22 CFR 216 Agency Environmental Procedures
These procedures have been revised based
on experience with previous ones agreed to in settlement of
a law suit brought against the Agency in 1975. The Procedures
are Federal Regulations and therefore, it is imperative that
they be followed in the development of Agency programs.
In preparing these Regulations, some interpretations and
definitions have been drawn from Executive Order No. 12114
of January 1979, on the application of the National Environmental
Policy Act (NEPA) to extraterritorial situations. Some elements
of the revised regulations on NEPA issued by the President's
Council on Environmental Quality have also been adopted. Examples
are: The definition of significant impact, the concept of
scoping of issues to be examined in a formal analysis, and
the elimination of certain AID activities from the requirement
for environmental review.
In addition, these procedures: 1) provide advance notice
that certain types of projects will automatically require
detailed environmental analysis thus eliminating one step
in the former process and permitting early planning for this
activity; 2) permit the use of specially prepared project
design considerations or guidance to be substituted for environmental
analysis in selected situations; 3) advocate the use of indigenous
specialists to examine pre-defined issues during the project
design stage; 4) clarify the role of the Bureau's Environmental
Officer in the review and approval process, and 5) permit
in certain circumstances, projects to go forward prior to
completion of environmental analysis.
Note that only minimal clarification changes have been made
in those sections dealing with the evaluation and selection
of pesticides to be supported by AID in projects or of a non-project
assistance activity.
INTERNATIONAL DEVELOPMENT COOPERATION AGENCY
U.S. Agency for International Development
22 CFR PART 216
ENVIRONMENTAL PROCEDURES
Authority: 42 U.S.C. 4332; 22 U.S.C. 2381.
Source: 41 FR 26913, June 30, 1976.
§216.1 Introduction
(a) Purpose. In accordance with sections
118(b) and 621 of the Foreign Assistance Act of 1961, as amended,
(the FAA) the following general procedures shall be used by
A.I.D. to ensure that environmental factors and values are
integrated into the A.I.D. decision-making process. These
procedures also assign responsibility within the Agency for
assessing the environmental effects of A.I.D.'s actions. These
procedures are consistent with Executive Order 12114, issued
January 4, 1979, entitled Environmental Effects Abroad of
Major Federal Actions, and the purposes of the National Environmental
Policy Act of 1970, as amended (42 U.S.C. 4371 et
seq.)(NEPA). They are intended to implement the requirements
of NEPA as they effect the A.I.D. program.
(b) Environmental Policy. In the conduct
of its mandate to help upgrade the quality of life of the
poor in developing countries, A.I.D. conducts a broad range
of activities. These activities address such basic problems
as hunger, malnutrition, overpopulation, disease, disaster,
deterioration of the environment and the natural resource
base, illiteracy as well as the lack of adequate housing
and transportation. Pursuant to the FAA, A.I.D. provides
development
assistance in the form of technical advisory services, research,
training, construction and commodity support. In addition.
A.I.D. conducts programs under the Agricultural Trade Development
and Assistance Act of 1954 (Pub. L. 480) that are designed
to combat hunger, malnutrition and to facilitate economic
development. Assistance programs are carried out under the
foreign policy guidance of the Secretary of State and in
cooperation with the governments of sovereign states. Within
this framework,
it is A.I.D. policy to:
(1) Ensure that the environmental consequences of A.I.D.financed
activities are identified and considered by A.I.D. and the
host country prior to a final decision to proceed and that
appropriate environmental safeguards are adopted;
(2) Assist developing countries to strengthen their capabilities
to appreciate and effectively evaluate the potential environmental
effects of proposed development strategies and projects, and
to select, implement and manage effective environmental programs;
(3) Identify impacts resulting from A.I.D.'s actions upon
the environment, including those aspects of the biosphere
which are the common and cultural heritage of all mankind;
and
(4) Define environmental limiting factors that constrain
development and identify and carry out activities that assist
in restoring the renewable resource base on which sustained
development depends.
(c) Definitions
(1) CEQ Regulations. Regulations promulgated
by the President's Council on Environmental Quality (CEQ)
(Federal Register, Volume 43, Number 230, November 29, 1978)
under the authority of NEPA and Executive Order 11514, entitled
Protection and Enhancement of Environmental Quality (March
5, 1970) as amended by Executive Order 11991 (May 24, 1977).
(2) Initial Environmental Examination.
An Initial Environmental Examination is the first review of
the reasonably foreseeable effects of a proposed action on
the environment. Its function is to provide a brief statement
of the factual basis for a Threshold Decision as to whether
an Environmental Assessment or an Environmental Impact Statement
will be required.
(3) Threshold Decision. A formal Agency
decision which determines, based on an Initial Environmental
Examination, whether a proposed Agency action is a major action
significantly affecting the environment.
(4) Environmental Assessment. A detailed
study of the reasonably foreseeable significant effects, both
beneficial and adverse, of a proposed action on the environment
of a foreign country or countries.
(5) Environmental Impact Statement. A detailed
study of the reasonably foreseeable environmental impacts,
both positive and negative, of a proposed A.I.D. action and
its reasonable alternatives on the United States, the global
environment or areas outside the jurisdiction of any nation
as described in §216.7 of these procedures. It is a specific
document having a definite format and content, as provided
in NEPA and the CEQ Regulations. The required form and content
of an Environmental Impact Statement is further described
in §216.7 infra.
(6) Project Identification Document (PID).
An internal A.I.D. document which initially identifies and
describes a proposed project.
(7) Program Assistance Initial Proposal (PAIP).
