Participants’ Sourcebook: Environmental Compliance + Environmentally Sound Design & Management (ESDM) in Project Implementation
A Training Workshop for USAID/Malawi Staff & Partners
Mangochi, Malawi 9-13 November 2015
Host & Sponsor USAID/Malawi
Prepared under The Global Environmental Management Support Project (GEMS II), Award Number AID-OAA-M-13-00018. GEMS II Activity AF32b The Cadmus Group, Inc., prime contractor (www.cadmusgroup.com). Sun Mountain International, principal partner (www.smtn.org).
DISCLAIMER The views expressed in this document do not necessarily reflect the views of the United States Agency for International Development or the United States Government.
Acknowledgement cover photo: M. Kaferawanthu, Malawi. Earlier versions of some of the training materials in this sourcebook were produced by The Cadmus Group, Inc. under contract to International Resources Group for USAID/AFR/SD’s ENCAP program, EPP-I-00-03-00013-00 Task Order 11. Others were adapted from those developed (1) under the Environmental Management Capacity-Building Program of USAID/ME/TS EPIQ Task Order EPP-I-00-03- 00014-00; and (2) for the March 2009 trainings on “Environmental Management of Socioeconomic Development Programs in Post-Conflict Sierra Leone” sponsored by USAID/DCHA, USAID/Sierra Leone, and a number of implementing partners and facilitated by Sun Mountain International.
AGENDA (Version date: 22 October 2015) USAID/Malawi Environmental Compliance + Environmentally Sound Design & Management in Project Implementation Workshop
Sun ‘n’ Sand Holiday Resort—Mangochi, Malawi 9 – 13 November 2015
Training Objective: The overall goal of the workshop is to strengthen environmentally sound design and management of USAID- funded activities in Malawi by assuring that participants have the motivation, knowledge, and skills necessary to: (1) achieve environmental compliance in project implementation; and (2) otherwise integrate environmental considerations in activity design and management to improve overall project acceptance and sustainability. Key Activities: Day 1 Overview of Environmentally Sound Design and Management (ESDM) and skill-building in Environmental Impact Assessment (EIA). Day 2 Explain USAID Environmental Procedures and hear from partners on environmental management topics. Day 3 Review preparation of mitigation and monitoring documents; brief and complete site visits. Day 4 Small-group exercise to develop and present EMMPs; additional sector-specific collaboration. Day 5 Synthesize workshop proceedings and skill-building and consider professional and organizational next steps.
Day/Time Module Objective/Content Summary Presenter/Facilitator Day 1 Overview of ESDM and skill-building in EIA 8:00 – 8:30 Participant Sign-In 8:30 – 8:45 Welcome and Opening Statements Highlight training objectives, workshop content, USAID/Malawi Mission and expected results. 8:45 – 9:30 Session 1: Workshop Objectives and Logistics; Establish workshop objectives; brief the agenda GEMS Facilitator Participant Introduction and Expectations and learning approach. Review logistics. Introduce participants; articulate expectations. 9:30 – 10:30 Session 2a: Environmentally Sound Design & Motivate the need to systematically address GEMS Facilitator Management (ESDM) as a Foundation for environmental considerations in development Environmental Compliance activities. Presentation and dialogue Understand linkage between ESDM and project success; view this process in the context of environmental compliance. 10:30 – 10:45 Break 10:45 – 11:30 Session 2b: Environmentally Sound Design & Review and discuss socio-cultural aspects of USAID/Malawi Management (ESDM) in the Malawian Context ESDM in Malawi; consider real-world examples Technical presentation and dialogue of ESDM successes and failures.
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Day/Time Module Objective/Content Summary Presenter/Facilitator 11:30 – 12:30 Session 3: Fundamental Skills of Environmental Define key terms—baseline, impact, activity— GEMS Facilitator Impact Assessment (EIA) and learn essential classroom theory for Technical presentation and dialogue baseline characterization, impact identification & mitigation design and how they apply in the EIA framework; the EIA framework is the basis for USAID Environmental Procedures. 12:30 – 13:30 Lunch 13:30 – 14:00 Session 4a: EIA Skill-Building Exercise Receive instruction on the methodology and GEMS Facilitator Briefing objectives of the EIA skill-building exercise. Divide into small groups for the field-based exercise. 14:00 – 16:00 Session 4b: EIA Skill-Building Exercise Practice observation and assessment skills Small-group Exercise (includes return) Field visit needed to characterize the baseline situation and identify impacts/issues of concern. from 16:00 Break 16:00 – 17:00 Session 4c: EIA Skill-Building Exercise Begin to synthesize field observations and Small-group Exercise Group work and dialogue prioritize impacts/issues of concern. Discuss possible approaches for limiting adverse effects on the environment. Day 2 USAID Environmental Procedures and partner technical presentations
9:00 – 10:00 Session 4c, continued: EIA Skill-Building See preceding description. Small-group Exercise Exercise Group work and dialogue, continued 10:00 – 10:15 Break 10:15 – 11:15 Session 4d: EIA Skill-Building Exercise Small groups present and discuss findings and Small-group Exercise Presentation and discussion recommendations based on field visit. 11:15 – 12:30 Session 5: Environmental Impact Assessment Review USAID’s implementation of the EIA GEMS Facilitator and “USAID Environmental Procedures”: the process and the preparation of project Initial Environmental Examination (IEE) and environmental compliance documents; Beyond understand how these documents establish Technical presentation and dialogue environmental management criteria for USAID- funded activities. 12:30 – 13:30 Lunch 13:30 – 14:30 Session 6: Partner Technical Presentation— Brief the environmental, economic and human- USAID/Malawi Pesticide Use in USAID Activities health concerns related to pesticide use. Implementing Partner Technical presentation and dialogue Achieve a common understanding of the special environmental compliance requirements that apply to pesticide use and procurement. Review key elements of safer pesticide use, including Integrated Pest Management (IPM) and the use of Personal Protective Equipment (PPE). 14:30 – 15:15 Session 7: Partner Technical Presentation— Review the requirements and procedures USAID/Malawi WASH & Water Supply Activities involved with water quality assurance and the Implementing Partner Technical presentation and dialogue practical elements of water quality management in USAID-funded development programs.
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Day/Time Module Objective/Content Summary Presenter/Facilitator 15:15 – 15:30 Break 15:30 – 16:15 Session 8: Partner Technical Presentation— Discuss requirements and procedures for USAID/Malawi Health Care Waste Management (HCWM) HCWM in the context of USAID programming Implementing Partner Technical presentation and dialogue and develop capacity to environmentally manage programs that directly or indirectly contribute to the generation of medical waste. 16:15 – 17:00 Session 9: Partner Technical Presentation— Understand the unique inter-relation between USAID/Malawi Fisheries Management and Malaria Control fisheries management and malaria vector Implementing Partner Interventions control efforts in Malawi. Technical presentation and dialogue Review and discuss environmental best management practices (BMPs) for both types of program. Day 3 Mitigation and monitoring and site visits 8:30 – 9:30 Session 10: Principles of Environmental Review key aspects of monitoring to ensure GEMS Facilitator Monitoring that project environmental compliance Technical presentation and dialogue requirements are met and potential adverse impacts effectively mitigated; highlight the selection of clear and cost-effective monitoring indicators. 9:30 – 10:30 Session 11: The Environmental Mitigation and Understand the EMMP concept and formats: GEMS Facilitator Monitoring Plan (EMMP) who develops them. Their role in Technical presentation and dialogue “operationalizing” key elements of USAID Environmental Procedures and establishing and maintaining project environmental compliance. Introduce key guidance: EMMP Factsheet. 10:30 – 10:45 Break
10:45 – 11:00 Session 12: Introduction to the USAID Sector Deepen familiarity with environmental GEMS Facilitator Environmental Guidelines + Similar Resources resources and tools, particularly the Sector Presentation Environmental Guidelines. 11:00 – 12:00 Session 13a: EMMP Skill-Building Exercise Orientation of the case study sites that will be GEMS Facilitators Briefing and classroom preparation visited in the field. Organize participants by small group and distribute technical resources. Technical Areas: Discuss potential adverse impacts of the case 1. Pesticide Safer Use study site activities. Review background and 2. WASH/Water Provision reference materials and discuss approach for 3. Health Care Waste Management EMMP development in small-group format. 4. Fisheries/Natural Resource Mgmt 12:00 – 13:00 Lunch 13:00 – 17:00 Session 13b: EMMP Skill-Building Exercise Build and apply the core EIA and environmental Group Participants (includes return Field visit compliance skills briefed in Days 1 to 3 via a from field) field visit and follow-up group work to: 1) synthesize field observations; and 2) develop specific mitigation and monitoring measures for the top two issues/impacts of concern at each site, with reference to the SEGs. from 16:00 Refreshments available at end of day following return from field visit
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Day/Time Module Objective/Content Summary Presenter/Facilitator Day 4 Develop and present EMMPs and additional sector-specific collaboration 8:30 – 12:00 Session 13c: EMMP Skill-Building Exercise Advance discussions and compilation of field visit Group Participants (tea break taken Small group work results into an EMMP format and a group at leisure) presentation. 12:00 – 13:00 Lunch 13:00 – 14:30 Session 13d: EMMP Skill-Building Exercise Articulate field visit findings, analysis, and Group Participants Group presentations in plenary EMMP development. 14:30 – 15:00 Session 14: Environmental Compliance Guidance on EMMP-related and other GEMS Facilitator Reporting environmental compliance reporting, including Technical presentation and dialogue integration with broader project M&E and PMP reporting requirements. 15:00 – 15:15 Break 15:15 – 17:00 Session 15: Sector-Specific Working Groups This will be an opportunity for USAID staff and GEMS Facilitator IPs working together in particular technical areas to collaborate on specific environmental compliance issues or challenges (e.g., pesticide safer use, WASH, etc.) The output of this time will be consensus recommendations on next steps, use of templates, etc. Day 5 Way Forward 8:30 – 9:00 Session 16: Roles, Responsibilities & Resources Summarize the various responsibilities of USAID GEMS Facilitator & Technical presentation and dialogue staff and Implementing Partners (IPs); introduce USAID/Malawi additional key resources available to support environmental compliance and ESDM. 9:00 – 9:45 Session 17: Parking Lot Session Address unresolved questions or issues and GEMS Facilitator Plenary session summarize information presented throughout the training. 9:45 – 10:00 Break 10:00 – 11:30 Session 18: Bringing Curricula to Reality With the technical training now complete, GEMS Facilitator Group discussions followed by individual action participants will share perspectives on planning environmental priorities and challenges for USAID activities in Malawi. These and other insights will be used to frame lessons-learned and identify practical actions that can be operationalized as part of project implementation. 11:30 -11:45 Workshop Final Evaluations Participants complete evaluation form 11:45 – 12:00 Closing Ceremony Conclude workshop and distribute certificates USAID/Malawi Mission 12:00 – 13:00 Lunch
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Acronyms ADS (USAID) Automated Directives System GCC Global Climate Change AFR USAID Bureau for Africa GHG Greenhouse gas AFR/SD USAID Bureau for Africa, Office of Sustainable GoM Government of Malawi Development HCWM Health Care Waste Management AOR Agreement Officer’s Representative IEE Initial Environmental Examination AOTR Agreement Officer’s Technical Representative IQC Indefinite Quantity Contract (now superseded by AOR) IRS (Anti-malarial) Indoor Residual Spraying Asia/ME USAID Bureaus for Asia and ITN Insecticide-Treated (bed) Net the Middle East IP Implementing Partner BEO Bureau Environmental Officer LLITN Long-life Insecticide-treated net (bednet) BFS USAID Bureau for Food Security LOE Level of Effort BPR Environmental Procedures Best Practices Review LOP Life-of-Project CEQ (US) Council on Environmental Quality M&E Monitoring & Evaluation CFR Code of (US) Federal Regulations M&M (Environmental) Mitigation and Monitoring COP Chief-of-Party MCC Millennium Challenge Corporation COR Contracting Officer’s Representative ME USAID Bureau for the Middle East COTR Contracting Officer’s Technical Representative MEO Mission Environmental Officer (now superseded by COR) NGO Non-Governmental Organization (see also DCHA USAID Bureau for Democracy, Conflict and PVO) Humanitarian Assistance NRM Natural Resources Management- DO Development Objective OIG Office of the (USAID) Inspector General EA Environmental Assessment; OMEP USAID Office of Middle East Programs Eastern Africa PEA Programmatic Environmental Assessment ECL Environmental Compliance: Language for PEPFAR President’s Emergency Plan for AIDS Relief Solicitation and Awards (ADS 204 Help Document) PERSUAP Pesticide Evaluation Report and Safer Use Action Plan ECSR Environmental Compliance Status Report PMP Performance Monitoring Plan EGSSAA (USAID/AFR’s) Environmental Guidelines for Small-Scale Activities in Africa; now being PMI Presidential Malaria Initiative superceded by the Sector Environmental POC Point of Contact Guidelines (SEG) ppb parts per billion EIA Environmental Impact Assessment PVO Private Voluntary Organization EMMP Environmental Mitigation & Monitoring Plan RCE Request for Categorical Exclusion EMPR Environmental Management Plan & Report REA Regional Environmental Advisor ENCAP Environmentally Sound Design and Management Capacity-Building Support for RUP Restricted Use Pesticide Africa (GEMS predecessor program Reg. 216 22 CFR 216 supporting Africa Region under the EPIQ II SEG (USAID’s) Sector Environmental Guidelines IQC.) (superceding the EGSSAA) ERF Environmental Review Form SO Strategic Objective ERR Environmental Review Report Title II Title II of US Public Law 480 (Agricultural ESDM Environmentally Sound Design & Management Trade Development and Assistance Act of FAA (US) Foreign Assistance Act 1954); “Food for Peace” program. FFP Food for Peace, see “Title I”I USAID United States Agency for International Development FO Functional Objective (under the Foreign Assistance Programming Framework) USG United States Government FTF Feed the Future (President’s Feed the Future WASH Water, Sanitation, and Hygiene Global Health and Food Security Initiative)
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session 1. Workshop Objectives and Logistics; Participant Introductions and Expectations
Summary This session briefs the workshop and its agenda, introduces us to each other, and establishes expectations. Specific elements of the session are: • Overview of training objectives, learning approach, agenda and materials • Participant and facilitator introductions • Solicit expectations • Address logistical considerations • Create a “Parking Lot”
This workshop will provide intensive training in: (1) compliance with USAID’s environmental procedures in project implementation, and (2) in the objectives of these procedures: environmentally sound design and management (ESDM) of USAID-funded activities.
Overall Goal: The overall goal of the workshop is to strengthen environmentally sound design and management of USAID-funded activities in Malawi by assuring that participants have the motivation, knowledge and skills necessary to (1) achieve environmental compliance in project implementation, and (2) otherwise integrate environmental considerations in activity design and management to improve overall project acceptance and sustainability.
Approach to Learning: The workshop is intended to be highly participatory and field-based: • Skills and processes briefed in the presentations will be built and practiced in hands-on exercises conducted in small working groups. • The key, integrative exercises in environmental impact assessment (EIA) skill-building and environmental mitigation and monitoring are built around two field visits: an afternoon exercise to practice fundamental skills of EIA, and a half-day site exercise culminating in preparation of an Environmental Mitigation and Monitoring Plan (EMMP). • Even presentation-centered sessions are intended to be interactive. Please ask questions and—as importantly—share and discuss your own experiences and perspectives relevant to the topic at hand.
Everyone’s active participation is encouraged and needed to make this workshop a success!
Teamwork Principles: Working groups are where we will practice and apply the key skills and ideas of the workshop. Working groups provide the opportunity for detailed discussions, and for learning from experiences and views of fellow development professionals. Working groups are also emphasized because environmental compliance and environmentally sound design and management are intrinsically team efforts.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Successful working groups require effective teamwork. Here are teamwork principles to consider: Twelve Essentials of Teamwork
ACTIVE VALUING COMFORTABLE SHARED GOALS PARTICIPATION DIVERSITY ATMOSPHERE AND OBJECTIVES OF ALL MEMBERS
BALANCED APPROACH TO EFFECTIVE PROCESS AND WHAT COMMUNICATION CONTENT EFFECTIVE CONSTRUCTIVE SHARED TEAMS NEED CONFLICT LEADERSHIP MANAGEMENT
CRITICAL ACTION ANALYSIS AND A PREFERENCE ACCOUNTABILITY MUTUAL TRUST PROBLEM- FOR CONSENSUS RESPONSIBILITY SOLVING (Adapted from Rees, "How to lead work teams in facilitation skills”)
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Sessions 2a & 2b. Environmentally Sound Design & Management (ESDM) as a Foundation for Environmental Compliance Technical presentation and dialogue
Summary This session will explain ESDM and illustrate its vital role in achieving and maintaining environmental compliance in project implementation. In order to establish this important relationship, we will: • Develop a common understanding of the term “environment” • Highlight some of the “big picture” environmental trends affecting human health and livelihoods in Southern and sub-Saharan Africa, including Global Climate Change, and show that much of USAID’s portfolio in Malawi and the region is a direct response to—or directly affected by— these trends • By example, demonstrate that “environment” and “development” are concepts further linked by the need to be:
o AWARE of the potential adverse impacts of development activities on ecosystems, environmental resources and environmental quality; and the need to
o PROACTIVELY seek to limit these adverse impacts, particularly where they affect health and livelihoods This is Environmentally Sound Design & Management (ESDM)!
• Consider specific examples from Malawi of the linkage between ESDM and successful project outcomes
This session will also highlight the most common root causes of ESDM failures or lapses and set out the basic rules or principles for achieving ESDM.
While the session will introduce the concept and practice of environmental compliance, specific USAID regulations and requirements will be addressed in finer detail in Session 5.
Objectives • Achieve a common understanding of “environment” • Understand Environmentally Sound Design & Management as a necessary and explicit objective for effective development • Establish the basic principles for achieving ESDM • Consider real-world examples of ESDM successes and failures in Malawi
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Environment – the Big Picture
What is Environment? Webster’s defines it as “The totality of circumstances surrounding an organism or group of organisms, especially: • The complex of physical, chemical, and biotic factors (e.g. climate, soil, and living things) that affect and influence the growth, development, and survival of an organism or an ecological Environmentally Sound Design & Management: community • The complex of social and cultural conditions affecting the nature a Foundation for Environmental Compliance of an individual or community.
USAID’s environmental procedures are concerned with the “natural and physical environment,” but in practice social and cultural issues are often not separable
What are some “big-picture” environmental trends affecting human health and livelihoods in Southern Africa? GEMS Environmental Compliance-ESDM Training Series Are they important in Malawi? Malawi ƒ November, 2015 2
1. Population growth 2. Urbanization
UN Population estimates:* UN Population estimates:* 2015 2050 % Urban pop as Average annual rate of change change % of total (2010- 2015) World** 7.35 bn 9.67 bn +32% 2015 2050
Africa** 1.17 bn 2.44 bn +109% World** 54% 66% 0.9% E. Africa** 395 mn 863 mn +118% Africa** 40% 56% 1.1% Malawi 17.2 mn 42.2 mn +145% Eastern Africa** 25% 44% 1.7% Less- 6.03 bn 7.99 bn +32.5% Malawi ** 16% 28% .9% Developed Less-Developed 48% 63% 1.2% Regions** Regions** LDCs 931 mn 1.73 bn +86% Urban population will grow more than LDCs** 31% 49% 1.7% * All data: “medium variant” projection. 2X as fast as rural population for the * UN Population Division UN Population Division (http://esa.un.org/wpp/unpp/panel_population.htm) (http://esa.un.org/unpd/wup/highlights/wup2014-highlights/wup2014/pdf foreseeable future
**Includes Malawi **includes Malawi Increased urban environmental Increasing Increased demands for water, land, LEADS health hazards (given poor or no Population in timber, energy, infrastructure & social Most urban growth in the TO LEADS municipal sanitation & waste Malawi services. Increased waste production. next 35 years in developing countries TO management capacity). 3 4 Global change + INCREASED WATER STRESS population growth = Greatest impacts on poor, subsistence agriculture. Environment and development are not separable
Much of USAID’s portfolio in the region is already a direct response to or directly affected by these environmental trends But good development does not simply respond to external environmental challenges. Good development … is AWARE of its potential adverse impacts on ecosystems, environmental resources and environmental quality and PROACTIVELY seeks to limit these adverse impacts, particularly where they affect health and livelihoods
Why? To avoid MISTAKES. . .
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Why are “environmental mistakes” made? Common root causes #1
Sometimes obvious (previous examples). ! Failure to plan for the Or, failure to plan for success! effects of increased scale But often difficult to foresee, predict The environmental effects of a Failure to plan for the effects small-scale animal husbandry Often rooted in a few of increased scale project may be minor common design problems Designing for average conditions Health hazards from ! BUT if the project is successful, animal waste. . . Ignoring economic- and many more individuals begin Fodder shortages environmental linkages to hold larger numbers of animals, (may lead to serious problems may arise. . . overgrazing and Failure to understand system erosion and/or complexity land conflicts)
7 8 Global change will affect both average conditions & Common root causes #2 expected variability Common root causes #3
! Designing for average conditions, ! Ignoring economic- Another failure to plan for success! not expected variability environmental linkages
This schoolhouse is being rebuilt in makeshift Household consumption depends on income. fashion with plank walls and a split-bamboo roof. Success in raising income in a community may Why? increase Strong winds ripped the aluminum sheet roofing • demand for building materials off the “permanent” structure and toppled the (brick & timber) landcrete walls. • the number of livestock, • demand for water In this area, one or two storms every 5 years • generation of waste, including disposable typically have winds of this strength. packaging
Other “average conditions” to be careful of: All can have significant adverse Rainfall, tides, water tables. . . What else? environmental impacts!
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Common Root Cause #4: Failure to understand system complexity 33 As Arsenic How can we
74.9216 avoid these
Photo: UNESCO-IHE environmental Ponds provided a mistakes (and Ponds excavated source of organic for fill to build-up carbon which settles maximize ground level in to bottom of pond, ? villages for flood seeps underground environmental In short, how can we achieve . . . protection and is metabolized by microbes benefits)? Environmentally Sound creates chemical Design & Management Created conditions for conditions that cause mass arsenic poisoning naturally occurring (ESDM)? when villages switched arsenic to dissolve out Today ~3000 Bangladeshis die each from surface water to of the sediments and year of As-induced cancer; 2 mn live “cleaner” tube wells. soils and move into with chronic As poisoning groundwater 11 12 How do we achieve ESDM? 1 Be prevention-oriented
Prevention 1.Implement design decisions occurs across the 2. Build capacity for environmentally sound project lifecycle— operation 3 basic rules: but it starts with design! 1 2 3 Apply best Construct/ Operate Design Decommission development implement (may include handover) (in some cases) Be prevention- practices to Be systematic oriented environmental aspects of the activity Make decisions about 1. Implement & maintain proper site, technique and operation operating practices to minimize impacts 2.Monitor the activity and its impacts
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2 ESDM is prevention-oriented Apply best practices
Prevention starts with DESIGN Apply general best development practices. . . DESIGN starts with the Objective choice of means. Improve agricultural A technically To build beneficiary capacity & Environmental impacts productivity sound design stakeholder commitment are 1 factor considered To design for the local To adjust what we do social & policy context as results come in Possible means How do we choose? . . .to environmental aspects of the activity
Change use of Introduce agricultural improved crop Change cultivation AND design for climate change inputs? varieties? practices?
15 16 BP #1: Technically sound design BP #2: Design for the policy and social context
Environmental application: For example. . . The design must be Environmental appropriate for local applications: environmental conditions ? Appropriate ….taking into account likely choice of crops or climate change. trees? Compliance NRM and land tenure … Rainfall, temperature, soils, flood, drought and earthquake with national and local Activities utilizing land and potential, the built environmental laws and other natural resources environment. . . policies must be compatible with local NRM and land tenure
Less Language, literacy than 10m land and resource rights Environmental are often gender-specific management measures
? A newly must be matched to Unscreened constructed Appropriate simple pit capabilities open-air latrines choice of siting? kitchen
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BP #3: Build stakeholder commitment & capacity . . . and involve the local community
! Environmental application: Local residents must Proper maintenance and Ethics require it live with the operation are critical to (environmental justice) environmental impacts controlling environmental of activities! impacts. LOCAL KNOWLEDGE is critical Local beneficiaries need to be trained and committed to: • How often does the river LISTEN to the flood? environmentally sound • How often are crops community operation. rotated? • Is there a land tenure TALK to both maintain the equipment/ problem? men and women structure Who will maintain it? • What do people value and Who will operate it? need?
19 20 BP #4: Adjust what we do as results come in BP #5: Design for Climate Change
Practice Adaptive management – Already mentioned: Climate change will affect future baseline adjusting implementation of conditions—projects must be designed to be our activity based on results Adaptive environmental ROBUST to these conditions from the field management requires: While individual projects are rarely • significant contributors to GCC. . . If our activity has unintended A project budget that funds environmental environmental consequences, . . .climate change is driven by the monitoring sum of many small actions. we need to DO SOMETHING • The flexibility to adapt the ABOUT IT! project in response to So even small-scale projects should unanticipated adverse seek to reduce GHG impacts emissions/increase sequestration/ Communities are often • Adjusting implementation USAID reduce climate vulnerability in the essential to monitoring of our project based on local area in a manner consistent results from the field the experiences of others Policy! with their development objectives.
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Best Practice: Design for Climate Change Now, rule 3 for achieving ESDM. . .
Example actions in small-scale projects:
Use alternative energy (PV, reduce GHG windmill water pumping, etc) emissions Improve thermal performance in 1 2 3 building design Apply best Buy carbon offsets for int’l travel. development reduce climate Be prevention- practices to Prioritize water efficiency to Be systematic vulnerability in reduce a project’s contribution to oriented environmental the local area the area’s future water stress aspects of the activity increase Tree-planting. sequestration Land management (sustainable Soil carbon measurement by grazing, cropping) hand in Senegal
23 24 3 Be systematic
Take a systematic look at: • the possible adverse environmental impacts of an activity • ways to reduce these impacts.
The best way to be systematic: Environmental Impact Assessment (EIA)!
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Session 3. Fundamental Skills of Environmental Impact Assessment (EIA) Technical presentation and dialogue
Summary This session will define Environmental Impact Assessment (EIA) as a formal process for identifying the likely effects of activities/projects on the environment, and on human health and welfare; and the means and measures to effectively mitigate these impacts.
Fundamental skills of the EIA process will also be introduced and explained, including: 1) characterizing the baseline situation; 2) identifying (and evaluating) the potential adverse impacts of planned development activities (issues of concern); and 3) developing a mitigation strategy to address these impacts.
The session will further illustrate how the EIA process aligns with ESDM and establish that this process is the internationally accepted standard framework for achieving ESDM in project-based development. The linkage between EIA and USAID environmental procedures will also be established.
Discussion of Fundamental EIA Skills This session addresses the essential EIA skills of baseline characterization, impact identification and mitigation design. (A fourth “core” skill—monitoring—is addressed in a subsequent session). These skills will be put to practice in the workshop’s field-based activities.
Baseline Characterization & Identifying Impacts of Concern This portion of the session explains the basic, logical process behind baseline characterization and identifying impacts (or issues) of concern. An example from a real and typical small-scale irrigation project will illustrate why the fundamental EIA skills of baseline characterization and issue identification are directly relevant to effective mitigation and achieving ESDM. Depending on the size, complexity and context of the activity, sophisticated environmental models and other tools can be required to evaluate impacts in the context of a comprehensive EIA study. But for most small-scale activities and preliminary assessments (or USAID-mandated IEEs), the simple, logical process described here—supported by good judgment and the information contained in the Sector Environmental Guidelines or similar resources—is sufficient.
Mitigation Design The purpose of the EIA process is not simply to identify and assess potential environmental impacts, but to change project design and implementation so that these impacts are mitigated—that is, avoided, reduced or offset.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
As such, mitigation is a critical part of ESDM and the EIA process. Monitoring (addressed in a subsequent session) is its essential complement, required to verify whether the mitigation measures are sufficient, effective—and actually implemented.
This portion of the session: • Defines mitigation • Provides examples of basic mitigation approaches • Explains the principles behind good mitigation design and practice
Objectives
• Achieve a basic understanding of the EIA process and how it is implemented • Become familiar with core EIA skills and the technical approach to EIA activities • Promote the EIA framework as the internationally accepted standard process for achieving ESDM in project-based development • Establish EIA as the basis of USAID Environmental Procedures
Key Resources • The “Underlying EIA concepts and skills” page on the GEMS project Web site (available at: http://www.usaidgems.org/underlyingEIA.htm) provides additional background and context on the EIA process and includes links to other training and reference materials. • The individual chapters of the Sector Environmental Guidelines are a key resource for: (1) identification of potential adverse environmental impacts; and (2) design of specific mitigation and monitoring measures.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015 Session Objectives:
• Define Environmental Impact Assessment (EIA) Fundamental Skills of • Explain the EIA process Environmental Impact Assessment (EIA) • Develop fundamental EIA skills; learn basic approach • Illustrate EIA framework as the internationally accepted standard process for achieving ESDM • Establish EIA as the basis of USAID Environmental Procedures
GEMS Environmental Compliance-ESDM Training Series Malawi ƒ November, 2015 2
EIA What is an activity?
The EIA process examines the impacts of activities. Environmental Impact Assessment is 9 An activity is: A formal process for identifying: A desired accomplishment Accomplishing an activity 9 or output. requires a set of actions or • likely effects of activities or A project or program may interventions projects on the environment, consist of many activities. ACTIVITY: ACTIONS: and on human health and increase rice • Provide inputs (seed, welfare. production fertilizer, pesticides) • Design and construct • means and measures to irrigation infrastructure mitigate & monitor these What are some • Increased access to of your activities? finance, lending impacts. • Road rehabilitation • Capacity building and 3 technical assistance 4 4 The EIA process Phase I of the EIA process
Understand Screen the Conduct a Phase I Phase II proposed activity Preliminary activity Assessment Based on the ACTIVITY IS SIGNIFICANT BEGIN Phase I: Phase II: Why is the nature of the OF MODERATE A rapid, ADVERSE FULL activity being activity what OR UNKNOWN simplified EIA IMPACTS EIA Initial inquiries Full EIA study proposed? level of RISK study using POSSIBLE STUDY environmental simple tools SIGNIFICANT (if needed) What is being analysis is (e.g. the ADVERSE • Understand proposed proposed? indicated? USAID IEE) IMPACTS activities ͻ Scope VERY UNLIKELY • Screen activities ͻ Evaluate baseline situation ͻ Identify and choose alternatives ACTIVITY IS LOW Document • Conduct preliminary ͻ Identify and characterize potential RISK (Of its nature, and submit very unlikely to have assessment (if needed) impacts of proposed activity and for significant adverse approval* each alternative impacts) ͻ Develop mitigation and monitoring ACTIVITY IS ͻ Communicate and document HIGH RISK (Of its throughout nature, likely to have significant adverse impacts) Most USAID activities do NOT proceed to a full EIA study *approval is CONDITIONAL on any mitigation specified by the preliminary assessment being 5 implemented 6
Phase I: Screen the activity Phase I: Preliminary Assessment
Screen each SCREENING asks a very basic set of questions Conduct a Purpose is to provide activity about the activity. Preliminary documentation Assessment Based on the Example screening questions: and analysis that: nature of the A rapid, simplified • activity, what Does the activity involve: EIA study using Allow the preparer to determine level of • Penetration road building? simple tools whether or not significant environmental • Large-scale irrigation? adverse impacts are likely analysis is • Introduction of non-native crop or agroforestry • Allows the reviewer to agree or indicated? (such as USAID’s species? Initial Environmental disagree these determinations • Resettlement? Examination [IEE]) • Sets out mitigation and Answering these questions does NOT: monitoring for adverse impacts • require analysis • require detailed knowledge of the proposed sites, techniques or methods Screening determines ! whether the preliminary assessment is necessary
7 8 Phase I: Preliminary Assessment When to Proceed
Typical Preliminary For each activity it covers, a Assessment outline preliminary assessment has 3 possible findings: 1. Background (Development We only proceed to objective, list of activities) The activity is. . . ! Phase II of the EIA process • 2. Description of the baseline very unlikely to have situation significant adverse impacts. IF • unlikely to have significant Phase I indicates that 3. Evaluation of potential adverse impacts with a FULL EIA STUDY environmental impacts specified mitigation and monitoring, is required 4. Mitigation & Monitoring • likely to have significant 5. Recommended Findings adverse impacts (full EIA study is required)
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Phase II: Full EIA Study Fundamental EIA Skills
The full EIA study has A formal scoping process precedes the study to very similar objectives ! identify issues to be There are “core” skills that How do I approach and structure to a addressed are central to environmental the EIA process? preliminary assessment. Analysis of environmental impact assessment: impacts is much more However, the full EIA detailed • Baseline characterization study differs in Alternatives* must be • The identification of important ways: formally defined. The ! impacts of each alternative potential adverse impacts must be identified & (or impacts of concern) evaluated, and the results compared • Developing a mitigation *includes the project as Public participation is strategy proposed, the no-action alternative, and required at least one other real alternative A professional EIA team is usually required 11 12 Fundamental EIA Skills Characterizing the baseline situation. . .
Water? Quantity, quality, reliability, The accessibility Baseline environmental Identifying Impacts Mitigation Strategy* Characterization components of Soils? Erosion, crop productivity, of Concern interest are those: fallow periods, salinity, nutrient concentrations
• likely to be Fauna? Populations, habitat Used to prepare preliminary Key skill for affected by your assessment—but also critical to avoiding adverse activity Env Health? Disease vectors, making mitigation responsive to impacts and • upon which your pathogens local environmental conditions achieving ESDM activity depends Flora? Composition and density of for its success natural vegetation, productivity, key species
* Monitoring is the essential complement to mitigation; it is required to Special Key species verify whether the mitigation measures are sufficient, effective—and ecosystems? actually implemented. Monitoring is addressed in a subsequent session. 13 14
Where do I obtain information on the baseline situation? Identifying impacts of concern
1. YOURY ORGANIZATION: Aren’t we forgetting • TALK to staff who ? something? What is an impact? know the project, and What about reports by The baseline situation know the sites. donor organizations and The impact of an activity is the is the existing international agencies? • OBTAIN project What about government change from the environmental situation documents and statistics? GIS baseline situation or condition in the information databases? caused by the activity. absence of the activity. 2. DIRECTD OBSERVATION: All these sources can be • Go to the site(s)! Look up useful (and sometimes Important: publicly available satellite necessary) !To measure an impact, imagery before you go. you must know what the Baseline situation is not 3. UUTILIZE OTHER LOCAL But good local baseline situation is. just a “snapshot in time” TTALENT & KNOWLEDGE: information is the most important input • communities, government, counterparts
15 16 Types of impacts & their attributes Focus!
• Direct & indirect The EIA process is impacts concerned with • Short-term & long- all types of impacts and term impacts !ESSENTIAL to focus may describe them in a on the most number of ways • Adverse & beneficial impacts significant impacts • Cumulative impacts You definitely do not • Intensity have time and • Direction resources to analyze • Spatial extent But all impacts and discuss in detail • Duration are NOT treated • Frequency less important ones. • Reversibility equally. • Probability
17 18
Impact evaluation process: THEORY Impact evaluation process: EXAMPLE
Understand the activities Proposed intervention: irrigation 1 Given: 1 being proposed 5 scheme 1. the baseline (wing dam diversion type water- conditions, Research the potential adverse intensive crops high fertilizer use, unlined canals & open-channel irrigation) 2 impacts typical of these activities 2. the project & know how they arise concept/design, and Key potential impacts: 3. How the adverse 2 • Excessive diversion of water Based on the potential impacts, 3 impacts arise, • Salinization of soils identify which elements of the • Contamination of groundwater & baseline situation are important downstream surface water decide which impacts are Characterize these elements of of concern Key elements of baseline: 4 the baseline 3 • River flow volume, variability • Soil & water characteristics & groundwater depth • Downstream uses
19 20 Impact evaluation: EXAMPLE Mitigation Design
4 Baseline characterization Therefore: A critical part of the EIA process—and of ESDM • River flow volume, variability 5 • Will divert 3% of normal flow Impacts of Mitigation is. . . • low-year flows are 50% of normal Concern: • Downstream abstraction is <10% Salinization The implementation of measures designed to eliminate, of total flow volume. Downstream reduce or offset the undesirable effects of a proposed • Soil characteristics & groundwater action on the environment. depth contamination • Soils are well-drained but relatively high in salts; Little Concern: groundwater 2m depth Excess Downstream uses • Diversion • Key water source for community domestic use & livestock, Why these immediately downstream. conclusions?
21 22
How does mitigation reduce adverse impacts? Must EVERY impact be mitigated?
Type of mitigation How it works Examples Mitigation specified in Phase I or Phase II measure of EIA process must be implemented Fully or partially prevent an PREVENT contamination of wells, by impact/reduce a risk by: SITING wells a safe distance from Prevention and Changing means or technique pollution sources Environmental management criteria often require judgment in control Changing or adding design Add wastewater treatment system to designing specific mitigations. Apply the following principle: measures elements the DESIGN of a coffee-washing Changing the site station and train in proper Potentially serious Easily mitigated OPERATIONS Specifying operating practices impacts/issues impacts Compensatory Offset adverse impacts impacts Plant trees in a new location to These must ALWAYS be Then, there may be in one area with improvements COMPENSATE for clearing a measures elsewhere construction site mitigated to the point other impacts for which that the impact is non- mitigation is easy and Repair or restore the
Remediation Re-grade and replant a borrow pit Prioritize! significant low-cost environment after damage is after construction is finished measures done
… and sometimes you may need to redesign the project to modify or 23 eliminate problem components 24 Three rules for Environmentally Sound Prevention is best Design & Management (ESDM)
1 2 3 Apply best Where possible, PREVENT impacts by development changes to site or technique. Be prevention- practices to ! Be systematic CONTROL of impacts with oriented environmental Operation & Maintenance (O&M) practices aspects of the is more difficult to monitor, sustain. activity
Properly implemented, the EIA process makes them a reality.
25
Environmental Impact Assessment: Environmental Impact Assessment: a universal requirement a universal requirement
• From its beginnings in the 1970 US National Environmental Policy Act. . . • EIA now extends beyond government works to • Infrastructure and economic development projects funded by the private sector & donors • Analysis of policies, not just projects • In many developing countries, EIA is the core of national environmental regulation • Most countries & almost all donors (including USAID) now have EIA requirements
27 28 Environmental Impact Assessment: Malawi The World Bank
• http://www.chmmw.org/publications/mwnep.pdf
“The Bank requires environmental assessment (EA) of projects proposed for Bank financing to help ensure that they are environmentally sound and sustainable, and thus to improve decision making.” 29 30
Summary
• EIA is an established process that promotes sustainable environmental management and successful development outcomes. • Core skills are needed to implement the EIA process and to help achieve ESDM; these are: • Baseline characterization • Identifying impacts of concern • Mitigation design • EIA enables ESDM-focused development, and is the basis for USAID Environmental Procedures
31
Session 4. Skill-Building in Environmental Impact Assessment (EIA) Field visit and practical exercise
Summary This session consists of a small-group oriented exercise based on a shorter, focused field visit to a nearby project site. Participants will observe and assess activities underway and practice the EIA skills required to characterize baseline situations and identify potential impacts of concern. Through facilitator-led observation and discussion, participants are also prepared for the workshop’s more extensive field-based exercise.
Session 4a: EIA Skill-Building Exercise—Briefing and Classroom Preparation (30 mins.) During this pre-field visit session participants will receive instruction on the methodology and the objectives of the skill-building exercise. This classroom preparation will enable participants to understand the general project scenarios to be assessed, and it is during this time that they will be divided into small groups for the exercise.
Scenario and Instructions • Listen carefully to the project scenarios presented by the facilitator(s). Understand the structure and objectives of the exercise. • Observe the note card on your table with the project site to which your group has been assigned.
Session 4b: EIA Skill-Building Exercise—Field Visit (2 hrs., including return) Participants will use group transportation and proceed to the designated project site. Each group will be accompanied by at least one workshop trainer/facilitator. The field visit will enable participants to practice observation and EIA skills needed to characterize the baseline situation and identify impacts and issues of concern.
Scenario and Instructions • At your project site observe the key elements of the baseline situation and identify potential environmental impacts. You should be on the lookout for health and safety issues as well as any socio-economic considerations that may not immediately strike one as ‘environmental’ in nature, but could nonetheless affect community health and safety. • Discuss baseline situation and identify potential environmental impacts of the project scenarios as a small group in course of the field visit. Solicit stakeholder input, as appropriate. • Take notes.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session 4c: EIA Skill-Building Exercise—Group Work and Dialogue (approx. 2 hrs.) This component is designed to expand participants’ understanding of baseline characterization and environmental impact identification through small-group collaboration based on the preceding field visit. During this time, participants will work as part of their small group to synthesize field observations and prioritize impacts/issues of concern that were observed at the project site. The small groups will also discuss possible approaches for limiting the adverse effects of potential impacts of concern.
Scenario and Instructions Using the observations and information gathered during the field visit, each small working group will: • Review and characterize the most relevant aspects of the baseline situation, including ongoing environmental management efforts and measures (if any); and • On this basis, decide which of the potential adverse impacts and other potential “ESDM failures” are real and present serious concerns. Small groups should record their findings. Facilitators will serve as resources throughout the process.
Note that: • This group work and dialogue is intended to practice basic EIA observation and impact identification skills—not to practice development of Reg. 216 environmental documentation. • For participants who already know these terms, working group outputs are not expected to be in the form of an IEE outline or phrased in terms of “recommended determinations.”
Session 4d: EIA Skill-Building Exercise—Presentation and Discussion (approx. 1 hr.)
This component will provide an opportunity for each working group to present its finding (and recommendations, as applicable) based on the field visit and subsequent small-group synthesis and collaboration. Findings will be presented to the training group at large and key elements or aspects of the EIA process and outputs discussed in plenary form.
Key Lessons
At the conclusion of this exercise, participants will be equipped to: • Characterize a project baseline situation • Identify and/or prioritize environmental impacts of concern • Develop an approach that will limit or mitigate impacts of concern, or that will promote ESDM in project implementation
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session 5. Environmental Impact Assessment and USAID Environmental Procedures: the Initial Environmental Examination (IEE) and Beyond Technical presentation and dialogue
Important note: Note that in this workshop, the term “USAID Environmental Procedures” does not refer only to 22CFR 216 (Reg. 216), but collectively to Reg. 216, relevant FAA requirements, and to the mandatory procedures and directives contained in the USAID-internal ADS.
Summary The preceding workshop sessions have: • Described ESDM as a key objective for the ethical and effective practice of development • Explained the EIA process and the fundamental skills of baseline characterization, impact identification, and mitigation design • Highlighted EIA as the framework for achieving ESDM in project-based development activities, and as the basis for USAID Environmental Procedures • Provided an opportunity to test and apply fundamental EIA skills in a field-based exercise
USAID is required by both court settlement and US law to utilize an EIA-based process to “fully take into account” environmental sustainability in the design and implementation of its development programs. USAID Environmental Procedures represent the Agency’s unique implementation of the EIA process, and seek to assure that USAID-funded projects effectively identify and mitigate potential adverse environmental impacts. USAID Environmental Procedures also lay out an environmental compliance regime in which the Agency and Implementing Partners fulfill various environment-related requirements over the life of project.
Specifically, USAID Environmental Procedures dictate a process that must be applied to all activities before implementation. The output of this EIA process, defined by 22CFR216 (“Reg. 216”), is USAID- approved Reg. 216 environmental compliance documentation. This documentation includes: • Requests for Categorical Exclusion (RCE) • Initial Environmental Examinations (IEEs)—the USAID version of a preliminary assessment • Environmental Assessments (EAs) and Programmatic Environmental Assessments (PEAs)
Most IEEs and all EAs/PEAs specify environmental management conditions, which are essentially mitigative measures. These measures—“IEE/EA conditions”—must be implemented and monitored over the life of the activity (or life of project, LOP). While implementation is the responsibility of the IP, USAID C/AORs are required to actively manage and monitor compliance with IEE/EA conditions. This process is the cornerstone of project environmental compliance. This session will introduce —but not go into detail regarding—the steps comprising this process and who is responsible for them: MEOs, CORs/AORs, Activity Managers, IPs, etc.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Although the pre-implementation, or “upstream compliance” aspect of USAID Environmental Procedures is well articulated via Reg. 216, specific requirements for the implementation of IEE/EA conditions and associated reporting—“downstream compliance”—are based primarily on Agency best practice, and vary somewhat by region. To strengthen downstream environmental compliance in Africa, IEEs and award documents are increasingly requiring IPs to develop, submit and implement environmental mitigation and monitoring plans (EMMPs) for their projects. The EMMP is a systematic vehicle to implement IEE and EA conditions.
