DRAFT FOR REVIEW PURPOSES ONLY DO NOT CITE, QUOTE, OR DISTRIBUTE. USAID/Asia Bureau. Environmental Compliance Bureau Operating Procedures

Transcription

1 USAID/Asia Bureau Environmental Compliance Bureau Operating Procedures Version: June DRAFT i

2 Table of Contents Table of Contents... ii Acronyms... iii Introduction Roles and Responsibilities... 4 REAs and Deputy REAs... 4 Deputy BEO Communication Environmental Compliance Documentation Approval and Recordkeeping of Environmental Compliance Documentation... 5 Review and Approval... 6 Recordkeeping Monitoring: Activities and Mission Compliance... 7 Monitoring and Review at the Action Level... 7 Best Practice Reviews (BPRs) Correcting and Preventing Deficiencies... 8 Roles and Responsibilities... Error! Bookmark not defined. 7. Training... 9 Annexes Environmental Compliance Monitoring and Evaluation Schedule... Error! Bookmark not defined. Corrective Action Tracking Training Needs Analysis Matrix Training Session Sign-in Sheet Training Evaluation Appendix: References and Resources ii

3 Acronyms 22 CFR 216 Title 22 of the Code of Federal Regulations, Part 216 ADS Automated Directive System AEC Agency Environmental Coordinator AOR Agreement Officer s Representative BEO Bureau Environmental Officer BOP Bureau Operating Procedure BPR Best Practice Review CAP Corrective Action Plan COR Contracting Officer s Representative CRM Climate Risk Management DCN Document Control Number D/REA Deputy Regional Environmental Advisor EA Environmental Assessment ECD Environmental Compliance Database EIS Environmental Impact Statement EMMP Environmental Mitigation and Monitoring Plan FAA Foreign Assistance Act FY Fiscal Year IEE Initial Environmental Examination IFI International Financial Institution IP Implementing Partner MEO Mission Environmental Officer OI Opportunities for Improvement OU Operating Unit PAD Project Appraisal Document PERSUAP Pesticide Evaluation Report and Safe Use Action Plan RCE Request for Categorical Exclusion REA Regional Environmental Advisor RLA Resident Legal Advisor SOP Standard Operating Procedure USAID United States Agency for International Development USAID/Asia USAID/Asia Bureau iii

4 Introduction USAID is required by statute, court order, and executive order including Title 22 of the Code of Federal Regulations, Part 216 (22 CFR 216) to implement a rigorous set of environmental procedures for its programming. Automated Directives System Chapter 204 (ADS 204) establishes Agency-wide environmental procedures to operationalize those requirements across the Program Cycle. USAID/Asia Bureau (USAID/Asia) has developed this Bureau Operating Procedure (BOP) to establish Bureau-specific procedures for complying with the requirements of ADS 204. It is intended as a supplement to ADS 204 and therefore, familiarity with ADS 204 is required for effective implementation of environmental procedures. The table below identifies: Key topics and steps for USAID s environmental procedures, Section of ADS 204 in which Agency-wide mandatory procedures are described, Relevant Bureau-specific procedures, and Section of BOP in which Bureau-specific procedures are described. Table 1. USAID s Environmental Procedures and Agency-wide and Bureau-specific Requirements. USAID s Environmental ADS 204 Section(s) Procedures: Key Topics and Steps Legal mandates Roles and responsibilities (summarized), additional references throughout chapter Planning and resource requirements, including communication of upcoming actions Bureau-Specific Procedures, if any None REAs, Deputy REAs, and Deputy BEO BOP Section n/a 1. Roles and Responsibilities TBD 2. Communication Strategic planning TBD n/a Project design, including Project Appraisal Document (PAD) requirements TBD n/a Activity design, including requirements prior to obligation of funds and use of Deferrals Required scope and analytical requirements for environmental analyses Documentation of environmental analysis and requirements TBD n/a (all activities) (activities or situations with specific or additional requirements) (additional information on EMMPs) TBD Asia-Bureau templates, amendments and Memorandum to the File n/a 3. Environmental Compliance Documentation USAID/ASIA Environmental Compliance BOPs 1

