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INITIAL ENVIRONMENTAL EXAMINATION PROJECT/ACTIVITY DATA

Project/ Activity Name: Regional Economic Integration (REI) PortfolioAmendment (Y/N): NImplementation Start/End: FY18-FY23 Solicitation/Contract/Award Number:

623-000

Implementing Partner(s): MultipleGeographic Location(s): East Africa RegionTracking ID & ECD link: Kenya East Africa Regional Economic

Integration Portfoliohttps://ecd.usaid.gov/document.php?doc_id=50583

Tracking ID/link of Related RCE/IEE (if any):

N/A

Tracking ID/link of Other, Related Analyses:

N/A

ORGANIZATIONAL/ADMINISTRATIVE DATA

Implementing Operating Unit(s): (e.g. Mission or Bureau or Office)

USAID/Kenya and East Africa

Funding Operating Unit(s): (e.g. Mission or Bureau or Office)

USAID/Kenya and East Africa

Funding Account(s): MultipleFunding Amount: $240 millionAmendment Funding Amount:

Amendment Funding Date:

Other Affected Unit(s): NALead BEO Bureau: AFRPrepared by: Kye Baroang, Courtney Ferraro, and Josh

Habib, The Cadmus Group LLC via GEMS ([email protected])

Date Prepared: Aug 2017. Revised, submitted 1/30/2018

ENVIRONMENTAL COMPLIANCE REVIEW DATA

Analysis Type: IEEEnvironmental Determination(s): Categorical Exclusions; Negative

Determinations with Conditions

https://ecd.usaid.gov/document.php?doc_id=50583


Additional Analyses/Reporting Required:

CRMEMMPs

Analysis Expiration Date: October 1, 2023

THRESHOLD DECISION MEMO AND SUMMARY OF FINDINGS

PURPOSE AND SCOPE OF THE INITIAL ENVIRONMENTAL EXAMINATIONThe purpose of this document, in accordance with Title 22, Code of Federal Regulations, Part 216 (22CFR216), 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 the entire portfolio of activities expected to be implemented by USAID/KEA under the Regional Economic Integration (REI) project. Upon approval, these determinations become affirmed, per 22CFR216 and specified conditions become mandatory obligations of implementation. This analysis also documents the results of the project/activity level Climate Risk Management process in accordance with USAID policy (specifically, ADS 201 mandatory reference 201mal_042817).

PROJECT/ACTIVITY SUMMARY This USAID/Kenya and East Africa (USAID/KEA) regional economic integration (REI) portfolio provides a strategic framework for a comprehensive and integrated approach to addressing regional trade, investment, inclusive agriculture sector growth, and resilience. For the REI Project, East Africa refers to the greater East Africa region. This includes the six member countries of the East African Community (EAC): Kenya, Tanzania, Uganda, Rwanda, Burundi and South Sudan, as well as Mauritius, Madagascar, and Ethiopia (known as EAC+). The project design is guided by the U.S. Strategy toward sub-Saharan Africa to promote food security, improve Africa’s trade competitiveness, encourage export diversification, change the perceptions of doing business in Africa, and ensure that the benefits from growth are broad-based. Specifically, the project will unite and expand U.S. Government (USG) engagement under the Trade Africa and Feed the Future (FTF) initiatives to address the most severe constraints to trade, investment, agricultural sector growth, and regional integration. The REI Project will also contribute to building resilience to drought in the region, drawing significantly upon the USAID Resilience Policy Guidance.

This REI Project’s purpose areas of increased trade, investment, and inclusive agriculture sector growth will be achieved through the following five sub-purposes:

● Sub-Purpose 1: Reduced barriers to regional and international trade;

● Sub-Purpose 2: Increased private sector competitiveness;

● Sub-Purpose 3: Strengthen institutional governance and accountability of regional institutions;

● Sub-Purpose 4: Strengthen technical and coordination capacity of regional institutions;

● Sub-Purpose 5: Foster innovative and evidence-based policies and solutions.

ENVIRONMENTAL DETERMINATIONS Upon approval of this document, the determinations become affirmed, per Agency regulations (22CFR216).

The following table summarizes the environmental determinations applicable to the specific projects/activities.

TABLE 1: ENVIRONMENTAL DETERMINATIONS

Projects/Activities

Categorical Exclusion

Negative Det.

Positive Det.

Deferral

Support for implementation of bilateral and multilateral trade commitments X

Improvement of regulatory frameworks, product, and systems that encourage financial integration and solutions that facilitate cross-border trade and increased access to financing for infrastructure and local entrepreneurs.

X

Support for development of regional finance policies, regulations, and frameworks for insurance products and payment systems.

X

Improvement of ability of policies to enable mobile banking to facilitate cross border trade and financing.

X

Intervention Category 1-B. Investment in, implementation support of, and domestication of policies that affect natural resource management (NRM) or local or regional environmental conditionsSupport for regional harmonization and domestication of agricultural policies and standards

X (with conditio

ns)Support for development and implementation of agricultural regulations and policies reducing restrictions on cross-border trade of

X (with conditio

ns)

agricultural inputs.Technical support to decrease non-tariff barriers (NTBs) and technical barriers to trade for agricultural goods.

X

Promotion of harmonized, transparent, and equitably applied laws and regulations regarding the testing and introduction of new seed varieties.

X

Intervention Category 2. Research, data collection, and information sharing to promote evidence-based and innovative approaches to regional economic growthDevelopment of evidence-based analysis of benefits to member states of regional policies.

X

Research on the development of policies and standards in food safety and pest and disease control (e.g., aflatoxin).

X

Establishment of centers of excellence, fostering of communities of practice, and cultivation of change agents.

X

Support for mutual learning and knowledge management among governments, stakeholders and development partners.

X

Support for communities of practice around specific issues such as trade and resilience to enable development partners to better coordinate their efforts and incorporate learning into future program design.

X

Development of a strong evidence base to facilitate scale-up and increased impacts of programs for food security, drought resilience, and economic growth.

X

Support for data quality, management, and sharing to disseminate innovations and best practices to communities of practice throughout the region.

X

Intervention Category 3-A. Technical assistance and capacity building that does not include instruction, training or guidance that is formulated to alter NRM practices or change local or regional environmental conditionsSupport for national export promotion agencies in developing new marketing and matchmaking strategies and

X

serving as a center of information for local firms on accessing international markets, as well as for importers and distributors of sourcing goods and services from Africa. Comprehensive organizational risk assessments of regional institutions to identify gaps in governance and accountability systems and inform future institutional capacity assistance and strengthen utilization of innovative and evidence-based policies and solutions.

X

Promotion of strengthened governance and accountability systems, improved program control and monitoring, increased institutional sustainability and improved strategic planning and analysis capacity.

X

Education of private sector firms about the opportunities made available through negotiated trade preferences, including under the African Growth and Opportunity Act (AGOA).

X

Strengthening the capacity of regional private sector and trade associations, including women’s associations, to increase members’ knowledge and skills, and to take advantage of new markets and opportunities.

X

Support for small to medium size enterprise organizational capacity to better exploit market opportunities.

X

Training for technical staff in regional institutions on moving from policy and program formulation to implementation.

X

Improved monitoring and evaluation systems for policy implementation. X

Promotion of technical leadership in developing regional policies for prioritized challenges.

X

Support of and tools for coordination of national governments, regional organizations, the private sector,

X

development partners and donors to improve regional trade and investment.Support for private sector associations to play a greater role in promoting direct business linkages and providing networking opportunities.

X

Intervention Category 3-B. Technical assistance and capacity building designed to increase the value of agricultural production through coordinated technology development, accelerated commercialization of regional priorities, and technical capacity on food security and agriculture issuesResearch to identify the appropriate Aflasafe strains for eleven African countries and subsequent Aflasafe commercialization.

X (with conditio

ns)

Facilitation of development of regional communities of practice to combat sanitary and phytosanitary (SPS) threats (e.g., Maize Lethal Necrosis (MLN) and aflatoxin) that limit production and intra-regional trade access.

X

Support to underfunded national research and extension systems. X

Increased access to and use of improved seeds and fertilizers through enabled cross-border movement of seeds and fertilizer.

X (with conditio

ns)

Promotion of regional approaches for improved access to high-quality agriculture inputs (seeds and fertilizer), more efficient trading platforms for both formal and informal trade, and regional trade policies that enhance the quantity and quality of agricultural production.

X (with conditio

ns)

Training for technical staff in regional institutions on moving from agriculture and food security policy and program formulation to implementation.

X

Support of and tools for coordination of national governments, regional organizations, the private sector, development partners and donors to improve regional agriculture.

X

Promotion of climate sensitive X (with

agriculture and trade policies, including Climate-Smart Agriculture (CSA), which is an integrative approach to address the interlinked challenges of food security and climate change.

conditions)

Promotion of gender-sensitive programming through promotion of agriculture trade investment to factor in gender challenges, with emphasis on women involved in agriculture and the informal sector.

X

Pre-investment support to help new business in target industries raise capital, through providing information to interested investors on prevailing opportunities in the region.

X

Support for National Statistics Agencies to collect and analyze trade data to provide key information to agricultural investors.

X

Support for development and adoption of commodity trading platforms for staple foods, livestock, and livestock products that can effectively address constraints related to mobile telecom interoperability across borders.

X

Promotion of investment in agriculture input suppliers and companies involved in food production and processing to promote food safety and aflatoxin control.

X (with conditio

ns)

Strengthening capacity of National Agriculture Research Institutes to access and adopt improved technologies, inputs, and best practices.

X

Intervention Category 3-C. Technical assistance and capacity building designed to facilitate infrastructure investment and improve efficiency of transport and transit infrastructureImprovement of operational efficiency of major ports. X

Acceleration of implementation of One Stop Border Posts, not including construction activities.

X

Facilitation of public-private X

partnerships that invest in infrastructure to increase trade of livestock and other commodities.Investment in improved hard infrastructure (e.g., ports, road, rail, and border posts), through pooled funding in TradeMark EA

X

Intervention Category 4. Small-scale construction/rehabilitation and operationsSmall-scale construction/rehabilitation of new trade infrastructure, including custom buildings along border areas or ports, in support of trade facilitation procedures at the national level.

X (with conditio

ns)

Small-scale construction/rehabilitation of administrative buildings in support of implementation of bilateral and multilateral trade commitments.

X (with conditio

ns)

Small-scale construction/rehabilitation of administrative or other support buildings in support of centers of excellence, fostering of communities of practice, and cultivation of change agents.

X (with conditio

ns)

Small-scale construction/rehabilitation of buildings to support improved efficiency of transport and transit infrastructure.

X (with conditio

ns)

CLIMATE RISK MANAGEMENTSection 4.2 outlines specific climate risks to project design and implementation, and opportunities to address those risks. Projections for East Africa suggest the region is expected to experience continued temperature, potential overall increase in annual precipitation, greater rainfall variability and extremes (including a larger percentage of rain falling in heavy rainfall events), and rising sea levels in the coming decades. Based on an analysis identifying the impacts of climate change and variability on potential activities, Table 4.2 captures the relevant climate risks and management measures (for those rated as moderate or high risk). While most entailed activities received a low risk rating, several agriculture-related activities were rated as having moderate climate risk. Additionally, all activities including infrastructure or construction received a high climate risk rating. The climate risks for all activities receiving either a moderate or high risk rating must be addressed at the project level and considered as part of activity-level design and implementation, as indicated in the completed columns of Table 4.2.

BEO SPECIFIED CONDITIONS OF APPROVALThe negative determinations recommended in this IEE are contingent on full implementation of specified conditions and a set of general monitoring and implementation requirements specified in Section 5 of the IEE. These require, in summary, (1) Implementing Partner (IP) briefings on environmental compliance responsibilities; (2) Development of EMMPs; (3) Integration and implementation of EMMPs in work plans and budgets; (4) Integration of compliance responsibilities in prime and sub-contracts and grant agreements; (5) Assurance of sub-grantee and sub-contractor capacity and compliance; (6) Health team environmental compliance monitoring; (7) 22 CFR 216 documentation coverage for new or modified activities; and (8) compliance with host country requirements.

IMPLEMENTATIONIn accordance with 22CFR216 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 Environmental Analysis, and any BEO Specified Conditions of Approval.

LIST OF ANNEXES

ANNEX A: ECOSYSTEMS AND BIODIVERSITY

ANNEX B. CONSTRUCTION RISK SCREENING AND CONDITIONS FOR PROJECTS WITH COMPLICATING FACTORS.

ANNEX C. ENVIRONMENTAL REVIEW FORM

1 Kenya East Africa Regional Economic Integration Portfolio IEE FY 2018- FY 2023

USAID APPROVAL OF INITIAL ENVIRONMENTAL EXAMINATIONPROJECT/ACTIVITY NAME: _Regional Economic Integration Project _________________

Approval: _____________________________________________Tina Dooley-Jones, Acting Mission Director, Kenya and East Africa

______________Date

Clearance _____________________________________________Bert Ubamadu, Acting Deputy Mission Director, Kenya and East Africa

______________Date

Clearance: _____________________________________________Lisa Walker, Office Chief, REI

______________Date

Clearance: _____________________________________________Lisa Walker, Deputy for Trade, REI

______________Date

Clearance: _____________________________________________Adam Norikane , Deputy for Agriculture

______________Date

Clearance: _____________________________________________Bert Ubamandu, Regional Legal Officer

______________Date

Clearance: _____________________________________________David Kinyua, Climate Integration Lead

______________Date

Clearance: ____________________________________________Warren Harrity, Program Officer

______________Date

Clearance ________________-Cleared-_________________________Roopa Karia, AFR Climate Integration Lead

___3/2/2018_____Date

Concurrence:

_____________________________________________[Brian Hirsch], Bureau Environmental Officer (required)

______________Date

File Name (AFR BEO): Kenya East Africa Regional Economic Integration Portfolio IEEECD Permalink: https://ecd.usaid.gov/document.php?doc_id=50583

1 Kenya East Africa Regional Economic Integration Portfolio IEE FY 2018- FY 2023


DISTRIBUTION: USAID/East REI Team A/CORs and Activity ManagersUSAID/East Africa Contracts OfficeUSAID/East Africa Strategic Planning and Analysis Office

2Kenya East Africa Regional Economic Integration Portfolio IEE FY 2018- FY 2023

1.0 PROJECT AND ACTIVITY DESCRIPTION

1.1 PURPOSE AND SCOPE OF IEE The purpose of this document, in accordance with Title 22, Code of Federal Regulations, Part 216 (22CFR216), 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 22CFR216 and specified conditions become mandatory obligations of implementation. This analysis also documents the results of the project/activity level Climate Risk Management process in accordance with USAID policy (specifically, ADS 201 mandatory reference 201mal_042817).

The IEE is a critical element of USAID’s mandatory environmental review and compliance process meant to achieve environmentally sound activity design and implementation. This environmental analysis addresses the entire portfolio of activities expected to be implemented by USAID/KEA under the Regional Economic Integration (REI) project. The project directly supports the development objectives of USAID/KEA’s Regional Development Cooperation Strategy (RDCS), which is being developed concurrently. The REI Project focuses on those aspects of the RDCS that contribute to the FTF and Trade Africa Presidential Initiatives, the Resilience Policy, and USAID Forward.

Implementing partners are responsible for monitoring the environmental mitigation measures for their program/activity per the conditions of the IEE. The Environmental Mitigation and Monitoring Plan (EMMP) describes the impacts identified in the IEE and the mitigation measures planned to minimize or eliminate the environmental impacts of project activities (ADS 204 Supplement Section 5).

This IEE replaces and supersedes the Mission’s previous regional economic growth and integration (REGI) IEEs; except that ongoing activities operating an approved EMMP may continue operating under that EMMP.

1.2 PROJECT OVERVIEW This USAID/Kenya and East Africa (USAID/KEA) regional economic integration (REI) portfolio provides a strategic framework for a comprehensive and integrated approach to addressing regional trade, investment, inclusive agriculture sector growth, and resilience. For the REI Project, East Africa refers to the greater East Africa region. This includes the six member countries of the East African Community


(EAC): Kenya, Tanzania, Uganda, Rwanda, Burundi and South Sudan, as well as Mauritius, Madagascar, and Ethiopia (known as EAC+). The project design is guided by the U.S. Strategy toward sub-Saharan Africa to promote food security, improve Africa’s trade competitiveness, encourage export diversification, change the perceptions of doing business in Africa, and ensure that the benefits from growth are broad-based. Specifically, the project will unite and expand U.S. Government (USG) engagement under the Trade Africa and Feed the Future (FTF) initiatives to address the most severe constraints to trade, investment, agricultural sector growth, and regional integration. The REI Project will also contribute to building resilience to drought in the region, drawing significantly upon the USAID Resilience Policy Guidance.

The REI project’s purpose is to increase trade, investment, and inclusive agriculture sector growth within the greater East African region. The project focuses on under-developed opportunities that take advantage of, reinforce and advance regional integration, and those barriers which impede sustainable economic growth and resilience. The project directly supports the development objectives of USAID/KEA’s Regional Development Cooperation Strategy (RDCS), which is being developed concurrently, especially those aspects of the RDCS that contribute to the Feed the Future (FTF) and Trade Africa Presidential Initiatives, the Resilience Policy, and USAID Forward. The project builds on significant gains in advancing regional integration and growth that have been achieved to date with USAID assistance, to propose the next stage of engagements needed to harness the benefits of a more fully integrated economy.

The REI Project covers a five-year implementation period (FY 2016-2021), at a total estimated cost of $240 million. It includes a suite of closely integrated and complementary activity mechanisms including contracts and grants, direct assistance to Regional Inter-Governmental Organizations (RIGOs), and targeted field support to promote increased trade, investment, and food security and strengthen East African institutions’ leadership and learning to ensure that project results are sustainable.

1.3 PROJECT DESCRIPTIONThis REI Project’s purpose areas of increased trade, investment, and inclusive agriculture sector growth will be achieved through the following five sub-purposes:

● Sub-Purpose 1: Reduced barriers to regional and international trade;

● Sub-Purpose 2: Increased private sector competitiveness;


● Sub-Purpose 3: Strengthen institutional governance and accountability of regional institutions;

● Sub-Purpose 4: Strengthen technical and coordination capacity of regional institutions;

● Sub-Purpose 5: Foster innovative and evidence-based policies and solutions.

The REI Project reflects and supports RDCS Development Objective 1 (DO 1), Sustainable Economic Growth Advanced, and Development Objective 3 (DO 3), East African Institutions’ Leadership and Learning Strengthened. The project’s purpose of increased trade, investment and inclusive agriculture sector growth is RDCS IR1.2; and the project’s sub-purposes are reflected in the RDCS sub-IR statements under IR1.2 of DO 1 as well as IR3.1, IR3.2, and IR3.3 under DO 3. This mapping of the REI Project Logical Framework (logframe) to the RDCS framework is reflected in Figure 1 below.

Figure 1: Mapping of REI Project Logframe to RDCS Framework

Table 2 shows the five sub-purposes along with the associated outputs.

TABLE 2: DEFINED SUB-PURPOSES AND OUTPUTS Sub-Purpose 1: Reduced barriers to regional and international trade


REI Project Logframe RDCS Framework

Sub-Purpose 1: Reduced barriers to trade

Sub-Purpose 2: Increase private sector competitiveness

DO 1: Sustainable regional economic integration advanced

IR 1.2: Increased trade, investment and inclusive agriculture

Sub-Purpose 3: Strengthen institutional governance and accountability of regional institutions

Sub-Purpose 4: Strengthen technical and coordination capacity of regional institutions

DO 3: East African institutions’ leadership and learning strengthened

IR 3.1: Institutional governance and accountability of regional institutions strengthened

IR 3.2: Technical and coordination capacity of regional institutions strengthened

Output 1.1: Improved efficiency of transport and transit infrastructureOutput 1.2: Enhanced implementation of trade facilitation proceduresOutput 1.3: Increased implementation of regionally harmonized agricultural policies and standardsOutput 1.4: Improved implementation of bilateral and multilateral trade commitmentsOutput 1.5: Improved regulatory environment for investment and financial sector strengthening policies, particularly related to regional digital financial integrationSub-Purpose 2: Increased private sector competitiveness to access regional and global marketsOutput 2.1: Increased business linkages to regional and international opportunitiesOutput 2.2: Improved capacity to take advantage of trade preferencesOutput 2.3: Increased investment for key sectorsOutput 2.4: Coordinated technology development and accelerated commercialization of regional prioritiesSub-Purpose 3: Institutional governance and accountability of regional institutions strengthenedOutput 3.1: Strengthened management systems of regional institutions including financial management, human relations, and information technology systemsOutput 3.2: Strengthened strategic planning and analysis capacity of regional institutionsSub-Purpose 4: Technical and coordination capacity of regional institutions strengthenedOutput 4.1: Strengthened technical capacity of regional institutions to develop and promote regional policiesOutput 4.2: Strengthened capacity of regional institutions to coordinate programming across the region with member states, donors, and other partnersSub-Purpose 5: Innovative and evidence-based policies and solutions fosteredOutput 5.1: Regional research, knowledge management, science, and technology advanced

The REI Project will strive to achieve these outputs through multiple mechanisms, including both direct and indirect support to regional intergovernmental organizations (RIGOs), and complementary efforts of 18 closely integrated ongoing and new mechanisms (or contracts), as shown in Table 3 below.