More about Reg. 216 (22 CFR 216) Reg. 216 is a US federal regulation that sets out USAID’s mandatory pre-obligation/ pre-implementation EIA process. The Regulation applies to all USAID programs or activities, including non-project assistance and substantive amendments or extensions to ongoing activities. No “irreversible commitment of resources” can occur to implement an activity unless the activity is covered by appropriate, approved Reg. 216 documentation.
When IEEs are approved with mitigation and monitoring conditions attached to one or more activities, those conditions become a required part of project design/implementation. (EAs always have such conditions.)
Across USAID programs, Reg. 216 documentation is developed both by Mission staff and Partners, depending on the situation. Title II Cooperating Sponsors, for example, are required to develop IEEs as part of their MYAPs, and other partners are often asked to develop Reg. 216 documentation for new project components. Reg. 216 documentation covering multiple projects at the sector program level is developed by Mission staff or 3rd-party contractors.
Reg. 216 is the best-known portion of USAID Environmental Procedures. However, Reg. 216 simply defines the pre-implementation EIA process. Unless the IEE and EA conditions that result from this process are actually implemented, (1) the activity is out of compliance; (2) the Reg. 216 process is largely meaningless; and (3) the objective of the environmental procedures (ESDM) is not achieved.
For this reason, the ADS requires C/AORs to REMEDY or HALT activities where IEE/EA conditions are not being implemented, or which are otherwise out of compliance.
Objectives • Understand the legal mandate of USAID Environmental Procedures, including 22CFR216 (“Reg. 216”). • Link application of the EIA-based Environmental Procedures to the goals of ESDM and broader USAID development efforts. • Gain familiarity with the environmental compliance requirements established by USAID Environmental Procedures, including IEEs and related documentation. • Illustrate how the USAID IEE and related environmental compliance documents determine project environmental management requirements.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Key resource • The Environmental Procedures Briefing for Mission Staff is a succinct summary of LOP environmental compliance. This training draws heavily from the Briefing. It is included in this Sourcebook and available at http://www.usaidgems.org/rolesRespons.htm.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session Objectives:
• Review background and principles of Environmental Impact Assessment (EIA) EIA and “USAID Environmental Procedures”: • Review EIA process and fundamental skills: the Initial Environmental Examination (IEE) • Baseline characterization and Beyond • Identifying impacts of concern • Developing a mitigation strategy • Explain USAID implementation of the EIA process • Understand preparation of USAID environmental compliance documentation
GEMS Environmental Compliance-ESDM Training Series Malawi ƒ November, 2015 2
USAID Environmental Procedures Applying the EIA process
• Specifies an Agency-wide “USAID • The USAID approach to EIA is Reg. 216 approach to environmental ! Environmental established in Reg. 216 ! (22 CFR 216) is a management of USAID-funded Procedures” refers • Reg. 216 defines a pre- US FEDERAL activities. generally to all REGULATION. relevant laws, implementation EIA process Compliance is • “Environmental Procedures” Agency guidance, • This process applies to: mandatory. Encompass: and prevailing best • All USAID programs or activities, • 22 CFR 216 (“Reg. 216”) practices. (including non-project assistance.) • Foreign Assistance Act (FAA) Sections • New activities 117, 118 & 119. • Substantive amendments or extensions • USAID-internal Automated Directives to ongoing activities System (ADS) • Regional Best Practices
3 4 Reg. 216 = USAID’s implementation of The USAID screening process general EIA process. . .
start Plain-language meaning & implication Phase I Phase II Conduct a Understand Screen the Preliminary “Emergency Activities” proposed activity Assessment 1. Is the activity activity YES (as defined by 22 CFR 216) Based on the EXEMPT? No environmental review required, but anticipated ACTIVITY IS A rapid, SIGNIFICANT BEGIN Why is the nature of the OF MODERATE ADVERSE adverse impacts should be mitigated simplified EIA FULL EIA activity being activity, what OR UNKNOWN IMPACTS NO study using STUDY proposed? level of RISK POSSIBLE simple tools environmental (e.g. the USAID What is being review is SIGNIFICANT 2. Is the activity Very low-risk; no USAID knowledge or control Initial Env. ADVERSE proposed? indicated? Examination) IMPACTS CATEGORICALLY YES (within categories defined by 22 CFR 216) VERY UNLIKELY EXCLUDED? No further environmental review is necessary. NO ACTIVITY IS LOW . . .that RISK (Based on its Document nature, very unlikely and submit begins the 3. Is the activity You probably must do a full Environmental to have significant for approval YES same way adverse impacts) HIGH RISK? Assessment (EA) or revise the activity as any EIA Allowed by Reg. 216 process. . . ACTIVITY IS HIGH NO recommended RISK (Based on its But not usually recommended nature, likely to have (or not yet clear) significant adverse impacts) Prepare Prepare Environmental Initial Environmental Examination (IEE) Assessment (full EIA study) 5 6
Screening under 22 CFR 216: “Exempt” activities often have Screening under 22 CFR 216: ! significant adverse impacts. Exemptions Mitigate these impacts where Categorical Exclusions possible.
start Under Reg. 216 start ONLY activities fitting in a set of 15 EXEMPTIONS are ONLY. . . specific categories MAY qualify for categorical exclusions, including. . . 1. Is the activity 1. Is the activity YES YES EXEMPT? 1. International disaster assistance EXEMPT? • Education, technical assistance, or training programs (as long as no NO 2. Other emergency situations NO requires Administrator (A/AID) or activities directly affect the environment) Assistant Administrator (AA/AID) 2. Is the activity formal approval CATEGORICALLY YES • Documents or information transfers EXCLUDED? 3. Circumstances with “exceptional • Analyses, studies, academic or foreign policy sensitivities” NO research workshops and meetings requires A/AID or AA/AID formal approval • Nutrition, health, family planning activities except where medical waste is generated
7 8 Screening under 22CFR216 Categorical Exclusions: LIMITATIONS “High Risk” (EA Likely Required)
An activity may “fit” into a start start “HIGH RISK” = activities “for which an EA categorically excluded class. . . is normally required” per 22 CFR 216 . . . but if adverse impacts are reasonably OR other activities which clearly present foreseeable, the activity will NOT receive a 1. Is the activity 1. Is the activity high environmental risks EXEMPT? YES categorical exclusion. EXEMPT? YES • Penetration road building or improvement NO NO Why would categorical exclusions • Irrigation, water management, or drainage NOT apply if USAID funds. . . projects 2. Is the activity 2. Is the activity • A technical advisor to the ministry of • Agricultural land leveling CATEGORICALLY YES CATEGORICALLY YES environment and energy with co- • New land development; programs of river basin EXCLUDED? EXCLUDED? signature authority over mining development NO concession awards? NO • Large scale agricultural mechanization • Midwife training in management • Resettlement rd No categorical exclusions of 3 -stage labor? ! 3. Is the activity • Powerplants & industrial plants are possible when an • Credit support to large-scale agro- YES HIGH RISK? • Potable water & sewage, activity involves pesticides. processing? “except small-scale” (22 CFR 216.2(e)) NO 9 10
What if my activity is “high risk”? What is clearly “high risk”?
EA DEFINITELY REQUIRED NOT CLEAR—proceed to IEE New 500Ha irrigation scheme Rehabilitation of 50Ha irrigation scheme
Major expansion of a 100MW thermal power plant & Mini-hydro installations of 500 kw total construction of new transmission lines Widening 30km of a 2-lane road to Rehabilitation of multiple short segments 6-lane tollway thru an urban area of rural feeder road WHY a preliminary assessment? Can proceed directly to an An IEE will: EA (USAID’s full EIA study) Sections 118 & 119 of the Foreign • Allow you to determine if Assistance Act REQUIRE an EA for. . But unless the activity is impacts can be easily controlled Activities involving procurement or use of logging VERY clearly “high risk”, below a significant level—if so, equipment do an IEE (USAID’s an EA is not necessary Activities with the potential to significantly degrade preliminary assessment) • Gather information needed to national parks or similar protected areas or introduce exotic plants or animals into such areas instead jump-start the EA process
11 12 Develop your Once each activity has been screened… 22 CFR 216 documentation. . .
. . .as determined by the outcome of your screening process
Activity* Exempt CatEx IEE Req’d EA Req’d Overall screening 22 CFR 216 CATEGORICAL results documentation required EXCLUSION REQUEST 1. Small clinic rehabilitation X All activities are exempt Statement of Justification Very simple; 1-2 pages. Describes the activities. 2. Borehole Installations X All activities Categorical Exclusion Cites 22 CFR 216 to 3. Training in patient record-keeping X categorically excluded Request + FACESHEET justify the catex. All activities require an IEE covering all activities + 4. Construct provincial medical X IEE FACESHEET waste disposal facility Some activities are An IEE that: *Use a table like this. It helps. categorically excluded, Covers activities for some require an IEE which an IEE is required AND Initial Justifies the categorical Environmental exclusions Examination + FACESHEET (USAID’s preliminary High-risk activities Initiate scoping and assessment) preparation of an EA
13 14
Timing of 22 CFR 216 documentation. . . The IEE: USAID’s preliminary assessment
USAID’s project design Program Cycle What does it process requires approved Environmental Basic IEE outline ! look like? Reg. 216 documentation as CDCS Planning, FAA 117, 1. Background & Activity Description 118, 119 annex to the Project Project Design Process • Purpose & Scope of IEE The IEE is • Background Appraisal Document Stage 1:Concept Paper very similar to - Steps 1-10 • Description of activities preliminary -Review - Approve/Disapprove 2. Country & Environmental information assessments - if yes then Stage 2 • Locations affected required by other donors Stage 2: Analytical (PAD) • National environmental policies and procedures and 3. Evaluation of potential environmental impacts Gender/ Env/Sust Analysis Threshold Decision governments. 7. Anal. & Sust. Considerations Annex b. Log Frame 4. Recommended threshold decisions and Annex k. Env Thresh. Decision Annex m. Waivers (AUPCS) mitigation actions • Recommended threshold decisions and Stage 3: Project conditions Authorization • Mitigation, monitoring & evaluation AUPCS mitigating measures in the PAD 15 16 Purpose of IEE What determinations result from an IEE?
Provides For each activity addressed, the IEE makes one of 4 documentation and analysis that: recommendations regarding its possible impacts: If the IEE analysis finds. . . The IEE recommends a. . . Implications • Allows the preparer (if IEE is approved) to determine whether No significant adverse NEGATIVE No conditions. Go ahead. or not significant environmental impacts DETERMINATION adverse impacts are With specified mitigation and NEGATIVE Specified mitigation and monitoring, no significant DETERMINATION monitoring must be implemented likely environmental impacts WITH CONDITIONS Significant adverse POSITIVE Do full EA or redesign activity. • Allows the environmental impacts are DETERMINATION Conditions imposed by the EA reviewer possible must be implemented. to agree or disagree Not enough information You cannot implement the with the preparer’s to evaluate impacts DEFERRAL activity until the IEE is amended determinations PLUS, the IEE will address any CATEGORICAL EXCLUSIONS carried over from the screening process. • Sets out mitigation and monitoring for adverse impacts 17 18
Reg. 216 documentation & approval When the IEE is duly approved. . .
IMPORTANCE: Recommended determinations & Who signs? categorical exclusions become No activities may be implemented THRESHOLD DECISIONS without APPROVED Reg. 216 Clearances: environmental documentation in • COR/AOR or Team leader hand. Conditions become REQUIRED • Mission Environmental Officer (for The IEE is posted to USAID’s elements of project implementation Missions) environmental compliance database* APPROVED = & monitoring (ADS 204.3.4(b)) • Regional Environmental Advisor Mission Director (depending on mission) (or Washington equivalent) & • Mission Director Conditions are written into or Bureau Environmental Officer or Washington equivalent* referenced in solicitation & award IEE conditions provide the bedrock (BEO) signatures Concurrence documents (ADS 204.3.4(a)(6)) on which life-of-project mitigation BEO concurrence not automatic or • Bureau Environmental Officer* and monitoring criteria are guaranteed Approval established. • General Counsel (rarely) AORs/CORs oversee implementation Dialogue is sometimes required (ADS 204.3.4(b)) *required by Reg 216 *www.usaid.gov/our_work/environment/compliance/database.htmlsaid
19 20 What if I need to do an Environmental What about host-country EIA Assessment*? procedures?
• First step: a formal scoping process (22 CFR 216.3(a)(4)) • Most host countries—Malawi included—have domestic EIA requirements; • Scoping Statement must be approved by Mission Director, • USAID projects must also comply with these requirements; Bureau Environmental Officer. • Informs the SOW for the • So, during screening, also screen against host-country Environmental Assessment itself. categories or criteria. • EAs are far more detailed than IEEs. • If a host-country preliminary assessment or full EIA is They must address alternatives to the required, the objective is to create proposed activities. Public consultations are required. one document that satisfies both systems. *If a proposed action may affect the US environment or the global commons, an EIS is required, not an EA. (EIS = Environmental Impact Statement, per the US National Environmental Policy Act (NEPA)). This is RARE. (22 CFR 216.7.)
21 22
Summary
• Reg. 216 establishes the pre-implementation USAID environmental review process • This reflects the general EIA methodology • It begins with a systematic screening and decision- making process with more detailed review, if needed • USAID documentation and approval processes are clear and mandatory • Reg. 216 documents define project environmental management criteria, most frequently as IEE conditions
23 Version: 27 January 2009 download from www.encapafrica.org /meoEntry.htm.
USAID Environmental Procedures Briefing for Mission Staff Message to the MEO/Trainer
NOTE: Please DELETE THIS PAGE and UPDATE TEXT IN GREEN HIGHLIGHT before distribution. Dear MEO/Mission Environmental Procedures Trainer, Africa Bureau strongly recommends that all Mission Staff receive at least a brief (2-3 hr) orientation training to USAID’s environmental procedures. MEOs are encouraged to organize such trainings in their mission. The trainer may be the MEO, the REA or a specialized consultant (e.g. from AFR/SD’s ENCAP environmental technical support program.) This Briefing was developed by ENCAP in response to a need identified by MEOs and REAs for succinct briefing materials to support such mission staff trainings, and to serve as a post-training reference. Towards these ends, it: summarizes the environmental procedures in plain language, and sets out the roles and responsibilities of organizational units and functions in the Mission in achieving and assuring compliance. This Briefing is closely based on and fully compatible with the new template Environmental Compliance Mission Order adopted by Africa Bureau. It is also fully compatible with the AFR MEO Handbook, which explains the elements of LOP environmental compliance in more detail, and with particular reference to the role of the MEO. Both are available via the on-line MEO Resource Center (www.encapafrica.org /meoEntry.htm). The MEO Resource Center is a single point of access to a wide range of environmental compliance, best practice, and related references. As noted in the text, the plain-language summary in this Briefing does not supercede the statutory, regulatory and ADS language that governs and constitutes USAID’s environmental procedures. This language may be accessed via the MEO Resource Center. If an Environmental Compliance Mission Order based on the new template has been or is being issued by Mission management, simply use the Mission Order as the training reference rather than this briefing. Neither this Briefing, nor the Mission Order, nor the MEO Handbook teach how to develop “Reg 216 documentation” (Requests for Categorical Exclusion (RCEs), IEEs, and EAs.) The focus is instead on the “big picture” of LOP compliance, particularly implementation of IEE and EA conditions. The assumption is that most mission staff with program responsibilities will not be developing RCEs, IEEs or EAs, but all have significant responsibilities for assuring that IEE and EA conditions are implemented. If the training will address Reg. 216 documentation development, training materials and an on-line support tool are available on the ENCAP website: IEE Assistant (on-line support tool for development of RCEs and IEEs). www.encapafrica.org/assistant.htm. Reg. 216 training presentations. See the following presentations developed for Regional USAID staff trainings: “Overview of Reg. 216;” “Practice with Screening & Getting Started with the On-line IEE Assistant;” and “Pointers and Pitfalls: A Guide to Successful & Effective IEEs.”All are available at http://www.encapafrica.org/tzWorkshop.htm. While direct URLs are provided above, these resources can also be accessed via the MEO Resource Center. The MEO Resource Center is referenced extensively in the text. The entire contents of the ENCAP website, including the MEO Resource Center, are available on a flashdrive (memory stick) from ENCAP. Where compatible with mission IT policy, we recommend copying the site from the flashdrive to a convenient location on a mission server, allowing all staff quick access. The briefing contains placeholder text to insert the server file location. For comments or questions on this briefing please contact the ENCAP core team at the address below. For assistance or consultation regarding organizing a staff training in your mission, please contact your Regional Environmental Advisor.
Sincerely, The ENCAP Core Team [email protected] USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 2/8
USAID Environmental Procedures Briefing for USAID/XXX Staff
Contents Purpose ...... 2 Legal Authority for and Purpose of USAID’s Environmental Procedures ...... 3 Environmental Compliance Requirements over Life of Project ...... 3 Responsibilities for Implementation ...... 4 Specific Further Directives ...... 6 Critical Non-Compliance Situations ...... 8 Environmental Compliance Resources & Key Contacts ...... 8 Attachments: 1. Environmental Compliance Language for Use in Solicitations and Awards 2. Annotated Environmental Mitigation and Monitoring Plan (EMMP) Template
Acronyms ADS Automated Directives System EMMP Environmental Mitigation & BEO Bureau Environmental Officer Monitoring Plan CFR Code of (US) Federal Regulations ESDM Environmentally Sound Design and Management CTO Cognizant Technical Officer IEE Initial Environmental Examination EA Environmental Assessment LOP Life-of-Project ECL Environmental Compliance Language for Use in Solicitations and Awards (ADS 204 help MEO Mission Environmental Officer document) PMP Performance Monitoring Plan EIA Environmental Impact Assessment REA Regional Environmental Advisor Reg. 216 22 CFR 216
About this Briefing All USAID Missions and operating units are required to fully implement and comply with USAID’s mandatory environmental procedures. This briefing is intended to support short mission staff trainings in these procedures and to serve as a succinct post-training reference. Towards these ends, it: summarizes the environmental procedures in plain language, and sets out the roles and responsibilities of organizational units and functions in the Mission in achieving and assuring compliance. This briefing is closely based on and fully compatible with the new model Environmental Compliance Mission Order adopted by Africa Bureau. The plain-language summary in this Briefing does not supercede the statutory, regulatory and ADS language that governs and constitutes these procedures. This language may be accessed via http://www.encapafrica.org/meoEntry.htm or provide internal server filelink. USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 3/8
Legal Authority for and Purpose of USAID’s Environmental Procedures Section 117 of the Foreign Assistance Act of 1961, as amended, requires that USAID use an Environmental Impact Assessment (EIA) process to evaluate the potential impact of the Agency’s activities on the environment prior to implementation, and that USAID “fully take into account” environmental sustainability in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216 or “Reg. 216”) and in USAID’s Automated Directives System (ADS), particularly Parts 201.3.12.2.b and 204. These procedures are USAID’s principal mechanism to ensure environmentally sound design and management (ESDM) of development activities. Put another way, they are USAID’s principal mechanism to prevent USAID-funded activities from having significant, unforeseen, avoidable or mitigable adverse impacts on critical environmental resources, ecosystems, and the health and livelihoods of beneficiaries or other groups. They strengthen development outcomes and help safeguard the good name and reputation of the Agency. Compliance with these procedures is mandatory. With limited exceptions for international disaster assistance, they apply to every program, project, activity, and amendment supported with USAID funds or managed by USAID. USAID/XXX is fully committed to their systematic and complete implementation.
Environmental Compliance Requirements over Life of Project In general, the procedures specify an EIA process that must be applied to all activities before implementation—including new activities introduced into an existing program or substantive changes to existing activities. This pre-implementation EIA process, defined by Reg. 216, frequently results in environmental management requirements (mitigative measures) that must be implemented and monitored over the life of the activity. Specifically, EXCEPT for international disaster assistance activities verified as EXEMPT from the procedures, the procedures impose the following compliance requirements over life of project (LOP): 1. Environmental considerations must be taken into account in activity planning. (ADS 201.3.12.6 & 204.1). 2. No activity is implemented without approved Reg. 216 environmental documentation. This documentation must be approved PRIOR to any irreversible commitment of resources. (ADS 204.3.1). This documentation is the output of the EIA process specified by Reg. 216 and takes one of three forms: Request for Categorical Exclusion, Initial Environmental Examination (IEE) or Environmental Assessment (EA). Documentation is approved ONLY when it is signed by the Mission Environmental Officer, the Mission Director AND the Bureau Environmental Officer. As a condition of approval, most IEEs and all EAs contain environmental mitigation and monitoring requirements (“IEE or EA conditions”) for at least some of the activities they cover. Note that Activity Approval Documents must summarize how environmental documentation requirements have been met. (ADS 201.3.12.15). 3. All IEE and EA conditions are incorporated in procurement instruments. (ADS 204.3.4.a.6; 303.3.6.3e). 4. All IEE and EA conditions are implemented, and this implementation is monitored and adjusted as necessary. (ADS 204.3.4; 303.2.f). USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 4/8
Operationally, this requires that: Conditions established in program- (“FO”-)level IEEs and EAs are mapped to the activity level; Environmental Mitigation and Monitoring Plans (EMMPs) are developed at the project or activity level to implement these conditions. EMMPs set out the mitigation measures required by the IEE/EA; indicators or criteria for monitoring their implementation & effectiveness; and the parties responsible for implementation & monitoring; Project workplans and budgets specifically provide for implementation of EMMPs; and PMPs incorporate measures of EMMP implementation. USAID/XXX mission policy is that each of these prerequisites for successful implementation of IEE and EA conditions will be executed in full. An annotated EMMP template is attached to this Briefing and also available at www.encapafrica.org/meoEntry.htm and provide internal server filelink. 5. Environmental compliance is assessed in annual reports. (ADS 203.3.8.7; 204.3.3.a). Annual reports must assess environmental compliance of existing activities, including whether all activities are covered by approved Reg. 216 environmental documentation, whether the mitigation measures specified in IEEs and EAs are being implemented, and whether these measures are adequate. If activities are discovered to be out of compliance, the report must specify actions to be taken to remedy the situation. 6. Environmental compliance documentation is maintained in Program area Team files. (ADS 202.3.4.6). A more extensive discussion of LOP environmental compliance requirements is found in the Bureau for Africa’s Mission Environmental Officer Handbook, available via www.encapafrica.org/meoentry.htm and provide internal server filelink.A hardcopy of the handbook is available for loan from the Mission Environmental Officer.
Responsibilities for Implementation Primary responsibility: Team Leaders, CTOs, and Activity Managers. The ADS makes clear that primary responsibility and accountability for environmental compliance is shared by the USAID staff acting in the capacities of Team Leader and each CTO or Activity Manager. This includes assuring that Reg. 216 documentation is developed and in-place for activities under their purview. Specific responsibilities established by the ADS and Mission policy for these positions are set out in the table below. All UAID/XXX staff are obliged to fulfill the enumerated environmental compliance responsibilities attendant to their position. Final responsibility: Mission Director. Final responsibility for environmental compliance lies with the Mission Director. The Mission Director must approve all Reg. 216 documentation for Mission activities. Field Implementation: Contractors and Implementing Partners. Environmental management must be an integral part of project implementation, and thus field implementation of environmental mitigation is the responsibility of contractors/IPs with oversight from USAID. Advice & Gatekeeping: Mission Environmental Officer (MEO). The MEO (1) is a core member of each mission program team and serves the team as an environmental compliance advisor; (2) serves as a gatekeeper (quality and completeness reviewer) for Reg. 216 Documentation and must clear all USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 5/8 documentation before submission to the Mission Director; and (3) is the primary point of Mission contact with the Bureau Environmental Officer and the Regional Environmental Advisor (see “Environmental Compliance Resources and Key Contacts,” below). A more complete description of MEO roles and responsibilities is provided by the Bureau for Africa’s MEO Handbook, available via www.encapafrica.org/meoEntry.htm and provide internal server filelink. Regional Environmental Advisors (REAs). REAs advise MEOs and program teams on environmental compliance, including development of Reg. 216 documentation and monitoring protocols, and can assist teams in obtaining additional environmental expertise when required. REAs also help to monitor the mission’s implementation of the Agency’s Environmental Procedures. The MEO is the liaison with the REA on behalf of program teams. The REA supporting XXXX is based in USAID/(EA/WA/SA), CITY. Bureau Environmental Officers (BEOs). The BEOs, based in Washington, DC, must clear all Reg. 216 documentation for activities under the purview of their Bureau. USAID/XXXX activities are under the purview of the AFR, EGAT, GH and DCHA Bureaus.
Environmental Compliance Responsibilities of Team Leaders, CTOs, Activity Managers and the MEO Compliance action Responsible parties
Prepare Reg 216 environmental CTO/Activity Manager documentation. (MEO reviews/provides advice).
Reg 216 documentation includes: EXCEPT:
Requests for Categorical Exclusions Teams may engage partners or outside (RCEs) contractors to prepare IEEs under the supervision of the CTO/Activity Manager. The use Initial Environmental Examinations (IEEs) of external expertise is RECOMMENDED for complex programs and activities. Environmental Assessments (EAs) EAs are almost always prepared by 3rd-party Amendments to all of the above contractors.
Title II IEEs are prepared by Implementing Partners as part of their MYAP submissions.
Approve and Clear Reg. 216 Documentation. All of the following must clear:
CTO, Activity Manager or Team Leader
MEO
Mission Director
Bureau Environmental Officer
Clear sub-project/sub-grant Environmental Activity Manager AND MEO Reviews. (Activities identified by the sub-project/sub-grant screening process as “high risk” are forwarded for REA & BEO review and clearance.)
Incorporate environmental compliance CTO/Activity manager requirements into procurement documents. (MEO assists.)
Ensure Reg. 216 documentation is current CTO/Activity Manager and covers all activities being implemented.
Assure an EMMP addressing all relevant CTO/Activity Manager (MEO may review) mitigation and monitoring conditions is USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 6/8
Compliance action Responsible parties
developed, and reflected in workplan, budget, Contractors/IPs will in most cases develop EMMPs for and PMP. CTO/Activity Manager review. If they do not, this responsibility falls directly on the CTO/Activity Manager.
Monitoring to ensure partner/contractor CTO/Activity Manager compliance with IEE/EA conditions. (MEO assists)
Ensure that environmental compliance MEO lessons learned are incorporated in closure reports & environmental compliance issues are included in SOWs for evaluations.
Prepare environmental compliance section of MEO, with support from CTOs and Activity Managers. Mission Annual Reports.
Maintain environmental compliance Program Officer, CTO/Activity Manager/Team documentation. Leader, MEO
Additional Directives and Responsibilities to Assure LOP Compliance To assure that the LOP compliance elements listed in the table above are well-implemented, the following directives and responsibilities apply Mission-wide: 1. Awareness of Activity Determinations and Conditions. It is the responsibility of each CTO and Activity Manager to know the Reg. 216 Determination, including any conditions, assigned to the activities under their purview. These conditions are assigned in the Reg. 216 documentation that applies to the activity. The possible determinations are enumerated in the table below:
Categorical Exclusion The activity falls into one of the classes of activities enumerated by Reg, 216 as posing low risks of significant adverse environmental impacts, and no unusual circumstances exist to contradict this assumption. The activity has no attached environmental management conditions.
Negative Determination Per analysis set out in an IEE, the activity is found to pose very low risk of significant adverse environmental impact. The activity has no attached environmental management conditions.
Negative Determination Per analysis set out in an IEE, the activity is found to pose very low risk of significant adverse with Conditions environmental impact if specified environmental mitigation and monitoring measures are implemented. The activity proceeds on the condition and requirement that these measures (“conditions”) are fully implemented.
Positive Determination Per analysis set out in an IEE, the activity is found to pose substantial risks of significant adverse environmental impacts. Therefore, the activity cannot proceed until an Environmental Assessment (EA) is developed and duly approved, and then on the condition that environmental mitigation and monitoring measures specified by the EA are fully implemented.
The only activities not assigned such determinations are international disaster assistance activities verified as exempt from the procedures. CTOs and Activity Managers must also be aware of any activities under their purview having exempt status, and when such exempt status will terminate. 2. Team-level Compliance Planning & Compliance Verification Systems. As specified by ADS 204.3.4, each program team must collaborate effectively with the MEO during all program designs and approvals to create a system and secure adequate resources to ensure LOP environmental compliance. USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 7/8
This system must include: EMMP review and approval; assuring the budgets provide for EMMP implementation, and that PMPs integrate measures of EMMP implementation. Environmental compliance verification will be part of field visits/inspections. Note that several general and sector-specific tools exist to support field and desk assessment and tracking of partner environmental compliance. Use of these tools is recommended and may be required in some circumstances. Examples include the “Environmental Mitigation and Monitoring Tracking System” (developed in the Southern Africa region for compliance monitoring of Indoor Residual Spraying activities and the general “Site Visit Guide and Report Template.” Both are available at www.encapafrica.org/meoentry.htm (Mitigation and Monitoring section) or provide internal server filelink. Contact the MEO for more information. 3. Functional specifications for Environmental Compliance Clauses in Procurement Instruments. The ADS states that CTOs and Activity Managers are responsible for ensuring that environmental conditions from IEEs and EAs are incorporated into solicitation and award documents (ADS 204.3.4.a.6; 303.3.6.3e). Beyond this, it is Mission policy that environmental compliance language in all solicitation and award instruments specifically requires that: The partner verifies current and planned activities annually against the scope of the approved environmental documentation. Where activities demand environmental management expertise, appropriate qualifications and proposed approaches to compliance are addressed in technical and cost proposals. The partner develop an EMMP fully responsive to all IEE/EA conditions, unless this already exists in the Reg. 216 documentation or will be developed by Mission program staff. Budgets and workplans integrate the EMMP. PMPs measure EMMP implementation. The ADS help document Environmental Compliance Language for Use in Solicitations and Awards (ECL) provides a combination of step-by-step guidance and standard text to assemble environmental compliance language meeting these requirements for any solicitation or award. Its use is strongly recommended. The ECL and an annotated EMMP template are attached to this Order and also available at www.encapafrica.org/meoentry.htm and provide internal server filelink. 4. Confirming Reg. 216 documentation coverage in the course of project designs, amendments, extensions, and during the preparation of the Annual Reports. During these exercises, the Team should review planned/ongoing activities against the scope of existing, approved Reg. 216 documentation and either: (1) confirm that the activities are fully covered or (2) assure that such documentation is developed and approved prior to implementation. For activities begun under a disaster assistance exemption, the Team must confirm that their exempt status still applies. Activities modified or added during project implementation may require new or amended Reg. 216 documentation. Maintaining Reg. 216 documentation coverage of all activities is critical, as the ADS requires that ongoing activities found to be outside the scope of approved Reg. 216 documentation be halted until an amendment to the documentation is approved by the Mission Director and the BEO. USAID Environmental Procedures Briefing for Mission staff . ver 27 January 2009 . pg. 8/8
Critical Non-Compliance Situations If any USAID/XXX staff member believes that (1) failure to implement mitigation measures or (2) unforeseen environmental impacts of project implementation is creating a significant and imminent danger to human health or the integrity of critical environmental resources, IMMEDIATELY notify the CTO, MEO and Mission Management.
Environmental Compliance Resources and Key Contacts The on-line MEO Resource Center contains a wide range of environmental compliance and best practice materials, including step-by-step guidance for development of Reg. 216 documentation and sectoral guidance for design of environmental mitigation and monitoring measures. The Center is hosted on Africa Bureau’s ENCAP website (www.encapafrica.org/meoEntry.htm) and copied in full at insert internal server filelink. Reg. 216 documentation for Mission programs is posted at insert internal server filelink. Key contacts. As of INSERT DATE, key environmental compliance contacts for USAID/XXX are as follows. Up-to-date contacts are available via www.encapafrica.org/meoEntry.htm.
Mission Environmental Officer Insert name, email and extension
Regional Environmental East and Central Africa (USAID/EA, Nairobi) Advisors (REAs) Chris Dege: [email protected]; David Kinyua: [email protected]
Southern Africa R (USAID/SA, Pretoria) Camilien J.W. Saint-Cyr: [email protected]* *providing support pending recruitment of a West Africa REA West Africa (USAID/WA, Accra) Ron Ruybal: [email protected]
Bureau Environmental Officers Bureau for Africa (AFR/SD) (BEOs; Washington, DC) Brian Hirsch: [email protected]
Bureau for Economic Growth, Agriculture & Trade Bureau (EGAT): Joyce A. Jatko: [email protected] Democracy, Conflict and Humanitarian Assistance (DCHA): Erika Clesceri: [email protected] Global Health (GH/HIDN) Theresa Bernhard, [email protected]
Session 6. Partner Technical Presentation— Pesticide Use in USAID Activities Technical presentation and dialogue
Summary This partner-focused session summarizes the environmental and health concerns attendant to pesticide use, the key elements of safer pesticide use, and USAID’s procedures for environmental review of support to pesticide use and procurement.
These procedures define “use and procurement” broadly and add specific, additional requirements to the general pre-implementation environmental review process established by Reg. 216. These requirements are typically satisfied through preparation of a Pesticide Evaluation Report and Safer Use Action Plan (PERSUAP), which is formally an amendment to the project’s IEE. The requirements of the Safer Use Action Plan portion of the PERSUAP are thus IEE conditions, and their implementation is mandatory.
Although PERSUAPs are generally developed by specialists, workshop participants may be involved in the review and implementation of PERSUAPs or related Pest Management Plan.
USAID policy and procedures regarding pesticide use are described in 22 CFR 216.3(b).
Objective Brief the environmental, economic, and human health concerns attendant to pesticide use. Achieve a common understanding of the special environmental compliance requirements that apply to pesticide use and procurement, and of the key elements of safer pesticide use.
Understand from the partner perspective the practical elements of achieving pesticide safer use and the implementation of USAID activities that involve pesticides.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session Objectives:
• Understand importance of pesticide use in USAID programming
• Food security, economic growth Introduction: • Vector control, public health Partner Technical Presentation • Characterize adverse impacts of pesticide Pesticide Use in USAID Activities use on human health and the environment. • Discuss USAID approach to assessing and mitigating impacts + preparation of compliance documentation. • Understand “pesticide safer use” from partner perspective and discuss GEMS Environmental Compliance-ESDM Training Series project-based “best practices.” Malawi ƒ November, 2015
Pesticide Use Pesticide Safer Use + Compliance
• Key input for increased agricultural production, • Pesticides are especially harmful to can promote economic growth human and environmental health
• Used to protect food stocks, important aspect • Pesticides are produced and formulated to kill of food aid programming (e.g., FFP) • USAID approaches pesticide use with extreme caution
• Vector control efforts can improve public health • Dedicated portion of Reg. 216
• PMI, Indoor Residual Spraying (IRS) • 22 CFR216.3(b)—USAID Pesticide Procedures
• Pesticide Evaluation Report and Safer Use Action Plan: PERSUAP
3 4 USAID Pesticide Procedures
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. 5
Session 7. Partner Technical Presentation— WASH & Water Supply Activities Technical presentation and dialogue
Summary Access to safe drinking water is central to the recovery and/or development of any community. The increased use of water for agricultural irrigation can also accelerate economic growth and improve livelihoods. USAID supports a range of activities in the Water, Sanitation and Hygiene (WASH) and agricultural sectors, many of which entail the establishment of new water access points or the rehabilitation of existing structures or systems. In these scenarios USAID must assure that water supplies meet certain quality criteria for domestic and agricultural purposes. As such, water quality assurance, including testing and monitoring, is a key aspect of any water provision effort.
Specific water quality requirements will vary by activity, but generally must account for: a) a baseline, or initial water quality assessment to determine if water is safe; and b) a periodic testing or monitoring regime to determine if water source becomes contaminated.
The initial test will ideally provide information on the chemical, biological and physical qualities of the proposed water source (e.g., well, natural spring, stream or river, etc.). Initial water quality testing and monitoring requirements are typically contained in a Water Quality Assurance Plan (WQAP); many IEEs will require preparation of a WQAP in response to proposed water provision efforts (domestic or agricultural). The WQAP will also specify a Response Protocol that details the steps to be taken in the event that water quality test results exceed certain thresholds (e.g., if As or coliform levels are higher than allowed).
Water quality assurance often presents a practical challenge for project staff. This partner-focused session will consider the logistical demands of initial testing and monitoring across many, potentially dispersed systems or water access points, in addition to the reality that certain tests may require refrigeration, incubation and laboratory analysis. There are a number of field-oriented tools and resources available to meet some of the most common water quality testing requirements. However, projects are often encouraged to explore multiple options based on their specific water quality assurance needs (e.g., bigger investment in field equipment, use of contract labs, etc.).
Objectives Review water quality assurance requirements and procedures for USAID-supported water provision activities, including WASH initiatives.
Understand from the partner perspective practical approaches to water quality assurance and the types of challenges encountered and solutions developed.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session Objectives:
• Understand importance of WASH and water supply activities in USAID programming
• Human health Introduction: • Food security and economic growth Partner Technical Presentation • Characterize potential adverse WASH and Water Supply Activities impacts of water provision activities. • Discuss USAID approach to assessing and mitigating impacts + preparation of compliance documentation. • Understand water quality management and assurance “best practices” from partner GEMS Environmental Compliance-ESDM Training Series perspective, consider evolving needs. Malawi ƒ November, 2015
Water Provision Recent WQAP Assessment
• Underpins public health + sustained economic growth • Three-phase AFR/SD-commissioned study to assess • Central to many development objectives extent and efficacy of AFR WQAP requirement
• Can adversely impact human, environmental health • Phase I: Desk review using IEE database
• USAID objective = “Safe Water” • Phase II: Verify WQAP preparation (and extent of implementation) for projects for which it is required • Local environmental conditions, capacity, and host- country requirements can vary widely • Phase III: Field work to assess WQAP efficacy and attributes (Ghana, Zimbabwe, Kenya + Tanzania) • Water Quality Assurance Plan (WQAP) accounts for variations and provides flexibility • Multiple report-outs to AFR and across Agency and USG partners
3 4 Challenges to Implementation Factors for Successful WQAPs
• WQAP not evenly addressed or required in IEEs for applicable projects: Verified through field work (Phase III): • Clear and consistent host country regulations • WASH • Coordination with host country institutions • Agriculture (irrigation) • Structured community operation and maintenance of water points • Construction/rehabilitation of schools, clinics, etc. • Quality and experience of IP • Where required by IEE, sometimes no record of • Access to well-equipped and well-staffed laboratories WQAP being developed or implemented • Adequate host-country personnel and expertise • Some WQAPs not responsive to full range of • Effective resource management challenges • Inclusion of water quality standards in contracts and awards
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Recommendation #1: Recommendations Revisit IEE Language
Recommendations Key Actors Agency Environmental Council; Africa Bureau Reconsider the importance of underlying IEE conditions, which Environmental Officer; Africa Bureau Water devolve too much to a WQAP mechanism versus a traditional Advisor; Regional Environmental Advisors; EMMP Office of Water Staff • IEEs include clearer, more prescriptive WQAP
Africa Bureau Environmental Officer; Africa requirement Develop a template and/or example of a high-quality WQAP or Bureau Water Advisor; Office of Water Staff EMMP addressing water monitoring requirements for use by Mission Environmental Officers, Agreement Officer’s Representative/Contracting Officer’s Representative, and IPs
x Prior to drinking water provision, the project will prepare and receive approval for a Water Policy, Planning, and Learning; Office of Select IPs with water quality monitoring experience and a good Quality Assurance Plan (WQAP). The WQAP will be prepared in consultation with the track record of achieving safe water in the host country by Acquisitions and Assistance cognizant AOR/COR and/or Activity Manager. Its purpose is to ensure that all new and strengthening selection criteria rehabilitated USAID-funded sources of drinking water provide water that is safe for human consumption. The completed WQAP must be approved by: the AOR/COR and/or Activity Provide technical training to all Regional Environmental Advisors Africa Bureau Environmental Officer; Africa and Mission Environmental Officers on water quality monitoring Bureau Water Advisor; Office of Water Staff Manager; the MEO; and the REA. x Once approved, the WQAP must be implemented in full, and for the duration of drinking water activities. Implementation must include testing of water prior to making the supply Improve community-based monitoring and engagement in the Office of Water Staff, Mission Environmental point available to beneficiaries. water quality process to foster community ownership of water Officers, Representatives/Contracting Officer x The WQAP constitutes a key element of the project’s EMMP. As with all other elements of points and improve the likelihood of long-term monitoring Representatives the EMMP, project budgets, workplans, and staffing plans must provide for its full implementation. The approved WQAP must include at minimum the following sections: Seek opportunities to provide low-cost technical support to Office of Water Staff, Mission Environmental o Project information (name of project, name of IP, period of performance, contact facilitate community-level water quality analysis Officers, Agreement Officer information, name of COR/AOR) Representatives/Contracting Officer Representatives
7 8 Recommendation #2: WQAP Template
• Make available a high-quality WQAP template for use by MEOs, A/CORs, and IPs
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Session 8. Partner Technical Presentation— Health Care Waste Management Technical presentation and dialogue
Summary This partner-focused session will address health care waste management (HCWM) for USAID-funded activities or health care operations. It will provide a brief definition of medical waste and explain its sources, components and categorization. The disease transmission cycle will also be introduced, providing participants with insight on the risks associated with improper disposal of medical waste.
Risks associated with improper HCWM include the potential for injuries and accidents, as well as indirect impacts such as water contamination and breeding of disease vectors, viruses, bacteria, and other organisms that may threaten human health or the environment
Participants will also gain familiarity with steps for in-house waste management. Additional topics include: • technologies for treating medical waste; and • typical USAID requirements and regulations for effective HCWM
Objective Increase awareness of the risks associated with medical waste and the importance of effective HCWM. Understand components of medical waste management (in-house and out-house) and overall USAID requirements for effective waste management.
Understand from the partner perspective specific approaches to and experience with HCWM, as well as the types of challenges encountered and solutions developed.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session Objectives
Understand proper health care waste management, including definition and explanation of waste and its sources, components, and categorization. Introduction: Gain familiarity with steps for in-house health care waste management, including: Partner Technical Presentation technologies for treating medical waste; and Health Care Waste Management requirements and regulations for effective waste management Provide insight on the risks associated with improper disposal of health care waste. Discuss Partner Approaches to assessing
GEMS Environmental Compliance-ESDM Training Series and mitigating potential adverse impacts. Malawi ƒ November, 2015 2
Environmental Impacts Categories of Medical Waste
Risks associated with improper health care waste disposal include the potential for injuries and General healthcare waste, including materials such accidents, as well as indirect impacts such as water as packaging or unwanted paper. Generally harmless contamination and breeding of disease vectors, and needs no special handling; 75-90 percent of viruses, bacteria, and other organisms that may waste handled by healthcare facilities. Incinerated or threaten human health or the environment. taken to the landfill. Hazardous healthcare waste, including infectious waste, small quantities of chemicals and pharmaceuticals, and non-recyclable pressurized containers. Blood and body fluids are potentially infectious.
3 4 Categories of Medical Waste (cont.) Categories of Medical Waste (cont.)
Highly Hazardous healthcare wastes Pharmaceutical Wastes and Medical Supplies, Sharps (e.g., hypodermic needles), laboratory including condoms: vaccines have specific storage supplies, highly infectious physiological fluids, time and temperature requirements, and may expire pathological and anatomical waste, sputum and blood or lose efficacy, particularly in remote areas where of patients with highly infectious diseases (e.g., TB and demand is low and/or infrequent. HIV). Pharmaceutical waste: accumulates due to Also large quantities of expired or unwanted inadequacies in stock management and , as well pharmaceuticals and hazardous chemicals distribution and/or lack of a routine system of as radioactive or genotoxic wastes. disposal.
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Categories of Medical Waste (cont.) Potentially Infectious Wastes
Pharmaceutical waste main pathway into the Improper training, handling, storage and disposal of environment through household use and excretion, the waste generated in health care facilities or and disposal of unused or expired pharmaceuticals. activities can spread disease through several Effects on aquatic life from disposal of mechanisms. pharmaceuticals. Range of pharmaceuticals in fresh If waste is not treated in a way that destroys the waters globally; potential to cause harm to aquatic pathogenic organisms, dangerous quantities of life. microscopic disease-causing agents—viruses, bacteria, parasites or fungi—will be present in the waste.
7 8 Example IEE Conditions re: HCWM Example IEE Conditions re: HCWM (cont.)