5 USAID s Environmental Procedures: Key Topics and Steps ADS 204 Section(s) Bureau-Specific Procedures, if any Document approvals Additional approval requirements Recordkeeping Document Control Number (DCN) format Posting of EMMPs, CAPs, and IP environmental compliance reports to the ECD. Procurement, including TBD n/a solicitations and awards Post-award briefings TBD n/a Activity monitoring, including mid-term and final evaluations and corrective action Mission-specific monitoring procedures; Midterm and final evaluations; corrective and preventive action BOP Section 4. Approval and Recordkeeping of Environmental Compliance Documentation 4. Approval and Recordkeeping of Environmental Compliance Documentation 5. Monitoring: Activities and Mission Compliance and 6. Correcting and Preventing Deficiencies Activity close-out TBD n/a Monitoring implementation of environmental procedures at Mission and Bureau level BPRs; corrective and preventive action 5. Monitoring: Activities and Mission Compliance and 6. Correcting and Preventing Deficiencies Monitoring implementation at None n/a Agency level Training (o) requires that OUs ensure that all staff are trained in the requirements of this Chapter. TBD 7. Training NOTE: This BOP is focused on Asia Bureau procedures for implementing 22 CFR 216 requirements. There are additional environmentally-related mandates and requirements that influence Asia Bureau s processes. BOPs and ADS Chapters that address these other requirements include: Reviewing International Financial Institution (IFI) proposals: Asia Bureau Standard Operating Procedure (SOP); currently in draft, link to be provided when final. USAID/ASIA Environmental Compliance BOPs 2

6 Implementing Foreign Assistance Act (FAA) 118/119 requirements: Agency-wide procedures and guidance are provided in FAA 118/119 Best Practices Guide and 201mav Foreign Assistance Act Sections 118 and 119 Tropical Forests and Biodiversity Analysis. Implementing climate risk management (CRM) requirements: Agency-wide procedures are provided in 201mat Climate Change in USAID Country/Regional Strategies and ADS 201mal_Climate Risk Management for USAID Projects and Activities. USAID/ASIA Environmental Compliance BOPs 3

7 1. Roles and Responsibilities Effective implementation of 22 CFR 216 environmental procedures, and implementation of sound environmental practices and considerations, is achieved through the combined efforts of the Mission Environmental Officer (MEO), the Regional Environmental Advisor (REA), the Regional Legal Advisor (RLA), and the Bureau Environmental Officer (BEO), in partnership with the Mission Director, Office Directors, Development Objective Teams, AORs/CORs and Activity Managers, and program management staff. Roles and responsibilities of key Asia Bureau and Mission staff are detailed in ADS Primary Responsibilities. The following roles have additional or more specific Asia Bureau requirements: REAs and Deputy REAs REAs clear all environmental compliance documentation (see section 4. Approval and Recordkeeping of Environmental Compliance Documentation). If there is an assigned Deputy REA (D/REA), this person will support the REA in a review of the above-mentioned documents and provide recommendations for REA clearance. The REA may also delegate the authorities to the D/REA in clearing follow-on environmental documents, such as the Environmental Mitigation and Monitoring Plan (EMMP). USAID/Asia has two REAs: REA for the Southeast Asia and Pacific region. REA for the South and Central Asia region. These positions serve as environmental advisors to several USAID Missions and Operating Units (OUs) (see Table 2), USAID partners, regional and international organizations, non-governmental and private voluntary organizations, and the private sector on matters relating to environmental regulations, procedures, and policies of USAID. The REA reviews and/or assists MEOs and Mission project/activity design teams to develop their environmental analysis for Country Strategic Planning (ADS 201) and 22 CFR 216 environmental compliance documentation. The REA serves as a trainer and resource person available to support regional environmental management and assessment training workshops in the Asia region. The REA also works with USAID MEOs, host countries, and regional organizations to strengthen local capacities in environmental program design, assessment, and monitoring and evaluation. The position complements other USAID REAs, the Asia BEO, and the Agency Environmental Coordinator (AEC) to support and implement capacity building functions on 22 CFR 216 issues. Table 2. USAID Missions and OUs served by USAID/Asia REAs. REA for the Southeast Asia and Pacific region ASEAN Burma Cambodia China Indonesia Laos REA for the South and Central Asia region Bangladesh Central Asia (Kazakhstan, Tajikistan, Turkmenistan, Uzbekistan) India Kyrgyz Republic Nepal Sri Lanka and Maldives USAID/ASIA Environmental Compliance BOPs 4

