Environmental Impact Assessment: Guidelines For Fao Field Projects

Environmental
impact assessment
G U I D E L I N E S F O R F A O F I E L D P R O J E C T S
Environmental
impact assessment
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2011
The designations employed and the presentation of material in this information product do not imply the expression of any opinion
whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of
any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specic
companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or
recommended by FAO in preference to others of a similar nature that are not mentioned.
The views expressed in this information product are those of the author(s) and do not necessarily reect the views of FAO.
ISBN 978-92-5-107276-9
All rights reserved. FAO encourages the reproduction and dissemination of material in this information product. Non-commercial uses will
be authorized free of charge, upon request. Reproduction for resale or other commercial purposes, including educational purposes, may
incur fees. Applications for permission to reproduce or disseminate FAO copyright materials, and all queries concerning rights and licences,
should be addressed by e-mail to [email protected] or to the Chief, Publishing Policy and Support Branch, Ofce of Knowledge Exchange,
Research and Extension, FAO, Viale delle Terme di Caracalla, 00153 Rome, Italy.
FAO 2012
Environmental
impact assessment
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2011
The designations employed and the presentation of material in this information product do not imply the expression of any opinion
whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of
any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specic
companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or
recommended by FAO in preference to others of a similar nature that are not mentioned.
The views expressed in this information product are those of the author(s) and do not necessarily reect the views of FAO.
ISBN 978-92-5-107276-9
All rights reserved. FAO encourages the reproduction and dissemination of material in this information product. Non-commercial uses will
be authorized free of charge, upon request. Reproduction for resale or other commercial purposes, including educational purposes, may
incur fees. Applications for permission to reproduce or disseminate FAO copyright materials, and all queries concerning rights and licences,
should be addressed by e-mail to [email protected] or to the Chief, Publishing Policy and Support Branch, Ofce of Knowledge Exchange,
Research and Extension, FAO, Viale delle Terme di Caracalla, 00153 Rome, Italy.
FAO 2012
iii ii
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME N TA L I MPA C T A S S E S S ME N T
Acronyms
Budget holder
Capacity Development
Convention on Biological Diversity
Environmental Analysis
Environmental Impact Assessment
Environmental Impact Assessment Task Force
Environmental Management Plan
Economic and Social Development Department
Environmental and Social Review Form
Food and Agriculture Organization of the United Nations
FAO Representative
Farmer-Based Organization
Initial Environmental Review
Integrated Plan Nutrition System
Indigenous Peoples Plan
Plant Protection Convention
Interdisciplinary Technical Review
Lead Technical Ofcer
Lead Technical Unit
Monitoring and Evaluation
Multi-disciplinary team (FAO Regional/Subregional representations)
Environment, Climate Change and Bioenergy Division
Knowledge and Capacity for Development
Project Appraisal Committee
Polymerase Chain Reaction
Programme and Project Review Committee
Project Task Force
Results-Based Management
Standard Project Document
Field Programme Coordination and Results-Based Monitoring
World Overview of Conservation Approaches and Technologies
BH
CD
CBD
EA
EIA
EIA-TF
EMP
ES
ESRF
FAO
FAOR
FBO
IER
IPNS
IPP
IPPC
ITR
LTO
LTU
M&E
MDT
NRC
OEKC
PAC
PCR
PPRC
PTF
RBM
SPD
TCDM
WOCAT
table of
CONTENTS
ANNEX 2: SAMPLE FORMS 27
Environmental and Social Review Form 27
Environmental Screening for
Category A & B projects 28
Scoping for Category A projects 31
ANNEX 3: BASIC POLICY
REQUIREMENTS FOR FIELD PROJECTS 32
3.1 Agriculture 32
3.2 Biodiversity 33
3.3 Fisheries and aquaculture 33
3.4 Forestry 34
3.5 Livestock and animal husbandry 34
3.6 Fertilizers 35
3.7 Pesticides 35
3.8 Water development 36
3.9 Socio-economic dimensions 37
3.10 Gender considerations 38
ANNEX 4: ENVIRONMENTAL
REVIEW IN THE FAO PROJECT CYCLE 39
ANNEX 5: OUTLINE
FOR THE CATEGORY A EIA REPORT 41
ANNEX 6: AN INITIAL CAPACITY
ASSESSMENT AS PART OF
ENVIRONMENTAL SCOPING (if required) 43
AMENDMENTS TO THE GUIDELINES 44
ACRONYMS III
ACKNOWLEDGEMENTS IV
CHAPTER 1: INTRODUCTION 1
1.1 Purpose 1
1.2 Operational context 2
1.3 Policy context 2
CHAPTER 2: THE EIA PROCESS 4
2.1 Overview 4
2.2 Environmental Categories 4
2.3 Steps of the EIA Process in FAO 9
2.4 Roles and responsibilities 13
2.5 EIA in FAOs project cycle 14
CHAPTER 3: EIA REPORTS 17
3.1 Category A projects
(signicant impacts) 17
3.2 Category B projects
(less signicant impacts) 17
3.3 Category C projects
(minimal or no adverse impacts) 18
SOURCES AND LINKS 19
ANNEX 1: GOVERNING PRINCIPLES 21
iii ii
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME NTA L I MPA C T A S S E S S ME NT
Acronyms
Budget holder
Capacity Development
Convention on Biological Diversity
Environmental Impact Assessment
Environmental Impact Assessment Task Force
Environmental Management Plan
Economic and Social Development Department
Food and Agriculture Organization of the United Nations
FAO Representative
Farmer-Based Organization
Initial Environmental Review
Integrated Plan Nutrition System
Plant Protection Convention
Interdisciplinary Technical Review
Lead Technical Ofcer
Lead Technical Unit
Multi-disciplinary team (FAO Regional/Subregional representations)
Environment, Climate Change and Bioenergy Division
Knowledge and Capacity for Development
Project Appraisal Committee
Polymerase Chain Reaction
Programme and Project Review Committee
Project Task Force
Results-Based Management
Standard Project Document
Field Programme Coordination and Results-Based Monitoring
World Overview of Conservation Approaches and Technologies
BH
CD
CBD
EA
EIA
EIA-TF
EMP
ES
ESRF
FAO
FAOR
FBO
IER
IPNS
IPP
IPPC
ITR
LTO
LTU
M&E
MDT
NRC
OEKC
PAC
PCR
PPRC
PTF
RBM
SPD
TCDM
WOCAT
table of
CONTENTS
ANNEX 2: SAMPLE FORMS 27
Environmental and Social Review Form 27
Environmental Screening for
Category A & B projects 28
Scoping for Category A projects 31
ANNEX 3: BASIC POLICY
REQUIREMENTS FOR FIELD PROJECTS 32
3.1 Agriculture 32
3.2 Biodiversity 33
3.3 Fisheries and aquaculture 33
3.4 Forestry 34
3.5 Livestock and animal husbandry 34
3.6 Fertilizers 35
3.7 Pesticides 35
3.8 Water development 36
3.9 Socio-economic dimensions 37
3.10 Gender considerations 38
ANNEX 4: ENVIRONMENTAL
REVIEW IN THE FAO PROJECT CYCLE 39
ANNEX 5: OUTLINE
FOR THE CATEGORY A EIA REPORT 41
ANNEX 6: AN INITIAL CAPACITY
ASSESSMENT AS PART OF
ENVIRONMENTAL SCOPING (if required) 43
AMENDMENTS TO THE GUIDELINES 44
ACRONYMS III
ACKNOWLEDGEMENTS IV
CHAPTER 1: INTRODUCTION 1
1.1 Purpose 1
1.2 Operational context 2
1.3 Policy context 2
CHAPTER 2: THE EIA PROCESS 4
2.1 Overview 4
2.2 Environmental Categories 4
2.3 Steps of the EIA Process in FAO 9
2.4 Roles and responsibilities 13
2.5 EIA in FAOs project cycle 14
CHAPTER 3: EIA REPORTS 17
3.1 Category A projects
(signicant impacts) 17
3.2 Category B projects
(less signicant impacts) 17
3.3 Category C projects
(minimal or no adverse impacts) 18
SOURCES AND LINKS 19
ANNEX 1: GOVERNING PRINCIPLES 21
1
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS
iv
E N V I R O N ME N TA L I MPA C T A S S E S S ME NT
1.1 PURPOSE
This publication provides guidelines for all FAO
units (headquarters departments and ofces,
as well as decentralized ofces) to undertake
environmental impact assessments (EIA) of eld
projects. The use of these guidelines apply to
all FAO eld projects and activities
1
, as further
specied in the sections below, requiring
implications to be fully considered early in the
planning process (and all the more so prior to
taking nal decisions) so as to avoid signicant
negative impacts of environmental or associated
social nature.
EIA is a tool for decision-makers to identify
potential environmental impacts of proposed
projects, to evaluate alternative approaches, and
to design and incorporate appropriate prevention,
mitigation, management and monitoring
measures. Environmental impact assessment
cannot be divorced from social impact of the
project, hence the latter is considered as a key
dimension of the EIA process. Examples of these
close interactions can be found in the context
of land tenure and rights, rural livelihoods,
and traditional practices. EIA is also expected
to help ensuring protection, maintenance and
rehabilitation of natural habitats and their
functions in the context of FAOs eld projects
and policy dialogue with countries.
1
Excluding Telefood and FAO projects with budgets under US$100 000.
CHAPTER 1
I NTRODUCTION
Environmental Assessment may be quite complex,
especially if applying to broad policies and large
sector programmes. Nevertheless most FAO
projects may not require a fully-edged EIA and
may be reviewed with limited analytical effort.
Still, they will need to undergo the screening
procedures described under the present
guidelines. Where signicant potential negative
impacts or areas of serious public concern are
foreseen, a more detailed EIA will need to be
prepared, including full technical justications
and public exposure.
The present publication covers:
guidance to FAO staff on the application of EIA
to eld projects;
procedures to be used in formulating and
screening projects;
FAOs standards for related documenting and
reporting formats;
roles and responsibilities in conducting EIA to
ensure effective implementation.
Acknowledgements
An initial version of Environmental Impact
Assessment (EIA) Guidelines for FAO Field
Projects was prepared by Jeff Tschirley
and Patrick Duffy. In early 2009, an Inter-
Departmental Task Force was constituted for
nalization of corporate guidelines. The Task
Force was comprised of Moujahed Achouri,
Uwe Barg, David Colbert, Linda Collette, Mark
Davis, Alemneh Dejene, Random Dubois, Pierre
Gerber, Irene Hoffmann, Katia Medeiros, Freddy
Nachtergaele, Diego Recalde and Doris Soto. Work
was also supported by: Olga Abramova, Jan Van
Amerongen, Aziz Arya, Stefania Battistelli, Sally
Berman, Letizia Cuozzo, Kuena Morebotsane,
Sibyl Nelson and Nicolas Tremblay.
Led by the Technical Cooperation Department
(Field Programme Coordination and Results-Based
Monitoring unit-TCDM) the Task Force reviewed
successive drafts, while various ideas and
comments were incorporated by David Colbert.
This process was completed in October 2010.
The resulting draft EIA Guidelines were brought
to the attention of the Deputy-Director General for
Operations (DDG-O) and senior managers of the
Technical Cooperation (TC) and Natural Resources
Management and Environment (NR) Departments.
Based on their feedback, this revised version was
produced under the aegis of Alemneh Dejene
(NR) and Diego Recalde (TC).
All contributions to this extensive consultative
process towards developing corporate EIA
Guidelines for FAO Field Projects are gratefully
acknowledged.
1
iv
E N V I R O N ME NTA L I MPA C T A S S E S S ME NT
1.1 PURPOSE
This publication provides guidelines for all FAO
units (headquarters departments and ofces,
as well as decentralized ofces) to undertake
environmental impact assessments (EIA) of eld
projects. The use of these guidelines apply to
all FAO eld projects and activities
1
, as further
specied in the sections below, requiring
implications to be fully considered early in the
planning process (and all the more so prior to
taking nal decisions) so as to avoid signicant
negative impacts of environmental or associated
social nature.
EIA is a tool for decision-makers to identify
potential environmental impacts of proposed
projects, to evaluate alternative approaches, and
to design and incorporate appropriate prevention,
mitigation, management and monitoring
measures. Environmental impact assessment
cannot be divorced from social impact of the
project, hence the latter is considered as a key
dimension of the EIA process. Examples of these
close interactions can be found in the context
of land tenure and rights, rural livelihoods,
and traditional practices. EIA is also expected
to help ensuring protection, maintenance and
rehabilitation of natural habitats and their
functions in the context of FAOs eld projects
and policy dialogue with countries.
1
Excluding Telefood and FAO projects with budgets under US$100 000.
CHAPTER 1
I NTRODUCTION
Environmental Assessment may be quite complex,
especially if applying to broad policies and large
sector programmes. Nevertheless most FAO
projects may not require a fully-edged EIA and
may be reviewed with limited analytical effort.
Still, they will need to undergo the screening
procedures described under the present
guidelines. Where signicant potential negative
impacts or areas of serious public concern are
foreseen, a more detailed EIA will need to be
prepared, including full technical justications
and public exposure.
The present publication covers:
guidance to FAO staff on the application of EIA
to eld projects;
procedures to be used in formulating and
screening projects;
FAOs standards for related documenting and
reporting formats;
roles and responsibilities in conducting EIA to
ensure effective implementation.
Acknowledgements
An initial version of Environmental Impact
Assessment (EIA) Guidelines for FAO Field
Projects was prepared by Jeff Tschirley
and Patrick Duffy. In early 2009, an Inter-
Departmental Task Force was constituted for
nalization of corporate guidelines. The Task
Force was comprised of Moujahed Achouri,
Uwe Barg, David Colbert, Linda Collette, Mark
Davis, Alemneh Dejene, Random Dubois, Pierre
Gerber, Irene Hoffmann, Katia Medeiros, Freddy
Nachtergaele, Diego Recalde and Doris Soto. Work
was also supported by: Olga Abramova, Jan Van
Amerongen, Aziz Arya, Stefania Battistelli, Sally
Berman, Letizia Cuozzo, Kuena Morebotsane,
Sibyl Nelson and Nicolas Tremblay.
Led by the Technical Cooperation Department
(Field Programme Coordination and Results-Based
Monitoring unit-TCDM) the Task Force reviewed
successive drafts, while various ideas and
comments were incorporated by David Colbert.
This process was completed in October 2010.
The resulting draft EIA Guidelines were brought
to the attention of the Deputy-Director General for
Operations (DDG-O) and senior managers of the
Technical Cooperation (TC) and Natural Resources
Management and Environment (NR) Departments.
Based on their feedback, this revised version was
produced under the aegis of Alemneh Dejene
(NR) and Diego Recalde (TC).
All contributions to this extensive consultative
process towards developing corporate EIA
Guidelines for FAO Field Projects are gratefully
acknowledged.
3 2
BOX 1. FAOS VISION, GOALS, AND STRATEGIC OBJECTIVES
Vision
FAOs vision is of a world free of hunger and malnutrition where food and agriculture contribute
to improving the living standards of all, especially the poorest, in an economically, socially and
environmentally sustainable manner.
Global Goals of Members
To foster the achievement of this vision and of the Millennium Development Goals, FAO will promote the
continuing contribution of food and sustainable agriculture to the attainment of these three global goals:
a) Reduction of the absolute number of people suffering from hunger, progressively ensuring a world
in which all people at all times have sufcient safe and nutritious food that meets their dietary
needs and food preferences for an active and healthy life.
b) Elimination of poverty and the driving forward of economic and social progress for all with increased
food production, enhanced rural development and sustainable livelihoods.
c) Sustainable management and utilization of natural resources, including land, water, air, climate and
genetic resources, for the benet of present and future generations.
Strategic Objectives
A. Sustainable intensication of crop production.
B. Increased sustainable livestock production.
C. Sustainable management and use of sheries and aquaculture resources.
D. Improved quality and safety of food at all stages of the food chain.
E. Sustainable management of forests and trees.
F. Sustainable management of land, water and genetic resources and improved responses to global
environmental challenges affecting food and agriculture.
G. Enabling environment for markets to improve livelihoods and rural development.
H. Improved food security and better nutrition.
I. Improved preparedness for, and effective response to, food and agricultural threats and
emergencies.
K. Gender equity in access to resources, goods, services and decision-making in the rural areas.
L. Increased and more effective public and private investment in agriculture and rural development.
Source: FAOs Strategic Framework 20102019
1.2 OPERATIONAL CONTEXT
Environmental and related social implications
of project actions should be considered as
early as possible in the FAO project cycle. The
EIA procedures contemplate a self-assessment
process followed by an independent review of
the documentation by the Project Appraisal
Committee (PAC). In monitoring compliance
with the present guidelines, the PAC assures
the quality of the EIAs. As the main project
formulator, the Lead Technical Offcer (LTO) in
the applicable department/division/unit takes
action to ensure that environmental and social
impacts of all proposed projects/activities are
investigated and more generally that they reect
best practices, lessons learned, and other
available technical knowledge.
The EIA shall address both positive and negative
potential environmental impacts of the given
project, any related social implications, as well
as eventual transboundary effects. EIA evaluates
a projects potential environmental and social
risks and impacts in its area of inuence. The
FAO EIA procedures do not substitute for specic
environmental assessment requirements that
countries/ resource partners may request to be
met. Should a project be subject to such external
procedures, the latter may be adhered to, so
long as they involve levels of analysis that are
similar to, or more stringent than those of FAO.
The decision whether these mandatory external
procedures are adequate will be made by the
EIA Task Force.
1.3 POLICY CONTEXT
Objectives
The EIA guidelines are consistent with FAO`s
Vision, Goals and Strategic Objectives, as set out
in the FAO Strategic Framework 20102019,
adopted by the Conference in November,
2009. In effect, environmental protection
and sustainability principles permeate most
of the approved Strategic Objectives of the
Organization. While not cast in stone and subject
to modication over time, for ease of reference
the current Strategic Objectives are reproduced
in the following Box 1. This rm anchoring in
corporate policy tenets of sustainability and
environmental protection is certainly a positive
characteristic of FAOs project portfolio.
Governing principles
Building on these corporate Strategic Objectives
and the practical experience FAO has gained
over the years in managing eld operations in
agriculture and rural development, sheries,
forestry, and natural resources management, the
EIA process is also to be consistent with a number
of principles, as described in Annex 1.
3 2
BOX 1. FAOS VISION, GOALS, AND STRATEGIC OBJECTIVES
Vision
FAOs vision is of a world free of hunger and malnutrition where food and agriculture contribute
to improving the living standards of all, especially the poorest, in an economically, socially and
environmentally sustainable manner.
Global Goals of Members
To foster the achievement of this vision and of the Millennium Development Goals, FAO will promote the
continuing contribution of food and sustainable agriculture to the attainment of these three global goals:
a) Reduction of the absolute number of people suffering from hunger, progressively ensuring a world
in which all people at all times have sufcient safe and nutritious food that meets their dietary
needs and food preferences for an active and healthy life.
b) Elimination of poverty and the driving forward of economic and social progress for all with increased
food production, enhanced rural development and sustainable livelihoods.
c) Sustainable management and utilization of natural resources, including land, water, air, climate and
genetic resources, for the benet of present and future generations.
Strategic Objectives
A. Sustainable intensication of crop production.
B. Increased sustainable livestock production.
C. Sustainable management and use of sheries and aquaculture resources.
D. Improved quality and safety of food at all stages of the food chain.
E. Sustainable management of forests and trees.
F. Sustainable management of land, water and genetic resources and improved responses to global
environmental challenges affecting food and agriculture.
G. Enabling environment for markets to improve livelihoods and rural development.
H. Improved food security and better nutrition.
I. Improved preparedness for, and effective response to, food and agricultural threats and
emergencies.
K. Gender equity in access to resources, goods, services and decision-making in the rural areas.
L. Increased and more effective public and private investment in agriculture and rural development.
Source: FAOs Strategic Framework 20102019
Environmental and related social implications
of project actions should be considered as
early as possible in the FAO project cycle. The
EIA procedures contemplate a self-assessment
process followed by an independent review of
the documentation by the Project Appraisal
Committee (PAC). In monitoring compliance
with the present guidelines, the PAC assures
the quality of the EIAs. As the main project
formulator, the Lead Technical Offcer (LTO) in
the applicable department/division/unit takes
action to ensure that environmental and social
impacts of all proposed projects/activities are
investigated and more generally that they reect
best practices, lessons learned, and other
available technical knowledge.
The EIA shall address both positive and negative
potential environmental impacts of the given