TABLE 3: REI ACTIVITY MECHANISMSActivity Type of Action Implementing

PartnerEast African Community (EAC) Assistance

Agreement EAC


TABLE 3: REI ACTIVITY MECHANISMSActivity Type of Action Implementing

PartnerCommon Market for Eastern and Southern Africa (COMESA) Assistance

Agreement COMESA

Intergovernmental Authority on Development (IGAD)

Assistance Agreement IGAD

New Mechanism on Agriculture Inputs (Agriculture Inputs mechanism to exercise the newly advanced COMESA enabling environment for trade in seed, fertilizer, and biotech)

TBD TBD

New Mechanism for Institutional Strengthening of RIGOs (Based on findings of ongoing Organizational Risk Assessments being conducted by the USAID/KEA Office of Financial Management)

TBD TBD

East Africa Trade and Investment Hub (EATIH) Contract

Development Associates International (DAI)

TradeMark East Africa (TMEA) Cooperative Agreement TMEA

Invest East Africa Cooperative Agreement

Mennonite Economic Development Associates (MEDA)

Africa Leadership Training and Capacity Building Program (Africa LEAD II) Contract DAI

Aflasafe Technology Transfer Field Support buy-in

International Institute for Tropical Agriculture (IITA)

Maize Lethal Necrosis (MLN) Control Field Support buy-in

International Maize and Wheat Improvement Center (CIMMYT)

Strengthening Agriculture and Resilience (STARR) through Regional Integration Contract TBD


Each mechanism consists of a specified set of activities or interventions that will be undertaken in support of increasing trade, investment, and inclusive agriculture sector growth. To facilitate environmental review of the REI portfolio, this IEE assesses potential environmental impacts and makes recommended determinations by intervention type (rather than at the mechanism or project level). For example, if numerous REI Projects entail a similar form of institutional capacity building—in, for example, governance and accountability systems—this type of capacity building will be discussed and assessed only once in this IEE and will apply across the portfolio. This approach limits redundancy (and length) and generally simplifies interpretation of the IEE by USAID staff and partners.

For the purposes of environmental review and compliance, interventions constituting the USAID/KEA REI portfolio are therefore consolidated into the following “intervention categories.”

1-A. Investment in, implementation support of, and domestication of policies or procedures with no direct impact on natural resource management (NRM) or local or regional environmental conditions

1-B. Investment in, implementation support of, and domestication of policies that affect natural resource management (NRM) or local or regional environmental conditions

2. Research, data collection, and information sharing to promote evidence-based and innovative approaches to regional economic growth

3-A. Technical assistance and capacity building that does not include instruction, training or guidance that is formulated to alter NRM practices or change local or regional environmental conditions

3-B. Technical assistance and capacity building designed to increase the value of agricultural production through coordinated technology development, accelerated commercialization of regional priorities, and technical capacity on food security and agriculture issues

3-C. Technical assistance and capacity building designed to improve efficiency of transport and transit infrastructure

Each intervention category encompasses a number of entailed activities; these are set out, and, where not self-explanatory, annotated in Section 3 of this IEE.


2.0 BASELINE ENVIRONMENTAL INFORMATION

SUMMARY OF GENERAL CONDITIONS IN EAST AFRICA1

East Africa is the fastest-growing sub-regional grouping in Africa.2 The population growth rate is accompanied by even greater economic growth, resulting in a relatively high anticipated per capita GDP growth rate of 3.5 percent.3 While East Africa is rich in biological diversity as well as substantial human and natural resources, the region remains susceptible to environmental and disease-related stresses.

Among the key threats are climate shocks, which can have both short- and long-term effects on the region (e.g., floods, storms, droughts and extreme heat events). Additionally, population, livestock and wildlife movements can lead to public health issues, possibly adding more stressors to the East African countries. The limited production and export of clean energy could lead to overuse and depletion of natural resources. Sustainable management of the environment and its natural resources is vital for economic growth, stability, and human well-being in East Africa. If managed properly, renewable natural resources, wildlife, watersheds, productive landscapes, and ecosystems can lead to sustainable economic growth and alleviate poverty in the region. Natural resource management provides sustainable livelihoods to millions and can generate sizeable tax revenue from productive sectors such as extractive industries, agriculture, tourism, and fisheries. These livelihoods and increased revenue together lead to a more resilient ecosystem and can provide a foundational and cost-effective buffer against extreme weather events and climate change.

East Africa has the potential to benefit significantly from ecotourism due to its high biodiversity. Biodiversity and trans-boundary ecosystems are essential for the long-term growth of other economic sectors as well, such as agriculture, forestry, fisheries, and mining. Harmonizing policies to maintain key habitats in trans-boundary ecosystems and protecting wildlife will be paramount to ensure these benefits can be realized. Regional cooperation is also necessary to ensure

1 As noted in Section 1.0, for the REI PAD, East Africa refers to the greater East Africa region. This includes the six member countries of the East African Community (EAC), Kenya, Tanzania, Uganda, Rwanda, Burundi and South Sudan, as well as Mauritius, Madagascar, and Ethiopia (known as EAC+).2 USAID East Africa Regional Development Cooperation Strategy (EA RDCS) 2016-20213 Refers to the growth rate for Rwanda, Burundi, Tanzania, Kenya and Uganda only, International Monetary Fund, Regional Economic Outlook for Sub-Saharan Africa, October 2016. (Taken from EA RDCS)


agricultural production and natural resources are appropriately managed. A table of East Africa’s notable and important transboundary ecosystems and protected areas are included in Table 7 of Annex A.

The East Africa region’s ecosystem integrity and economic development face a variety of threats, from forest and habitat degradation, overuse of natural resources, limited access to quality water, low energy use and rapidly changing demographics.4 Climate change in the region is projected to put additional pressure on natural resources and ecosystems. Warming of just 2 degrees Celsius could result in reductions in per capita income of 4 to 5 percent.5 With all these factors affecting the region, East African countries are at risk of facing water shortages, increased food insecurity, public health issues, changes in water quality, and decreases in biodiversity of both flora and fauna.

BASELINE ENVIRONMENTAL CONDITIONS:Population and Food Security

East Africa has seen significant population growth in recent years. For example, between 2005 and 2015, Burundi saw a 40 percent increase in population and Uganda saw a similar growth rate, increasing by nearly 11 million people.6 Population growth in Rwanda is expected to increase as well. South Sudan, however, is projected to see a continued decline in population due to the conflict between the government and opposition forces, which has led to an extended humanitarian crisis that has displaced millions of its people.

It is estimated that on a continuing basis, approximately 19.5 million people in East Africa face “stressed” to “crisis” levels of food insecurity.7 Particularly in the semi-arid and arid lands of Kenya, Ethiopia, Uganda, and South Sudan where emergency food aid and humanitarian assistance are routine. Gender inequalities, among other factors, can exacerbate food insecurity. In East Africa, although women contribute approximately 70 percent of agricultural labor and nearly 100 percent of household food preparation,8 they have little control over farm decision-making, resources or

4 Hecht, Joy E., J. Kahata, K. Vincent (2011). Key Considerations and Opportunities for a USAID Climate Change Program in the East African Region: Implications of the Costs Imposed by Climate Change in Three Ecoregions of East Africa. Prepared for USAID/KEA by International Resources Group.5 USAID East Africa Regional Development Cooperation Strategy 2016-2021 Page 76 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft 7 East Africa Regional Development Cooperation Strategy 2016-2021 Page 88 ASARECA, Gender Mainstreaming Strategic Plan, quoting FAO sources, 2009. (From RDCS Page 8)


income.9 These factors contribute to many women facing acute challenges in being able to combat food insecurity for their families.

Unfortunately, many areas with a surplus of food are contiguous with areas lacking food, and the transferred food does move efficiently or reliably between these areas, further highlighting food insecurity issues in East Africa. These areas of shortage tend to necessitate humanitarian assistance, largely due to issues of distribution: inefficient markets, borders and policies that restrict movement of staple foods and exacerbate fluctuations in prices. Regional initiatives, based on research and dissemination of results can be identified and adopted to alleviate the current pressures and allow for a market-based solution.

Water Quality and Quantity Changes

Water quality and quantity vary throughout East Africa, and both face a number of direct threats exist across the region. These threats include those posed by rapid population growth, poor land use planning, and climate change, all of which have contributed to over-abstraction of water resources.10 Sea level rise and temperature change, increased frequency of extreme weather events, habitat loss, flooding, and ocean acidification, driven by climate change, are also affecting East Africa’s coastal and marine areas. These factors are creating increased pressure on ecosystem services like water supply and watersheds management.

Population growth and limited or poor trans-boundary coordination of wetland areas have led to degradation from changes in hydrology, overuse and exploitation of water resources, increased salinity, and eutrophication. Driven by recent population growth, water resources management is unsustainable, and additional developments, such as the construction of dams for water supply, irrigation and hydro-electric power, are affecting the quality and quantity water resources. Industrial, tourism, and power infrastructure investments along the coast are also driving alteration of water type, flow, and quality in marine areas.

Climate change is also resulting in declining water levels in some lakes and rivers in the region. Several major trans-boundary rivers originate in the East Africa region, including both the Blue and White Nile, as well as the Congo, Ubangi, and Kasai.11 These rivers provide the source water to many dry regions of Africa and connect the

9 The Role of Women in Agriculture, United Nations Food and Agriculture Organization, March 2011. (From RDCS Page 8)10 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page V)11 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page 35)


East African water towers to their respective great lakes and/or the Indian Ocean. These rivers provide water for agriculture, household uses, transportation, and biodiversity, as well as the wetlands of inland and coastal deltas. East Africa’s Great Lakes are affected by deforestation, agricultural and industrial pollution, urban waste water, and overfishing, making them some of the world's most endangered water systems.

Land Use Changes

Deforestation and agricultural development, as well as mineral and fossil fuel extraction, have resulted in loss of habitat and land use change in East Africa. These activities can damage ecosystems if not managed sustainably. The fundamental causes of deforestation and land degradation include inadequate efforts to implement sustainable management because of economic, social, and institutional constraints as well as the growing demand for land and forest products. For example, between 1997 and 2005, timber production in Tanzania grew by 1,400 percent to meet increasing demand.12 The use of charcoal has been a major contributor to this, as it continues to provide low-income populations in East Africa with a reliable, convenient and accessible source of energy for cooking at a stable cost. In Uganda for example, 90 percent of the people use charcoal for cooking, resulting in 80,000 hectares of forests being cleared every year for unsustainable charcoal production.13 Meanwhile, Tanzania burns 1 million tons of charcoal each year, which amounts to clearing more than 300 hectares (about 750 acres) of forest every day of the year.14

Agriculture makes up 80 percent of the goods traded in the East Africa region.15 The increase in population and other demographic changes has resulted in the conversion of forests for agriculture production to feed people, which has had significant consequences for forests and habitat. Such changes are exemplified in Kenya, where landless people have already converted significant forest areas into agriculture within water towers such as the Mau Forest Complex and Mount Elgon.

12 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page 52)13 UNEP, Greening the charcoal sector in Uganda, 2017, http://www.undp.org/content/undp/en/home/ourwork/environmentandenergy/projects_and_initiatives/greening-the-charcoal-sector-in-uganda.html (From page 52 of 118/119)14 Jean Kim Chaix, “Is a charcoal crisis looming for Tanzania?” The Charcoal Project, 19 January, 2010, http://www.charcoalproject.org/tag/tanzania/ (From page 52 of 118/119)15 East Africa Regional Development Cooperation Strategy 2016-2021 Page 6


USAID Feed the Future country programs in Tanzania, Ethiopia, Kenya, Rwanda, and Uganda have contributed to increased agriculture productivity, supplying more staple foods to regional markets through a variety of activities. However, toward the end of 2016, a drought reduced agricultural production in East Africa. The decline in production continued in 2017, affecting some countries, markedly Kenya.16 While increased agricultural development has supply and trade benefits, it also threatens land and forest resources through land-clearing for subsistence agriculture, intensification of livestock production, and the expansion of commercial agriculture.17

Forestry, Biodiversity, Protected Areas, and Endangered/Threatened Species

Forest coverage and trends vary throughout the region. Except for Burundi, East African countries all showed declines in forest area between 1990 and 2015.18 Even small declines in forest area can result in major impacts for a country, especially when the countrywide forest area is relatively small to begin with or when decreases in forest coverage occur in areas with high forest and biodiversity significance. For example, the Eastern Afromontane, which is a globally recognized biodiversity hotspot that stretches from Saudi Arabia to Mozambique and Zimbabwe, currently only has 30 percent of its original tropical forests.19 In another East Africa biodiversity hotspot, the coastal forests, approximately 90 percent of the original habitat has been lost while the remaining habitat areas have been left highly fragmented.20

East Africa is rich in ecosystem services, habitats, and species varieties. For example, Rwanda’s location at the heart of the Albertine Rift eco-region in the western arm of Africa’s Rift Valley makes it one of Africa’s most biologically diverse. It is home to some 40 percent of the continent’s mammal species (402 species), a huge diversity of birds (1,061 species), reptiles and amphibians (293 species), and higher plants (5,793 species).21 Meanwhile, the Albertine Rift straddles the borders of the Democratic Republic of Congo, Uganda, Rwanda, Burundi, and Tanzania and is one of the most biodiverse regions of the African continent. This region is home to 16 http://www.worldbank.org/en/region/afr/overview#1 17 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page 31)18 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page 29)19 Ibid20 World Wildlife Fund. (2011). The Forest and Woodlands of the Coastal East Africa Region. Washington: WWF.21 East African Community Biodiversity and Forestry webpage http://www.eac.int/sectors/environment-and-natural-resources/nrm/biodiversity-forestry


more than half of Africa’s birds, 40 percent of Africa’s mammals and about 20 percent of its amphibians and plants, and contains more vertebrate species than anywhere else on the continent.22 East Africa is also well-known for a high diversity of large terrestrial fauna, mainly in south-central Kenya, central Tanzania, southwestern Uganda, and northern Rwanda. Critically endangered and endangered species found in East Africa are provided in Annex A (Table 8) along species listed as highly vulnerable by the International Union for Conservation of Nature (IUCN) (Table 9).

Global Climate Change

As noted above, it is expected that Global Climate Change will increasingly impact all aspects of life and sectors in East Africa.23 Key climate impacts anticipated in the region include increasing temperatures, changing rainfall patterns and greater rainfall variability, increased severity and/or frequency of extreme weather events (e.g., storms, droughts, and heat waves), and rising sea levels.24 These climate change impacts are expected to threaten ecosystem services, water quantity and quality, availability of adequate food supplies, human and livestock health, species diversity, and habitats. Additional details are provided in the Climate Risk Management section 4.2.

The region’s per capita and total emissions of greenhouse gases (GHG) contribute relatively little to global climate change; however, the impacts are still serious. The region is plagued by high rates of deforestation and forest degradation, as well as land use change from shifting agriculture and extractive industries. The region is heavily dependent on wood fuels and charcoal for domestic energy consumption. Using traditionally inefficient processing methods, it takes six kilos of firewood to produce one kilo of charcoal. Tanzanians consume one million tons of charcoal annually, resulting in nine million tons of CO2 emissions.25 That is the equivalent of 40 typical coal-fired cement factories. Kenyan’s consumption of charcoal – and the resulting climate change impact – is higher.

Health and Safety

22 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft (Page 28)23 2011 REI IEE 24 USAID Climate Change Adaptation in East Africa (2012). https://www.climatelinks.org/sites/default/files/asset/document/east_africa_adaptation_fact_sheet_feb2012.pdf 25 Ibid


Sustainable economic growth and management of risks in East Africa are directly linked to strengthening regional health policies and systems. New pandemic threats, high-consequence endemic diseases, cross-border migration and fragmented health systems challenge the region and limit economic growth potential. The convergence of people, animals and the environment resulting from population and economic growth has led to the emergence of new, deadly infectious disease threats that will increase steadily in the coming decades.26 New disease emergence is significantly correlated with socio-economic factors that impact the environment, suggesting that the emergence of infectious diseases may result from human economic development.27 Large epidemics, in turn, have significant economic costs. Furthering this cycle, in ecologically fragile areas, population growth and inadequate access to health services can further stress land use and reduce economic productivity.

Controlling infectious disease among migrant populations is particularly challenging. However, the capacity to collect migration statistics and communicate them efficiently is severely constrained. More than 6 million East Africans are living with HIV/AIDS, and tuberculosis (TB) causes more than 600,000 deaths a year. Ethiopia, Kenya, Tanzania, and Uganda remain among the 22 “high-burden” countries for TB (cases per year are above 100 per 100,000). In East Africa, women are disproportionately infected with HIV. Infection rates among women between the ages of 15 and 24 are double that of their male peers.28 Polio is also a risk in the region, with wild polio virus still circulating in Somalia, leading to cross-border outbreaks such as the one in Kenya in 2013. Added to the high rates of maternal and child morbidity and mortality in the region, approximately 1 million children in conflict-torn areas are living without access to health services, presenting a risk for infectious disease control particularly among migrant populations, for whom health services are even more fragmented.

To stop the spread of cross-border infectious diseases, national governments, regional institutions, and international organizations must use regional platforms to collaborate and share health information quickly. Harmonizing health policies, regulations, and standards across the region is necessary to develop efficiencies in 26 Thomas, Mark Roland; Smith, Gregory; Ferreira, Francisco H. G.; Evans, David; Maliszewska, Maryla; Cruz, Marcio; Himelein, Kristen; Over, Mead. 2015. The economic impact of Ebola on sub-Saharan Africa: updated estimates for 2015. Washington, DC: World Bank Group.27 Asian Development Bank (2003): Assessing the Impact and Cost of SARS in Developing Asia: Asian Development Outlook 2003 Update, Hong Kong, China, Oxford University Press for the Asian Development Bank.28 Epidemiology Research International, Volume 2014, Article ID 417038, page 7. EAST AFRICA REGIONAL DEVELOPMENT COOPERATION STRATEGY 2016-2021


the health system. For example, the region faces challenges in financing health services, including underfunding, heavy reliance on donor and out-of-pocket financing, and limited availability and use of health insurance. Also, the absence of standardized accreditation and licensure agreements means that health workers are not free to move across borders to fill critical personnel gaps. A regional approach is needed to harmonize and strengthen these areas, as well as to address health care needs among transient populations, particularly along borders, and prevent and respond to infectious disease threats. In the health sector, mobile technology has provided family-planning text messages to women in Kenya and Tanzania and has offered health financing solutions. Working in partnership with regional intergovernmental organizations such as the EAC or Intergovernmental Authority on Development (IGAD), non-governmental organizations, the United Nations and other bilateral and multinational partners presents opportunities to leverage and maximize innovation and best practices to strengthen systems and increase resiliency in the region.

Community Demographics

Income, gender, and other social inequalities impede growth. In East Africa, per capita income growth has not been sufficient to reduce income inequality. While there are structural reasons for inequality, such as the fertility rate, policy reforms are needed to positively impact equality within the region. At the regional level, working to harmonize policies on inclusion and reduce restrictions on economic activity for women and marginalized groups will promote growth and development.