When techniques or care situations would generate Direct support and capacity building must and require disposal of hazardous or highly integrate all feasible efforts to assure that hazardous waste, training/curricula/supervision improved healthcare services: must address appropriate management practices Address and support proper waste management (including concerning the proper handling, use, and disposal of handling, labeling, treatment, storage, transport and disposal medical waste, including blood, sputum, and of medical waste); sharps (e.g. sharps, afterbirth from delivery, waste Address and support the capacity of medical facilities for waste management; and from screening for HIV or STDs, sputum samples for Prioritize environmental health considerations diagnosis of TB).
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Example IEE Conditions re: HCWM (cont.) HCWM References
USAID Sector Environmental Guidelines for Health Where USAID directly supports health service Care Waste Management and Health Facilities delivery, the Health Team and IPs must ensure that USAID Solid Waste Sector Environmental Guidelines the medical facilities and operations have WHO’s Safe Management of Wastes from Healthcare adequate procedures and capacities in place to Activities properly handle, label, treat, store, transport and properly dispose of blood, sharps and other medical waste and that norms and training include http://www.usaidgems.org/sectorGuidelines.htm environmental health considerations.
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Session 10. Principles of Environmental Monitoring Technical presentation and dialogue
Summary Definition—Environmental monitoring is both: A. Systematic observation of key environmental conditions. B. Systematic verification of the implementation of mitigation measures.
Environmental monitoring is a necessary complement to mitigation. Its purpose is to tell us clearly and cost-effectively if mitigation is sufficient and effective. Throughout this session, we will see that environmental monitoring must be highly targeted.
A. Observing environmental conditions. The environmental conditions observed are those: • That correspond to impacts and mitigation measures. For example, a key potential impact of an irrigation project is groundwater contamination. Therefore, groundwater quality is monitored. • Upon which the project depends for its success. For example, a water supply project depends on clean source water. Therefore, source water quality is monitored.
We observe and measure environmental conditions by using environmental indicators, which are signals of or proxies for the stock and quality of key environmental resources, or of environmental health and ecosystem function.
Indicators can require complex equipment to measure (e.g., testing water for pesticide residues), but they can also be very simple—and often for small-scale activities simple indicators are best. (For example, groundwater levels can be measured in a shallow well using a rope and bucket.)
A key principle of monitoring is choosing the simplest indicator that meets your needs.
To distinguish the impacts of your activity from other factors, thought needs to go into the times and places that indicators are measured.
For example, consider an agricultural processing facility that draws water from a stream. The facility has potential to adversely impact surface water quality. A good monitoring approach would: • Take water samples from the stream at the intake point and downstream from the seepage pits. • Take samples from these different locations at the same time. • Take samples during both high and low flow periods during the processing season.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
B. Verifying Implementation of Mitigation Measures. We can verify (and quantify!) implementation of mitigation measures in two ways: via paper reports and via field inspection. In each case, we use mitigation implementation indicators. For example, monitoring of medical waste management in a clinics activity could ask the beneficiary clinics to attach their waste management plan. A field inspection would spot-check that key elements of the plan were being implemented. Good environmental monitoring is targeted and takes the simplest effective approach. It usually requires a combination of environmental conditions indicators and mitigation implementation indicators.
Objective Establish the objective of environmental monitoring (determining clearly and cost-effectively if mitigation is sufficient and effective); brief the two types of environmental monitoring indicators and achieve a common understanding of the principles of environmental monitoring design.
Key resource • The Sector Environmental Guidelines are a key resource for design of mitigation and monitoring measures.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015 Definition of monitoring
Environmental monitoring is BOTH. . . Purpose: 9 1.Systematic observation of !to tell you key environmental clearly and cost- Principles of Environmental Monitoring conditions effectively if mitigation is sufficient and effective 9 2.Systematic verification of Env. Monitoring mitigation measure should be a implementation normal part of project M&E. GEMS Environmental Compliance-ESDM Training Series Malawi ƒ November, 2015 2
Monitoring environmental conditions Monitoring environmental conditions
1.Systematic observation 1.Systematic of key environmental observation of key conditions environmental conditions Means that environmental = Environmental conditions indicators are chosen and that: assessed systematically. Example: an irrigation correspond to impacts & project may contaminate mitigation measures indicators groundwater. Ground- Signals of water quality is monitored. Upon which the project are depends for its success or proxies for • Environmental health Example: A water supply • Ecosystem function project depends on clean source water. Source water quality is monitored. For example. . . 3 4 Example Indicator: coliform contamination Examples of indicators
Water quality tests with simple, inexpensive test kit . . . Environmental components that may be adversely affected by small-scale activities Humann-Use Only Hotelel Tapp Water ! Well used bbyy Quantity, quality, reliability, Water Disease vectors, pathogens humans & accessibility Env Health animals Soils Erosion, crop productivity, Flora Composition and density of fallow periods, salinity, natural vegetation, nutrient concentrations productivity, key species
Fauna Populations, habitat Special Key species ecosystems ! indicators Purple Color = Fecal Coliforms Pink Color = Non-Fecal Coliforms 5 6
Environmental Indicators: Examples of simple environmental indicators sometimes complicated, often simple
Erosion measurement. Surface sewage contamination Environmental Indicators may require Visual laboratory analysis or specialized inspection equipment & techniques behind the latrine Testing water for pesticide residues Topsoil loss (top) from slopes Automatic cameras on game paths for wildlife census reveals a upstream in Etc. leaking the septic tank watershed (bottom). But indicators are often VERY SIMPLE. . . (top) is . . especially for small-scale activities assessed What are with a the Simple indicators can be ! visual limitations more useful and appropriate For example. . . turbidity of this than more complicated ones! monitor indicator? (bottom). 7 8 Examples of simple environmental indicators Assessing environmental indicators systematically
Soil depletion. Visual inspections Monitoring often requires SYSTEMATIC show fertility gradients measurement of indicators to distinguish the within terraces. (Dark impacts of the activity from other factors green cover indicates healthy soil; yellow cover indicates 1 Location of depletion) measurement
2 Timing & frequency of measurement Groundwater levels and often. . . Are measured Choose the simplest This requires at shallow ! indicator that meets your 3 Other factors wells with a decisions about: rope and needs! bucket. For example
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Assessing environmental indicators systematically Assessing environmental indicators systematically
Measuring water quality impacts from a point source of Example: Water pollution (the previous example) is fairly straightforward Water quality impacts of agric. processing intake
Location 1 Water samples should be Often monitoring can be more complicated. taken at the intake, and downstream of seepage Some common monitoring strategies: pits. Monitor the Monitor at actual project, multiple stations/ Timing & frequency plus a similar 2 sampling All are intended to Samples at different non-project area locations help distinguish locations should be taken Processing facility (a “control”) at the same time. impacts from Samples should be taken Seepage pit NORMAL at high & low flow during Do research to VARIABILITY and the processing season obtain good other factors baseline data 3 What else? Downstream 11 12 Monitoring: Part 2 Ways to quantify implementation of mitigation
Verifying whether or not the Mitigation measure is: Field 2.Systematic verification of mitigation measures specified A inspection. . . by the EMMP have been “Clinic staff shall be trained to mitigation measure implemented. This includes and shall at all times segregate shows waste is implementation = quantifying mitigation: how and properly incinerate may staff trained? How many infectious waste.” segregated at trees planted? point A, but not incinerated at Desk assessment: This will often not show Clinics are asked to report: point B. whether the measures are B effective. This is the role of Percentage of staff environmental indicators. trained? Spot inspections of waste disposal Mitigation There are two basic ways locations carried out? implementation indicators to get the information required: For example The result of these paper reports & field inspection inspections?
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Good environmental Making Mitigation & Monitoring effective monitoring. . .
. . .tell you clearly and cost- For mitigation and monitoring effectively if mitigation is to be effective, it must be: sufficient and effective Targeted. Realistic. Funded. Do no more than needed. Mitigation M&M must be Funding for M&M Prioritize the most serious measures & achievable within must be adequate indicators must impacts & issues time, resources & over the life of the correspond to Usually requires a capabilities. activity impacts. combination of: Environmental conditions indicators Considered early. Considered early. Mitigation implementation Preventive mitigation is If M&M budgets are not indicators usually cheapest and most programmed at the design Example: effective. Prevention must be stage, they are almost always ENCAP visual field guides built in at the design stage. inadequate!
15 16 Mitigation & Monitoring in the project lifecycle
Mitigation and 1.Implementation of design decisions. Monitoring of construction monitoring is a part of each stage 2. Where required, capacity-building for proper operation of any activity.
Construct/ Operate Design Decommission implement (may include handover) (in some cases)
1.Decisions made regarding site and 1. Operating practices implemented technique to 2. Monitoring of: minimize impacts Operating practices 2.Operating practices Environmental conditions designed 17
Session 11. The Environmental Mitigation and Monitoring Plan (EMMP) Technical presentation and dialogue
Summary Environmental Mitigation and Monitoring Plans (EMMPs) provide a framework for specifying and organizing mitigation and monitoring, and assuring that it responds systematically to IEE/EA conditions. In its most basic form, the EMMP is a simple table that sets out: • ALL the mitigation measures being implemented in response to IEE/EA conditions; • The monitoring that will determine whether the mitigation is sufficient and effective; and • Who is responsible for both mitigation and monitoring.
EMMPs may also include budgeting information for mitigation and monitoring and a monitoring log section where monitoring results can be recorded. We illustrate the EMMP concept at the end of the session with an extended example.
Note that EMMPs are also known as EMPs (Environmental Management Plans), EMPRs (Environmental Mitigation Plan and Report), and similar acronyms. EMMP is the most widely used term. EMMP formats likewise vary. IEEs or awards sometimes specify an EMMP format, but more often the IP has flexibility in designing/adopting/adapting a format that meets the needs of the particular project. The formats discussed in this training are the most common and are acceptable in most contexts.
USAID Environmental Procedures require that environmental mitigation required by IEEs and EAs is implemented and monitored, but do not require EMMPs per se. However, most new IEEs do require that EMMPs be developed and implemented. This requirement can be operationalized either as technical direction from the COR/AOR, or as a provision of new contracts and agreements.
Title II Cooperating Sponsors are required to develop EMMPs by the Agency’s MYAP guidance.
EMMPs are being required because a key lesson learned from 40 years of EIA experience worldwide is that it is almost impossible to systematically carry out the mitigation measures that result from the EIA process unless an EMMP exists, and is incorporated into a project’s workplan and budget.
Environmental Compliance Language (ECL) For new awards and significant modifications to existing awards, USAID Missions and Bureaus are increasingly requiring EMMPs in the language of award instruments. This is part of a broader trend within USAID to use “best practice” environmental compliance language in solicitations and awards.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
This language goes beyond the minimum requirement established by the ADS that mitigation measures be incorporated into “implementation instruments.” It requires that: 1. a complete EMMP be developed; 2. workplans and budgets integrate the EMMP; and 3. project reporting tracks EMMP implementation.
The source of this “best practice language” is the Environmental Compliance: Language for Use in Solicitations and Awards (ECL) tool. This tool is a non-mandatory part of the ADS, and combines step- by-step guidance and “boilerplate” language. The BEOs and REAs strongly encourage its use.
EMMP Submission and Approval EMMPs should be approved by the COR/AOR; sometimes there is additional review by the MEO or REA. COR/AORs should require that EMMPs are submitted together with the project’s workplan or PMP.
Title II Partners sometimes submit them as part of the IEE, itself a part of the MYAP package.
Objectives • Brief the EMMP concept. • Establish that EMMPs are critical to effective and systematic implementation of IEE/EA conditions. • Explain the mechanisms by which USAID is requiring IPs to develop and implement EMMPs.
Key resources • Simple EMMP template • EMMP Factsheet • Environmental Compliance: Language for Use in Solicitation and Awards (ADS 204 Help Document)
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015 Session Objectives
• Understand the USAID requirement for ongoing mitigation and monitoring of environmental impacts • Learn how to “operationalize” IEE and EA conditions as part of project implementation Environmental Mitigation & Monitoring Plans (EMMPs) • Discuss adapting IEE/EA conditions in response to specific field activities and environments • Review format and preparation of the Environmental Mitigation and Monitoring Plan (EMMP) via case study
GEMS Environmental Compliance-ESDM Training Series Malawi ƒ November, 2015 2
Congratulations… USAID requirements are specific
USAID is required to implement and monitor We are all experts in EIA and USAID IEE/EA conditions. 9 Environmental Procedures!
Now, we must apply our knowledge of impact assessment and mitigation in a real project setting What does the ADS say?
IEEs (and EAs) are useless unless the Team Leaders and Activity conditions—environmental management Managers or COR/AORs must criteria—they establish are implemented! actively manage and monitor compliance with any IEE/EA USAID Environmental Procedures conditions, modifying or ending therefore require implementation activities not in compliance. (ADS 202.3.6 , 204.3.4 and 303.2.f
3 4 Implementation of IEE/EA conditions The EMMP: a simple tool
Practically, implementation & An EMMP To determine if mitigation is in place and effective monitoring of mit. & mon. sets out: conditions requires that: (e.g., visual inspection •ALLthe Carry over from the IEE only for leakage around pit For mitigation, and mitigation those activities with conditions latrine; sedimentation at for monitoring and 1. USAID communicates applicable measures (e.g., “negative determination stream crossing, etc.) reporting. with conditions”) IEE/EA conditions to the IP* required by the (may differ) IEE or EA 2. A Complete Environmental • Indicators or Activity Adverse Mitigation Monitoring Monitoring Responsible Impacts Measure Indicators/ & Party(ies) Mitigation and Monitoring Plan criteria for Criteria Reporting (EMMP) exists monitoring their Basic EMMP template ScheduleSchedule EMMPs are implementation & effectiveness 3. Project workplans and budgets critical. integrate the EMMP •who is responsible for See EMMP If well specified, excerpt (e.g., monitor weekly, What are they? mitigation and template provided 4. Project reporting tracks directly from the IEE; report in quarterly monitoring in training If not well specified in reports and more implementation of the EMMP materials IEE, define in better frequently under detail specified conditions) *Except Title II partners, who write their own IEEs.
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The EMMP: a flexible tool An effective EMMP is specific + realistic
More sophisticated EMMP The EMMP must specify For example, WASH-related formats can include: practical mitigation measures IEE conditions might state: 1. Budgeting information “wells shall be sited to minimize the possibility of contamination.” The EMMP often “translates” • How much will a mitigation or Or even more generally: monitoring measure cost? We will review an IEE conditions that are EMMP format with “wells shall be sited consistent • What is the LOE involved? written in very general terms with good practices.” these features 2. A Monitoring Log section • Where mitigation implementation Implementing these information or monitoring results conditions requires first are recorded translating them into specific 3. Other Suggestions? mitigation actions How do we do this?
7 8 EMMPs build on standards & best practice Best practice guidance: well siting criteria
Determining specific mitigation MINIMUM distances from potential sources of actions starts with review of contamination for well siting: Host-country standards appropriate standards or best 45m from a preparation or storage area for practice guidance agrochemicals, fuels, or industrial chemicals 25m from cesspools, leaching pits, and dry wells For our well siting example: 15m from a buried sewer, septic tank, Identify and adopt siting criteria subsurface disposal field, grave animal or poultry from relevant resources yard or building, latrine pit, or other The specific mitigation action/ contaminants that may drain into the soil measure in the EMMP is: More than 45m from a septic tank leach field “Compliance with project well-siting USAID Sector criteria”—attach this criteria to the Environmental EMMP and make a checklist for use Guidelines Sphere standards by field teams and Monitoring & ETC. Let’s discuss another example: Evaluation (M&E) staff
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Health services capacity & policy How are EMMPs being required?
IEE stipulates that: Three mechanisms: To “translate” these “Capacity building and policy development IEE conditions, the 1. Technical direction from COR or AOR support to public health delivery and EMMP will need to: 2. Required by contract/agreement More about this… management systems must involve all feasible • identify an 3. Required by MYAP guidance efforts to assure that these systems: appropriate waste (Title II only) address and support proper waste management management (including handling, labeling, treatment, storage, standard; and transport and disposal of medical waste); • specify what is A key “lesson learned” from 40 years address and support the capacity of medical realistic, given ! of world-wide EIA experience … facilities for waste management; that the project implementation of environmental prioritize environmental health considerations.” will not have conditions requires EMMPs that are direct control incorporated in workplans over these and budgets systems
11 12 USAID requirements are specific: Part II Current best practice exceeds requirement
USAID is required to USAID is increasingly using And new solicitations require that write IEE/EA conditions best-practice environmental Proposals address into awards. compliance language qualifications that goes beyond the and proposed approaches to ADS minimum compliance/ ESDM for environmentally complex activities. What does the ADS say? New awards and significant ADS requires modifications are requiring “incorporating. . . that: mitigative measures 1. The partner verifies current and To assure that projects do not “creep” identified in IEEs [and] EAs planned activities annually out of compliance as activities are into implementation against the scope of the modified and added to over their life instruments for programs, RCE/IEE/EA Specifically: projects, activities or 2. The necessary mechanisms 1. Complete EMMP exists/is developed amendments.” and budget for partner 2. Workplans and budgets integrate the (204.3.4.a.6; also 303.3.6.3e) implementation of IEE/EA EMMP conditions are in place 3. Project reporting tracks EMMP implementation 13 14
Source of best-practice language ECL promotes compliance + ESDM, and …
Environmental Compliance: Benefits both Mission Staff & partners: Language for Use in Solicitations and Awards (ECL) USAID Mission Staff Implementing Partners Assures that environmental Provides clarity regarding monitoring and reporting is environmental compliance 9 An ADS “Additional Help” integrated into routine activity responsibilities document monitoring and reporting; reduces Prevents “unfunded mandates”— the cost and effort of USAID 9 Easy step-by-step guidance requirements to implement verification/oversight. and “boilerplate” language mitigation and monitoring after Avoids the effort, costs and loss of 9 activity has commenced and For RFAs/ RFPs/ good will that come from imposing without additional budget. agreements/ grants/ “corrective compliance” measures contracts after implementation has started. Available from: 9 www.usaid.gov/policy/ads/200/204sac.pdf Optional … but its is use being Missions and centrally funded programs are increasingly strongly encouraged ! using the ECL. Partners should expect that future solicitations and awards will incorporate ECL-based environmental compliance language. 15 16 EMMP example: How are EMMPs approved? Diversion works at Irrigation Rehabilitation the head of the system
PROJECT BRIEFING: EMMP must be approved by the project COR or AOR System reconstructed in early 1980s EMMP is usually submitted Abstracts water from high- and approved with the level river source and project workplan or PMP irrigates 140 Ha (2 parcels; valley & hillside lands) EMMP may also be submitted with the project IEE (typical One dam is made of brush, for Title II partner MYAP IEEs) straw, soil, and stone Other dam is made of stone Sometimes additional review and soil by the MEO or REA Water source is low in salts; risk of soil salinization is minimal
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EMMP example: EMMP example: Irrigation Rehabilitation Irrigation Rehabilitation Doing laundry in the canal PROJECT BRIEFING: PROJECT BRIEFING: Existing canals used for many Canals are hand made and purposes: irrigation, bathing, carry open water from drinking water, laundry. . . upstream At end of the dry season, not Roads are in poor condition— enough water for all plots difficult to get crops out During heavy rains, canals fill System maintenance committee is not functional with sediment from hillside Surrounding hillside is erosion—result: not enough completely deforested Allocation: land registration to water for all plots receive irrigation water was No adjacent wetland nor done in early 1980s; no new There are many baseline issues critical wildlife habitat ! plots can be registered that are not impacts of the (but theft from the system is rehabilitation, but should be possible) addressed in the EMMP
19 20 EMMP example: Excerpt of Impacts/Baseline Irrigation Rehabilitation Issues and Mitigations
Sub-activity or Description of Adverse Mitigation Measures # component Impact/Baseline Issue Dam & primary Flooding of irrigated areas/ damage Design so that excess of water won’t damage systems (excess 1 canals re- to system during high-flow flow diversion, removable dam etc….) construction events /replacement & Soil erosion from hillsides and Install & properly operate flow regulation structures for 2 subsequent secondary/tertiary canals secondary canals operation Protect upper slope with fruit trees (mangoes, citrus, 3 avocado) and native forest trees Water losses (from evaporation and Line primary canals with concrete 4 leaching but also from canal blockage And finally. . .the EMMP itself Train water committee on heavy rain after-maintenance 5 from dirt, debris etc….)
Health issue (drinking irrigation Community education on water quality/use/management 6 water because it appears cleaner) Water committee to enforce use restrictions (Uses a Title II format that includes a
Water contamination from animals, Provide separate water points for construction washing 7 monitoring results log. ) construction stations and animal watering Social impact of inequality of water -Existing water committee reinforcement 8 use increasing # of people using the -Land Registration water Road Increased Deforestation Work with local officials to control deforestation 9 rehabilitation: (due to increased ease of access) bridges & Increased sedimentation Sedimentation control (silt screen and hay bails- local weeds) 10 drainage works from enhanced road drainage 21 22
EMMP example: Excerpt of EMMP Irrigation Rehabilitation and Monitoring Log
Mitigation Responsible Monitoring Scheme Est. Monitoring Log Measure Party Cost Indicators Data source/ How Date Result Follow-up Method Often
2. Install & Project # of doors and other flow- Reports Quarterly properly agricultural control structures installed Field visit operate canal- technician x% of Ha. under flow control level flow x% of secondary & tertiary regulation canals showing significant structures erosion damage after each growing season 3. Protect Project # of trees planted and Reports Quarterly upper slope agricultural survived Field visit /Annual with fruit technician x % of at-risk upper slope Comparison (mangoes, land protected with baseline citrus, avocado) x total m3 of sediment information and forest trees removed from canals over each rainy season. 4. Line primary Engineering % of primary canals lined with Reports Quarterly canals with Contractor concrete. Field visit concrete # of additional hectares Comparison irrigated with baseline information 23 Basic EMMP Template (To use, fill in text in green highlight. Delete explanatory comments in yellow highlight. )
EMMP for Project XXX
Person Responsible for Overseeing EMMP: [name, contact information]
Activity 1: [name of activity] [briefly describe activity & summarize potential adverse environmental impacts—from IEE] IEE or EA Mitigation Monitoring Timing and Responsible Parties Condition Specific actions to be taken to comply How will the project verify that Who is responsible for mitigation, (reproduced with the condition. the mitigation action is being monitoring, reporting? from the IEE (if an IEE or EA condition is already implemented and is both effective Timing/frequency of these actions or EA) specific to the project/ activity and and sufficient? implementation actions self-evident, this “translation step” can be omitted) A single IEE/EA condition may require multiple action to implement—add rows as necessary
[add rows for additional conditions]
[repeat table for additional activities]
Review DRAFT: 22 July 2011
Download this factsheet at: www.encapafrica.org/meoentry.htm [see mitigation and monitoring topics] To submit comments or for more information, email the ENCAP core team at: ENCAP FACTSHEET encapinfo@cadmusgroup com ENVIRONMENTAL MITIGATION & MONITORING PLANS (EMMPs)
CONTENTS (M&E) Officers, and consultants who may be engaged to develop EMMPs for USAID projects in Africa. 1. Introduction 1 2. What is an EMMP? 1 2. WHAT IS AN EMMP? 3. Why EMMPs? 2 An EMMP is a document that sets out: 4. How are EMMPs Required? 2 5. EMMP Formats 2 1. Mitigation actions. The EMMP specifies the 6. Steps in EMMP Development 3 actions that will be taken to satisfy the IEE or EA conditions. 7. Pitfalls to Avoid 4 8. EMMPs & Compliance Reporting 5 2. Monitoring actions. The EMMP sets out the 9. EMMP Review and Approval 5 indicators or criteria that will be used to monitor (1) whether the mitigation actions have been
10. Implementing EMMPs 5implemented, and (2) whether they are effective and 11. ENCAP Resources for sufficient. Mitigation and Monitoring Design 6 Acronyms 6 3. Responsibility and schedule for mitigation, ANNEX: EMMP Examples 7 monitoring, and reporting. The EMMP specifies the parties responsible for these actions and the 1. INTRODUCTION schedule for these tasks. Environmental Mitigation and Monitoring Plans USAID’s Environmental Procedures (EMMPs) are now required for most USAID-funded USAID’s mandatory environmental procedures apply to all projects in Africa. USAID-funded and USAID-managed activities. They consist of 22 CFR 216 (“Reg. 216”) and related mandatory provisions of Specifically, EMMPS are required when the Reg. 216 USAID’s Automated Directives System (ADS)—especially, but documentation governing the project is either an IEE or not only, ADS 201.3.12.2.b and 204). an EA that imposes conditions on at least one project activity. (See box at right if these terms are unfamiliar.) In summary, these procedures mandate (1) a pre- implementation environmental impact assessment (EIA) Responsibility for developing the EMMP usually lies with process, and (2) implementing and reporting on any the implementing partner (IP), though it may be assigned environmental conditions (required mitigation measures) that result from this review. to the C/AOTR. In either case, the responsible party can develop the EMMP directly, or engage a consultant. (The The pre-implementation environmental review is documented C/AOTR could also seek assistance from the Mission in a Request for Categorical Exclusion (RCE), Initial Environmental Officer (MEO).) Environmental Examination (IEE) or an Environmental Assessment (EA). Each of these Reg. 216 documents must be This factsheet describes the EMMP concept and its role approved by both the Mission Director and Bureau in life-of-project environmental compliance for USAID- Environmental Officer (BEO). Most IEEs and all EAs impose conditions on some or all of the activities they cover. funded activities. It provides practical guidance and examples to inform EMMP development. It is intended For more information see ENCAP’s USAID Environmental for IPs, A/COTRs, MEOs, Monitoring and Evaluation Procedures Briefing for Mission Staff.
The factsheet was prepared by The Cadmus Group, Inc. for International Resources Group (IRG) under USAID Africa Bureau’s EnvironmentalENCAP FACTSHEET: Compliance EMMPs and Management 16 MAY Support 2011 (ENCAP) PG 1/10 Program, Contract Number EPP-I-00-03-00013-00, Task Order No. 11. It is currently under review by the Africa Bureau Environmental Officer and USAID’s Africa-based Regional Environmental Advisors. It is not a statement of agency policy, and its contents do not necessarily reflect the views of USAID or the United States Government. EMMPs may also include a log of monitoring results and IEE. If not, the IEE will require that the EMMP be budget estimates for mitigation and monitoring activities. submitted with the project workplan or performance management plan (PMP). EMMPs may also be called Mitigation and Monitoring Plans and Environmental Management Plans. For projects conducted under older IEEs, A/COTRs can issue technical direction requiring 3. WHY EMMPs? EMMPs. EMMPs provide a basis for systematic In addition, Title II Cooperating Sponsors are required implementation of IEE and EA conditions: In to develop IEEs by the Agency’s MYAP guidance and addition to establishing responsibilities and schedules, these IEEs must include an EMMP. EMMPs are a vehicle for translating IEE conditions (which are often very general) into specific, 5. EMMP FORMATS implementable, verifiable actions. For example: EMMPs are usually in table form. Critical elements of a An IEE for a water and sanitation project may require that basic EMMP are captured in the illustrative format wells and latrines be sited “consistent with good practices.” below. For detail, see examples in the Annex to this Factsheet. The EMMP would specify the site-specific standards that the project must follow, e.g., wells must be located at least 50 ------meters from any pesticide or chemical store, and 25m from any cesspool, leaching pit, septic field, latrines, poultry yards, or EMMP for Project XXX livestock watering point.. Person Responsible for Overseeing EMMP: EMMPS also provide a framework for [name, contact information] environmental compliance reporting. (See section 5) Activity 1: [name of activity] Without EMMPs, experience shows that IEE and EA [briefly describe activity & conditions will not be implemented systematically, if at summarize potential adverse environmental impacts] all. This defeats the purpose of the pre-implementation IEE or EA Mitigation Monitoring Timing and EIA process as documented by the IEE or EA, Condition Specific actions How will the Responsible increasing the probability that well-intentioned activities (reproduced to be taken to project verify Parties will result in needless adverse impacts on beneficiaries, or summarized comply with the that mitigation Who is condition. communities, environmental resources and ecosystems. from the IEE is being responsible for or EA) (if an IEE or EA implemented mitigation, For USAID activities, failure to implement IEE or EA condition is and is both monitoring, conditions puts the activity in non-compliance. The already specific effective and reporting? AOTR or COTR is REQUIRED to compel compliance to the project/ sufficient? Timing/frequency or end the activity. activity and of these actions implementation actions self- 4. HOW ARE EMMPs REQUIRED? evident, this “translation step” EMMPs are not specifically required by Reg. 216 or the can be omitted) ADS. However, they ARE required by (1) contract and [add rows for additional conditions] award language, (2) the IEE and/or (3) A/COTR [ repeat table for additional activities] technical direction: ------ Increasingly, contracts and awards specifically If an EMMP will contain cost information, a separate require that an EMMP be developed and column can added. An example of an EMMP with a implemented. (This is part of a broader trend within monitoring log, where monitoring results can be USAID to use “best practice” environmental recorded, is included in the Annex. compliance language in solicitations and awards.) More advanced EMMP formats can serve as both a Most recent and all new sector-level IEEs (e.g. an detailed monitoring log and a management/field guide to IEE covering a Mission’s health or economic growth implementing mitigation. EMMP example #3 (Small portfolio) require that an EMMP will be developed Facilities Construction) in the Annex is an example of for each individual project. such an “advanced format.” Such advanced formats are not required, but in some circumstances they can make it For new project-level IEEs, the BEO will typically easier for project management and field supervisors to require that an EMMP be submitted as part of the oversee and implement mitigation.
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 2/10 6. STEPS IN EMMP DEVELOPMENT the specifics of the site or sites EMMP development consists of 5 basic steps. the extent of project control 1. Review the governing IEE or EA to understand the Site specifics. IEE conditions are often written without conditions that apply to your project. knowledge of the specific project site. You need to determine how and whether the conditions apply given the 2. Translate IEE or EA conditions into specifics of your site. specific mitigation actions. For example, an IEE might impose the following 3. Specify monitoring measures. conditions on construction activities: 4. Specify timelines and responsible parties. a. No construction permitted in protected areas or relatively 5. Determine who will have overall responsibility for undisturbed ecosystem areas. EMMP implementation/environmental compliance. b. Construction & facilities operation may not result in Each is addressed below. significant adverse impacts on ecosystem services 1. Review the governing IEE or EA to understand If your proposed site is in a peri-urban area already the conditions that apply to your project. undergoing and zoned for development, condition (a) poses little concern. If the IEE governing your project is sector-level, the IEE usually describes activities in a high-level, general way But what if a seasonal stream draining several square without matching or “mapping” them to particular kilometers traverses your site? In that case, a major projects. “ecosystem service” provided by your site is drainage. So to comply with the IEE, your design must assure that For example, your project might be working with agro- there is no reduction in stream capacity or alteration to processors to improve product quality. In the IEE, this local drainage patterns. might be described as a “value chain strengthening” activity. Extent of Project Control. Often IEE conditions are phrased as “to the greatest extent practicable,” or “to the In this case, your first step in EMMP development is to degree feasible the project shall. . .” match the activities in the project SOW to the general activity descriptions in the IEE, and on that basis This language is used to accommodate different levels of determine which IEE conditions apply to your project control over on-the-ground activities. activities For example, the IEE for an agricultural project may Even if you are developing a project-specific IEE with require that an IP “assure availability, and require use and annexed EMMP as a package for submission (see Section maintenance of appropriate personal protective 9), re-read the IEE conditions you have developed equipment specified by the pesticide label to the greatest before beginning development of the EMMP. degree feasible.” 2. Translate IEE conditions into What is “feasible” will depend on the level of project specific mitigation actions. control over on-the-ground crop protection activities. For example: (see resources for mitigation and monitoring design, at end.) On a project-run demonstration farm, that control is If an IEE condition is well-specified, the necessary essentially complete. actions to implement the condition may be self evident. However, often IEE/EA conditions are very general and By contrast, if a project is providing training to they must be “translated” into well-specified, strengthen government extension services, the implementable, and verifiable mitigation actions. project has full control over content of the training, limited control over the recommendations made by This translation is a key purpose of the EMMP, and a key Extension Agents, and no control over the farmers’ step in developing one. actions. (However, other components of the project Implementation, monitoring, and reporting on IEE may provide closer control over farmer’s actions). conditions will be easier if mitigation measures are as The EMMP examples in the Annex illustrate this issue. specific as possible. Retaining General Language in an EMMP. In some Factors to consider in translating conditions to cases, it may not be possible to fully specify mitigation actions include:
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 3/10 actions in an EMMP, and the EMMP may include overseeing EMMP implementation. (See immediately language such as “if feasible,” “as practicable,” or “as below). necessary.” 5. Determine who is responsible for overseeing For example, the EMMP for a health activity might read: EMMP implementation/environmental compliance. In all plans, strategies, and other relevant documents, Once the EMMP is drafted, the COP or responsible the need for environmentally sound collection, senior project manager must review it and determine management, and disposal of healthcare waste, will who will be assigned responsibility for overseeing EMMP be incorporated, as appropriate; and a budget for implementation. implementation must be included. Overseeing EMMP implementation means having overall However, if such language is used, the need for responsibility for verifying that mitigation measures are specificity does not disappear. It is simply transferred to being implemented and for other aspects of monitoring, the person responsible for overseeing EMMP as well as reporting (see Section 8 below). Note that while implementation. In the above case, this party would one individual is typically responsible for oversight, review documents and report on inclusion of healthcare individual mitigation and monitoring actions must be waste management in these documents— and on integrated into the implementation of core project instances where the issue was not incorporated, and why. activities and M&E. As such, they will be carried out by a number of project staff. 3. Specify Monitoring Measures. (see resources for mitigation and monitoring design, at end.) If mitigation and monitoring are complex or extensive, a project may hire a dedicated environmental compliance The EMMP should specify monitoring that will ascertain manager. This would often be appropriate, for example, BOTH: for road rehabilitation projects—which tend to involve complex, technical mitigation and monitoring—and for (1) whether mitigation was implemented. agricultural projects involving pesticides or (2) whether mitigation was sufficient and effective. encroachment issues. For example: To safeguard water quality, a water and If the EMMP is fairly simple, responsibility for sanitation IEE might require that water points be sited overseeing EMMP implementation can be assigned to well away from sources of contamination and that the M & E Specialist, or a training or technical specialist. livestock be physically excluded from the water points. Regardless, EMMP implementation oversight must be A visual inspection would show whether the mitigation included in the job description of the individual who is was implemented. But showing that the mitigation was assigned this responsibility. sufficient and the water safe to drink would require water quality testing. 7. PITFALLS TO AVOID The ENCAP training presentation “Principles of Good EMMPs avoid a set of common pitfalls. They do Environmental Monitoring” provides an introduction to NOT: environmental monitoring design. Examples of monitoring measures are found in the Annex to this Use unclear, ambiguous, non-actionable and/or factsheet. non-verifiable mitigation measures. For example, Good EMMPs do NOT include mitigation measures Environmental compliance monitoring should be that simply state “good practices will be integrated into project M&E. See section 6.5, below & implemented per Chapter X of the Environmental section 10, implementing EMMPs. Guidelines for Small-Scale Activities in Africa (EGSSAA). They DO specify which practices and which 4. Specify timelines and responsible parties guidance from the EGSSAA will be implemented. EMMPs not only specify the mitigation and monitoring Include “extra” mitigation. All mitigation actions themselves, but who is responsible for them, and measures must respond to a specific IEE or EA on what timeline or schedule. condition. This is not always possible for the EMMP preparer to Use language like “as feasible,” “as do—s/he may be a consultant or specialist without appropriate,” etc. unless doing so is absolutely detailed knowledge of project management and staffing. unavoidable. (See discussion of “retaining general In this case, specifying timelines and responsible parties language in an EMMP” at the top of this page.) can be handed off to the individual responsible for
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 4/10 8. EMMPs & ENVIRONMENTAL 9. EMMP REVIEW AND APPROVAL COMPLIANCE REPORTING For project-specific IEEs (including IEE Amendments To enable C/AOTRs to fulfill their mandated and Amendments with PERSUAPs), the EMMP will responsibility to “actively manage and monitor” usually be developed with and submitted as an annex to compliance with IEE/EA conditions, IP quarterly or the IEE. In this case, the EMMP is reviewed and semi-annual progress reports must provide an auditable approved as a part of the IEE. (Note that IEEs receive record of environmental compliance—and especially of final clearance with the signature of the BEO.) implementation of IEE/EA conditions. EMMPs provide Otherwise, the EMMP will be developed together with the framework for this “environmental compliance the project workplan, budget, and performance reporting.” management plan (PMP). In this case, the EMMP will be Sometimes the governing IEE or the C/AOTR specifies submitted together with the workplan and/or PMP to compliance reporting requirements and formats. If so, the C/AOTR, who is responsible for reviewing and these requirements must be met. approving it. If the reporting requirements are not specified, follow The C/AOTR may involve the MEO in this review, the guidance in the table below: especially for environmentally sensitive activities. The IEE/EA will sometimes specify that the REA must Situation Environmental Compliance Reporting review and approve the EMMP as well. Content and Format EMMP is fairly simple Update EMMP with most recent 10. IMPLEMENTING EMMPS & contains a monitoring data & annex to quarterly monitoring log section or semi-annual progress report. Experience shows that systematic EMMP implementation requires: EMMP is fairly simple Consider adding a monitoring log to but does not contain a the EMMP and proceed as above. Establishing accountability. As noted in section monitoring log section OR: Develop a simple table-based 5.5, oversight responsibility for EMMP reporting format that lists activities, implementation must be assigned to an appropriate, planned mitigation, and mitigation qualified project staff member, and this status/issues encountered. responsibility must be part of their job description. EMMP is longer and Provide a text summary of EMMP more complex implementation and issues Workplan integration. Where the EMMP requires encountered and resolved. discrete actions, these must be entered into the project workplan. Examples of discrete actions Maintain a full monitoring log on file and provide to USAID upon request. include, e.g. “train staff and partners in environmental compliance,” “develop a PERSUAP,” “undertake pollution prevention/cleaner production assessments,” etc. Environmental Compliance and Project Core Performance Indicators By contrast, some mitigations do not result in separate workplan actions per se. For example, an For new projects, Africa Bureau best practice is that at least EMMP could require that “all plans, strategies, and one core project performance indicator should be other relevant documents address environmentally “environmentalized”— that is measure the extent to which core project activities are being executed with attention to sound collection, management, and disposal of environmental soundness and compliance. healthcare waste.”
For example, in a water point provision project, the IP might Environmental compliance monitoring should be a use the indicator “number of protected water points workplan item. established with zero fecal coliform after 6 months” rather than “number of water points established.” Budget integration. Workplan items must be reflected in the project budget. However, even In a road rehabilitation project, the IP might use the indicator EMMP requirements that do not result in discrete “km or road rehabilitated under environmentally sound practices” rather than “km of road rehabilitated.” actions can have cost implications. Continuing the example above, a consultant or home office It is NOT necessary or appropriate to “environmentalize” technical support might be needed to assure that a every core indicator, or to capture every mitigation measure plan or strategy properly addresses “environmentally in core project reporting. sound collection, management, and disposal of healthcare waste.”
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 5/10 The best way to make sure that cost implications of ACRONYMS the EMMP are captured is to develop mitigation and monitoring cost estimates as part of EMMP ADS Automated Directives System development. A/COTR AOTR and/or COTR AOTR Agreement Officer’s Technical Representative If this is not possible, budget notes should be developed for mitigation items that have cost AFR/SD USAID Bureau for Africa, implications, and these notes passed on to the Office of Sustainable Development budgeting team. BEO Bureau Environmental Officer CFR Code of (US) Federal Regulations Management commitment & staff awareness. COP Chief of Party Project management must communicate to all staff and partners its commitment to environmental COTR Contract Officer’s Technical Representative compliance as a means to strengthen development EA Environmental Assessment outcomes. EGSSAA USAID Environmental Guidelines for Small-Scale Activities in Africa All staff should be aware in general terms of the core environmental conditions that apply to the project, ENCAP Environmental Compliance and Management Support for Africa (AFR/SD project) and of the existence of the project EMMP. EMMP Environmental Mitigation and Monitoring Plan 11. ENCAP RESOURCES FOR IEE Initial Environmental Examination MITIGATION AND MONITORING IP Implementing Partner M&E Monitoring and Evaluation DESIGN MEO Mission Environmental Officer Per the table below, ENCAP has developed a set of PERSUAP Pesticide Evaluation Report & resources to support mitigation and monitoring design. Safer Use Action Plan PMP Performance Management Plan Topic Recommended Resource REA Regional Environmental Advisor Mitigation and Principles of Environmental Mitigation USAID United States Agency for International Monitoring Principles of Environmental Monitoring Principles Development ENCAP training presentations; convey key principles with multiple visual examples. Include slide notes www.encapafrica.org/meoentry.htm (access via mitigation & monitoring topic) Sectoral Environmental Guidelines for Small-Scale mitigation and Activities in Africa. (EGSSAA) monitoring Covers more than 20 common development guidance sectors, and provides mitigation and monitoring guidance in table format. On-line annotated bibliographies provide links to detailed resources. www.encapafrica.org/egssaa.htm Field ENCAP Visual Field Guides Monitoring for A supplement to the EGSSAA, these photo- non-specialists based field guides allow non-specialists to quickly identify key, common environmental management deficits in small-scale activities in the following sectors: Water supply, sanitation, health care (waste), and roads. www.encapafrica.org/egssaa.htm#Guides
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 6/10 ANNEX: EMMP EXAMPLES This annex contains 3 EMMP examples for typical activities and IEE conditions in the health, agriculture, and construction sectors. The examples are real, though project names and some details have been changed for the purpose of this factsheet: 1. “The Health Improvement Program “ (THIP) 2. “Agricultural Services Project” (ASP) 3. “Small Facilities Construction Project” (SFC) The first two examples use the general EMMP format presented in section 5. In each of these examples, a monitoring log column could be added to the far right of each table. The 3rd example is an alternate EMMP format. Note that the examples are for a few REPRESENTATIVE ACTIVITIES within projects of this type. Most projects would have more activities, and the EMMPs would therefore be longer.
EXAMPLE 1: THE HEALTH IMPROVEMENT PROGRAM (THIP) THIP Activity 1: Prepare strategies and action plans to increase the import and internal distribution of pharmaceuticals
Potential Environmental Impact: Strategies and action plans could indirectly result in larger and more widely distributed in-country stocks of pharmaceuticals. These may expire prior to being distributed and/or used, and will need to be disposed of. Unsafe disposal could affect aquatic and terrestrial resources and human health.
IEE Condition Specific mitigation actions to Person responsible for How implementation will be verified implement the condition implementing mitigation (monitoring indicator) Timing Responsible party & Timing Contractor shall In all strategies and action plans for Responsible Party: Review of all strategies and action plans to provide advice which THIP provides assistance, THIP Policy Technical ensure they include information about for safe storage include measures for: Advisors safe disposal of pharmaceuticals and a and disposal of a) storage in accordance with labels; Timing: budget expired During preparation phase of Responsible Party: pharmaceuticals. b) disposal of expired and unused pharmaceuticals; and all strategies and action plans THIP Policy Director c) a budget to implement these Timing: During preparation of drafts and safeguards. final documents
THIP Activity 2: Procure pharmaceuticals from US companies.
Potential Environmental Impact: Procurement of pharmaceuticals could generate unused/expired drugs that if not disposed of safely, could affect aquatic and terrestrial resources and human health.
IEE Condition Specific mitigation actions to Person responsible for How implementation will be verified implement the condition implementing mitigation (monitoring indicator) Timing Responsible party & Timing Contractor shall Advise at MOH and district levels on Responsible Party: THIP Check storage practices are in compliance provide advice the storage of the product according Policy Technical Advisors with MSDS for safe storage to the information provided on the Timing: When meeting with Responsible Party: THIP M & E Advisor and disposal of manufacturer’s Materials Safety Data expired appropriate MOH & district Timing: Semi-annually Sheet (MSDS) staff pharmaceuticals. Train MOH and local level health Responsible Party: 1) Training is implemented: practitioners and management staff THIP Training Advisor M & E Advisor; on aspects of medicine supply chain Timing: monitor semi-annually; management, including estimating Two times/year demand, distribution constraints, and 2) Supply chain has improved storage issues of time and (constraints/bottlenecks have decreased) temperature. THIP Policy Advisor; monitor annually
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 7/10
THIP Activity 3: Train healthcare workers on use of new medical procedures.