project, any related social implications, as well
as eventual transboundary effects. EIA evaluates
a projects potential environmental and social
risks and impacts in its area of inuence. The
FAO EIA procedures do not substitute for specic
environmental assessment requirements that
countries/ resource partners may request to be
met. Should a project be subject to such external
procedures, the latter may be adhered to, so
long as they involve levels of analysis that are
similar to, or more stringent than those of FAO.
The decision whether these mandatory external
procedures are adequate will be made by the
EIA Task Force.
1.3 POLICY CONTEXT
Objectives
The EIA guidelines are consistent with FAO`s
Vision, Goals and Strategic Objectives, as set out
in the FAO Strategic Framework 20102019,
adopted by the Conference in November,
2009. In effect, environmental protection
and sustainability principles permeate most
of the approved Strategic Objectives of the
Organization. While not cast in stone and subject
to modication over time, for ease of reference
the current Strategic Objectives are reproduced
in the following Box 1. This rm anchoring in
corporate policy tenets of sustainability and
environmental protection is certainly a positive
characteristic of FAOs project portfolio.
Governing principles
Building on these corporate Strategic Objectives
and the practical experience FAO has gained
over the years in managing eld operations in
agriculture and rural development, sheries,
forestry, and natural resources management, the
EIA process is also to be consistent with a number
of principles, as described in Annex 1.
5
4
conversion/modication or degradation of critical
natural habitats, including those habitats that
are: legally protected, ofcially proposed for
protection, identied by authoritative sources for
their high conservation value, or so recognized
(i.e. private properties), as well as projects
that may cause an involuntary resettlement of
populations.
The category assigned to a project or activity will
determine whether additional environmental or social
analyses will be required. These analyses should
normally aim at about the same level of detail as
other project preparation studies.
It should be highlighted that FAO does not
support projects that involve signicant
Table 1. Environmental categories for FAO eld projects
Environmental
Category
Environmental and Social Impacts Environmental Analysis or
Assessment Required
Category A Signicant, or irreversible adverse
impacts
Mandatory environmental impact assessment
Category B Less signicant adverse impacts that
may be easily prevented or mitigated
Environmental analysis to identify more precisely
potential negative impacts
Category C
2
Minimal or no adverse impacts No further environmental and/ or social analysis
or assessment required
2
Most FAO projects will fall under Category C.
The three environmental categories are explained
in more detail below.
Category A
Category A projects may involve signicant,
cumulative or even potentially irreversible
negative environmental impacts or risks. Typically,
such projects may include planned interventions
that may change existing land and/or water
uses, open up new lands, disturb natural habitat
needed for maintaining biodiversity, involve
signicant expansion of industry, introduce water
impoundment schemes, promote the use of
agrochemicals, or require the acquisition of land
and/or resettlement of local populations. Initially
classied Category B projects may be upgraded
to Category A in the event that impacts or the
ability to mitigate them are unknown, thus
requiring further study and a detailed assessment.
The signicant negative effects may extend to the
social arena and beyond the boundaries of the
project site. Such projects automatically require
an EIA so as to ensure that the negative impacts
are properly analyzed and that stakeholders
are consulted. The EIA also assesses feasible
alternatives (including a without project
scenario), and makes recommendations to
prevent, minimize or mitigate adverse impacts.
Analysis of alternatives includes assessment
of recurrent costs, suitability, training and
monitoring requirements. Supportive tools
commonly include interactive matrices,
map overlays, checklists, and participatory
CHAPTER 2
THE EIA PROCESS
The present EIA guidelines seek to institutionalize
a systematic review process in FAOs project cycle.
In practice, this means that the Lead Technical
Ofcer (LTO), whether in headquarters, a regional
or sub regional ofce, or a country representation,
will ensure that each project is subjected to an
initial environmental review (IER). This will
determine the potential positive and negative
environmental and social impacts that may arise
from project implementation. EIA guidelines will
be applied at regional/ sectoral level if project
is likely to have regional or sectoral impacts,
particularly in case of cumulative impacts. This
responsibility rests with the initiating unit and
cannot be delegated, although relevant advice and
information may be obtained from other sources.
Based on this initial environmental review,
the next step is for the LTO to select an
environmental category for the project, depending
on the nature and severity of the identied
potential environmental and social impacts.
The chosen category will dictate whether any
additional environmental and/or social analysis or
impact assessment will be required before project
approval and implementation. Any additional
work of this nature necessarily entails a phase of
public consultation during preparation and public
disclosure of the assessment documentation,
particularly for Category A projects. This is further
explained in section 2.3 below.
The PAC will formally revise the application of
EIA procedures to ensure quality and consistency
across the organization. The PAC will need to
endorse the category assigned to each project,
and clear any analysis or EIA documentation
prepared. Meanwhile, the LTO will be responsible
for implementation of any actions or measures
recommended in the environmental analysis or
the EIA. The LTO will also carry out monitoring
and evaluation (M&E) activities of project
impacts, and pay attention to the development of
adequate capacity in local institutions to ensure
long-term environmental and social sustainability.
2.2 ENVIRONMENTAL CATEGORIES
FAOs work and mandates including environmental
activities are highly specialized and count with
a wide base of internal expertise and global
standards and policies which normally are
agreed with member countries. FAOs well-known
normative work is also closely related to the EIA
best practices.
Based on the of the project or activity, the selection
of the environmental category is predicated on
the nature and severity of potential environmental
and social impacts. As indicated in Table 1 below,
there are three environmental categories for eld
operations, labeled A, B and C.
E N V I R O N ME NTA L I MPA C T A S S E S S ME N T
5
4
conversion/modication or degradation of critical
natural habitats, including those habitats that
are: legally protected, ofcially proposed for
protection, identied by authoritative sources for
their high conservation value, or so recognized
(i.e. private properties), as well as projects
that may cause an involuntary resettlement of
populations.
The category assigned to a project or activity will
determine whether additional environmental or social
analyses will be required. These analyses should
normally aim at about the same level of detail as
other project preparation studies.
It should be highlighted that FAO does not
support projects that involve signicant
Table 1. Environmental categories for FAO eld projects
Environmental
Category
Environmental and Social Impacts Environmental Analysis or
Assessment Required
Category A Signicant, or irreversible adverse
impacts
Mandatory environmental impact assessment
Category B Less signicant adverse impacts that
may be easily prevented or mitigated
Environmental analysis to identify more precisely
potential negative impacts
Category C
2
Minimal or no adverse impacts No further environmental and/ or social analysis
or assessment required
2
Most FAO projects will fall under Category C.
The three environmental categories are explained
in more detail below.
Category A
Category A projects may involve signicant,
cumulative or even potentially irreversible
negative environmental impacts or risks. Typically,
such projects may include planned interventions
that may change existing land and/or water
uses, open up new lands, disturb natural habitat
needed for maintaining biodiversity, involve
signicant expansion of industry, introduce water
impoundment schemes, promote the use of
agrochemicals, or require the acquisition of land
and/or resettlement of local populations. Initially
classied Category B projects may be upgraded
to Category A in the event that impacts or the
ability to mitigate them are unknown, thus
requiring further study and a detailed assessment.
The signicant negative effects may extend to the
social arena and beyond the boundaries of the
project site. Such projects automatically require
an EIA so as to ensure that the negative impacts
are properly analyzed and that stakeholders
are consulted. The EIA also assesses feasible
alternatives (including a without project
scenario), and makes recommendations to
prevent, minimize or mitigate adverse impacts.
Analysis of alternatives includes assessment
of recurrent costs, suitability, training and
monitoring requirements. Supportive tools
commonly include interactive matrices,
map overlays, checklists, and participatory
CHAPTER 2
THE EIA PROCESS
The present EIA guidelines seek to institutionalize
a systematic review process in FAOs project cycle.
In practice, this means that the Lead Technical
Ofcer (LTO), whether in headquarters, a regional
or sub regional ofce, or a country representation,
will ensure that each project is subjected to an
initial environmental review (IER). This will
determine the potential positive and negative
environmental and social impacts that may arise
from project implementation. EIA guidelines will
be applied at regional/ sectoral level if project
is likely to have regional or sectoral impacts,
particularly in case of cumulative impacts. This
responsibility rests with the initiating unit and
cannot be delegated, although relevant advice and
information may be obtained from other sources.
Based on this initial environmental review,
the next step is for the LTO to select an
environmental category for the project, depending
on the nature and severity of the identied
potential environmental and social impacts.
The chosen category will dictate whether any
additional environmental and/or social analysis or
impact assessment will be required before project
approval and implementation. Any additional
work of this nature necessarily entails a phase of
public consultation during preparation and public
disclosure of the assessment documentation,
particularly for Category A projects. This is further
explained in section 2.3 below.
The PAC will formally revise the application of
EIA procedures to ensure quality and consistency
across the organization. The PAC will need to
endorse the category assigned to each project,
and clear any analysis or EIA documentation
prepared. Meanwhile, the LTO will be responsible
for implementation of any actions or measures
recommended in the environmental analysis or
the EIA. The LTO will also carry out monitoring
and evaluation (M&E) activities of project
impacts, and pay attention to the development of
adequate capacity in local institutions to ensure
long-term environmental and social sustainability.
2.2 ENVIRONMENTAL CATEGORIES
FAOs work and mandates including environmental
activities are highly specialized and count with
a wide base of internal expertise and global
standards and policies which normally are
agreed with member countries. FAOs well-known
normative work is also closely related to the EIA
best practices.
Based on the of the project or activity, the selection
of the environmental category is predicated on
the nature and severity of potential environmental
and social impacts. As indicated in Table 1 below,
there are three environmental categories for eld
operations, labeled A, B and C.
7 6
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME NTA L I MPA C T A S S E S S ME N T
6. Water impoundments, drainage or irrigation schemes of medium and large scale, including
groundwater development.
7. Reclamation and new land development, including land leveling for agriculture, and large scale
resettlement.
8. Large-scale livestock husbandry, including pastoral and industrial operations, such as feed lots.
9. River basin development projects.
10. Commercial sheries development; large scale aquaculture/mariculture.
11. New introductions of non-native species, including plants, insects, and animals, including GMO.
12. Large agricultural mechanization programmes.
13. Land resettlement schemes (planned and unplanned).
14. Large scale coastal development projects.
15. Resettlement of local populations.
16. Projects that may have potentially signicant adverse impacts on physical cultural resources
(as dened in Annex 1).
Category B
Category B projects should not entail
signicant (or potentially irreversible) negative
environmental (and associated social) impacts,
but may still have adverse effects which can
be mitigated with suitable preventive actions.
Category B projects do not require a full EIA but
will require further deepening of environmental
or social considerations, depending on the
expected magnitude of risks. In many cases,
the analysis would aim at gathering additional
information in sufcient detail so as to be able to
discuss concretely how risks could be addressed
and minimized (and possibly eliminated) in the
project design. Attention must be paid also to
appropriate monitoring requirements during
project implementation. The scope of analytical
work may vary from a detailed study of a specic
project component to routine checks to ensure
that the project design conforms to FAOs
governing principles (see Annex 1).
An indicative list of projects that would normally
be assigned to Category B is given in Box 3. Like
the previous Category A list, it may be periodically
updated based on experience or specic
geographic requirements. In some cases, if a
project initially identied as Category B is related
to a particularly fragile or sensitive ecosystem, if
the ability to mitigate potential impacts cannot be
readily assessed or if the effects may be unknown
or unacceptable, further analysis will be required
and the project may be re-assigned to Category A,
involving a greater level of analytical effort.
Should an emergency project fall in the
B category, specic justication could be
provided to support request for a waiver of
the environmental analysis process. It is fully
understood that decision to waive the process
should be based on very compelling arguments (i.e.
life-saving) and independently evaluated by the
EIA Task Force. This is an exceptional procedure.
appraisal. The LTO may rely on internal expertise
(i.e. technical support from other FAO units) or
external independent advice for this purpose.
At a minimum, Category A projects require a site
visit by an independent qualied environmental
and social assessment expert or a team of
such experts, as independent advisory panels
required only for highly risky projects during EIA
preparation and implementation. In the context
of the EIA, an environmental management plan
(EMP) must be produced, describing the proposed
mitigation measures and preventive actions to
be taken during the various phases of the project
life and to ensure that risks are effectively
mitigated and/or reduced to acceptable levels.
The EMP will also specify the environmental or
social monitoring arrangements during project
implementation (which may result in further
adaptive management measures being applied)
and any capacity development necessary to
support these measures. Participatory plans will
be also elaborated in order to ensure an inclusive
approach of all affected groups.
Moreover in the context of the EIA an Indigenous
Peoples Plan (IPP) will be formulated and
monitored by qualied professionals in
consultation with stakeholders and the
communities. The draft IPP will be disclosed in
timely manner, before appraisal formally begins.
The mentioned plan must include specic
measures in order to monitor the benets/risks
affecting the indigenous peoples and to create
specic mitigation actions, culturally appropriate
benets/compensation, and includes grievance,
M&E and budget arrangements. Full consideration
will be given to options preferred by the affected
indigenous peoples in the provision of benets
and design of the mentioned mitigation measures.
In reacting to the EIA presented for a Category A
project, the PAC may recommend non-approval
of the project, or alternative measures to prevent,
reduce or mitigate risks.
be assigned to Category A is provided in Box 2.
This list may be periodically updated based on
experience or specic geographic requirements.
It is worth re-emphasizing that, based on
experience, only a small share of FAOs projects
would normally be assigned to Category A.
BOX 2. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY A
1. Large-scale agro-industry projects
3
; shifts to intensive production technologies.
2. Large-scale land reclamation.
3. Provision of high levels of external inputs (fertilizers, pesticides, etc).
4. Large-scale afforestation/reforestation, including logging operations, use of mangroves and
wetlands.
5. Forest industry operations, such as sawmills and pulp and paper mills.
3
The present document considers as medium-scale projects those with budgets in the US$500 0002 000 000 range and as large-scale
projects those with budget higher than US$2 000 000.
7 6
6. Water impoundments, drainage or irrigation schemes of medium and large scale, including
groundwater development.
7. Reclamation and new land development, including land leveling for agriculture, and large scale
resettlement.
8. Large-scale livestock husbandry, including pastoral and industrial operations, such as feed lots.
9. River basin development projects.
10. Commercial sheries development; large scale aquaculture/mariculture.
11. New introductions of non-native species, including plants, insects, and animals, including GMO.
12. Large agricultural mechanization programmes.
13. Land resettlement schemes (planned and unplanned).
14. Large scale coastal development projects.
15. Resettlement of local populations.
16. Projects that may have potentially signicant adverse impacts on physical cultural resources
Category B
Category B projects should not entail
signicant (or potentially irreversible) negative
environmental (and associated social) impacts,
but may still have adverse effects which can
be mitigated with suitable preventive actions.
Category B projects do not require a full EIA but
will require further deepening of environmental
or social considerations, depending on the
expected magnitude of risks. In many cases,
the analysis would aim at gathering additional
information in sufcient detail so as to be able to
discuss concretely how risks could be addressed
and minimized (and possibly eliminated) in the
project design. Attention must be paid also to
appropriate monitoring requirements during
project implementation. The scope of analytical
work may vary from a detailed study of a specic
project component to routine checks to ensure
that the project design conforms to FAOs
governing principles (see Annex 1).
be assigned to Category B is given in Box 3. Like
the previous Category A list, it may be periodically
updated based on experience or specic
geographic requirements. In some cases, if a
project initially identied as Category B is related
to a particularly fragile or sensitive ecosystem, if
the ability to mitigate potential impacts cannot be
readily assessed or if the effects may be unknown
or unacceptable, further analysis will be required
and the project may be re-assigned to Category A,
involving a greater level of analytical effort.
Should an emergency project fall in the
B category, specic justication could be
provided to support request for a waiver of
the environmental analysis process. It is fully
understood that decision to waive the process
should be based on very compelling arguments (i.e.
life-saving) and independently evaluated by the
EIA Task Force. This is an exceptional procedure.
appraisal. The LTO may rely on internal expertise
(i.e. technical support from other FAO units) or
external independent advice for this purpose.
At a minimum, Category A projects require a site
visit by an independent qualied environmental
and social assessment expert or a team of
such experts, as independent advisory panels
required only for highly risky projects during EIA
preparation and implementation. In the context
of the EIA, an environmental management plan
(EMP) must be produced, describing the proposed
mitigation measures and preventive actions to
be taken during the various phases of the project
life and to ensure that risks are effectively
mitigated and/or reduced to acceptable levels.
The EMP will also specify the environmental or
social monitoring arrangements during project
implementation (which may result in further
adaptive management measures being applied)
and any capacity development necessary to
support these measures. Participatory plans will
be also elaborated in order to ensure an inclusive
approach of all affected groups.
Moreover in the context of the EIA an Indigenous
Peoples Plan (IPP) will be formulated and
monitored by qualied professionals in
consultation with stakeholders and the
communities. The draft IPP will be disclosed in
timely manner, before appraisal formally begins.
The mentioned plan must include specic
measures in order to monitor the benets/risks
affecting the indigenous peoples and to create
specic mitigation actions, culturally appropriate
benets/compensation, and includes grievance,
M&E and budget arrangements. Full consideration
will be given to options preferred by the affected
indigenous peoples in the provision of benets
and design of the mentioned mitigation measures.
In reacting to the EIA presented for a Category A