All countries in East Africa suffer from the effects of entrenched corruption. Most countries have fared poorly in the Transparency International Corruption Perception Index (CPI). Per the 2016 CPI, only Rwanda was in a relatively strong position, ranked 50 out of 176 countries. Kenya was ranked at 145 and Somalia ranked last. Corruption has a negative and persistent impact on inclusive economic growth and development as it diverts resources away from socially optimal investments. Corruption issues within national governments translate to regional institutions.

2.1 LOCATIONS AFFECTED AND CONTEXT Ongoing development challenges in East Africa include low economic growth rates, high rates of environmental degradation, food insecurity with recurring food emergencies, and inadequate transportation and communications infrastructure. The region also faces high population growth rates, and deficient social services, including poor water quality and quantity as well as strained public education and health systems. Poor institutional capacities leave the region unable to deal with these increasing challenges.


USAID/KEA supports a diverse range of regional programs across East Africa. Regarding planning and implementation of its programs, the Mission recently completed the mandatory Foreign Assistance Act sections 118/119 on Tropical Forests and Biodiversity USAID/KEA’s Feed the Future strategy presents the main framework, partners, and core investment areas to facilitate economic growth in the region. USAID/KEA will build upon existing regional partnerships to support their agenda of strengthening free trade areas that improve access to integrated regional markets. The East Africa region has numerous trans-boundary trade and production-related issues, which reinforces the need for harmonizing policies at the regional level. Movement of pests and diseases, droughts, and other factors that impact agriculture also cross borders and can benefit from regional cooperation. Partnering with African regional institutions to develop, design, and implement solutions is a top priority for the U.S. Government and a regional mission is best positioned to support these activities.

Protectionist policies by individual governments in the region, in particular with respect to staple foods, have restricted trade, exacerbated food insecurity, and hindered regional economic integration. Differing regulations and trade barriers make it prohibitive for producers to export to neighboring markets. Such restrictions on trade has the potential to raise costs for producers and consumers because of the inefficiency of the process. Inability to meet standards hinders access to regional and international markets.

Agricultural goods face particular non-tariff barriers and regulations that restrict the sector’s growth and ability to contribute to regional food security. Through investment in regionally harmonized policies and standards, USAID/KEA is contributing to an improved enabling environment for trade in both agricultural inputs and outputs. Recent examples include Common Market for Eastern and Southern Africa’s (COMESA)’s policies on biotechnology/biosafety and seed, the African Union InterAfrican Bureau for Animal Resources (AU-IBAR)’s Standard Methods and Procedures for Animal Health, and the EAC’s Food Security and Nutrition Strategy, harmonized standards for 22 staple foods, and common pest lists.

Unpredictable policies, limited market access, lack of regional integration, and difficulty in sourcing information and capital have discouraged investors seeking larger regional markets and economies of scale. The investment gap is a significant constraint to improving regional value chains and productive capacities for higher value-added products. Opportunities for Foreign Direct Investment and intra-regional investment are stifled without improvements to the regulatory environment and adequate access to finance. Bank financing has prohibitively high


collateral requirements, and lending rates and a broader range of investment instruments are needed to meet the needs of regional businesses.

2.2 APPLICABLE AND APPROPRIATE PARTNER COUNTRY AND OTHER INTERNATIONAL STANDARDS (E.G. WHO), ENVIRONMENTAL AND SOCIAL LAWS, POLICIES, AND REGULATIONS The USAID/KEA REI activities will be implemented across the greater region of Eastern Africa. USAID/KEA REI relies on the bilateral USAID Missions engagement with the national governments for the relevant environmental policies and procedures, Implementing partners will be required to adhere to pertinent and applicable host government policies and procedures where necessary. Relevant regional policies and laws are provided in Table 10 of Annex A.

To tackle the region’s natural resource management challenges and create effective maintenance of shared ecosystems, East Africa is utilizing trans-boundary, landscape-level agreements. Two shared ecosystem collaboration examples are 1) the Serengeti National Park (Tanzania) and the Masai Mara National Reserve (Kenya), and 2) the Greater Virunga Transboundary Collaboration between the DRC, Rwanda, and Uganda encompassing twelve national parks and reserves.

Governments across the greater East African region have established regional institutions to advance regional integration, address regional risks, and plan, coordinate, and lead regional development initiatives, notably including the EAC, COMESA, and IGAD. Strengthening the technical and managerial capacity of these regional institutions will result in the development of more technically sound regional policies and strategies and more effective and timely translation of those policies and strategies into national/local level regulations, laws, administrative procedures, and programs that have tangible development impacts on the lives of East Africans. Regional level priorities relevant to tropical forestry and biodiversity conservation are included in Table 11 of Annex A.

East African institutions, having been created to address the collective needs of their member states, are positioned to address these challenges as they promote integration and urge individual countries to implement policy reforms. Regional institutions must take a leadership role to ensure the long-term sustainability of these reforms and be informed and capable of responding to emerging trends. To address the challenges and sustain reforms, institutions must build technical capacity and strengthen their governance to coordinate and promote evidence-based policies. As member states gain confidence in the ability of regional institutions to develop and coordinate evidence-based policies, the process of approving and implementing regional policies to promote integration and development will become less politicized and more efficient.


3.0 ANALYSIS OF POTENTIAL ENVIRONMENTAL RISK29

This section describes the results of an analysis of activities/project elements for potential adverse environmental, social, and climate impacts.

Climate risks and mitigation. Climate change is a major factor in policy development as policies that are developed based on the current climate conditions may have little resilience or even be maladaptive under future climate conditions. Given the significant exposure to and risk from climate impacts in East Africa (as noted in Section 2), the development and implementation of policies, technical assistance, and capacity building activities are threatened by changing climate conditions. In particular, activities focused on agriculture and natural resources management face significant climate risks (e.g., extreme rainfall events, storms, droughts, changing rainfall patterns, and sea level rise). Broader economic growth and trade activities are also highly vulnerable to such risks. The risks that climate change poses to the activities are described in more detail in Section 4.2.

Additionally, activities and policies supported under the REI can also contribute to the increase of GHG emissions. Increased economic growth and trade can result in significant increases in energy production and consumption, increased transportation and associated infrastructure, and land use changes (e.g., deforestation). If not managed well, these activities can increase GHG emissions. Agriculture and livestock activities can also be sizable contributors to GHG emissions. For example, conversion of lands for agricultural production and the practice of burning to increase available carbon both contribute significant carbon dioxide emissions. Additionally, agricultural processes often use fossil fuels for plowing, planting, harvesting, and processing. Ruminants are also significant contributors of methane emissions during enteric fermentation, and their manure continues to emit GHGs. When fertilizers are applied, one percent of the nitrogen is typically emitted at N2O gases to the atmosphere.

As set out in Section 1.4, for the purpose of environmental review, USAID/KEA REI portfolio activities addressed by this IEE are grouped into the following intervention categories:

1-A. Investment in, implementation support of, and domestication of policies or procedures with no direct impact on natural resource management (NRM) or local or regional environmental conditions

29 Includes analysis of environmental, social, and climate risk19

Kenya East Africa Regional Economic Integration Portfolio IEE FY 2018- FY 2023

1-B. Investment in, implementation support of, and domestication of policies that affect natural resource management (NRM) or local or regional environmental conditions

2. Research, data collection, and information sharing to promote evidence-based and innovative approaches to regional economic growth

3-A. Technical assistance and capacity building that does not include instruction, training or guidance that is formulated to alter NRM practices or change local or regional environmental conditions

3-B. Technical assistance and capacity building designed to increase the value of agricultural production through coordinated technology development, accelerated commercialization of regional priorities, and technical capacity on food security and agriculture issues

3-C. Technical assistance and capacity building designed to improve efficiency of transport and transit infrastructure

4. Small-scale construction/rehabilitation and operationEach category contains a number of entailed activities. In sections 3.1 – 3.6, the entailed activities are described and their potential impacts discussed.

Section 3.1 Intervention Category 1-A. Investment in, implementation support of, and domestication of policies or procedures with no direct impact on natural resource management (NRM) or local or regional environmental conditions

Entailed activities. This intervention category consists of the following activities.

Investment in, implementation support of, and domestication of:

● Trade facilitation procedures at the national level (e.g., elimination of non-tariff barriers, such as price controls, arbitrary application of rules of origin, and import/export restrictions, etc.). This does not cover small-scale construction/rehabilitation activities.30

● Bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.). This does not cover small-scale construction/rehabilitation activities.31

30 Technical assistance that includes direct support to small-scale construction or rehabilitation of buildings or roads is subject to the conditions established under Invention Category 4.


● Regulatory frameworks, products, and systems that encourage financial integration and solutions that facilitate cross-border trade and increased access to financing for infrastructure and local entrepreneurs.

● Regional finance policies, regulations, and frameworks for insurance products and payment systems.

● Policies enabling mobile banking to facilitate cross-border trade and financing.

Potential Adverse Impacts

These activities will focus on the creation of an “enabling policy environment” to enhance and/or facilitate intra-regional trade and commerce. These policies in Intervention Category 1-A, which will help establish a more efficient legal and administrative framework for international trade, do not have a natural resource management (NRM) or environmental health and safety dimension. As such, they are not anticipated to have a discernible adverse impact the environment or NRM practices in East Africa, either direct or indirect. The activities therefore fall under 22 CRR §216.2(c)(2) and are eligible for a pre-determination of Categorical Exclusion from further analysis within this IEE. Activities that offer technical assistance, build capacity through training and education, provide analysis or academic studies and surveys, transfer information or data, do not have foreseeable impact on the environment unless the support leads to direct action or effects on the environment or social constructs.

Section 3.2 Intervention Category 1-B. Investment in, implementation support of, and domestication of policies that affect natural resource management (NRM) or local or regional environmental conditions

Entailed activities. This intervention category consists of the following activities.

Investment in, implementation support of, and domestication of:



● Regionally harmonized agricultural policies and standards (e.g., COMESA’s regionally gazetted policies on biotechnology/biosafety and seed, the African Union InterAfrican Bureau for Animal Resources (AU-IBAR)’s Standard Methods and Procedures for Animal Health, and the EAC’s Food Security and Nutrition Strategy, harmonized standards for 22 staple foods, and common pest list).

● Agricultural regulations and policies reducing restrictions on cross-border trade of agricultural inputs.

● Technical support to decrease non-tariff barriers (NTBs) and technical barriers to trade for agricultural goods (including livestock).

● Harmonized, transparent, and equitably applied laws and regulations regarding the testing and introduction of new seed varieties.

● Harmonized regional financing mechanisms for agricultural trade.


Unlike the type of policy-related efforts encompassed by Intervention Category 1-A, Intervention Category 1-B entails policy initiatives that are specifically designed to impact NRM, agriculture, and/or environmental decision making in East Africa.32 And although any adverse impacts would likely be indirect in nature, the relative influence of these types of policies on environmental outcomes warrants further consideration and potentially the establishment of particular conditions. Potential indirect impacts could be expected to stem primarily from an expansion of the agricultural economy based on streamlined or more efficient trade policies and processes. While this is indeed the stated objective of such interventions, an increase in agricultural production and/or the value of agricultural products is likely to lead to, among other changes, the conversion of new lands for cultivation; the construction or establishment of, for example, food processing facilities and storehouses; increased vehicle traffic needed to effect growing trade; and increased use of fertilizer, pesticides, and similar inputs.

A primary goal of these policy interventions is to align regulation, policies and financing mechanisms in response to several of the region’s most significant environmental and economic challenges, including the need for improved food security and a vibrant agricultural economy. Policies that inform or guide efforts in these sectors will need to reflect an awareness of potential adverse impacts and avoid pitfalls. A critical risk typically associated with policymaking efforts is that of “process capture,” in which the ability to develop balanced, well-informed regulation is compromised by a focus on one group’s interests or priorities or an emphasis on the lowest common denominator. In this regard, stakeholder 32 Direct support for agricultural practices are not covered in this intervention category, only support for agricultural trade, regulation, and policies.


consultation and input is critical to forming policies that are responsive to the needs of more than a single party, or a subset of elite voices. For example, an equitable allocation of shared water resources will depend in large part on a process in which the various interests or claimants are allowed an opportunity to participate. REI will strive to leverage deep social and technical expertise to prevent adverse outcomes as policies and regulations are developed and implemented.

Section 3.3 Intervention Category 2. Research, data collection and information sharing to promote evidence-based and innovative approaches to regional economic growth

Entailed activities. This intervention category consists of the following activities:

● Development of evidence-based analysis of benefits to member states of regional policies.

● Development of a strong evidence base to facilitate scale-up and increased impacts of programs for food security, drought resilience, and economic growth.

● Research on development of policies and standards in food safety and pest and disease control (e.g., aflatoxin).

● Establishment of centers of excellence, fostering of communities of practice, and cultivation of change agents. This does not cover small-scale construction/rehabilitation activities.33

● Support for data quality, management, and sharing to disseminate innovations and best practices to communities of practice throughout the region.

● Support for mutual learning and knowledge management among governments, stakeholders and development partners.

● Support for communities of practice (within and between disciplines) around specific issues such as trade and resilience to enable development partners to better coordinate their efforts and incorporate learning into future program design.




Activities encompassed by Intervention Category 2 will strengthen the REI portfolio and facilitate efforts in other intervention categories through access to and availability of information and analysis for improved program design and decision making. The dissemination of this type of information to other parties and stakeholders will further advance REI objectives through broader awareness of key issues, potential challenges, and proposed approaches. These activities will have no discernible adverse impact on the environment—direct or indirect—and are eligible for Categorical Exclusion under 22 CFR §216.2(c)2. This exclusion applies to research activities which may have an effect on the physical and natural environment (e.g., research on drought resilience and food security), but will not have a significant effect as a result of their being limited in scope as well as carefully controlled and monitored. The possible exception occurs when a grant or sub-award is made as part of these activities. Given that activities could extend beyond what is eligible for a Categorical Exclusion, the activity under which a this might occur is covered by a condition that an Environmental Review Form (ERF) must be completed (see Annex C).

Section 3.4 Intervention Category 3-A. Technical assistance and capacity building that does not include instruction, training or guidance that is formulated to alter NRM practices or change local or regional environmental conditions


● Support for national export promotion agencies in developing new marketing and matchmaking strategies and serving as a center of information for local firms on accessing international markets, as well as for importers and distributors of sourcing goods and services from Africa.

● Education of private sector firms about the opportunities made available through negotiated trade preferences, including under the African Growth and Opportunity Act (AGOA).

● Support for private sector associations to play a greater role in promoting direct business linkages and providing networking opportunities (e.g., through development of, and participation in, events like trade shows, buyer missions, and other sector-specific business exposure events).

● Strengthening the capacity of regional private sector and trade associations, including women’s associations, to increase members’ knowledge and skills, and to take advantage of new markets and opportunities.

● Support for small to medium size enterprise organizational capacity to better exploit market opportunities.


● Comprehensive organizational risk assessments of regional institutions to identify gaps in governance and accountability systems and inform future institutional capacity assistance and strengthen utilization of innovative and evidence-based policies and solutions.

● Promotion of strengthened governance and accountability systems, improved program control and monitoring, increased institutional sustainability and improved strategic planning and analysis capacity.

● Training for technical staff in regional institutions on moving from policy and program formulation to implementation (e.g., developing well-defined operational plans and budgets)

● Improved monitoring and evaluation systems for policy implementation.● Promotion of technical leadership in developing regional policies for

prioritized challenges.● Support of and tools for coordination of national governments, regional

organizations, the private sector, development partners and donors to improve regional trade and investment.


The technical assistance and capacity building activities comprising Intervention Category 3-A will help achieve REI objectives by increasing knowledge, skills, and efficacy in areas that do not pertain directly to NRM or directly impact environmental conditions in East Africa. Most of these technical assistance and capacity building efforts will have no discernible adverse impact on the environment—direct or indirect—and are eligible for Categorical Exclusion under 22 CFR §216.2(c)2.

However, some indirect adverse environmental impacts may result from certain types of capacity building activities. In particular, the promotion of commercial, market or value chain linkages and increased organizational capacity to exploit market and trade opportunities are expected to foster a more integrated business and commercial sectors, including for agriculture and other sectors relying on or affecting NRM. Implementers expect that these types of market changes will lead to enhanced agricultural production, strengthening incomes and food security. While these outcomes are consistent with REI objectives, such an increase in agricultural production and/or the value of NRM-related products is likely to lead to, among other changes, the conversion of new lands for cultivation; the construction or establishment of, for example, food processing facilities and storehouses; and increased use of fertilizer, pesticides, and similar inputs. Improved access to financial and business development services may generate indirect impacts in much the same way. Increased loan making and liquidity in the agriculture sector is


expected to support enhanced production, which can trigger a similar set of changes and challenges.

Section 3.5 Intervention Category 3-B. Technical assistance and capacity building designed to increase the value of agricultural production through coordinated technology development, accelerated commercialization of regional priorities, and technical capacity on food security and agriculture issues


● Research to identify the appropriate Aflasafe strains for eleven African countries and subsequent Aflasafe commercialization.

● Facilitation of development of regional communities of practice to combat sanitary and phytosanitary (SPS) threats (e.g., Maize Lethal Necrosis (MLN) and aflatoxin) that limit production and intra-regional trade access. (does not include provision of seeds)

● Support to underfunded national research and extension systems.● Increased access to and use of improved seeds and fertilizers through

enabled cross-border movement of seeds and fertilizer. (does not include provision of seeds)

● Increased knowledge of improved management of crops, livestock, soil, and water.

● Provide training for technical staff in regional institutions on moving from agriculture and food security policy and program formulation to implementation.

● Support of and tools for coordination of national governments, regional organizations, the private sector, development partners and donors to improve regional agriculture.

● Promotion of climate-sensitive agriculture and trade policies, including Climate-Smart Agriculture (CSA), which is an integrative approach to address the interlinked challenges of food security and climate change.

● Promotion of regional approaches for improved access to high-quality agriculture inputs (seeds and fertilizer), more efficient trading platforms for both formal and informal trade, and regional trade policies that enhance the quantity and quality of agricultural production. (does not include provision of seeds)

● Promotion of gender-sensitive programming through the promotion of agriculture trade investment to factor in gender challenges, with emphasis on women involved in agriculture and the informal sector.

● Pre-investment support to help new business in target industries (e.g., agriculture, manufacturing, and services) raise capital, through providing information to interested investors on prevailing opportunities in the region.


● Support for National Statistics Agencies to collect and analyze trade data to provide key information to agricultural investors.

● Support for development and adoption of commodity trading platforms for staple foods, livestock, and livestock products that can effectively address constraints related to mobile telecom interoperability across borders.

● Promotion of investment in agriculture input suppliers and companies involved in food production and processing to promote food safety and aflatoxin control.

● Strengthening capacity of National Agriculture Research Institutes to access and adopt improved technologies, inputs, and best practices.


The technical assistance and capacity building activities comprising Intervention Category 3-B will help achieve REI objectives by enhancing agricultural trade and production and improving capacity on agriculture-based economic development and food security policies and practices in East Africa. Facilitating agricultural trade in East Africa includes a combination of support to trade-related entities, policy initiatives, and targeted financial assistance. Such trade and agriculture-focused interventions present the risk of both direct and indirect adverse environmental impacts.

The potential adverse impacts associated with improved agronomic practices (e.g., gained through increased knowledge of crop, livestock, soil and water management as well as support to extension services) include, among others, the misuse or overuse of inputs (e.g., fertilizers and pesticides), worker safety hazards presented by farm machinery or processing equipment, and damage to natural habitats or sensitive ecosystems as additional land is brought under cultivation. The use of improved, potentially exotic seed varieties presents particular threat to biodiversity as they may out-compete native varieties; a significant concern for agricultural activities that may abut parks, preserves or other protected areas. While irrigation may improve yield and boost income in the near term, the inefficient use of ground or surface water resources may threaten long-term sustainability of farming operations and lead to conflict based on competing demands for limited water resources (e.g., from livestock, industry, and domestic uses). Overall sector growth, as well as targeted financial assistance, could encourage increased development of irrigation as well as increased mechanization, which can affect land use and sustainability.