An internal A.I.D. document used to initiate and identify
proposed nonproject assistance, including commodity import
programs. It is analogous to the PID.
(8) Project Paper (PP). An internal A.I.D.
document which provides a definitive description and appraisal
of the project and particularly the plan or implementation.
(9) Program Assistance Approval Document (PAAD).
An internal A.I.D. document approving nonproject assistance.
It is analogous to the PP.
(10) Environment. The term environment,
as used in these procedures with respect to effects occurring
outside the United States, means the natural and physical
environment. With respect to effects occurring within the
United States see §216.7(b).
(11) Significant Effect. With respect to
effects on the environment outside the United States, a proposed
action has a significant effect on the environment if it does
significant harm to the environment.
(12) Minor Donor. For purposes of these
procedures, A.I.D. is a minor donor to a multidonor project
when A.I.D. does not control the planning or design of the
multidonor project and either
(i) A.I.D.'s total contribution to the project is both less
than $1,000,000 and less than 25 percent of the estimated
project cost, or
(ii) A.I.D.'s total contribution is more than $1,000,000
but less than 25 percent of the estimated project cost and
the environmental procedures of the donor in control of the
planning of design of the project are followed, but only if
the A.I.D. Environmental Coordinator determines that such
procedures are adequate.
§216.2 Applicability of procedures.
(a) Scope. Except as provided in §216.2(b),
these procedures apply to all new projects, programs or activities
authorized or approved by A.I.D. and to substantive amendments
or extensions of ongoing projects, programs, or activities.
(b) Exemptions. (1) Projects, programs
or activities involving the following are exempt from these
procedures:
(i) International disaster assistance;
(ii) Other emergency circumstances; and
(iii) Circumstances involving exceptional foreign policy
sensitivities.
(2) A formal written determination, including a statement
of the justification therefore, is required for each project,
program or activity for which an exemption is made under paragraphs
(b)(l) (ii) and (iii) of this section, but is not required
for projects, programs or activities under paragraph (b)(l)(i)
of this section. The determination shall be made either by
the Assistant Administrator having responsibility for the
program, project or activity, or by the Administrator, where
authority to approve financing has been reserved by the Administrator.
The determination shall be made after consultation with CEQ
regarding the environmental consequences of the proposed program,
project or activity.
(c) Categorical Exclusions. (1) The following
criteria have been applied in determining the classes of actions
included in §216.2(c)(2) for which and Initial Environmental
Examination, Environmental Assessment and Environmental Impact
Statement generally are not required:
(i) The action does not have an effect on the natural or
physical environment;
(ii) A.I.D. does not have knowledge of or control over,
and the objective of A.I.D. in furnishing assistance does
not require, either prior to approval of financing or prior
to implementation of specific activities, knowledge of or
control over, the details of the specific activities that
have an effect on the physical and natural environment for
which financing is provided by A.I.D.;
(iii) Research activities which may have an affect on the
physical and natural environment but will not have a significant
effect as a result of limited scope, carefully controlled
nature and effective monitoring.
(2) The following classes of actions are not subject to
the procedures set forth in §216.3, except to the extent
provided herein;
(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;
(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;
(v) Document and information transfers;
(vi) Contributions to international, regional or national
organizations by the United States which are not for the purpose
of carrying out a specifically identifiable project or projects;
(vii) Institution building grants to research and educational
institutions in the United States such as those provided for
under section 122(d) and Title XII of Chapter 2 of Part I
of the FAA (22 USCA §§2151 p. (b) 2220a. (1979));
(viii) Programs involving nutrition, health care or population
and family planning services except to the extent designed
to include activities directly affecting the environment (such
as construction of facilities, water supply systems, waste
water treatment, etc.)
(ix) Assistance provided under a Commodity Import Program
when, prior to approval, A.I.D. does not have knowledge of
the specific commodities to be financed and when the objective
in furnishing such assistance requires neither knowledge,
at the time the assistance is authorized, nor control, during
implementation, of the commodities or their use in the host
country.
(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;
(xi) Programs of maternal or child feeding conducted under
Title II of Pub. L. 480;
(xii) Food for development programs conducted by food recipient
countries under Title III of Pub. L. 480, when achieving A.I.D.'s
objectives in such programs does not require knowledge of
or control over the details of the specific activities conducted
by the foreign country under such program;
(xiii) Matching, general support and institutional support
grants provided to private voluntary organizations (PVOs)
to assist in financing programs where A.I.D.'s objective in
providing such financing does not require knowledge of or
control over the details of the specific activities conducted
by the PVO;
(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.); and
(xv) Activities which involve the application of design
criteria or standards developed and approved by A.I.D.
(3) The originator of a project. program or activity shall
determine the extent to which it is within the classes of
actions described in paragraph (c)(2) of this section. This
determination shall be made in writing and be submitted with
the PID, PAIP or comparable document. This determination,
which must include a brief statement supporting application
of the exclusion shall be reviewed by the Bureau Environmental
Officer in the same manner as a Threshold Decision under §216.3(a)(2)
of these procedures. Notwithstanding paragraph (c)(2) of this
section, the procedures set forth in §216.3 shall apply
to any project, program or activity included in the classes
of actions listed in paragraph (c)(2) of this section, or
any aspect or component thereof, if at any time in the design,
review or approval of the activity it is determined that the
project, program or activity, or aspect or component thereof,
is subject to the control of A.I.D. and may have a significant
effect on the environment.
(d) Classes of Actions Normally Having a Significant
Effect on the Environment.