project, the PAC may recommend non-approval
of the project, or alternative measures to prevent,
reduce or mitigate risks.
be assigned to Category A is provided in Box 2.
This list may be periodically updated based on
experience or specic geographic requirements.
It is worth re-emphasizing that, based on
experience, only a small share of FAOs projects
would normally be assigned to Category A.
BOX 2. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY A
1. Large-scale agro-industry projects
3
; shifts to intensive production technologies.
2. Large-scale land reclamation.
3. Provision of high levels of external inputs (fertilizers, pesticides, etc).
4. Large-scale afforestation/reforestation, including logging operations, use of mangroves and
wetlands.
5. Forest industry operations, such as sawmills and pulp and paper mills.
3
The present document considers as medium-scale projects those with budgets in the US$500 0002 000 000 range and as large-scale
projects those with budget higher than US$2 000 000.
9 8
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME NTA L I MPA C T A S S E S S ME N T
BOX 4. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY C
1. Natural resource assessments and monitoring.
2. Environmental and sustainable development analysis.
3. Monitoring and evaluation exercises.
4. Desk studies, workshops, meetings.
5. Scientic research and eld surveys. (However, certain eld research activities which may involve
agrochemicals and biotechnologies may be classied as Category B.)
6. Research and extension in agriculture, forestry and sheries.
7. Remote sensing and geospatial analysis.
8. Capacity development, communication and outreach programmes, including training.
9. Minor construction activities and maintenance of installations.
10. Institutional development, including norms and standards.
11. Health and education programmes.
12. Micro-credit programmes/projects.
13. Support to the development of income-generating activities at household or Farmer-Based
Organization (FBO) level (i.e. small-scale cottage industries).
14. Distribution to vulnerable or disaster-affected households of agricultural inputs (seeds, fertilizer,
tools, small livestock) that are already known by the target groups and which are available locally.
There may be cases where onward funding
will occur in a project (i.e. nancial resources
that pass directly to a third party to implement
activities still to be dened in detail). In such
cases, the onward funding will be subject to the
same procedures that would normally be applied
during the assessment and implementation phase.
Signicant impacts and proposed preventive
actions and mitigation measures should be
identied. In cases where sufcient information is
not available, provision should be made to review
the proposed uses of the onward funding when it
is eventually dened.
2.3 STEPS OF THE EIA PROCESS IN FAO
Considerable literature exists on environmental
assessment, with a wide range of terminologies.
In the context of FAOs eld work, it may be
useful to see the EIA process in terms of three,
relatively straightforward steps.
The EA process begins with the initial
environmental review conducted through a
Decision Tree approach, which will allow
exempting Category C from further analysis. It
is followed by a more thorough environmental
screening to identify whether the project falls
under Category A or B, while the third step is
BOX 3. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY B
1. Agro-industry projects of small and medium scale.
2. Water impoundment, irrigation and drainage schemes of small scale.
3. Small and medium-scale agricultural and animal husbandry production schemes which involve
the use of exogenous technology and/or inputs (i.e. cultivation or animal husbandry techniques,
agricultural or post-harvest machinery, disease and pest control, seeds, fertilizer, and tools that are
not commonly used/traded in the project area).
4. Watershed management or rehabilitation, river basin management planning, international water
management, and agreements for medium-size projects.
5. Range and pasture management and livestock management, including waste control and livestock
health aspects.
6. Small and medium-size aquaculture, including small and medium-scale industrial and artisanal
sheries.
7. Limited bioenergy projects.
8. Climate change adaptation projects.
9. Small and medium-size plantations for bioenergy or pulp or other agricultural use.
10. Reforestation/afforestation.
11. Forest industry development including industrial and community uses.
12. Introduction of genetically modied organisms.
13. Small and medium-size road construction, maintenance and rehabilitation.
14. Signicant changes in plant and animal gene pool.
15. Land use changes affecting biodiversity.
16. Projects that may have potentially minor adverse impacts on physical cultural resources
Category C
Category C projects should have minimal or
no potential negative environmental (or social)
impacts, either individually or cumulatively.
They should not be controversial in terms of the
interests of key stakeholders. As such, they do not
require further analysis or impact assessment.
Ranking under Category C is to be certied by
the LTO who can proceed to nal design and
implementation phases.
An indicative list of projects for Category C is
provided in Box 4, which will also be periodically
updated, based on experience.
9 8
BOX 4. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY C
1. Natural resource assessments and monitoring.
2. Environmental and sustainable development analysis.
3. Monitoring and evaluation exercises.
4. Desk studies, workshops, meetings.
5. Scientic research and eld surveys. (However, certain eld research activities which may involve
agrochemicals and biotechnologies may be classied as Category B.)
6. Research and extension in agriculture, forestry and sheries.
7. Remote sensing and geospatial analysis.
8. Capacity development, communication and outreach programmes, including training.
9. Minor construction activities and maintenance of installations.
10. Institutional development, including norms and standards.
11. Health and education programmes.
12. Micro-credit programmes/projects.
13. Support to the development of income-generating activities at household or Farmer-Based
Organization (FBO) level (i.e. small-scale cottage industries).
14. Distribution to vulnerable or disaster-affected households of agricultural inputs (seeds, fertilizer,
tools, small livestock) that are already known by the target groups and which are available locally.
There may be cases where onward funding
will occur in a project (i.e. nancial resources
that pass directly to a third party to implement
activities still to be dened in detail). In such
cases, the onward funding will be subject to the
same procedures that would normally be applied
during the assessment and implementation phase.
Signicant impacts and proposed preventive
actions and mitigation measures should be
identied. In cases where sufcient information is
not available, provision should be made to review
the proposed uses of the onward funding when it
is eventually dened.
2.3 STEPS OF THE EIA PROCESS IN FAO
Considerable literature exists on environmental
assessment, with a wide range of terminologies.
In the context of FAOs eld work, it may be
useful to see the EIA process in terms of three,
relatively straightforward steps.
The EA process begins with the initial
environmental review conducted through a
Decision Tree approach, which will allow
exempting Category C from further analysis. It
is followed by a more thorough environmental
screening to identify whether the project falls
under Category A or B, while the third step is
BOX 3. INDICATIVE LIST OF TYPES OF PROJECTS UNDER CATEGORY B
1. Agro-industry projects of small and medium scale.
2. Water impoundment, irrigation and drainage schemes of small scale.
3. Small and medium-scale agricultural and animal husbandry production schemes which involve
the use of exogenous technology and/or inputs (i.e. cultivation or animal husbandry techniques,
agricultural or post-harvest machinery, disease and pest control, seeds, fertilizer, and tools that are
not commonly used/traded in the project area).
4. Watershed management or rehabilitation, river basin management planning, international water
management, and agreements for medium-size projects.
5. Range and pasture management and livestock management, including waste control and livestock
health aspects.
6. Small and medium-size aquaculture, including small and medium-scale industrial and artisanal
sheries.
7. Limited bioenergy projects.
8. Climate change adaptation projects.
9. Small and medium-size plantations for bioenergy or pulp or other agricultural use.
10. Reforestation/afforestation.
11. Forest industry development including industrial and community uses.
12. Introduction of genetically modied organisms.
13. Small and medium-size road construction, maintenance and rehabilitation.
14. Signicant changes in plant and animal gene pool.
15. Land use changes affecting biodiversity.
16. Projects that may have potentially minor adverse impacts on physical cultural resources
Category C
Category C projects should have minimal or
no potential negative environmental (or social)
impacts, either individually or cumulatively.
They should not be controversial in terms of the
interests of key stakeholders. As such, they do not
require further analysis or impact assessment.
Ranking under Category C is to be certied by
the LTO who can proceed to nal design and
implementation phases.
An indicative list of projects for Category C is
provided in Box 4, which will also be periodically
updated, based on experience.
11 10
Step 2: Environmental screening is the
systematic assessment and documentation of
the potential environmental and socioeconomic
impacts (negative but also positive) of a
proposed Category A or B project. This should
in effect determine if the project is to fall under
Category A or B, hence whether to carry out
further environmental analysis or an EIA, and at
what level of effort.
Positive/ negative outcomes can be identied by
using the checklists on basic policy requirements
for eld projects contained in Annex 3. Negative
environmental factors which may affect the
project outcome should be adequately described.
Both direct impacts and indirect impacts will be
addressed, as well as relevant trans-boundary
issues, or any onward funding that may be
planned. These basic requirements will aid the
LTO in screening the project under consideration
for environmental and social impacts of potential
concern and ultimately in determining the
environmental category to assign to the project.
The checklist is organized by main sector
or discipline pertinent to FAOs mandate,
e.g. agriculture, biodiversity, sheries and
aquaculture, forestry, livestock and animal
husbandry, fertilizers, pesticides, water
development, socio-economic dimensions and
gender. FAO will employ the EIA procedures
to ensure adherence to relevant international
environmental treaties and agreements.
The screening process can lead to a variety of
outcomes, as illustrated below:
Negative effects are identied but can be
prevented or mitigated using known best
practices and design features which conform to
existing legislation and regulations. The project is
rated as Category B, and is further reviewed by
the LTO in the eld ofce or in headquarters,
who proceeds with the design of prevention,
mitigation and monitoring measures identied
and recorded.
Potentially adverse effects are not fully known.
Hence, the project needs further study until a
decision can be made. It may be assigned to
Category B and an environmental analysis will
be prepared. The same will apply to cases
where the local ability to avoid or mitigate
signicant negative effects is yet unknown.
Potential adverse impacts are signicant,
according to criteria developed by FAO, other
international organizations or national
authorities themselves. The project is to be
assigned to Category A and an EIA will be
prepared. The same will apply to known cases
of signicant public concern about negative
environmental effects.
The project falls a priori under Category A as
determined from the list above and will
undergo an EIA.
The project entails potentially adverse
environmental risks and impacts that are
considered unacceptable. The project needs to
be signicantly modied and re-screened.
Failing satisfactory options for preventing or
mitigating negative impacts, the project may
be abandoned.
It is important to highlight that projects under
the categories A and B require eld work and
resources that must be clearly specied and
included in the budget by project formulators.
Step 3: Environmental scoping applies to both
Category A and B projects. It seeks to determine
the most important issues, problems, and
called environmental scoping, dening the
nature of any further environmental analysis or
fully-edged EIA to be performed. The three
steps are depicted in Figure 1, and explained in
further detail below.
Step 1: The initial environmental review (IER) takes
place as early as possible when a project concept
or proposal is identied. The environmental review
step allows for Category C projects to be identied
and excluded at this stage. The project proposal
Figure 1. Overview of the EIA process
should, however, be sufciently developed to
identify an initial list of environmental and
social issues, potential negative impacts and key
stakeholders. The initial environmental review
greatly facilitates the further project planning
process. The results of the review are documented
in the Environmental and Social Review Form
(ESRF). This must be reviewed and approved
by the PAC before the project can proceed to
nancing and implementation. The standard
format for the ESRF is provided in Annex 2.
Category C Category B Category A
design of
(EA) methods
design of Environmental
Impact Assessmant
(EIA) methods
Preliminary environmental review
First assignation of the environmental Category A/B/C
Secondary Environmental Review (screening/scoping)
Assignation of the environmental Category A or B
Contacts with donors/stakeholders and discussion of
Environmental Analysis of Assessment
INCORPORATE NECESSARY ENVIRONMENTAL MEASURES
EIA CATEGORIZATION APPRAISED AND APPROVED
PERIODIC MONITORING AND REPORTING ON
ENVIRONMENTAL MANAGEMENT PLAN (STATUS)
automatically
excluded after
certication
11 10
Step 2: Environmental screening is the
systematic assessment and documentation of
the potential environmental and socioeconomic
impacts (negative but also positive) of a
proposed Category A or B project. This should
in effect determine if the project is to fall under
Category A or B, hence whether to carry out
further environmental analysis or an EIA, and at
what level of effort.
Positive/ negative outcomes can be identied by
using the checklists on basic policy requirements
for eld projects contained in Annex 3. Negative
environmental factors which may affect the
project outcome should be adequately described.
Both direct impacts and indirect impacts will be
addressed, as well as relevant trans-boundary
issues, or any onward funding that may be
planned. These basic requirements will aid the
LTO in screening the project under consideration
for environmental and social impacts of potential
concern and ultimately in determining the
environmental category to assign to the project.
The checklist is organized by main sector
or discipline pertinent to FAOs mandate,
e.g. agriculture, biodiversity, sheries and
aquaculture, forestry, livestock and animal
husbandry, fertilizers, pesticides, water
development, socio-economic dimensions and
gender. FAO will employ the EIA procedures
to ensure adherence to relevant international
environmental treaties and agreements.
The screening process can lead to a variety of
outcomes, as illustrated below:
Negative effects are identied but can be
prevented or mitigated using known best
practices and design features which conform to
existing legislation and regulations. The project is
rated as Category B, and is further reviewed by
the LTO in the eld ofce or in headquarters,
who proceeds with the design of prevention,
mitigation and monitoring measures identied
and recorded.
Potentially adverse effects are not fully known.
Hence, the project needs further study until a
decision can be made. It may be assigned to
Category B and an environmental analysis will
be prepared. The same will apply to cases
where the local ability to avoid or mitigate
signicant negative effects is yet unknown.
Potential adverse impacts are signicant,
according to criteria developed by FAO, other
international organizations or national
authorities themselves. The project is to be
assigned to Category A and an EIA will be
prepared. The same will apply to known cases
of signicant public concern about negative
environmental effects.
The project falls a priori under Category A as
determined from the list above and will
undergo an EIA.
The project entails potentially adverse
environmental risks and impacts that are
considered unacceptable. The project needs to
be signicantly modied and re-screened.
Failing satisfactory options for preventing or
mitigating negative impacts, the project may
be abandoned.
It is important to highlight that projects under
the categories A and B require eld work and
resources that must be clearly specied and
included in the budget by project formulators.
Step 3: Environmental scoping applies to both
Category A and B projects. It seeks to determine
the most important issues, problems, and
called environmental scoping, dening the
nature of any further environmental analysis or
fully-edged EIA to be performed. The three
steps are depicted in Figure 1, and explained in
further detail below.
Step 1: The initial environmental review (IER) takes
place as early as possible when a project concept
or proposal is identied. The environmental review
step allows for Category C projects to be identied
and excluded at this stage. The project proposal
Figure 1. Overview of the EIA process
should, however, be sufciently developed to
identify an initial list of environmental and
social issues, potential negative impacts and key
stakeholders. The initial environmental review
greatly facilitates the further project planning
process. The results of the review are documented
in the Environmental and Social Review Form
(ESRF). This must be reviewed and approved
by the PAC before the project can proceed to
nancing and implementation. The standard
format for the ESRF is provided in Annex 2.
Category C Category B Category A
design of
(EA) methods
design of Environmental
Impact Assessmant
(EIA) methods
Preliminary environmental review
First assignation of the environmental Category A/B/C
Secondary Environmental Review (screening/scoping)
Assignation of the environmental Category A or B
Contacts with donors/stakeholders and discussion of
Environmental Analysis of Assessment
INCORPORATE NECESSARY ENVIRONMENTAL MEASURES
EIA CATEGORIZATION APPRAISED AND APPROVED
PERIODIC MONITORING AND REPORTING ON
ENVIRONMENTAL MANAGEMENT PLAN (STATUS)
automatically
excluded after
certication
13 12
Table 2. Roles and Responsibilities for EIA within the project cycle
Actors Roles Responsibilities (EIA)
LTU It can be at service, unit or group level,
in a subregional or regional ofce, or at
headquarters.
It is part of the Project Task Force.
It is the FAO unit immediately responsible
for the technical direction of a project
and for the technical quality and
relevance of the project results.
Nominate the Lead Technical Ofcer (LTO).
LTO He/She is part of the Project Task Force.
He/She serves as decision-maker in the
initiating department/division/unit and
ensures that the environmental and
social impacts of all proposed projects/
activities are considered.
Undertake EA process, which includes, as
appropriate:
engage project stakeholders and beneciaries
including indigenous people and vulnerable
groups in analysis and decision-making;
ensure the initial project environmental review;
select an environmental category;
conduct project screening/scoping;
prepare the EIA/EMP/IPP;
factor in and allocate the necessary resources
for EIA related processes as appropriate;
ensure the implementation of any actions or
measures recommended in the environmental
analysis or the EIA;
development adequate capacity in local
institutions;
undertake the monitoring and evaluation of
project impacts;
ensure EIA public disclosure.
PAC It oversees EIA process to ensure quality
and consistency across the organization.
Approve the environmental category assigned
to each project;
clear any analysis or EIA documentation
prepared before project approval and
implementation.
2.4 ROLES AND RESPONSIBILITIES
alternatives that should be addressed in any
further environmental analysis or in an EIA, and
additional environmental and social analyses may
be recommended. Scoping will include an initial
identication of the environmental policies,
laws, and regulations (particularly with respect
to EIA) of the country in which the project will
be implemented and with which the project
must comply. It will also include an initial review
of capacity issues concerning the prevention
and mitigation of environmental impacts for
individuals (in communities, professional
associations and organizations, policy makers,
etc), for organizations (government departments,
NGOs, private sector, etc) and as regards
an enabling environment (policies, laws,
regulations, incentives, partnerships, etc).
Scoping helps identifying possible modications
to the project design and deciding on the type
of further analysis that may be required. It
reduces delays by starting communication early
in project planning, involving stakeholders, and
pinpointing issues warranting further study (See
the environmental scoping section for Category A
projects, in Annex 2).
Capacity Development (CD) of country or (sub)
regional stakeholders should be addressed
during this scoping phase and fully reviewed
for Category A projects as part of the EMP. CD
is to support preventive actions and mitigation
measures. For initial capacity assessment,
Annex 6 provides helpful indicative questions.
For a fuller assessment, see OEKCs web site:
http://intranet.fao.org/fao_communications/idwg_
on_capacity_development/capacity_development
_tools).