8 REA for the Southeast Asia and Pacific region Mongolia Pacific Islands (Federated States of Micronesia, Fiji, Kiribati, Nauru, Palau, Papua New Guinea, Republic of the Marshall Islands, Samoa, Solomon Islands, Tonga, Tuvalu and Vanuatu) Philippines Regional Development Mission for Asia (RDMA) Thailand Timor-Leste Vietnam REA for the South and Central Asia region Deputy BEO Per the BEO Appointment Memorandum, when the BEO is absent from the office for one or more days and 22 CFR 216 decision making and authorization cannot be delayed until he/she returns, an Asia Deputy BEO will be designated to perform these duties, i.e., to fulfill the Federal environmental regulatory official position with decision-making authority for National Environmental Policy Act (NEPA) and Title 22 of the Code of Federal Regulations, Part 216 (22 CFR 216) decisions. Discussion point for Almaty training: Would it be useful and practical to provide a link to a document with names of BEO, Deputy BEO, Acting BEO, REAs, MEOs, etc. 2. Communication ADS provides Agency-wide requirements for communication of upcoming actions. Discussion point for Almaty training: Does Asia Bureau needs more specific procedures, e.g., for communication between MEO, REA, and BEO? 3. Environmental Compliance Documentation ADS summarizes the types and scope of environmental compliance documentation used for USAID actions. Asia Bureau templates for these documents are available on the GEMS website. USAID/Asia expects that all environmental compliance documentation submitted for approval after September 30, 2018 will conform to the Asia Bureau templates. Changes in scope, funding, or duration to ongoing USAID actions require additional environmental review and subsequent amendment of documentation, including RCEs, IEEs, or EAs. Unless specifically noted, when RCEs and IEEs are amended, the previously stated terms and conditions remain in effect. Even so, the continued application of these requirements should be explicitly stated in IEE and RCE Amendments (and contract modifications). However, when only minor changes are anticipated, USAID/Asia does not require formal amendments. Instead, if the current action is in compliance and no change in scope is planned, a Memorandum for the File (MTF) can be prepared by the AOR/COR and/or Activity Manager. An MTF can be used to: USAID/ASIA Environmental Compliance BOPs 5

9 record minor extensions of the action's duration (for example, less than 6 months) and/or minor funding increases (for example, less than 10 percent of the total project funding). clarify that newly planned activities fit within the scope and conditions of an existing IEE or RCE. Missions should establish and systematically follow a process for clearing MTFs, but at a minimum the AOR/COR, Activity Manager (if relevant), and MEO must clear. Clearance by the REA should precede submission of the MTF to the BEO, who will review the MTF; advise course of action, as warranted; and post it to the related IEE/RCE file in the Environmental Compliance Database (ECD). 4. Approval and Recordkeeping of Environmental Compliance Documentation ADS summarizes the required approvals for environmental compliance documentation. Asia Bureau has additional requirements as detailed below. Review and Approval Asia Bureau requires clearance of all Mission-level environmental compliance documentation by the MEO and REA and approval by the Mission Director and BEO. An exception is made for MTFs, the clearance process for which are discussed in section 3 above. Following MEO review and clearance, the MEO will request REA review and clearance through with the Word and PDF versions of the document attached. If the REA, and BEO in some cases, have comments or suggested revisions, the REA and/or BEO will respond with tracked revisions as quickly as is practicable. The MEO/AOR/COR should also respond using track changes. If no revisions are necessary or once any necessary revisions have been resolved to satisfaction, the REA will clear. Following REA clearance, the MEO will submit the documentation to the Mission Director. Following Mission Director approval, the MEO will request BEO review and approval through with the Word and PDF versions with signature page attached. If the BEO has comments or suggested revisions, the BEO will respond with tracked revisions as quickly as is practicable. The MEO/AOR/COR should also respond with tracked revisions. If no revisions are necessary or once any necessary revisions have been resolved to satisfaction, the BEO will approve. Recordkeeping Following BEO approval, the BEO will: Assign a Document Control Number (DCN). The DCN is in the form of: Asia [2-digit FY]-[3-digit sequential identifier] (e.g., Asia ). Submit the approved documentation, Word and PDF versions, to the MEO and to the ECD team with request to upload the records to the ECD, including whether the posting internal or external (environmentalcomplaincesupport@usaid.gov). The MEO will ensure the AOR/COR is provided a copy of final, approved documents. USAID/ASIA Environmental Compliance BOPs 6