(1) The following classes of actions have been determined
generally to have a significant effect on the environment
and an Environmental Assessment or Environmental Impact Statement,
as appropriate, will be required:
(i) Programs of river basin development;
(ii) Irrigation or water management projects, including
dams and impoundments;
(iii) Agricultural land leveling;
(iv) Drainage projects;
(v) Large scale agricultural mechanization;
(vi) New lands development;
(vii) Resettlement projects;
(viii) Penetration road building or road improvement projects;
(ix) Powerplants;
(x) Industrial plants;
(xi) Potable water and sewerage projects other than those
that are smallscale.
(2) An Initial Environmental Examination normally will not
be necessary for activities within the classes described in
§216.2(d), except when the originator of the project
believes that the project will not have a significant effect
on the environment. In such cases, the activity may be subjected
to the procedures set forth in §216.3.
(e) Pesticides. The exemptions of §216.2(b)(l)
and the categorical exclusions of §216.2(c)(2) are not
applicable to assistance for the procurement or use of pesticides.
§216.3 Procedures.
(a) General procedures
(1) Preparation of the Initial Environmental Examination.
Except as otherwise provided, an Initial Environmental Examination
is not required for activities identified in §216.2(b)(1),
(c)(2), and (d). For all other A.I.D. activities described
in §216.2(a) an Initial Environmental Examination will
be prepared by the originator of an action. Except as indicated
in this section, it should be prepared with the PID or PAIP.
For projects including the procurement or use of pesticides,
the procedures set forth in §216.3(b) will be followed,
in addition to the procedures in this paragraph. Activities
which cannot be identified in sufficient detail to permit
the completion of an Initial Environmental Examination with
the PID or PAIP, shall be described by including with the
PID or PAIP:
(i) An explanation indicating why the Initial Environmental
Examination cannot be completed;
(ii) an estimate of the amount of time required to complete
the Initial Environmental Examination; and
(iii) a recommendation that a Threshold Decision be deferred
until the Initial Environmental Examination is completed.
The responsible Assistant Administrator will act on the request
for deferral concurrently with action on the PID or PAIP and
will designate a time for completion of the Initial Environmental
Examination. In all instances, except as provided in
§216.3(a)(7), this completion date will be in sufficient
time to allow for the completion of an Environmental Assessment
or Environmental Impact Statement, if required, before a final
decision is made to provide A.I.D. funding for the action.
(2) Threshold Decision. (i) The Initial
Environmental Examination will include a Threshold Decision
made by the officer in the originating office who signs the
PID or PAIP. If the Initial Environmental Examination is completed
prior to or at the same time as the PID or PAIP, the Threshold
Decision will be reviewed by the Bureau Environmental Officer
concurrently with approval of the PID or PAIP. The Bureau
Environmental Officer will either concur in the Threshold
Decision or request reconsideration by the officer who made
the Threshold Decision, stating the reasons for the request.
Differences of opinion between these officers shall be submitted
for resolution to the Assistant Administrator at the same
time that the PID is submitted for approval.
(ii) An Initial Environmental Examination, completed subsequent
to approval of the PID or PAIP, will be forwarded immediately
together with the Threshold Determination to the Bureau Environmental
Officer for action as described in this section.
(iii) A Positive Threshold Decision shall result from a
finding that the proposed action will have a significant effect
on the environment. An Environmental Impact Statement shall
be prepared if required pursuant to §216.7. If an impact
statement is not required, an Environmental Assessment will
be prepared in accordance with §216.6. The cognizant
Bureau or Office will record a Negative Determination if the
proposed action will not have a significant effect on the
environment.
(3) Negative Declaration. The Assistant
Administrator, or the Administrator in actions for which the
approval of the Administrator is required for the authorization
of financing, may make a Negative Declaration, in writing,
that the Agency will not develop an Environmental Assessment
or an Environmental Impact Statement regarding an action found
to have a significant effect on the environment when (i) a
substantial number of Environmental Assessments or Environmental
Impact Statements relating to similar activities have been
prepared in the past, if relevant to the proposed action,
(ii) the Agency has previously prepared a programmatic Statement
or Assessment covering the activity in question which has
been considered in the development of such activity, or (iii)
the Agency has developed design criteria for such an action
which, if applied in the design of the action, will avoid
a significant effect on the environment.
(4) Scope of Environmental Assessment or Impact
Statement
(i) Procedure and Content. After a Positive
Threshold Decision has been made, or a determination is made
under the pesticide procedures set forth in §216.3(b)
that an Environmental Assessment or Environmental Impact Statement
is required, the originator of the action shall commence the
process of identifying the significant issues relating to
the proposed action and of determining the scope of the issues
to be addressed in the Environmental Assessment or Environmental
Impact Statement. The originator of an action within the classes
of actions described in §216.2(d) shall commence this
scoping process as soon as practicable. Persons having expertise
relevant to the environmental aspects of the proposed action
shall also participate in this scoping process. (Participants
may include but are not limited to representatives of host
governments, public and private institutions, the A.I.D. Mission
staff and contractors.) This process shall result in a written
statement which shall include the following matters:
(a) A determination of the scope and significance of issues
to be analyzed in the Environmental Assessment or Impact Statement,
including direct and indirect effects of the project on the
environment.
(b) Identification and elimination from detailed study of
the issues that are not significant or have been covered by
earlier environmental review, or approved design considerations,
narrowing the discussion of these issues to a brief presentation
of why they will not have a significant effect on the environment.
(c) A description of
(1) the timing of the preparation of environmental analyses,
including phasing if appropriate,
(2) variations required in the format of the Environmental
Assessment, and
(3) the tentative planning and decision-making schedule;
and
(d) A description of how the analysis will be conducted
and the disciplines that will participate in the analysis.