As examples, capacities may need strengthening
in local government and NGOs to implement
preventive actions and mitigation measures. The
CD assessment may call for specic training,
mentoring, networking and policy seminars to
be considered and planned for. The targeting
process should include, depending on the context:
(a) government institutions involved in project
oversight and delivery, (b) local non-governmental
organizations or other civil society organizations
involved in project activities, and (c) project
beneciaries themselves.
13 12
Table 2. Roles and Responsibilities for EIA within the project cycle
Actors Roles Responsibilities (EIA)
LTU It can be at service, unit or group level,
in a subregional or regional ofce, or at
headquarters.
It is part of the Project Task Force.
It is the FAO unit immediately responsible
for the technical direction of a project
and for the technical quality and
relevance of the project results.
Nominate the Lead Technical Ofcer (LTO).
LTO He/She is part of the Project Task Force.
He/She serves as decision-maker in the
initiating department/division/unit and
ensures that the environmental and
social impacts of all proposed projects/
activities are considered.
Undertake EA process, which includes, as
appropriate:
engage project stakeholders and beneciaries
including indigenous people and vulnerable
groups in analysis and decision-making;
ensure the initial project environmental review;
select an environmental category;
conduct project screening/scoping;
prepare the EIA/EMP/IPP;
factor in and allocate the necessary resources
for EIA related processes as appropriate;
ensure the implementation of any actions or
measures recommended in the environmental
analysis or the EIA;
development adequate capacity in local
institutions;
undertake the monitoring and evaluation of
project impacts;
ensure EIA public disclosure.
PAC It oversees EIA process to ensure quality
and consistency across the organization.
Approve the environmental category assigned
to each project;
clear any analysis or EIA documentation
prepared before project approval and
implementation.
2.4 ROLES AND RESPONSIBILITIES
alternatives that should be addressed in any
further environmental analysis or in an EIA, and
additional environmental and social analyses may
be recommended. Scoping will include an initial
identication of the environmental policies,
laws, and regulations (particularly with respect
to EIA) of the country in which the project will
be implemented and with which the project
must comply. It will also include an initial review
of capacity issues concerning the prevention
and mitigation of environmental impacts for
individuals (in communities, professional
associations and organizations, policy makers,
etc), for organizations (government departments,
NGOs, private sector, etc) and as regards
an enabling environment (policies, laws,
regulations, incentives, partnerships, etc).
Scoping helps identifying possible modications
to the project design and deciding on the type
of further analysis that may be required. It
reduces delays by starting communication early
in project planning, involving stakeholders, and
pinpointing issues warranting further study (See
the environmental scoping section for Category A
projects, in Annex 2).
Capacity Development (CD) of country or (sub)
regional stakeholders should be addressed
during this scoping phase and fully reviewed
for Category A projects as part of the EMP. CD
is to support preventive actions and mitigation
measures. For initial capacity assessment,
Annex 6 provides helpful indicative questions.
For a fuller assessment, see OEKCs web site:
http://intranet.fao.org/fao_communications/idwg_
on_capacity_development/capacity_development
_tools).