As noted in previous intervention categories, development of an improved agricultural sector (including improved access to financial and business


development services and promotion of commercial, market or value chain linkages), can also be expected to lead to enhanced—if not expanded—farm production, including conversion of new lands for cultivation; the construction or establishment of food processing facilities and storehouses; and increased use of fertilizer, pesticides, and similar inputs. Likewise, support for resellers and marketers of agricultural products is intended to establish a stronger agro-input supply network, enabling increased farm output and likely expansion of farm operations.

As noted in Intervention Category 1-B, a primary risk associated with agriculture (and other) policy interventions is that of “process capture,” in which the ability to develop balanced, well-informed regulation is compromised by a focus on one group’s interests or priorities, or an emphasis on the lowest common denominator. Stakeholder consultation and input is critical to forming policies that are responsive to the needs of more than a single party, or subset of elite voices.

Procurement, promotion of, or training in the use of pesticides, which may be included as part of training and education of input suppliers or as integral components of value chains, can lead to environmental impacts (e.g., threats to waterways, animals, farmers, and bystanders).

Section 3.6 Intervention Category 3-C. Technical assistance and capacity building designed to facilitate infrastructure investment and improve efficiency of transport and transit infrastructure34


● Improvement of operational efficiency of major ports. ● Acceleration of implementation of One Stop Border Posts. This does not

include small-scale construction/rehabilitation activities.● Facilitation of public-private partnerships that invest in infrastructure to

increase trade of livestock and other commodities. ● Investment in improved hard infrastructure (e.g., ports, road, rail, and border

posts) (from RDCS), through pooled funding in TradeMark EA (USAID/KEA contribution less than 10 percent of total cost).




The technical assistance and capacity building activities comprising Intervention Category 3-C will help achieve REI objectives by improving infrastructure as well as efficiency and operations for transit and transportation in support of an improved market and environment for trade and business across East Africa. While these activities are not expected to include actual construction or infrastructure development, investment in construction and hard infrastructure projects can lead to significant impacts on the environment (e.g., landscape and habitat disturbance or destruction; changes to or impediment of water courses; increased air, water, and noise pollution; occupational and community health and safety hazards; over extraction of water resources; disturbance of wildlife migration corridors). Additionally, improved efficiency of major ports could result in increased use by land and sea vehicles, which could result in increased disturbance to land and water habitats as well as increased air, water, and noise pollution.

Section 3.7 Intervention Category 4. Small-scale construction/rehabilitation and operations


● Small-scale construction/rehabilitation of new trade infrastructure, including custom buildings along border areas or ports, in support of trade facilitation procedures at the national level.

● Small-scale construction/rehabilitation of administrative buildings in support of implementation of bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.).

● Small-scale construction/rehabilitation of administrative or other support buildings in support of centers of excellence, fostering of communities of practice, and cultivation of change agents.

● Small-scale construction/rehabilitation of buildings to support improved efficiency of transport and transit infrastructure.


The small-scale construction/rehabilitation and operations activities comprising Intervention Category 4 will help achieve REI objectives by establishing or rehabilitating the administrative, support, and functional buildings that house and enable the trade, economic growth, research and transport activities supported under REI. Construction itself has a well-known set of potential adverse impacts, which spans across nearly all types of construction and rehabilitation. Experience shows that these impacts are controllable below the level of significance with basic


good construction management practices, including occupational safety and health practices.

● Disturbance to existing landscape/habitat. Construction typically necessitates clearing, grading, trenching and other activities that can result in near-complete disturbance to the pre-existing landscape/habitat within the plot or right-of-way. If the plot or right-of-way contains or is adjacent to a permanent or seasonal stream/water body, grading and leveling can disrupt local drainage.

● Sedimentation/fouling of surface waters. Runoff from cleared ground or materials stockpiles during construction can result in sedimentation/fouling of surface waters, particularly if the site is located in proximity to a stream or water body.

● Standing water. Construction may result in standing water on-site, which readily becomes breeding habitat for mosquitoes and other disease vectors; this is of particular concern as malaria is endemic in much of Malawi.

● Occupational and community health and safety hazards. The construction process and construction sites present a number of hazards: fall and crush injuries, hazards from hand or power tools and equipment used in construction, and exposure to hazardous substances, such as solvents in paint, cement dust, etc.

● Increased Air and Noise Pollution can result during construction or rehabilitation from the actions of construction equipment and workers.

● Climate risk and mitigation. Infrastructure is mainly vulnerable to extreme weather events associated with climate variability and change. Siting is extremely important as inappropriately sited facilities may be threatened by landslides or flooding. Additionally, ancillary structures such as water supplies, can also be depleted by prolonged droughts. Climate considerations in design can help to address these vulnerabilities and reduce risk.

● Social. Construction may displace local inhabitants, or reduce their access to environmental resources. (For example, farmers’ income or subsistence may be reduced.) Construction on or near culturally important sites (cemeteries, worshipping areas, meeting places) may generate conflict with the local community. If the facilities provide a valuable service not available elsewhere (e.g., schools, healthcare facilities, potable water sources and other infrastructure), it may cause migration to the area. If local labor is not used, this may also generate resentment as unemployment is a challenge in most rural communities and adding people into a community can increase market prices for the duration of construction. Noise and dirt from the site may disturb surrounding inhabitants.

● Adverse impacts of materials sourcing. Construction requires a set of materials often procured locally: timber, fill, sand and gravel, bricks. Unmanaged


extraction of these materials can have adverse effects on the environment. For example, stream bed mining of sand or gravel can increase sedimentation and disturb sensitive ecosystems; purchase of timber from unmanaged or illegal concessions helps drive deforestation.)


4.0 ENVIRONMENTAL ANALYSIS

4.1 RECOMMENDED THRESHOLD DETERMINATIONS AND CONDITIONSThe recommended threshold determination is recommended using the following logic:

Categorical Exclusions. Activities with no foreseeable direct or indirect environmental impact and falling within the activities detailed as those qualifying for a pre-threshold determination of a categorical exclusion (22 CFR 216.2I). Are identified and will not be considered further. However, monitoring of activities for changes or unforeseen impacts must still be in place.

Negative Determinations. Activities designed with environmental mitigation measures in place or which have minimal environmental impact or indirect impacts beyond the control of USAID, are assigned a negative determination. For these activities, the expectation is that the proposed design is followed and the activity and monitoring of activities for effectiveness of mitigation measures included in the design and changes or unforeseen impacts must still be in place.

Negative Determinations with Conditions. Activities with low or moderate environmental impact requiring mitigation measures are assigned a negative determination with conditions. Conditions are those requirements or specific mitigation measures applicable to the project planning, implementation, and operation. Conditions are detailed for these activities in Section 5.

Pursuant to 22 CFR 216.2(C)(2), the following activities are categorically excluded from further environmental analysis, UNLESS they have a [foreseeable] effect on the natural or physical environment, either indirectly or directly.

(i) Education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as construction of facilities, etc.); (ii) Controlled experimentation exclusively for the purpose of research and field evaluation which are confined to small areas and carefully monitored; (iii) Analyses, studies, academic or research workshops and meetings;(v) Document and information transfers; (x) Support for intermediate credit institutions when the objective is to assist in the capitalization of the institution or part thereof and when such support does not involve reservation of the right to review and approve individual loans made by the institution; and


(xiv) Studies, projects or programs intended to develop the capability of recipient countries to engage in development planning, except to the extent designed to result in activities directly affecting the environment (such as construction of facilities, etc.).

Many REI activities are not direct biophysical interventions but involve policy and regulation assistance, training, capacity building, strengthening of government intuitions, planning, information dissemination, data analysis, coordination, and other forms of support and technical assistance (TA) to advance sustainable economic integration, growth, and resilience.

Some such activities cannot, however, be automatically assigned a Categorical Exclusion; their potential for indirect impacts must be considered. For example, TA to promote and strengthen agricultural markets may, if successful, incentivize farmers to clear additional land for agriculture as demand increases. Such land clearance is a foreseeable, environmentally consequential indirect impact, and a categorical exclusion would not apply. Accordingly, the following section considers the indirect impacts of potentially categorically excludable actions, and do not recommend a categorical exclusion when such impacts are foreseeable.

The following table summarizes the recommended determinations based on the environmental analysis conducted. Upon approval, these determinations become affirmed, per 22CFR216. Specified conditions become mandatory obligations of implementation per ADS 204. The environmental threshold decisions in this IEE are contingent upon full implementation of the following general implementation and monitoring requirements. USAID will ensure that applicable requirements are met. Climate risk analysis is detailed separately (Section 4.2), and threshold determinations are separate from climate risk categorization of high, moderate, or low risk.

TABLE 4: ENVIRONMENTAL THRESHOLD DECISIONS AND CONDITIONS (SAME AS TABLE 1 APPEARING IN THE EXECUTIVE SUMMARY AND APPROVALS SECTION)

Projects/Activities Determination (and Condition(s), where Necessary)

Intervention Category 1-A. Investment in, implementation support of, and domestication of policies or procedures with no direct impact on natural resource management (NRM) or local or regional environmental conditionsEnhanced implementation of trade facilitation procedures at the national level (e.g., elimination of non-tariff barriers, such as price controls, arbitrary application of rules of origin, and import/export restrictions, etc.). (No

Negative Determination

Some indirect environmental impacts may result from broad policy initiatives of this nature, which make this activity type ineligible for



construction / rehabilitation activities are covered by this intervention category)

Categorical Exclusion. However, the level of environmental risk associated with these activities and the technical and managerial resources upon which REI will likely draw in their implementation mean that any indirect adverse impacts are likely to be negligible, particularly in the context of more targeted NRM policy initiatives undertaken by REI. No conditions.

Support for implementation of bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.). (No construction / rehabilitation activities are covered by this intervention category)

Improvement of regulatory frameworks, product, and systems that encourage financial integration and solutions that facilitate cross-border trade and increased access to financing for infrastructure and local entrepreneurs.



§216.2(c)2(i): education, technical assistance or training programs except to the extent such programs include activities directly affecting the environment;

§216.2(c)(2)(iii): analyses, studies, academic or research workshops and meetings;

§216.2 (c)(2)(xiv) Studies, projects or programs intended to develop the capability of recipient countries to engage in development planning, except to the extent designed to result in activities directly affecting the environment (such as construction of facilities, etc.)

Improvement of ability of policies to enable mobile banking to facilitate cross border trade and financing.

Intervention Category 1-B. Investment in, implementation support of, and domestication of policies that affect natural resource management (NRM) or local or regional environmental conditions

Support for regional harmonization and domestication of agricultural policies and standards (e.g., COMESA’s regionally

Negative Determination, subject to the following Condition(s)



gazetted policies on biotechnology/bio-safety and seed, the African Union InterAfrican Bureau for Animal Resources (AU-IBAR)’s Standard Methods and Procedures for Animal Health, and the EAC’s Food Security and Nutrition Strategy, harmonized standards for 22 staple foods, and common pest list).

Policy development must integrate or otherwise reflect current data and analysis on regional environmental trends, including principles of sustainable NRM and GCC adaptation strategies in the policy documents. Data and analysis may be drawn from USAID, other bilateral donor agencies, International Financial Institutions, Multilateral Development Banks, or other internationally recognized research or development entity.

Support for development and implementation of agricultural regulations and policies reducing restrictions on cross-border trade of agricultural inputs.


Policy development must integrate or otherwise reflect current data and analysis on regional environmental trends, including principles of sustainable NRM and GCC adaptation strategies. Data and analysis may be drawn from USAID, other bilateral donor agencies, International Financial Institutions, Multilateral Development Banks, or other internationally recognized research or development entity.

Technical support to decrease non-tariff barriers (NTBs) and technical barriers to trade for agricultural goods (including livestock).

Negative Determination

Some indirect environmental impacts may result from broad policy initiatives of this nature, which make this activity type ineligible for Categorical Exclusion. However, the level of environmental risk associated with these activities and the technical and managerial resources upon which REI will likely draw in their implementation helps ensure that any indirect adverse impacts are likely to be negligible, particularly in the context of more targeted NRM policy initiatives undertaken by REI. No conditions.

Promotion of harmonized, transparent, and equitably applied laws and regulations regarding the testing and




introduction of new seed varieties.

The promotion of laws and regulations must take into account any potential direct adverse impacts on the physical environment and human health and safety arising from new seed varieties supported.

REI cannot introduce or support any bio-engineered products or GMOs (e.g., seeds, cuttings, etc.)without an amendment to this IEE and, as applicable, completion of USAID’s bio-safety review process. Additional information on USAID Bio-safety Procedures is available here (http://www.usaidgems.org/Documents/complianceTopics/Biosafety_5Feb2010.pdf).

Support for harmonized regional financing mechanisms for agricultural trade.





Intervention Category 2. Research, data collection, and information sharing to promote evidence-based and innovative approaches to regional economic growth

Development of evidence-based analysis of benefits to member states of regional policies.

Categorical ExclusionResearch on the development of policies and standards in food safety and pest and disease control (e.g., aflatoxin).



§216.2(c)2(i): education, technical assistance or training programs, except to the extent such programs include activities directly affecting the environment;


§216.2 (c)(2)(xiv) Studies, projects or programs intended to develop the capability of recipient

Establishment of centers of excellence, fostering of communities of practice, and cultivation of change agents. (No construction / rehabilitation activities are covered by this intervention category)Support for mutual learning and knowledge management among governments, stakeholders and development partners.

Support for communities of practice (within and between disciplines) around specific issues such as trade and resilience to enable development partners to better coordinate their efforts and incorporate learning into future program design.

Development of a strong evidence base to facilitate scale-up and increased impacts of programs for food security, drought resilience, and economic growth.


§216.2(c)1(iii): Research activities which may affect the physical and natural environment but will not have a significant effect as a result of limited scope, carefully controlled nature and effective monitoring;


§216.2(c)(2)(iii): analyses, studies, academic or research workshops and meetings





Projects/Activities Determination (and Condition(s), where Necessary)§216.2(c)(2)(iii): analyses, studies, academic or research workshops and meetings

Intervention Category 3-A. Technical assistance and capacity building that does not include instruction, training or guidance that is formulated to alter NRM practices or change local or regional environmental conditionsSupport for national export promotion agencies in developing new marketing and matchmaking strategies and serving as a center of information for local firms on accessing international markets, as well as for importers and distributors of sourcing goods and services from Africa.





Comprehensive organizational risk assessments of regional institutions to identify gaps in governance and accountability systems and inform future institutional capacity assistance and strengthen utilization of innovative and evidence-based policies and solutions.

Promotion of strengthened governance and accountability systems, improved program control and monitoring, increased institutional sustainability and improved strategic planning and analysis capacity.

Education of private sector firms about the opportunities made available through negotiated trade preferences, including under the African Growth and Opportunity Act (AGOA).


§216.2(c)2(i): education, technical assistance or training programs except to the extent such programs include activities directly affecting the environment

Strengthening the capacity of regional private sector and trade associations, including women’s associations, to increase members’ knowledge and skills, and to take advantage of new markets and opportunities. Support for small to medium size enterprise organizational capacity to better exploit market opportunities.



Training for technical staff in regional institutions on moving from policy and program formulation to implementation (e.g., developing well-defined operational plans and budgets)

Categorical Exclusion§216.2(c)2(i): education, technical assistance or training programs except to the extent such programs include activities directly affecting the environmentImproved monitoring and evaluation

systems for policy implementation.Promotion of technical leadership in developing regional policies for prioritized challenges.




Support of and tools for coordination of national governments, regional organizations, the private sector, development partners and donors to improve regional trade and investment.

Support for private sector associations to play a greater role in promoting direct business linkages and providing networking opportunities (e.g., through development of, and participation in, events like trade shows, buyer missions, and other sector-specific business exposure events).





Intervention Category 3-B. Technical assistance and capacity building designed to increase the value of agricultural production through coordinated technology development, accelerated commercialization of regional priorities, and technical capacity on food security and agriculture issues



Research to identify the appropriate Aflasafe strains for eleven African countries and subsequent Aflasafe commercialization.


REI cannot support the introduction of any bio-engineered products or GMOs (e.g., seeds, cuttings, etc.) without an amendment to this IEE and, as applicable, completion of USAID’s bio-safety review process. Additional information on USAID Bio-safety Procedures is available here (http://www.usaidgems.org/Documents/complianceTopics/Biosafety_5Feb2010.pdf).

Facilitation of development of regional communities of practice to combat sanitary and phytosanitary (SPS) threats (e.g., Maize Lethal Necrosis (MLN) and aflatoxin) that limit production and intra-regional trade access. (does not include provision of seeds)




Support to underfunded national research and extension systems.

Increased access to and use of improved seeds and fertilizers through enabled cross-border movement of seeds and fertilizer. (does not include provision of seeds)


REI cannot promote or support introduction of any bio-engineered or GMO products (e.g., seeds, cuttings, etc.) without an amendment to this IEE and, as applicable, completion of USAID’s bio-safety review process. Additional information on USAID Bio-safety Procedures is available here (


Projects/Activities Determination (and Condition(s), where Necessary)http://www.usaidgems.org/Documents/complianceTopics/Biosafety_5Feb2010.pdf).

Promotion of improved seeds and fertilizers must have the language requiring that suppliers 1) ensure appropriateness for the agro-climatic zone to which they are being introduced; 2) avoid introducing exotic invasive species; and 3) avoid providing or promoting genetically modified organisms (GMOs).

Non-native plants will not be introduced into protected areas.

The provision/distribution, promotion of, and training in use of fertilizers must conform to best practices outlined in the Africa Bureau Fertilizer Fact Sheet, available here (http://www.encapafrica.org/egssaa/AFR_Fertilizer__Factsheet_Jun04.pdf), including ensuring appropriate training on safe use, storage, handling, and disposal of fertilizers.

Promotion of regional approaches for improved access to high-quality agriculture inputs (seeds and fertilizer), more efficient trading platforms for both formal and informal trade, and regional trade policies that enhance the quantity and quality of agricultural production. (does not include provision of seeds)


Promotion of policies must integrate or otherwise reflect current data and analysis on regional environmental trends, including principles of sustainable NRM and GCC adaptation strategies. Data and analysis may be drawn from USAID, other bilateral donor agencies, International Financial Institutions, Multilateral Development Banks, or other internationally recognized research or development entity.







Support of and tools for coordination of national governments, regional organizations, the private sector, development partners and donors to improve regional agriculture.

Promotion of climate sensitive agriculture and trade policies, including Climate-Smart Agriculture (CSA), which is an integrative approach to address the interlinked challenges of food security and climate change.


Promotion of policies must integrate or otherwise reflect current data and analysis on regional environmental trends, including principles of sustainable NRM and GCC adaptation strategies. Data and analysis may be drawn from USAID, other bilateral donor agencies, International Financial Institutions, Multilateral Development Banks, or other internationally recognized research or development entity.




Pre-investment support to help new business in target industries (e.g., agriculture, manufacturing, and services) raise capital, through providing information to interested investors on


§216.2(c)2(i): education, technical assistance or training programs except to the extent such



prevailing opportunities in the region. programs include activities directly affecting the environment


Support for National Statistics Agencies to collect and analyze trade data to provide key information to agricultural investors.

Support for development and adoption of commodity trading platforms for staple foods, livestock, and livestock products that can effectively address constraints related to mobile telecom interoperability across borders.





Promotion of investment in agriculture input suppliers and companies involved in food production and processing to promote food safety and aflatoxin control.


REI support introduction of any bio-engineered products or GMOs (e.g., seeds, cuttings, etc.) without an amendment to this IEE and, as applicable, completion of USAID’s bio-safety review process. Additional information on USAID Bio-safety Procedures is available here (http://www.usaidgems.org/Documents/complianceTopics/Biosafety_5Feb2010.pdf).

In increasing access to and use of improved 43


Projects/Activities Determination (and Condition(s), where Necessary)seeds, REI must ensure that suppliers 1) ensure appropriateness for the agro-climatic zone to which they are being introduced; 2) avoid introducing exotic invasive species; and 3) avoid providing or promoting genetically modified organisms (GMOs).

The provision/distribution, promotion of, and training in use of fertilizers must conform to best practices outlined in the Africa Bureau Fertilizer Fact Sheet, available here (http://www.encapafrica.org/egssaa/AFR_Fertilizer__Factsheet_Jun04.pdf), including ensuring appropriate training on safe use, storage, handling, and disposal of fertilizers.





Intervention Category 3-C. Technical assistance and capacity building designed to facilitate infrastructure investment and improve efficiency of transport and transit infrastructureImprovement of operational efficiency of major ports.

Negative Determination, subject to the following conditions:

1. Direct or indirect support to actual construction or infrastructure development may require an Environmental Assessment, or certification by USAID that an appropriate EA has been prepared. 2. Private sector investors in PPPs investing in major infrastructure will likely need to support


Projects/Activities Determination (and Condition(s), where Necessary)the preparation of appropriate host-country specific Environmental and Social Impact Assessment documentation

Acceleration of implementation of One Stop Border Posts, not including construction activities.



Facilitation of public-private partnerships that invest in infrastructure to increase trade of livestock and other commodities.

Negative Determination, subject to the following conditions:

1. Direct or indirect support to actual construction or infrastructure development may require an Environmental Assessment, or certification by USAID that an appropriate EA has been prepared. 2. Private sector investors in PPPs investing in major infrastructure will likely need to support the preparation of appropriate host-country specific Environmental and Social Impact Assessment documentation.

Investment in improved hard infrastructure (e.g., ports, road, rail, and border posts) (from RDCS), through pooled funding in TradeMark EA (USAID/KEA contribution less than 10 percent of total cost).


§216.2(c)2(iv) Projects in which A.I.D. is a minor donor to a multidonor project and there is no potential significant effects upon the environment of the United States, areas outside any nation's jurisdiction or endangered or threatened species or their critical habitat.

Intervention Category 4. Small-scale construction/rehabilitation and operations

Small-scale construction/rehabilitation of new trade infrastructure, including custom buildings along border areas or ports, in support of trade facilitation procedures at the national level.



Projects/Activities Determination (and Condition(s), where Necessary)For sites with no complicating factors, the site meets the following criteria:

● Not within 30m of a permanent or seasonal stream or water body

● Does not involve displacement of existing settlement/inhabitants

● Has an average slope of less than 5 percent

● Not heavily forested, in an otherwise undisturbed local ecosystem, or in a protected area

● Disturbed area of more than 1,000 sq meters or 10 km (for rural feeder roads)

● Less than $250,000 total costSpecific conditions associated with small-scale construction in with no complicating factors include:

● The implementing partner shall secure the necessary permits from the municipal authorities prior to construction.

● The activity shall be designed and implemented using the principles and good construction practices provided in USAID’s Sector Environmental Guidelines for Small-Scale Construction (http://www.usaidgems.org/Sectors/construction.htm), Rural Roads (http://www.usaidgems.org/Sectors/roads.htm), or other applicable guidelines (see http://www.usaidgems.org/sectorGuidelines.htm).

● All construction must, at a minimum, prevent sediment-heavy run-off from cleared site or material stockpiles to any surface waters or fields with berms, by covering sand/dirt piles, or by choice of location. (Only applies if construction occurs during rainy season.); (2) Construction must be managed so that no standing water on the site persists more than 4 days; (3) fill, sand and gravel must not be extracted from waterways or ecologically sensitive areas, nor knowingly purchased from vendors who do so; (4) IPs must identify

Small-scale construction/rehabilitation of administrative buildings in support of implementation of bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.).Small-scale construction/rehabilitation of administrative or other support buildings in support of centers of excellence, fostering of communities of practice, and cultivation of change agents.Small-scale construction/rehabilitation of buildings to support improved efficiency of transport and transit infrastructure.



and implement any feasible measures to increase the probability that timber is procured from legal, well-managed sources.

● Construction and demolition debris.o Operate a system of inventory

control and obtain allowances for return of construction material. This ensures that unused materials will not be disposed of unnecessarily.

o Utilize selective demolition. This involves dismantling, often for recovery, selected parts of buildings to be demolished before the wrecking process is initiated.

o Apply on-site separation systems. Use multiple smaller containers instead of a single roll-off or compactor.

o Reuse through crushing, milling of secondary stone and concrete materials. There can be a tie-in to approved road construction material specifications.

● Asbestos and lead-based paint. The IP shall not use construction materials containing asbestos or lead-based paint. When conducting renovation on existing buildings, the IP will investigate for the presence of asbestos or lead paint prior to initiating work and will provide appropriate Personal Protection Equipment and a disposal process for handing the hazardous waste, if identified.

● Water supplies. Where water supplies for drinking or other uses are upgraded or provided, activities must be designed and implemented using the principles and good construction practices provided in USAID’s Sector Environmental Guidelines: Water Supply & Sanitation: (http://www.usaidgems.org/Sectors/watsan.htm).

● Waste handling equipment and infrastructure. USAID intervention must result in the facilities’ possessing



adequate provision for handling the wastes they may generate; including human wastes.

For construction in the presence of complicating factors, the conditions and process are outlined in Annex B. Although not yet fully approved, the Construction Risk Management (ADS 201 Mandatory Reference) provides guidance on screening for construction activities that constitutes construction including irrigation canals, buildings, latrines, reservoirs, and post-harvest facilities. Upon full approval of the ADS 201 mandatory reference, any new construction activities, after the approval date, must address conformance with, or variation from, each of the principal elements within USAID’s preferred approach to construction (Annex B Draft Construction Risk Mandatory Reference). The screening should be organized


4.2 CLIMATE RISK MANAGEMENTThe purpose of this climate risk management (CRM) screening is to identify climate-related risks to USAID programming under the East Africa Regional Economic Integration Portfolio, and to help ensure USAID activities are more resilient to both current and future climate variability and change. This screening is part of implementing the Mandatory Reference for ADS Chapter 201: Climate Risks Management for USAID Projects and Activities.USAID/KEA conducted a strategy-level CRM screening as part of the development of the Regional Development Cooperation Strategy 2016-2021 (RDCS). This REI project-level CRM screening draws upon the findings of that RDCS-level screening. The desktop review to inform the climate risks for the CRM screening included reference to the following resources:● Current USAID/KEA RDCS (2016 – 2021);● Illustrative activities from the REI Project Appraisal Document and related project and activity documents; ● USAID East Africa Regional Climate Adaptation Factsheet (2012); and the ● USAID Climate Risk Screening and Management Tool35.The CRM screening summary table (Table 4.2) was completed by utilizing the above resources. The matrix outlines specific climate risks to project design and implementation, and opportunities to address those risks. Projections for East Africa suggest the region is expected to experience continued temperature, potential overall increase in annual precipitation, greater rainfall variability and extremes (including a larger percentage of rain falling in heavy rainfall events), and rising sea levels in the coming decades. Based on an analysis identifying the impacts of climate change and variability on potential activities, Table 4.2 captures the relevant climate risks and management measures (for those rated as moderate or high risk). While most entailed activities received a low risk rating, several agriculture-related activities were rated as having moderate climate risk. Additionally, all activities including infrastructure or construction received a high climate risk rating. The climate risks for all activities receiving either a moderate or high risk rating must be addressed at the project level and considered as part of activity-level design and implementation, as indicated in the completed columns of Table 4.2.

35 https://www.climatelinks.org/resources/climate-risk-screening-management-tool 49


https://www.climatelinks.org/resources/climate-risk-screening-management-tool

TABLE 4.2 PROJECT OR ACTIVITY-LEVEL CLIMATE RISK MANAGEMENT SUMMARY TABLE

Defined or Anticipated Project Elements (Purpose/ Sub-purpose, Area of Focus, or Activity/ Mechanism, etc.)

Climate Risks List key risks related to the project elements identified through either the strategy or project level climate risk assessment

Risk Rating Low/ Moderate/ High

How Risks are Addressed at Project Level Describe how risks have been addressed at the project level. If a decision has been made to accept the risk, briefly explain why.

Further Analysis and Actions for Activity Design/ Implementation Describe CRM measures to be integrated into activity design or implementation, including additional analysis, if applicable

Opportunities to Strengthen Climate Resilience Describe opportunities to achieve development objectives by integrating climate resilience or mitigation measures

Enhanced implementation of trade facilitation procedures at the national level (e.g., elimination of non-tariff barriers, such as price controls, arbitrary application of rules of origin, and import/export restrictions, etc.). This does not include construction/rehabilitation

Not likely LOW








activities.

Support for implementation of bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.). This does not include construction/rehabilitation activities.

No risks foreseen

LOW








Improvement of regulatory frameworks, product,

N/A LOW


N/A LOW

Improvement of ability of policies to enable mobile banking to facilitate

N/A LOW








cross border trade and financing.

Support for regional harmonization and domestication of agricultural policies and standards

N/A LOW

Support for development and implementation of agricultural regulations and policies reducing restrictions on cross-border trade of agricultural inputs.

N/A LOW








Technical support to decrease non-tariff barriers (NTBs) and technical barriers to trade for agricultural goods (including livestock).

N/A LOW

Promotion of harmonized, transparent, and equitably applied laws and regulations regarding the testing and introduction of new seed varieties.

N/A LOW








Support for harmonized regional financing mechanisms for agricultural trade

N/A LOW

Development of evidence-based analysis of benefits to member states of regional policies.

N/A LOW

Research on the development of policies and standards in food safety and pest and disease control (e.g.,

N/A LOW








aflatoxin).

Establishment of centers of excellence, fostering of communities of practice, and cultivation of change agents. This does not include construction/rehabilitation activities.

N/A LOW

Support for communities of practice (within and between disciplines) around specific issues such as trade and resilience to enable

N/A LOW








development partners to better coordinate their efforts and incorporate learning into future program design.

Support for mutual learning and knowledge management among governments, stakeholders and development partners.

N/A LOW

Development of a strong evidence base to facilitate scale-up and

N/A LOW








increased impacts of programs for food security, drought resilience,


N/A LOW

Support for national export promotion agencies in developing new marketing and matchmaking

N/A LOW








strategies and serving as a center of information for local firms on accessing international markets, as well as for importers and distributors of sourcing goods and services from Africa.

Comprehensive organizational risk assessments of regional institutions to identify gaps in governance and accountability systems and inform future institutional capacity

N/A LOW








assistance and strengthen utilization of innovative and evidence-based policies and solutions

Promotion of strengthened governance and accountability systems, improved program control and monitoring, increased institutional sustainability

N/A LOW

Education of private sector firms about the opportunities made

N/A LOW








available through negotiated trade preferences, including under the African Growth and Opportunity Act (AGOA).

Strengthening the capacity of regional private sector and trade associations, including women’s associations, to increase members’ knowledge and skills, and to take advantage of new markets and

N/A LOW








opportunities.

Support for small to medium size enterprise organizational capacity to better exploit market opportunities

N/A LOW

Training for technical staff in regional institutions on moving from policy and program formulation to implementation (e.g., developing well-defined operational plans and

N/A LOW








budgets)

Improved monitoring and evaluation systems for policy implementation.

N/A LOW

Support for private sector associations to play a greater role in promoting direct business linkages and providing networking opportunities (e.g., through development of, and participation in, events like trade shows, buyer

N/A LOW








missions, and other sector-specific business exposure events).

Promotion of technical leadership in developing regional policies for prioritized challenges.

N/A LOW

Support of and tools for coordination of national governments, regional organizations, the private sector, development partners and donors to improve regional trade and

N/A LOW








investment.

Research to identify the appropriate Aflasafe strains for eleven African countries and subsequent Aflasafe commercialization.

N/A LOW

Facilitation of development of regional communities of practice to combat sanitary and phytosanitary (SPS) threats (e.g., Maize Lethal Necrosis (MLN) and aflatoxin) that

N/A LOW








limit production and intra-regional trade access

Support to underfunded national research and extension systems.

N/A LOW

Increased access to and use of improved seeds and fertilizers through enabled cross-border movement of seeds and fertilizer

Improved seeds and inputs may be affected by any rise in temperature

MODERATE Project will focus on policy level to facilitate improved trade. Should

Work with Research organizations to promote appropriate varieties and

Work with regional research entities and economic communities to standardize








or change in precipitation patterns

promote climate change tolerant varieties

advice research

Promotion of regional approaches for improved access to high-quality agriculture inputs (seeds and fertilizer), more efficient trading platforms for both formal and informal trade, and regional trade policies that enhance the quantity

Improved seeds and inputs may be affected by any rise in temperature or change in

MODERATE Project will focus on policy level to facilitate improved trade. Should promote

Work with Research organizations to promote appropriate varieties and

Work with regional research entities and economic communities to standardize








and quality of agricultural production

precipitation patterns

climate change tolerant varieties

advice research


N/A LOW

Support of and tools for coordination of national governments, regional

N/A LOW








organizations, the private sector, development partners and donors to improve regional agriculture.

Promotion of climate sensitive agriculture and trade policies, including Climate-Smart Agriculture (CSA), which is an integrative approach to address the interlinked challenges of food security and climate change.

N/A LOW









N/A LOW

Pre-investment support to help new business in target industries (e.g., agriculture, manufacturing, and services) raise capital, through providing information to interested

N/A LOW








investors on prevailing opportunities in the region.

Support for National Statistics Agencies to collect and analyze trade data to provide key information to agricultural investors

N/A LOW

Support for development and adoption of commodity trading platforms for staple foods, livestock, and livestock products that can

N/A LOW








effectively address constraints related to mobile telecom interoperability across borders.

Promotion of investment in agriculture input suppliers and companies involved in food production and processing to promote food safety and aflatoxin control

Climate Change may affect agricultural inputs distribution

MODERATE Promote climate change awareness to stakeholders

Incorporate climate change messaging in investment fora

Working with stakeholders









N/A LOW

Improvement of operational efficiency of major ports.

N/A LOW

Acceleration of implementation of One Stop Border Posts, not including

N/A LOW








construction activities

Facilitation of public-private partnerships that invest in infrastructure to increase trade of livestock and other commodities.

N/A LOW

Investment in improved hard infrastructure (e.g., ports, road, rail, and border posts

Sea rise may affect the port infrastructure directly

HIGH Any investment in the infrastructure will need further risks

Environmental Impact Assessment is recommende

Working with Multilateral Development Banks funding infrastructure to








assessment and mitigation measures to address the risks. Working with other partners to ensure infrastructure is proofed against climate change.

d for large scale infrastructure support. Climate Change Experts should be part of the planning team

implement recommended mitigation and adaptation measures.








Small-scale construction/rehabilitation of new trade infrastructure, including custom buildings along border areas or ports, in support of trade facilitation procedures at the national level.

Climate Change may affect construction and related infrastructure

HIGH Best management practices in all construction activities will be integrated to ensure that climate change risks are addressed

Climate Change Advisor is expected to be part of any design team.

Strengthening Climate Change policy with the Regional Inter-Government Organizations to ensure Climate Change mainstreaming in projects.

Small-scale Climate HIGH Best Climate Strengthening








construction/rehabilitation of administrative buildings in support of implementation of bilateral and multilateral trade commitments (e.g., WTO/WCO Customs Clearance and Assessment Standards, USG-EAC Cooperation Agreement on Trade Facilitation, SPS and Technical Barriers to Trade, etc.).

Change may affect construction and related infrastructure

management practices in all construction activities will be integrated to ensure that climate change risks are addressed

Change Advisor is expected to be part of any design team.

Climate Change policy with the Regional Inter-Government Organizations to ensure Climate Change mainstreaming in projects.

Small-scale construction/rehabilitation of

Climate Change may

HIGH Best management

Climate Change

Strengthening Climate Change








administrative or other support buildings in support of centers of excellence, fostering of communities of practice, and cultivation of change agents.

affect construction and related infrastructure

practices in all construction activities will be integrated to ensure that climate change risks are addressed

Advisor is expected to be part of any design team.

policy with the Regional Inter-Government Organizations to ensure Climate Change mainstreaming in projects.

Small-scale construction/rehabilitation of buildings to support improved

Climate Change may affect

HIGH Best management practices in all

Climate Change Advisor is

Strengthening Climate Change policy with the








efficiency of transport and transit infrastructure.

construction and related infrastructure

construction activities will be integrated to ensure that climate change risks are addressed

expected to be part of any design team.

Regional Inter-Government Organizations to ensure Climate Change mainstreaming in projects.


5.0 MANAGEMENT In addition to the specific conditions above, the negative determinations recommended in this IEE are contingent on full implementation of the following general monitoring and implementation requirements:

5.1 IP Briefings on Environmental Compliance Responsibilities. The Regional Economic Integration (REI) team shall provide each Implementing Partner (hereinafter IP), with a copy of this IEE; each IP shall be briefed on their environmental compliance responsibilities by their cognizant C/AOR. During this briefing, the IEE conditions applicable to the IP’s activities will be identified.

5.2 Development of Environmental Mitigation and Monitoring Plans (EMMP). Each IP whose activities are subject to one or more conditions set out in section 3 of this IEE shall develop and provide for C/AOR review and approval an Environmental Mitigation and Monitoring Plan (EMMP) documenting how their project will implement and verify all IEE conditions that apply to their activities.

These EMMPs shall identify how the IP shall assure that IEE conditions that apply to activities supported under subcontracts and subgrant are implemented. In the case of large subgrants or subcontracts, the IP may elect to require the subgrantee/subcontractor to develop their own EMMP.

(Note: The AFR EMMP Factsheet provides EMMP guidance and sample EMMP formats: http://www.usaidgems.org/Documents/lopDocs/ENCAP_EMMP_Factsheet_22Jul2011.pdf )

5.3 Integration and implementation of EMMP. Each IP shall integrate their EMMP into their project work plan and budgets, implement the EMMP, and report on its implementation as an element of regular project performance report Development of EMMP. Each IP whose activities are subject to one or more conditions set out in section 3 of this IEE shall develop and provide for C/AOR review and approval an Environmental Mitigation and Monitoring Plan (EMMP) documenting how their project will implement and verify all IEE conditions that apply to their activities.

IPs shall assure that sub-contractors and sub-grantees integrate implementation of IEE conditions, where applicable, into their own project work plans and budgets and report on their implementation as an element of sub-contract or grant performance reporting.


5.4 Integration of compliance responsibilities in prime and sub-contracts and grant agreements.

a) The REI team shall assure that any future contracts or agreements for implementation of REI portfolio activities, and/or significant modification to current contracts/agreements shall reference and require compliance with the conditions set out in this IEE, as required by ADS 204.3.4.a.6 and ADS 303.3.6.3.e.

b) IPs shall assure that future sub-contracts and sub-grant agreements, and/or significant modifications to existing agreements, reference and require compliance with relevant elements of these conditions.

5.5 Assurance of sub-grantee and sub-contractor capacity and compliance. IPs shall assure that sub-grantees and subcontractors have the capability to implement the relevant requirements of this IEE. The IP shall, as and if appropriate, provide training to sub-grantees and subcontractors in their environmental compliance responsibilities and in environmentally sound design and management (ESDM) of their activities.

5.6 REI team monitoring responsibility. As required by ADS 204.5.4, the REI team will actively monitor and evaluate whether the conditions of this IEE are being implemented effectively and whether there are new or unforeseen consequences arising during implementation that were not identified and reviewed in this IEE. If new or unforeseen consequences arise during implementation, the team will suspend the activity and initiate appropriate, further review in accordance with 22 CFR 216. USAID Monitoring shall include regular site visits.

5.7 New or modified activities. As part of its Work Plan, and all Annual Work Plans thereafter, IPs, in collaboration with their C/AOR, shall review all on-going and planned activities to determine if they are within the scope of this IEE.

If REI activities outside the scope of this IEE are planned, the REI team shall assure that an amendment to this IEE addressing these activities is prepared and approved prior to implementation of any such activities.Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation shall be modified to comply or halted until an amendment to the documentation is submitted approved.

5.8 Compliance with Host Country Requirements. Nothing in this IEE substitutes for or supersedes IP, sub-grantee and subcontractor responsibility for compliance with all applicable host country laws and regulations. The IP, sub-grantees and


subcontractor must comply with host country environmental regulations unless otherwise directed in writing by USAID. However, in case of conflict between host country and USAID regulations, the latter shall govern.

6.0 LIMITATIONS OF THIS INITIAL ENVIRONMENTAL EXAMINATION The determinations recommended in this document apply only to projects/activities and sub-activities described herein.

Other projects/activities that may arise must be subject to an environmental analysis and the appropriate documentation prepared and approved in an Amendment to the IEE or other type of document.