Potential Environmental Impact: As an indirect result of training, healthcare waste (HCW) will be generated. If not collected and disposed of safely, aquatic and terrestrial resources and human health could be adversely affected
IEE Condition Specific mitigation actions to Person responsible for How implementation will be verified implement the condition implementing mitigation (monitoring indicator) Timing Responsible party & Timing Training of Training courses should incorporate Responsible Party: Course material includes these topics; healthcare the following items, which should be Training Advisor when course material is developed; M & E workers should included in all training on Timing: Advisor include best implementing new medical When course material is practices in procedures: being developed; when disposal of Trainings include these topics; when How to Prepare an HCW Plan training is delivered HCW as trainings are delivered; M & E Advisor described in the Developing a Waste Segregation EGGSAA System Healthcare Minimize, Reuse, Recycling Waste chapter: Procedures Incorporating Good Hygiene Practices
EXAMPLE 2: AGRICULTURAL SERVICES PROJECT (ASP) ASP Activity 1: Training Ministry of Agriculture extension officers to provide sound crop production advice to ASP-supported farmers
Potential Environmental Impact: MOA extension officers could provide advice to farmers which results in expansion of agricultural land into natural areas; or that results in the unsafe use of pesticides.
IEE Condition Specific mitigation actions to Person responsible for How implementation will be verified implement the condition implementing mitigation (monitoring indicator) Timing Responsible party & Timing Training shall Training of MOA extension officers Responsible Party: Review of curricula; attend various not result in shall incorporate conservation ASP Crop Production trainings direct or agriculture; information on ecosystem Specialist indirect effects services; and measures to minimize Responsible Party: on the impacts to natural ecosystems. Timing: ASP Training Officer environment. Curriculum Development; During trainings Timing: At time curricula are being developed; when trainings are provided
Trainings shall Note: these mitigation measures are ASP Crop Production Review of curricula; attend various not recommend from the PERSUAP approved by the Specialist trainings pesticides BEO on [xxx date]: without first During trainings Responsible Party: 1) Only PERSUAP-approved preparing a ASP Training Officer pesticides shall be included in training PERSUAP that is for extension officers. Timing: At time curricula are being approved by the developed; when trainings are provided Bureau 2) Trainings shall include safeguards for health and safety of workers, and Environmental Officer. measures to protect the environment (Annexes A and B of the PERSUAP). 3) Trainings shall include monitoring the efficacy of pesticides as described in Annex C of the PERSUAP.
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 8/10 EXAMPLE 3: SMALL FACILITIES CONSTRUCTION PROJECT (SFC) NOTE: This example uses an alternate EMMP format. In this case, a project-specific IEE existed with highly specific conditions regarding siting, design requirements, and construction management practices for the small facilities (training centers, community centers) to be constructed by the project. These conditions were translated into table form (below), and for each condition a compliance process was specified. This EMMP format serves both as a detailed monitoring log and a management tool and guide to implementing mitigation. IEE Condition 1: Siting Requirements for New Construction Compliance process. At the time of initial site selection, SFC must answer the questions below for each proposed site. If a proposed site meets one of the below-listed criteria, the site must be changed OR an Africa Bureau Environmental Review Form (www.encapafrica.org/documents/AFR-EnvReviewForm-20Dec2010.doc) must be completed and approved by USAID prior to the start of construction. SFC must then implement the environmental conditions specified by the ERF. Note: completed ERFs include an EMMP. SFC will maintain the ERF EMMPs as an annex to this project EMMP and report on their implementation to USAID. Compliance record. The table below documents the compliance process. Note: all table entries must be dated & initialed.
Is/Does the site. . . Within 30m of a If yes to any question, Have an Proposed GPS permanent or Have existing indicate ERF status or note average slope Heavily Site Coordinates seasonal settlement site change; add additional in excess of forested? stream or water /inhabitants? row for new site. 5%? body? Village A Village B (add sites as necessary)
------IEE Condition 2: Design Requirements for Small Facilities Compliance process: (1) Design elements specified by the IEE will be incorporated into the final technical/contract specification that governs the general contractor’s work. SFC will verify this for each mandated design element. (2) SFC will verify via field inspection that the final works meet these specifications, requiring remedy or otherwise resolving any non- compliant elements. Compliance record. The table below lists all design elements mandated by the IEE and serves to document compliance status.
Required Design Elements—Training and Community Centers A. Latrine/septic tank design prevents in-and-out access for insects or other disease vectors from the pit or holding tank. B. Latrines are accompanied by handwash stations. C. All sources of gray water (kitchen sinks and handwash stations) discharge to either (1) a seepage pit or sump at least 15m from any source of groundwater or surface water tapped for domestic use, or (2) to an impermeable pump-out tank. D. Latrines or the terminus of any septic leach field must be at least 30m from any source of shallow groundwater or surface water tapped for domestic use, OR discharge to an impermeable pump-out tank. E. Siting, grading and/or drainage structures prevent runoff from the compound from creating standing water on the compound or adjacent land during the rainy season (instances of generalized flooding excepted.) F. Septic pump-out point, if any, shall feature a concrete apron and drain with return to the septic tank. G. Concrete aprons with berms or gutters/sumps shall be placed under generators, fuel storage, and fuel pump-in point (if different) sufficient in each case to capture at least a 20 liter spill. Incorporated in Final Technical Built as-specified? Specifications? (confirmed by field inspection) Site (Y/N; reference to list above) (Y/N; reference to list above) Notes (issues and resolution) A B C D E F G A B C D E F G
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 9/10 Village A
Date confirmed Date of inspection & initials & initials Village B
Date confirmed Date of inspection & initials & initials Add sites as needed Date confirmed Date of inspection & initials & initials
------IEE Condition 3: Construction Management Compliance process: (1) Construction management practices specified by the IEE will be incorporated into the final technical/contract specification that governs the general contractor’s work. (2) SFC will verify that each construction management practices is being implemented via at least one field inspection during the construction process. (3) SFC will require remedy or otherwise resolve any deficits identified. Compliance record. The table below lists all construction management practices mandated by the IEE and documents compliance status.
Required Construction Management Elements—Training and Community Centers A. During construction, 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.) B. Construction must be managed so that no standing water on the site persists more than 4 days. C. SFC must require its general contractor to certify that it is not extracting fill, sand or gravel from waterways or ecologically sensitive areas, nor is it knowingly purchasing these materials from vendors who do so. D. SFC must identify and implement any feasible measures to increase the probability that lumber is from legal, well-managed sources.* Incorporated in Final Technical Implemented as-specified? Specifications? (confirmed by field inspection) Site (Y/N; reference to list above) (Y/N; reference to list above) Notes (issues and resolution) A B C D A B C D Village A Date confirmed Date(s) of inspection & initials & initials Village B Date confirmed Date of inspection & initials & initials Add sites as needed Date confirmed Date of inspection & initials & initials
*MEASURES IDENTIFIED, IF ANY, REGARDING SUSTAINABLE SOURCING OF TIMBER: [FILL IN]
ENCAP FACTSHEET: EMMPs REVIEW DRAFT 22 JULY 2011 PG 10/10
Environmental Compliance: Language for Use in Solicitations and Awards
An Additional Help for ADS Chapter 204
Revision Date: 05/19/2008 Responsible Office: EGAT File Name: 204sac_051908 Environmental Compliance: Language for Use in Solicitations and Awards
ABOUT THIS LANGUAGE The following recommended language is for use by Cognizant Technical Officers (CTOs), Activity Managers, Contracting Officers (COs), Mission Environmental Officers (MEOs), Program Officers, Bureau Environmental Officers (BEOs), and other USAID staff involved in solicitations, awards, and activity design and management. Its purpose is to ensure adequate time is provided for environmental review and that environmental factors and mitigative measures identified in approved environmental impact assessment documentation are incorporated in the design and approval of each program and activity before the Operating Unit, Team, Activity Manager or CTO makes an irreversible commitment of resources for the program or activity. It also is intended to help improve application of USAID’s environmental procedures (22 CFR 216 or Regulation 2161) to create more sustainable and successful implementation of activities, projects and programs. - By explicitly enumerating the environmental compliance responsibilities of project implementers, use of this recommended language can help ensure that environmental compliance requirements stemming from the Regulation 216 process are fully integrated into project designs, workplans, and implementation of activities. - Use of the language also alerts USAID staff and implementing partners early on to the need for a budget to implement environmental compliance measures and to the importance of providing sufficient Regulation 216 technical capacity to implement, monitor, and report on environmental compliance. Doing so is intended to ensure that compliance is maintained throughout design and implementation—over the entire life of a project or program. - Further, the language contributes to mainstreaming of environmental concerns by integrating environmental compliance into USAID’s typical project design and implementation processes. The language can be used in any type of procurement instrument (contracts, cooperative agreements, grants, etc.). Although not explicitly required by ADS 305 for Host Country Contracts, this language also can be used for Host Country solicitations and in Implementation Letters and is especially appropriate when contracting for construction services and technical or professional services. For greatest benefit, Technical Teams and other USAID staff should review and discuss the recommended language during project design, and modify it, as may be necessary, so it is well-integrated with the program description. Together the CTO, CO, and MEO should identify where and which language to insert based on the type of solicitation and award. For activities that are designed and managed out of AID/Washington (in Pillar or Regional Bureaus), the BEO would serve a similar technical role as the MEO does at the Mission level. The MEO, REA, BEO, or other trained staff may be able to provide staff training or guidance, if necessary, on use of the language in solicitations and contracting documents.
1 Full text of 22 CFR 216 can be found at http://www.usaid.gov/our_work/environment/compliance/reg216.pdf
2 HOW TO ASSEMBLE COMPLIANCE LANGUAGE To assemble the compliance language for a particular solicitation or award, the following table should be used as guidance. Multiple situations can apply to a single procurement; if this is the case, use all indicated language. You may need to revise and/or renumber the language depending on which elements you select and where you place them in the award or solicitation. [Bracketed text] in the model language indicates that you must select the appropriate option or provide other input. When the situation is that. . . Use these environmental compliance language paragraphs from the Model Language. . . Approved Regulation 216 documentation2 exists and it contains. . . Categorical Exclusions and Negative 1a through 1c Determinations only 4a through 4c at least one Negative Determination with 1a through 1c conditions 2 4a through 4c 5a through 5d 8a through 8d (optional: to be used when project will involve environmental compliance expertise; collaborate with MEO, or BEO for projects originating out of AID/W, for guidance, as needed) at least one Positive Determination 1a through 1c 3 4a through 4c 5a through 5d 8a through 8d The contractor/recipient will be required to 1a through 1c prepare Regulation 216 documentation (an EA or 4a through 4c IEE) 5a through 5d 6a through 6c 8a through 8d 2 If there is also an existing IEE that contains a Negative Determination with conditions 3 If there is also an existing IEE that contains a Positive Determination
2 Note: “Approved Regulation 216 documentation” refers to a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO).
3 The project includes a sub-grant fund To any of the above language/situations that apply, add: 7a and 7b 8a through 8d (Paragraphs 7 and 8 are optional, based on the nature of the grant fund and potential environmental impacts; coordinate with MEO or BEO for projects originating out of AID/W for guidance, as needed)
4 MODEL LANGUAGE
1. Insert paragraphs 1a, 1b, and 1c in all solicitations and resulting awards: • In RFAs, insert in the Program Description or in the RFA’s instructions regarding Technical Application Format • In RFPs, insert in the appropriate section, often the “Special Contract Requirements” 1a) The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID’s activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/policy/ads/200/), which, in part, require that the potential environmental impacts of USAID-financed activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. [Offeror/respondent/contractor/recipient] environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this [RFP/RFA/contract/grant/cooperative agreement]. 1b) In addition, the contractor/recipient must comply with host country environmental regulations unless otherwise directed in writing by USAID . In case of conflict between host country and USAID regulations, the latter shall govern . 1c) No activity funded under this [contract/grant/CA] will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO). (Hereinafter, such documents are described as “approved Regulation 216 environmental documentation.”)
2. If the approved Regulation 216 documentation includes any Negative Determinations with conditions, insert 2. This language stipulates that the activity(ies) must be implemented in compliance with the conditions specified in the Negative Determination. 2) An Initial Environmental Examination (IEE) [(insert IEE # and download reference here, if available)] has been approved for [the Program(s)/Project] funding this [RFA/RFP/contract/grant/cooperative agreement (CA)]. The IEE covers activities expected to be implemented under this [contract/grant/CA]. USAID has determined that a Negative Determination with conditions applies to one or more of the proposed activities. This indicates that if these activities are implemented subject to the specified conditions, they are expected to have no significant adverse effect on the environment. The [offeror/applicant/contractor/recipient] shall be responsible for implementing all IEE conditions pertaining to activities to be funded under this [solicitation/award].
5 3. If the approved Regulation 216 documentation includes a Positive Determination, insert 3. This language specifies that an approved Environmental Assessment (EA) must exist prior to implementation of the activity(ies), and that the activity(ies) must be implemented in compliance with the conditions in the approved EA. 3) An Initial Environmental Examination (IEE) has been approved for the [Program or project funding] this [RFA/RFP/contract/agreement] and for activities to be undertaken herein [(insert IEE # and download reference here, if available)]. The IEE contains a Positive Determination for the following proposed activities: [(specify)]. This indicates that these activities have the potential for significant adverse effects on the environment. Accordingly, the [contractor/recipient] is required to [comply with the terms of*/prepare and submit**] an Environmental Assessment (EA) addressing the environmental concerns raised by these activities. No activity identified under this Positive Determination can proceed until Scoping as described in §216.3(a)(4) and an EA as described in §216.6 are completed and approved by USAID (Note that the completed Scoping Statement is normally submitted by the MEO to the BEO when the project originates in a Mission. The Statement may be circulated outside the Agency by the BEO with a request for written comments within 30 days and approved by the BEO subsequently. Approval of the Scoping Statement must be provided by the BEO before the EA can be initiated.)
[*]If an EA already exists, and the contractor/recipient will not be required to prepare the EA, but will be required to comply with the terms of an existing EA.
[**]If contractor/recipient must prepare and submit an EA, also insert 6a through 6c. Note: If the contractor is to prepare an EA, then this should be specified in the RFP/RFA instructions. The final negotiation of the EA will be incorporated into the award. Paragraphs 8a through d will always apply when the approved environmental documentation includes a Positive Determination, whether the contractor/recipient is preparing the EA or simply required to comply with an existing EA. 4. Insert for all solicitations and awards The language requires that the contractor/recipient must ensure all activities, over the life of the project, are included in the approved Regulation 216 documentation. 4a) As part of its initial Work Plan, and all Annual Work Plans thereafter, the [contractor/recipient], in collaboration with the USAID Cognizant Technical Officer and Mission Environmental Officer or Bureau Environmental Officer, as appropriate, shall review all ongoing and planned activities under this [contract/grant/CA] to determine if they are within the scope of the approved Regulation 216 environmental documentation. 4b) If the [contractor/recipient] plans any new activities outside the scope of the approved Regulation 216 environmental documentation, it shall prepare an amendment to the documentation for USAID review and approval. No such new activities shall be undertaken prior to receiving written USAID approval of environmental documentation amendments. 4c) Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation shall be halted until an amendment to the documentation is submitted and written approval is received from USAID.
6 5. If the approved Regulation 216 documentation contains one or more Negative Determinations with conditions and/or an EA, insert 5a through 5d. (These paragraphs should also always be used when the contractor/recipient is writing an IEE or EA.) The language requires the contactor/recipient to integrate mitigation measures and monitoring into project work plans. 5 When the approved Regulation 216 documentation is (1) an IEE that contains one or more Negative Determinations with conditions and/or (2) an EA, the [contractor/recipient] shall: 5a) Unless the approved Regulation 216 documentation contains a complete environmental mitigation and monitoring plan (EMMP) or a project mitigation and monitoring (M&M) plan, the [contractor/recipient] shall prepare an EMMP or M&M Plan describing how the [contractor/recipient] will, in specific terms, implement all IEE and/or EA conditions that apply to proposed project activities within the scope of the award. The EMMP or M&M Plan shall include monitoring the implementation of the conditions and their effectiveness. 5b) Integrate a completed EMMP or M&M Plan into the initial work plan. 5c) Integrate an EMMP or M&M Plan into subsequent Annual Work Plans, making any necessary adjustments to activity implementation in order to minimize adverse impacts to the environment.
6. For solicitations, if the Proposal Instructions specifies that the [contractor/recipient] will be required to prepare Regulation 216 documentation (IEE or EA) for some or all activities, insert 6a through 6c. 6a) Cost and technical proposals must reflect IEE or EA preparation costs and approaches. 6b) [Contractor/recipient] will be expected to comply with all conditions specified in the approved IEE and/or EA. 6c) If an IEE, as developed by the [contractor/recipient] and approved by USAID, includes a Positive Determination for one or more activities, the contractor/recipient will be required to develop and submit an EA addressing these activities. Note: In this case, always insert paragraphs 8a through 8d, as well. 7. For solicitations and awards when sub-grants are contemplated, and the IEE gives a Negative Determination with conditions that specifies use of a screening tool for sub-grants, insert 7a and 7b. 7a) A provision for sub-grants is included under this award; therefore, the [contractor/recipient] will be required to use an Environmental Review Form (ERF) or Environmental Review (ER) checklist using impact assessment tools to screen grant proposals to ensure the funded proposals will result in no adverse environmental impact, to develop mitigation measures, as necessary, and to specify monitoring and reporting. Use of the ERF or ER checklist is called for when the nature of the grant proposals to be funded is not well enough known to make an informed decision about their potential environmental impacts, yet due to the type and extent of activities to be funded, any adverse impacts are expected to be easily mitigated. Implementation of sub-grant activities cannot go forward until the ERF or ER checklist is completed and approved by USAID. [Contractor/Recipient] is responsible for ensuring that mitigation measures specified by the ERF or ER checklist process are implemented.
7 7b) The [contractor/recipient] will be responsible for periodic reporting to the USAID Cognizant Technical Officer, as specified in the Schedule/Program Description of this solicitation/award.
8. For solicitations ONLY: Insert 8a through 8d when: • the approved Regulation 216 documentation is a Positive Determination or an EA; or • when the contractor/recipient will be expected to prepare Regulation 216 documentation; or • when there is a sub-grant fund that requires use of an Environmental Review Form or Environmental Review checklist; and/or • when there is a Negative Determination with conditions that will require environmental compliance expertise to prepare and/or implement an EMMP or M&M Plan, as determined in collaboration with the MEO or BEO for projects originating out of AID/W.
8a) USAID anticipates that environmental compliance and achieving optimal development outcomes for the proposed activities will require environmental management expertise. Respondents to the [RFA/RFP] should therefore include as part of their [application/proposal] their approach to achieving environmental compliance and management, to include: 8b) The respondent’s approach to developing and implementing an [IEE or EA or environmental review process for a grant fund and/or an EMMP or M&M Plan]. 8c) The respondent’s approach to providing necessary environmental management expertise, including examples of past experience of environmental management of similar activities. 8d) The respondent’s illustrative budget for implementing the environmental compliance activities. For the purposes of this solicitation, [offerors/applicants] should reflect illustrative costs for environmental compliance implementation and monitoring in their cost proposal.
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Session 12. Introduction to the USAID Sector Environmental Guidelines (SEGs) and Related Resources Brief presentation + demonstration
Summary This session will familiarize participants with the ESDM and environmental compliance resources available primarily through the GEMS project Web site: www.usaidgems.org
These resources include: • The Sector Environmental Guidelines • Visual Field Guides (VFGs) • Training Materials • MEO Resources • Other sector-specific resources
The session also summarizes the environmental compliance and ESDM support services available to Missions and implementing partners via USAID’s GEMS program.
Objective Review the key ESDM and environmental compliance resources introduced during the workshop.
Key Resources • As referenced above • GEMS Factsheet
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Version: 22 October 2014
IMPLEMENTING MECHANISM FACTSHEET GLOBAL ENVIRONMENTAL MANAGEMENT SUPPORT (GEMS II)
CONTENTS A number of on-call local partners may be engaged depending on the location of programmed activities. 1. GEMS Overview 2. Implementers 3. PERIOD OF PERFORMANCE 3. Period of Performance 4. Scope of Services 30 September 2013–29 September 2018. 5. Accessing GEMS Services 6. Pricing 4. SCOPE OF SERVICES 7. Award Details A broad range of environmental compliance, management, 8. Contacts and sound design support services are available under GEMS II, including but not limited to:
A. TRAINING. Planning, design and delivery of general 1. GEMS OVERVIEW and sector-specific training in environmental GEMS II is a global program implemented under a compliance and environmentally sound design and USAID E3 Bureau contract that provides on- management; development of training curricula and demand environmental compliance, management, materials; and development and delivery of and sound design support to USAID’s online/distance learning on these topics. Environmental Officers, individual agency operating units and their projects and programs. B. GUIDANCE, TOOLS AND SYSTEMS. Development and review of environmental Subject to available ceiling, GEMS services are available compliance/best practice guidance for individual to any bureau or operating unit that elects to projects or sector programs. Development of incrementally fund the contract. software/IT and other tools and systems to support environmental compliance, management and M&E 2. IMPLEMENTERS from mission portfolio to project level. GEMS II was awarded in late September 2013 to The C. 22 CFR 216 DOCUMENTATION. Development Cadmus Group, Inc. under the GSA Multiple Award and review of documentation prepared under USAID Schedules (MAS) program. Environmental Procedures (22 CFR 216), including Initial Environmental Examinations (IEEs), scoping The core team consists of Cadmus, Sun Mountain statements, and Environmental Assessments (EAs) International and The Cloudburst Group, who together and Programmatic Environmental Assessments provide the primary USAID environmental (PEAs), including health and social impacts analyses. compliance/environmentally sound design and management expertise. Other core team members are D. COMPLIANCE ASSESSMENTS, FIELD Eurasia Environmental Associates, Neptune and MONITORING AND EVALUATION. Company, Mott MacDonald, World Education and Environmental compliance assessments, from mission Battelle Memorial Institute. Cloudburst is a GSA portfolio to project and site-level. Field monitoring and Contractor Teaming Arrangement (CTA) partner. All evaluation of environmental compliance/management. other team members are subcontractors to Cadmus. E. EMMPs/EMPRs. Development and review of Environmental Mitigation and Monitoring Plans
This factsheet was prepared by The Cadmus Group, Inc. for USAID under the USAID Global Environmental Management Support project (GEMS II), Award Number AID-OAA-M-13-00018. It was reviewed by the GEMS II COR. (EMMPs) and Environmental Mitigation Plans and 7. AWARD & GLAAS DETAILS Reports (EMPRs) and technical assistance to support to field implementation of such plans. Award # AID‐OAA‐M‐13‐00018 F. ENVIRONMENTAL MANAGEMENT IN GSA Multiple Award Schedule Issued under (Cadmus GSA Multiple Award Schedule DISASTER ASSISTANCE. Support to Contract No.: GS‐10F‐0105J) environmental management of disaster assistance, including rapid environmental assessments (REAs). Period of 30 Sept 2013–29 Sept 2018 Performance No option years. G. BEO, REA AND MEO SUPPORT & Ceiling $37.87mn (5‐years) BACKSTOPPING. Screening and quality control of submitted 22 CFR 216 documentation and Lead & Group Contact COR for most current code advice/TA for IPs and USAID staff developing this Requisitions documentation. H. OTHER ENVIRONMENTAL ANALYSES. 8. CONTACTS Scoping, development and review of FAA 118/119 Contract Officer Kevin Sampson [email protected] analyses, climate vulnerability assessments, health Contract Specialist Serapis Irby [email protected] and social impact assessments, among others.
I. HOST COUNTRY ENVIRONMENTAL COR Teresa Bernhard, E3 [email protected] MANAGEMENT CAPACITY. Capacity-building Deputy COR Brian Hirsch, AFR [email protected] of host country environmental management systems and professionals. Bureau Activity Managers (Bureau Environmental Officers) J. KNOWLEDGE MANAGEMENT, AFR Brian Hirsch [email protected] LEARNING & COMMUNICATIONS. Web- Asia Will Gibson [email protected] based and hardcopy dissemination of environmental DCHA Erika Clesceri [email protected] management guidance, strategic and high-impact environmental communications, environmental Food Security Dennis Durbin (acting) [email protected] management community-of-practice development E3 Teresa Bernhard [email protected] and support. E&E Mark Kamiya [email protected] GH Rachel Dagovitz [email protected] 5. ACCESSING GEMS SERVICES LAC Victor Bullen [email protected] Bureau Environmental Officers (BEOs) from Middle East John Wilson [email protected] participating Bureaus serve as Activity Managers for GEMS II activities within their region/sector. In this OAPA Gordon Weynand [email protected] capacity, they are “gatekeepers” for the GEMS II work plan, in consultation with the COR. Chief of Party Mark Stoughton (Program The Cadmus Group, Inc. Operating units interested in accessing GEMS II services, Manager) [email protected] whether funded by the participating Bureaus or with their own buy-in funds, should first contact the relevant USAID Environmental Compliance and Environmentally Sound BEO/Activity Manager and the COR. See contact list at Design & Management Resources online: www.usaidgems.org. right. Please request the GEMS II Pricing and Ordering Guide for more information.
6. PRICING GEMS II is a time and materials (T&M) contract. Categorical, fully burdened T&M labor rates are set by the award based on Cadmus’ and Cloudburst’s GSA price schedules. Travel, logistics and materials costs are treated on a reimbursable basis. Please request the GEMS II Pricing and Ordering Guide for more information.
GEMS II FACTSHEET . 22 OCT 2014 . PG 2/2
SECTOR ENVIRONMENTAL GUIDELINES FISHERIES AND AQUACULTURE Partial Update 2015 | Last Full Update: Prior to 2003
This document was prepared by The Cadmus Group, Inc. under USAID’s Global Environmental Management Support Program, Contract Number GS-10F-0105J, The contents are the sole responsibility of the authors and do not necessarily reflect the views of USAID or the United States Government. Cover Photo: USAID/Bangladesh’s Women Fish Pond Project. 2007. Jeannie Harvey
About this document and the Sector Environmental Guidelines This document presents one sector of the Sector Environmental Guidelines prepared for USAID under the Agency’s Global Environmental Management Support Project (GEMS). All sectors are accessible at www.usaidgems.org/bestPractice.htm. Purpose. The purpose of this document and the Sector Environmental Guidelines overall is to support environmentally sound design and management (ESDM) of common USAID sectoral development activities by providing concise, plain-language information regarding:
• the typical, potential adverse impacts of activities in these sectors;
• how to prevent or otherwise mitigate these impacts, both in the form of general activity design guidance and specific design, construction and operating measures;
• how to minimize vulnerability of activities to climate change; and • more detailed resources for further exploration of these issues. Environmental Compliance Applications. USAID’s mandatory life-of-project environmental procedures require that the potential adverse impacts of USAID-funded and managed activities be assessed prior to implementation via the Environmental Impact Assessment (EIA) process defined by 22 CFR 216 (Reg. 216). They also require that the environmental management/mitigation measures (“conditions”) identified by this process be written into award documents, implemented over life of project, and monitored for compliance and sufficiency. The procedures are USAID’s principal mechanism to assure ESDM of USAID-funded Activities—and thus to protect environmental resources, ecosystems, and the health and livelihoods of beneficiaries and other groups. They strengthen development outcomes and help safeguard the good name and reputation of USAID. The Sector Environmental Guidelines directly support environmental compliance by providing: information essential to assessing the potential impacts of activities, and to the identification and detailed design of appropriate mitigation and monitoring measures. However, the Sector Environmental Guidelines are not specific to USAID’s environmental procedures. They are generally written, and are intended to support ESDM of these activities by all actors, regardless of the specific environmental requirements, regulations, or processes that apply, if any. Region-Specific Guidelines Superseded. The Sector Environmental Guidelines replace the following region- specific guidance: (1) Environmental Guidelines for Small Scale Activities in Africa ; (2) Environmental Guidelines for Development Activities in Latin America and the Caribbean; and (3) Asia/Middle East: Sectoral Environmental Guidelines. With the exception of some more recent Africa sectors, all were developed over 1999–2004. Development Process & Limitations. In developing this document, regional-specific content in these predecessor guidelines has been retained. Statistics have been updated, and references verified and some new references added. However, this document is not the result of a comprehensive technical update. Further, The Guidelines are not a substitute for detailed sources of technical information or design manuals. Users are expected to refer to the accompanying list of references for additional information. Comments and corrections. Each sector of these guidelines is a work in progress. Comments, corrections, and suggested additions are welcome. Email: [email protected].
Advisory. The Guidelines are advisory only. They are not official USAID regulatory guidance or policy. Following the practices and approaches outlined in the Guidelines does not necessarily assure compliance with USAID Environmental Procedures or host country environmental requirements.
CONTENTS
BRIEF DESCRIPTION OF THE SECTOR ...... 1 POTENTIAL ENVIRONMENTAL IMPACTS OF FISHING SECTOR AND THEIR CAUSES ...... 5 CLIMATE CHANGE ...... 11 SECTOR PROGRAM DESIGN – SOME SPECIFIC ENVIRONMENTAL GUIDANCE ...... 15 MITIGATION AND MONITORING ISSUES ...... 20 RESOURCES AND REFERENCES ...... 29
FISHERIES
For decades fish have made up approximately 16 percent of animal-based proteins and 6 percent of total proteins (including plants) consumed worldwide. Over 30 percent of fish protein come from freshwater and diadromous fish (i.e., fish that migrate between saltwater and freshwater). (World Health Organization)
Philippines: Fisherman Showing His Catch of Sardines. Harry Edwards. USAID.
BRIEF DESCRIPTION OF THE SECTOR
Fisheries are an important source of food and revenue worldwide, and employ over 155 million people, 98 percent of whom are in developing countries. Capture fisheries and aquaculture supplied the world with about 148 million tonnes of fish in 2010 (with a total value of US$217.5 billion), of which about 128 million tonnes was utilized as food for people.1 For decades fish have made up between 16 percent of animal-based proteins and 6 percent of total proteins (including plants) consumed worldwide. Over 30 percent of these fish proteins come from freshwater and diadromous fish (i.e., fish that migrate between saltwater and freshwater). Of all the animal protein consumed in Africa in 2007, 18 percent was from fish—rates are as high as 58 and 65 percent in Ghana and Sierra Leone. In Asia, approximately 23 percent of animal protein comes from fish. In countries such as Cambodia, Bangladesh, Indonesia, and Myanmar, fish comprises between 50 to 68 percent of dietary protein intake. While the average for Latin America and the Caribbean is less than 10 percent, many of the island nations in the Caribbean get at least 20 percent or up to 50 percent of animal protein from fish.2 The fisheries sector is divided into two major sub-sectors: capture fisheries and aquaculture. The term “capture fisheries” is applied to the practice of harvesting wild fish and other aquatic organisms. Both industrial and artisanal fishing practices fall under this category.
1 The State of World Fisheries and Aquaculture. FAO. 2012. http://www.fao.org/docrep/016/i2727e/i2727e.pdf. 2 World Health Organization. (accessed May 2015).
FISHERIES AND AQUACULTURE . 2015 Page 1
Aquaculture is the practice of raising and harvesting fish and aquatic organisms under controlled circumstances. Typically, aquaculture is used to grow finfish (salmon, milkfish, carp, tilapia), mollusks (mussels, oysters, clams), shrimp, and seaweed. Aquaculture can be pursued in fresh, brackish, and salt-water bodies.
SMALL-SCALE FISH FARMING IS A SOURCE OF PROTEINS AND INCOME FOR FARMERS
RWANDA Rwandan fish farmers were surveyed in 1998 to estimate the costs and returns of extensive aquaculture, sweet potato, Irish potato, cassava, taro, sorghum, maize, sweet peas, beans, soybeans, peanuts, rice and cabbage production. Fish farming—predominately Nile tilapia (Oreochromis niloticus), Tilapia rendalli, and common carp (Cyprinus carpio)—yielded the highest cash income per unit of land. Sweet potatoes produced the highest carbohydrate yield, while soybeans were the least expensive source of protein. Because of the high economic returns from aquaculture, farmers kept only 31 percent of their fish harvest for consumption; 61 percent was sold as a cash crop. Income from fish culture was used for a variety of purposes, including re-investment in fish farming or other agricultural activities; payment of children’s school fees and taxes; purchasing household goods, medicines, lands and livestock; and savings in bank accounts. Source: Hishamunda et al., 1998.
VIETNAM In northern Vietnam, aquaculture systems have centered on grass carp since its introduction from China 40 years ago. This species is reared in both ponds and cages and fed with grasses, maize residues and cassava leaves. In the south of Vietnam, an equivalent "poor person’s system" based on giant gourami also feeds on vegetable matter (although growth rate is a constraint). In southern Vietnam, a second low-cost system is the culture of pangasius catfish (Pangasius hypophthalmus), reared in overhung latrine ponds. These grow quickly without purchased inputs and can be the basis for a more diversified system. Source IIRR, IDRC, FAO, NACA and ICLARM, 2001.
Global production of fish from aquaculture has grown substantially in the past decade and continues to be the fastest-growing animal food producing sector. It currently accounts for approximately half of the world’s food fish consumption, compared with 33 percent in 2000. With global capture fishery production stagnating and increasing demand from growing populations, aquaculture is receiving more and more attention. Most global aquaculture production occurs in developing countries (approximately 90 percent) and Low-Income Food Deficit Countries (LIFDCs, approximately 80 percent). About 80 percent of aquaculture farmers are small farmers and there are few large production sectors, such as shrimp and salmon. The aquaculture industry in LIFDCs
FISHERIES AND AQUACULTURE . 2015 Page 2 over the last three decades has grown at double the pace of developed countries, primarily on small, family-managed fish farms. 3 While marine capture fisheries more than quadrupled their catch from the early 1950s to the mid-1990s, over the last two decades catches have stabilized or diminished, despite increased fishing effort. As shown in the figure on page 3, the proportion of marine fish stocks that are overexploited, depleted or recovering from depletion rose from 10 per cent in early 1970s to over 20 percent in 2006. Of the 133 local, regional and global extinctions of marine species documented worldwide over the last 200 years, 55 per cent were caused by overexploitation, while the remainder was driven by habitat loss and other threats. Technology can enhance the intensity and range of human impacts on marine biodiversity although it can also play a significant role in making fishing practices less destructive. Overfishing is also a problem in freshwater wetlands, although in many cases adequate data are not available to quantify the extent of the loss. Recreational fishery practices such as stocking and selective take can also have important evolutionary impacts on freshwater fish
Trends in the State of Global Fishery Stocks 1950-2006 From UNEP 2012 reproduction of Kleisner, K. and Pauly, D. (2011). Stock- catch status plots of fisheries for Regional Seas. In The State of Biodiversity and Fisheries in Regional Seas (eds. Christensen, V., Lai, S., Palomares, M.L.D., Zeller, D. and Pauly, D.). pp.37–40. Fisheries Centre Research Reports 19(3)
3 Adapted from State of World Aquaculture. FAO. 2010. http://www.fao.org/fishery/regional-aquaculture- reviews/reviews-2010/en/ and Aquaculture: Not Just an Export Industry. FAO. 2003. http://www.fao.org/english/newsroom/focus/2003/aquaculture.htm
FISHERIES AND AQUACULTURE . 2015 Page 3
stocks. Invasive species and by-catch from fisheries can be a major threat to groups such as sharks, turtles and albatrosses.4
There are two basic modes of practicing aquaculture: intensive and extensive. Intensive aquaculture uses technology to raise fish, and it involves a larger degree of human control and more inputs such as feeds, fertilizers and fuel. Stocking densities are also higher in intensive versus extensive aquaculture. In salmon aquaculture, for example, the fish are hatched, reared and fed in controlled ponds until they are big enough to harvest. Open-ocean aquaculture, or offshore aquaculture, is a form of intensive aquaculture that has become a method of employment and area of experimental research in some developing countries in recent years and is a method of farming fish in cages located 3 to 200 miles off the coast. Extensive aquaculture usually involves unsophisticated technology, relies on natural food and has a low input-to-output ratio. Typically, only part of the life cycle is controlled. Extensively operated fish ponds often rely on a supply of young fish from the wild, and use minimal feed and fertilizer inputs. For local communities, aquaculture can create employment and diversify income-generating activities. In addition, aquaculture can serve as insurance against long-term shortfalls in capture fishery yields. It can prevent over-exploitation of finite stocks and minimize competition for land use. Moreover, aquaculture can provide active benefits to water bodies, such as improving productive capacity and water quality, converting polluting waste products into fish protein, controlling the spread of diseases such as malaria and schistosomiasis, and providing sewage treatment and low-cost weed clearance in irrigation systems. Finally, wastes from aquaculture can be used as fertilizer for agricultural production. Aquaponics – systems that combine aquaculture with hydroponics – are also becoming popular due, in part, to water scarcity. However, as described in the next sections, negative environmental impacts may results from more intensive or larger-scale efforts. These impacts can be mitigated in appropriately planned projects. CLIMATE CHANGE Climate change is impacting coral reefs, mangroves, salt marshes and other ecosystems that provide important nursery and breeding grounds for many freshwater and marine species. Coral reef systems, for example are impacted due to ocean acidification, and their sensitivity to sea surface temperatures, which can lead to coral bleaching and death of fish species. Risk analysis indicates that 30 percent of coral reefs in Asia are likely to be lost within the next 30 years (Cruz et al. 2007). Sea level rise, salt water intrusion, increased frequency and intensity of storms and changes in hydrologic flows are also having impacts, often on already stressed ecosystems.
Climate change is making it more difficult to predict future climate based on historical baseline conditions or trends. This uncertainty is increasing project design risks and community vulnerabilities. In response, project designers should now include a focus on climate change adaptation — defined as adjustment to natural or human systems in response to actual or expected climate change effects. Successful fisheries and aquaculture projects need to include efforts to moderate climate-related risks and vulnerabilities and to take advantage of potential benefits to improve the likelihood of long-term project success
These Guidelines provide information on the relationship between climate change and fisheries activities. Taken individually, impacts of small activities may appear minimal, but collectively,
4 Adapted from Global Environmental Outlook (GEO) 5: Biodiversity. UNEP. http://www.unep.org/geo/pdfs/geo5/GEO5_report_C5.pdf
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their scale and magnitude can have far reaching effects on human health and life-sustaining natural systems.
When making use of climate change scenarios, those involved in fisheries projects need use adequate climate change scenarios based on the life expectancy of the project. Risk management frameworks can be used to understand the implications of climate change uncertainties and impacts when informing planning, investment and operation decisions.
POTENTIAL ENVIRONMENTAL IMPACTS OF FISHING SECTOR AND THEIR CAUSES
ADVERSE IMPACTS FROM CAPTURE FISHERIES OVER-HARVESTING Widespread, unsustainable fishing practices have left capture fisheries with a shrinking resource base. About one third of stocks are overexploited. Parts of Asia and low-income and small island nations have been significantly impacted by the effects of overfishing, and Africa lost 9 – 49% of catches by mass in 2000. The World Bank and the FAO have estimated that overfishing may cost $50 million in net economic losses worldwide, though this phenomenon also causes loss of employment and reliable protein sources.5 Fish populations are generally reproducing less than their biological and ecological potential because of habitat loss and pollution pressure. With climate change, waters temperatures may fluctuate outside of the ranges suitable for reproduction, or alter behavior, and further stress reproduction. There is a need of strict management plans to restore their full and sustainable productivity6, and in some cases, countries have gone as far as to ban all fishing in their waters, as Palau did in 2014.As harvests of valuable fish stocks decrease, fisherman are forced to collect lower-value fish, resulting in less return on investment and continuing the cycle of over-harvesting and an overall loss in biodiversity of the region. As climate change increases the stress on these systems, productivity is likely to decline in addition to decreased response to practices considered “sustainable” today. BY-CATCH Some types of fishing equipment—such as nets with small mesh sizes, trawlers, and long lines—collect both the desired species (catch) and many non-target species (by-catch). For example, driftnets entangle and drown birds, sharks, whales and dolphins. Prompted by governments and conservation groups around the world, the United Nations banned large-scale driftnetting on the high seas in 1993. Smaller driftnets, however, are still being used in coastal waters. By-catch includes unwanted or undersized animals. These animals are culled and returned to the sea, often dead or dying; the populations of many non-target species are dropping as a result. In many cases, the discarded animals are juveniles, which increases the rate of population collapse.
5 Srinivasan, U.T., Cheung, W.W.L., Watson, R. and Sumaila, U.R. (2010). Food security implications of global marine catch losses due to overfishing. Journal of Bioeconomics 12, 183200 http://www.ecomarres.com/downloads/Thara2.pdf 6 The State of World Fisheries and Aquaculture. FAO. 2012. http://www.fao.org/docrep/016/i2727e/i2727e.pdf.
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TOXIC SUBSTANCES Toxic substances, such as cyanide, and techniques like dynamiting and electrocution are used to more easily harvest fish. But cyanide, which anesthetizes fish for harvesting, also poisons coral reefs and non-target organisms. Dynamite fishing, practiced in the Southeast Asia, Africa, and the Aegean Sea, also damages coral reefs and has caused nearby fisheries to decline. With stressors such as climate change, habitat change, and overfishing, non-target organisms may be especially sensitive to fishing practices that introduce toxic substances because they may be experiencing changes in metabolism, which may increase absorption of toxins, increased stress to natural occurring toxins such as algal blooms, and pressure from species expanding their range or population due to warmer waters. SPECIES INTRODUCTION Introduction of fish species is often a means of augmenting fish populations in regions with challenges meeting subsistence and commercial protein demand as well as promoting recreational fishing. While the economic benefits may be positive, the ecological impacts are almost overwhelming negative. Introduced species compete with native fish populations for both food and habitat, and often outcompete native species weakened by overfishing, habitat destruction, and climate change (e.g., warming water, change in stream flow, increased algal production, etc.). In addition to direct competition for food and habitat resources, the introduced species may also hybridize with native fish, directly prey on them, destroy critical habitat, or introduce a disease to the native stocks. While total aquatic biomass may be maintained, the result is a cascading loss of biodiversity in fish, benthic invertebrate, and aquatic plants species. POSSIBLE IMPACT OF CAPTURE FISHERIES LISTED BY TYPE7 NEGATIVE IMPACTS ENVIRONMENTAL CONSEQUENCE ASSOCIATED WITH CAPTURE FISHING Bottom structure damage from Damage to important habitat for lower level aquatic food web dredging, trawling (e.g., eelgrass habitat and benthic communities) that supports the rest of the food chain.
Lost gear and nets Ghost fishing leading to additional depletion of resources and damage to non-target species such as turtles, marine mammals, and birds; loss of biodiversity and abundance; threat to endangered species.
Introduction of exotics Competition for resources with native fish populations, leading to decline in traditional fisheries; loss of biodiversity; changes in food web structure; degradation in water quality.
Overfishing and bycatches Leads to take of non-target species, including birds caught by long-lines, and immature fish; focus on large species changing the dynamics of population structure; reduces economic sustainability of fishing industry; threat to endangered species; discarding on bycatches and process wastes results in increased food for scavengers potentially leading to anoxia of the local seabed
7 Adapted from Garcia, S.M., Zerbi, A., Aliaume, C., Do Chi, T., Lasserre, G. (2003). The ecosystem approach to fisheries. Issues, terminology, principles, institutional foundations, implementation and outlook. FAO Fisheries Technical Paper. No. 443. 71 p.
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NEGATIVE IMPACTS ENVIRONMENTAL CONSEQUENCE ASSOCIATED WITH CAPTURE FISHING Changes in population structure Modified genetic diversity; modifies age distribution of the population by targeting individuals of reproductive age and inducing high juvenile mortality; changes growth and maturation dynamics by removing predators; lack of high level predators can cause a cascade effect that results in overpopulation followed by population crashes due to resources partitioning.
Chemical alteration and pollution Addition of highly toxic compounds to system (cyanide fishing); organic wastes from processing facilities damage water quality and can contaminate other non-target species; reduction in water quality and increase in organic content leading to eutrophication, algal blooms, and increased biochemical oxygen availability
Large scale ecosystem stress Change to immature and stressed ecosystem by targeting and reducing abundance of high value predators, changing the trophic chains and flow of biomass; threatens endangered species.
Increased fishing capacity by Influences potential for overfishing; decreases market value of community catches over short-term due to availability in the market; maladaption for economic growth based on increased physical access
FOR AQUACULTURE POLLUTION Aquaculture systems cause pollution in a variety of ways: • Pond water discharged into coastal areas or streams can raise sedimentation rates, accelerate the nutrient cycle and lower dissolved oxygen (do) levels. These changes can lead to eutrophication, a state in which a water body is polluted with excess nutrients that remove dissolved oxygen from the water and cause rapid plant growth, including toxic algal blooms. the toxins from these algal blooms may concentrate in shellfish, creating a serious risk to human health. degraded organic materials from pond bottoms release toxic sulfide compounds and ammonia into the water. the net result from these combined nutrient changes may be decreased water quality and increased stress on aquatic life, with damage to capture fisheries.