As examples, capacities may need strengthening
in local government and NGOs to implement
preventive actions and mitigation measures. The
CD assessment may call for specic training,
mentoring, networking and policy seminars to
be considered and planned for. The targeting
process should include, depending on the context:
(a) government institutions involved in project
oversight and delivery, (b) local non-governmental
organizations or other civil society organizations
involved in project activities, and (c) project
beneciaries themselves.
15 14
ensure that the classication be reassessed. To
this end, a specic question related to EIA has
been included in the Appraisal Checklist
4
.
Environmental monitoring during project
implementation will provide information on the
environmental impacts of the project and the
effectiveness of mitigation measures. This will
permit evaluation of the success of mitigation
and allow corrective action to be taken when
needed. For this, the EMP will identify monitoring
objectives and specify the type of monitoring to
be employed.
Specically, the monitoring section of the EMP
will set out: (i) specic monitoring measures,
including the parameters to be measured
and methods to be used, sampling locations,
frequency of measurements, detection limits
(where appropriate), and denition of thresholds
that will signal the need for corrective actions;
and (ii) monitoring and reporting procedures
to ensure early detection of conditions that
necessitate mitigation and furnish information on
the progress and results of the mitigation.
Reclassication of Projects
As mentioned in previous sections, the
classication of a project may need to be
changed as circumstances dictate. For instance,
if there is a major modication to project
design or a new activity is added, then a change
in category (either upwards or downwards)
may be warranted. It is also possible that
new information arrives since initial project
identication work. For example, a Category
A project may be reclassied as Category B
if components with signicant environmental
impacts are eliminated. On the other hand, a
Category B project may shift to Category A if
new information reveals that an activity may
have signicant adverse environmental impacts.
All envisaged changes that imply Category A
status would require an EIA and those leading
to Category B status would only require an
environmental analysis as described above.
Upward reclassication (e.g. B to A; or C to B)
may carry some costs, as additional resources
may be needed for environmental assessments.
Furthermore, the original project implementation
schedule may be delayed, especially if
assessment activities have to be undertaken after
project implementation has started.
Participatory Consultations
As early as possible in the project formulation
process, LTOs will make every effort to engage
project stakeholders and beneciaries including
indigenous people and vulnerable groups in
analysis and decision-making with respect
to potential project environmental and social
impacts. For all Category A and B projects, the
LTO or more formally the lead technical unit
(LTU) will consult project-affected groups
and relevant local NGOs, take account of their
comments in the environmental analysis and
EIA reports, and more generally in project
design and implementation. Stakeholders
participation including indigenous people and
vulnerable groups will be ensured in designing,
implementing, and monitoring avoidance and
mitigation measures and compensation/benets
including establishing appropriate and accessible
grievance mechanisms.
For Category A projects, the LTU should consult
these groups at least twice: (i) shortly after the
environmental screening and before the terms of
reference for the EIA are nalized; and (ii) once
a draft EIA report is prepared. In addition, the
4
The appraisal checklist is a comprehensive document of specic quality criteria and standards which guides and structures PACs comments.
2.5 EIA IN FAOS PROJECT CYCLE
(see also Annexes 4 and 5)
[The Field Programme Coordination and Results-
Based Monitoring (TCDM) unit is presently in the
process of reviewing and updating, according to
Results Based Management (RBM) principles,
the FAO Project Cycle standard format which is
formally based on the Field Programme Circular
FPC/2003/04. This process is being developed
in order to ensure a clear Accountability and
Quality Assurance Framework for FAOs Field
Programme under the new Strategic Framework
and in the context of FAO and UN Reform. New
steps have been identied in order to integrate
the current project cycles structure and to align
FAO procedures to international best practices.]
The updated FAOs project cycle consist of six
phases from conception to completion. These
phases are: 1) Identication; 2) Formulation;
3) Appraisal and Approval; 4) Implementation
and Monitoring; 5) Evaluation; and 6) Closure.
As shown in Annex 5, the EIA process implies
a course of action to match as appropriate the
standard project cycle phases, as follows:
This integration of key elements of the EIA
process with the standard project cycle phases is
further explained below.
Appraisal and Approval
During this phase of the project cycle, the Project
Appraisal Committee (PAC, former PPRC) will
review the EIA classication given by the project
formulator. Should the PAC have any questions
or comments on the proposed classication, the
Chairperson of the Project Task Force (usually
the prospective Budget Holder) will be asked to
provide clarications, based on consultation with
the project formulator, Lead Technical Ofcer
and other members of the Project Task Force as
appropriate. In rare cases, they may be asked to
Project Cycle EIA Steps
1. Project Identication Preliminary environmental review and classication
2. Project Formulation EIA formulation
3. Project Appraisal and Approval Environmental technical review clearance Final
4. Project Implementation and Monitoring Monitoring effectiveness of mitigation measures and
reporting on the Environmental Management Plan
5. Project Closure Final report/ Lessons learned
6. Project Evaluation Post-evaluation of project environmental impact
15 14
ensure that the classication be reassessed. To
this end, a specic question related to EIA has
been included in the Appraisal Checklist
4
.
Environmental monitoring during project
implementation will provide information on the
environmental impacts of the project and the
effectiveness of mitigation measures. This will
permit evaluation of the success of mitigation
and allow corrective action to be taken when
needed. For this, the EMP will identify monitoring
objectives and specify the type of monitoring to
be employed.
Specically, the monitoring section of the EMP
will set out: (i) specic monitoring measures,
including the parameters to be measured
and methods to be used, sampling locations,
frequency of measurements, detection limits
(where appropriate), and denition of thresholds
that will signal the need for corrective actions;
and (ii) monitoring and reporting procedures
to ensure early detection of conditions that
necessitate mitigation and furnish information on
the progress and results of the mitigation.
Reclassication of Projects
As mentioned in previous sections, the
classication of a project may need to be
changed as circumstances dictate. For instance,
if there is a major modication to project
design or a new activity is added, then a change
in category (either upwards or downwards)
may be warranted. It is also possible that
new information arrives since initial project
identication work. For example, a Category
A project may be reclassied as Category B
if components with signicant environmental
impacts are eliminated. On the other hand, a
Category B project may shift to Category A if
new information reveals that an activity may
have signicant adverse environmental impacts.
All envisaged changes that imply Category A
status would require an EIA and those leading
to Category B status would only require an
environmental analysis as described above.
Upward reclassication (e.g. B to A; or C to B)
may carry some costs, as additional resources
may be needed for environmental assessments.
Furthermore, the original project implementation
schedule may be delayed, especially if
assessment activities have to be undertaken after
project implementation has started.
Participatory Consultations
As early as possible in the project formulation
process, LTOs will make every effort to engage
project stakeholders and beneciaries including
indigenous people and vulnerable groups in
analysis and decision-making with respect
to potential project environmental and social
impacts. For all Category A and B projects, the
LTO or more formally the lead technical unit
(LTU) will consult project-affected groups
and relevant local NGOs, take account of their
comments in the environmental analysis and
EIA reports, and more generally in project
design and implementation. Stakeholders
participation including indigenous people and
vulnerable groups will be ensured in designing,
implementing, and monitoring avoidance and
mitigation measures and compensation/benets
including establishing appropriate and accessible
grievance mechanisms.
For Category A projects, the LTU should consult
these groups at least twice: (i) shortly after the
environmental screening and before the terms of
reference for the EIA are nalized; and (ii) once
a draft EIA report is prepared. In addition, the
4
The appraisal checklist is a comprehensive document of specic quality criteria and standards which guides and structures PACs comments.
2.5 EIA IN FAOS PROJECT CYCLE
(see also Annexes 4 and 5)
[The Field Programme Coordination and Results-
Based Monitoring (TCDM) unit is presently in the
process of reviewing and updating, according to
Results Based Management (RBM) principles,
the FAO Project Cycle standard format which is
formally based on the Field Programme Circular
FPC/2003/04. This process is being developed
in order to ensure a clear Accountability and
Quality Assurance Framework for FAOs Field
Programme under the new Strategic Framework
and in the context of FAO and UN Reform. New
steps have been identied in order to integrate
the current project cycles structure and to align
FAO procedures to international best practices.]
The updated FAOs project cycle consist of six
phases from conception to completion. These
phases are: 1) Identication; 2) Formulation;
3) Appraisal and Approval; 4) Implementation
and Monitoring; 5) Evaluation; and 6) Closure.
As shown in Annex 5, the EIA process implies
a course of action to match as appropriate the
standard project cycle phases, as follows:
This integration of key elements of the EIA
process with the standard project cycle phases is
further explained below.
Appraisal and Approval
During this phase of the project cycle, the Project
Appraisal Committee (PAC, former PPRC) will
review the EIA classication given by the project
formulator. Should the PAC have any questions
or comments on the proposed classication, the
Chairperson of the Project Task Force (usually
the prospective Budget Holder) will be asked to
provide clarications, based on consultation with
the project formulator, Lead Technical Ofcer
and other members of the Project Task Force as
appropriate. In rare cases, they may be asked to
Project Cycle EIA Steps
1. Project Identication Preliminary environmental review and classication
2. Project Formulation EIA formulation
3. Project Appraisal and Approval Environmental technical review clearance Final
4. Project Implementation and Monitoring Monitoring effectiveness of mitigation measures and
reporting on the Environmental Management Plan
5. Project Closure Final report/ Lessons learned
6. Project Evaluation Post-evaluation of project environmental impact
16
E N V I R O N ME N TA L I MPA C T A S S E S S ME N T
17
CHAPTER 3
EIA REPORTS
3.1 CATEGORY A PROJECTS
(significant impacts)
Category A projects by denition require a feld
visit, an environmental impact assessment and
an environmental management plan. The reports
are normally expected to cover:
applicable national environmental management
policies, regulations, and requirements,
including those for environmental impact
assessment, with which the project must
comply;
baseline conditions of project site including
size of project area;
description of biophysical and social
environment;
identication of local populations to be
impacted directly and/or indirectly by project
activities;
analysis of likely project impacts on the
biophysical/social environment;
residual impacts and measures to mitigate
them;
environmental management plan for preventive
actions and mitigation measures required,
including any recommended environmental
monitoring and any capacity development
necessary to ensure sustainability;
indigenous Peoples Plan.
Suggested outlines for Category A EIA and EMP
reports are provided in Annex 6.
3.2 CATEGORY B PROJECTS
(less significant impacts)
Category B projects require environmental
analysis of specic negative impacts, including
their expected magnitude, also specifying how
these ndings are to be addressed in the project
design. The scope of analysis may vary from a
detailed study of a specic project component
to routine checks to ensure the project design
conforms to FAOs governing principles. The
following aspects will be taken into account:
government focal point approval;
national environmental management policies,
regulations, and requirements, including those
for environmental impact assessment;
evidence that communities agree upon project
ideas;
specic elements of the project not conforming
to environmental, social and sustainable
development considerations;
analysis of environmental and sustainability
issues using simple or readily available tools
such as sector policy and planning review,
stakeholder analysis, agro-ecosystem analysis,
and rapid rural appraisal;
LTU should consult with such groups throughout
project implementation as necessary to address
EIA-related issues that affect them.
Requirements for Public Disclosure
During the formulation process, the LTO will
arrange for timely provision of information on
potential environmental and social impacts as
well as of draft EA/EIA (including EMP and
IPP) to stakeholders and beneciaries with
particular attention to indigenous peoples and
vulnerable groups in a language and format
to be accessible and understandable. This
consultation will be governed by the free, prior
and informed consent principle
5
. Once the
pertinent documentation has been completed
(i.e. the environmental analysis for Category B
projects, the environmental impact assessment
for Category A projects), the LTO will ensure that
it is made available to the public, both within
the country where the project is located (e.g. on
a project recipient website) and within FAO
(e.g. on the headquarters, regional, or sub
regional website). The LTO will ensure
stakeholders involvement and public disclosure
of relevant documentation during all the phases
of the project and EIA Cycle.
Resources
The LTO will factor in, and allocate the
necessary resources for EIA related processes as
appropriate.
5
http://www.un.org/esa/socdev/unpi/documents/workshop_FPIC_tamang.doc
16
17
CHAPTER 3
EIA REPORTS
3.1 CATEGORY A PROJECTS
(significant impacts)
Category A projects by denition require a feld
visit, an environmental impact assessment and
an environmental management plan. The reports
are normally expected to cover:
applicable national environmental management
policies, regulations, and requirements,
including those for environmental impact
assessment, with which the project must
comply;
baseline conditions of project site including
size of project area;
description of biophysical and social
environment;
identication of local populations to be
impacted directly and/or indirectly by project
activities;
analysis of likely project impacts on the
biophysical/social environment;
residual impacts and measures to mitigate
them;
environmental management plan for preventive
actions and mitigation measures required,
including any recommended environmental
monitoring and any capacity development
necessary to ensure sustainability;
indigenous Peoples Plan.
Suggested outlines for Category A EIA and EMP
reports are provided in Annex 6.
3.2 CATEGORY B PROJECTS
(less significant impacts)
Category B projects require environmental
analysis of specic negative impacts, including
their expected magnitude, also specifying how
these ndings are to be addressed in the project
design. The scope of analysis may vary from a
detailed study of a specic project component
to routine checks to ensure the project design
conforms to FAOs governing principles. The
following aspects will be taken into account:
government focal point approval;
national environmental management policies,
regulations, and requirements, including those
for environmental impact assessment;
evidence that communities agree upon project
ideas;
specic elements of the project not conforming
to environmental, social and sustainable
development considerations;
analysis of environmental and sustainability
issues using simple or readily available tools
such as sector policy and planning review,
stakeholder analysis, agro-ecosystem analysis,
and rapid rural appraisal;
LTU should consult with such groups throughout
project implementation as necessary to address
EIA-related issues that affect them.
Requirements for Public Disclosure
During the formulation process, the LTO will
arrange for timely provision of information on
potential environmental and social impacts as
well as of draft EA/EIA (including EMP and
IPP) to stakeholders and beneciaries with
particular attention to indigenous peoples and
vulnerable groups in a language and format
to be accessible and understandable. This
consultation will be governed by the free, prior
and informed consent principle
5
. Once the
pertinent documentation has been completed
(i.e. the environmental analysis for Category B
projects, the environmental impact assessment
for Category A projects), the LTO will ensure that
it is made available to the public, both within
the country where the project is located (e.g. on
a project recipient website) and within FAO
(e.g. on the headquarters, regional, or sub
regional website). The LTO will ensure
stakeholders involvement and public disclosure
of relevant documentation during all the phases
of the project and EIA Cycle.
Resources
The LTO will factor in, and allocate the
necessary resources for EIA related processes as
appropriate.
5
http://www.un.org/esa/socdev/unpi/documents/workshop_FPIC_tamang.doc
18
19
SOURCES AND LI NKS
SOURCES
Duffy, P. 1998. Environmental impact assessment training for sustainable agriculture and rural development: A
case in Kenya. SD Dimensions, FAO, Rome (also available at http://www.fao.org/sd/epdirect/epan0012.htm).
Duffy, P. & DuBois, R. 1999. Environmental impact guidelines. FAO Investment Centre. 12 pp. Published, not
distributed.
Duffy, P. & Tschirley, J. 2000. Use of environmental impact assessment in addressing chronic environmentally
damaging agricultural and rural development practices: Examples from Kenya and Cambodia. Impact assessment
and project appraisal, vol. 18, no. 2, June 2000, pages 161167.
European Community. 2001. Guidance for environmental impact assessment review.
FAO, AGRE. 1988. Procedures for environmental impact assessment of FAO projects. Draft. 12 pp. FAO, Rome.
FAO, TCO. 2007. Standard project document format: Guidelines for project formulators. Field project circular
2007/02.
FAO/FIMA. 2009. Environmental impact assessment and monitoring in aquaculture. FAO Fisheries and
Aquaculture Technical Paper. No. 527. Rome, FAO 2009. 649 p. (also available at http://www.fao.org/docrep/012/
i0970e/i0970e00.htm).
FAO. Forthcoming. Integrating Gender Issues into the National Medium Term Priority Framework.
FAO. Forthcoming. Integrating Gender Issues into UN Joint Programmes for food security, agriculture and rural
development.
IFAD. 2008. Environmental and social assessment procedures: Environmental management and sustainable
development. 125 pp., Rome, Italy.
OECD. 2006. Applying strategic environmental assessment. ISBN 92-64-02657-6.
UNEP. EIA Training resource manual, 2
nd
edition (available at http://www.unep.ch/etb/publications/eiaman2edition.
php).
World Bank. 1991. Environmental assessment sourcebook, three volumes and updates. Environment department
technical papers 139140, Washington, DC, USA.
World Bank. 2006. Environmental impact assessment regulations and strategic environmental assessment
requirements: Practices and lessons learned in east and southeast Asia. Environment and social development.
Safeguard dissemination note no. 2.
probability of impacts: high, medium, low;
signicance of impacts: high, medium, low;
likely affected population: category (poor, rural,
urban, etc.), social system (indigenous)
geographical distribution, etc.;
natural resources likely to be affected: water,
soils, forests, coastal ecosystems, etc.;
economic effects: change in level of income,
employment, etc.;
preventive actions and mitigation measures:
project readjustment, institutional measures,
other alternatives; and
environmental Management Plan (if
necessary).
3.3 CATEGORY C PROJECTS
(minimal or no adverse impacts)
Specic environmentally related reports are not
necessary.
18
19
SOURCES AND LI NKS
SOURCES
Duffy, P. 1998. Environmental impact assessment training for sustainable agriculture and rural development: A
case in Kenya. SD Dimensions, FAO, Rome (also available at http://www.fao.org/sd/epdirect/epan0012.htm).
Duffy, P. & DuBois, R. 1999. Environmental impact guidelines. FAO Investment Centre. 12 pp. Published, not
distributed.
Duffy, P. & Tschirley, J. 2000. Use of environmental impact assessment in addressing chronic environmentally
damaging agricultural and rural development practices: Examples from Kenya and Cambodia. Impact assessment
and project appraisal, vol. 18, no. 2, June 2000, pages 161167.
European Community. 2001. Guidance for environmental impact assessment review.
FAO, AGRE. 1988. Procedures for environmental impact assessment of FAO projects. Draft. 12 pp. FAO, Rome.
FAO, TCO. 2007. Standard project document format: Guidelines for project formulators. Field project circular
2007/02.
FAO/FIMA. 2009. Environmental impact assessment and monitoring in aquaculture. FAO Fisheries and
Aquaculture Technical Paper. No. 527. Rome, FAO 2009. 649 p. (also available at http://www.fao.org/docrep/012/
i0970e/i0970e00.htm).
FAO. Forthcoming. Integrating Gender Issues into the National Medium Term Priority Framework.
FAO. Forthcoming. Integrating Gender Issues into UN Joint Programmes for food security, agriculture and rural
development.
IFAD. 2008. Environmental and social assessment procedures: Environmental management and sustainable
development. 125 pp., Rome, Italy.
OECD. 2006. Applying strategic environmental assessment. ISBN 92-64-02657-6.
UNEP. EIA Training resource manual, 2
nd
edition (available at http://www.unep.ch/etb/publications/eiaman2edition.
php).
World Bank. 1991. Environmental assessment sourcebook, three volumes and updates. Environment department
technical papers 139140, Washington, DC, USA.
World Bank. 2006. Environmental impact assessment regulations and strategic environmental assessment
requirements: Practices and lessons learned in east and southeast Asia. Environment and social development.
Safeguard dissemination note no. 2.
probability of impacts: high, medium, low;
signicance of impacts: high, medium, low;
likely affected population: category (poor, rural,
urban, etc.), social system (indigenous)
geographical distribution, etc.;
natural resources likely to be affected: water,
soils, forests, coastal ecosystems, etc.;
economic effects: change in level of income,
employment, etc.;
preventive actions and mitigation measures:
project readjustment, institutional measures,
other alternatives; and
environmental Management Plan (if
necessary).
3.3 CATEGORY C PROJECTS
(minimal or no adverse impacts)
Specic environmentally related reports are not
necessary.
20
21
ANNEX 1
GOVERNI NG PRI NCI PLES
The EIA process and procedures outlined above
are to ensure that FAOs eld operations adhere to
the following governing principles (based on key
sectors and disciplines, as communicated by the
pertinent FAO technical units):
Protected areas, natural habitats, critical
ecosystems. FAO will neither nance nor
execute projects related to infrastructure or
other types of physical investment involving
land use, water space in or around designated
protected areas, critical natural habitats or
ecosystems. This includes lands and land uses
important to indigenous and other ethnic
groups, as well as marine protected areas and
areas that are relevant to the reproduction of
aquatic species in any category of conservation.