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

In addition, other than projects/activities determined to have a Positive Threshold Decision and/or a pesticide management plan (PERSUAP), it is confirmed that the projects/activities described herein do not involve any actions listed below. Any of the following actions would require additional environmental analyses and environmental determinations:

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

o (i) Programs of river basin development;o (ii) Irrigation or water management projects, including dams and

impoundments;o (iii) Agricultural land leveling;o (iv) Drainage projects;o (v) Large scale agricultural mechanization;o (vi) New lands development;o (vii) Resettlement projects;o (viii) Penetration road building or road improvement projects;o (ix) Power plants;o (x) Industrial plants; and,o (xi) Potable water and sewerage projects other than those that are

small scale.● 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);● Lead to privatization of industrial facilities or infrastructure with heavily polluted

property per §216.2(b)(4);● Procure or use genetically engineered organisms per §216.2(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 REVISIONSPer 22CFR216.3(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 environmental analysis will be amended to cover the changes. Per ADS 204, it is the responsibility of the USAID A/COR 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 threshold determination.


ANNEX A: ECOSYSTEMS AND BIODIVERSITY

TABLE 7: EAST AFRICA TRANSBOUNDARY ECOSYSTEMS AND PROTECTED AREAS OF IMPORTANCE36

Protected Areas CountriesSebei Controlled Hunting Area & Mount Elgon National Park

Kenya/Uganda

Tsavo West National Park & Mkomazi Game Reserve

Kenya/Tanzania

Lake Victoria Basin Kenya/Uganda/Tanzania/Rwanda/Burundi

Lake Turkana Basin Kenya/Ethiopia/UgandaThe Natron Basin Kenya/TanzaniaThe Jubba-Shebelle Basin Kenya/Ethiopia/SomaliaAkagera National Park/Wetlands Rwanda/TanzaniaNyungwe National Park-Kibira National Park Rwanda/BurundiKidipo National Park/Kidipo Game Reserve Uganda/South SudanGaramba National Park/Lantoto National Park in South Sudan

DRC/South Sudan

TABLE 8: CRITICALLY ENDANGERED AND ENDANGERED SPECIES FOUND IN EAST AFRICA37

Species Status ListedEthiopian Wolf Endangered 2004Black Rhino Critically Endangered 1996Grevey’s Zebra Endangered 1986African Wild Dog Endangered 1990Mountain Gorilla Critically Endangered 1996Rothschild’s Giraffe Endangered 2010Chimpanzee Endangered 1996Northern White Rhino Critically Endangered, Extinct in The Wild 1996Leatherback Turtle Critically Endangered 2000

Source: IUCN Red List 2016

TABLE 9: IUCN VULNERABLE AND NEAR-THREATENED WILDLIFE SPECIES IN EAST AFRICA38

Species Status Listed

36 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft37 Ibid38 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft


African Elephant Vulnerable 2004Lion Vulnerable 1996Cheetah Vulnerable 1986Reticulated Giraffe Vulnerable 2016Masai Giraffe Vulnerable 2016Giant Pangolin Vulnerable 2014Tree Pangolin Vulnerable 2014Ground Pangolin Vulnerable 2014Long-tailed Pangolin Vulnerable 2014Dugong Vulnerable 1982

Source: IUCN Red List 2016

TABLE 10 REGIONAL & INTERNATIONAL TREATIES RELEVANT TO BIODIVERSITY AND TROPICAL FORESTRY39

Treaty Name Year Objective(s)International TreatiesCartagena Protocol on Biosafety

2013 ● Formulate of a harmonized regional biotechnology and biosafety policy to inform decision-making on genetically modified organisms.

● Establish a regional biotechnology and biosafety unit at the EA.

● Mobilize resources to support capacity building - human, infrastructure and institutional.

● Create strategies for public education, participation, awareness on biotechnology and biosafety.

● Develop a framework for a harmonized regional approach to global negotiations in biotechnology and biosafety.

● Establish a panel of experts to guide biosafety decision making and give risk assessment opinions.

● Establish EAC Centres of Excellence in biotechnology and biosafety.

United Nations Convention on Combating Desertification (UNCCD)UNCCD Africa Regional Action Programme (RAP)

1994 ● Identify measures and arrangements, including the nature and processes of assistance provided by developed country parties, in accordance with the relevant provisions of the convention;

● Provide for the efficient and practical implementation of the convention to address conditions specific to Africa; and

● Promote processes and activities relating to

39 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft85


combating desertification and/or mitigating the effects of drought within the arid, semi-arid and dry sub-humid areas of Africa.

Convention on Biological Diversity (CBD)

1993 ● Conservation of biodiversity.● Sustainable use of biodiversity.● Fair and equitable realization of benefits arising

from use/exploitation of genetic resource.United Nations Framework Convention on Climate Change (UNFCCC)

1992 ● Stabilize greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system.

● Governing body of the Kyoto Protocol and Paris Agreement.

Ramsar Convention on Wetlands of International Importance

1975 ● Conservation and sustainable use of wetland.● Every three years, representatives of the

contracting parties meet as the Conference of the Contracting Parties (COP), the policy-making organ of the convention which adopts decisions (resolutions and recommendations) to administer the work of the convention and improve the way in which the parties can implement its objectives.

Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)

1973 ● To ensure that international trade in specimens of wild animals and plants does not threaten their survival.

● Subjects international trade in specimens of selected species to certain controls. All import, export, re-export, and introduction from the sea of species covered by the convention must be authorized through a licensing system. Each party to the convention must designate one or more management authorities in charge of administering that licensing system and one or more scientific authorities to advise them on the effects of trade on the status of the species.

Regional TreatiesAfrican Convention on the Conservation of Nature and Natural Resources

2003 ● Enhance environmental protection;● Foster the conservation and sustainable use of

natural resources;● Harmonize and coordinate policies in these fields

with a view to achieving ecologically rational, economically sound and socially acceptable development policies and programs.

Protocol Concerning Protected Areas and Wild Fauna and Flora in the Eastern African Region (PPAWFEA)

1996 ● Provide for the protection of threatened and endangered species of flora and fauna, and important natural habitats, in the Eastern African region.

● Parties must take, in conformity with international law, the measures required to achieve the objectives of protected areas and take all appropriate measures to prohibit the intentional or accidental introduction of alien or


new species which may cause significant or harmful changes.

Convention on Lake Victoria Fisheries Organization (CLVFO)

1994 ● Facilitate access, in accordance with national laws and regulations, for research teams

including vessels and all equipment being used for that purpose;

● Enforce and maintain in effect laws and regulations prohibiting the introduction of non-

indigenous species to Lake Victoria and measures regarding the introduction,

monitoring, control or elimination of any such animals or plants;

● Enforce national laws and regulations in respect of territory and territorial waters; and

● Enforce national laws and regulations in respect of fish landed.

Convention of the Protection, Management and Development of the Marine and Coastal Environment of the Eastern African Region (Nairobi Convention)

1985 ● Address the accelerating degradation of the world’s oceans and coastal areas through the sustainable management and use of the marine and coastal environment. It does this by engaging countries that share the western Indian Ocean in actions to protect their shared marine environment.

TABLE 11 REGIONAL-LEVEL PRIORITIES RELEVANT TO BIODIVERSITY AND TROPICAL FORESTRY40

Institution Strategy Regional Priorities

East African Community (EAC)

4th EAC Development Strategy (2011/12 – 2015/16)

(5th EAC Development Strategy currently under development)

● Promoting joint participation in international treaties and conventions, including:

● At least 3 regional platforms on climate change, biodiversity and disaster risk

reduction established.● At least 3 joint positions/reports on climate

change, disaster risk and biodiversity developed.

● Implementing the Protocol on Environment and Natural Resource Management, including:

● At least 3 projects developed focusing on biodiversity conservation, integratedwater

resources management (IWRM) and pollution control.

40 USAID East Africa Tropical Forest and Biodiversity (FAA118/119) Assessment Draft87


Intergovernmental Authority on Development (IGAD)

IGAD Regional Strategy 2016-202041

● Enhance cooperation and coordinating macro-economic policies;

● Promote sustainable agriculture development and food security;

● Conserve, protect, and improve the quality of the environment;

● Harmonize environmental impact assessment policies and practices;

● Ensure the prudent and rational utilization of natural resources;

● Cooperate in increased sustainable utilization and development of energy resources in the sub-region, and in the gradual harmonization

of national energy policies and energy development plans;

● Cooperate in the gradual harmonization of national policies on scientific and technological

research and development, transfer of technology, and capacity-building in science

and technology in the sub-region.

Common Market for Eastern and Southern Africa (COMESA)

COMESA 2016-2020 Medium Term Strategic Plan

● Foster cooperation in the joint and efficient management and sustainable utilization of

natural resources within the Common Market for the mutual benefit of the member states;● Strengthen the facilities and increase promotion and use of training and research

institutions;● Encourage joint utilization of training and

research facilities; and● Establish uniform fisheries investment

guidelines for inland and marine waters.

41 The Intergovernmental Authority on Development, “IGAD Regional Strategy Volume 1: The Framework,” Information and Documentation Section-IGAD Secretariat, 2016, <https://igad.int/documents/8-igad-rs-framework-final-v11/file>


ANNEX B. CONSTRUCTION RISK SCREENING AND CONDITIONS FOR PROJECTS WITH COMPLICATING FACTORS.

B.1 DRAFT CONSTRUCTION RISK MANAGEMENT (MANDATORY REFERENCE)

DRAFT Construction Risk ManagementA Mandatory Reference for ADS Chapter 201

New Edition Date: xx/xx/xxxxResponsible Office: PPL

File Name: 201mam_xxxxx

This Construction Risk Management Mandatory Reference requires that, during the activity planning stage, all USAID operating units must explicitly identify all construction activities and sub-activities performed under acquisition, assistance, PIO grants or G2G mechanisms. A risk screening of each identified construction activity or sub-activity must be performed and documented by the operating unit prior to construction implementation. The following paragraphs describe definitions, background and guidance for identifying construction activities and performing construction risk screening.

I. Construction Risk at USAIDConstruction is an integral part of the Agency’s practice and development portfolios worldwide. In 2014, a comprehensive survey and assessment of construction activities across the USAID portfolio identified construction activities in nearly every operating unit in the Agency. Since 2014, the estimated construction underway at any one time has averaged more than $2 billion. The assessment concluded that where USAID identifies construction activities early in the program cycle, performance is generally good and risk is relatively low. Fundamentally, good planning leads to appropriate resource allocation, which facilitates implementation, enhances sustainability and improves health and safety through implementation. USAID policy (ADS 201) requires early identification of planned construction activities, construction risk screening and appropriate mitigation.

The term “construction” is specifically defined in the Federal Acquisition Regulation, but in general, construction is a specific type of activity that involves creating, modifying or demolishing physical infrastructure such as a school, clinic, well or road. For purposes of the construction policy at ADS 303 and 304, when selecting the choice of instrument, USAID defines ‘construction’ as the “construction, alteration, or repair (including dredging and excavation) of buildings, structures, or other real property and includes, without limitation, improvements, renovation,


alteration and refurbishment. The term includes, without limitation, roads, power plants, buildings, bridges, water treatment facilities, and vertical structures.” The policy defines “Improvements, renovation, alteration and refurbishment” to include “any betterment or change to an existing property to allow its continued or more efficient use within its designed purpose (renovation), or for the use of a different purpose or function (alteration).” The definition further includes items such as improvements to or upgrading of primary mechanical systems, and excludes others such as non-structural, cosmetic work, such as painting. This definition only includes construction activities and does not include ancillary or other related activities such as architectural and engineering design or construction oversight.

Consideration of construction risk extends beyond activities performed under acquisition. Construction activities performed under assistance (grants and cooperative agreements) as well as through Government-to-Government (G2G) agreements and grants to Public International Organizations (PIOs) must also be identified based on the preceding definition and assessed according to this guidance. (See USAID Implementation of Construction Activities).

Construction activities are generally designed to facilitate the delivery of services like education (schools), energy (generation systems and transmission lines), potable water (wells and pipelines) and healthcare (hospitals) to name a few. Construction activities differ from other types of development activities in the way they are planned, procured and implemented. Specifically, construction must be preceded by engineering / architecture design, procured in compliance with specific regulations and policy, and then managed and independently inspected from beginning to end with qualified technical expertise and specific controls.

The 2014 Construction Assessment identified 11 critical success factors for USAID construction activities. These success factors serve as the foundation for the Agency’s construction risk management approach and are briefly described below:

1. Project Definition - Realistic assessment and approval based on sound technical information.2. Stakeholder Engagement - Active participation and support of individuals and organizations required for successful implementation and ownership of construction projects.3. Procurement Procedures, Contract Types and Approaches - Effective and locally appropriate contract mechanisms that are consistent, balanced, enforceable and well understood by the local construction industry. 4. Institutional Capabilities to Operate and Maintain Investments - Engagement of competent organizations with responsibility and capability to effectively manage, operate, and maintain completed construction projects.


5. Health, Safety, Environmental and Social Requirements - Ability to address and assure compliance with applicable health, safety, environmental and social requirements.6. Appropriate Design Standards and Technology - Technical capability to develop project designs in accordance with applicable standards, using locally appropriate technologies.7. Quality of Cost Estimating and Scheduling - Ability to establish realistic budgets and schedules within established levels of accuracy, while accounting for potential contingencies and risks.8. Appropriate Levels of Contractor Qualifications - Determination and assurance of required contractor capabilities for successful completion of work within established quality requirements.9. Risk Management Methodology - Incorporation of consistent and systematic approach for identification, assessment and mitigation of risks.10. Construction Oversight and Quality Verification - Assurance of successful execution and completion of construction by a qualified inspector and in accordance with established requirements and standards.11. Monitoring and Evaluation Process - Established process for assessment of results and the ability of completed projects to achieve project objectives.

II. USAID’s Preferred Approach to Construction

USAID has identified a preferred approach to implementing construction activities that minimizes construction risk through thorough planning and allocation of Agency resources to design and oversight. The preferred approach represents a benchmark against which operating units should screen their risk.

The principal elements of the Agency’s preferred approach are described in thefollowing paragraphs:

● Perform pre-design/pre-construction analyses: Analyses performed at the planning stages of a construction activity can help to determine the ‘feasibility’ of the planned activity and inform design decisions and actions during construction. Critical issues to be considered in a feasibility study or other pre-design/pre-construction analyses include:

○ Alternatives/cost-benefit analysis: Have project alternatives (including ‘no project’) been considered and evaluated using cost/benefit analysis? Costs and benefits should be inclusive of findings from all analyses (i.e. environmental and social costs, etc.) and should consider life-cycle costs (including operations andmaintenance costs).○ Climate risk: How might climate change impact the performance of construction/ infrastructure? What should be considered in planning and


design to mitigate potential impacts? (See Climate Risk Management for USAID Projects and Activities guidance.)○ Gender equity and violence prevention: How might the proposed construction / infrastructure reduce or contribute to gender equity and gender based violence (GBV)? What should be considered in project design & implementation to mitigate potential negative impacts?○ Land rights: Have all legitimate landholders been identified and consulted? Are the legitimate landholders uncontested, or, if yes, have all disputes been resolved? Has the use of land for project purposes been secured through legal sale, lease or other means in consultation with all legitimate landholders? (Additional Help: Guidelines on Compulsory Displacement and Resettlement in USAID Programming)○ Local Construction Capacity: Is the planned construction within the local contractor capacity? What actions should be considered to strengthen local contractor capability through construction? ○ Stakeholder analysis: Have all project stakeholders been identified and consulted in a formal process? Is a system established to receive and address stakeholder feedback and grievances through construction?○ Building codes: Have local building codes been reviewed to determine adequacy (factors of safety, seismic, hydrology, geology, etc.) for use in design? How will Americans with Disabilities Act (ADA) compliance be addressed in design?○ Environmental impact: Have cultural and natural resources impacts of construction and the resulting infrastructure and services been appropriately assessed, avoided and mitigated according to USAID Reg. 216 requirements?

● Engage a USAID qualified engineer when available and where appropriate for project management: The USAID manager of engineering and construction activities or sub-activities should be a qualified engineer (graduate of an accredited engineering program) who has completed USAID’s engineering contracting and construction management (ECCM) training and has a minimum of two-years of experience managing the implementation of construction activities. More stringent experience requirements are recommended for management of large and complex engineering and construction programs. ● Engineering design completed by licensed engineering firm: The engineering design (defining construction requirements, producing the drawings and technical specifications, and preparing the construction cost estimate) should be prepared, reviewed and certified by a locally licensed engineering firm which is ensuring their quality, accuracy and completeness prior to procurement of construction services. The approach for design review, certification and construction must conform to local legal requirements and/or standard professional practice. In some cases, the role of design review and certification can be performed by an appropriate local government agency. The engineering


firm should secure a construction permit for the design from the appropriate government agencies or include permitting requirements in the construction contract.● Include operations and maintenance considerations in the project planning: At the completion of detailed design (or earlier if appropriate), USAID should identify additional resources (financial and human resources) that will be required of the beneficiary/recipient for the operations and maintenance of resulting infrastructure and related services. A determination of the source of these resources should bemade and appropriate accommodations (training, management contract, etc.) should be included in the project execution. Per the Foreign Assistance Act, Section 611(e), the host country or recipient organization’s financial and human resources capability for operations and maintenance must be certified by the Mission Director or USAID representative for all construction activities exceeding $1 million in value. (See additional 611e analysis and certification guidance).● Use a Design-Bid-Build project delivery approach: In executing construction activities, USAID recommends a standard phased approach with discrete, sequential steps for completing (100 percent) engineering design, procurement (bidding) and construction (building). Generally, engineering design and bidding support are achieved through an engineering services contract, and construction is completed under a separate award to a construction contractor. Construction and Architect-Engineer contracting/sub-contracting approach must comply with FAR Part 36 andUSAID Construction policy requirements as applicable. Under some USAID implementation approaches (Assistance, G2G, PIO grants, etc.), USAID may not be directly responsible for the selection and management of all elements of construction project delivery. Nevertheless, a design-bid build approach to construction implementation is preferred for all construction activities regardless of the selected overall implementation approach.● Establish appropriate minimum qualifications and experience for construction contractors: Minimum contractor qualifications must be established to ensure that proposal evaluation will result in the selection of a contractor with adequate financial and technical capacity as well as prior experience performing similar works in similar contexts. Qualification standards should be established by USAID or partner staff knowledgeable of local construction contracting requirements and capacity. ● Firm fixed price contract used for construction: Firm fixed price contracts provide greater cost control on construction projects and can mitigate change orders when a detailed design is used as part of the procurement documents. Firm fixed price contracting for construction is preferred whether construction is performed under direct contract with USAID or through a different implementation approach (Assistance, G2G or PIO grant) where construction would be performed as a sub-award.


● Include performance bonding, guarantees and warranty requirements in construction contract: Construction contracts should include bonds and/or guarantees to ensure contract completion. Additionally, warranty clauses should be included to guarantee performance of infrastructure for a specified period after completion. All performance bond, guarantee and warranty clauses should be consistent with local professional standards and legal practices.● Independent engineering firm contracted for quality assurance: Each USAID operating unit managing a construction activity should hold a separate engineering services contract with a qualified engineering firm to perform construction oversight and quality assurance throughout the life of the construction activity. In many cases this is the engineering/ architectural design firm.● Use fully funded contract mechanisms for construction related activities: The ADS recommends seeking an exception to the maximum length of forward funding (ADS 602.3.3) to avoid funding gaps prior to the completion of a fully constructed activity. It is recommended to fully fund not only the construction contractor, but all engineering related services associated with the project as well.

III. Required Construction Risk Screening

The Agency’s preferred construction approach is considered the ‘least risky’ approach for construction implementation and serves as the benchmark for required construction risk screening. Nevertheless, for a variety of programmatic, pragmatic and/or contextual reasons, it may be necessary to deviate from this preferred approach. The operating unit must identify, analyze and evaluate the additional risk accrued through variations from the preferred approach. The operating unit must include the risk screening conclusion (or overall risk rating) in the project files.

Each discrete construction activity (contract, cooperative agreement, G2G activity, PIO grant, subcontract, etc.) should be screened at the lowest distinguishable level (ideally per specific construction contract/sub-contract). Screening is to be initiated and completed by the activity manager as soon as construction is identified as a planned activity. The screening can be updated throughout the life of the activity to improve the risk profile (lower risk) when additional mitigation actions are taken or to decrease scoring when additional risk is perceived.