• Feeding regimes for bred species often cause excess processed fish food to accumulate below aquaculture pens. This excess food is consumed by benthic (bottom-dwelling) organisms or is left to decompose. decomposition causes degradation of water quality and decreasing oxygen levels in the water body, which can be fatal to aquatic organisms. Consumption by benthic organisms, on the other hand, disrupts the balance of the entire ecosystem.
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• Fish wastes from intensive aquaculture, in combination with decomposing excess food, also have the potential to cause algal blooms, harming surrounding habitats and depleting dissolved oxygen concentrations near the facility.
• Anti-fouling agents are often used to prevent organism growth on cages and netting. some anti-fouling agents, such as tbt (tributyltin), interfere with reproductive functions of both cultured and wild shellfish.
• Human activities associated with aquaculture also generate pollution. human wastes generated from habitation near aquaculture cages can degrade water quality and create health hazards. for ease of access, fish processing facilities are often located near fishponds or enclosures. If wastes from fish-processing activities are disposed of in fishponds, this also damages water quality. HABITAT DESTRUCTION Because they are located in inter-tidal zones, mangrove forests are sometimes cleared for replacement by aquaculture ponds. Mangrove forests support a diverse population of grasses, birds, and other land-based and aquatic animals and provide important services such as stabilizing coastlines, reducing storm erosion, and acting as spawning and nursery areas for many fish and crustaceans all of which have implications for climate change adaptation. Mangroves also serve as a renewable resource, providing firewood, timber, pulp, and charcoal for local communities. Destroying mangroves has disastrous effects on the environment, including destruction of shorelines and loss of fish breeding grounds and can cause fish and crustacean populations to collapse. Installing open ocean aquaculture pens may include dredging, drilling, and other bottom disturbances with the potential to displace wild fish, bottom dwellers, and impact the ecology of the surrounding ocean. IMPACTS ON FRESHWATER SOURCES Intensive aquaculture requires large quantities of freshwater, usually obtained from groundwater or surface freshwater bodies. Freshwater is globally in high demand, and with climate change, additional water stress may lead to localized conflict. Aquaculture in these areas with physical or access issues to freshwater may then compete with downstream users, These issues may be exacerbated by climate change in areas where hotter conditions and changes in precipitation patterns results in decreased or less predictable water availability. Pumping groundwater near coastal areas may cause saltwater to enter the aquifer and contaminate the underground reservoir. Again, climate change may make this more likely due to sea level rise. Groundwater extraction may also cause land subsidence (i.e., land surface slump or collapse). If aquaculture ponds are not designed properly, saltwater can seep into surface reservoirs, canals and rice paddies, damaging drinking water reserves and crops. As noted above, pond water is sometimes discharged into freshwater bodies, adding excess nutrients and pollutants and increasing salinity. Salts can also seep into drinking water sources from poorly designed sediment disposal sites. DISEASE Intensive aquaculture uses a dense stocking rate in an attempt to maximize use of inputs. Overcrowding may induce stress in aquatic organisms and increase their susceptibility to diseases. It also contributes to poor water quality and the rapid growth and transmission of parasites and pathogens, which may spread to wild populations and local capture fisheries.
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Climate change must also be considered for its potential to contribute to disease as evidence suggests that parasites and pathogens may expand their range and will become more virulent with increase global temperatures. To treat and prevent disease, a variety of chemicals are used, including antibiotics, parasiticides (parasite-killing drugs), pesticides, hormones, anesthetics, pigments, minerals, and vitamins. These chemicals are generally used in finfish or hatchery aquaculture, and applied along with feed. They may disperse beyond the pens and affect non-target organisms. The overapplication of antibiotics has been shown to lead to the creation and spread of antibiotic-resistant bacteria.8 ADVERSE EFFECTS ON OTHER ORGANISMS Although the use of genetically engineered fish in aquaculture was approved only very recently, organisms escaping from aquaculture systems may have adverse impacts on wild populations. Species bred or genetically engineered for aquaculture are selected for high growth rates and/or disease resistance, usually at the expense of other survival characteristics. If, in the future, these animals compete and interbreed with wild populations, the net result can be populations which are less genetically diverse and possibly less resistant to environmental changes. If the escaping organisms are exotic or non-native to the area or water body into which they escape, they may become invasive, interfering with the established ecosystem that native species are a part of, impacting the food sources, spawning areas, and surrounding habitat. Non-native species may also introduce new diseases. Nearly all marine and brackish water aquaculture requires inputs from natural The site of a proposed fishpond near fisheries. Wild organisms or larvae are Kibwaya, Tanzania. Six families grow rice on sometimes used as seed stock for this land. Can the water resources here aquaculture operations. In some species, support fish ponds? Will ponds increase collecting larvae or young animals, if not household income for these farmers? Do done carefully, may depress the local they have the ability to sustainable manage population of the species to dangerously low the ponds? levels.9 Aquaculture based on carnivorous organisms (such as salmon and shrimp) requires large quantities of fishmeal. Fishmeal is manufactured from harvests of smaller prey fish, or fish not otherwise consumed by people. Growing one unit of salmon may require several units of wild fish. In 2006, the aquaculture sector consumed 4.9 tonnes of small forage fish for every tonne of
8 FAO. (2015). 9 Tacon, A.G.J, and M. Metian. Global overview on the use of fish meal and fish oil in industrially compounded aquafeeds: Trends and future prospects. 2008. Aquaculture 285:146-158. http://www.cnr.uidaho.edu/fish510/PDF/fishmeal.pdf.
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salmon produced, and 3.4 tonnes of small prey fish for every tonne of trout produced.10Expanding aquaculture by harvesting more small forage fish may lead to their populations to shrink, not only making the aquaculture unsustainable but endangering other aquatic animals that feed on these small wild fish. Clustering and poor siting of aquaculture facilities can obstruct access to water resources by wild populations. Predators, often drawn to aquaculture sites, may become entangled in net pens and drown. ADVERSE IMPACTS ON UPSTREAM AND DOWNSTREAM USERS As mentioned previously, intensive and semi-intensive aquaculture systems require large volumes of fresh water, often drawn from surface waters. In rural areas, this results in less water available to irrigate crops and forces people (mainly women) to travel further to collect water for household use for both downstream users and upstream users who may be required to enter into water sharing agreements in order for ponds to have enough water for operation. Also, seepage and discharges from fishponds can degrade the quality of water available to downstream users, affecting drinking water, agriculture, capture fisheries and recreational uses of water bodies. POSSIBLE ENVIRONMENTAL IMPACTS OF AQUACULTURE LISTED BY PRODUCTION TYPE11 In addition to the impact on native fisheries and water quality described in detail above, specific culture systems have additional environmental impacts as summarized in FAO ADCP/REP/89/43 - Aquaculture Systems and Practices: A Selected Review (Baluyut,1989).
CULTURE SYSTEM ENVIRONMENTAL IMPACT EXTENSIVE: RELIES ON NATURAL FOOD
Seaweed culture May occupy formerly pristine reefs; rough weather losses; market competition; conflicts/failures, social disruption. Impacts on local fishing communities by occupying large surface areas of coast, loss of biodiversity from changes in seawater flow, shading, and removal of bottom substructures.12
Coastal bivalve culture (mussels, Public health risks and consumer resistance; microbial diseases, oysters, clams, cockles) red tides, industrial pollution; rough weather losses; seed shortages; market competition, especially for export produce; failures, social disruption.
Coastal fishponds (mullet, milkfish, Destruction of ecosystems, especially mangroves; increasingly shrimp, tilapias) non-competitive with more intensive systems; nonsustainable with high population growth; conflicts/failures, social disruption.
10 Ibid. 11 Pullin, Third World Aquaculture and the Environment (1989), as cited by Baluyut (1989). 12 Phillips, M.J. Environmental Aspects of seaweed culture. FAO Technical Resource Paper. Available at: http://www.fao.org/docrep/field/003/AB728E/AB728E05.htm.
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CULTURE SYSTEM ENVIRONMENTAL IMPACT Pen and cage culture in eutrophic Exclusion of traditional fishermen; navigational hazards; conflicts, waters and/or rich benthos (carp, social disruption; management difficulties; wood consumption. catfish, milkfish, tilapias)
SEMI-INTENSIVE
Fresh- and brackish water pond Freshwater: health risks to farm workers from waterborne (shrimp and prawns, carp, catfish, diseases. Brackish water: salinization/acidification of milkfish, mullet, tilapias) soils/aquifers. Both: market competition, especially for export produce; feed and fertilizer availability/prices; conflicts/failures, social disruption.
Integrated agriculture-aquaculture As for freshwater above, plus possible consumer resistance to (rice-fish; livestock/poultry-fish; excreta-fed produce; competition from other users of fishmeal vegetables-fish and all combinations inputs (livestock and cereal production); toxic substances in of these) livestock feeds (e.g., heavy metals) may accumulate in pond sediments and fish; pesticides may accumulate in fish.
Sewage-fish culture (waste Possible health risks to farm workers, fish processors and treatment ponds; latrine and septic consumers; consumer resistance to produce. waste used as pond inputs; fish cages in wastewater channels)
Cage and pen culture, especially in As with extensive cage and pen systems above. eutrophic waters or on rich benthos (carp, catfish, milkfish, tilapias)
INTENSIVE: HATCHERY-CONTROLLED CONDITIONS FOR MOST OF THE LIFE CYCLE
Freshwater, brackish water and Effluents/drainage high in Biological Oxygen Demand (BOD) and marine ponds (shrimp; fish, suspended solids; market competition, especially for export especially carnivores—catfish, product; conflicts/failures, social disruption. snakeheads, grouper, sea bass, etc.)
Freshwater, brackish water and Accumulation of anoxic sediments below cages due to fecal and marine cage and pen culture (finfish, waste feed build-up; market competition, especially for export especially carnivores—grouper, sea produce; conflicts/failures, social disruption; consumption of wood bass, etc.—but also some and other materials. omnivores such as common carp)
Other—raceways, silos, tanks, etc. Effluents/drainage high in BOD and suspended solids; many location-specific problems.
CLIMATE CHANGE
PLANNING FOR A CHANGING CLIMATE
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Sea level rise, changing ocean salinity, shifting temperatures, and precipitation pattern shifts are climatic changes affecting fisheries and aquaculture—and especially the people that rely on them for food and employment. Climate change will change the frequency, intensity, and duration of extreme events, including droughts, floods, high winds, and tropical storms. Project design, construction and operation must take into account these changes which may result in damage to habitat, declining fish populations, or put coastal fishing infrastructure or aquaculture operations at high risk. Particularly on the coasts of Africa and Asia, changes in climatic conditions combined with the natural rate of erosion may cause flooding of low lying areas, saltwater intrusion into fresh water areas, and loss of coral reef habitat.13 Additionally, fish and aquaculture resources need to be protected from overfishing, habitat degradation, and stresses from climate change. Therefore, projects need to be designed to withstand exposure to an altered climate and be resilient to deviations from historical conditions. Specifically the aspects of fisheries project design sensitive to weather need greater attention to risk analysis and climate change probabilities than in the past, to help ensure that appropriate materials and designs are selected and the long-term success of projects is achieved. USAID has developed guidance to assist with mainstreaming climate change into development activities called Adapting to Coastal Climate Change – A Guidebook for Development Planners14.
A particular fishing community’s vulnerability to climate change is the degree to which it may be unable to cope with a changed climate. Vulnerability is a function of exposure, sensitivity, and adaptive capacity. While exposure and sensitivity, discussed above, refer to physical attributes, adaptive capacity has to do with the “human element.” Adaptive capacity refers to the capacity or potential to: • Adjust to, rebound from, or cope with the consequences of climate variability and changes • Moderate potential damages • Take advantage of opportunities Elements of adaptive capacity include: • Access to information • Access to financial, technical, human resources • Social capital and cohesion • Redundancy of transportation and information systems • Economic diversification Planning for climate change requires an understanding of how climate affects habitat, hydrologic cycles, the economy of the fisheries sector, and policies that govern the sector. Planning also requires considering the unique climate sensitivities of fish species; for example, some species require very narrow water temperature ranges for reproduction while others can tolerate higher or lower temperatures. Metabolism of fish can also change with water temperatures. Some fish may be more resilient than others when facing a changing climate, and some locations may be at lower risk of impacts like sea level rise, salt water intrusion, or increased storm intensity, rainfall, and drought. Climate change impacts may be more severe if other non-climate
13 Providing Options to Respond to Climate Change in West African Coastal Areas. UNESCO. 2012. http://www.unesco.org/new/en/natural-sciences/ioc-oceans/single-view- oceans/news/providing_options_to_respond_to_climate_change_in_coastal_areas/ 14 USAID. 2013. Adapting to Coastal Climate Change- A Guidebook for Development Planners. http://www.crc.uri.edu/download/CoastalAdaptationGuide.pdf
FISHERIES AND AQUACULTURE . 2015 Page 12 stressors—like overfishing, increased water withdrawal, and erosion—make marine and aquaculture environments more sensitive. Some species may no longer be economically viable as they are increasingly affected by climate changes, diseases, or invasive species. In order to build capacity, projects might consider:
• Researching and storing data and information on the geographic and spatial scale of the fishery; climate change predictions in the region; and the dynamics of the ecosystem over time and in response to temperature, salinity, and current changes. This process will establish an historic baseline from which to measure future changes.
• Incorporating climate change issues into fisheries planning efforts. The planners need to take into account the life expectancy of the project and use appropriate climate change scenarios to identify potential risks to the fishery. • Employing management approaches that seek to avoid overfishing, and promote ecosystem health. • Researching the feasibility of marketing and selling new species as they may take the place of traditional species that will migrate elsewhere as ocean temperature and pH shift. • Considering policies and regulatory processes that promote sustainable fishing including strengthening the rule of law (fisheries enforcement and aquaculture regulation) and improving civil society engagement (co-management approaches).
ADAPTING TO CLIMATE CHANGE BY MINIMIZING VULNERABILITY THROUGH PROJECT DESIGN Adapting planning, design, and project execution to climate change involves ensuring that existing fishing communities, new aquaculture operations, and associated facilities are able to withstand variations in climatic conditions and especially extreme weather events. Designers and project managers should focus on incorporating information on climate from historical records, recent trends, and future projections. For example, Large scale investments in off- shore seaweed or bivalve aquaculture facilities may require longer term planning to protect the investment from global climate change (i.e., sea-level rise and temperature increase), whereas tilapia ponds are generally small investments that are threatened more by near term water available issues and land use conflicts rather than longer term climatic fluctuations. Future projections should also take into consideration environmental thresholds that, if surpassed, could cause rapid ecosystem change. Note that near-term projections are more reliable and less uncertain than long-term emissions and climate predictions. In many cases managing for greater uncertainty rather than specific trends may be most appropriate. It is also important to ensure that workers in the industry have access to these resources. In many cases managing for greater uncertainty and risk associated with potential extreme conditions rather than past historical trends emphasizes the precautionary principle over “business as usual.” This type of focus on risk analysis and management is commonly applied by the financial and insurance industries and can also be used in assessing potential development activities.
For example, design and siting for fisheries projects in coastal communities should take into account projected sea level rises, and storm surges. Construction should also be avoided in or near flood plains, rivers, and wetlands whenever possible. In locations where drought conditions are becoming more frequent, inland aquaculture project designers should ensure that a reliable
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source of water can be sustained to supply the operation. Ultimately, more robust fisheries infrastructure will ensure resilience to climate change.
From a risk management perspective, it is less costly to design for the potential direct and indirect impacts of climate change on fisheries, than to have fishermen and the fishing industry risk major losses or for communities to face food shortages.
Possible Adaptation Direct Impacts Indirect Impacts Responses • Changes in fish stock • Reduced nutrition • Fisheries restoration through abundance, species • Reduced incomes no-take zones, tradable fishing composition, and location of • Food insecurity rights commercially important • Migration • Fisher managed natural species • Reduced access to markets regeneration of fish stocks, mangroves • Insurance
MINIMIZING GREENHOUSE GAS EMISSIONS (GHG) AND MAXIMIZING SEQUESTRATION When the entirety of the fisheries and aquaculture industries are taken a whole, the GHG emissions are significant,15 mainly due to fuel use by fishing vessels, and fuel for the transportation, processing, and storage of fish. Decreasing dependence on fossil fuels and improving fuel efficiency in the fisheries sector may include opting for alternative fuels (e.g.,natural gas, biofuels, wind, or solar); shifting to low or no-fuel techniques such as seining; reducing vessel speed; or installing more efficient engines. The provision of relevant climate change mitigation information and technical assistance to stakeholders can decrease agriculture’s contribution to climate change.
At the same time, fishing and aquaculture can impact ecosystems that serve to store carbon. Mangroves and other coastal/freshwater ecosystems (such as wetlands and seagrasses) store carbon in their soils and plant matter. Disturbing those ecosystems releases carbon into the atmosphere. The release of greenhouse gases from soils can be a slow process and restoration efforts can help to slow or reverse that process. Additionally, large fish species themselves serve as large oceanic carbon sinks and the appropriate management of fisheries has the potential to store carbon16. Certain practices can help prevent the carbon already stored in these environments from escaping into the atmosphere. These practices include minimizing use of trawl nets and other destructive fishing practices, and avoiding land clearing for aquaculture ponds.17
15 FAO. 2009. World Review of Fisheries and Aquaculture. ftp://ftp.fao.org/docrep/fao/011/i0250e/i0250e01.pdf 16 Pershing, A.J., Christensen, L.B., Record, N.R., Sherwood, G.D., Stetson, P.B. (2010). The impact of whaling on the ocean carbon cycle: Why bigger was better. PLOS One, Available at: http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0012444 17 FAO. 2009. Final Report: Expert Consultation on GHG emissions and mitigation potentials in the agriculture, forestry and fisheries sectors. http://www.fao.org/climatechange/59239/en/
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SECTOR PROGRAM DESIGN – SOME SPECIFIC ENVIRONMENTAL GUIDANCE
As with other program and project development activities, potentially damaging environmental impacts need to be addressed early in the design process in order to avoid costly mistakes or project failure. Listed here are good management practices and design criteria that can help prevent adverse impacts. USAID has published a guide on Sustainable Fisheries and Responsible Aquaculture (2013), which provides detailed guidance for staff and partners on how to design capture fisheries and aquaculture projects. Some specific design best management practices to consider in design which help mitigate negative environmental impacts are: BEST MANAGEMENT PRACTICES EXAMPLES FOR CAPTURE FISHERIES • Do not discharge toilets, washwater, non-oily bilge water, deck washwater, fish offal, or kitchen waste into coastal and sensitive waters.
• Exclude motorized vessels from areas that contain important shallow-water habitats.
• Establish no-wake zones for boats and ships to decrease erosion and turbidity.
• Use oil-absorbing materials in bilge areas of a boat’s inboard engine; dispose of and replace them appropriately (see section on “solid waste management” in these guidelines).
• Do not discharge bilge and ballast water with oil and grease concentration above 10 mg/liter—some local environmental laws may consider oily water hazardous waste and it may require separate handling and treatment.
• Clean boats in the water by hand. use detergents and cleaning compounds that are phosphate-free and biodegradable: for example, no tsp (trisodium phosphate). do not use detergents containing ammonia, sodium hypochlorite, chlorinated solvents, petroleum distillates or lye. GUIDELINES FOR POLICY WORK FOR CAPTURE FISHERIES
• Provide incentives for preventing illegal, unreported, and unregulated (IUU) fishing by creating systems that are easy to comply with and are thoughtful of habits and processes used by fishers.
• Coordinate with local and national authorities to identify needs in the sector that considers multiple dimensions of resource governance, including the enabling policies and laws, integrated coastal and water resources management, incentives to promote resource stewardship, spatial land and marine planning, land and sea tenure or access rights, and sound management at the seascape/landscape scale. • Build and leverage champions and constituencies strategies that encourage stewardship, fair trade, and long-term productivity.
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• Reform fisheries by the using co-management, community-based management, rights-based approaches, voluntary certification and codes of conduct, and proper economic incentives, including secure tenure and property rights to address the governance of common property resources. • Ensure that a framework is in place to establish and adopt management plans that are based on sound science, considers all stakeholders (including women and indigenous rights), and are based on a “systems approach” that maintains the integrity and health of ecosystems.
• Consider large-scale landscape and seascape planning and zoning for specific uses and user groups.
BEST MANAGEMENT PRACTICES FOR AQUACULTURE GENERAL GUIDELINES FOR SITE SELECTION FOR AQUACULTURE Proper site selection is critical to successful aquaculture projects. A poor site will not only make an aquaculture project more difficult to manage, but it may also destroy critical natural habitats, spread disease and contaminate freshwater sources. Use the following general guidelines for selecting a suitable aquaculture site: • Maintain adequate distance from other fish farming enterprises, natural spawning runs, restricted areas (national parks, world heritage areas, conservation areas) and sensitive ecosystems (including swamps, mangroves, mud flats, intertidal areas, bays, lakes, rivers, coral reefs, sea grass meadows, and shellfish beds).
• Choose sites with adequate wave, current, and tidal patterns. areas of high currents will minimize waste accumulation through hydrodynamic dispersal. lower levels of waste allow excess nutrients to be more easily assimilated into the local food web. currents and tides also help replenish anoxic water with oxygen-rich water from surrounding areas. rotting vegetation in a water body is an indicator of stagnant water and should be avoided. remember to check for seasonal water variations.
• Do not use sites with incompatible users, such as riverbed sand extraction operations, harbors, sewage outfalls, oil platforms, shipping lanes, tanneries, sugar refineries and distilleries, or palm oil processing plants. do not use sites polluted with chemicals, pesticides or heavy metals.
• Choose sites that are near wild stock populations. avoid introducing non-native or exotic fish species into a body of water. remember to consider predator populations, existing ecosystem relationships and pathogen concentrations. OTHER GENERAL GUIDELINES FOR AQUACULTURE • Use hatchery stock where possible. • Use non-native species only where escape is impossible or where survival and reproduction under local conditions is impossible (i.e., the species is not well adapted to the local environment). • Use palatable feed with high utilization rates and low waste. Use feed of the appropriate size for the age of the stock. Feed often and at low levels to minimize waste. Distribute feed evenly.
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• Use pathogen-free stock. If necessary, quarantine and provide treatment. • Use drugs or pesticides only as needed during a disease outbreak, not on a routine preventive basis. Delay harvest of treated stock and delay discharge of treated water until the drug or pesticide has degraded fully. • Apply Integrated Pest Management (IPM) to the aquaculture program. Aquaculture combined with rice production enables a farmer to grow two crops on the same land. The fish will consume algae and Women and children seining for fingerlings with weeds, fertilize the water, traditional fishtraps, near Malambanyama, Chibombo and improve soil texture. District, Zambia. Aquaculture in irrigation channels will control algae and weeds. SPECIFIC GUIDANCE FOR POND AQUACULTURE SITING PONDS • Locate ponds where they do not cause a loss of habitats such as mangroves, wetlands, lagoons, rivers, inlets, bays, estuaries, swamps, marshes or high wildlife-use areas. Situate ponds away from tidal areas subject to flooding. • Choose sites with good soil, preferably clay-loam or sandy-clay, that will retain water and be suitable for building dikes. Soil should be alkaline (having a pH of 7 and above) to prevent problems that result from acid-sulphate soils (e.g., poor fertilizer response; low natural food production and slow growth of culture species; probable fish kills). Acidic and organic soils (e.g., high in humus or compost) are not suitable. • Areas with slight (one meter or less) or no tidal fluctuations, as are common in Latin America and Asia, cannot be properly drained or filled through reliance on tidal fluctuations, and will often need to have a pump system installed instead. For saline brackish ponds with moderate (between two and three meters) tidal fluctuation, as occurs in many parts of Africa, choose land with average elevation to enable ordinary high tides and ordinary low tides to filter, renew, and drain water. Sites with tidal fluctuations above four meters require very large, expensive dikes to prevent flooding during high tide. • Provide a buffer zone for areas near riverbanks and coastal shores that are exposed to wave action.
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• Ensure that the area has a steady supply of water, in adequate quantities throughout the year. Consider how climate change may impact the availability of water over the time period for which the pond is expected to function. Water supply should be pollution-free and with a pH of 7.8 to 8.5. Designing Ponds • Design to prevent storm and flood damage that could cause overflow discharges. Take into account future changes in the size and frequency of storms due to climate change. • Provide settling ponds for the effluent, and also for water intake, if the water supply has high sediment loads. • Ensure that pond depth is shallow enough to prevent stratification (potentially dangerous layering of the pond water into a warmer upper layer and a cooler, dense, oxygen-poor lower layer). If not, include a means of providing aeration or other destratifying mechanisms. • Include reservoirs for water storage and treatment. • Isolate supply and effluent canals as far as possible from each other, and from other farms. • Where possible, use a closed or re-circulating system with treatment; do not use more than small amounts of fresh water to top off the pond. Constructing Ponds • Line bottoms and sides of ponds, levees and canals with impervious material to prevent seepage into surrounding soils and groundwater. • Construct stormwater bypasses around the area of the ponds. • Dig ponds deep enough to control weed growth. • Minimize sediment erosion by: • Using gradual slopes in construction; • Planting vegetation on the surfaces of slopes; • Compacting and lining the banks; and • Making discharge channels large enough to handle peak loads without scouring. • Construct wetlands to treat the settling pond water from freshwater ponds. Operating Ponds
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• Operate ponds so that they do not cause a loss of, or damage to, habitats, including mangroves, lagoons, rivers, inlets, bays, estuaries, swamps, INVASIVE SPECIES: NILE marshes and other wetlands, high wildlife use areas, PERCH reefs, parks, ecological reserves, or fishing grounds. Alien species introduced into African water bodies have • Screen pond entrances and exits to keep fish stock adversely affected native in and other animals out. populations. The Nile perch (Lates • Discharge saline ponds into deep water with high nilotica), introduced into Lake currents. Discharging saline water into intertidal Victoria 30 years ago to stimulate zones is not acceptable. the fisheries of Uganda, Kenya and Tanzania, is now dominant in the • Prevent erosion by leaving sediment, unless lake and believed to be responsible removal is absolutely necessary. for the decline or loss of more than • Keep freshwater use to a minimum in brackish or 200 native fish species. Water saline ponds. hyacinth (Eichornia crassipes) has spread to freshwater bodies across Monitoring and Controlling Ponds Africa, including Lake Victoria and • Maintain water quality with aeration, sustainable Lake Kariba, blocking water stocking rates and controlled feeding rates, not with channels, altering hydrological water exchange (replacing old pond water with clean regimes and leaving surrounding water). areas prone to increased flooding • Treat effluent in settling ponds with filter feeders, and pass settling pond water from freshwater ponds through a constructed wetland before discharge. • Use the effluent as liquid fertilizer on crops, particularly forage crops where bare ground is minimal. • Monitor and control effluents before discharging to meet water quality standards for turbidity, suspended solids, biological oxygen demand (BOD), pH, dissolved oxygen (DO), ammonia, nitrate, nitrite, disease organisms and pesticides. In freshwater ponds, monitor and control phosphorus. • Alternate freshwater ponds, where possible, and allow ponds to dry out, lie fallow, or grow a crop to reduce the need for sludge and nutrient removal. • Plow non-saline sludge into agricultural lands that are not susceptible to runoff and leaching. • Avoid discharge of saline ponds into freshwater habitats. SPECIFIC GUIDANCE FOR NET PEN AQUACULTURE SITING NET PENS • Locate all open-net pens in highly flushed, deep-water sites with no tidal reversals. • Site net pens at least one km from the mouths of streams or rivers when using fish that travel upstream to spawn. • Site net pens downstream of recreational areas, marine parks, fishing grounds, shellfish beds used for commercial or recreational harvest or other sensitive areas. Constructing Net Pens
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• Construct all net pens to prevent breakup of facilities and loss of stock, wastes, feed or supplies even in severe weather conditions. • Keep boats from discharging sewage into the water by: • Constructing a shore facility with a proper septic system and drain field, tanks and pump- out or a small treatment plant, where conditions are suitable; and • Using holding tanks and a pump-out boat to empty the tanks at regular intervals. Operating Net Pens • Maintain sufficient storage capacity to handle even large, catastrophic fish kills caused by algal blooms or disease epidemics. • Provide adequate safe storage, with secondary containment, for drugs, fuels, solvents and toxic materials. Locate this storage on shore. Monitoring and Controlling Net Pens • Place a bag or other container around all net pens to isolate diseased fish. The bag should be impermeable and capture all fish wastes. Arrange to treat and neutralize bag water or wastewater before discharge. • Collect and dispose of waste feed and feces from bagged or contained pens as compost. • Collect and dispose of waste floatables, scum and oils from bagged or contained pens with other compost in a suitable facility. • Collect and dispose of unmarketable fish, blood and guts:
o with other compost in a suitable facility, o by sending it to a rendering plant, or o by sending it to a properly operated landfill. • Avoid discharges near or upstream of recreational areas, marine parks, fishing grounds, shellfish beds used for commercial or recreational harvest, or other sensitive areas.
MITIGATION AND MONITORING ISSUES
FACTORS AFFECTING AQUACULTURE PROJECT SUCCESS Field studies of small-scale fishponds in Zimbabwe and Zambia have shown a large number of project failures and pond abandonments. Many of the management and design factors that caused these operations to fail also add to environmental and climatic challenges to the project. These lessons can be applied across other parts of the world.
PRIORITIES Many farmers choose to dig fishponds with encouragement from development agencies as a solution to protein needs and livelihood investment, but they have misconceptions that the project will bring immediate benefits. Such farmers may be discouraged from continuing fish farming in the face of maintenance problems and/or lack of short-term economic returns. Moreover, development organizations and agencies often structure projects around false assumptions, including:
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• Assuming members of fish farming households have equal authority in making decisions; • Assuming farmers frequently weigh costs, benefits, and risks; and • Assuming fish production is the farmer’s primary concern. When these assumptions are not valid, the farmers may not be able to resolve management and operational problems and will discontinue fish farming. ENVIRONMENTAL FACTORS Projects may fail due to uncontrollable environmental disasters, such as droughts and floods. Also, if water temperatures are too low, fish may not grow to adequate size in time for harvesting, or stocks may die if oxygen exchange rates are low and the water becomes anoxic. BIOLOGICAL FACTORS Farmers may experience problems maintaining adequate stocking and survival rates due to predation, slow development, or inadequate food supplies. . FINANCIAL FACTORS The project may not generate adequate or rapid enough financial return, especially in systems requiring inputs of fish feed. External factors like political unrest may disrupt access to distant markets—which may be necessary for securing supplies or selling produced fish. Unrest as well may lead to periods where ponds on not maintained, and therefore, there is a financial and labor barrier to reentering the market once stability returns (i.e., pond cleaning, fixing berms, restocking, water supply). Also, competition from capture fisheries may decrease prices and prevent a project from reaching profitability. SOCIAL FACTORS Theft of tools and stocks can jeopardize project success and reduce individual and community enthusiasm for aquaculture. ADMINISTRATIVE FACTORS Extensive bureaucracy and poor communications between farmers and project supporters may generate distrust or apathy and result in project failure. Poor information exchange, lack of extension services and lack of contingency planning can each be fatal blows to a fishpond project. EXTERNAL ENVIRONMENTAL CONDITIONS AFFECTING PROJECT SUCCESS Even with good management and design, fisheries projects are still at risk from external environmental conditions which can prevent project success. Types of trauma include: NON-NATIVE OR EXOTIC SPECIES Tightening controls on importation of animals and plants will help prevent introduction of non- native or exotic species that may compete with natural fish populations or food sources for extensive aquaculture projects. This policy, however, requires allocating resources to police borders and entry points, and to enforce fines for breach of regulations; such resources may not be available. Methods of control of alien plants include physical removal by hand, use of machinery, or biological control. The latter technique can contain alien populations with fewer environmental impacts but is a more lengthy and risky process because control organisms must themselves be rigorously tested for adverse impacts before their release into the environment.
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Removal by chemicals, particularly use of herbicides, is a widely used management method that can also be effective in controlling invasive species. This method is fast-acting and relatively inexpensive, but must be implemented with caution, as over-use or improper use of herbicides can cause herbicide resistance, impacts on native species, pollution, and human health problems.18 POLLUTION Fish life cycles can be adversely affected by pollution from industries (including the fish processing industry), human wastewater, nutrient loading and pesticides from agricultural runoff, water body acidification from vehicle and power station emissions, dredging, reclamation, sedimentation, dams, river channel modifications, and alteration of freshwater drainage. Pollutants, including heavy metals, pesticides and radioactive wastes, will bioaccumulate in fish and mollusk populations. Nutrient loading of a water body can best be mitigated at the source—for example, by treating human effluent and capturing agricultural runoff. Early-warning networks can monitor for toxic algal blooms caused by excessive nutrient enrichment of water bodies. Instead of closing water bodies during periods of seasonal contamination from metals or hazardous wastes, mollusks can be grown in polluted water and then purged in clean water sources before processing or sale. Encouraging vegetative ground cover to prevent runoff, along with active techniques like flushing and dredging the water body, can help mitigate pollution from sedimentation. HABITAT DESTRUCTION The relative success of capture fishing and conducting extensive aquaculture projects is dependent on sustaining high-quality ecosystems. This is because these ecosystems provide hatcheries, food sources, and water purification services important to fish. Fishery resources are damaged when: • Aquatic habitats are destroyed or fragmented; • Bodies of water are impounded (dammed) or channeled; • Too much water is drawn or diverted; or • Soil erosion causes excess sedimentation in fish habitats. Controlling damaging activities such as pollution, sedimentation, and over-fishing can help mitigate habitat destruction. Certain aquatic habitats such as mangrove swamps and coral reefs are ecologically and economically important and are particularly threatened by development, destructive fishing practices such as dynamite and chemical fishing, and sediment runoff from deforestation, anchor damage, dredging, and manipulation of natural river, lake, and flood plain characteristics. Replanting denuded areas can often restore mangrove habitats, however coral reefs are more difficult to restore and are highly sensitive to environmental stress. Thus, it is crucial to monitor these ecosystems for changes in temperature, sedimentation, nutrient loading, storm damage and toxins.
18 Adapted from Managing Invasive Plants: Concepts, Principles, and Practices. U.S. Fish and Wildlife Service. 2009. http://www.fws.gov/invasives/staffTrainingModule/methods/chemical/introduction.html
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MITIGATION AND MONITORING ISSUES
ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES All Fisheries
Pollution (bioaccumulation or Mollusk, capture Aquatic organisms are particularly vulnerable to biocides, leachates, as waste from project fisheries, aquaculture pesticides. Larger fish species are also prone to bioaccumulate heavy activities) metals in their tissue, • Monitor water conditions closely for contaminants. • Survey location surrounding project sites for sources of pollution (e.g., upstream tanneries, agricultural fields, etc). • Reduce sources of pollution, and where reduction is not sufficient, set up physical barriers to pollution. • Promote regulations and community oversight to limit and monitor discharge into the environment • Bivalves themselves, can be used as bioremediation for heavy metal contamination (not for consumptive use) and act as carbon sinks.
Capture Fisheries
Design/ Over-harvesting Capture fisheries • Set minimum size limit for harvested fish. Operations • Use bag limits. • Use appropriate fishing gear. Choose the largest possible size of mesh in fishing nets. • Close seasons during critical stages in fish life cycles.
By-catch (catching fish and Capture fisheries • Use mesh sizes that allow small and juvenile fish to escape. other aquatic animals that are • Use a square mesh, or a mesh with square windows, instead of a too small or of the wrong diamond-shaped mesh. species)
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ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES • (Diamond-shaped mesh constricts during towing.) Use a by-catch reduction device to allow large animals to escape from nets.
Use of hazardous substances Capture fisheries Educate fishermen about the long-term environmental and economic and techniques damage from using cyanide or dynamite on ecosystems.
Aquaculture
Site Selection Loss of mangrove habitat General • Always leave the most productive mangrove stands intact. • Use already cleared land whenever possible. Reuse existing ponds before creating new ones. • Site ponds on the landward side of the mangroves; leave the seaward side undisturbed. • Ponds should have a small surface area (footprint) relative to total mangrove area.
• Ponds should be spaced well apart. Site Selection Loss of mangrove habitat General (continued) • (continued) (continued) Mangroves should be retained and replanted in the middle, or on the banks, of ponds.
Lack of adequate water Finfish • Avoid shallow areas and areas with aquatic vegetation. supply and circulation • Place units in an area with a good current flowing through it. The action of the current helps water move through the cage system, removing metabolites and replenishing oxygen. • Depending on the direction of prevailing winds and currents, orient the cages to prevent debris from collecting between them.
Design Nutrient loading General Filter feeders—organisms that strain their food out of the water— improve water quality by consuming plankton and preventing eutrophication. Consider growing mollusks or seaweeds in conjunction with other species, to reduce nutrient loading.
Impacts to pond floor Mollusk Culture Use off-bottom systems such as rafts and lines.
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ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES
Erosion of ponds General • Plan for seasonal constraints. • Use settling ponds or other control structures.
Disease prevention Finfish Locate cages where disturbances from people and animals can be minimized.
Control of dissolved oxygen Mollusk Do not seed mollusks too closely together or they will generate anoxic supply conditions (i.e., remove all oxygen from the water).
Construction Erosion General Minimize disturbance of soil and vegetation.
Seepage into ground and General Build ponds on soils with adequate clay content. surface waters
Operations Overfeeding General • Use high-quality feed. • Feed the right amounts at the right time. • Use feed pellets designed to float longer in the water column. • Instead of fishmeal, use meals made from terrestrial animal byproducts, plant oilseeds and grain legumes; from yeast; or from cereal byproducts.
Finfish Consider culturing herbivorous fish that do not require feed inputs.
Overcrowding General Use lower stocking densities.
Disease prevention General • Stock certified pathogen-free fish. • Use lower stocking densities. • Vaccinate fish. • Isolate diseased fish in bags, rather than nets. • Allow net pens to sit fallow between stockings. • Apply IPM. • Filter or ozonate the effluent from pond and recirculating tank systems.
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ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES
Finfish • Avoid unnecessary or excessive handling of fish; this will minimize stress and prevent disease. • Avoid unnecessary disturbance of the fish by restricting activities around the cage site. • Promptly remove diseased and dying fish. • During disease outbreaks, retain aquaculture effluent to prevent disease from spreading to wild populations.
Shrimp Consider treating influent water supply (for example, with chlorine) to eliminate pathogens and carriers; this may reduce disease incidence and associated use of chemicals.
Operations Excess of organic nutrients General • Treat aquaculture and human wastes according to sanitation (continued) guidelines. • Use polyculture (e.g., raising several species, including at least one herbivorous species) to consume excess nutrients. • Do not discharge nutrient-enriched water into freshwater bodies.
Finfish • Move fish pens to different locations periodically to prevent buildup of fish wastes and sediments below cages. • Manage fish wastes through bag systems, fallowing, vacuuming or harrowing.
Shrimp • Avoid frequent draining of shrimp ponds in order to allow microbial processes and deposition to remove nutrients and organic matter from within. This will also conserve freshwater. • Use aeration and water circulation to break down organic matter and minimize anaerobic sediment accumulation at the bottom of shrimp ponds. Aeration may also remove ammonia. • Use settling ponds to treat suspended solids. • Always settle effluents released at the time of harvest.
Inadequate dissolved oxygen General Use seaweed to oxygenate the water and to improve water quality by supply removing ammonia and phosphorus.
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ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES
Adverse impacts from use of General • Use IPM or polyculture to control weeds. anti-fouling chemicals • Construct deeper ponds. • Consider use of less-toxic alternatives to hazardous products. • Designate areas for storage and refueling. Apply chemicals with proper containment away from watercourses or wetlands. • Prepare an Emergency Spill Response Plan. • Contain spills and treat contaminated soil and water as required.
Operations Erosion General • Consult extended-range weather forecasts. (continued) • Predetermine shutdown criteria for bad weather conditions. • Maintain vegetated buffer zones. • Stabilize disturbed areas as soon as possible. • Monitor sediment in water and treat as required prior to release.
Predation (wild animals eating General • Use properly tensioned netpen lines and thick ropes to avoid aquaculture fish) entanglement from birds or aquatic animals. • Use double nets to reduce predation. • Rotate deterrence techniques to give predators less opportunity to get used to a particular technique.
Finfish • Place protective netting on the sides and tops of cages to protect fish from bird and mammal predation. • Place the nets as far from the cages as possible, and weight them to prevent them from being pushed together by water movement. • Choose a size of net mesh that will prevent birds from becoming entangled.
Birds • Eliminate safe roosting and perching places; • Place the containment units deeper below the surface of the water to reduce the attraction of surface-feeding birds such as gulls; • Move young/small stock to an area where they are less accessible to predatory birds;
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ACTIVITY PROBLEM APPLICABILITY MITIGATION TECHNIQUES • Place nets above cages to keep birds off; • Adjust top nets so they do not sag under the weight of preying birds, enabling them to more easily reach the fish; • Use brightly colored nets to reduce the likelihood of birds accidentally swimming into nets.
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RESOURCES AND REFERENCES
REFERENCES • Aguilar-Manjarrez, J. and S.S. Nath (1998). A Strategic Reassessment of Fish Farming Potential in Africa. CIFA Technical Paper No. 32. Rome, FAO. 170p. http://www.fao.org/docrep/W8522e/W8522E00.htm
• Baluyut, Elvira (1989). Aquaculture Systems and Practices: A Selected Review. Published by the United Nations Development Programme and the Food and Agriculture Organization of the United Nations. Rome. http://www.fao.org/docrep/T8598E/t8598e00.htm
• CIDA (1990). Summary version of UNEP Environmental Guidelines for Fish Farming.
• Emerson, Craig 1999. Aquaculture Impacts on the Environment. Hot Topics Series, Cambridge Scientific Abstracts. December. http://www.csa.com/discoveryguides/aquacult/overview.php
• Environment Canada (2001). Environmental Assessment of Marine Finfish Aquaculture Projects: Guidelines for Consideration of Environment Canada Expertise. Environmental Assessment Section, Pollution Prevention Division, EnvironAguilar-Manjarrez, J. and S.S. Nath (1998). A Strategic Reassessment of Fish Farming Potential in Africa. CIFA Technical Paper No. 32. Rome, FAO. 170p. http://www.fao.org/docrep/W8522e/W8522E00.htm
• Baluyut, Elvira (1989). Aquaculture Systems and Practices: A Selected Review. Published by the United Nations Development Programme and the Food and Agriculture Organization of the United Nations. Rome. http://www.fao.org/docrep/T8598E/t8598e00.htm
• CIDA (1990). Summary version of UNEP Environmental Guidelines for Fish Farming.
• Coastal Resources Center. (2015). Ba Nafaa: Gambia-Senegal Sustainable Fisheries Project. http://www.crc.uri.edu/projects_page/gambia-senegal-sustainable-fisheries-project- usaidba-nafaa/
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• Emerson, Craig 1999. Aquaculture Impacts on the Environment. Hot Topics Series, Cambridge Scientific Abstracts. December. http://www.csa.com/discoveryguides/aquacult/overview.php?SID=aabopp1itfnm02q58sb2rg 4jf0l
• Environment Canada (2001). Environmental Assessment of Marine Finfish Aquaculture Projects: Guidelines for Consideration of Environment Canada Expertise. Environmental Assessment Section, Pollution Prevention Division, Environmental Protection Branch, Environment Canada, Atlantic Region.