In making determinations with respect to
projects in or around the areas mentioned
above, FAO will employ a precautionary
approach in order to ensure adequate
protection of these areas. As mentioned above,
FAO does not support projects involving the
signicant conversion of critical natural
habitats including forests, or that will
contravene applicable international
environmental agreements. Wherever feasible,
preference must be given to projects dealing
with lands already converted. Where projects
can adversely affect non-critical habitats, FAO
will support them only if viable alternatives are
not available, and if appropriate conservation
and mitigation measures, including those
required to maintain ecological services
provided by these habitats, are in place. The
project will have to include mitigation
measures that minimize habitat loss and
establish and/or maintain an ecologically
similar protected area.

Projects should be screened as early as
possible for potential impacts on health and
quality of important ecosystems (e.g. forests,
wetlands, biodiversity hotspots, etc.), and on
the rights and welfare of the people who
depend on them. As appropriate, the prospects
for new markets and marketing arrangements
will be evaluated.

Furthermore it should be ensured that forest
restoration projects maintain or enhance
biodiversity and ecosystem functionality and
that all plantation projects are
environmentally appropriate, socially
benecial and economically viable.

Critical natural habitats include those natural
habitats that are either legally protected or
ofcially proposed for protection, or
unprotected but of known high conservation
value, or that are essential for the conservation
of rare, vulnerable or endangered species.
Such sites may include areas recognized by
traditional local communities; areas designated
for conservation of biodiversity.

LINKS
Asian Development Bank: http://www.bicusa.org/en/issue.33.aspx
Canadian Environmental Assessment Agency: www.ceaa-acee.gc.ca
Food and Agriculture Organization of the UN: http://www.fao.org/corp/topics/en
Inter-American Development Bank: http://www.iadb.org//aboutus/pi/OP_703.cfm
International Finance Corporation: http://www.ifc.org/ifcext/sustainability.nsf/content/envsocstandards
International Fund for Agricultural Development: http://www.ifad.org
Swedish International Development Agency: http://www.sida.se/sida/jsp/sida.jsp?d=804&language=en_US
World Bank: http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/EXTENVASS/0,,contentMDK:2
0282864~pagePK:148956~piPK:216618~theSitePK:407988,00.html
United Nations Environment Programme, Nairobi (UNEP): http://www.unep.org
United Nations Framework Convention on Climate Change (UNFCCC): http://unfccc.int
UN Gateway to Climate Change: http://www.un.org/wcm/content/site/climatechange/gateway
Convention on Biological Diversity (CBD): http://www.cbd.int
Convention on Long-Range Transboundary Air Pollution: http://www.unece.org/env/lrtap
Global Environment Facility (GEF): http://www.thegef.org/gef
Linkages by International Institute for Sustainable Development (IISD): http://www.iisd.ca
IPCC Data Distribution Centre: http://www.ipcc-data.org
IPCC National Greenhouse Gas Inventories Programme: http://www.ipcc-nggip.iges.or.jp
The Ozone Secretariat, UNEP: http://ozone.unep.org
United Nations Convention to Combat Desertifcation: http://www.unccd.int
20
21
ANNEX 1
GOVERNI NG PRI NCI PLES
The EIA process and procedures outlined above
are to ensure that FAOs eld operations adhere to
the following governing principles (based on key
sectors and disciplines, as communicated by the
pertinent FAO technical units):
Protected areas, natural habitats, critical
ecosystems. FAO will neither nance nor
execute projects related to infrastructure or
other types of physical investment involving
land use, water space in or around designated
protected areas, critical natural habitats or
ecosystems. This includes lands and land uses
important to indigenous and other ethnic
groups, as well as marine protected areas and
areas that are relevant to the reproduction of
aquatic species in any category of conservation.

In making determinations with respect to
projects in or around the areas mentioned
above, FAO will employ a precautionary
approach in order to ensure adequate
protection of these areas. As mentioned above,
FAO does not support projects involving the
signicant conversion of critical natural
habitats including forests, or that will
contravene applicable international
environmental agreements. Wherever feasible,
preference must be given to projects dealing
with lands already converted. Where projects
can adversely affect non-critical habitats, FAO
will support them only if viable alternatives are
not available, and if appropriate conservation
and mitigation measures, including those
required to maintain ecological services
provided by these habitats, are in place. The
project will have to include mitigation
measures that minimize habitat loss and
establish and/or maintain an ecologically
similar protected area.

Projects should be screened as early as
possible for potential impacts on health and
quality of important ecosystems (e.g. forests,
wetlands, biodiversity hotspots, etc.), and on
the rights and welfare of the people who
depend on them. As appropriate, the prospects
for new markets and marketing arrangements
will be evaluated.

Furthermore it should be ensured that forest
restoration projects maintain or enhance
biodiversity and ecosystem functionality and
that all plantation projects are
environmentally appropriate, socially
benecial and economically viable.

Critical natural habitats include those natural
habitats that are either legally protected or
ofcially proposed for protection, or
unprotected but of known high conservation
value, or that are essential for the conservation
of rare, vulnerable or endangered species.
Such sites may include areas recognized by
traditional local communities; areas designated
for conservation of biodiversity.

