by REO or BEO, if appropriate.

**Section C. Cooperating Sponsor Recommendations for Beyond Compliance
and Institutionalization of Environmentally Sound Practices**

Please outline plans or recommendations (in a page or less) for
institutionalizing environmentally sound design and management practices
in future activities of a similar nature.

7.  **ENVIRONMENTAL MANAGEMENT FORM TEMPLATES**

**Table 1: Overview of Mitigation and Monitoring of Negative
Determination with Conditions Activities**

+----+-----+-----------------+-------------+----------+-------+----+
| ** | *   | **Potential     | *           | **Moni   | **    | ** |
| Ac | *Su | Environmental   | *Mitigation | toring** | Monit | Re |
| ti | b-A | Impact and      | Measures**  |          | oring | sp |
| vi | cti | Causes**        |             | **       | F     | on |
| ty | vit |                 |             | (Suggest | reque | si |
| ** | y** |                 |             | Indic    | ncy** | bi |
|    |     |                 |             | ators)** |       | li |
|    |     |                 |             |          |       | ty |
|    |     |                 |             |          |       | ** |
+====+=====+=================+=============+==========+=======+====+
|    |     |                 |             |          |       |    |
+----+-----+-----------------+-------------+----------+-------+----+
|    |     |                 |             |          |       |    |
+----+-----+-----------------+-------------+----------+-------+----+

**Table 2: Table of Status of Environmental M&E Indicators over the
LOA**

<table>
<colgroup>
<col style="width: 22%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 4%" />
</colgroup>
<tbody>
<tr class="odd">
<td><strong>MONITORING INDICATOR</strong></td>
<td colspan="2"><p><strong>Base</strong></p>
<p><strong>Line</strong></p></td>
<td colspan="4"><strong>YEAR 1</strong></td>
<td colspan="3"><p><strong>YEAR 2</strong></p>
<p><strong>Mid Term Evaluation</strong></p></td>
<td colspan="5"><strong>YEAR 3</strong></td>
<td colspan="4"><p><strong>YEAR 4</strong></p>
<p><strong>Final Evaluation</strong></p></td>
<td colspan="3"><strong>YEAR 5</strong></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2">Exp</td>
<td>Act</td>
<td>E/A</td>
<td colspan="2">Exp</td>
<td>Act</td>
<td colspan="2">E/A</td>
<td>Exp</td>
<td>Act</td>
<td>E/A</td>
<td colspan="2">Exp</td>
<td>Act</td>
<td>E/A</td>
<td colspan="2">Exp</td>
<td>Act</td>
<td>E/A</td>
</tr>
<tr class="odd">
<td colspan="22"><p><strong>Impacts</strong></p>
<p><em>(Data only available for Baseline, Mid-Term and Final Evaluation
Years)</em></p></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="22"><p><strong>Outcomes</strong></p>
<p><em>(Data only available for Baseline, Mid-Term and Final Evaluation
Years)</em></p></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="22"><p><strong>Outputs</strong></p>
<p><em>(Data available yearly)</em></p></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td colspan="2">%</td>
<td></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
<td colspan="2"></td>
<td></td>
<td>%</td>
</tr>
</tbody>
</table>

Exp: Expected; Act: Actual; E/A: Expected over Actual'