(ii) These written statements shall be reviewed and approved
by the Bureau Environmental Officer.
(iii) Circulation of Scoping Statement.
To assist in the preparation of an Environmental Assessment,
the Bureau Environmental Officer may circulate copies of the
written statement, together with a request for written comments,
within thirty days, to selected federal agencies if that Officer
believes comments by such federal agencies will be useful
in the preparation of an Environmental Assessment. Comments
received from reviewing federal agencies will be considered
in the preparation of the Environmental Assessment and in
the formulation of the design and implementation of the project,
and will, together with the scoping statement, be included
in the project file.
(iv) Change in Threshold Decision. If it
becomes evident that the action will not have a significant
effect on the environment (i.e., will not cause significant
harm to the environment), the Positive Threshold Decision
may be withdrawn with the concurrence of the Bureau Environmental
Officer. In the case of an action included in §216.2(d)(2),
the request for withdrawal shall be made to the Bureau Environmental
Officer.
(5) Preparation of Environmental Assessments and
Environmental Impact Statement. If the PID or PAIP
is approved, and the Threshold Decision is positive, or the
action is included in §216.2(d), the originator of the
action will be responsible for the preparation of an Environmental
Assessment or Environmental Impact Statement as required.
Draft Environmental Impact Statements will be circulated for
review and comment as part of the review of Project Papers
and as outlined further in §216.7 of those procedures.
Except as provided in §216.3(a)(7), final approval of
the PP or PAAD and the method of implementation will include
consideration of the Environmental Assessment or final Environmental
Impact Statement.
(6) Processing and Review Within A.I.D.
(i) Initial Environmental Examinations, Environmental Assessments,
and final Environmental Impact Statements will be processed
pursuant to standard A.I.D. procedures for project approval
documents. Except as provided in §216.3(a)(7), Environmental
Assessments and final Environmental Impact Statements will
be reviewed as an integral part of the Project Paper or equivalent
document. In addition to these procedures, Environmental Assessments
will be reviewed and cleared by the Bureau Environmental Officer.
They may also be reviewed by the Agency's Environmental Coordinator
who will monitor the Environmental Assessment process.
(ii) When project approval authority is delegated to field
posts, Environmental Assessments shall be reviewed and cleared
by the Bureau Environmental Officer prior to the approval
of such actions.
(iii) Draft and final Environmental Impact Statements will
be reviewed and cleared by the Environmental Coordinator and
the Office of the General Counsel.
(7) Environmental Review After Authorization of
Financing.
(i) Environmental review may be performed after authorization
of a project, program or activity only with respect to subprojects
or significant aspects of the project, program or activity
that are unidentified at the time of authorization. Environmental
review shall be completed prior to authorization for all subprojects
and aspects of a project, program or activity that are identified.
(ii) Environmental review should occur at the earliest time
in design or implementation at which a meaningful review can
be undertaken, but in no event later than when previously
unidentified subprojects or aspects of projects, programs
or activities are identified and planned. To the extent possible,
adequate information to undertake deferred environmental review
should be obtained before funds are obligated for unidentified
subprojects or aspects of projects, programs or activities.
(Funds may be obligated for the other aspects for which environmental
review has been completed.) To avoid an irreversible commitment
of resources prior to the conclusion of environmental review,
the obligation of funds can be made incrementally as subprojects
or aspects of projects, programs or activities are identified;
or if necessary while planning continues, including environmental
review, the agreement or other document obligating funds may
contain appropriate covenants or conditions precedent to disbursement
for unidentified subprojects or aspects of projects, programs
or activities.
(iii) When environmental review must be deferred beyond
the time some of the funds are to be disbursed (e.g., long
lead times for the delivery of goods or services), the project
agreement or other document obligating funds shall contain
a covenant or covenants requiring environmental review, including
an Environmental Assessment or Environmental Impact Statement,
when appropriate, to be completed and taken into account prior
to implementation of those subprojects or aspects of the project,
program or activity for which environmental review is deferred.
Such covenants shall ensure that implementation plans will
be modified in accordance with environmental review if the
parties decide that modifications are necessary.
(iv) When environmental review will not be completed for
an entire project, program or activity prior to authorization,
the Initial Environmental Examination and Threshold Decision
required under §216.3(a)(l) and (2) shall identify those
aspects of the project, program or activity for which environmental
review will be completed prior to the time financing is authorized.
It shall also include those subprojects or aspects for which
environmental review will be deferred, stating the reasons
for deferral and the time when environmental review will be
completed. Further, it shall state how an irreversible commitment
of funds will be avoided until environmental review is completed.
The A.I.D. officer responsible for making environmental decisions
for such projects, programs or activities shall also be identified
(the same officer who has decision-making authority for the
other aspects of implementation). This deferral shall be reviewed
and approved by the officer making the Threshold Decision
and the officer who authorizes the project, program or activity.
Such approval may be made only after consultation with the
Office of General Counsel for the purpose of establishing
the manner in which conditions precedent to disbursement or
covenants in project and other agreements will avoid an irreversible
commitment of resources before environmental review is completed.