LINKS
Asian Development Bank: http://www.bicusa.org/en/issue.33.aspx
Canadian Environmental Assessment Agency: www.ceaa-acee.gc.ca
Food and Agriculture Organization of the UN: http://www.fao.org/corp/topics/en
Inter-American Development Bank: http://www.iadb.org//aboutus/pi/OP_703.cfm
International Finance Corporation: http://www.ifc.org/ifcext/sustainability.nsf/content/envsocstandards
International Fund for Agricultural Development: http://www.ifad.org
Swedish International Development Agency: http://www.sida.se/sida/jsp/sida.jsp?d=804&language=en_US
World Bank: http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/EXTENVASS/0,,contentMDK:2
0282864~pagePK:148956~piPK:216618~theSitePK:407988,00.html
United Nations Environment Programme, Nairobi (UNEP): http://www.unep.org
United Nations Framework Convention on Climate Change (UNFCCC): http://unfccc.int
UN Gateway to Climate Change: http://www.un.org/wcm/content/site/climatechange/gateway
Convention on Biological Diversity (CBD): http://www.cbd.int
Convention on Long-Range Transboundary Air Pollution: http://www.unece.org/env/lrtap
Global Environment Facility (GEF): http://www.thegef.org/gef
Linkages by International Institute for Sustainable Development (IISD): http://www.iisd.ca
IPCC Data Distribution Centre: http://www.ipcc-data.org
IPCC National Greenhouse Gas Inventories Programme: http://www.ipcc-nggip.iges.or.jp
The Ozone Secretariat, UNEP: http://ozone.unep.org
United Nations Convention to Combat Desertifcation: http://www.unccd.int
23 22
management requirements for them to perform
at their genetic potential. This will facilitate
meaningful comparisons and evaluation of
breed performance, and will inform
interventions related to the management of
animal genetic resources. Transparent
descriptions of breed phenotypes and their
performance in production environments will
reduce the spread of imported breeds into
unsuitable environments, thereby lowering
economic losses to producers and reducing
harm to local breed diversity.
Management of agricultural chemicals,
pesticides. All pesticide-related work of FAO
must be in compliance with the International
Code of Conduct on the Distribution and Use
of Pesticides, and include reference to relevant
FPCs in cases of pesticide provision in FAO
projects. In addition reference should be made
to the requirements and adherence to:
the Rotterdam Convention on the Prior
Informed Consent Procedure for Certain
Hazardous Chemicals and Pesticides;
the Stockholm Convention on Persistent
Organic Pollutants;
the ILO Convention 184 on Safety and
Health in Agriculture;
the Basel Convention on the Control of
Transboundary Movements of Hazardous
Wastes and their Disposal;
the International Maritime Dangerous Goods
Code for cases of pesticide disposal;
other regional or national conventions and
regulations which may apply such as the
Bamako Convention.
http://www.fao.org/waicent/faoinfo/agricult/agp/
AGPP/Pesticid/Disposal/en/103194/index.html
Management and use of sheries and
aquaculture resources. The use and
management of sheries and aquaculture
resources will adhere to the FAO Code of
Conduct for Responsible Fisheries (CCRF)
6
.
The CCRF has recognized both the potential
for signicant growth in aquaculture as well as
the potential of aquaculture practices to cause
environmental and social impacts. In its General
Principle No. 6.19, the CCRF calls for: 6.19
States should consider aquaculture, including
culture-based sheries, as a means to promote
diversication of income and diet. In so doing,
States should ensure that resources are used
responsibly and adverse impacts on the
environment and on local communities are
minimized. More specically, the CCRF, in its
Articles 9.1.2 and 9.1.5, calls for environmental
impacts assessment and monitoring in relation to
aquaculture (FAO 2009).
Management of forests and trees. The
application of recognized, credible forest
certication schemes or the use of the Voluntary
Guidelines on Planted Forests (and an
equivalent document for indigenous forests)
should be considered as functionally equivalent
to an EIA. If such policy frameworks are
considered and implemented within a project,
the scope and intent of an EIA are very likely to
have been satised. Consequently, projects
could refer to the observance of principles 9, 10
and 11 of the Voluntary Guidelines on Planted
Forests (which would sufce also for indigenous
forests) or the observance of the principles of a
recognized certication scheme:
Principle 9: Maintenance and Conservation
of Environmental Services. Planted forest
development will result in changes to the
6
FAO. 1995. Code of Conduct for Responsible Fisheries. Rome, FAO. 41 p. (available at ftp://ftp.fao.org/docrep/fao/005/v9878e/v9878e00.pdf).
Signicant conversion is the severe
diminution of the integrity of a critical or
natural habitat caused by signicant long
term change in land or water use.

Degradation is the modication of a critical or
other natural habitat that reduces the habitats
ability to maintain viable populations of its
native species, resulting from natural
processes, land or water uses or other human
activities, and habitation patterns such as land
contamination, soil erosion and the destruction
of the vegetation cover.
Land tenure issues. Most agriculture and natural
resource management projects involve some
changes in land use or the building of new
infrastructure. Land tenure, by dening access
and security of rights to land and other natural
resources, affects how farmers decide to use the
land, who has the right and the incentives to
invest in land improvements and, sometimes,
who will benet from improvements in land
productivity, or who may lose from changes in
land use and land access. Projects will have to
address the land tenure and land administration
dimensions of the changes that they may
provoke, including issues of security of land
tenure and land access, compensation, land
administration or land governance. This should
be done in accordance with principles of
responsible land governance (N.B. in
preparation by FAO and partner organizations)
and recognized good practices in land tenure
and land administration.
Management of biological diversity for food and
agriculture. The conservation and sustainable
use of biodiversity for food and agriculture is
a core aspect of FAOs work. In undertaking
the EIA, special attention needs to be paid
to agricultural, sheries and forestry
practices that could have an impact on
biodiversity for food and agriculture as well
as the ecosystem functions this biodiversity
provides both on- and off-site.
Plant genetic resources. It should be recalled
that several international instruments of
relevance to plant biodiversity and genetic
resources operate under the aegis of FAO and
projects should be consistent with this broader
normative role. For instance, the International
Plant Protection Convention (IPPC) is the
international framework that provides tools to
protect plant resources from pests and
diseases (including weeds). Other international
instruments related to plant genetic resources
for food and agriculture are the International
Treaty on Plant Genetic Resources for Food
and Agriculture and the Global Plan of Action
on Sustainable Utilization of Plant Genetic
Resources for Food and Agriculture.
Genetic resources in livestock production
systems. The Global Plan of Action for Animal
Genetic Resources, endorsed by the FAO
Conference through Resolution 12/2007, was
welcomed by the Convention on Biological
Diversity (CBD) as the internationally agreed
framework for the sustainable use,
development and conservation of animal
genetic resources for food and agriculture, and
provisions for implementation and nancing.

The ow of livestock genetic material between
countries for agricultural purposes is mainly
regulated by animal health standards and
takes little if any account of possible impacts
on genetic diversity. To reduce unintended
harm to local breeds, genetic impact
assessments prior to granting permission for
the import of new exotic livestock breeds
should be conducted. FAO is working on
descriptors for the production environment
including the description of breeds and the
23 22
management requirements for them to perform
at their genetic potential. This will facilitate
meaningful comparisons and evaluation of
breed performance, and will inform
interventions related to the management of
animal genetic resources. Transparent
descriptions of breed phenotypes and their
performance in production environments will
reduce the spread of imported breeds into
unsuitable environments, thereby lowering
economic losses to producers and reducing
harm to local breed diversity.
Management of agricultural chemicals,
pesticides. All pesticide-related work of FAO
must be in compliance with the International
Code of Conduct on the Distribution and Use
of Pesticides, and include reference to relevant
FPCs in cases of pesticide provision in FAO
projects. In addition reference should be made
to the requirements and adherence to:
the Rotterdam Convention on the Prior
Informed Consent Procedure for Certain
Hazardous Chemicals and Pesticides;
the Stockholm Convention on Persistent
Organic Pollutants;
the ILO Convention 184 on Safety and
Health in Agriculture;
the Basel Convention on the Control of
Transboundary Movements of Hazardous
Wastes and their Disposal;
the International Maritime Dangerous Goods
Code for cases of pesticide disposal;
other regional or national conventions and
regulations which may apply such as the
Bamako Convention.
http://www.fao.org/waicent/faoinfo/agricult/agp/
AGPP/Pesticid/Disposal/en/103194/index.html
Management and use of sheries and
aquaculture resources. The use and
management of sheries and aquaculture
resources will adhere to the FAO Code of
Conduct for Responsible Fisheries (CCRF)
6
.
The CCRF has recognized both the potential
for signicant growth in aquaculture as well as
the potential of aquaculture practices to cause
environmental and social impacts. In its General
Principle No. 6.19, the CCRF calls for: 6.19
States should consider aquaculture, including
culture-based sheries, as a means to promote
diversication of income and diet. In so doing,
States should ensure that resources are used
responsibly and adverse impacts on the
environment and on local communities are
minimized. More specically, the CCRF, in its
Articles 9.1.2 and 9.1.5, calls for environmental
impacts assessment and monitoring in relation to
aquaculture (FAO 2009).
Management of forests and trees. The
application of recognized, credible forest
certication schemes or the use of the Voluntary
Guidelines on Planted Forests (and an
equivalent document for indigenous forests)
should be considered as functionally equivalent
to an EIA. If such policy frameworks are
considered and implemented within a project,
the scope and intent of an EIA are very likely to
have been satised. Consequently, projects
could refer to the observance of principles 9, 10
and 11 of the Voluntary Guidelines on Planted
Forests (which would sufce also for indigenous
forests) or the observance of the principles of a
recognized certication scheme:
Principle 9: Maintenance and Conservation
of Environmental Services. Planted forest
development will result in changes to the
6
FAO. 1995. Code of Conduct for Responsible Fisheries. Rome, FAO. 41 p. (available at ftp://ftp.fao.org/docrep/fao/005/v9878e/v9878e00.pdf).
Signicant conversion is the severe
diminution of the integrity of a critical or
natural habitat caused by signicant long
term change in land or water use.

Degradation is the modication of a critical or
other natural habitat that reduces the habitats
ability to maintain viable populations of its
native species, resulting from natural
processes, land or water uses or other human
activities, and habitation patterns such as land
contamination, soil erosion and the destruction
of the vegetation cover.
Land tenure issues. Most agriculture and natural
resource management projects involve some
changes in land use or the building of new
infrastructure. Land tenure, by dening access
and security of rights to land and other natural
resources, affects how farmers decide to use the
land, who has the right and the incentives to
invest in land improvements and, sometimes,
who will benet from improvements in land
productivity, or who may lose from changes in
land use and land access. Projects will have to
address the land tenure and land administration
dimensions of the changes that they may
provoke, including issues of security of land
tenure and land access, compensation, land
administration or land governance. This should
be done in accordance with principles of
responsible land governance (N.B. in
preparation by FAO and partner organizations)
and recognized good practices in land tenure
and land administration.
Management of biological diversity for food and
agriculture. The conservation and sustainable
use of biodiversity for food and agriculture is
a core aspect of FAOs work. In undertaking
the EIA, special attention needs to be paid
to agricultural, sheries and forestry
practices that could have an impact on
biodiversity for food and agriculture as well
as the ecosystem functions this biodiversity
provides both on- and off-site.
Plant genetic resources. It should be recalled
that several international instruments of
relevance to plant biodiversity and genetic
resources operate under the aegis of FAO and
projects should be consistent with this broader
normative role. For instance, the International
Plant Protection Convention (IPPC) is the
international framework that provides tools to
protect plant resources from pests and
diseases (including weeds). Other international
instruments related to plant genetic resources
for food and agriculture are the International
Treaty on Plant Genetic Resources for Food
and Agriculture and the Global Plan of Action
on Sustainable Utilization of Plant Genetic
Resources for Food and Agriculture.
Genetic resources in livestock production
systems. The Global Plan of Action for Animal
Genetic Resources, endorsed by the FAO
Conference through Resolution 12/2007, was
welcomed by the Convention on Biological
Diversity (CBD) as the internationally agreed
framework for the sustainable use,
development and conservation of animal
genetic resources for food and agriculture, and
provisions for implementation and nancing.