10 Additionally, Asia Bureau recommends that Missions post EMMPs, completed Environmental Impact Assessment Tool, and implementing partner (IP) environmental compliance reports to the ECD. The DCN is in the form of: Asia [2-digit FY]-[3-digit sequential identifier] EMMP-[2-digit sequential identifier] (e.g., Asia EMMP-1). 5. Monitoring: Activities and Mission Compliance Monitoring and Review at the Action Level Each Asia Bureau Mission will establish and maintain procedures for conducting environmental monitoring at the action level, including for relevant Mission-, USAID/Washington-, and regionallymanaged actions, in accordance with ADS These mission-specific procedures should specify practices for assigning responsibilities, describing methods, determining frequency, etc. Relevant excerpt from ADS 204 on Monitoring and Review at the Action Level Environmental monitoring must be conducted to demonstrate that mitigation measures are implemented in compliance with EMMP requirements; that mitigation is sufficient and effective; and that no new or unforeseen environmental impacts arise during implementation. In addition, current and planned activities must be reviewed at least annually, to ensure conformance with the scope described in the applicable RCE, or scope and conditions described in the applicable IEE, EA, or EIS. Using the content of quarterly and annual IP reports and field visit observations, AORs/CORs, or their designees, must monitor EMMP implementation. In addition, MEOs, to the extent practicable, should assist the AORs/CORs by conducting EMMP implementation monitoring visits, especially for activities that could cause adverse environmental impacts. For USAID/Washington-managed and regionally managed actions, the relevant 22 CFR 216 documentation must describe the environmental compliance monitoring roles and responsibilities. Unless otherwise stated, MEOs should monitor potential environmental impacts of these actions in their countries. In consultation with the MEO, BEOs and REAs may also monitor relevant actions. Field visits by AORs/CORs, AMs, and other Mission staff to sites of actions with potentially significant adverse environmental impacts, e.g., with mitigation requirements, should include an environmental monitoring component. See the Visual Field Guides, developed to support fieldvisit monitoring. In cases where mitigation and monitoring requirements stipulated in the IEE are not the responsibility of IPs, the AORs/CORs must ensure they are implemented (e.g., via third-party monitoring or regular field visits by Mission staff). Mid-term and Final Evaluations In accordance with ADS , mid-term and final evaluations of USAID actions that have been assigned a Positive Determination or Negative Determination with Conditions will be examined for successes and challenges in meeting environmental requirements and for observations of how these affected development outcomes. [Workshop should discuss adding language about coordinating with Mission MEL staff to ensure this is adopted into all project MEL plans by IP.] The Asia BEO, in coordination with Missions and Asia Strategic Planning Office, will identify relevant evaluation activities and maintain an annual calendar of those actions. The Asia BEO will prepare an annual report, which USAID/ASIA Environmental Compliance BOPs 7

11 will be submitted to the relevant Deputy Assistant Administrator, that captures results of the year s midterm and final evaluations examinations of environmental procedures across the Bureau. Best Practice Reviews (BPRs) As described in ADS , Best Practice Reviews are a form of Agency review intended to examine OU implementation of the environmental compliance requirements. Each OU is required to conduct a BPR or similar internal review every five years. These internal reviews thoroughly assess the state of environmental compliance of the Mission s portfolio per the requirements of ADS 204 and USAID/Asiaspecific processes and requirements. This includes assessing environmental monitoring practices at the action level as required by ADS and described above. The reviews will identify strengths and deficiencies and propose corrective actions to address deficiencies. The exercise is intended to not only improve Mission implementation, but to provide the BEO, REA, and MEO with information on how they can better support the Mission and assist them in the execution of their duties and responsibilities. The Asia BEO, in coordination with the Deputy BEO, REAs, and MEOs will: 1) Develop a protocol for BPRs. 2) Conduct a BPR for each mission every 5 years. 3) Follow-up with missions to provide technical assistance for and ensure corrective actions proposed in the BPR are achieved. 4) Oversee proper implementation of the USAID/Asia s process for correcting and preventing deficiencies (as described in section 6), when the monitoring and evaluation process finds objective evidence of deficiencies or opportunities for improvement. 5) Maintain, to the extent practicable, up-to-date BPR records. 6. Correcting and Preventing Deficiencies In accordance with ADS , Asia BEOs, REAs, MEOs, and AORs/CORs have responsibilities for addressing actual and potential environmental compliance deficiencies, for taking corrective action and preventive action, and for promoting continual improvement. Asia Bureau is committed to implementing USAID procedures for correcting and preventing environmental incidents and deficiencies, including those that have been identified during formal monitoring or auditing events or those that arise informally. USAID/Asia Bureau and Missions will use Corrective Action Plan (CAP) forms to document the collaborative processes of resolving compliance findings and demonstrating commitments to: a. Monitor 22 CFR 216 compliance in accordance with the ADS and the 2011 Office of Inspector General recommendations, and b. Proactively resolve findings that arise from monitoring activities. When deficiencies are identified, the CAP initiator will develop and sign a CAP and will inform and consult with the BEO, for deficiencies at a Bureau- or Regional Bureau-level OU, or the REA, for deficiencies at a Mission-level OU. USAID/ASIA Environmental Compliance BOPs 8

12 The BEO or REA will ensure that CAPs are assigned to the process owner (for example, an AOR/COR) for further action. When making the assignment, the BEO or REA will review and clarify the findings, either deficiencies or opportunities for improvement (OI), with the process owner. The assigned process owner, will evaluate the findings described in the CAP; seek helpful clarification; conduct formal or informal root cause analysis of the deficiency or OI; develop a corrective and preventive action plan; and schedule completion of these actions. They will document these steps in the appropriate sections of the CAP; sign those sections; maintain a copy of the open CAP in the project files and other agreed upon place so relevant staff can access as needed; and notify the MEO, REA, or BEO when these actions are complete. The assigned process owner will either implement the corrective and preventive actions described in the CAP or otherwise ensure their completion. When the corrective and preventive actions are complete, the assigned process owner will acknowledge completion of these actions by initialing the CAP and return the CAP to the REA, for deficiencies at a Bureau- or Regional Bureau-level OU, or MEO, for deficiencies at a Mission-level OU, to initiate the verification process. The REA or MEO will review the deficiencies or OI and describe objective evidence that indicates proper resolution of the findings (including a description of preventive actions, if appropriate). When satisfied, they will sign and date the verification section of the CAP and send it to the BEO, for deficiencies at a Bureau- or Regional Bureau-level OU, or REA, for deficiencies at a Mission-level OU, for closure. The BEO or REA will verify and sign CAPs to indicate closure; return the closed CAP to the process owner for project recordkeeping; and maintain a copy of the signed CAP in USAID s central Environmental Compliance Database (ECD). Naming convention TBD. When the process owner is an AOR/COR, he or she will maintain a copy of the closed CAP in the project files. 7. Training To discuss during the June 2018 Asia Regional training workshop in Almaty if Asia Bureau needs more specific procedures for training and what they should include. A strawman/start is provided below. The intent of training on environmental compliance requirements is to: Ensure USAID staff and IPs are aware of environmental compliance requirements, the tenets of USAID s environmental procedures, and available tools. Consider ways to develop local environmental compliance capacity. Build capacities of local NGOs, CSOs, government entities, and IPs. The Asia BEO, in coordination with the REAs, and MEOs will: a) Create, maintain, and update, at least annually, a Training Needs Analysis (TNA), using the Training Needs Analysis Matrix (See Appendices) or USAID University Individual Learning and Training Plans. b) Develop, procure, and/or identify environmental compliance training courses (e.g., trainings on 22 CFR 216, environmental mitigation and monitoring, and environmental procedures). A set of core slides for an Asia Bureau-specific Environmental Compliance Procedures for USAID Staff refresher training was updated in USAID/ASIA Environmental Compliance BOPs 9

13 c) Maintain, to the extent practicable, up to date training records, including TNA forms, training session sign-in sheets, and completed evaluation forms (see Appendices). d) Deliver a refresher training to each mission every 2 years. If a BPR identifies insufficiencies that indicate a need for additional training, further training will be implemented. USAID/ASIA Environmental Compliance BOPs 10

14 Annexes A. Corrective Action Tracking B. Training Needs Analysis Matrix (in development) C. Training Session Sign-in Sheet D. Training Evaluation USAID/ASIA Environmental Compliance BOPs 11

15 A. Corrective Action Tracking Discussion point for Almaty training: How should this tracker be updated in order to be a useful tool? DCN of CPAR Issue Date AOR/COR/Activity Manager (Name, Mission) Deficiency Scheduled Completion Date CAP Closure Evidence Closure Date USAID ASIA Environmental Compliance BOPs 12

16 B. Training Needs Analysis Matrix [in development] Discussion point for Almaty training: How should this matrix be updated in order to be a useful tool? MISSION Bangladesh Burma Cambodia Central Asia (Kazakhstan, Uzbekistan, Tajikistan, and Turkmenistan) India Indonesia Kyrgyz Republic Mongolia Nepal Philippines Regional Development Mission/Pacific Islands (Federated States of Micronesia, Fiji, Kiribati, Nauru, Palau, Papua New Guinea, Republic of Marshall Islands, Samoa, Solomon Islands, Tonga, Tuvalu and Vanuatu) Regional Development Mission for Asia (China, Laos PDR, Thailand) Sri Lanka and the Maldives Timor Leste Vietnam USAID STAFF REG. 216 DATE (COMPLETE /PLANNED) IP REG. 216 DATE (COMPLETE/ PLANNED) OTHER TRAININGS DATE/TITLE (COMPLETE/ PLANNED) NEXT PLANNED TRAINING(S) DATE COMMENTS USAID ASIA Environmental Compliance BOPs 13

17 C. Training Session Sign-in Sheet USAID Environmental Compliance Procedures for Mission Staff or Implementers (circle one) Date: Mission: Name Organization/Project/Function Address ***Please print clearly*** USAID ASIA Environmental Compliance BOPs 14

18 D. Training Evaluation Evaluation of Asia Bureau Environmental Training Date: Mission: Training Attended (please check as appropriate): Environmental Compliance and Sustainability for Mission Staff Environmental Compliance and Sustainability for Implementers & COR/AORs Questions (Please circle the number of your preferred response): 1. The training fostered a clearer understanding of why environmental factors and values must be integrated into USAID decision-making. Strongly Somewhat Somewhat Strongly No Opinion Agree Agree Disagree Disagree The training led to a better understanding of 22 CFR 216 Environmental Compliance Requirements. Strongly Somewhat Somewhat Strongly No Opinion Agree Agree Disagree Disagree The training will assist the preparation of environmental documentation that meet the intent of USAID environmental requirements. Strongly Somewhat Somewhat Strongly No Opinion Agree Agree Disagree Disagree The training presentation materials were well-suited to the training objectives. Strongly Somewhat Somewhat Strongly No Opinion Agree Agree Disagree Disagree The presentation of the training materials was clear and effective. Strongly Somewhat Somewhat Strongly No Opinion Agree Agree Disagree Disagree What would be one aspect of the training that would have improved the outcome for you? 7. Do you feel you would like additional training on integrating environmental factors into USAID projects? If so, what would you most the like the follow-on training to address? 8. Please provide your name ONLY if you would like to be contacted to share further comments or have additional questions/concerns Name: USAID ASIA Environmental Compliance BOPs 15

19 Appendix: References and Resources 22 CFR 216: ADS 200 Development Policy: ADS 201 Program Cycle Operational Policy: ADS 204 Environmental Procedures: ADS 204sac Environmental Compliance: Language for Use in Solicitations and Awards, An Additional Help to ADS 204: ADS 300 Agency Acquisition and Assistance (A&A) Planning: ADS 302 USAID Direct Contracting: ADS 308 Awards to Public International Organizations: ADS 502: USAID Records Management Program: Executive Order 12114: Environmental Effects Abroad of Major Federal Actions: Executive Order 13677: Climate-Resilient International Development: Foreign Assistance Act: National Environmental Policy Act: USAID Sector Environmental Guidelines: References and Resources 16