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• FAO, 2000. Small Ponds Make a Big Difference: Integrating Fish with Crop and Livestock Farming. Produced by the Farm Management and Production Economics Service and the Inland Water Resources and Aquaculture Service. http://www.fao.org/docrep/003/x7156e/x7156e00.htm
• FAO (2011). Fishery and Aquaculture Statistics: 1961–2007 fish and fishery products: world apparent consumption statistics based on food balance sheets. Food and Agriculture Organization of the United Nations. ftp://ftp.fao.org/FI/CDrom/CD_yearbook_2009/root/food_balance/yearbook_food_balance.pd f
The document summarizes more than four decades of statistics of apparent consumption of fish and fishery products based on supply/utilization accounts, for 223 countries, six continental aggregates, five economic groups and world totals. Data are given for total and per capita supply in live weight on a yearly basis. Indicative nutritional values in terms of animal and total proteins are also provided. For 40 major food fish consuming countries, balances are provided for supply in quantities and nutritional factors of eight main groups of species of similar biological characteristics. A section comprising descriptive and analytical graphs supplements the data.Goldburg, Rebecca, M. Elliott and R. Naylor (2001). Marine Aquaculture in the United States. Pew Oceans Commission. http://www.pewtrusts.org/our_work_report_detail.aspx?id=30033 or http://www.pewtrusts.org/uploadedFiles/wwwpewtrustsorg/Reports/Protecting_ocean_lif e/env_pew_oceans_aquaculture.pdf
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• Hishamunda, Nathanael, Maria Thomas et al. (1998). Small-scale Fish Farming in Rwanda: Economic Characteristics. USAID, Pond dynamics/aquaculture collaborative research support program (PD/A CRSP) research report, [no.] 98-124, 1 June, 12 p. Available at: http://pdacrsp.oregonstate.edu/pubs/nops/nops121-125.html
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• IPCC. (2013). Climate Change 2013: The Physical Science Basis. http://ipcc.ch/report/ar5/wg1/.
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The chapter presents globally agreed indicators and goals for biodiversity. The implications for human well-being of not achieving these targets are examined and gaps in achieving internationally agreed goals for biodiversity are identified, so as to frame key messages for the international community.
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Outcome of the International Consultation on Fisheries Policy Research in Developing Countries, jointly organized by International Center for Living Aquatic Resources Management (ICLARM), the International Food Policy Research Institute and the Institute for Fisheries Management and Coastal Community Development, and held 3-5 June 1997 at the North Sea Centre, Hirtshals, Denmark. Forty-two scientists, academicians and policymakers from developing countries, together with representatives from donor and international organizations, contributed to the development of a set of recommendations that include: (1) policy research priorities and an agenda for international and national research initiatives; and (2) guidelines for improving the capacity of developing country institutions in fisheries’ policy research, including enlargement of the scope for collaborative research.
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• Animal Welfare Institute (2012). Blast Fishing. Washington, DC http://awionline.org/content/blast-fishing
• Aquafish Innovation Lab. (accessed May 2015). Feed the Future Innovation Lab for Collaborative Research on Aquaculture & Fisheries. http://aquafishcrsp.oregonstate.edu/ • Armenteras, D., et al. UNEP. Global Environmental Outlook. Chapter 5: Biodiversity. http://www.unep.org/geo/pdfs/geo5/GEO5_report_C5.pdf
• A Roadmap For the Future for Fisheries and Conservation. M.J. Williams, Ed. (1998). ICLARM Conf. Proc. 56, 58 p. ISSN 0115-4435, ISBN 8709-94-0. Available at: http://siris- libraries.si.edu/ipac20/ipac.jsp?uri=full=3100001~!588469!0#focus
These proceedings report on the fisheries session of the Marine and Coastal Workshop convened by IUCN, the World Conservation Union, 17-18 October 1998. The workshop sought to present and review the state of the art in marine and coastal conservation and sustainable development issues, and to discuss and develop directions, priorities and the role of IUCN in addressing these issues. The seven papers in the book discuss views from fisheries, conservation and resource management experts. The consensus expressed is that fisheries conservation is becoming more complex: it was previously the domain of fishers, fisheries managers and scientists, but now multipolar interests are concerned, including fishers and fisheries experts, consumers, local communities, civil society and other economic sectors.
• Code of Conduct for Responsible Fisheries. FAO. Available at: http://www.fao.org/fi/agreem/codecond/ficonde.asp
This code sets out principles and international standards of behavior for responsible practices, with a view to ensuring the effective conservation, management and development of living aquatic resources, with due respect for ecosystems and biodiversity. The code recognizes the nutritional, economic, social, environmental and cultural importance of fisheries, and the interests of all those concerned with the fisheries sector. The code takes into account the biological characteristics of the resources and affected environment. It also addresses the interests of consumers and other users. All those involved in fisheries are encouraged to apply the code and give effect to it.
• Co-management in Small-Scale Fisheries. A Synthesis of Southern and West African Experiences. (1998) Paper presented at IASCP conference in Vancouver, Canada, 9-14 June. In: Fisheries Co-management in Africa. Proceedings from a regional workshop on fisheries co-management research held 18-20 March 1997 in Mangochi, Malawi. [16]. Available at: http://www.ifm.dk/reports/16.PDF
This presentation summarizes the findings from eight African countries where case studies of co-management arrangements in artisanal fisheries were undertaken during the period 1996-97. In most of the cases, co-management represents a new approach to fisheries management. In some cases, it has only been applied within the last 3-5 years, and in a few it is merely being considered as an option. The comparison of cases at this early stage may help address critical issues in the planning and implementation of fisheries co-management in Africa. These include the provision of incentives for fishers and other stakeholders to cooperate among themselves and with government in
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managing fisheries. The level of cooperation is determined by key factors affecting the local politico-historical, biophysical, economic and sociocultural environments of fishing communities and associated fisheries. Incentives for cooperation are determined by the character of the decision-making arrangements in place. These include setting collective choice rules and, in particular, the operational rules for a fishery, and thus the legitimacy of the arrangements in the eyes of the fishers. The co-management approach is intended to replace ineffective conventional, centralized management systems. The differing bio-physical environments seen in the cases represent three ecological systems: lake/reservoir, lagoon/estuary and open coast. In most of the cases only a few fish species are target species. These are often subject to heavy fishing pressure or are already over-fished. In most cases the fishers and their families are totally dependent on the fishery for their livelihood since, with few exceptions, they have no alternative sources of income.
• FAO Fisheries and Aquaculture Department (2012). The State of World Fisheries and Aquaculture. Rome, Italy. http://www.fao.org/docrep/016/i2727e/i2727e.pdf
• FAO Fisheries and Aquaculture Technical Paper (2011). State of World Aquaculture 2010. Rome, Italy. http://www.fao.org/docrep/014/ba0132e/ba0132e.pdf
• FAO Newsroom Focus (August 2003). Aquaculture: not just an export industry. http://www.fao.org/english/newsroom/focus/2003/aquaculture.htm
• FAO Technical Guidelines for Responsible Fisheries (Several Years). FAO, UN, Rome. 40 pp. Available at: http://www.fao.org/fishery/publications/technical-guidelines/en
Topics include:
o Aquaculture development. 6 - Use of wild fishery resources for capture-based aquaculture (2011)
o Aquaculture development. 5- Use of wild fish as feed in aquaculture (2011) o Fisheries management. 4- Marine protected areas and fisheries (2011) o Aquaculture development. 4- Ecosystem approach to aquaculture (2010) o Fisheries management. 2- The ecosystem approach to fisheries. 2.2 The human dimensions of the ecosystem approach to fisheries. (2009)
o Fishing operations. 2- Best practices to reduce incidental catch of seabirds in capture fisheries. (2009)
o Information and knowledge sharing. (2009) o Responsible fish trade. (2009) o Aquaculture development. 3- Genetic resource management. (2008) o Fisheries management. 2- The ecosystem approach to fisheries. 2.1 Best practices in ecosystem modelling for informing an ecosystem approach to fisheries. (2008)
o Fisheries management. 3- Managing fishing capacity. (2008) o Inland Fisheries. 1- Rehabilitation of inland waters for fisheries. (2008)
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o Aquaculture development. 2- Health management for responsible movement of live aquatic animals. (2007)
o Increasing the contribution of small-scale fisheries to poverty alleviation and food security. (2005)
o Fisheries management. 2- The ecosystem approach to fisheries2003Implementation of the International Plan of Action to deter, prevent and eliminate, illegal, unreported and unregulated fishing. (2002)
o Food and Water Watch. Offshore Fish Farming – Top 10 Problems. http://www.foodandwaterwatch.org/fish/fish-farming/offshore/problems/ • "Farming fish the right way". R. Kapadia and M. Williams (2000). ICLARM, USAID. ICLARM Focus for research, 3(2), April, 4 p. USAID order no. PN-ACK-990.
• Fisheries and Aquaculture in Sub-Saharan Africa: Situation and Outlook in 1996 (1996) FAO Fisheries Circular No. 922 FIPP/C922, ISSN 0429-9329. Rome. Available at: http://www.fao.org/docrep/006/w3839e/W3839e00.htm
The contribution of the fisheries sector to the economy of the region has been largely beneficial. Over the last decade, significant progress has taken place including strengthened artisanal fisheries development; the consolidation of a small industrial base; growing export receipts leading to a positive trade balance; and, more recently, indications of a promising takeoff for aquaculture. However, in marine capture fisheries, most bottom-dwelling stocks are thought to be fully exploited, and catches by distant- water nations are steadily decreasing. The immediate potential for increases in production and supply for local markets is primarily with lower-value small pelagics species. Inland fisheries figure importantly in food security, providing over 40 percent of domestic catches.
Freshwater production is close to its estimated potential. Since 1990, per-capita fish supply has followed an alarming downward trend. The major challenge for the fisheries sector will be to maintain production to meet current levels of demand. This will require significant efforts to improve the management of capture fisheries, to support the development of aquaculture, and to promote intra-regional trade.
• Fisheries and Aquaculture Research Planning Needs for Africa and West Asia. J.H. Annala, Ed. (1997). ICLARM Conf. Proc. 50, 80 p. ISSN 0115-4435, ISBN 971-8709-67-3. Available at: http://books.google.com/books?hl=en&id=jR6hTsiGVOoC&dq=Fisheries+and+Aquaculture+ Research+Planning+Needs+for+Africa+and+West+Asia&printsec=frontcover&source=web& ots=rDik6g7Ada&sig=K_MoqTe-wdGfQWvtvZ6Q7mGlCFg&ei=US- TSaqfG83dtgekscjWCw&sa=X&oi= book_result&resnum=1&ct=result
Proceedings of the ICLARM workshop on 23-25 September 1995 in Cairo, Egypt. Discussion of coral reef resource systems; coastal aquatic and inland aquatic resource systems; African Great Lake and reservoir resource systems; social sciences and co- management; and the partnerships between national aquatic research systems and ICLARM in Africa and West Asia.
• Forgotten Waters: Freshwater and Marine Ecosystems in Africa-Strategies for Biodiversity Conservation and Sustainable Development. Caroly A. Shumway USAID (1999), x, 167 p.
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Available at: http://www.uneca.org/awich/FORGOTTEN%20WATERS- FRESHWATER%20AND.pdf
This report provides a primer on Africa's threatened aquatic biodiversity, along with lessons learned from successful and failed conservation projects and options for biodiversity conservation. The report provides an overview of the value of aquatic biodiversity, identifies the biologically and socio-economically most important sites, discusses threats, and recommends activities for urgent conservation action. The report addresses both freshwater and marine biodiversity, covering the following aquatic habitats and their associated flora and fauna: lakes, rivers, and streams; wetlands, including floodplains, freshwater swamps (also known as marais), mangroves, and coastal wetlands; and coral reefs. Associated wildlife include all terrestrial and aquatic organisms whose survival depends on wet habitats. Ocean pelagic areas are addressed briefly. Key recommendations include: improve institutional capacity for aquatic resource management; encourage appropriate economic and sectoral policies; involve the community in aquatic resource conservation and management; support needed research; mimic natural disturbance regimes in order to maintain or restore natural hydrological cycles; assist in establishing critical aquatic resources that can provide both conservation and fisheries benefits; and assist in developing fisheries that are compatible with biodiversity goals. Includes bibliography.
• Jacinto, E.R.; Pomeroy, R.S., 2011. In Pomeroy, R.S.; Andrew, N.L. (eds.). Small-scale fisheries management: frameworks and approaches for the developing world. Cabi, UK. 247 p. http://www.dfid.gov.uk/R4D/PDF/Outputs/WorldFish/WorldFish_publications_alert_v
• Research for the Future Development of Aquaculture in Ghana. M. Prein, J.K. Ofori and C. Lightfoot, eds. (1996). ICLARM Conf. Proc. 42, 94 p. ISSN 0115-4435, ISBN 971-8709-43- 6. Available at: http://ageconsearch.umn.edu/bitstream/44839/2/9789718709436.pdf
Proceedings of a workshop held in Accra, Ghana, 11-13 March 1993, which presented the preliminary results of a project entitled "Research for the Future Development of Aquaculture in Ghana." The project was funded by the Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), and was executed by ICLARM in collaboration with the Institute of Aquatic Biology (IAB), Accra, Ghana. The aim of the project was to determine "what makes sense" for aquaculture development in Ghana, focusing on smallholder farmers.
• Srinivasan, U.T., Cheung, W.W.L., Watson, R. and Sumaila, U.R. (2010). Food security implications of global marine catch losses due to overfishing. Journal of Bioeconomics 12, 183-200 http://www.ecomarres.com/downloads/Thara2.pdf
• Sustainable Aquaculture: Seizing Opportunities to Meet Global Demand (1998). Rural Development Department, The World Bank. Agriculture Technology Notes No. 22, December. Available at: http://www- wds.worldbank.org/external/default/main?pagePK=64193027&piPK=64187937&the SitePK=523679&menuPK=64187510&searchMenuPK=64187283&siteName=WDS&entityI D=000094946_00102805334371
This document reviews the continuing growth and importance of aquaculture globally. According to FAO statistics, 1995 worldwide production from aquaculture represented about 21.3 million tons (19 percent) of the total annual fish production from all sources.
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Aquaculture grew at an annual average rate of 10 percent during the last decade. In contrast, during the same period, the catch of wild fish from both inland and marine waters (capture fisheries) averaged an annual growth rate of less than 2 percent. Moreover, the contribution of aquaculture to human nutrition between 1990 and 1995 increased, while that from capture fisheries declined by about 10 percent. This reversal occurred because an increasing percentage of the wild catch are species of lower value that are being used to produce fishmeal for feed and fertilizer.
• The Ninth International Symposium on Tilapia in Aquaculture. (2011). Conference program, papers, and presentations. http://ag.arizona.edu/azaqua/ista/ISTA9/ISTA9.htm
The ninth of a series of symposia that have brought together tilapia biologists who review the latest discoveries in tilapia nutrition, physiology, reproductive biology, genetics, ecology, improvements in production systems, and other fields related to tilapia and their use in aquaculture. The symposium had a special emphasis on best management practices, quality control, new product forms, international trade, and opening new markets for farmed tilapia products. The symposium included a trade/exhibit show, which provided a forum for industry suppliers, seafood marketers, and the aquaculture press to meet directly with researchers and producers.
• The Review of the Status, Trends, and Issues in Global Fisheries and Aquaculture with Recommendations for USAID Investments. The USAID SPARE Fisheries & Aquaculture Panel. http://pdacrsp.oregonstate.edu/miscellaneous/F%26A_Subsector_Final_Rpt
• Tucker, C.S. and J.A. Hargreaves (eds). 2008. Environmental best management practices for aquaculture. Wiley-Blackwell. Ames, Iowa. 592 pp.
• UN Educational, Scientific, and Cultural Organization, Intergovernmental Oceanographic Commission (2012). Providing options to respond to climate change in West African coastal areas. http://www.unesco.org/new/en/natural-sciences/ioc-oceans/single-view- oceans/news/providing_options_to_respond_to_climate_change_in_coastal_areas/
• USAID. (2003). Review of the Status, Trends and Issues in Global Fisheries and Aquaculture, with Recommendations for USAID Investments. http://pdacrsp.oregonstate.edu/miscellaneous/F%26A_Subsector_Final_Rpt.pdf
• USAID. (2006). Fisheries Opportunity Assessment. http://www.crc.uri.edu/download/Fish_Opp_Assess_Final_012607_508.pdf.
• USAID. 2013. Sustainable fisheries and responsible aquaculture: a guide for USAID staff and partners.
• Van Houtte, A. 2001. Establishing legal, institutional and regulatory framework for aquaculture development and management. In R.P. Subasinghe, et al., eds. Aquaculture in the Third Millennium. Technical Proceedings of the Conference on Aquaculture in the Third Millennium, Bangkok, Thailand, 20-25 February 2000. CLIMATE CHANGE RESOURCES
Note: USAID's Global Climate Change (GCC) Office can provide support on the climate change aspects of this Guideline. To contact the GCC office, please email: [email protected]
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• USAID. 2007. Adapting to Climate Variability and Change: A Guidance Manual for Development Planning. http://pdf.usaid.gov/pdf_docs/PNADJ990.pdf • USAID. 2009. Adapting to Coastal Climate Change: A Guidebook for Development Planners. http://pdf.usaid.gov/pdf_docs/PNADO614.pdf The guidance provides information to assist planners and stakeholders as they cope with a changing climate throughout the project cycle. • IPCC. 2007. Observations: Oceanic Climate Change and Seal Level in: Climate Change 2007: The Physical Science Basis. Contributions of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change. http://www.ipcc.ch/pdf/assessment-report/ar4/wg1/ar4-wg1-chapter5.pdf • Pew Ocean Science Series. 2009. Redistribution of Fish Catch by Climate Change. A Summary of a New Scientific Analysis. http://www.seaaroundus.org/ClimateChange/images/Pew%20OSS%20Final%20climate%20 change%20and%20fisheries.pdf • FAO. 2009. Fisheries and Aquaculture in a Changing Climate. http://www.fao.org/climatechange/17792-0d5738fda3c03582617e6008210ab1e3a.pdf • FAO. 2009. World Review of Fisheries and Aquaculture. ftp://ftp.fao.org/docrep/fao/011/i0250e/i0250e01.pdf • Seafish. 2009. Research & Development Factsheet: Fishing Vessel Fuel Emissions. http://www.seafish.org/media/Publications/FS27_04.09__Fuel_emissions.pdf • FAO. 2009. Final Report: Expert Consultation on GHG emissions and mitigation potentials in the agriculture, forestry and fisheries sectors. http://www.fao.org/climatechange/59239/en/ • National Communications are submitted by countries to the UNFCCC and include information on country context, broad priority development and climate objectives, overviews of key sectors, historic climate conditions, projected changes in the climate and impacts on key sectors, potential priority adaptation measures, limitations, challenges and needs. http://unfccc.int/national_reports/non-annex_i_natcom/items/2979.php
• The World Bank’s Climate Change Knowledge Portal is intended to provide quick and readily accessible climate and climate-related data to policy makers and development practitioners. The site also includes a mapping visualization tool (webGIS) that displays key climate variables and climate-related data. http://sdwebx.worldbank.org/climateportal/
• National climate change policies and plans. Many countries have policies and plans for addressing climate change adaptation.
DOCUMENTS DISPONIBLES EN FRANÇAIS • Manuel en environnement- Ressources complémentaires — Pisciculture
• Outils pour l'identification des effets environnementaux de secteurs d'activités spécifiques, des mesures d'atténuation appropriées et lignes directrices http://www.acdi-cida.gc.ca/acdi- cida/acdi-cida.nsf/fra/EMA-218123621-NNZ
• FAO Directives Techniques pour une Pêche Responsable ftp://ftp.fao.org/docrep/fao/003/w3591f/w3591f00.pdf
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• Directives environnementales, sanitaires et sécuritaires pour l’aquaculture. société financière internationale Avril 2007 http://www1.ifc.org/wps/wcm/connect/8b273f804886581ab426f66a6515bb18/057_Aquacultu re.pdf?MOD=AJPERES
• FAO Directives Techniques pour une Pêche Responsable – 2 http://www.fao.org/docrep/003/w3592f/w3592f00.htm
• Code de conduite canadien sur les pratiques de pêche responsable http://www.dfo- mpo.gc.ca/fm-gp/policies-politiques/cccrfo-cccppr-fra.htm#directrices
• L'aquaculture durable: Lignes directrices pour de meilleures pratiques environnementales http://www.uicnmed.org/web2007/cd_aquaculture/docs/art_sc/guidelines_aquaculture.pdf DOCUMENTOS DISPONIBLES EN ESPAÑOL • FAO Orientaciones Técnicas para la Pesca Responsable - Operaciones Pesqueras – 1 http://www.fao.org/docrep/003/w3591s/w3591s00.htm
• Directrices internacionales para asegurar la pesca sostenible en pequeña escala
• Borrador cero Mayo 2012 ftp://ftp.fao.org/FI/DOCUMENT/ssf/SSF_guidelines/ZeroDraftSSFGuidelines_MAY2012_es. pdf
• Guía sobre medio ambiente, salud y seguridad para la acuicultura cooperacion financiera internacional 30 Abril 2007 http://www1.ifc.org/wps/wcm/connect/8b273f804886581ab426f66a6515bb18/057_Aquacultu re.pdf?MOD=AJPERES
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Cover Photo: A child fetches water at an improved water source in Kimatong, Eastern Equatoria, Southern Sudan. The closer proximity of water resources has enabled families to invest more time in SECTORfood security ENVIRONMENTAL and livelihoods. Earlier, GUIDELINES limited access to water resources created tensions and led to conflict in Upper Nile and other areas of the South. In response, USAID has funded a variety of initiatives designed to reduce the competition over water and increase access to nearby water points. WATERPhotographer Organization: SUPPLY Pact. Photographer: AND Unknown. SANITATION Partial Update 2015 | Last Full Update: Prior to 2003
This document was prepared by The Cadmus Group, Inc. under USAID’s Global Environmental Management Support Program, Contract Number GS-10F-0105J, The contents are the sole responsibility of the authors and do not necessarily reflect the views of USAID or the United States Government. Cover Photo: A child fetches water at an improved water source in Kimatong, Eastern Equatoria, and Southern Sudan. The closer proximity of water resources has enabled families to invest more time in food security and livelihoods. Earlier, limited access to water resources created tensions and led to conflict in Upper Nile and other areas of the South. In response, USAID has funded a variety of initiatives designed to reduce the competition over water and increase access to nearby water points. Photo credit: Pact South Sudan
About this document and the Sector Environmental Guidelines This document presents one sector of the Sector Environmental Guidelines prepared for USAID under the Agency’s Global Environmental Management Support Project (GEMS). All sectors are accessible at www.usaidgems.org/bestPractice.htm. Purpose. The purpose of this document and the Sector Environmental Guidelines overall is to support environmentally sound design and management (ESDM) of common USAID sectoral development activities by providing concise, plain-language information regarding:
• the typical, potential adverse impacts of activities in these sectors;
• how to prevent or otherwise mitigate these impacts, both in the form of general activity design guidance and specific design, construction and operating measures;
• how to minimize vulnerability of activities to climate change; and • more detailed resources for further exploration of these issues. Environmental Compliance Applications. USAID’s mandatory life-of-project environmental procedures require that the potential adverse impacts of USAID-funded and managed activities be assessed prior to implementation via the Environmental Impact Assessment (EIA) process defined by 22 CFR 216 (Reg. 216). They also require that the environmental management/mitigation measures (“conditions”) identified by this process be written into award documents, implemented over life of project, and monitored for compliance and sufficiency. The procedures are USAID’s principal mechanism to assure ESDM of USAID-funded Activities—and thus to protect environmental resources, ecosystems, and the health and livelihoods of beneficiaries and other groups. They strengthen development outcomes and help safeguard the good name and reputation of USAID. The Sector Environmental Guidelines directly support environmental compliance by providing: information essential to assessing the potential impacts of activities, and to the identification and detailed design of appropriate mitigation and monitoring measures. However, the Sector Environmental Guidelines are not specific to USAID’s environmental procedures. They are generally written, and are intended to support ESDM of these activities by all actors, regardless of the specific environmental requirements, regulations, or processes that apply, if any. Region-Specific Guidelines Superseded. The Sector Environmental Guidelines replace the following region- specific guidance: (1) Environmental Guidelines for Small Scale Activities in Africa ; (2) Environmental Guidelines for Development Activities in Latin America and the Caribbean; and (3) Asia/Middle East: Sectoral Environmental Guidelines. With the exception of some more recent Africa sectors, all were developed over 1999–2004. Development Process & Limitations. In developing this document, regional-specific content in these predecessor guidelines has been retained. Statistics have been updated, and references verified and some new references added. However, this document is not the result of a comprehensive technical update. Further, The Guidelines are not a substitute for detailed sources of technical information or design manuals. Users are expected to refer to the accompanying list of references for additional information. Comments and corrections. Each sector of these guidelines is a work in progress. Comments, corrections, and suggested additions are welcome. Email: [email protected].
Advisory. The Guidelines are advisory only. They are not official USAID regulatory guidance or policy. Following the practices and approaches outlined in the Guidelines does not necessarily assure compliance with USAID Environmental Procedures or host country environmental requirements.
CONTENTS
SECTOR OVERVIEW ...... 1 CLIMATE CHANGE ...... 3 POTENTIAL ENVIRONMENTAL IMPACTS OF WATER AND SANITATION ACTIVITIES ...... 4 CLIMATE CHANGE ...... 8 ESDM OF ACTIVITIES & PROGRAMS: BEST PRACTICES ...... 10 RESOURCES AND REFERENCES...... 25
WATER SUPPLY AND SANITATION
Good sanitation and hygiene practices are key to preventing contamination of water resources. At the same time, good facilities and practices provide few health benefits if the water resource remains contaminated. Therefore, water supply and sanitation projects and hygiene promotion should be viewed as interdependent activities.
USAID's Environmental Services Program (ESP) has helped local activists to provide clean water, recycling and proper sanitation services to Indonesian communities. Photographer: Roman Woronowycz
SECTOR OVERVIEW
ADEQUATE, SAFE WATER: A BASIC NEED To remain healthy, human beings need an adequate, year-round supply of good quality water. Many debilitating or even fatal illnesses are spread by contamination of the water supply by human fecal matter containing disease-causing viruses, bacteria, and parasites. Unfortunately, nearly 2.5 billion people, over one-third of the world’s population, have inadequate access to sanitation and approximately 800 million people do not have access to enough drinking water.1 These conditions, combined with poor hygiene, are largely responsible for the fact that 50 percent of the world’s population suffers from debilitating diarrheal diseases (e.g., typhoid, cholera, dysentery) at any given time. Of those affected, over 2 million die each year.2 Each year polluted water affects the health of 1.2 billion people and contributes to the death of 1.5 million children under age five every year. Vector-borne diseases, such as malaria, kill another 1 to 3 million people per year, inadequate water management being a key cause of such diseases.3 In Africa alone, over 300 million people lack either sanitation or adequate water, and frequently both, and the Asia-Pacific region is by no means exempt from this problem. Indeed, of the global population without access to
1 UNICEF. Clean Water Campaign. 2013. http://www.unicefusa.org/work/water/ 2 WHO. Water-Related Diseases. 2013. http://www.who.int/water_sanitation_health/diseases/diarrhoea/en/ 3 The Carter Center. Disease considered as candidates for global eradication by the International Task Force for Disease. Updated 2008. http://www.cartercenter.org/resources/pdfs/news/health_publications/itfde/updated_disease_candidate_table.pdf
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improved sanitation or water supply, most live in Asia. In West Asia, water-borne diseases, especially diarrhea, are second only to respiratory diseases as a cause of mortality and morbidity in the region. Women and children bear much of the brunt of unsafe water and water shortages. Children are the group most likely to become ill from poor water, and women are the primary caregivers for ill family members. Women and girls also carry out most water collection, often spending long hours doing so. Involving women as well as the community as a whole in small-scale water supply and sanitation improvement projects can lead to more sustainable sanitation systems (see The YACUPAJ Project below).
The YACUPAJ project: community participation promotes sanitation The YACUPAJ project in Bolivia (1991–94), which focused on small-scale water supply and sanitation improvements, integrated many of the features analysts have found in successful sustainable projects: • Respond to demand. To participate in the project, communities had to ask to participate. The first stage of the project in every community was to strengthen and expand this demand through a coordinated education and demonstration program. • Community management. Community members took part in managing the entire project. They defined their needs, set the level of participation, chose the project type, and shared costs. • Involve women. Steps were taken to engage women as active participants in every stage of the project. • Install appropriate technology. Facilities were simple, low-cost, and easily maintained by users. • Local construction and maintenance. Family or community personnel constructed household latrines. Local masons were trained in latrine construction and as hygiene promoters. • Promote hygiene. Hygiene was promoted through education and training. Promotion was identified as a key activity for ensuring effective and sustained use of the services. • Monitor sustainability. State and private institutions remained involved after the project ended to monitor sustainability. The results. Communities provided over 50% of the funding, even though they were the poorest in the country. A sustainability study of the community in 1995 showed 82% of latrines still in use. Trained masons continue to build latrines with direct responsibility to client families and no external support. Attitudes toward latrine use have improved dramatically. See Soto (1998).
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WATER SUPPLY, Representative small-scale water and sanitation SANITATION AND activities/technologies HYGIENE ARE Water sources CLOSELY RELATED • Pond and spring improvements Good sanitation and hygiene practices • Hand-dug wells are essential to prevent contamination of water resources. At the same time, good • Small-diameter boreholes hygiene practices and sanitation facilities • Wells with hand pumps provide few health benefits if water • Roof rainwater catchments resources remain contaminated. • Small dams and seasonal impoundments Therefore, water supply and sanitation • Rivers and streams projects and hygiene promotion should be viewed as interdependent activities. Water distribution Implementing them together leads to the • Simple spring-fed gravity feed water distribution greatest health benefit and is considered systems a best practice in the sector. • Well or surface water source pump with storage tank Over the past three decades, experience and piped distribution to standposts or individual has shown that water and sanitation yard taps or connections, activities are most effective and • Extensions of existing urban water lines into sustainable when they adopt a unserved or under-served peri-urban zones participatory approach that (1) acts in response to genuine demand, (2) builds Water use points capacity for operation and maintenance • Showers and sharing of costs, (3) involves • Clothes-washing basins community members directly in all key • Cattle troughs decisions, (4) cultivates a sense of • Hand washing taps communal ownership of the project, and (5) uses appropriate technology that can Individual or community latrines be maintained at the village level. Also • Ventilated improved pit (VIP) important are educational and • Composting latrines participatory efforts to encourage sustainable behavioral practices. • Dehydrating latrines • Pour-flush latrines • Simple pit with or without cover CLIMATE CHANGE Sewerage Global climate change is resulting in • Small-scale septic and leach field systems changes in temperatures, rainfall • Settled and simplified sewers patterns, sea levels, and extreme weather • Water stabilization ponds events that are putting stress on many • Constructed wetlands communities and challenging • Water borne sewage to primary/secondary treatment development efforts. It is becoming more difficult to predict future climate based • Ecological sanitation (urine diverting toilets, on historical baseline conditions or arborloo latrines) trends. This uncertainty is increasing project design risks and community vulnerabilities. In response, project designers should now include a focus on climate change adaptation — defined as adjustment to natural or human systems in response to actual or expected climate change effects Successful water and sanitation
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projects include efforts to moderate climate-related risks and vulnerabilities and to take advantage of potential benefits to improve the likelihood of long-term project success. At the same time, project design should assess the potential contribution of a proposed project to greenhouse gas emissions, and reduce contributions by selecting from cost-effective strategies and actions that minimize these emissions. This Guideline provides information on the relationship between climate change and water and sanitation activities. Taken individually, impacts of small activities may appear minimal, but collectively, their scale and magnitude can have far reaching effects on human health and life-sustaining natural systems.
Those involved in water and sanitation projects need to take adequate account of the associated uncertainties around climate change and plan for robustness through adaptive management. Climate change scenarios can provide an envelope of possible future conditions, but they are not precise forecasts. Risk management frameworks can be used to understand the implications of uncertainties about climate change impacts when informing planning, investment and operation decisions.
POTENTIAL ENVIRONMENTAL IMPACTS OF WATER AND SANITATION ACTIVITIES
While water and sanitation projects are intended to improve environmental and public health (and provide numerous other benefits), when managed ineffectively they may cause adverse impacts that can offset or eliminate the intended benefits. Below is a discussion of potential adverse impacts from mismanaged projects. INCREASED MORBIDITY AND MORTALITY Water supply and sanitation projects may cause increased incidence of infectious water-borne diseases such as cholera, non-infectious disease such as arsenic poisoning, and water-enabled diseases such as malaria, schistosomiasis4 or bilharzia.5 Poor design, operation and/or maintenance of water supply improvements can lead to pools of stagnant water near water taps, water pipes and storage tanks. Improper or ineffective practices for disposing of excreta and solid waste can exacerbate this problem. Stagnant water pools form an excellent breeding place for disease vectors (mosquitoes that carry malaria, etc.). They can also increase transmission of water-related diseases, especially when the wet spots are clogged or contaminated with solid waste or excreta. • Contamination of surface and groundwater supplies with infectious organisms from human excreta is especially serious. Contamination may be caused by poorly designed, operated or maintained sanitation facilities. • Infectious diseases may also be spread by improper use of wastewater to grow food crops. • Failure to test new sources of water, especially groundwater, for possible natural or industrial chemical contaminants, such as arsenic, mercury, fluoride and nitrate, can lead to serious health problems.
4 An infection acquired from water infested with larval forms of parasitic blood flukes, or schistosomes http://www.who.int/schistosomiasis/en/ 5 A parasitic infection by flatworm or fluke larvae that penetrate the human skill and cause inflammation http://www.bbc.co.uk/health/physical_health/conditions/bilharzia1.shtml
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The well near Tamale, Ghana (above) and the hand pump well in Pakistan (above right) have poor drainage and thus significant potential for adverse health impacts. Possible impacts of stagnant water include increase in vector-borne diseases and soil erosion/sedimentation.
DEGRADATION TO ECOSYSTEMS Adverse impacts to ecosystems can arise from water diversion, construction or decommissioning activities in or near a watercourse, or from fecal contamination of water. Numerous impacts on ecosystems are possible: • Construction of facilities in sensitive areas (wetlands, estuaries, etc.) can destroy flora or fauna or their habitats, leading to loss of biodiversity, reduction of economic productivity and loss of aesthetics and recreational value. • Improperly designed water-supply projects can also deplete fresh water, erode soil from pipe leakage, or create poor drainage at taps. Increased consumption of water can reduce water flows and cause loss of habitat, wetlands and wildlife downstream. Soil erosion may cause sedimentation in receiving waters, which may reduce the capacity of ponds and reservoirs, increase flooding, or substantially alter aquatic ecosystems by changing streambed, lakebed and estuary conditions. • Contamination of receiving waters with human excreta or animal manure can cause nutrient enrichment, depletion of dissolved oxygen and other changes that disturb natural ecosystems and reduce the vigor, abundance, and/or diversity of plants and animals that live in water or on land. Disease-causing microorganisms from excreta and manure may also contaminate fish or shellfish, creating health hazards. FRESH WATER RESOURCES DEPLETED Depletion of fresh water sources can occur when projects do not adequately assess the quantity of available surface and groundwater (including typical seasonal and annual variations.) These assessments need to take into account future changes in temperature and rainfall due to climate change. Other causes include poor mechanisms for regulating withdrawals and use of water, and insufficient monitoring and maintenance of leaks. • Depletion of surface water sources damages aquatic life, reduces economic productivity, diminishes downstream use, and curtails recreational possibilities.
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• Overdrawing wells and boreholes can alter groundwater flows, reduce groundwater levels, or cause aquifers in coastal or island areas to experience salt-water intrusion, potentially leading to loss of drinking water sources locally or in downstream or down-hillhill locations. These losses of source water availability and quality may lead to increased costs if alternative supplies need to be located or if additional treatment is required. Aquifer depletion and falling water tables can also lead to land subsidence (sinking of the land’s surface). Both situations increase the cost of future water supply systems and may strike urban and rural areas. Increased population densities and the lack of facilities can increase the impact in peri-urban areas. In addition, depletion of water resources may lead to poorer water quality, health impacts, and elevated costs of potable water supplies in downstream or down-hill locations. POTENTIAL IMPACTS OF WATER SUPPLY AND SANITATION PROJECTS
PROBLEMS POSSIBLE IMPACTS POSSIBLE CAUSES WATER SUPPLY PROJECTS
Depletion of fresh • Destruction of the natural • Overestimation of water supplies water resources resource • Underestimation of water demand (surface and • Destruction of aquatic life • Over-pumping of water resources groundwater) • Loss of economic productivity • Increase in impermeable area • Loss of recreation areas • Lack of information on resource yields • Land subsidence • Inadequate consideration of expected • Increased cost of water supplies climate change impacts in the future or in down-hill • Waste and leakage of potable water locations (inefficient use) • Poor water pricing policies and practices, leading to excessive use, waste and leakage
Chemical degradation • Concentration of pollution in • Depletion of surface and groundwater of the quality of surface water sources resources potable water sources • Salt water intrusion • Reduced stream flows (surface and • Impaired water quality, with • Runoff/drainage from improper solid groundwater) associated health problems and liquid waste or excreta disposal • Increased water treatment costs • in the future or in down-hill locations
Creation of stagnant • Increase in vector-borne • Drainage systems lacking or poorly (standing) water diseases designed • Contamination of standing water • Leakage from pipes/wastage from taps with fecal matter, solid waste, • Lack of user/operator concern for etc., leading to health problems stagnant water • Soil erosion/sedimentation
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PROBLEMS POSSIBLE IMPACTS POSSIBLE CAUSES
Degradation of • Alteration of ecosystem • Improper siting of facilities (within terrestrial, aquatic, structure & function and loss of wetlands or other sensitive habitats, and coastal habitats biodiversity etc.) • Loss of economic productivity • Poor construction practice • Loss of natural beauty • Leakage/wastage from pipes and taps • Loss of recreational values • Increased population • Soil erosion/sedimentation density/agricultural activity because of new water systems • Eutrophication caused by over- application of fertilizers during agricultural production
Supply of • Arsenic poisoning • Failure to test water quality before contaminated water • Mercury poisoning developing the water resource • Water-related infectious • Lack of ongoing water quality diseases monitoring • Inadequate protection of wells and water supply points • Biological nitrite/nitrate and / or pesticide contamination SANITATION PROJECTS Contamination of • Increased disease transmission • Failure to use sanitation facilities surface water, associated with excreta • Disposal of excreta or wastewater groundwater, soil, and (diarrheal, parasitic, etc.) directly on land or into surface water food by excreta, • Malnutrition caused by above without adequate treatment chemicals and diseases pathogens • Improper siting of sanitation facilities • Higher infant mortality near water supplies • Reduced economic productivity • Inadequate protection of groundwater • Health problems from use of • Improper operation of sanitation chemically contaminated water facilities • Increased cost of down-hill • Failure of sanitation facilities due to water treatment for domestic lack of maintenance and industrial uses • Improper handling of wastewater from food production
Degradation of • Health problems from contact • Failure to use sanitation facilities stream, lake, with contaminated water • Disposal of excreta or wastewater estuarine and marine • Fish or shellfish contamination directly into sensitive areas without water quality and (health hazards, lost economic adequate treatment degradation of land productivity) habitats • Improper operation of sanitation • Nutrient contamination facilities (eutrophication) • Failure of sanitation facilities due to • Alteration of ecosystem lack of maintenance structure and function; loss of • Improper siting of facilities (within biodiversity wetlands or other sensitive habitats, • Reduced economic productivity etc.)
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PROBLEMS POSSIBLE IMPACTS POSSIBLE CAUSES • Soil erosion and sedimentation • Poor construction practice Source: Adapted from Alan Wyatt, William Hogrewe and Eugene Brantly (1992). Environmental Guidelines for: Potable Water and Sanitation Projects. Water and Sanitation for Health Project, USAID.
CLIMATE CHANGE
A low cost alternative to a hand pump — a privately owned shallow well with a trap door cover near Segou, Mali.
Note that water retrieved from pumps and wells may require treatment to achieve desired quality according to end use.
PLANNING FOR A CHANGING CLIMATE
Climate change will lead to an increase in the frequency, intensity, and duration of extreme events such as droughts, floods, high winds, and tropical storms. Project design, construction and operation must also take into account the current and future frequency, intensity, and duration of extreme events which may result in contaminated drinking water, spread of disease, and water scarcity.
Therefore, projects need to be designed to withstand exposure to an altered climate and be resilient to deviations from historical conditions. Elements of water and sanitation project design, construction and use that are sensitive to weather should pay greater attention to risk analysis and climate change probabilities than in the past to help ensure that appropriate sites, materials and designs are selected and the long-term success of projects is achieved. Specifically, aspects of collection and sanitation systems sensitive to weather (e.g., materials, location) need to be examined to ensure that they are appropriate to current and future conditions.
Thirty-eight percent of population growth now occurs in slums or shanty towns, which are more likely to be located in hazard-prone areas, and where existing lack of sanitation and safe drinking water may be exacerbated by climate change events such as drought, flooding, heavy rainfalls, or high winds. Sanitation systems that have been improperly or poorly constructed are one of the greatest risks associated with climate hazards, leaving inhabitants highly vulnerable.
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Direct Climate Impacts Indirect Climate Impacts Possible Adaptation Responses
• Droughts/floods • Reduced agricultural output • Integrated water resources • Drinking water contamination • Reduced food security management to improve overall (e.g., from flooded sanitation • Water use conflicts water governance systems) • Spread of waterborne diseases • Implementation of watershed • Physical damage to water • Displacement of populations protection measures infrastructure from floods, due to changes in water • Implementation of Water sea level rise, or storms availability Safety Plans • Saltwater intrusion • Increased travel distances to • Improvements in irrigation • Changing water availability collect water efficiency due to changes in volume and • Agroforestry to enable timing of rainfall, or surface production from lower water and groundwater flows tables during droughts • Increased evaporative losses • Control of water losses and • Harmful algal blooms and maximization of water use dead zones due to increased efficiency water temperatures together • Rainwater harvesting, with excessive nutrients increased infiltration, grey • Glacial lake outburst water recycling, wastewater reuse • Use of appropriate water catchment and storage technologies
ADAPTING TO CLIMATE CHANGE BY MINIMIZING VULNERABILITY THROUGH PROJECT DESIGN Adapting planning, design, and project execution to climate change involves ensuring that the new water and sanitation infrastructure is able to withstand changes and variations in climatic conditions and extreme weather events. This involves incorporating both the function of the system as well as the vulnerability of users (e.g., children, elderly, or ill) into design.
Designers and project managers should now include a focus on incorporating information on climate from past baseline trends, as well as information from future climate change scenarios that take into account the life expectancy of the project. In many cases, managing for greater uncertainty and risk associated with potential extreme conditions rather than past historical trends emphasizes the “no regrets” principle over “business as usual.” This type of focus on risk analysis and management is commonly applied by the financial and insurance industries and can also be used in assessing potential development activities.
For example, design and siting for water and sanitation projects in coastal areas should take into account projected sea level rises and storm surges—and potential salt water intrusion to drinking water sources. The same principle applies to water projects located in or near flood plains, rivers and wetlands. In locations where drought conditions are becoming more frequent, project designs should ensure that a
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reliable source of water can be sustained to supply water sources and sanitation systems. Ultimately, more robust water and sanitation infrastructure is more likely to ensure resilience to climate change.
Climate change adaptation also includes integrating renewable and/or back up energy systems to maintain water and sanitation collection, distribution, and treatment in the event of sudden or intermittent flooding or fuel shortages.
From a risk management perspective, it is less costly to design for the potential direct and indirect impacts of climate change on water and sanitation management projects, than to risk major losses or damage to water and sanitation infrastructure or for residents to face loss of service in the future.
Climate change adaptation for water and sanitation infrastructure includes integrating renewable and/or back up energy systems to maintain the systems in the event of sudden or intermittent electrical outages or fuel shortages. Project managers should implement procedures to closely monitor water use, repair leaking pipes, and install water efficient appliances. Whenever possible, harvesting rainwater for use during dry periods and recycling gray water for non-drinking purposes, such as irrigation of grounds should be applied.
MINIMIZING GREENHOUSE GAS (GHG) EMISSIONS AND MAXIMIZING SEQUESTRATION GHG contributions from human waste In the practice of EIA, mitigation is the management are mostly composed of methane. implementation of measures designed to eliminate, Although minor levels of emissions are released reduce or offset the potential adverse effects of a through waste treatment and disposal, practices proposed action on the environment. such as capturing methane can reduce emissions and potentially provide a source of In the practice of climate change, mitigation is fuel for cooking or other development needs. an intervention to reduce GHG sources and Improved infrastructure for waste management emissions or to enhance the sequestration of in developing countries can also mitigate GHG GHG’s by natural means (e.g., uptake by trees, emissions. vegetative cover, algae) or the use of technology Energy efficiency can be achieved for water (e.g., underground carbon storage) to limit the and waste sanitation facilities through green magnitude and/or rate of climate change. building design, efficient lighting technology,
heat reflective walls and roofs, and insulation. Vehicles that transport waste or potable water can reduce greenhouse gas emissions by decreasing fuel use, reducing idling times, regular maintenance, and driver training to improve energy efficient driving practices.