The ow of livestock genetic material between
countries for agricultural purposes is mainly
regulated by animal health standards and
takes little if any account of possible impacts
on genetic diversity. To reduce unintended
harm to local breeds, genetic impact
assessments prior to granting permission for
the import of new exotic livestock breeds
should be conducted. FAO is working on
descriptors for the production environment
including the description of breeds and the
25 24
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME N TA L I MPA C T A S S E S S ME NT
Management of land degradation. With respect
to land degradation, FAO has developed
guidelines for environmental assessment of
land degradation, its status, causes and
impact under the Land Degradation
Assessment in Drylands (LADA) project at
global, (sub) national and local scale. These
manuals and results for LADA countries
(Argentina, China, Cuba, Senegal, South
Africa and Tunisia) are available from the
LADA Web site: http://www.fao.org/nr/lada.
Guidelines for the assessment of sustainable
management techniques and approaches have
been developed by WOCAT in close
cooperation with FAO and are available at:
http://www.wocat.net.
Management of climate change impacts.
Climate change is having a profound impact on
croplands, pastures and forests and marine
resources. Hence, there is an urgent need and
responsibility to link climate change,
development and environmental policies. FAOs
work covers a broad spectrum of activities that
range from local to global and from immediate
actions to long-term strategies to mitigate
greenhouse gases in the agriculture and
forestry sector. In addition, it is necessary to
test project strategies in terms of their climate
resilience. The EIA procedures have potential
for carrying out such testing. In an EIA,
climate change impacts on eld projects may
be addressed through mitigation of greenhouse
gas production from the project, and through
adaptation of the project/activity to present
and future conditions. Furthermore an
assessment on the practices promoted by the
project that could increase the vulnerability to
climate change instead of building resilience
(incorrect adaptation to climate change)
should be also taken into account. The EIA can
also help investigate whether adaptation to
climate change is or should be a signicant
factor in the design of the eld project in
question.
Involuntary resettlement. FAO will not nance or
execute projects that involve physical
relocation, acquisition of land, or any loss of
land or other assets resulting in: (i) relocation
or loss of shelter; (ii) loss of assets or access to
assets; (iii) loss of income sources or means of
livelihood, whether or not the affected people
must move to another location; or iv) loss of
well-being due to dislocation from cultural or
traditional areas and practices (relevant
particularly for indigenous populations).
Involuntary resettlement is included in
Category A projects as a potentially adverse
social impact that would require further
assessment/prevention/mitigation through the
EIA process.
Cultural property. FAO will avoid projects that
may have adverse impacts on or limit access to
physical cultural resources, dened as movable
or immovable objects, sites, structures, groups
of structures, natural features and landscapes
that have archaeological, paleontological,
historical, architectural, religious, aesthetic, or
other cultural signicance. Physical cultural
resources may be located in urban or rural
settings, and may be above ground,
underground, or underwater. In order to ensure
that FAO projects/programmes will preserve
physical cultural resources (when existing in
the project area) and to avoid their destruction
or damage, simple procedures should be
followed by the project formulator. They apply
only to projects involving civil works in new
provision of ecosystem services such as air,
water, soils and landscapes, thus planning,
management, utilization and monitoring
mechanisms must be adopted to encourage
positive impacts.
Principle 10: Conservation of Biological
Diversity. Planners and managers must
incorporate maintenance and conservation
of biological diversity as fundamental in
their planning, management, utilization
and monitoring of planted forest
development.
Principle 11: Maintenance of Forest Health
and Productivity. In order to reduce the
environmental risk, incidence and impact
of abiotic and biotic damaging agents and
to maintain and improve planted forest
health and productivity, policy makers,
planners, managers, scientists and
academics must work together to derive
appropriate and consistent policies, laws,
plans, management practices, monitoring
systems, response options, education,
training and research.
Principle 12: A Landscape Approach. As
planted forests interact and impact upon the
local land-uses and environment, landscape
approaches must be adopted to ensure that
upstream and downstream impacts are
planned, managed and monitored within
acceptable environmental standards.
FAO will not nance large-scale clearing
of land, unless it relates to an emergency
operation approved by donor agencies and
recipient governments.
Management of natural resources. Sustainable
management of natural resources requires
attention to a number of pertinent
international conventions and agreements,
and should include:
protecting biodiversity;
combating desertication and land
degradation;
addressing the emerging environmental
challenges, notably climate change,
protecting wetlands;
conserving forests and other resources;
attending to the social issues and the rights
of indigenous peoples (FAO adheres to the
provisions set in the 2007 UN Declaration
on the Rights of Indigenous Peoples and
the ILO Convention 169 on Indigenous and
Tribal Peoples).
In addition, there are international and national
policies to promote the conservation and
sustainable management of natural resources,
with specic references to environmentally
sustainable practices for biological diversity and
protected area management, sheries, range
resources, forest resources, wetlands, and water
resources. National policies often recognize the
importance of local people and their place in
the good governance of natural resources.
The link between hunger and food insecure
areas and natural resources degradation
has been underscored in many initiatives,
notably the Millennium Development Hunger
Task Force. Even further, the link has been
documented between indigenous peoples
territories and the worlds most concentrated
centres of biodiversity. As well, the link between
indigenous peoples and high poverty levels has
been described
7
. The EIA has broad potential
to change most destructive practices affecting
lands, water, forests, and biodiversity, and
improving wellbeing and livelihood of the poor.
7
The Biological 17 the 17 nations that are home to more than two-thirds of the worlds biological resources represents also the traditional
territories of most of its indigenous peoples (UNHCHR, www.unhchr.ch/html/racism/indileaet10.doc.).
25 24
Management of land degradation. With respect
to land degradation, FAO has developed
guidelines for environmental assessment of
land degradation, its status, causes and
impact under the Land Degradation
Assessment in Drylands (LADA) project at
global, (sub) national and local scale. These
manuals and results for LADA countries
(Argentina, China, Cuba, Senegal, South
Africa and Tunisia) are available from the
LADA Web site: http://www.fao.org/nr/lada.
Guidelines for the assessment of sustainable
management techniques and approaches have
been developed by WOCAT in close
cooperation with FAO and are available at:
http://www.wocat.net.
Management of climate change impacts.
Climate change is having a profound impact on
croplands, pastures and forests and marine
resources. Hence, there is an urgent need and
responsibility to link climate change,
development and environmental policies. FAOs
work covers a broad spectrum of activities that
range from local to global and from immediate
actions to long-term strategies to mitigate
greenhouse gases in the agriculture and
forestry sector. In addition, it is necessary to
test project strategies in terms of their climate
resilience. The EIA procedures have potential
for carrying out such testing. In an EIA,
climate change impacts on eld projects may
be addressed through mitigation of greenhouse
gas production from the project, and through
adaptation of the project/activity to present
and future conditions. Furthermore an
assessment on the practices promoted by the
project that could increase the vulnerability to
climate change instead of building resilience
(incorrect adaptation to climate change)
should be also taken into account. The EIA can
also help investigate whether adaptation to
climate change is or should be a signicant
factor in the design of the eld project in
question.
Involuntary resettlement. FAO will not nance or
execute projects that involve physical
relocation, acquisition of land, or any loss of
land or other assets resulting in: (i) relocation
or loss of shelter; (ii) loss of assets or access to
assets; (iii) loss of income sources or means of
livelihood, whether or not the affected people
must move to another location; or iv) loss of
well-being due to dislocation from cultural or
traditional areas and practices (relevant
particularly for indigenous populations).
Involuntary resettlement is included in
Category A projects as a potentially adverse
social impact that would require further
assessment/prevention/mitigation through the
EIA process.
Cultural property. FAO will avoid projects that
may have adverse impacts on or limit access to
physical cultural resources, dened as movable
or immovable objects, sites, structures, groups
of structures, natural features and landscapes
that have archaeological, paleontological,
historical, architectural, religious, aesthetic, or
other cultural signicance. Physical cultural
resources may be located in urban or rural
settings, and may be above ground,
underground, or underwater. In order to ensure
that FAO projects/programmes will preserve
physical cultural resources (when existing in
the project area) and to avoid their destruction
or damage, simple procedures should be
followed by the project formulator. They apply
only to projects involving civil works in new
provision of ecosystem services such as air,
water, soils and landscapes, thus planning,
management, utilization and monitoring
mechanisms must be adopted to encourage
positive impacts.
Principle 10: Conservation of Biological
Diversity. Planners and managers must
incorporate maintenance and conservation
of biological diversity as fundamental in
their planning, management, utilization
and monitoring of planted forest
development.
Principle 11: Maintenance of Forest Health
and Productivity. In order to reduce the
environmental risk, incidence and impact
of abiotic and biotic damaging agents and
to maintain and improve planted forest
health and productivity, policy makers,
planners, managers, scientists and
academics must work together to derive
appropriate and consistent policies, laws,
plans, management practices, monitoring
systems, response options, education,
training and research.
Principle 12: A Landscape Approach. As
planted forests interact and impact upon the
local land-uses and environment, landscape
approaches must be adopted to ensure that
upstream and downstream impacts are
planned, managed and monitored within
acceptable environmental standards.
FAO will not nance large-scale clearing
of land, unless it relates to an emergency
operation approved by donor agencies and
recipient governments.
Management of natural resources. Sustainable
management of natural resources requires
attention to a number of pertinent
international conventions and agreements,
and should include:
protecting biodiversity;
combating desertication and land
degradation;
addressing the emerging environmental
challenges, notably climate change,
protecting wetlands;
conserving forests and other resources;
attending to the social issues and the rights
of indigenous peoples (FAO adheres to the
provisions set in the 2007 UN Declaration
on the Rights of Indigenous Peoples and
the ILO Convention 169 on Indigenous and
Tribal Peoples).
In addition, there are international and national
policies to promote the conservation and
sustainable management of natural resources,
with specic references to environmentally
sustainable practices for biological diversity and
protected area management, sheries, range
resources, forest resources, wetlands, and water
resources. National policies often recognize the
importance of local people and their place in
the good governance of natural resources.
The link between hunger and food insecure
areas and natural resources degradation
has been underscored in many initiatives,
notably the Millennium Development Hunger
Task Force. Even further, the link has been
documented between indigenous peoples
territories and the worlds most concentrated
centres of biodiversity. As well, the link between
indigenous peoples and high poverty levels has
been described
7
. The EIA has broad potential
to change most destructive practices affecting
lands, water, forests, and biodiversity, and
improving wellbeing and livelihood of the poor.
7
The Biological 17 the 17 nations that are home to more than two-thirds of the worlds biological resources represents also the traditional
territories of most of its indigenous peoples (UNHCHR, www.unhchr.ch/html/racism/indileaet10.doc.).
26
27
ANNEX 2
SAMPLE FORMS
Instructions: The following checklists should be
completed as appropriate.
If the analyst is unable to determine the potential
impacts, efforts should be made to acquire
additional information and to visit the project
location. If the project is determined to have
an effect (checked yes) the proposal will
be subject to further environmental analysis.
Copies of environmental review reports are to be
attached together with decision documents and a
description of the public consultation.
For Category C projects, only the Environmental
and Social Review Form (ESRF) needs to be
completed.
ENVIRONMENTAL AND SOCIAL REVIEW FORM
PROJECT NAME:
Project description: (approximately 500 words or less)
Date:

Title, name and signature of project leader:
CERTIFICATION
Project Category C Yes No
I afrm that I have performed an environmental review of this project and certify that the project
conforms to the pre-approved list of projects excluded from environmental assessment and that
the project will have minimal or no adverse environmental or social impacts. No further analysis
is required.
areas such as the construction of dams and
rural roads in located in areas which have not
yet been used before and they include a pre-
approved management and conservation
approach for materials that may be discovered
during project implementation. The Lead
Technical Ofcer should:
I. Verify (on the web) the provisions of the
normative framework, which is usually
under the oversight of a national institution
responsible for protection of historical and
archaeological sites; this includes obtaining
existing information (usually through the
aforementioned national institutions
website or through a local university
department specialist) about the project
area, to nd out whether there is a high
probability of it existence of archaeological,
paleontological, or other culturally
signicant sites in the areas proposed for
construction.
II. In cases where there is a high chance of
PCR, the bidding documents and contract
for the civil works have to refer to the need
to include recover chance ndings in line
with the national procedures and rules. The
contractor usually should hire an expert
(e.g. archaeologist or palaeontologist) and
recover chance ndings in line with the
national procedures and rules.
Non-physical cultural resources such as
traditional knowledge, cultural expressions,
traditional management systems, etc. should
also be considered, especially when the project
affects indigenous peoples, whose notion of
development and well-being is intrinsically
tied to respect for and continuation of their
particular living environment.
Gender equity. FAO has placed gender equity in
access to resources, goods, services and
decision-making among its key strategic
objectives. By creating social relations in which
neither of the sexes suffers discrimination,
gender equity aims at improving gender
relations and gender roles, and achieving
gender equality. The project should use gender
analysis (the study of the different roles of
women and men in order to understand what
they do, what resources they have, and what
their needs and priorities are) to understand
how different members participate in and are
affected by the project in order to avoid costly
errors of the past and to ensure that the project
is effective, efcient and equitable.
Indigenous People. FAO will avoid or, when
avoidance is not feasible, minimize, mitigate,
or compensate for such effect projects that
may have adverse impacts on national, local,
tribal or indigenous peoples. FAO
acknowledges indigenous peoples rights over
land and other natural resources:
Rights over land and other natural resources
(water, forests, rangeland etc.) are of
particular importance to indigenous peoples
as they feel a spiritual attachment to their
ancestral origins and commonly depend on
natural resources for survival. (FAO policy
on indigenous and tribal peoples).
Rights over land, territory and related
natural resources are of fundamental
importance to many indigenous peoples
since these resources constitute the basis
of their economic livelihoods and the source
of their spiritual, cultural and social
identities. (FAO policy on indigenous and
tribal peoples).
26
27
ANNEX 2
SAMPLE FORMS
Instructions: The following checklists should be
completed as appropriate.
If the analyst is unable to determine the potential
impacts, efforts should be made to acquire
additional information and to visit the project
location. If the project is determined to have
an effect (checked yes) the proposal will
be subject to further environmental analysis.
Copies of environmental review reports are to be
attached together with decision documents and a
description of the public consultation.
For Category C projects, only the Environmental
and Social Review Form (ESRF) needs to be
completed.
ENVIRONMENTAL AND SOCIAL REVIEW FORM
PROJECT NAME:
Project description: (approximately 500 words or less)
Date:

CERTIFICATION
Project Category C Yes No
I afrm that I have performed an environmental review of this project and certify that the project
conforms to the pre-approved list of projects excluded from environmental assessment and that
the project will have minimal or no adverse environmental or social impacts. No further analysis
is required.
areas such as the construction of dams and
rural roads in located in areas which have not
yet been used before and they include a pre-
approved management and conservation
approach for materials that may be discovered
during project implementation. The Lead
Technical Ofcer should:
I. Verify (on the web) the provisions of the
normative framework, which is usually
under the oversight of a national institution
responsible for protection of historical and
archaeological sites; this includes obtaining
existing information (usually through the
aforementioned national institutions
website or through a local university
department specialist) about the project
area, to nd out whether there is a high
probability of it existence of archaeological,
paleontological, or other culturally
signicant sites in the areas proposed for
construction.
II. In cases where there is a high chance of
PCR, the bidding documents and contract
for the civil works have to refer to the need
to include recover chance ndings in line
with the national procedures and rules. The
contractor usually should hire an expert
(e.g. archaeologist or palaeontologist) and
recover chance ndings in line with the
national procedures and rules.
Non-physical cultural resources such as
traditional knowledge, cultural expressions,
traditional management systems, etc. should
also be considered, especially when the project
affects indigenous peoples, whose notion of
development and well-being is intrinsically
tied to respect for and continuation of their
particular living environment.
Gender equity. FAO has placed gender equity in
access to resources, goods, services and
decision-making among its key strategic
objectives. By creating social relations in which
neither of the sexes suffers discrimination,
gender equity aims at improving gender
relations and gender roles, and achieving
gender equality. The project should use gender
analysis (the study of the different roles of
women and men in order to understand what
they do, what resources they have, and what
their needs and priorities are) to understand
how different members participate in and are
affected by the project in order to avoid costly
errors of the past and to ensure that the project
is effective, efcient and equitable.
Indigenous People. FAO will avoid or, when
avoidance is not feasible, minimize, mitigate,
or compensate for such effect projects that
may have adverse impacts on national, local,
tribal or indigenous peoples. FAO
acknowledges indigenous peoples rights over
land and other natural resources:
Rights over land and other natural resources
(water, forests, rangeland etc.) are of
particular importance to indigenous peoples
as they feel a spiritual attachment to their
ancestral origins and commonly depend on
natural resources for survival. (FAO policy
on indigenous and tribal peoples).
Rights over land, territory and related
natural resources are of fundamental
importance to many indigenous peoples
since these resources constitute the basis
of their economic livelihoods and the source
of their spiritual, cultural and social
identities. (FAO policy on indigenous and
tribal peoples).
29 28

Would the project, if implemented: Yes No
Unable to
determine
11. Contribute to introduction, continued existence, or spread of non-native
invasive species or promote the introduction, growth or expansion of the range
of non-native invasive species?
12. Threaten national, local, tribal or indigenous peoples requirements for use of
natural resources or protection of the environment?
13. Trigger or exacerbate unresolved land tenure conicts concerning rights or
alternative uses of natural resources?
14. Have a disproportionate, signicant adverse effect on low-income or
disadvantaged populations?
15. Restrict access to traditional or ceremonial sites or adversely affect the physical
integrity of such religious sacred sites?
16. Have adverse impacts on natural resources or properties of historic or cultural
signicance?
17. Lead to signicant impacts indicated by a national, district or local community
group?
18. Have the potential to be controversial because of stakeholder disagreement?
19. Encourage migration or other population shifts?
20. Increase the workload of local communities or subgroups within the
communities?
21. Work in opposition with ongoing socio-economic development goals or efforts?
22. Require Capacity Development of affected or involved individuals and
organizations? Require Capacity Development to review and update of policies,
laws, regulations, or to develop partnerships?
ENVIRONMENTAL SCREENING FOR CATEGORY A & B PROJECTS

Unable to
determine
1. Have signicant adverse impacts on public health or safety?
2. Have signicant or controversial environmental effects on biophysical resources
such as land, water, soil, biodiversity?
3. Have adverse impacts on unique characteristics, such as wilderness, natural
rivers, aquifers, prime farmlands, wetlands, oodplains, or ecologically
signicant areas?
4. Have adverse impacts on traditional practices or agricultural systems in the
area?
5. Have highly uncertain and potentially signicant environmental and social
impacts with unique or unknown risks?
6. Establish a precedent for future action or represent a decision in principle
about future actions with potentially signicant environmental and social
impacts?
7. Set in motion or contribute to a progressive accumulation of signicant
environmental and social impacts?
8. Have adverse impacts (direct or indirect) on natural habitats such as wetlands,
mangroves, tropical forests?
9. