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

2. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 2 Review: the Preliminary Assessment in the EIA process 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) ACTIVITY IS OF MODERATE OR UNKNOWN RISK SIGNIFICANT ADVERSE IMPACTS POSSIBLE SIGNIFICANT ADVERSE IMPACTS VERY UNLIKELY 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) Phase II Phase I Understand proposed activity Why is the activity being proposed? What is being proposed? BEGIN FULL EIA STUDY STOP the EIA process

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

4. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 4 The Initial Environmental Examination (IEE) In this presentation, we use the IEE as an example of a preliminary assessment Basic IEE outline 1.Background & Activity Description 1.Purpose & Scope of IEE 2.Background 3.Description of activities 2. Country & Environmental information 1.Locations affected 2.National environmental policies & procedures 3. Evaluation of potential environmental impacts 4. Recommended threshold decisions & mitigation actions 1.Recommended threshold decisions & conditions 2.Mitigation, monitoring & evaluation Note: The IEE is very similar to preliminary assessments required by other donors and governments. !

5. 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 Assemble information Review screening results Sections 1-3 of the IEE Section 4 of the IEE Attach supplemental information Complete facesheet, sign & submit

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

7. 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.

8. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 8 Step A: GET READY! Review, research & gather information Assemble key information Review screening results Review Chapter 4 of EPTM May include biophysical, economic & social information, maps and photos. Figure out who you should talk to! (Per previous slide) (“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.

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

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

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

12. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 12 IEE Section 2: Country and Environmental Information IEE Section 3: Evaluation of Environmental Impact Potential IEE Section 1: Background and Activity Description 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! Step B: Conduct the Environmental Analysis Evaluate potential environmental impacts Use tools such as checklists, matrices, networks or overlays to assist in evaluating impacts. !

13. 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)

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

15. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 15 Step C: Write Conclusions, Mitigation and Monitoring Plan Note: Judging the significance of impacts 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. Contextual factors that tend to increase the significance of adverse impacts include: When the impact...

16. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 16 Step C: Write Conclusions, Mitigation and Monitoring Plan Note: Judging the significance of impacts 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. How can CONTEXT affect the significance of impacts? 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. Example: Context & Intensity What about INTENSITY? A 10-seat latrine is planned to serve 1000 persons/day

17. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 17 Step C: Write Conclusions, Mitigation and Monitoring Plan BEFORE YOU WRITE...  What are the impacts of constructin g my market access road? 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

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

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

20. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 20 RecommendationReg. 216 terminology Implications (if IEE is approved) No significant adverse environmental impacts NEGATIVE DETERMINATION Activity passes environmental review With specified mitigation and monitoring, no significant environmental impacts NEGATIVE DETERMINATION WITH CONDITIONS The activity passes environmental review on the condition that the specified mitigation and monitoring is implemented Significant adverse environmental impacts are possible POSITIVE DETERMINATION Do full EA or redesign activity Not enough information to evaluate impactsDEFERRAL You cannot implement the activity until the IEE is finalized Based on IEE section 3 & 4.b, make a recommendation for EACH activity... Step C: Write Conclusions, Mitigation and Monitoring Plan Recommended Determinations in the IEE

21. 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 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 For example... “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.”

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

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

24. ENCAP EA-ESD Training Course: Writing the Preliminary Assessment (IEE). Visit www.encapafrica.org. 24 Step D: Finalize & submit the IEE Attachments & facesheet Submit Finish summary table Attach supplemental information (Per previous slide) 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.

25. 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 Talk to more people. Revise & continue! 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.