(8) Monitoring. To the extent feasible
and relevant, projects and programs for which Environmental
Impact Statements or Environmental Assessments have been prepared
should be designed to include measurement of any changes in
environmental quality, positive or negative, during their
implementation. This will require recording of baseline data
at the start. To the extent that available data permit, originating
offices of A.I.D. will formulate systems in collaboration
with recipient nations, to monitor such impacts during the
life of A.I.D.'s involvement. Monitoring implementation of
projects, programs and activities shall take into account
environmental impacts to the same extent as other aspects
of such projects, programs and activities. If during implementation
of any project, program or activity, whether or not an Environmental
Assessment or Environmental Impact Statement was originally
required, it appears to the Mission Director, or officer responsible
for the project, program or activity, that it is having or
will have a significant effect on the environment that was
not previously studied in an Environmental Assessment or Environmental
Impact Statement, the procedures contained in this part shall
be followed including, as appropriate, a Threshold Decision,
Scoping and an Environmental Assessment or Environmental Impact
Statement.
(9) Revisions. If, after a Threshold Decision
is made resulting in a Negative Determination, a project is
revised or new information becomes available which indicates
that a proposed action might be "major" and its
effects "significant", the Negative Determination
will be reviewed and revised by the cognizant Bureau and an
Environmental Assessment or Environmental Impact Statement
will be prepared, if appropriate. Environmental Assessments
and Environmental Impact Statements will be amended and processed
appropriately if there are major changes in the project or
program, or if significant new information becomes available
which relates to the impact of the project, program or activity
on the environment that was not considered at the time the
Environmental Assessment or Environmental Impact Statement
was approved. 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, the procedures outlined in
this part will be followed.
(10) Other Approval Documents. These procedures
refer to certain A.I.D. documents such as PIDs, PAIPs, PPs
and PAADs as the A.I.D. internal instruments for approval
of projects, programs or activities. From time to time, certain
special procedures, such as those in §216.4, may not
require the use of the aforementioned documents. In these
situations, these environmental procedures shall apply to
those special approval procedures, unless otherwise exempt,
at approval times and levels comparable to projects, programs
and activities in which the aforementioned documents are used.
(b) Pesticide Procedures
(1) Project Assistance. Except as provided
in §216.3 (b)(2), all proposed projects involving assistance
for the procurement or use, or both, of pesticides shall be
subject to the procedures prescribed in §216.3(b)(l)(i)
through (v). These procedures shall also apply, to the extent
permitted by agreements entered into by A.I.D. before the
effective date of these pesticide procedures, to such projects
that have been authorized but for which pesticides have not
been procured as of the effective date of these pesticide
procedures.
(i) When a project includes assistance for procurement or
use, or both, of pesticides registered for the same or similar
uses by USEPA without restriction, the Initial Environmental
Examination for the project shall include a separate section
evaluating the economic, social and environmental risks and
benefits of the planned pesticide use to determine whether
the use may result in significant environmental impact. Factors
to be considered in such an evaluation shall include, but
not be limited to the following:
(a) The USEPA registration status of the requested pesticide;
(b) The basis for selection of the requested pesticide;
(c) The extent to which the proposed pesticide use is part
of an integrated pest management program;
(d) The proposed method or methods of application, including
availability of appropriate application and safety equipment;
(e) Any acute and longterm toxicological hazards, either
human or environmental, associated with the proposed use and
measures available to minimize such hazards;
(f) The effectiveness of the requested pesticide for the
proposed use;
(g) Compatibility of the proposed pesticide with target
and nontarget ecosystems;
(h) The conditions under which the pesticide is to be used,
including climate, flora, fauna, geography, hydrology, and
soils;
(i) The availability and effectiveness of other pesticides
or nonchemical control methods;
(j) The requesting country's ability to regulate or control
the distribution, storage, use and disposal of the requested
pesticide;
(k) The provisions made for training of users and applicators;
and
(l) The provisions made for monitoring the use and effectiveness
of the pesticide.
In those cases where the evaluation of the proposed pesticide
use in the Initial Environmental Examination indicates that
the use will significantly effect the human environment, the
Threshold Decision will include a recommendation for the preparation
of an Environmental Assessment or Environmental Impact Statement,
as appropriate. In the event a decision is made to approve
the planned pesticide use, the Project Paper shall include
to the extent practicable, provisions designed to mitigate
potential adverse effects of the pesticide. When the pesticide
evaluation section of the Initial Environmental Examination
does not indicate a potentially unreasonable risk arising
from the pesticide use, an Environmental Assessment or Environmental
Impact Statement shall nevertheless be prepared if the environmental
effects of the project otherwise require further assessment.
(ii) When a project includes assistance for the procurement
or use, or both, of any pesticide registered for the same
or similar uses in the United States but the proposed use
is restricted by the USEPA on the basis of user hazard, the
procedures set forth in §216.3(b)(1)(i) above will be
followed. In addition, the Initial Environmental Examination
will include an evaluation of the user hazards associated
with the proposed USEPA restricted uses to ensure that the
implementation plan which is contained in the Project Paper
incorporates provisions for making the recipient government
aware of these risks and providing, if necessary, such technical
assistance as may be required to mitigate these risks. If
the proposed pesticide use is also restricted on a basis other
than user hazard, the procedures in §216.3(b)(l)(iii)
shall be followed in lieu of the procedures in this section.
(iii) If the project includes assistance for the procurement
or use, or both of:
(a) Any pesticide other than one registered for the same
or similar uses by USEPA without restriction or for restricted
use on the basis of user hazard; or
(b) Any pesticide for which a notice of rebuttable presumption
against reregistration, notice of intent to cancel, or notice
of intent to suspend has been issued by USEPA,
The Threshold Decision will provide for the preparation
of an Environmental Assessment or Environmental Impact Statement,
as appropriate (§216.6(a)). The EA or EIS shall include,
but not be limited to, an analysis of the factors identified
in
§216.3(b)(l)(i) above.
