Environmental Documentation: Types & Templates

This page provides (1) brief descriptions of the various environmental compliance documents used over USAID’s project and activity lifecycle and (2) access to standard templates. 

Note that this page lists only the most commonly used documents. information provided is NOT a definitive interpretation of regulation and does not address all circumstances.

Pre-award

Document type (click to access template): Summary Description
Deferral of Threshold Decision Used when actions are planned, but information necessary to assign a 22 CFR 216 Threshold Decision is not available for any of the actions prior to award. See 22 CFR 216.3(a)(1).
Environmental Assessment (EA)

An EA is 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 . USAID EAs must meet the requirements of 22 CFR 216.6.

An EA is performed when an approved Scoping Statement identifies significant environmental issues.

Initial Environmental Examination (IEE)

Per 22 CFR 216.1(c), an IEE is a “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 EA or an EIS will be required.”

As such, the IEE is used to justify and document Threshold Decision(s) (i.e., Negative or Positive Determination(s)) for one or more proposed actions. The IEE is also used to document Categorical Exclusions per 22 CFR 216.2(c) and Deferrals of Threshold Decision per 22 CFR 216.3(a)(1) for proposed actions, where these actions are part of the set of actions examined by the IEE.

(Note: if the IEE would establish no Negative or Positive Determinations, an RCE or Request for Deferral should be developed instead of an IEE.)

Request for Categorical Exclusion (RCE)

The RCE is used when all proposed actions are eligible for categorical exclusion per 22 CFR 216.2(c). Such actions both belong (1) to the classes of actions enumerated in 22 CFR 216.2(c)(2) and do not individually or cumulatively have foreseeable significant [adverse] effect on the environment.

Note: if some proposed actions are eligible for categorical exclusion and some are not, an IEE should be developed instead.

Scoping Statement

Scoping Statements are developed (1) in response to a Positive Determination in an IEE or (2) when proposed actions are within classes of actions normally having a significant environmental effect per 22 CFR 216.2(d) and the originating project team/OU elects not to first develop an IEE.

They determine which of the proposed actions may be significant in their effect (and thus must be redesigned or assessed in an Environmental Assessment) and those that are not significant and may be eliminated from further study. Scoping Statements must meet the requirements of 22 CFR 216.3(a)(4).

Integrated Waste Management Plan (IWMP)

IWMPs are recommended for USAID actions involving the generation or management of solid waste, medical or other hazardous waste and procurement, use or promotion of toxic materials, that may have adverse impacts.

Pesticide Evaluation Report and Safer Use Action Plan (PERSUAP)

PERSUAPS are the protocol and document for addressing 22 CFR 216.3(b)(1)(i) of USAID’s Pesticide Procedures, which requires that the IEE, EA, or EIS for any activity for which “assistance for pesticide procurement, or use, or both” is anticipated “include a separate section evaluating the economic, social and environmental risks and benefits of the planned pesticide use...” and specifies the 12 analytical factors that must be considered in this evaluation.

Upon approval of the PERSUAP, the pesticide support activities covered by the PERSUAP are approved, subject to the following conditions: (1) only pesticides approved by the PERSUAP are supported; (2) support for these pesticides is limited to specific uses and geographies approved; and (3) enumerated safer use and IPM conditions are implemented and enforced. The pesticides approved and the attendant conditions all flow from the 12-factor analysis required by the regulation.

Note: PERSUAPs may be developed post-award, but must be approved before USAID funds are used to support assistance for pesticide procurement and/or use.

 

Post-Award Start Up/Workplan Development

Document type (click to access template): Summary Description

Environmental Mitigation and Monitoring Plan (EMMP)

(Spanish Version)

An EMMP translates IEE or EA conditions into specific mitigation measures (if the conditions are general); sets out indicators/criteria for monitoring the implementation and effectiveness of mitigation measures; and establishes timing and responsible parties. EMMPs are required almost universally by USAID EAs and by IEEs when one or more action covered by the IEE receives a Negative Determination with Conditions.

See the Mitigation, Monitoring and Reporting page for more information.

 

Implementation and Close out

Document type (click to access template): Summary Description
Correction Action Plan (CAP)

Documents the course of action to remedy consequential EMMP implementation deficiencies or environmental impacts that were unforeseen by the approved 22 CFR 216 documentation for the activity.

Environmental Mitigation and Monitoring Report (EMMR)

(Spanish Version)

EMMRs are used for partner reporting on implementation of their EMMPs. The use of the EMMR is increasingly required by IEEs.

See the Mitigation, Monitoring and Reporting page for more information.

Record of Compliance (RoC)

RoCs are recommended to facilitate project or activity close out to verify compliance with ADS 204 over the project/activity life cycle.

Simplified RCE/IEE Amendment

The simplified amendment is used to amend the RCE or IEE to (1) add funds or time, but not new scope/entailed actions; and/or (2) incorporate a CRM screening for low risk activities.

Last updated: August 19, 2019

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