Risk screening for each construction activity must be filed electronically by the Activity Manager in the Agency’s enterprise tracking system (upload to the A&A plan or GLAAS or ASIST) and will become part of the activity performance record. All construction activities will be monitored by USAID engineering staff and technical


assistance or other resources will be allocated to manage and mitigate the highest risk activities.

At a minimum, the Construction Screening for each activity must address conformance with, or variation from, each of the principal elements of the Agency’s preferred approach described above. The screening should be organized to describe actions taken (or planned) to mitigate construction risk at different stages of activity implementation: Planning, (Engineering) Design, (Construction) Procurement and Implementation.

To facilitate preparation of required construction risk screening, the E3 Bureau has developed and maintains a Construction Risk Estimator tool to guide activity managers through a complete risk screening. Application of the construction risk estimator for a specific activity meets the risk screening requirements set forth in this mandatory reference.

IV. Mitigating Risk in the Program Cycle

Elements of planning, design and implementation of construction activities occur throughout the project cycle. Consequently, opportunities to identify and mitigate construction risk also present themselves at different stages. The following paragraphs briefly describe construction risk mitigation opportunities that can be taken at different phases to reduce activity risk.

Country/Regional Strategic Planning● Identify intent to perform construction, type and sectors - Identifying the general intent to perform construction activities early in the planning process helps to ensure adequate resources will be allocated and is a requirement of the ADS (Chapter 201).● Assess operating unit resources and gaps - Operating units considering construction activities should ensure there are, or will be, adequate, qualified staff to plan, procure and oversee implementation of construction activities of similar scope and complexity. This may include engineering staff and contracting officers with construction procurement experience. Additionally, anticipated operating unit budgets should be aligned with infrastructure development expectations. Any gaps should be identified and addressed in further planning efforts.● Perform broad determination of local engineering capacity - A broad determination of the local engineering and construction capabilities to affirm that engineering and construction capacity within the host country is adequate to complete anticipated infrastructure works. The determination should consider the type and complexity of the work and use of locally available materials and appropriate technology.


● Identify planned project delivery method (design-bid-build or other) - Identifying on a preliminary basis the preferred project delivery method at the strategic level can help avoid confusion and additional risk mitigation requirements at later stages of construction planning and implementation.

Project Design and Implementation● Identify source of feasibility analyses - During project design, the operating unit should identify the source of all infrastructure/construction feasibility analysis including preliminary studies, required stakeholder mapping and engagement, social assessments, land rights analysis, environmental impact analysis, and climate risk assessment. Where information is not readily available or verifiable, additional USAID-funded analyses may be addressed as part of the activity design process for the construction activity.● Identify source of engineering design - The Project Design should include an independent engineering design as an activity. In cases where engineering design is available from a third-party source (like a host government), quality review and validation of the design by a licensed engineering firm is recommended.● Procurement planning to phase feasibility analyses, engineering design, construction and quality assurance activities - The project design should consider appropriate timelines to allow for completion of feasibility analyses and design prior to construction procurement.● Initial cost estimation - Initial estimation of construction costs should be completed by the activity manager at the Project Design stage. Construction activities and estimated costs must be entered into USAID’s A&A Plan System.● Establish contingency plan - Operating unit should have a plan to address potential changes or cost overruns. Plans could include financial contingency and change management system to address variances.

Activity Design and Implementation (Construction Activities)● Where construction is performed under direct contract to USAID:

○ Prepare firm fixed price procurement package based on engineering design and specifications - Construction contract documents should be based on 100 percent design prepared by third-party engineering firm. Contract documentation should includerequirements for appropriate performance guarantees and warranty clauses.○ Include construction schedule and cost estimation in contract – The schedule and cost should be validated by a qualified engineer. Draft versions may also be included if validation is not available.○ Include site health and safety plan in contract - The health and safety plan should be prepared and validated prior to commencement of construction. The Initial Environmental Examination and Environmental Assessment may contain related requirements.


● Where construction is performed under an alternate implementation approach (assistance, G2G, PIO grant or sub-contract): Ensure that the USAID partner is: using firm fixed price contracts for construction; including an engineer validated schedule and cost estimate in the construction contract or sub-contract; and preparing a health and safety plan for construction activities.

Monitoring and Evaluation● Utilize engineering quality assurance reports/documentation to evaluate performance - The activity manager should use monitoring and inspection reports prepared by an independent quality assurance contractor (engineering firm) to monitor construction progress. Construction activities must conform to the engineering design unless variances are documented, validated by an engineering firm and approved by USAID.● Update construction risk screening - The activity manager should update the construction risk screening as required to maintain an accurate presentation of the risk profile of each discrete construction activity.

B.2 CONDITIONS FOR INFRASTRUCTURE WITH COMPLICATING FACTORSActivities with complicating factors as noted in Section 5.1.2 (c) are subject to additional requirements. The response to these conditions must appropriately documented and submitted to the A/COR, MEO, and BEO for approval.

1) Certified Construction Designs: Construction designs (including blueprints of the buildings, laboratory space plus chemical storage containers, latrines, handwashing stations, bathing stalls, soak away pits, boreholes, etc.) specific to each site in which construction will occur must be created by a professionally licensed engineering firm and be approved and permitted by the requisite government officials. The designs must state the height, number of stories, construction material (including roofing materials), and points of ventilation, and address Climate Change Risks as found in Section 4.2.

2) Quality Assurance Guarantee: A professionally licensed construction engineer / engineering firm (referred to now as “QA engineer”) must be subcontracted by the Project Team to oversee construction activities for quality assurance and monitor IEE compliance using the Project Team’s EMMP.

3) Malawi Government Approval. The project must meet and Malawian approvals and permitting. The EIA must be completed and approved if the activity is categorized on List A. List B projects may require an EIA. To determine if this project requires an EIA, the IP and USAID/Malawi must submit a Project Brief to the Director of the Environmental Affairs Department (EAD). A signed letter from the EAD stating


that this project does not require an EIA, a signed waiver from the EAD, OR a finalized and approved EIA report for the project is required prior to the commencement of construction.

4) Best practices. Construction will be undertaken in a manner consistent with the guidance for environmentally sound construction, provided in the Small-Scale Construction chapter of the USAID Sector Environmental Guidelines (http://www.usaidgemsorg/sectorGuidelines.htm).

5) Worker and Community Safety. Safety will be at the forefront of design, planning, and construction activities. Appropriate personal protection equipment (PPE) must be available and utilized for all workers. A first aid kit must be available during all construction activities with at least one worker on site at any time with the knowledge to use the kit to treat emergency situations. A firm delineation must be in place to keep community members from entering the construction site where they can be exposed to hazards. Fencing must be in place around areas that are hazardous like pits or areas with hazardous materials. Further, workers and community members must be sensitized in HIV/AIDS and STDs transmission. Safety measures as found in the Small-Scale Construction chapter of the USAID Sector Environmental Guidelines (http://www.usaidgems.org/sectorGuidelines.htm) must be implemented. A resource for further Occupational Health and Safety measures can be found at www.ifc.org/ehsguidelines.

6) Asbestos and lead-based paint. The IP shall not use construction materials containing asbestos or lead-based paint. When conducting renovation on existing buildings, the IP will investigate for the presence of asbestos or lead paint prior to initiating work and will provide appropriate Personal Protection Equipment and a disposal process for handing the hazardous waste, if identified.7) Waste handling equipment and infrastructure. A waste handling license must be obtained to destroy or transport construction waste from the EAD Director. All waste handling operations and infrastructure development will be undertaken in a manner consistent with the guidance for environmentally sound waste management, provided in the Solid Waste chapter of the USAID Sector Environmental Guidelines: (http://www.usaidgems.org/Documents/SectorGuidelines/SectorEnvironmentalGuidelines_SolidWasteGuidelines_2014.pdf).

9) Laboratory materials storage or pesticide facilities. Construction will be undertaken in a manner consistent with the guidance for environmentally sound construction, provided in the Small-Scale Construction chapter of the USAID Sector Environmental Guidelines (http://www.usaidgems.org/sectorGuidelines.htm). Security measures must be taken when designing and constructing a storage unit to safeguard any chemicals or combustibles. Staff training must be done to ensure appropriate oversight and maintenance of laboratory or pesticide activities. Fire


prevention techniques must be incorporated into the design if flammable materials, volatile chemicals, or the use of heat / fire are to be used. Chemical storage must be handled by trained facility staff and kept in a stable, enclosed, and locked space to prevent accidental spills, fires, or theft that may lead to environmental or human health damage. Pesticides storage must comply with the current Malawi PERSUAP.

10) Disaster preparedness. Natural Disasters / Inclement Weather, such as earthquakes, strong winds, and hailstorms, must be planned for in the design and construction of infrastructure to ensure its longevity.

11) Climate risks. Risks Associated with Changing Climate must be accounted for in the design and operation of constructed facilities. All CRM analyses must be approved by the Engineer of Record qualified to incorporate CRM findings into construction designs. Risks to building design and function will be impacted by increased temperature and increase in extreme weather and climate events. These climate stressors will impact material selection, construction design, and site selection. Specific risks and opportunities to address those risks are found in Section 4.2 and included in Annex B.

12) Sourcing of Timber. Timber must only be from legitimate suppliers who are approved by the relevant government authority, and who have government-approved timber transport permits.

13) Adverse Impacts Associated with Infrastructure Maintenance. To the extent possible, the implementing partner is to ensure that a realistic strategy for sustainably funding and sourcing local labor for the long-term maintenance and training in maintenance for all facilities.

14) Construction Camps for Workers. All communities have expressed that housing is available within their communities for rent for workers so as not to require a camp. IF a worker camp becomes necessary, it needs to have a management plan in place to reduce the likelihood of negative relations with the host community (such as reducing risks for: security concerns, public health issues, speeding construction vehicles, improper disposal of waste, and illegal hunting or extraction of natural resources). Camps must also have temporary latrines (that will be demolished at the end of construction) and access to potable water and energy for cooking or lighting that does not cause strain on established communal systems.

15) Air Quality. Measures must be taken to keep dust (particulate matter) to a minimum during construction on site and in transit to the construction site. The WHO states that there is good evidence short-term exposure to particulate matter with a diameter of less than 10 µm negatively impacts respiratory health.


16) Vegetation disturbance. Footpath delineation and clearing should be done to minimize impacts on the environment (i.e. tree or shrub removal), be in as straight of a line as possible between highest flow of pedestrians to minimize off-path diversions, and be graded to not accumulate standing water or promote erosion. Vegetation removal / replanting should be avoided as much as possible for purposes of aesthetics, natural habitats, and erosion control. Revegetation is required where vegetation was disturbed or destroyed as a result of construction. Where trees are removed, for every one tree removed, two saplings of a tree species that bears fruit or will become a shade tree must replace the removed tree.

Negative Determination with Conditions:

For small-scale water supply and distribution infrastructure activities, the conditions are as follows:

Negative Determination with Conditions to acquire land and ensure adequate resolution of all land tenure-related issues in conformance with the following best-practice criteria:

1) Consultative Process. In pursuit of inclusive decision-making, the IP must incorporate consultative processes with stakeholders, including government officials, community leaders, relevant community association representatives, neighbors of the specified property, and potentially project affected people, as to the previous use of the designated land and the owners and operators of the land prior to its designation as the site for the new secondary school, dormitory, or teacher housing.

2) Impacted Vulnerable Population. Investigate if vulnerable populations (women, children, disabled, etc.) will be impacted by the acquisition of the land parcel by the Project. If vulnerable populations are to be impacted, ensure at least equitable rights for compensation to this segment of the population.

3) Compensation – In-Kind. The IP, in conjunction with the GOM and the community, must ensure that equitable compensation is provided to the previous owners / operators of the land prior to its designation as the site for the new secondary school or dormitory. Prior to construction, project affected people must be allowed to harvest any standing crops.

4) Transparency. Decisions made by the IP to provide compensation and to whom must be transparent.


5) Proof of Land Ownership / Rights to Land: Four documents are required for approval by the MEO prior to the commencement of construction activities to ensure the consultative process and appropriate compensation has occurred so that no pending claims to the designated land remain other than that which allows for construction. 1) An agreement between the relevant district government entity and the community leadership granting specified lands for Project construction and operational activities. 2) An agreement between the community leadership and previous owners or users of the designated land as to the relinquishment of their rights to the land. 3) A certification from previous owners or users of the designated land as to their receipt of ownership or right to use of at least equivalent functional and yielding lands. 4) Documentation of the process to obtain these agreements / certifications is necessary and should include: who previously owned / used the land, the date and location of public awareness meeting and negotiations for procuring the land.


ANNEX C. ENVIRONMENTAL REVIEW FORM[See next page]


NOTE TO USAID STAFF, CONSULTANTS & PARTNERS REGARDING THE:

AFRICA BUREAU ENVIRONMENTAL REVIEW FORM & INSTRUCTIONS

APPROPRIATE USE1. The Environmental Review Form (ERF) can only be used when and as specifically authorized by the IEE or EA governing

the project or program in question. For IEEs, this authorization is made in the form of a negative determination with conditions. Authorized use of the ERF is limited to the specific class of activities enumerated in the determination.

2. The BEO will not clear an IEE or EA that authorizes use of the ERF unless ALL of the following are true:

a. the general nature or potential scope of the activities for which the ERF will be used are known at the time the IEE is written (e.g. small infrastructure rehabilitation, training and outreach for a specified purpose, etc.).

b. these activities will be executed under a grant or subproject component of a parent project/program. The ERF cannot be used in lieu of a request for categorical exclusion, IEE or IEE amendment when new activities/components are to be added to existing projects, programs or sector portfolios.

c. of their general nature, foreseeable adverse environmental impacts are small or easily controllable with BASIC MITIGATION TECHNIQUES that can BE SUCCESSFULLY IMPLEMEMENTED BY FIELD STAFF.

d. of their general nature, the activities are NOT large-scale.

There is no formal AFR standard for “small-scale activities.” Over time, AFR has developed some “rules of thumb” for activities that are BOTH small-scale AND pose very low risks of significant adverse impacts. These are used in the ERF itself: e.g. construction involving less than 10,000 sq ft total disturbed area and less than $200,000 total cost; road rehabilitation of less than 10km total length without change to alignment or right-of-way. Activities moderately larger than these “rules of thumb” are also small-scale, but are treated by the ERF as being of moderate/unknown risk, thus requiring an environmental review report.

What does “moderately larger” mean? What about activities for which there is no “rule of thumb” built into the ERF? Absolute physical scale and funding level, physical scale relative to the surrounding built environment, population affected, and number of locations affected are among the factors relevant to determining whether a class of activities is “small scale.” The IEE must provide enough information for the BEO to assess whether the activities proposed for subproject review will be indeed be small scale within their implementation context.

ADAPTATION OF THE FORM1. Text in UNDERLINE & BLUE HIGHLIGHT MUST be customized to the particular project/mission.

2. Yellow highlighted text must be reviewed and then modified, deleted or retained, as appropriate.

3. Both the form AND instructions should be generally reviewed and modified to reflect the specific project/program and implementation context.

4. The adapted form and instructions must be appended to the Initial Environmental Examination for the overall project.


Download at http://www.encapafrica.org/documents/AFR-EnvReviewForm-20Dec2010.doc

version 20 Dec 2010

5. For NRM-oriented programs (especially those involving CBNRM, ecotourism, enterprises exploiting non-timber forest products, etc.) consider adaptation and use of the Supplemental Environmental Review Form for NRM sector activities.

QUESTIONS AND GUIDANCE

General guidance on subproject review is available on the MEO Resource Center at www.encapafrica.org/meoEntry.htm. For specific questions, contact the Mission Environmental Officer or Regional Environmental Advisor. Good-practice examples of completed forms, environmental review reports and environmental management plans are available from USAID/AFR’s ENCAP project: [email protected]; www.encapafrica.org.

REVISION HISTORY:

Major update on 24 June 2010 to clarify appropriate use, revise Env Review Report structure, and update clearance requirements. Formatting and presentation revised 17 Jan 2005. Revised April 13, 2004, to include biosafety considerations and better reflect the Supplemental Environmental Review Form for NRM sector activities.

DELETE THIS PAGE BEFORE DISTRIBUTING THIS FORM


XXXX

INSTRUCTIONS FOR ENVIRONMENTAL REVIEW OF XXX PROGRAM SUBPROJECTS/SUB-GRANTSNote: These instructions accompany the attached “Environmental Review Form for USAID/XXX Program/Project Activities” (ERF). Follow, but DO NOT SUBMIT, these instructions.

WHO MUST SUBMIT THE ENVIRONMENTAL REVIEW FORM (ERF)?ALL Implementing Partners seeking to implement [describe qualifying activities] under the XXX Program/Project must complete, sign and submit the ERF to [insert name & email of C/AOTR].

Authority: Use of the ERF for these activities is mandated by the governing Initial Environmental Examination (IEE) for the XXX Project/Program. The IEE can be downloaded at: [insert URL].

NO IMPLEMENTATION WITHOUT AN APPROVED ERF The proposed activities cannot be implemented and no “irreversible commitment of resources” for these activities can be made until the ERF (including Environmental Review Report, if required, see Step 4, below) is cleared by the C/AOTR, the Mission Environmental Officer (MEO) and the Regional Environmental Advisor (REA).

NOTE: USAID may deny clearance to the ERF, or may require modification and re-submission for clearance.

ENVIRONMENTAL MANAGEMENT REQUIREMENTS RESULTING FROM THE ERFIf the ERF requires preparation of an Environmental Review Report (see Step 4, below), any environmental management measures specified in the approved Environmental Review Report MUST be implemented.

SITUATIONS IN WHICH ADDITIONAL ENVIRONMENTAL REVIEW IS REQUIRED.


AFR Environmental Review Form Instructions

20 Dec 2010

If the ERF finds that one of more of the proposed activities has the potential to cause significant adverse environmental impacts, the activities must be redesigned or an IEE or full Environmental Assessment must be conducted and approved prior to implementation.

If USAID determines that the proposed activities are outside the scope of activities for which use of this form is authorized, the activities must be redesigned or an IEE or IEE Amendment will be required.

In either situation, USAID will confer with the partner to determine next steps. Note: If an IEE or EA is required, all environmental management measures specified in the IEE or EA must then be implemented.

STEP 1. PROVIDE REQUESTED “APPLICANT INFORMATION” (SECTION A OF THE ERF)

STEP 2. LIST ALL PROPOSED ACTIVITIESIn Section B of the form, list all proposed activities.

Activities are a desired accomplishment or output: e.g. seedling production, road rehabilitation, school construction. Each activities has entailed actions—for example, road rehabilitation includes survey, grading, culvert construction, compaction, etc. Be aware of these entailed actions, but do NOT list them.

List activities DESCRIPTIVELY. For example, “training” is not a sufficient activity listing. The listing must specify WHO is being trained, and in WHAT.

STEP 3A. SCREENING: IDENTIFY LOW-RISK AND HIGH-RISK ACTIVITIESFor each activity you have listed in Section B of the form, refer to the list below to determine whether it is a listed low-risk or high-risk activity.

If an activity is specifically identified as “very low risk” or “high risk” in the list below, indicate this in the “screening result” column in Section B of the form.

Very low-risk activities

(Activities with low potential for adverse biophysical or

health impacts; including §216.2(c)(2))

High-risk activities(Activities with high potential for adverse biophysical or

health impacts; including §216.2(d)(1))


Provision of education, technical assistance, or training. (Note that activities directly affecting the

environment. do not qualify.)

Community awareness initiatives.

Controlled agricultural experimentation exclusively for

the purpose of research and field evaluation confined to

small areas (normally under 4 ha./10 acres). This must be

carefully monitored and no protected or other sensitive

environmental areas may be affected).

Technical studies and analyses and other information

generation activities not involving intrusive sampling of

endangered species or critical habitats.

Document or information transfers.

Nutrition, health care or family planning, EXCEPT

when (a) some included activities could directly affect the

environment (construction, water supply systems, etc.) or

(b) biohazardous (esp. HIV/AIDS) waste is handled or

blood is tested.

Small-scale construction. Construction or repair of

facilities if total surface area to be disturbed is under

10,000 sq. ft. (approx. 1,000 sq. m.) (and when no

protected or other sensitive environmental areas could be

affected).