(iv) Notwithstanding the provisions of §216.3(b)(l)(i)
through (iii) above, if the project includes assistance for
the procurement or use, or both, of a pesticide against which
USEPA has initiated a regulatory action for cause, or for
which it has issued a notice of rebuttable presumption against
reregistration, the nature of the action or notice, including
the relevant technical and scientific factors will be discussed
with the requesting government and considered in the IEE and,
if prepared, in the EA or EIS. If USEPA initiates any of the
regulatory actions above against a pesticide subsequent to
its evaluation in an IEE, EA or EIS, the nature of the action
will be discussed with the recipient government and considered
in an amended IEE or amended EA or EIS, as appropriate.
(v) If the project includes assistance for the procurement
or use, or both of pesticides but the specific pesticides
to be procured or used cannot be identified at the time the
IEE is prepared, the procedures outlined in §216.3(b)(i)
through (iv) will be followed when the specific pesticides
are identified and before procurement or use is authorized.
Where identification of the pesticides to be procured or used
does not occur until after Project Paper approval, neither
the procurement nor the use of the pesticides shall be undertaken
unless approved, in writing, by the Assistant Administrator
(or in the case of projects authorized at the Mission level,
the Mission Director) who approved the Project Paper.
(2) Exceptions to Pesticide Procedures.
The procedures set forth in §216.3 (b)(l) shall not apply
to the following projects including assistance for the procurement
or use, or both, of pesticides.
(i) Projects under emergency conditions.
Emergency conditions shall be deemed to exist when it is
determined by the Administrator, A.I.D.. in writing that:
(a) A pest outbreak has occurred or is imminent; and
(b) Significant health problems (either human or animal)
or significant economic problems will occur without the prompt
use of the proposed pesticide; and
(c) Insufficient time is available before the pesticide
must be used to evaluate the proposed use in accordance with
the provisions of this regulation.
(ii) Projects where A.I.D. is a minor donor, as defined
in
§216.1(c)(12) above, to a multidonor project.
(iii) Projects including assistance for procurement or use,
or both, of pesticides for research or limited field evaluation
purposes by or under the supervision of project personnel.
In such instances, however, A.I.D. will ensure that the manufacturers
of the pesticides provide toxicological and environmental
data necessary to safeguard the health of research personnel
and the quality of the local environment in which the pesticides
will be used. Furthermore, treated crops will not be used
for human or animal consumption unless appropriate tolerances
have been established by EPA or recommended by FAO/WHO, and
the rates and frequency of application, together with the
prescribed preharvest intervals, do not result in residues
exceeding such tolerances. This prohibition does not apply
to the feeding of such crops to animals for research purposes.
(3) Non-Project Assistance. In a very few
limited number of circumstances A.I.D. may provide nonproject
assistance for the procurement and use of pesticides. Assistance
in such cases shall be provided if the A.I.D. Administrator
determines in writing that
(i) emergency conditions, as defined in §216.3(b)(2)(i)
above exist; or
(ii) that compelling circumstances exist such that failure
to provide the proposed assistance would seriously impede
the attainment of U.S. foreign policy objectives or the objectives
of the foreign assistance program. In the latter case, a decision
to provide the assistance will be based to the maximum extent
practicable, upon a consideration of the factors set forth
in §216.3(b)(l)(i) and, to the extent available, the
history of efficacy and safety covering the past use of the
pesticide the in recipient country.
§216.4 Private applicants.
Programs, projects or activities for which financing from
A.I.D. is sought by private applicants, such as PVOs and educational
and research institutions, are subject to these procedures.
Except as provided in §216.2(b), (c) or (d), preliminary
proposals for financing submitted by private applicants shall
be accompanied by an Initial Environmental Examination or
adequate information to permit preparation of an Initial Environmental
Examination. The Threshold Decision shall be made by the Mission
Director for the country to which the proposal relates, if
the preliminary proposal is submitted to the A.I.D. Mission,
or shall be made by the officer in A.I.D. who approves the
preliminary proposal. In either case, the concurrence of the
Bureau Environmental Officer is required in the same manner
as in §216.3(a)(2), except for PVO projects approved
in A.I.D. Missions with total life of project costs less than
$500,000. Thereafter, the same procedures set forth in §216.3
including as appropriate scoping and Environmental Assessments
or Environmental Impact Statements, shall be applicable to
programs, projects or activities submitted by private applicants.
The final proposal submitted for financing shall be treated,
for purposes of these procedures, as a Project Paper. The
Bureau Environmental Officer shall advise private applicants
of studies or other information foreseeably required for action
by A.I.D.
§216.5 Endangered species.
It is A.I.D. policy to conduct its assistance programs in
a manner that is sensitive to the protection of endangered
or threatened species and their critical habitats. The Initial
Environmental Examination for each project, program or activity
having an effect on the environment shall specifically determine
whether the project, program or activity will have an effect
on an endangered or threatened species, or critical habitat.
If the proposed project, program or activity will have the
effect of jeopardizing an endangered or threatened species
or of adversely modifying its critical habitat, the Threshold
Decision shall be a Positive Determination and an Environmental
Assessment or Environmental Impact Statement completed as
appropriate, which shall discuss alternatives or modifications
to avoid or mitigate such impact on the species or its habitat.
§216.6 Environmental assessments.
(a) General Purpose. The purpose of the
Environmental Assessment is to provide Agency and host country
decision-makers with a full discussion of significant environmental
effects of a proposed action. It includes alternatives which
would avoid or minimize adverse effects or enhance the quality
of the environment so that the expected benefits of development
objectives can be weighed against any adverse impacts upon
the human environment or any irreversible or irretrievable
commitment of resources.
(b) Collaboration with Affected Nation on Preparation.
Collaboration in obtaining data, conducting analyses and considering
alternatives will help build an awareness of development associated
environmental problems in less developed countries as well
as assist in building an indigenous institutional capability
to deal nationally with such problems. Missions, Bureaus and
Offices will collaborate with affected countries to the maximum
extent possible, in the development of any Environmental Assessments
and consideration of environmental consequences as set forth
therein.
(c) Content and Form. The Environmental
Assessment shall be based upon the scoping statement and shall
address the following elements, as appropriate:
(1) Summary. The summary shall stress the
major conclusions, areas of controversy, if any, and the issues
to be resolved.
(2) Purpose. The Environmental Assessment
shall briefly specify the underlying purpose and need to which
the Agency is responding in proposing the alternatives including
the proposed action.
(3) Alternatives Including the Proposed Action.
This section should present the environmental impacts of the
proposal and its alternatives in comparative form, thereby
sharpening the issues and providing a clear basis for choice
among options by the decision-maker. This section should explore
and evaluate reasonable alternatives and briefly discuss the
reasons for eliminating those alternatives which were not
included in the detailed study; devote substantial treatment
to each alternative considered in detail including the proposed
action so that reviewers may evaluate their comparative merits;
include the alternative of no action; identify the Agency's
preferred alternative or alternatives, if one or more exists;
include appropriate mitigation measures not already included
in the proposed action or alternatives.
(4) Affected Environment. The Environmental
Assessment shall succinctly describe the environment of the
area(s) to be affected or created by the alternatives under
consideration. The descriptions shall be no longer than is
necessary to understand the effects of the alternatives. Data
and analyses in the Environmental Assessment shall be commensurate
with the significance of the impact with less important material
summarized, consolidated or simply referenced.
(5) Environmental Consequences. This section
forms the analytic basis for the comparisons under paragraph
(c)(3) of this section. It will include the environmental
impacts of the alternatives including the proposed action;
any adverse effects that cannot be avoided should the proposed
action be implemented; the relationship between short-term
uses of the environment and the maintenance and enhancement
of long-term productivity; and any irreversible or irretrievable
commitments of resources which would be involved in the proposal
should it be implemented. It should not duplicate discussions
in paragraph (c)(3) of this section. This section of the Environmental
Assessment should include discussions of direct effects and
their significance; indirect effects and their significance;
possible conflicts between the proposed action and land use
plans, policies and controls for the areas concerned; energy
requirements and conservation potential of various alternatives
and mitigation measures; natural or depletable resource requirements
and conservation potential of various requirements and mitigation
measures; urban quality; historic and cultural resources and
the design of the built environment, including the reuse and
conservation potential of various alternatives and mitigation
measures; and means to mitigate adverse environmental impacts.
(6) List of Preparers. The Environmental
Assessment shall list the names and qualifications (expertise,
experience, professional discipline) of the persons primarily
responsible for preparing the Environmental Assessment or
significant background papers.
(7) Appendix. An appendix may be prepared.
(d) Program Assessment. Program Assessments
may be appropriate in order to assess the environmental effects
of a number of individual actions and their cumulative environmental
impact in a given country or geographic area, or the environmental
impacts that are generic or common to a class of agency actions,
or other activities which are not country-specific. In these
cases, a single, programmatic assessment will be prepared
in A.I.D./Washington and circulated to appropriate overseas
Missions, host governments, and to interested parties within
the United States. To the extent practicable, the form and
content of the programmatic Environmental Assessment will
be the same as for project Assessments. Subsequent Environmental
Assessments on major individual actions will only be necessary
where such follow-on or subsequent activities may have significant
environmental impacts on specific countries where such impacts
have not been adequately evaluated in the programmatic Environmental
Assessment. Other programmatic evaluations of class of actions
may be conducted in an effort to establish additional categorical
exclusions or design standards or criteria for such classes
that will eliminate or minimize adverse effects of such actions,
enhance the environmental effect of such actions or reduce
the amount of paperwork or time involved in these procedures.
Programmatic evaluations conducted for the purpose of establishing
additional categorical exclusions under §216.2(c) or
design considerations that will eliminate significant effects
for classes of actions shall be made available for public
comment before the categorical exclusions or design standards
or criteria are adopted by A.I.D. Notice of the availability
of such documents shall be published in the Federal Register.
Additional categorical exclusions shall be adopted by A.I.D.
upon the approval of the Administrator, and design consideration
in accordance with usual agency procedures.
(e) Consultation and Review.
(1) When Environmental Assessments are prepared on activities
carried out within or focused on specific developing countries,
consultation will be held between A.I.D. staff and the host
government both in the early stages of preparation and on
the results and significance of the completed Assessment before
the project is authorized.
(2) Missions will encourage the host government to make
the Environmental Assessment available to the general public
of the recipient country. If Environmental Assessments are
prepared on activities which are not country specific, the
Assessment will be circulated by the Environmental Coordinator
to A.I.D.'s Overseas Missions and interested governments for
information, guidance and comment and will be made available
in the U.S. to interested parties.
(f) Effect in Other Countries. In a situation
where an analysis indicates that potential effects may extend
beyond the national boundaries of a recipient country and
adjacent foreign nations may be affected, A.I.D. will urge
the recipient country to consult with such countries in advance
of project approval and to negotiate mutually acceptable accommodations.