ESDM OF ACTIVITIES & PROGRAMS: BEST PRACTICES
Water and sanitation activities and achieving ESDM in this sector requires a participatory approach to activity/program design and management. Strong technical design of the projects is also critical. This section provides an overview of best practices drawn from lessons learned in the field over more than 30 years with both participatory approaches and technical design.
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BEST PRACTICES APPLICABLE TO BOTH WATER SUPPLY AND SANITATION PROJECTS Take advantage of the experience of others. A number of excellent and detailed guidelines, manuals, sourcebooks, and checklists provide clear and concise guidance on developing water supply and sanitation projects. In most cases these are available via the Internet. Some of these resources, most with affiliate URLs, can be found in the Resources and References section at the end of these guidelines. Concentrate first on preparing and developing the Best practices for water and sanitation human component of the project and use a demand- projects focused approach. Projects will be welcomed and • Learn from effective projects supported by the local community only when they • perceive a need. Cost sharing, especially for operation Concentrate on the human component and maintenance, should be encouraged because of the • Use a promotional program, especially positive effects it has on ownership, community for sanitation, to build demand support, and long-term sustainability. However, there may be some instances where cost-sharing may not be • Take a participatory approach possible. Cost sharing can be in-kind, such as • Use cost sharing community clean up days for drainage ditches, or a community supplying locally available materials (sand, • Integrate water supply, sanitation and wood, etc). hygiene promotion Promotional program/social marketing must • Work with existing community accompany infrastructure development. Water organizations supply and sanitation projects that fail to improve • Implement economically self- hygiene behaviors generally achieve little or no sustaining design improvement in public health. Community participation (discussed below) and awareness are essential to • Include provisions for operation and achieving these changes. Improving hygiene practices maintenance requires sensitivity to the community’s cultural and social preferences. Realism must be applied in this process—it may take years for the community to adjust to new practices.
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Reaching school children is often an effective strategy, but efforts to bring about behavior change must focus on other family members as well. Family members who are able must ensure that sanitation practices for infants, pre-school age children, and elderly do not contaminate water supplies or spread diseases to healthy children or adults. Understanding local hygiene behaviors and social- cultural beliefs that affect supply and sanitation options is an essential first step in design. For example, in some Selected water quality standards for human cultures sanitation facilities for men and women must health be strictly segregated even at the family level, so that a • Arsenic < 0.01 mg/L single latrine per family is inadequate. In other cases the culture may forbid defecation in roofed structures. • Total Coliforms = not detectable in any Resources exist to help design programs to improve 100mL sample hygiene behavior. See Sanitation Promotion (Simpson- • Lead < 0.01 mg/L Hébert and Wood, 1998), PHAST step-by-step guide: a participatory approach for the control of diarrhoeal • Copper < 2 mg/L disease (Sawyer et al., 1998), and Sanitation and • Nitrate (as NO3-) < 50 mg/L Hygiene Promotion Programming Guidance (WHO, 2005). The Resources and References section at the end • Nitrite (as NO2-) < 0.2 mg/L for long- of this guideline provides a summary description and term exposure access information for each document. • Fluoride < 1.5 mg/l Use a participatory approach, including choice of Reference: WHO, Guidelines for Drinking- technology that actively engages the community in all Water Quality (3rd Edition), 2004. stages of the project, including: planning and http://www.who.int/water_sanitation_health/dw development of management systems; establishment of q/gdwq3/en/index.html user fees, construction, operation and maintenance; and possible future decommissioning. This will help lead to appropriate design, enhance adoption of new behaviors and help generate the levels of community commitment and support needed for proper maintenance of the project. The field of Participatory Rural Appraisal for example, has developed an array of tools to engage or benefit from the perspective of stakeholders regarding potential project activity. An essential part of the participatory process is to give families and communities a selection of generally appropriate technology and design options to choose from, instead of beginning the project with a predetermined technology. For instance, offer technology alternatives that can be operated and maintained locally/at the village level. In addition, confirm that spare parts and necessary expertise are readily available. For example, village operation and maintenance is widely used to bring the long-term responsibility for the continued use of communal hand pumps down to the level of the users, but it must be part of a well-established system of community management, training, and technical support when repairs require outside expertise. Use some form of cost sharing to minimize subsidies. When households share the cost of building latrines they feel a sense of ownership and responsibility for the project. This can reduce overall costs. Integrate water supply, sanitation and hygiene promotion. If these elements are treated individually, the fecal-oral route of disease transmission will not be broken and public health benefits from infrastructure investments will be limited. If it is not possible to implement an integrated program, the first priority should be increasing water quantity, with improving infrastructure for water quality of secondary importance. When programs are implemented independently, those that focus on improved sanitation, including the adoption of good hygiene behaviors, show the greatest reduction in disease
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transmission. Those focused exclusively on improving water quantity show the next best performance and those focused only on improved water quality give the least benefit. Draw upon existing community organizations instead of starting new ones. In many communities there may be established groups or leadership that can be called upon to help guide the proposed project or activity. Project teams can work with these existing groups to engage key stakeholders and gather objective opinions and information in support of the water and sanitation activity. Design the program so that it will be economically self-sustaining. Generally, this requires cost recovery mechanisms such as user fees, taxes or levies to finance operations, monitoring, maintenance and repairs, along with a sustainable management structure for collecting these monies and overseeing their use. This can be a challenge and should be approached with considerable planning that is supported by research, common sense and a constant dialogue with the community regarding what might be feasible. Include a system for sustaining operation and maintenance as part of overall program design. The failure to ensure ongoing operation and maintenance is one of the most common reasons projects fail. The system should include a mechanism for training local residents to operate, monitor, maintain and repair the project and to keep up institutional memory; for example, maintaining a pool of community members trained in operation and maintenance. BEST PRACTICES FOR WATER SUPPLY PROJECTS • Calculate yield and extraction rates in relation to other area water uses and available supply. This is necessary to avoid depleting the resource or adversely affecting aquatic ecosystems and/or communities downstream/downhill. • These calculations should take into account historic and projected upstream/up-hill and downstream/down-hill supply and demand for water. Projects tapping groundwater should also consider depth to water table and groundwater hydrology. • Design improvements with an appropriate scale and capacity. Estimate current and projected water quantity and availability based on Best practices – water supply current water sources and existing uses, baseline • Calculate yields and extraction rates measurements on quantity of water available • (including seasonal fluctuations), current and Appropriate scale and capacity historic use data (household, agricultural, and • Assess water quality institutional), population data and forecasts, current and projected demand up and down • Periodic testing stream/up and down hill, and actual water use for • Minimize downstream impacts similar projects in the past. • Promote improved hygiene behaviors • If possible, data on typical water leakage rates in other existing water schemes should be examined. Demand projections should take into account the likelihood that the project will attract additional users. • Assess water quality to determine if water is safe to drink and to establish a baseline so that any future degradation can be detected. • Ideally tests should be performed on the chemical, biological and physical quality of the proposed water source. At a minimum arsenic and fecal coliform tests should be conducted. USAID requires testing for arsenic for all USAID-funded water supply projects, as there is currently no way to determine which locations may contain natural arsenic deposits.
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• Maintain periodic testing. Ongoing testing is the only way to determine if a water supply is or has become contaminated (other than by Best practices – sanitation observing dramatic and sustained increases in • Promotion of sanitation to create water-borne disease). demand • Minimize downstream/down-hill effects of • Match demand, customs, preferences intervention, perhaps by establishing some form and ecosystem of communication with downstream parties. • Assess local water quality BEST PRACTICES FOR SANITATION • Minimize downstream impacts PROJECTS • Consider natural treatment before • Develop a hygiene promotion strategy that mechanical options takes into account the current hygiene behavior (hand washing, latrine use, water collection, • Promote improved hygiene practices transport, and storage) of all users, = as well as any social/cultural religious factors that may hinder changing behavior. • Design improvements to match demand, user customs and preferences, climate, and abundance of water.
Factors to consider for siting wells Location: • Locate the well at the highest point on the property. This makes protecting the wellhead easier. • Avoid positioning down slope from potential sources of contamination, including surface water flows and flooding conditions. • Locate the well in a site easily accessible for maintenance. • Define a sanitary protective area around the wellhead that is kept in its natural state. Potential Contaminants: • Yield and quality of water supply will depend on soil type (which determines filtering capability and transmissivity). • Course gravel, limestone, and disintegrated rock can allow contaminants to travel quickly with little opportunity for natural purification. • Distance to nearest point of potential contamination is site and aquifer specific. The following MINIMUM distances from potential sources of contamination are best practice for sites with sand- like filtering capabilities: o 45.7 m (150 ft) from a preparation area or storage area of spray materials, commercial fertilizers, or chemicals that may cause contamination of the soil or groundwater. o 30.5 m (100 ft) from a below-grade manure storage area. o 22.9 m (75 ft) from cesspools, leaching pits, and dry wells. o 15.2 m (50 ft) from a buried sewer, septic tank, subsurface disposal field, grave animal or poultry yard or building, privy, or other contaminants that may drain into the soil. o The distance between a septic tank leach field and a down-hill well should be greater than 30.5 m (100 ft) if the soil is coarser than fine sand and the groundwater flow rate is greater than 0.03 ft/day (0.01 m/day). Source: Driscoll, Groundwater and Wells, Second Edition.
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• Test water quality downstream/downhill from the proposed site before construction of infrastructure to establish a baseline. Testing after completion of project will provide necessary information for mitigation purposes.
o Elements to test for include fecal coliform, total suspended solids (TSS), biological oxygen demand (BOD) and nutrients. Maintain ongoing testing to monitor for contamination. • Minimize downstream/down-hill effects of intervention. See box below on Sanitation and Hydrology. • Consider appropriate natural treatment systems instead of mechanical systems. Natural treatment systems tend to be preferable for small-scale activities as they generally cost less, do not require highly skilled labor, and can frequently be manufactured locally. Also, supplies for maintenance and repair are likely to be more readily available.
o There are many proven natural treatment options. Examples include double-vault batch composting toilets, double-vault batch dry toilets, upflow anaerobic filters,6 biogas reactors, confined-space constructed wetlands, subsurface wetlands, floating aquatic macrophytes,7 stabilization ponds and ecological sanitation (urine diversion and arborloo systems). COMMUNITY-LED TOTAL SANITATION (CLTS) AND COMMUNITY APPROACHES TO TOTAL SANITATION (CATS) CLTS/CATS are expressions of taking a participatory approach to sanitation projects. Instead of relying exclusively on external incentives and provisions – such as subsidies or construction of toilets – to promote improved sanitary practices, CLTS/CATS create community awareness about the health impacts of open-defecation and allow the community to fuel the effort toward ending open-defecation. CLTS began in late 1999, innovated by Dr. Kamal Kar, then serving on a mission for the UK NGO WaterAid. UNICEF developed its similar CATS approach, which is broadly outlined in the organization`s 2008 publication, “Community Approaches to Total Sanitation: Based on case studies from India, Nepal, Sierra Leone, Zambia.” Below is a broad overview of the CATS approach taken directly from the aforementioned: • “CATS aim to achieve 100 per cent open defecation free (ODF) communities through affordable, appropriate technology and behavior change. The emphasis of CATS is the sustainable use of sanitation facilities rather than the construction of infrastructure. The safe disposal of infant and young children’s feces in toilets is essential to achieving ODF status. • CATS depend on broad engagement with diverse members of the community, including house- holds, schools, health centers and traditional leadership structures. • Communities lead the change process and use their own capacities to attain their objectives. Their role is central in planning and implementing improved sanitation, taking into account the needs of diverse community members, including vulnerable groups, people with disabilities, and women and girls.
6 The reference to upflow anaerobic filters and biogas reactors both require pumping, so they are not truly “natural treatment systems”. 7 Sooknah, R. D. and A. C. Wilkie. Nutrient removal by floating aquatic macrophytes cultured in anaerobically digested flushed dairy manure wastewater. 2004. Ecological Engineering 22: 27-42. http://dairy.ifas.ufl.edu/other/files/Sooknah-and-Wilkie- EcolEng-22_1_-2004.pdf
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• Subsidies – whether funds, hardware or other forms – should not be given directly to households. Community rewards, subsidies and incentives are acceptable only where they encourage collec- tive action in support of total sanitation and where they facilitate the sustainable use of sanitation facilities. • CATS support communities to determine for themselves what design and materials work best for sanitation infrastructure rather than imposing standards. External agencies provide guidance rather than regulation. Thus, households build toilets based on locally available materials using the skills of local technicians and artisans. • CATS focus on building local capacities to enable sustainability. This includes the training of community facilitators and local artisans, and the encouragement of local champions for community-led programmes. • Government participation from the outset – at the local and national An "enviroloo" levels – ensures the effectiveness of (dry composting CATS and the potential for scaling toilets) up. mandated by • CATS have the greatest impact when the Department they integrate hygiene promotion into of Public Works in the programme design. The definition, Northern scope and sequencing of hygiene Province of the components should always be based Republic of on the local context. South Africa (2002) • CATS are an entry point for social change and a potential catalyst for wider community mobilization.” PROCESS FOR EVALUATING POTENTIAL ENVIRONMENTAL IMPACTS Potential environmental impacts of a project should be evaluated with public involvement concurrently as the PVO/NGO and community define the project’s objective, the types and extent of services, and the types of facilities that will provide the desired services in a way that fits the physical, social, and economic conditions of the community. Appropriate options should be identified for each “component” of the system. For a water supply system these would include the water source, storage facilities, the distribution system, and possibly treatment facilities. For a sanitation system they would include facilities for excreta, as well as collecting, transporting, treating, and disposal or reuse of excreta or wastewater. As the set of appropriate options is being defined, a project proponent (e.g., PVO or NGO) can work with the community to evaluate the potential environmental impacts of each option and identify appropriate mitigation measures.
ESDM OF ACTIVITIES AND PROGRAMS: SPECIFIC MITIGATION AND MONITORING MEASURES The table in this section matches impacts and mitigation measures to specific water and sanitation activities/technologies.
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Achieving ESDM requires that these impacts are considered and the corresponding mitigation measures adopted when the impacts are potentially significant. Note that in many cases, the mitigation measures are good practices. In general, USAID IEEs or subproject review documents should note and assess the potential impacts listed here and specify corresponding, appropriate mitigation measures.
Sanitation and hydrology Preventing microbial contamination of groundwater sources depends on several factors: • Type of latrine – the rate of flow of pathogen-containing liquid from latrine pits to the soil beneath is proportional to the quantity of liquid in the pit (static head). Dry latrines present the smallest risk of groundwater contamination. • Water table – a latrine pit must be above the water table during all seasons. 1.5m below the surface is the minimum depth necessary to ensure the pit contents remain dry. The greater the distance between the base of the pit and the water table, the more time is required for pathogens to seep from the pit into the groundwater, thus allowing more pathogens to die-off naturally. • Soil type – Clay, silt, and fine sand soil types all have grain sizes small enough to act as natural filters for microbial contaminants (<0.2mm). Certain clay soils can also absorb viruses. • Distance to nearest water source – the risk of contamination of a surface or groundwater source by a latrine depends on the distance to the source, the direction and velocity of the flow of water in the soil (hydraulic hill), and the soil/rock permeability. 30m is considered the minimum separation for most soil types. Balancing these factors to determine the best combination of siting and sanitation technology should involve input from engineers and/or hydrologists. For more information, see S. Sugden, WELL Factsheet: The Microbiological Contamination of Water Supplies, 2004. http://www.lboro.ac.uk/well/resources/fact- sheets/fact-sheets-htm/Contamination.htm
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IMPACTS AND MITIGATION MEASURES FOR SPECIFIC WATER AND SANITATION ACTIVITIES AND TECHNOLOGIES
ACTIVITY/ POTENTIAL IMPACTS MITIGATION MEASURES TECHNOLOGY Note: Measures apply to specified project phase: planning and design (P&D), construction (C), or operation and maintenance (O&M) GENERAL
Site selection • Damage sensitive ecosystems or • Survey for, and avoid, wetlands, estuaries or other ecologically endangered species sensitive sites in the project area. Identify nearby areas that contain endangered species and get professional assessment of species’ sensitivity to construction at site (P&D) • Consider how the project will impact water flows, particularly in the context of climate change
Construction of • Damage sensitive ecosystems or • Follow guideline on Construction in this guideline series (P&D) (C) buildings and endangered species • Train and monitor workers on best practices in construction of structures • Cause erosion and sedimentation buildings and structures (P&D) (C) • Gather data on soil type, slope and topography to determine the potential for significant erosion (P&D) • Use silt screens, straw bales or similar erosion control measures (C) • Avoid damaging vegetation (C)
• Revegetate areas damaged during construction. Do not remove erosion control measures until revegetation is complete (C) • Use proper bedding materials for pipes (P&D) (C) • Create a community-based operations and maintenance plan that takes into account associated long-term costs (O&M)
Soakways and drains • Cause erosion • Use riprap (cobbled stone), gravel or concrete as needed to prevent • Alter the natural flow of rainwater runoff erosion of drainage structures (P&D) (C) • Create pools of stagnant water • Monitor and keep drains and soakways clear (O&M)
WATER SUPPLY AND SANITATION . 2015 Page 18 ACTIVITY/ POTENTIAL IMPACTS MITIGATION MEASURES TECHNOLOGY Note: Measures apply to specified project phase: planning and design (P&D), construction (C), or operation and maintenance (O&M) WATER SUPPLY IMPROVEMENTS
Hand-dug wells, • Contaminate water with human • Include focus on proper use and maintenance of the improvement as seasonal ponds, pathogens part of behavior change and education program (P&D) improved springs, • Construct spigot or similar system that prevents people from touching ground-level impounded water with their hands or mouths (P&D) (C) catchment and similar structures • Contaminate water with animal manure • Use fencing or equivalent that will keep live stock from grazing uphill • Create pools of stagnant water or uphill of the water supply improvement (P&D) (C) • Exhaust water supply (not applicable to • Do not allow animals to drink directly from the water source (O&M) improved springs or hand-dug wells) • Monitor drains and soakways and keep them clear of debris (see entry on soakways and drains above for more detail) (O&M) • Monitor and repair leaks from cracked containment structures, broken pipes, faulty valves and similar structures (O&M) • Put in place a system for regulating use, such as a local warden or appropriate pricing (P&D) • Give the community training in operating the improvement (P&D) (O&M) • Monitor water levels in wells or impoundment structures to detect overdrawing (O&M)
Wells • Provide water contaminated with nutrients • Don’t let animals graze or be watered up-hill from wellhead (P&D) and bacteria from animal waste (O&M) • Create pools of stagnant water • Monitor and repair leaks from cracked containment structures, • Change groundwater flow broken pipes, faulty valves and similar structures (O&M) • Create saltwater intrusions • On islands and coastal areas, keep withdrawals within safe yield limits to avoid overdrawing, possible salt water intrusion and • Deplete aquifer (groundwater) contamination of the well (P&D) • Cause land subsidence (impact from • Put in place a system for regulating use, such as a local warden or many wells) appropriate pricing (P&D) • Include a focus on proper use and maintenance of the improvement as part of the behavior change and education program (O&M) • Monitor water levels (O&M)
WATER SUPPLY AND SANITATION . 2015 Page 19 ACTIVITY/ POTENTIAL IMPACTS MITIGATION MEASURES TECHNOLOGY Note: Measures apply to specified project phase: planning and design (P&D), construction (C), or operation and maintenance (O&M)
Standpipes • Create pools of stagnant water • Ensure that spilled water and rainwater drain to a soakway or (This problem can be more severe when equivalent structure and do not accumulate and create stagnant the water table is high, clay soils are standing water (C) present, or population/tap density is high) • Monitor and repair leaks from cracked containment structures, broken pipes, faulty valves and similar structures (O&M) TREATMENT SYSTEMS
Pit latrine • Increase transmission of vector-borne • Devote adequate attention to identifying and addressing social diseases barriers to using latrine (P&D) • Contaminate groundwater supply with • Use the ventilated improved pit latrine design that traps insect pathogens vectors (P&D) • Contaminate water supplies, damage • Evaluate depth to water table, including seasonal fluctuations, water quality and/or transmit disease at groundwater hydrology and any changes expected due to climate other locations if waste is not properly change. The size and composition of the unsaturated zone determine handled and treated during or after the residence time of effluent from the latrine, which is the key factor servicing in removal and elimination of pathogens. Pit latrines should not be • Cause injury to people or animals installed where the water table is shallow or where the composition of the overlying deposits make groundwater or an aquifer vulnerable to contamination (P&D) • Ensure that a reliable system for safely emptying latrines and transporting the collected material off-site for treatment is used. This should include use of a small pit-emptying machine such as the vacutug that relies on an engine-driven vacuum pump. The vacutug was tested for UNCHS in low-income areas of Nairobi, Kenya, and was found to give workers much greater protection from disease than conventional methods. See Wegelin-Schuringa, Small Pit-Empty-ing Machine: An Appropriate Solution in Nairobi Slum, for more details) (O&M) • Ensure that collected material is adequately treated and not directly applied to fields or otherwise disposed of improperly (O&M) • Properly decommission pit latrines. Do not leave pits open. Fill in unused capacity with rocks or soil. (O&M)
WATER SUPPLY AND SANITATION . 2015 Page 20 ACTIVITY/ POTENTIAL IMPACTS MITIGATION MEASURES TECHNOLOGY Note: Measures apply to specified project phase: planning and design (P&D), construction (C), or operation and maintenance (O&M)
Composting toilets • Increase transmission of vector-borne • Maintain humidity of composting material above 60% and diseases supplement excreta with generous quantities of carboniferous • Contaminate groundwater supply with material (dry leaves, straw, etc.). The pile should then remain pathogens aerobic, odor-free and insect-free (O&M) • Cause disease transmission to field • Construct sealed vaults to hold composting material if using fixed- workers and consumers of agricultural batch systems. If using movable-batch systems check removable products containers for leaks before installing (O&M) • Test samples from active chamber and mature chamber after fallow period for Ascaris eggs and fecal coliforms (O&M) • Allow sufficient residence time in mature chamber. This may vary from 6 months in warm climates to 18 months in cooler climates (O&M) • Ensure that the systems will be properly operated and maintained so that the soil amendment taken out after the treatment period is truly sanitized (O&M)
Dry toilets • Increase transmission of vector-borne • Maintain humidity of composting material below 20% and supplement diseases excreta with alkaline material (ashes or lime). The pile should then • Cause disease transmission to field remain both odor free and insect free (O&M). Generous applications workers and consumers of agricultural of ashes will help ensure that pathogens are destroyed. pH is the products most important factor for sterilization (O&M) • Construct sealed vaults to hold dehydrating and curing material (C) • Ensure that the systems will be properly operated and maintained so that the soil amendment taken out after the treatment period is truly sanitized (O&M) • Test samples from active chamber and mature chamber after fallow period for Ascaris eggs and fecal coliforms to assess level of sterilization (O&M) • Allow sufficient residence time in mature chamber. This may vary from 6 months in warm climates to 18 months in cooler climates (O&M)
WATER SUPPLY AND SANITATION . 2015 Page 21 ACTIVITY/ POTENTIAL IMPACTS MITIGATION MEASURES TECHNOLOGY Note: Measures apply to specified project phase: planning and design (P&D), construction (C), or operation and maintenance (O&M)
Septic tanks • Contaminate groundwater supply with • Evaluate depth to the water table, including seasonal fluctuations, pathogens groundwater hydrology and expected changes due to climate • Contaminate surface water supplies with change. If water table is too high, line the tank with clay, plastic nutrients, biological oxygen demand sheeting or some other impermeable material to prevent leakage (BOD), suspended solids (SS) and (P&D) (C) pathogens. (Septic tank effluent generally • Avoid direct discharge of effluent to waterways if possible. Direct contains relatively high concentrations of discharge to waterways with sufficient volume and flow to assimilate pathogens, BOD, and SS) the waste may be acceptable. It is better to add a secondary • Contaminate water supplies, damage treatment, such as passing effluent through an anaerobic filter, water quality and/or transmit disease at followed by discharge to an absorption field, or better yet, a other locations if waste is not properly constructed wetland (P&D) handled and treated during or after • Ensure that a reliable system for safely removing sludge and servicing transporting the collected material off-site for treatment is available. This should include use of a mechanized (probably vacuum-based) removal system (P&D) (O&M) • Ensure that collected sludge is adequately treated and not directly applied to fields or otherwise improperly disposed of (See Sludge management below) (O&M)
Upflow anaerobic • Damage ecosystems and degrade • Treat sludge before secondary use (see Sludge management below). filters surface water quality. Sludge has high Do not allow disposal in or near water bodies (O&M) concentrations of nutrients, BOD, and • Provide workers servicing, transporting, and otherwise exposed to solids sludge with appropriate protective clothing including, at a minimum, • Cause disease transmission to field rubber gloves. Train workers to wash hands and faces frequently workers and consumers of agricultural with soap and warm water and make both available. (See products (Sludge may still contain Wastewater and sludge use in agriculture and aquaculture below) pathogens) (O&M)
Settled and simplified • Damage ecosystems and degrade • Ensure that collected sewage will be treated, e.g., in a wastewater sewers surface water quality stabilization pond, and not simply discharged to a river or stream or • Transmit diseases to field workers and used directly in agriculture or aquaculture. This is especially consumers of agricultural products important for simplified sewerage, since there is no interceptor tank (P&D) (O&M)
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Biogas reactors • Damage ecosystems and degrade • Do not allow disposal of digested slurry in or near water bodies surface water quality (O&M) • Transmit diseases to field workers and • Follow WHO or other national or international guidelines for use of consumers of agricultural products sludge in wastewater in agriculture and aquaculture (see Sludge and wastewater reuse below) (P&D) (O&M)
Wastewater • Damage ecosystems and degrade • Avoid discharging single (facultative) pond systems directly into stabilization ponds surface water quality receiving waters. If this is unavoidable, construct hydrography- (anaerobic, • Transmit diseases to field workers and controlled release lagoons that discharge effluent only when stream facultative, aerobic) consumers of agricultural products conditions are adequate. Install secondary treatment such as a constructed wetland, if possible (P&D) (C) (O&M) • Use two-, three- or five-pond systems if possible (anaerobic, facultative, maturation). (P&D) • Allow only restricted uses for agriculture and aquaculture of effluent from all but five-pond systems (O&M)
Reed bed filter or • Contaminate groundwater or surface • Evaluate depth to the water table, including seasonal fluctuations, Subsurface wetland water groundwater hydrology and expected changes due to climate change. If water table is too high, line tank with clay, plastic sheeting or some other impermeable material to prevent leakage (P&D) (C)
Free water surface • Provide breeding ground for disease • Use plant and animal species that are native to the region. Avoid wetland; Floating vectors introducing water hyacinth, water milfoil, or salvinia, which have aquatic macropytes • Introduce invasive non-native species proven extremely invasive outside of their natural range (P&D) • If using water hyacinth, maintain dissolved oxygen at 1.0 mg/L, frequently harvest and thin plants and/or add mosquitofish (Gambusia affinis) to the wetland or use other plant species such as duckweed, water lettuce (Pistia stratiotes), water milfoil, or salvinia (Salvinia spp.) (O&M)
Slow-rate overland • Contaminate groundwater or surface • Use where growing season is year round. Requires vegetation (P&D) flow water (O&M) • Use only where soil textures are sandy loam to clay loam (P&D) (O&M) • Use where groundwater is >3 ft. below surface (P&D) (O&M)
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Slow-rate subsurface • Contaminate groundwater or surface • Use only where soil textures are sand to clayey loam (P&D) flow water • Use only where groundwater is >3 ft. below surface (P&D)
Rapid infiltration • Contaminate groundwater or surface • Use only where soil textures are sandy to loam (P&D) water • Use only where groundwater is >3 ft. below surface (P&D)
Sludge management • Damage ecosystems and degrade • If possible, choose treatment technologies that do not generate surface water quality sludge, such as wastewater stabilization ponds (P&D) • Cause disease in handlers and • Compost sludge, then use as soil amendment for agriculture (O&M) processors • Provide workers with appropriate protective clothing, including rubber gloves, boots, long-sleeved shirts and pants. Train workers to wash hands and faces frequently with soap and warm water and make both available (O&M)
Wastewater use in • Cause disease in field workers and • WHO guidelines recommend (1) treat to reduce pathogen agriculture and consumers of agricultural products concentrations, (2) restrict use to crops that will be cooked, (3) use aquaculture application methods that reduce contact with edible crops, and (4) minimize the exposure of workers, crop handlers, field workers and consumers to waste (P&D) (O&M) • Wastewater used in aquaculture should have <103 fecal coliforms per 100 ml to minimize risk to public health. (P&D) (O&M)
See Guidelines for the safe use of wastewater and excreta in agriculture and aquaculture: Measures for Public Health Protection, 1989, WHO, Geneva http://www.who.int/environmental_information/Information_resources/do cuments/wastreus.pdf
WATER SUPPLY AND SANITATION . 2015 Page 24 RESOURCES AND REFERENCES
GUIDELINES FOR WATER SUPPLY AND SANITATION PROGRAMMES • Guidelines for the Development of Small Scale rural Water Supply & Sanitation Projects In East Africa. Warner. D, Abate. C July 2005. http://www.encapafrica.org/documents/Wat0509_e.pdf
In order to respond to the growing needs for safe drinking water and appropriate means of household sanitation, Catholic Relief Services is determined to provide the best possible technical, social and economic support to rural communities of East Africa. These guidelines are the result of the combined efforts of many individuals, both within CRS and other organizations, to assist in the planning and implementation of CRS country programs in water and sanitation in the region.
• DFID Guidance Manual On Water Supply and Sanitation Programmes (2007). United Kingdom Department for International Development (DFID). http://www.lboro.ac.uk/well/resources/Publications/guidance-manual/guidance-manual.htm
An excellent general resource designed to assist DFID staff and partners in developing effective and sustainable water supply and sanitation programs. Comprising three chapters and appendices, it takes the reader from an overview of the sector, through specific development perspectives, to detailed recommendations for each stage of the project cycle.
• Standard Methods for the Examination Of Water and Wastewater, 22nd Ed. (2012). Washington, D.C.: APHA. http://www.standardmethods.org/
This comprehensive reference covers all aspects of water and wastewater analysis techniques. Standard Methods is a joint publication of the American Public Health Association (APHA), the American Water Works Association (AWWA), and the Water Environment Federation (WEF).
• Assessing Demand for Water Supply and Sanitation Projects. (2005). Sarah Parry-Jones. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
An exploration of the issues surrounding a demand-responsive approach to water and sanitation service provision, with a discussion of the relative merits of the most commonly used demand assessment tools.
• On-Site Sanitation In Areas With a High Groundwater Table. (2005). Sarah Parry-Jones http://www.lboro.ac.uk/well/resources/fact-sheets/fact-sheets-htm/lcsahgt.htm
In areas that experience a seasonally high groundwater table or that are prone to flooding, constructing affordable on-site sanitation facilities can be very problematic. It is a challenge that affects many countries worldwide. This technical brief provides practical guidance on some sanitation options in such conditions. More details on each option outlined can be found in the references in the further reading section.
• Private Sector Participation In the Water and Sanitation Sector: Public-Private Partnership and the Poor (1999). Mike Webster and Kevin Sansom. http://www.lboro.ac.uk/well/resources/well- studies/full-reports-pdf/task0164.pdf or http://www.lboro.ac.uk/well/resources/well-studies/well- studies.htm
A review of existing work examining the impact of Public-Private Partnerships (PPP) in the water and sanitation sectors on service delivery to the poor. Important gaps in current knowledge are also identified.
WATER SUPPLY AND SANITATION . 2015 Page 25 • Environmental guidelines for PVOs and NGOs: potable water and sanitation projects (1992). Alan Wyatt, William Hogrewe and Eugene Brantly. Water Sanitation for Health Project, USAID.
A guideline designed to assist project proponents (e.g., PVOs and NGOs) in identifying and mitigating environmental impacts of water supply and sanitation projects. The guideline outlines a process for conduction an environmental evaluation of proposed projects. WEBSITES • WELL - Research Centre Network for Water, Sanitation and Environmental Health. http://www.lboro.ac.uk/well/
The Water and Environmental Health at London and Loughborough (WELL) website is a focal point of information about water, sanitation and environmental health and related issues in developing and transitional countries. They publish a wide-variety of guidance documents, including factsheets, studies and technical briefs in response to specific requests from the British Government Department for International Development (DFID) staff. WELL also supports development of technical manuals and guidance notes designed to reduce short-and-long-term problems through better documentation and dissemination of existing knowledge and understanding. WELL offers technical assistance and support to representatives of developing countries, UN agencies and UK non-governmental organizations.
• IRC International Water and Sanitation Centre. http://www.irc.nl/
Since its foundation in 1968, the IRC International Water and Sanitation Centre (IRC) has facilitated the sharing, promotion and use of knowledge so that governments, professionals and organisations can better support poor men, women and children in developing countries to obtain water and sanitation services they will use and maintain. The website contains a vast array of references, training courses and documents. Of particular interest is the interWater Guide to Organizations available at http://www.irc.nl/page/126.
• Water Supply and Sanitation Collaborative Council. http://www.wsscc.org/
Established in 1990 at the end of the International Drinking Water Supply and Sanitation Decade. Its purpose is to maintain the momentum of the Decade, by providing a regular way for water and sanitation sector professionals to exchange views and experiences and develop approaches to foster more rapid achievement of the goal of universal coverage
• NETWAS: Network for Water and Sanitation. Hosting the International Training Network for Water and Waste Management (ITN - Africa). http://www.netwas.org/
A network of regional and international training institutions, launched in 1984 by the World Bank's Water and Sanitation Program to support training in low-cost water supply and sanitation. ITN Centers provide training, disseminate information and promote local applied sector research on low-cost water supply and sanitation options. The Network links affiliated institutions serving Asia and Africa in Ouagadougou, Burkina Faso (serving countries in francophone West Africa); Kumasi, Ghana (Ghana); Harare, Zimbabwe (Zimbabwe); Nairobi, Kenya (Ethiopia, Kenya, Tanzania, and Uganda); Dhaka, Bangladesh; Calcutta, India (India); and Manila, Philippines (Philippines). New centers are under development.
• All Vision 21 Thematic Papers: http://www.wsscc.org/vision21/docs/index.html
WATER SUPPLY AND SANITATION . 2015 Page 26 • WHO catalogue 1991-2000. http://www.who.int/dsa/cat98/zcon.htm. See: http://www.who.int/dsa/cat95/zhow.htm
• Water and Sanitation Program Knowledge Network http://www.wsp.org/
The Water and Sanitation Program (WSP) is an international partnership of the world's leading development agencies concerned with improving sector policies, practices and capacities to serve poor people. Administered by the World Bank, WSP provides targeted support to national and local governments, local communities, and their support organizations.
• United Nations Water. http://www.unwater.org/ or http://www.unwater.org/statistics_KWIP.html
• Community-Led Total Sanitation. http://www.communityledtotalsanitation.org/page/clts- approach DISEASE PREVENTION AND CONTROL • Cholera and Other Epidemic Diarrhoeal Diseases Control (1996). Prepared by the Robens Institute, University of Surrey, UK. Geneva: WHO. http://apps.who.int/iris/handle/10665/66334
• PHAST Step-By-Step Guide: A Participatory Approach for the Control of Diarrhoeal Disease (1998). R. Sawyer, M. Simpson-Hébert and S. Wood. Geneva: WHO. English: http://whqlibdoc.who.int/hq/1998/WHO_EOS_98.3.pdf. French: Available for purchase at http://www.who.int/bookorders/francais/detart2.jsp?sesslan=2&codlan=1&codcol=93&codcc h=131
• Sanitation Promotion (1998). Mayling Simpson-Hébert and Sara Wood, eds. Water Supply and Sanitation Collaborative Council (WSSCC) Working Group on Promotion of Sanitation. Geneva: World Health Organization (WHO). http://whqlibdoc.who.int/hq/1998/WHO_EOS_98.5_pp1- 140.pdf and http://whqlibdoc.who.int/hq/1998/WHO_EOS_98.5_pp141-277.pdf
A valuable resource consisting of a number of short sections that can be used independently. A "Checklists" section (pp. 141-153) includes checklists for planning better sanitation projects, sanitation in emergency situations, hygiene behavior-change, and suggestions for addressing gender issues. Other sections focus on building political will and partnerships and on conducting promotional programs including subsections on principles and guidelines, empowerment, checklists, and promotion through innovation.
• Promoting Change in Environmental Health Behaviour (1999). Ben Cave and Valerie Curtis. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
A literature review focusing on the potential effectiveness of approaches to environmental health promotion in developing countries, and appropriate expectations and targets for change in health behavior.
• Drinking water and disease: what healthcare providers should know (2000). Physicians for Social Responsibility. Washington, D.C. http://www.psr.org/dwprimer.pdf
WATER SUPPLY AND SANITATION . 2015 Page 27 PROVISION OF DRINKING WATER • WHO Guidelines for Drinking Water Quality: Training Pack. (2000). World Health Organization, Protection of the Human Environment. Geneva: WHO. http://www.who.int/water_sanitation_health/dwq/dwqtraining/en/index.html
These training materials cover a wide range of topics and include 23 sessions - both presentations and practical sessions. Each presentation in the materials includes a session plan, a background paper and overhead transparencies. Each practical session provides guidance as to how such sessions might be delivered and the materials required.
• On-Line Bore-Well and Hand-Pump Installation Tutorial. Lifewater Canada. http://www.lifewater.ca/ndexdril.htm
• Water Quality Assessments: A Guide to The Use Of Biota, Sediments And Water In Environmental Monitoring, 2nd edition (1996). Deborah Chapman, ed. Published on behalf of UNESCO, WHO and UNEP. London: E & FN Spon. http://www.who.int/water_sanitation_health/resourcesquality/wqa/en/index.html SANITATION AND REFERENCES • John Kalbermatten, Richard Middleton and Roland Schertenleib. Household-Centered Environmental Sanitation. (1999). Vision 21. http://www.tempest.eawag.ch/organisation/abteilungen/sandec/publikationen/publications_se sp/downloads_sesp/Paper_Description_HCES_July99.pdf
An amplification of the HCES Model, developed following the Wageningen Meeting. It includes more detailed descriptions of the "zones" and the decision-making processes in different circumstances. Likely to be the model for environmental sanitation planning and implementation in the coming years.
• Guidelines for Wastewater Reuse In Agriculture And Aquaculture: Recommended Revisions Based On New Research Evidence (1999). Ursula Blumenthal, Anne Peasey, Guillermo Ruiz-Palacios and Duncan Mara. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
The implications of some new studies for the setting of international guidelines for using wastewater in agriculture and aquaculture are considered, along with the wastewater treatment and other health protection measures needed to achieve these guidelines.
• A Guide to the Development Of On-Site Sanitation (1992). R. Franceys et al. Geneva: WHO. http://www.who.int/water_sanitation_health/hygiene/envsan/onsitesan.pdf
• Community-Based Technologies for Domestic Wastewater Treatment And Reuse: Options For Urban Agriculture (1999). G.D. Rose. International Development Research Centre (IDRC). http://www.p2pays.org/ref/03/02008.htm
This document provides information on urban wastewater management. It specifically discussed issues involved in wastewater resrouce recovery, wastewater management, project planning and implementation. It also includes a good discussion of wastewater treatment technologies such as on-site treatment, anaerobic treatment systems, water-based treatments, and sludge management.
• Operation and maintenance of rural water supply and sanitation systems: a training package for managers and planners (2000). Prepared by Francois Brikke. WSSCC Operation and Maintenace
WATER SUPPLY AND SANITATION . 2015 Page 28 Network and IRC International Water and Sanitation Centre. Geneva: http://www.who.int/water_sanitation_health/wss/O_M/Rural.htm
• Sanitation for all (2000). UNICEF. http://www.unicef.org/sanitation/sanitation.pdf
Good overview of key issues. Offers a short set of recommendations for better programming.
• PROSANEAR. People, poverty and pipes: a program of community participation and low-cost technology bringing water and sanitation to Brazil’s urban poor (1998). Y. Katakura and A. Bakalian. UNDP-World Bank Water and Sanitation Program. www.wsp.org/pdfs/working_prosanear.pdf
• AQUA PLUS guidelist: appropriate technology for water supply and sanitation in the developing countries (2002). UNICEF Supply Division. Can be ordered at http://www.irc.nl/products/publications/descr/aqe.html
• Water for the world (1982). USAID Development Information Center. A series of 160 technical notes covering all aspects of rural water supply and sanitation. Out of print but available online through Lifewater International. http://www.lifewater.org/wfw/wfwindex.htm
• Guidelines for the safe use of wastewater and excreta in agriculture and aquaculture: measures for public health protection (executive summary) (1989). D. Maraand and S. Cairncross. Geneva: WHO. http://www.who.int/environmental_information/Information_resources/documents/wastreus. pdf
• Multi-stage filtration: an innovative water treatment technology (2000). Gerardo Galvis, Jorge Latorre and Jan Teun Visscher. Technical Paper no. 34. IRC International Water and Sanitation Centre.
• Engineering theme W4: executive summaries. DFID. Covering topics including water supply, water treatment, sanitation, wastewater, drainage, project cycle and others. http://www.lboro.ac.uk.uk/well/themew4/contents.htm
• Environmental sanitation from eco-systems approach (1999). Steven Esrey and Ingvar Andersson. Vision 21. http://www.wsscc.org/vision21/docs/doc39.html
• Health Aspects Of Dry Sanitation With Waste Reuse (2000). Anne Peasey. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
A review that collates current knowledge of health risks associated with dry sanitation technologies and the problems associated with their use and maintenance.
• Handbook on Community-Led Total Sanitation (2008). Kamal Kar and Robert Chambers. http://www.communityledtotalsanitation.org/resource/handbook-community-led-total- sanitation
• Community Approaches to Total Sanitation (2008). UNICEF Division of Policy and Practice, Programme Division. http://www.unicef.org/innovations/files/CATS_field_note.pdf GUIDANCE FOR OPERATION AND MAINTENANCE • Operation and Maintenance of Rural Water Supply and Sanitation Systems: A Training Package for Managers and Planners (2000). Prepared by François Brikké. WSSCC Operation and Maintenance Network and IRC International Water and Sanitation Centre. Geneva: http://www.irc.nl/redir/content/download/2548/26132/file/OME_OM_TrainingPackage.pdf
WATER SUPPLY AND SANITATION . 2015 Page 29 • See http://www.who.int/docstore/water_sanitation_health/wss/o_m.html for links to the following guides:
Selected case studies on operation and maintenance of water supply and sanitation systems. These case studies describe different operation and maintenance (O&M) experiences in a variety of countries, in both rural and urban settings. They are a useful source of information for improving O&M practice.
Tools for assessing operation and maintenance status of urban and rural water supply (2000). These comprehensive guidelines show how to assess O&M performance in both rural and urban areas.
Operation and maintenance of urban water supply and sanitation systems: a guide for managers. This publication examines factors which may prevent existing urban water supply systems from working efficiently, and provides guidelines and solutions for optimization.
Leakage control: source material for a training package. Materials trainers can adapt for use in local training courses, covering all aspects of leakage control, divided into individual modules for ease of use.
Upgrading water treatment plants (2001). Summarizes many different field experiences with efforts to improve the quality of water and to upgrade the capacity of water treatment plants. It provides a practical approach to improving the performance of water treatment plants.
Management of operation and maintenance in rural drinking-water supply and sanitation: a resource training package. This package contains resource material for training courses aimed at improving the management of O&M in rural areas.
Models of management systems for the operation and maintenance of rural water supply and sanitation systems. This document evaluates the factors which influence the development of O&M management systems for rural facilities. It describes models in eight representative countries and offers guidance to planners and designers in selecting the best approach.
Linking technology choice with operation and maintenance. This document helps users make more appropriate technology choices by providing information on the O&M implications-particularly the costs-of selecting a specific technology.
• Tecnologia manual de vaciado de pozos negros (manual pit latrine emptying technology (MAPET)), Dar es Salaam (Tanzania). Habitat. United Nations Best Practices Database. In Spanish: http:habitat.aq.upm.es/bpn/bp271.html
• Small pit emptying machine: an appropriate solution in Nairobi slum, Madeleen Weglin-Schuringa, IRC International Water and Sanitation Centre, and Manus Coffey, Manus Coffey Associates (MCA) for UNCHS (Habitat). http://www.irc.nl/themes/sanitation/smallpit.html CASE STUDIES • Provision of Water and Sanitation Services to Small Towns (2000). Jeremy Colin and Joy Morgan. http://www.lboro.ac.uk/well/resources/well-studies/summaries-htm/%23brief323.htm
This report describes and analyzes the findings of rapid investigations in two small towns in Uganda and two in the Southern Indian state of Kerala.
• Sanitation Programmes Revisited (1999). Darren Saywell and Caroline Hunt. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
WATER SUPPLY AND SANITATION . 2015 Page 30 A comparative analysis of two notable African sanitation programs, focusing on a historical analysis (investigating how, when and why the programs developed in the way they did) and an understanding of critical issues common to each program, including demand assessment, sanitation promotion, community participation, responsibility for service provision, finance and cost recovery, and health aspects of promotion.
• Lessons Learned From Village-Level Operation and Maintenance (VLOM) (1999). Jeremy Colin. http://www.lboro.ac.uk/well/resources/well-studies/well-studies.htm
A literature review of sector experience of the Village Level Operation and Maintenance Management (VLOM) approach to rural water supply.
• Learning What Works: A 20-Year Retrospective View on International Water And Sanitation Cooperation (1998). Maggie Black. World Bank. English:. http://www.un.org/esa/sustdev/sdissues/water/InternationalWaterDecade1981- 1990_review.pdf
A detailed history of water supply and sanitation programs and lessons learned. CLIMATE CHANGE RESOURCES
Note: USAID's Global Climate Change (GCC) Office can provide support on the climate change aspects of this Guideline. To contact the GCC office, please email: [email protected]
• USAID. 2007. Adapting to Climate Variability and Change: A Guidance Manual for Development Planning. http://pdf.usaid.gov/pdf_docs/PNADJ990.pdf • USAID. 2009. Adapting to Coastal Climate Change: A Guidebook for Development Planners. http://pdf.usaid.gov/pdf_docs/PNADO614.pdf The guidance provides information to assist planners and stakeholders as they cope with a changing climate throughout the project cycle. • National Communications are submitted by countries to the UNFCCC and include information on country context, broad priority development and climate objectives, overviews of key sectors, historic climate conditions, projected changes in the climate and impacts on key sectors, potential priority adaptation measures, limitations, challenges and needs. http://unfccc.int/national_reports/non- annex_i_natcom/items/2979.php • The World Bank’s Climate Change Knowledge Portal is intended to provide quick and readily accessible climate and climate-related data to policy makers and development practitioners. The site also includes a mapping visualization tool (webGIS) that displays key climate variables and climate-related data. http://sdwebx.worldbank.org/climateportal/ • National climate change policies and plans. Many countries have policies and plans for addressing climate change adaptation. • United Nations. Climate Change and the Human Rights to Water and Sanitation. Position Paper. http://www2.ohchr.org/english/issues/water/iexpert/docs/ClimateChange_HRtWS.pdf • WHO. 2009. Vision 2030: The Resilience of Water Supply and Sanitation in the Face of Climate Change. http://www.who.int/water_sanitation_health/vision_2030_9789241598422.pdf • WaterAid. 2012. Handbook on Climate Change and Disaster Resilient Water, Sanitation and Hygiene Practices.
WATER SUPPLY AND SANITATION . 2015 Page 31 http://www.wateraidamerica.org/includes/documents/cm_docs/2013/h/handbook_on_climate _change_and_disaster_resilient_wash_practices.pdf • Commonwealth Secretariat. 2009. Managing the Health Effects of Climate Change: 3. Water and Sanitation. http://www.thecommonwealth.org/files/206112/FileName/waterandsanitation.pdf • Environmental Protection Agency. Sources of Greenhouse Gas Emissions. 2013. http://www.epa.gov/climatechange/ghgemissions/sources/commercialresidential.html DOCUMENTS DISPONIBLES EN FRANÇAIS • Manuel de l'Assainissement Total. Piloté par la Communauté. Kamal Kar et. Robert Chambers. Plan International 2008. http://www.communityledtotalsanitation.org/sites/communityledtotalsanitation.org/files/medi a/Manuel_ATPC.pdf
• Documents et outres resources du Site de IRC, http://www.fr.irc.nl/page/13567
Directives environnementales, sanitaires et sécuritaires pour l'eau et l'assainissement. Société Financière Internationale Avril 2007. http://www1.ifc.org/wps/wcm/connect/c292fc00488658adb6c6f66a6515bb18/052_Water %2Band%2BSanitation.pdf?MOD=AJPERES&CACHEID=c292fc00488658adb6c6f66a6515 bb18
Manuel en environnement - Ressources complémentaires — Systèmes d'assainissement. Outils pour l'identification des effets environnementaux de secteurs d'activités spécifiques, des mesures d'atténuation appropriées et lignes directrices ACDI. 2007. http://www.acdi-cida.gc.ca/acdi- cida/acdi-cida.nsf/fra/REN-218123430-NML
Normes relatives à l’eau, l’assainissement et l’hygiène en milieu scolaire dans les environnements pauvres en ressources John Adams, Jamie Bartram, Yves Chartier, Jackie Sims. WH)O. 2010. http://www.who.int/water_sanitation_health/publications/wsh_standards_school/fr/index.html DOCUMENTOS DISPONIBLES EN ESPAÑOL • Normas sobre agua, saneamiento e higiene para escuelas en contextos de escasos recursos. John Adams, Jamie Bartram, Yves Chartier, Jackie Sims. WHO. 2010. http://www.who.int/water_sanitation_health/publications/wsh_standards_school/es/index.ht ml
• Manual sobre. Saneamiento. Total Liderado por la Comunidad. Kamal Kar con Robert Chambers. Preparado con el apoyo del Plan 2008. http://www.communityledtotalsanitation.org/sites/communityledtotalsanitation.org/files/medi a/Manual_sobre_saneamiento_total.pdf
• Saneamiento, aqua e higiene en escuela. Una prioridad para el desarrollo de la niñez Alianza para el mejoramiento de las condiciones de Agua, Saneamiento e Higiene en las Escuelas de América y el Caribe. http://www2.paho.org/hq/dmdocuments/2010/Nota%20Conceptual%20- %20WASH%20en%20escuelas_lowres.pdf
WATER SUPPLY AND SANITATION . 2015 Page 32 • Manual sobre saneamiento e higiene en la escuela UNICEF 2007. http://www.irc.nl/page/6521
• Guías sobre medio ambiente, salud y seguridad para agua y saneamiento Corporación Financiera Internacional. Abril 2007. http://www1.ifc.org/wps/wcm/connect/d594b60048855aba86dcd66a6515bb18/0000199659ESes%2B Water%2Band%2BSanitation%2Brev%2Bcc.pdf?MOD=AJPERES&CACHEID=d594b60048855aba 86dcd66a6515bb18
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Session 13. EMMP Skill-Building Exercise Field visit and practical exercise
Objectives Through facilitated field visits participants will further develop and apply the practical EIA skills and environmental compliance approaches introduced and discussed up to this point of the workshop, with emphasis on the EMMP. This session also strengthens familiarity with the Sector Environmental Guidelines as a key resource in the preparation of EMMPs.
Summary This field-based exercise is not an isolated activity; it puts into practice the tools and methods presented in the classroom, and approximates our role as development professionals in achieving environmental compliance and ESDM. Once back from the field, participants will combine site- and activity-specific data and information with core EIA skills in a small-group format to prepare an EMMP.
Each group will present their EMMP and any related key findings to the larger training group for further discussion and observations.
This session is divided into four components: • Session 13a: Briefing and classroom preparation • Session 13b: Field visit • Session 13c: Small-group work • Session 13d: Group presentations in plenary
13a: EMMP Skill-Building Exercise—Briefing and classroom preparation (1 hr.) During this pre-field visit session participants will receive instruction on the methodology and the objectives of the skill-building exercise. This classroom preparation will enable participants to understand the general project scenarios to be assessed. The four technical areas for the skill-building exercise include:
1. Pesticide Safer Use 2. WASH/Water Provision 3. Health Care Waste Management 4. Fisheries/Natural Resource Mngt.
Participants will have already selected or been assigned to one of the above technical areas. Individual groups will form at this time; each group should listen carefully for additional detail on the project sites. Groups will then have some time to review relevant resources or documentation, consult with their accompanying trainer/facilitator, and to confer as a team on a general approach or issues related to the field visit. Questions and issue for discussion include: 1) Use the Sector Environmental Guidelines and other resources—including your own experience— to identify the types of adverse environmental impacts typically associated with the site or activity you will be visiting (e.g., WASH, pesticide use, etc.).
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
2) Discuss any other aspects of the design or management of these types of activities that are not environmentally sound. 3) Drawing from the EIA skill-building exercise, consider the most relevant aspects of the baseline situation that should be observed and assessed in the field. 4) Discuss which mitigation measures could be employed to avoid, reduce, or offset potential adverse environmental impacts. 5) Review the structure/organization of the EMMP. 6) Consider what information to collect in the field and what questions to ask the field visit host, project beneficiaries, or other stakeholders. Assign roles, as appropriate, within the group for data collection and/or any interviews. 7) Identify the following roles within each group: • Chairperson: • Recorder: • Spokesperson:
13b: EMMP Skill-Building Exercise—Field visit (approx. 4 hrs.) Participants will use group transportation and proceed to the designated project site. Each group will be accompanied by at least one workshop trainer/facilitator. Please bring to the field: • Notepad/pen • Camera (if possible) • Walking shoes and a hat • Sunscreen/sunglasses • Water bottle
Use your eyes and ears to gather information that will enable preparation of the EMMP. Don’t forget to consider the opinions and concerns of beneficiaries and the local community, asking them about the project’s environmental, social and economic impacts and their recommendations.
13c: EMMP Skill-Building Exercise—Small-group work (approx. 3.5 hrs.) Once back from the field, each small group will collaborate to prepare an EMMP based on the preceding field visits. During this time, participants will synthesize field observations and develop specific mitigation and monitoring criteria for presentation in the form of an EMMP.
13d: EMMP Skill-Building Exercise—Group presentations in plenary (90 mins.) This component will provide an opportunity for each working group to present its EMMP as based on the field visit and subsequent small-group synthesis and collaboration.
Each group’s EMMP will be presented to the training group at large and key elements or aspects of the findings discussed in plenary form.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session 14. Environmental Compliance Reporting Technical presentation and dialogue
Summary USAID CORs and AORs are required by ADS 204 to monitor and evaluate on an ongoing basis whether the environmental mitigation required by the governing IEE(s)/EA is being implemented and is effective.
In other words, COR and AOR oversight responsibilities extend to environmental compliance, just as they do to other elements of project implementation. Practically, this requires that IPs not only systematically comply with IEE/EA conditions by developing and implementing EMMPs, but that they report to USAID on this implementation.
Regional best practice for IP environmental compliance reporting consists of two elements:
1. Project reporting should provide an auditable record of environmental compliance. Generally, IPs’ quarterly or semi-annual reports should contain a separate environmental compliance section. The section must provide sufficient information on the status of EMMP implementation for USAID to effectively fulfill its oversight and performance monitoring role. If the EMMP contains a “monitoring log” section, then the EMMP itself—updated with current monitoring results—can simply be appended to the report. For larger projects, or those with complicated EMMPs, a text summary/short analysis of EMMP implementation is needed. This should highlight key mitigation activities underway in the reporting period, any significant issues encountered, and corrective actions/adjustments made. Any specific reporting requirements imposed by the IEE or EA must also be satisfied.
2. One or more key project performance indicator(s)—“project results framework”—should reflect overall environmental soundness/environmental compliance. In other words, the most critical elements of environmental soundness/compliance should be integrated, or “mainstreamed” into the project results framework. For example: • In a water point provision project, the IP might use the indicator “number of protected water points established with zero fecal coliform after six (6) months” rather than simply “number of water points established.” • In a road rehabilitation project, the IP might use the indicator “km of road rehabilitated under environmentally sound practices” rather than simply “km of road rehabilitated.” In both cases, the “environmentalized indicator” demonstrates that core project activities are being executed with attention to environmental soundness/compliance. However, it is NOT expected or appropriate to “environmentalize” every key indicator, or to capture every mitigation measure. (This best practice applies to new awards; where EMMPs are developed after the PMP is established, it may not be possible to change key performance indicators.)
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Missions should not rely on IP progress reports alone to track environmental compliance. Field visits at minimum should include a quick check for significant environmental design/management problems (for certain activities, the Visual Field Guides [VFGs] may be used).
For environmentally complex activities, specific field visits should be made to verify EMMP implementation.
In summary, IP and USAID environmental compliance roles and responsibilities are as follows:
Project stage Implementing Partner USAID Workplan & PMP Develops EMMP Review and approval of: Development Integrates EMMP into budget and 1. the EMMP (for responsiveness to IEE/EA workplan conditions and sufficiency of monitoring); Determines environmental 2. The budget/workplan (to verify that EMMP compliance reporting implementation is planned and funded); and 3. The reporting framework to assure that environmental reporting requirements are met. Implementation Implementation of EMMP Ongoing review of partner progress reports to Reporting on EMMP implementation monitor EMMP implementation Field visits—at a minimum, all visits should integrate a quick check for significant environmental design/management problems. For environmentally sensitive activities, specific visits should be made to verify EMMP implementation.
Objectives Achieve a common understanding of the two basic elements of IP environmental compliance reporting: (1) providing USAID with an auditable record of IP environmental compliance; and (2) "mainstreaming" critical elements of environmental soundness/compliance into one or more core program performance indicators.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015 Session Objectives:
• Understand USAID criteria for environmental compliance reporting
Environmental Compliance Reporting • Review role of EMMP in the reporting process • Discuss “mainstreaming” of project environmental performance for reporting purposes
• Learn how to “environmentalize” key project indicators
GEMS Environmental Compliance-ESDM Training Series Malawi ƒ November, 2015 2
The EMMP is in place … now what? Preparing “an auditable record” of compliance
Environmental compliance Now that EMMP is reporting can be integrated as being implemented, part of ‘regular’ project reporting Any specific reporting USAID needs to know. What does the ADS say? requirements contained in the 1. Project reporting must Quarterly or semi-annual project IEE must also be addressed Team Leaders and Activity provide an auditable record reports should contain a separate Managers or C/AORs must section addressing environmental of environmental actively manage and monitor compliance. compliance. compliance with any IEE/EA Title II CSs must submit an conditions, modifying or ending 2. One or more key project activities not in compliance. The section must provide Annual Environmental performance indicator(s) (ADS 202.3.6 , 204.3.4 and 303.2.f sufficient information on the status Compliance Status Report (project results framework) of EMMP implementation for should reflect overall USAID to effectively fulfill its environmental soundness/ oversight and performance environmental compliance. monitoring role. Let’s look at #1 first:
3 4 Use EMMP to streamline reporting EMMP monitoring log can simplify reporting
If the EMMP contains a “monitoring record” section, simply attach If the EMMP contains a “monitoring record” section, attach the the EMMP to the quarterly or semi-annual reporting document. EMMP—updated with current monitoring results—to the report. Mitigation Responsible Monitoring Scheme Est. Monitoring Log Incorporated in final Built-as specified? Notes Measure Party Cost technical specifications (confirmed by field inspec.) (Issues & resolution) Indicators Data source/ How Date Result Follow-up Method Often Date Initials Y/N Date of Initials Confirmed inspection Design requirement GRADING, SEPTIC & DRAINAGE. If construction results in substantially increased 3. Install & Project # of doors and other flow- Reports Quarterly slope of any land within 10m of the stream, that properly operate agricultural control structures installed Field visit slope must be protected with berms, plantings, canal-level flow technician x% of Ha. under flow control etc.) regulation Site grading and drainage shall be designed structures x% of secondary & tertiary The irrigation and constructed to prevent accumulation of Excerpt of EMMP with canals showing significant standing water erosion damage after each rehabilitation EMMP Aprons must be installed and drainage monitoring record for medium- growing season provided at water supply point(s)—no standing from the session on water allowed. scale construction project. No direct gray or brown-water discharge to 4. Protect upper Project # of trees planted and survived Reports Quarterly EMMPs stream is allowed. All drainage with the slope with fruit agricultural x % of at-risk upper slope land Field visit /Annual exception of storm runoff and water point (mangoes, citrus, technician protected drainage must be channeled to the septic avocado) and Comparison system. forest trees x total m3 of sediment removed with baseline If septic tank design is a pump-out tank without from canals over each rainy information leach field, assure impermeable tank season. construction or min 30m separation between tank and stream and nearest shallow well.
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Complex EMMPs require detailed reporting “Mainstreaming” environmental performance
Larger projects, or those with Environmental issues can be integrated, or “mainstreamed” What is Reporting complicated EMMPs may require into the project results framework Requirement #2 again? … more detailed reporting to create for reporting purposes. “One or more key project an auditable record. This does NOT mean that: performance indicator(s) (project results framework) should reflect A text summary or short analysis of • Every mitigation measure must be overall environmental soundness EMMP implementation is needed: captured in core indicators & compliance.” Highlight key mitigation activities • Every core program indicator must underway in the reporting period; be “environmentalized” Any significant issues encountered; and This applies to new awards. This IS to say that overall, project Corrective actions/adjustments made. success must be partly measured Where EMMPs are developed on the most critical elements of after the PMP is established, it Stand-alone Environmental Compliance environmental soundness/ may not be possible to change reports may also be warranted compliance key program indicators. (e.g., quarterly or semi-annual). Now on to requirement #2:
7 8 Bringing env. issues into results framework Bringing env. issues into results framework
EXAMPLE: Fuel Wood & EXAMPLE: This intervention will NOT show good Food for Peace Deforestation Water Point Provision performance. . . How much firewood does a typical Food for Key Program Indicators: Peace (FFP) program use? ~1 kg firewood/person/day x 70,000 ¾ Protected* water points beneficiaries x 365 d established ~30,000 MT of firewood/yr ¾ # beneficiaries receiving water from protected water points Mitigation: Improved cook stoves and cooking practices ¾ % of water points with no fecal coliforms per 100 ml Added to key program indicators : ¾ % of water points established ¾ Amount of fuel saved by improved that are clean after 6 months practices ¾ Amount of time saved by improved *Protected = fenced against practices livestock, drained NOT just number of stoves distributed 9 10
“Environmentalizing” project indicators USAID review of environmental reporting
EXAMPLE: Road rehabilitation Who reviews EMMPs & Typical Indicator: environmental compliance ¾ Km of road rehabilitated reporting inside USAID? Will environmental Strengthened, “Environmentalized” indicator: ¾ Km of road rehabilitated under compliance checks be part of environmentally sound practices.* Mission M&E?
*provide definition of environmentally sound practices from EMMP As with all other aspects of the project, the COR or AOR is the primary reviewer. But the MEO and M&E function may also be involved.
11 USAID environmental compliance oversight
1. Prior review/approval of partner-developed: Primary responsibility for Æ Æ ensuring IP compliance EMMP lies with COR/AOR. ensure responsive to IEE/EA conditions Æ Project budgets and workplansÆ MEO will also review/clear ensure EMMP implementation planned and funded where activities are environmentally sensitive Æ Project Reporting FrameworkÆ and/or IEE/EA conditions ensure environmental compliance reporting are complex. requirements are met 2. Ongoing review of partner progress reports MEO on distribution list for IP’s quarterly/semi-annual to monitor EMMP implementation project reports. 3. Field visits: Most field visits are by o at a minimum, all visits integrate a quick check for COR/AOR or M&E Officer. significant env. design/management problems MEO should visit the most o For environmentally sensitive activities, specific environmentally sensitive visit(s) to audit against EMMP activities (REA may assist).
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Session 16. Roles, Responsibilities and Resources Technical presentation and dialogue
Summary Now that we understand the importance of ESDM and environmental compliance in project implementation, we may wonder how our job or position fits into this process. This session explains key roles and responsibilities of USAID staff and IPs, and summarizes a number of important concepts introduced throughout the workshop. All concern the processes, roles and responsibilities for environmental compliance in missions and operating units.
Key topics • How environmental compliance is mainstreamed (integrated throughout) Agency operations by the Automated Directives System (ADS). • The roles and responsibilities of USAID staff and IPs with respect to the environmental compliance of USAID projects. • The importance of incorporating best-practice Environmental Compliance Language (ECL) in solicitations and awards and the benefits of using the ECL tool for this purpose. • Resources available to support environmental compliance and ESDM.
IP and USAID environmental compliance roles and responsibilities post-award are summarized in the following table:
Project stage Implementing Partner USAID Workplan & PMP Develops EMMP Review and approval of: Development Integrates EMMP into budget and 4. the EMMP (for responsiveness to IEE/EA conditions workplan and sufficiency of monitoring); Determines environmental 5. the budget/workplan (to verify that EMMP compliance reporting implementation is planned and funded); and
6. the reporting framework to assure that environmental reporting requirements are met. Implementation Implementation of EMMP Ongoing review of partner progress reports to Reporting on EMMP implementation monitor EMMP implementation Field visits—at a minimum, all visits should integrate a quick check for significant environmental design/ management problems. For environmentally sensitive activities, specific visits should be made to verify EMMP implementation.
Objective Understand environmental compliance roles and responsibilities of USAID staff and IPs and the tools and resources available to facilitate environmental compliance.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Environmental Compliance & the Automated Directives System (ADS)
• USAID’s Automated Directives System (ADS) sets out mandatory procedures, roles & Roles, Responsibilities & Resources responsibilities for: • “Upstream compliance:” Design & 22 CFR 216 process • “Downstream compliance:” implementing IEE & EA conditions
GEMS Environmental Compliance-ESDM Training Series 2 Malawi ƒ November, 2015
Environmental Compliance & the ADS A Note About Record Keeping
ADS 204 (“Environmental Procedures”) is the core ADS reference. But environmental compliance is mainstreamed throughout the ADS. • Approved 22 CFR 216 documents Overarching Compliance Responsible Parties ADS Reference are kept in two places: requirement: Requirement • in official project files Operating Environmental considerations Team Leaders, 201.3.16.3.b 204.3.3 maintained by units must in activity planning Activity Managers C/AOR have systems No activity implemented COR/AOR/ 201.3.16.16.4.i • in official BEO files in place for without approved Reg. 216 Activity Manager 204.3.1 environmental environmental documentation 204.3.3.b • 22 CFR 216.10 makes all of compliance 303.3.2.e these available to the public over life of IEE & EA conditions COR/AOR/ 204.3.4.a.6 project & incorporated into procurement Activity Manager; 303.3.6.2e • of all instruments Agreement Officer Agency-wide searchable database must make Reg. 216 docs approved since 2000: sufficient IEE & EA conditions are COR/AOR 202.3.6; resources implemented, and 204.3.4.b http://gemini.info.usaid.gov/egat/envcomp/ available for implementation is monitored & 303.2.f this purpose adjusted as necessary • Annual reporting is required Environmental compliance PO, COR/AOR, Team 202.3.4.6 (204.3.4) documentation is maintained Leader, MEO 3 4 Mission Environmental Officer Regional Environmental Advisor
• At each USAID Mission … • Based in regional Missions • USAID/Malawi = Madalitso Kaferawanthu • USAID/Southern Africa = Diana Shannon • Quality Assurance/Quality Control • Environmental compliance reviewer for Reg. 216 docs; technical assistance to Missions; • Clears Reg. 216 docs before • Provides quality assurance and quality control they go to Mission Director; of Reg. 216 documentation before it goes to the Bureau Environmental Officer. • Mission compliance advisor and coordinator; assists in compliance monitoring; • Mission point of contact to Regional Env. Advisor and Bureau Environmental Officer. 5 6
Bureau Environmental Officers Sector Teams & Mission Management
CORs/AORs & • Based in Washington, D.C. Activity Managers. Primary Assure Reg. 216 documentation in place. Assure Responsibility for • USAID/AFR = Brian Hirsch IEE/EA conditions & compliance requirements incorporated into procurement instruments. Monitor Environmental compliance with IEE/EA conditions & modify or end Compliance • Oversee environmental activities not in compliance. compliance in their Bureau; • Primary decision makers on 22 CFR 216 Team Leaders Mission Director threshold decisions for activities under Oversee Ultimately ! the purview of their Bureau. CORs/AORs. responsible for The MEO is a Assure that their environmental member of every teams have compliance. sector team environmental Mandatory compliance clearance on all (ADS 204.3.5) system in place. Reg. 216 environmental 7 documentation. 8 Agency Environmental Coordinator, Reg. 216 docs: Who writes? Who clears? Office of the General Counsel • Who writes? Go to the field before Agency Environmental Coordinator (AEC) • AOR/COR responsible for assuring you write Coordinates 22 CFR 216 implementation & advises Reg. 216 documentation in place. regarding the application of Reg. 216 in new situations. • Can engage a consultant/contractor to develop— Concurs in AA’s appointments of BEOs. Environmental Assessments almost always developed by 3rd party consultants. Coordinates EIS process for USAID (rare) • USAID is responsible for contents/determinations NO MATTER WHO DEVELOPS IT! • Who clears? Regional Legal Assistant When the BEO Advisors (RLAs) • COR/AOR, Activity Manager or Team Leader General ! and MD cannot provide legal advice Counsels (AGCs) • MEO (for Mission) on environmental agree regarding a compliance to field provide legal • REA (depending on Mission/regional policy) advice to BEOs & threshold decision, staff. Some regions • Mission Director or require RLA RLAs on the issue goes to Required by Washington equivalent clears clearance on Reg. environmental the AA with AEC Reg. 216 216 documents. compliance in their consultation • Bureau Environmental Officer concurs. regions. . 9 Responsibility/authority cannot be delegated 10
Environmental Compliance Who is responsible? Verification/Oversight by USAID
USAID Implementing Partners 1. Prior Review/Approval of partner-developed Primary responsibility for Æ Æ ensuring compliance lies Assures Reg. 216 documentation in ALWAYS: Implement mitigation and EMMP with C/AOR. place. Establishes/approves monitoring conditions that apply to their ensure responsive to IEE/EA conditions environmental mitigation and monitoring project activities & report to USAID. Æ Budgets and workplansÆ MEO will also review/clear conditions. Verifies compliance. ensure EMMP implementation planned & funded where activities are env. ALWAYS responsible for design of sensitive and/or IEE/EA In the Mission detailed environmental mitigation and Æ Project Reporting FrameworkÆ conditions are complex. monitoring plan (EMMP) in response to ensure environmental compliance reporting Fundamental responsibility & mitigation and monitoring conditions requirements are met accountability: established by the Reg. 216 documentation. 2. Ongoing review of partner progress reports MEO on distribution list for • Sector Team Leader IP’s quarterly/semi-annual to monitor EMMP implementation • Activity Managers & COR/AORs SOMETIMES develop Reg. 216 project reports. documentation (IEEs, EAs)* for new 3. Field visits: Most field visits are by • ultimately with the Mission Director project components; develop subproject o C/AOR or M&E Officer env. review reports (for at a minimum, all visits integrate a quick check for MEO: quality and completeness reviewer significant env. design/management problems for Reg. 216 documentation; compliance subgrants/subprojects). MEO should visit the most advisor and coordinator; assists in o For environmentally sensitive activities, specific environmentally sensitive compliance monitoring. visit(s) to audit against EMMP. activities (REA may assist) 11 12 *Title II CSs develop IEEs as part of their MYAPs. Environmental Compliance & Environmental Compliance: Procurement Instruments Language for Use in Solicitations and Awards (ECL)
ADS Requires. . . • Critical to IP compliance with Step-by-step guidance “Incorporating IEE/EA conditions environmental factors and boilerplate language and mitigative • BUT: historically, problems in • For RFAs/ RFPs/ measures identified implementation: agreements/ grants/ in IEEs, EAs, and contracts EISs, as appropriate, • Many USAID procurement in the design and the instruments have NOT adequately • Optional, not required implementation addressed environmental • ADS Help Document instruments for compliance • Approved by General programs, projects, Counsel activities or • Lack of guidance required A/CORs, amendments.” COs to repeatedly “reinvent the wheel” (204.3.4(a)(6) Available from • Partners/contractors fail to budget for www.usaid.gov/policy/ environmental requirements ads/200/204sac.pdf The solution. . . 13 14
The ECL strengthens The ECL generates. . . Environmentally Sound Design & Management, and. . .
Provides cost & efficiency benefits to both Mission Staff & Best practice Requiring that: Implementing Partners solicitation Proposals address qualifications and USAID Staff Implementing Partners language proposed approaches to compliance/ ESDM Avoids the effort, costs and loss of Provides clarity regarding for environmentally good will that come from imposing environmental compliance complex activities. “corrective compliance” measures on responsibilities IPs after implementation has started. Prevents “unfunded mandates”– Reduces USAID cost and effort of USAID requirements to implement Requiring that: env compliance verification/oversight Best practice To assure that projects do not “creep” M&M after implementation has IP verifies current & out of compliance as activities are by assuring that IPs integrate award planned activities annually modified and added over their life. environmental compliance reporting started & without additional budget. language against the scope of the into routine project performance RCE/IEE/EA. Specifically: reporting. 1. Complete EMMP exists or is The necessary developed. mechanisms and budget 2. Workplans & budgets integrate the for IP implementation of EMMP IEE/EA conditions are in 15 15 3. Project reporting tracks EMMP 16 place. implementation Who can help? References & Useful Information SECTORAL ENVIRONMENTAL GUIDELINES Chapter 11: Livestock AUGUST 2012
MEOs in every bilateral Mission AND the BEOs and REAs:
• USAID Environmental Compliance & Related Links Andreidrei BarBarannikraannik www.usaid.gov/our_work/environment/compliance CARR (DCC-based) WDCWDC • 22 CFR 216 BEOss www.usaid.gov/our_work/environment/compliance/ KalimK Hannaa AlexandraAlexaexaandra Hadzi-VidanovicH PaulPauul SchmitdkeSchmitdkc keke, CaribbeanCaribbC bean 22cfr216 Abdourahmanee N'diayeNdN MEE (Cairo) (Dominican Republic) Sahel (Dakar) Aaron BrownellBrowne • ADS Series 200 (with link to Chapter 204) JoeJT TorresTorreorrees RDMA www.usaid.gov/policy/ads/200/ CentralCentraaall AmericaAmeric Jody StalStallingslings Davidd KinyuaKinyu (Bangkok) (El Salvador) • WestWesst AFRAFR East AFR Plain-language overview of USAID’s environmental (Accra) (Nairobi) procedures & the EIA process Jasononn GGirardirard • Sector Environmental Guidelines Southuth AAmericameri + many other resources (Peru) Diana Shannon www.usaidgems.org Judithdidithth M Mlandalanda ZZvZvik Zvikarambaikkarambkaramb Southernn AFRAFR (Pretoria) AFR: Brian Hirsch (Walter Knausenberger/Alexis Erwin); Asia & ME: Will Gibson; BFS: Bill Thomas; DCHA: Erika Clesceri; E&E: Mark Kamiya; E3: Teresa Bernhard; GH: Rachel Dagovitz; LAC: Victor Bullen; M/ODP: Dennis Durbin; OAPA: Gordon Weynand; GDL: Dan Evans. 17 1818
Session 17. Resolving the “Parking Lot”: Final General Q&A Session Facilitated Discussion
Summary Through the technical presentations, group work and discussions we have identified a number of “parking lot” items—questions and issues that could not be easily addressed at the time they arose, but which are important to answer and resolve before the end of the workshop.
As we prepare to conclude the workshop, we will use this session to discuss—and hopefully resolve— these parking lot issues in a facilitated discussion that draws on assembled expertise of USAID staff, the consultant trainers, and participants.
Objective Conclude the “core technical skills and knowledge” portion of the workshop by resolving parking lot issues.
Key Resource • List of “parking lot” issues compiled during the workshop.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Session 18. Environmental Priorities for USAID Activities in Malawi + Bringing Curricula to Reality Group discussion and individual action planning
Summary The first approximately one-half of this session will be comprised of group discussion addressing environmental priorities and challenges for USAID/Malawi and its partners.
Group discussion will be followed by an Action Planning exercise in which participants synthesize key elements of the technical instruction and skill building activities to identify specific ways in which they can advance environmental compliance objectives and the principles of ESDM.
Taking Stock: the State of Environmental Compliance in USAID Mission & Projects This workshop has set out environmental compliance requirements, and how the responsibilities for fulfilling these requirements are allocated among USAID, including A/CORs, and IPs. In practice, significant compliance gaps and shortfalls exist. Many of these gaps and shortfalls are rooted in inadequate compliance systems and processes.
That is, for compliance to be achieved in practice, it is not enough that individual USAID and IP staff understand their roles and responsibilities and master key skills; internal mission/team and project processes must be in place that support (and require) the exercise of these responsibilities.
In this first part of the session, we will examine the AFR Best Practice Standard to better understand the mission processes and capacities required for environmental compliance in project implementation. (While developed by Africa Bureau, there is nothing about these standards that are region-specific.) This session will consist of discussions and individual planning on “ways forward”—i.e., how to strengthen mission/team and IP/project compliance processes and capacities to improve environmental compliance and better achieve ESDM.
Focus Groups and Individual Action Plans Having taken stock of where we are, we are ready to begin to discuss ways forward: how can we and our mission and projects strengthen mission and team compliance processes and capacities to improve environmental compliance and better achieve ESDM?
We will divide into two focus groups: (1) Mission Staff and (2) IPs. (Note: depending on balance of participant numbers in these two groups, a different grouping may be decided.) Each group will engage in a facilitated discussion.
Focus Group Questions: • What elements of environmental compliance are well implemented by your team/project? Why? • Have you/your team/the mission/your project implemented compliance strengthening measures you would like to share? Are they working well?
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
• Key environmental compliance gaps within your team/project? What are the causes of these gaps? • Do you see feasible remedies? What are they? • What do the USAID sector teams (and A/CORs specifically) need to do differently? Do they or the projects need additional resources, support or training to implement these changes?
Plenary “Way Forward” Discussion and Individual Action Plans Following the focus groups, we will reconvene in plenary: • We will begin the plenary session with a short report-out from each group. • Then, we will have a facilitated discussion to try to reach agreement, as a group, on the following questions: Assuming that each of us have the opportunity to deliver post-workshop briefings to Mission Management /Sector Team leaders or COPs, what are the key points to convey to prioritize and strengthen environmental compliance? Key recommendations to make? (Not all points will be applicable to all everyone, but we want to agree on a set of core messages.) • The last portion of this session will be reserved for development of individual workshop follow- up plans, using the template on the following page. We will ask for volunteers to share some of their follow-up items.
Objective Survey the Mission and Project processes and capacities required for environmental compliance. Identify key messages to communicate to mission management/sector team leaders (USAID staff) and COPs (IP staff) to prioritize and strengthen environmental compliance in project implementation. Develop an individual plan for workshop follow-up to strengthen environmental compliance in your project, team, or mission/operating unit. Key resources • USAID/AFR Environmental Compliance Best Practice Standard • Environmental Compliance Action Plan template (both provided on the following pages.)
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
USAID/AFR Environmental Compliance Best Practice Standard (draft—revised March 2015)
A. Directive environmental documents are in place and accessible to and utilized by Mission staff 1) Environmental Compliance Mission Order is in place and generally consistent with AFR good-practice model.1 2) Mission tracking system exists for Regulation 216 and host-country documentation status, and coverage at the contract/award level is accessible to all staff and utilized and contributed to by staff, including use by A/CORs to track EMMPs. 3) MEO, A/COR, and AM have copies of their current IEEs and host-country environmental documentation on file (electronic or hard copy, including Programmatic IEEs and central mechanisms). 4) Up-to-date ETOA or FAA 118/119 as part of the CDCS, prepared with MEO involvement or review. 5) Mission’s Performance and Monitoring Plan (PMP) reflects attention to environmental compliance. 6) Current Regulation 216 documentation (RCEs, IEEs, and PERSUAPs) at the appropriate Mission or central level are: a) in place, covering all Mission-funded and –managed activities; and b) of clarity and quality sufficient to provide effective guidance to activity implementation. 7) A/CORs have EMMPs and quarterly or bi-annual reports on file for each project that includes activities that have a Negative Determination with Conditions B. USAID staff environmental compliance responsibilities and reporting lines are formally established 1) MEO/dMEO Appointment Memo(s) are in place and generally consistent with the AFR good-practice model.1 2) A deputy or alternate MEO is appointed to assist when the MEO is unavailable. 3) In the execution of her/his MEO duties, MEO is directly accountable to the Senior Program Officer or senior Mission management. 4) MEO has limited or no duties as an A/COR on projects. 5) Environmental compliance responsibilities of A/CORs and Alternate A/CORs are specified in their Appointment Letters and position description, consistent with good-practice AFR environmental responsibilities and they understand and carry out their responsibilities. 6) Environmental compliance responsibilities of AMs are specified in their position description and they have discussed allocation of environmental compliance responsibilities with their A/COR. 7) Point of contact has been established for each office to facilitate interaction with the MEO and to assist other staff with environmental compliance questions. C. Mission staff and implementing partners are trained in environmental compliance and ESDM 1) Mission staff have been trained and demonstrate competency in USAID and host-country environmental compliance and ESDM. 2) Refresher training opportunities are provided annually to staff and implementing partners. 3) MEO has received formal training in environmental management and/or environmental impact assessment well beyond the level of a one-week workshop and has a strong working knowledge of host-country environmental requirements and processes. 4) Implementing partners have been trained and demonstrate competency in environmental compliance and ESDM. D. Environmental compliance is integrated in Mission processes, which includes not only Mission-
1 Example Mission Orders and MEO Appointment Memos can be found at: http://www.usaidgems.org/rolesRespons.htm.
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
funded projects but all grants, mechanisms, and transactions that the Mission is responsible for overseeing down to the activity level Design and Award Processes 1) Per ADS 201.3.16.2d and 201.3.16.3b, concept notes and PADs include environmental analyses. The MEO is consulted during the development process including reviewing RFA/Ps, and participating in kick-off meetings. 2) IEE conditions are incorporated into solicitations RFA/Ps, PIO and G2G agreements, and transaction support applying the Environmental Compliance Language for Solicitations and Awards Help Document2, or a process exists for ensuring activity-level IEE will be undertaken by the implementing partner (and included as a task in the RFA/P). 3) MEO is notified in advance when new awards, agreements, and/or contracts are being issued, or when ceilings are raised, and is requested to comment. 4) Mission checklists for new awards, agreements, and/or contracts include confirmation of current and relevant Regulation 216 documentation. 5) Implementing partners have copies of their IEEs and EMMPs and environmental compliance is part of award briefings. Oversight of partners and sub-partners* *including project implementers operating under a central mechanism but within the Mission’s area of jurisdiction 6) Process exists for ensuring Mission or implementing partner develops and implements an EMP/EMMP. 7) Mission field visit checklists include environmental compliance and incorporate an environmental site visit form in project M&E, where feasible, and processes exist to ensure regular monitoring. 8) Implementing partner project performance reporting (i.e., quarterly, semi-annual or annual reports) includes a section on environmental compliance based on EMMP implementation. If the Mission has standardized reporting templates, they include environmental compliance. 9) Process exists for incorporating IEE conditions into award documents and agreements; and including mitigation and monitoring costs in project budgets. 10) A/CORs review program activities annually with the implementing partner and the MEO to determine if activities have been changed or added and whether they are included in the existing IEE, or whether an amendment is necessary. 11) Compliance documents are reviewed one-year prior to project closeout to ensure partners focus on environmental sustainability of the project after termination. Overall 12) MEO, A/CORs and AMs have process for collaborating on activities with potential environmental impacts (from design to closure). 13) Environmental compliance is integrated in Annual Portfolio Reviews. 14) Environmental compliance/ESDM “lessons learned” are integrated in closure reports, the Development Experience Clearinghouse (DEC), and Mission external communications (e.g., Web sites or social media), where applicable. 15) MEO reviews and considers host-country environmental standards for all USAID activities, including working through host-country permitting processes. 16) Process exists between the A/COR and AMs for centrally managed programs to track and report to USAID in Washington, D.C. on development of the EMMP, implementation of mitigation measures, and continued assessment of potential environmental impacts.
2 http://www.usaid.gov/sites/default/files/documents/1865/204sac.pdf
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
E. Internal environmental compliance resources are adequate 1) Adequate financial resources are available to support Mission environmental compliance, including training and analytical support. 2) The MEO function is adequately resourced, both in terms of LOE available for the MEO and support staff, as well as funding for the MEO to undertake field monitoring. 3) Funds are available, if needed, for independent monitoring of EMMP implementation for environmentally consequential/complex activities, or for difficult to access sites. F. Appropriate progress has been made on previous BPR Action Plans and OIG Audit concerns3 1) Mission has developed and implemented the Action Plan as an outcome of the previous BPR; best processes and practices are still in place. 2) If applicable, items proposed in the OIG Audit of July 2011 have been corrected and are still in place.
3 Audit of Selected USAID Missions’ Efforts to Mitigation Environmental Impact in their Project Portfolios (No. 9-000-11-002-P). http://oig.usaid.gov/sites/default/files/audit-reports/9-000-11-002-p.pdf
USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Environmental Compliance + Environmentally Sound Design & Management in Project Implementation A Training Workshop for USAID/Malawi Staff & Partners
INDIVIDUAL WORKSHOP FOLLOW-UP PLAN With reference to previous discussions in this session, please identify 3-5 follow-up actions that you plan to take after this workshop to strengthen environmental compliance on your project, in your team, or in your mission/operating unit. For each, state a proposed timeline and immediate next step. Example actions. Actions might include (but are not limited to): Mission Staff: Brief mission management on key messages identified in this session ▪ Brief contracts team on ECL and inclusion of environmental responsibilities clauses in A/COR letters▪ Require EMMPs for projects for which you are an A/COR ▪ Deliver a short Environmental Compliance Briefing for mission staff ▪ Work with M&E specialist to better assess env. compliance in field visits. IPs: Brief your COP and M&E lead on key environmental compliance requirements as conveyed by the workshop ▪ Lead an environmental compliance session ion an upcoming staff training ▪ Developing a first-draft EMMP for internal review ▪ Developing a TOR for an external consultant or requesting TA from your home office to assist with EMMP development Action item Proposed timeline Immediate step
Ex. Lead Environmental Compliance 3rd week of January Contact training coordinator. Session in upcoming staff training. (Develop short presentation using slides from this workshop.)
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USAID/Malawi Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015
Workshop Evaluation
Environmental Compliance + Environmentally Sound Design & Management in Project Implementation A Workshop for USAID/Malawi Staff and Implementing Partners Mangochi, Malawi . November 2015
Your frank and honest feedback will help strengthen future trainings and help prioritize ESDM and environmental compliance support to USAID programs and missions in Africa and globally. Thank you for your time!
Learning approach For each issue, please check or circle the assessment you most agree with. Issue Assessment Comments Balance of time in Much more A bit more time Much more time A bit more time classroom to time in time in field About right in classroom in classroom in field needed field needed needed needed In the classroom, A bit more Much more Much more A bit more balance of emphasis on emphasis on emphasis on emphasis on presentations to About right exercises/ exercises/ presentations presentations exercises, group work discussions discussions needed needed & discussions needed needed Much too A little too Technical level & pace About right A bit too light Much too light heavy heavy Some more Needed to hear Many more Needed to hear opportunities and learn much opportunities for Opportunities for peer and learn more for peer more directly About right peer exchange & learning directly from learning/ from learning/exchange facilitators exchange are facilitators are needed needed
Highest/Lowest-rated sessions Please identify the 1 or 2 sessions that you rate most highly (for content, usefulness, approach or for other reasons). Please also identify the 1 or 2 sessions that you found least engaging/useful/relevant. Please briefly indicate the reasons for your choice. (You may wish to refer to the agenda to refresh your memory.)
Session Comment (Please explain why you made this choice.) HIGH-RATED HIGH-RATED LOW-RATED LOW-RATED
USAID Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015 Overall evaluations Please check the assessment you most agree with. Issue Assessment Comments Very poor Poor Acceptable Good Excellent Technical quality (Program & Content) Facilitation
Logistics
Venue
Field Visits
Impact Please circle the characterization you most agree with. Question Characterization Comments Baseline Knowledge Had poor or Understood the Had a strong In light of what you have learned in this workshop, how limited basics, lacked and detailed would you rate your understanding of ESDM and USAID’s understanding some details understanding Environmental Procedures BEFORE this workshop? Empowerment To what extent has this workshop increased your knowledge and capabilities to address environmental Not at all Moderately Strongly compliance requirements in the context of your job function/professional responsibilities? Motivation To what extent has this workshop increased your motivation to proactively address environmental Not at all Moderately Strongly compliance and ESDM in the context of your job function/professional responsibilities?
Key topics not covered Were there any topics of key important to you that were not covered/given very limited attention?
Support needs Are there particular environmental compliance/ESDM support needs or resources that you require?
Additional comments welcome on any topic.
USAID Environmental Compliance & ESDM Training Workshop . Mangochi, Malawi . November 2015