Intermediate credit. Support for intermediate credit

arrangements (when no significant biophysical

environmental impact can reasonably be expected).

Maternal and child feeding conducted under Title II of

Public Law 480.

Title II Activities. Food for development programs under

Title III of P.L. 480, when no on-the-ground biophysical

interventions are likely.

Capacity for development. Studies or programs

intended to develop the capability of recipients to engage

in development planning. (Does NOT include activities

directly affecting the environment)

Small-scale Natural Resource Management activities

for which the answer to ALL SUPPLEMENTAL

SCREENING QUESTIONS (see Natural Resources

supplement) is “NO.”

River basin development

New lands development

Planned resettlement of human populations.

Penetration road building, or rehabilitation of roads

(primary, secondary, some tertiary) over 10 km length,

and any roads which may pass through or near

relatively undegraded forest lands or other sensitive

ecological areas

Substantial piped water supply and sewerage

construction.

Major bore hole or water point construction.

Large-scale irrigation; Water management structures such as dams and impoundments

Drainage of wetlands or other permanently flooded

areas.

Large-scale agricultural mechanization.

Agricultural land leveling.

Procurement or use of restricted use pesticides, or

wide-area application in non-emergency conditions

under non-supervised conditions. (Consult MEO.)

Light industrial plant production or processing (e.g.,

sawmill operation, agro-industrial processing of forestry

products, tanneries, cloth-dying operations).

High-risk and typically not funded by USAID : Actions affecting protected areas and species. Actions determined likely to significantly degrade

protected areas, such as introduction of exotic plants or

animals.

Actions determined likely to jeopardize threatened &

endangered species or adversely modify their habitat

(esp. wetlands, tropical forests)

Activities in forests, including:▪ Conversion of forest lands to rearing of livestock▪ Planned colonization of forest lands▪ Procurement or use of timber harvesting

equipment▪ Commercial extraction of timber▪ Construction of dams or other water control

structures that flood relatively undegraded forest lands

▪ Construction, upgrading or maintenance of


roads that pass through relatively non-degraded forest lands. (Includes temporary haul roads for logging or other extractive industries)

(This list of activities is taken from the text of 22 CFR 216 and other applicable laws, regulations and directives)

STEP 3B: IDENTIFYING ACTIVITIES OF UNKNOWN OR MODERATE RISK.All activities NOT identified as “very low risk” or “very high risk” are considered to be of “unknown or moderate risk.” Common examples of moderate-risk activities are given in the table below.

Check “moderate or unknown risk” under screening results in Section B of the form for ALL such activities.

Common examples of moderate-risk activities

CAUTION: If ANY of the activities listed in this table may adversely impact (1) protected areas, (2) other sensitive environmental areas, or (3) threatened and endangered species and their habitat, THEY ARE NOT MODERATE RISK. All such activities are HIGH RISK ACTIVITIES.

Small-scale agriculture, NRM, sanitation, etc. (You may

wish to define what “small scale” means for each activity)

Agricultural experimentation. Controlled and carefully

monitored agricultural experimentation exclusively for the

purpose of research and field evaluation of MORE than 4

ha.

NOTE Biotechnology/GMOs: No biotechnology

testing or release of any kind are to take place within

an assisted country until the host countries involved

have drafted and approved a regulatory framework

governing biotechnology and biosafety.

All USAID-funded interventions which involve

biotechnologies are to be informed by the ADS 211 series

governing "Biosafety Procedures for Genetic Engineering

Research". In particular this guidance details the

required written approval procedures needed before

transferring or releasing GE products to the field.

Medium-scale construction. Construction or

rehabilitation of facilities or structures in which the surface

area to be disturbed exceeds 10,000 sq. ft (1000 sq

meters) but funding level is $200,000 or less. (E.g. small

warehouses, farm packing sheds, agricultural trading

posts, produce market centers, and community training

Sampling. Technical studies and analyses or similar

activities that could involve intrusive sampling, of

endangered species or critical habitats. (Includes

aerial sampling.)

Water provision/storage. Construction or

rehabilitation of small-scale water points or water

storage devices for domestic or non-domestic use.

Water points must be located where no protected or

other sensitive environmental areas could be

affected.

NOTE: USAID guidance on water quality requires

testing for arsenic, nitrates, nitrites and coliform

bacteria.

Support for intermediate credit institutions when

indirect environmental harm conceivably could

result.

Institutional support grants to NGOs/PVOs when

the activities of the organizations are known and may

reasonably have adverse environmental impact.

Pesticides. .Small-scale use of USEPA-registered,

least-toxic general-use pesticides. Use must be

limited to NGO-supervised use by farmers,

demonstration, training and education, or emergency


centers.)

Rural roads. Construction or rehabilitation of rural roads

meeting the following criteria:

▪ Length of road work is less than ~10 km

▪ No change in alignment or right of way

▪ Ecologically sensitive areas are at least 100 m away fr om the road and not affected by construction or changes in drainage.

▪ No protected areas or relatively undegraded forest are within 5 km of the road.

Title II & III Small-Scale Infrastructure. Food for

Development programs under Title II or III, involving small-

scale infrastructure with the known potential to cause

environmental harm (e.g., roads, bore holes).

Quantity imports of commodities such as fertilizers

assistance.

NOTE: Environmental review (see step 5) must

be carried out consistent with USAID Pesticide

Procedures as required in Reg. 16 [22 CFR

216.3(b)(1)].

Nutrition, health care or family planning, if (a)

some included activities could directly affect the

environment (e.g., construction, supply systems,

etc.) or (b) biohazardous healthcare waste (esp.

HIV/AIDS) is produced, syringes are used, or blood

is tested.

STEP 4. DETERMINE IF YOU MUST WRITE AN ENVIRONMENTAL REVIEW REPORTExamine the “screening results” as you have entered them in Table 1 of the form.

● If ALL the activities are “very low risk,” then no further review is necessary. In Section C of the form, check the box labeled “very low risk activities.” Skip to Step 8 of these instructions.

● If ANY activities are “unknown or moderate risk,” you MUST complete an ENVIRONMENTAL REVIEW REPORT addressing these activities. Proceed to Step 5.

● If ANY activities are “high risk,” note that USAID’s regulations usually require a full environmental assessment study (EA). Because these activities are assumed to have a high probability of causing significant, adverse environmental impacts, they are closely scrutinized. Any proposed high-risk activity should be discussed in advance with USAID. Activity re-design is often indicated.

● In some cases, it is possible that reasonable, achievable mitigation and monitoring can reduce or eliminate likely impacts so that a full EA will not be required. If the applicant believes this to be the case, the Environmental Review Report must argue this case clearly and thoroughly. Proceed to Step 5.

STEP 5. WRITE THE ENVIRONMENTAL REVIEW REPORT, IF REQUIREDThe Environmental Review Report presents the environmental issues associated with the proposed activities. It also documents mitigation and monitoring commitments. Its purpose is to allow the applicant and USAID to evaluate the likely environmental impacts of the project.


For a single, moderate risk activity, the Environmental Review Report is typically a SHORT 4–5 page document. The Report will typically be longer for (1) multiple activities; (2) activities of high or unknown risk; and/or (3) when a number of impacts and mitigation measures are being identified and discussed.

The Environmental Review Report follows the outline below. Alternate outlines are acceptable, so long as all required information is covered.

A. Summary of Proposal. Very briefly summarize background, rationale and outputs/results expected. (Reference proposal, if appropriate).

B. Description of Activities. For all moderate and high-risk activities listed in Section B of the ERF, succinctly describe location, siting, surroundings (include a map, even a sketch map). Provide both quantitative and qualitative information about actions needed during all project phases and who will undertake them. (All of this information can be provided in a table). If various alternatives have been considered and rejected because the proposed activity is considered more environmentally sound, explain these.

C. Site-specific Environmental Situation & Host Country Requirements. Describe the environmental characteristics of the site(s) where the proposed activities will take place. Focus on site characteristics of concern—e.g., water supplies, animal habitat, steep slopes, etc. With regard to these critical characteristics, is the environmental situation at the site degrading, improving, or stable?

Also note applicable host country environmental regulations and/or policies. (For example, does the project require host country environmental review or permitting? Building approval? Etc.)

NOTE: provide site-specific information in this section, NOT country-level information. General information about country level conditions should already be contained in the IEE governing the XXX project/program.

D. Environmental Issues, Mitigation Actions, and Findings. For ALL proposed activities

i. Briefly note the potential environmental impacts or concerns presented by the proposed activities (if any). For guidance, refer to Africa Bureau’s Environmental Guidelines for Small-Scale Activities; available at www.encapafrica.org/egssaa.htm.

● As per the Small-Scale Guidelines, consider direct, indirect and cumulative impacts across the activity lifecycle (i.e. impacts of site selection, construction, and operation, as well as any problems that might arise with abandoning, restoring or reusing the site at the end of the anticipated life of the facility or activity). Note that “environment” includes air, water, geology, soils, vegetation, wildlife, aquatic


resources, historic, archaeological or other cultural resources, people and their communities, land use, traffic, waste disposal, water supply, energy, etc.)

ii. Assess the extent to which these potential impacts and concerns are significant in the context of the specific activity design and site.

iii. Set out the mitigation actions to be employed to address these issues.

● Mitigation actions are means taken to avoid, reduce or compensate for impacts. Mitigation measures must be reasonable and implementable by field staff. They should be consistent with the good practice guidance provided in Africa Bureau’s Environmental Guidelines for Small-Scale Activities; (www.encapafrica.org/egssaa.htm.) Cite this or other guidance used for mitigation design.

iv. Reach one of three findings regarding the potential impacts:

● a. Significant adverse impacts are very unlikely. Of its nature, the activity in question is very unlikely to result in significant, adverse environmental impacts. Special mitigation or monitoring is not required. Note: this conclusion is rarely appropriate for high-risk activities.

● b. With implementation of the specified mitigation and monitoring, significant adverse impacts are very unlikely.

● c. Significant adverse impacts are possible. That is, it is not possible to rule out significant adverse environmental impacts even given reasonable, attainable mitigation and monitoring.

● In this case, USAID and the partner will consult regarding next steps. If the activity is to go forward in its current form, additional analysis in the form of an IEE or EA will be required.

Format and structure of this section. Choose a format and structure that presents the necessary information clearly and succinctly.

Table formats can be used. In the example below, the proposed activity was construction of an institutional facility on a 7500m3 plot bisected by a seasonal stream providing drainage to the local area. One potential impact of the activity was reduction of or alteration to the drainage eco-service provided by the seasonal stream.

Issue or cause for concern

Analysis Finding and conditions/mitigation actions

The seasonal stream running through the plot drains an area of at least 2 km2 to the WNW.

Diminution or alteration to this drainage “service” could result in increased upstream pooling &

As indicated at left, this impact only arises if the drainage “service “ provided by the seasonal stream is diminished or altered in some adverse manner.

Per analysis at left, this potential impact is not significant, so long as the following mitigations are implemented:

1. Total stream capacity cannot be diminished by the development of the compound. (Stream channel on average is 3m x 1m.)

2. The stream must remain substantially in the same channel and cannot, e.g., be re-routed around the property.

3. If construction will result in an interruption to stream flow, provision must


flooding during the rainy season, with associated property damage and increased breeding habitat for disease vectors.

So long as compound design maintains the existing service level and construction is managed without disruption to stream flow, actual adverse impact will be negligible or zero.

be made to provide a temporary bypass. Temporary damming of stream flow is not permissible.

4. Post-construction, the stream bed within the property, including point-of-entry (e.g. via culvert under perimeter wall) must be maintained free of obstructions to flow.

E. Environmental Mitigation and Monitoring Plan (EMMP). Set out how compliance with mitigation actions will be monitored/verified. This includes specifying WHO will be responsible for the various mitigation actions, and HOW implementation of the mitigation actions will be tracked/verified. Also specify how you will report to USAID on the implementation of mitigation actions. (You are REQUIRED to provide your C/AOTR with sufficient information on the status of mitigation implementation for USAID to effectively fulfill its oversight and performance monitoring role.)

Again, choose a format and structure that presents the necessary information clearly and succinctly. EMMPs are typically in table format, and often include a compliance log or “monitoring record” section that records implementation status of the various mitigation actions. The EMMP with current monitoring log can then simply be submitted to the C/AOTR with the quarterly or 6-month project report, satisfying the environmental compliance reporting requirement. .

The most basic EMMP format is

Mitigation action Responsible Party Monitoring/Verification Method Monitoring Record (date, result, corrective actions taken, if any)

For additional EMMP formats and examples, see the ENCAP EMMP factsheet, available via www.encapafrica.org/meoEntry.htm

F. Other Information. Where possible and as appropriate, include photos of the site and surroundings; maps; and list the names of any reference materials or individuals consulted.


● (Pictures and maps of the site can substantially reduce the written description required in parts B & C)

STEP 6. TRANSCRIBE FINDINGS FROM THE ENVIRONMENTAL REVIEW REPORT TO THE ERF For each high-risk or unknown/moderate-risk activity, transcribe your finding from the environmental review report to the last column of Section B of the ERF.

STEP 7. SIGN CERTIFICATIONS (SECTION C OF FORMER.)

STEP 8. SUBMIT FORM TO USAID C/AOTR. BE SURE TO ATTACH THE ENVIRONMENTAL REVIEW REPORT, IF ANY.

XXXX

ENVIRONMENTAL REVIEW FORM FOR XXX PROGRAM SUBPROJECTS/SUBGRANTS Follow, but do not submit, the attached instructions.

A. APPLICANT INFORMATION

Organization Parent grant or

project

Individual contact

and title

Address, phone &

email (if available)

Proposed

subproject

/subgrant

Amount of funding

requested

Period of


AFR Environmental Review Form

20 Dec 2010

(brief description) performance

Location(s) of

proposed activities

B. ACTIVITIES, SCREENING RESULTS, AND FINDINGS

Screening result

(Step 3 of instructions)

Findings

(Step 6 of instructions. Complete

for all moderate/unknown and

high-risk activities ONLY)

Proposed activities(Provide DESCRIPTIVE listing.

Continue on additional page if necessary)

Very

Low

Risk

High-

Risk*

Mode

rate

or

unkn

own

risk*

significa

nt

adverse

impacts

are very

unlikely

With

specified

mitigatio

n,

significa

nt

adverse

impacts

are very

unlikely

Signifi

cant

Adver

se

impac

ts are

possi

ble

1.

2.

3.

4.

5.

6.

7.

8.


*These screening results require completion of an Environmental Review Report


C. CERTIFICATION:I, the undersigned, certify that:

1. The information on this form and accompanying environmental review report (if any) is correct and complete.

2. Implementation of these activities will not go forward until specific approval is received from the C/AOTR.

3. All mitigation and monitoring measures specified in the Environmental Review Report will be implemented in their entirety, and that staff charged with this implementation will have the authority, capacity and knowledge for successful implementation.

(Signature) (Date)

(Print name) (Title)

NOTE: IF SCREENING RESULTS FOR ANY ACTIVITY ARE “HIGH RISK” OR “MODERATE OR UNKNOWN RISK,” THIS FORM IS NOT COMPLETE UNLESS ACCOMPANIED BY AN ENVIRONMENTAL REVIEW REPORT.

BELOW THIS LINE FOR USAID USE ONLY Notes:1. For clearance to be granted, the activity MUST be within the scope of the activities for which use of the ERF is authorized

in the governing IEE. Review IEE before signature. If activities are outside this scope, deny clearance and provide

explanation in comments section. The Partner, C/AOTR, MEO and REA must then confer regarding next steps: activity re-

design, an IEE or EA.

2. Clearing an ERF containing one or more findings that significant adverse impacts are possible indicates agreement

with the analysis and findings. It does NOT authorize activities for which “significant adverse impacts are possible” to go

forward. It DOES authorize other activities to go forward. The Partner, C/AOTR, MEO and REA must then confer regarding

next steps: activity re-design, an IEE or EA.

CLEARANCE RECORD

C/AOTR ◻ Clearance given

◻ Clearance denied

(print name) (signature) (date)

USAID/XXXX MEO◻ Clearance given



Regional Env. Advisor (REA) (print name) (signature) (date)


◻ Clearance given


Bureau Env. Officer (BEO)* ◻ Clearance given



C/AOTR, MEO and REA clearance is required. BEO clearance is required for all “high risk” screening results and for findings

of “significant adverse impacts possible. The BEO may review ”

Note: if clearance is denied, comments must be provided to applicant (use space below & attach sheets if necessary)

NOTE TO INDIVIDUALS ADAPTING THE:

* SUPPLEMENTAL ENVIRONMENTAL REVIEW FORM FOR NRM ACTIVIES

FOR USE ON A PARTICULAR PROGRAM/ACTIVITY:

▪ This supplement is oriented around major resource/issue clusters and asks “leading questions” about the actual potential for unintended harmful impacts, especially of CBNRM/ ecotourism activities.

▪ Underlined & blue highlighted text MUST be modified to reflect project and mission name

▪ Questions should be modified to respond to the needs of individual projects. This is intended to be a “living” document subject to adaptation.

● DELETE THIS PAGE BEFORE MODIFYING/DISTRIBUTING THIS FORM●


SUPPLEMENT TO THE ENVIRONMENTAL REVIEW FORMFOR NATURAL RESOURCES ACTIVITIESADDITIONAL SCREENING CRITERIA FOR NATURAL RESOURCE ACTIVITIES UNDER XXX PROGAM

PURPOSEThis is a supplement to the “Instructions for environmental review of XXX Program/Project activities.” It is to be used for natural resources-based activities, including:

▪ Community-Based Natural Resource Management (CBNRM)

▪ Ecotourism

▪ Natural resources-based enterprise development with micro- and small enterprises

This supplement provides additional questions to ascertain whether these proposed activities should be categorized as “very low risk:”

▪ If the answers to ALL the questions that follow are “NO,” then the proposed natural resource-based activity is considered “very low risk.”

▪ If the answer to ANY question is “YES,” the activity CANNOT be considered “very low risk.”

SCREENING CRITERIA

Will the activities… YES NO

Natural Resources

Accelerate erosion by water or wind?

Reduce soil fertility and/or permeability?

Alter existing stream flow, reduce seasonal availability of water resources?

Potentially contaminate surface water and groundwater supplies?

Involve the extraction of renewable natural resources?

Lead to unsustainable use of renewable natural resources such as forest products?


17 Jan 2005

Involve the extraction of non-renewable natural resources?

Restrict customary access to natural resources?

Reduce local air quality through generating dust, burning of wastes or using fossil fuels

and other materials in improperly ventilated areas?

Affect dry-season grazing areas and/or lead to restricted access to a common resource?

Lead to unsustainable or unnecessarily high water extraction and/or wasteful use?

Ecosystems and Biodiversity

Drain wetlands, or be sited on floodplains?

Harvest wetland plant materials or utilize sediments of bodies of water?

Lead to the clearing of forestlands for agriculture, the over-harvesting of valuable forest

species?

Promote in-forest bee keeping?

Lead to increased hunting, or the collection of animals or plant materials?

Increase the risks to endangered or threatened species?

Introduce new exotic species of plants or animals to the area?

Lead to road construction or rehabilitation, or otherwise facilitate access to fragile areas

(natural woodlands, wetlands, erosion-prone areas)?

Cause disruption of wildlife migratory routes?

Agricultural and Forestry Production

Have an impact on existing or traditional agricultural production systems by reducing

seed availability or reallocating land for other purposes?

Lead to forest plantation harvesting without replanting, the burning of pastureland, or a

reduction in fallow periods?

Affect existing food storage capacities by reducing food inventories or encouraging the

incidence of pests?

Affect domestic livestock by reducing grazing areas, or creating conditions where

livestock disease problems could be exacerbated?

Involve the use of insecticides, herbicides and/or other pesticides?

Community and Social Issues

Have a negative impact on potable water supplies?


Encourage domestic animal migration through natural areas?

Change the existing land tenure system?

Have a negative impact on culturally important sites in the community?

Increase in-migration to the area?

Create conditions that lead to a reduction in community health standards?

Lead to the generation of non-biodegradable waste?

Involve the relocation of the local community?

Potentially cause or aggravate land-use conflicts?