(g) Classified Material. Environmental
Assessments will not normally include classified or administratively
controlled material. However, there may be situations where
environmental aspects cannot be adequately discussed without
the inclusion of such material. The handling and disclosure
of classified or administratively controlled material shall
be governed by
22 CFR Part 9. Those portions of an Environmental Assessment
which are not classified or administratively controlled will
be made available to persons outside the Agency as provided
for in 22 CFR Part 212.
§216.7 Environmental impact statements.
(a) Applicability. An Environmental Impact
Statement shall be prepared when agency actions significantly
affect:
(1) The global environment or areas outside the jurisdiction
of any nation (e.g., the oceans);
(2) The environment of the United States; or
(3) Other aspects of the environment at the discretion of
the Administrator.
(b) Effects on the United States: Content and Form.
An Environmental Impact Statement relating to paragraph (a)(2)
of this section shall comply with the CEQ Regulations. With
respect to effects on the United States, the terms environment
and significant effect wherever used in these procedures have
the same meaning as in the CEQ Regulations rather than as
defined in §216.l(c)(12) and (13) of these procedures.
(c) Other Effects: Content and Form. An
Environmental Impact Statement relating to paragraphs (a)(l)
and (a)(3) of this section will generally follow the CEQ Regulations,
but will take into account the special considerations and
concerns of A.I.D. Circulation of such Environmental Impact
Statements in draft form will precede approval of a Project
Paper or equivalent and comments from such circulation will
be considered before final project authorization as outlined
in §216.3 of these procedures. The draft Environmental
Impact Statement will also be circulated by the Missions to
affected foreign governments for information and comment.
Draft Environmental Impact Statements generally will be made
available for comment to Federal agencies with jurisdiction
by law or special expertise with respect to any environmental
impact involved, and to public and private organizations and
individuals for not less than fortyfive (45) days. Notice
of availability of the draft Environmental Impact Statements
will be published in the FEDERAL REGISTER. Cognizant Bureaus
and Offices will submit these drafts for circulation through
the Environmental Coordinator who will have the responsibility
for coordinating all such communications with persons outside
A.I.D. Any comments received by the Environmental Coordinator
will be forwarded to the originating Bureau or Office for
consideration in final policy decisions and the preparation
of a final Environmental Impact Statement. All such comments
will be attached to the final Statement, and those relevant
comments not adequately discussed in the draft Environmental
Impact Statement will be appropriately dealt with in the final
Environmental Impact Statement. Copies of the final Environmental
Impact Statement, with comments attached, will be sent by
the Environmental Coordinator to CEQ and to all other Federal,
state, and local agencies and private organizations that made
substantive comments on the draft, including affected foreign
governments. Where emergency circumstances or considerations
of foreign policy make it necessary to take an action without
observing the provisions of §1506.10 of the CEQ Regulations,
or when there are overriding considerations of expense to
the United States or foreign governments, the originating
Office will advise the Environmental Coordinator who will
consult with Department of State and CEQ concerning appropriate
modification of review procedures.
§216.8 Public hearings.
(a) In most instances AID will be able to gain the benefit
of public participation in the impact statement process through
circulation of draft statements and notice of public availability
in CEQ publications. However, in some cases the Administrator
may wish to hold public hearings on draft Environmental Impact
Statements. In deciding whether or not a public hearing is
appropriate, Bureaus in conjunction with the Environmental
Coordinator should consider:
(1) The magnitude of the proposal in terms of economic costs,
the geographic area involved, and the uniqueness or size of
commitment of the resources involved;
(2) The degree of interest in the proposal as evidenced
by requests from the public and from Federal, state and local
authorities, and private organizations and individuals, that
a hearing be held;
(3) The complexity of the issue and likelihood that information
will be presented at the hearing which will be of assistance
to the Agency; and
(4) The extent to which public involvement already has been
achieved through other means, such as earlier public hearings,
meetings with citizen representatives, and/or written comments
on the proposed action.
(b) If public hearings are held, draft Environmental Impact
Statements to be discussed should be made available to the
public at least fifteen (15) days prior to the time of the
public hearings, and a notice will be placed in the FEDERAL
REGISTER giving the subject, time and place of the proposed
hearings.
§216.9 Bilateral and multilateral studies
and concise reviews of environmental issues.
Notwithstanding anything to the contrary in these procedures,
the Administrator may approve the use of either of the following
documents as a substitute for an Environmental Assessment
(but not a substitute for an Environmental Impact Statement)
required under these procedures:
(a) Bilateral or multilateral environmental studies, relevant
or related to the proposed action, prepared by the United
States and one or more foreign countries or by an international
body or organization in which the United States is a member
or participant; or
(b) Concise reviews of the environmental issues involved
including summary environmental analyses or other appropriate
documents.
§216.10 Records and reports.
Each Agency Bureau will maintain a current list of activities
for which Environmental Assessments and Environmental Impact
Statements are being prepared and for which Negative Determinations
and Declarations have been made. Copies of final Initial Environmental
Examinations, scoping statements, Assessments and Impact Statements
will be available to interested Federal agencies upon request.
The cognizant Bureau will maintain a permanent file (which
may be part of its normal project files) of Environmental
Impact Statements, Environmental Assessments, final Initial
Environmental Examinations, scoping statements, Determinations
and Declarations which will be available to the public under
the Freedom of Information Act. Interested persons can obtain
information or status reports regarding Environmental Assessments
and Environmental Impact Statements through the A.I.D. Environmental
Coordinator.
(22 U.S.C. 2381; 42 U.S.C. 4332)
Dated October 9, 1980
Joseph C. Wheeler
Acting Administrator
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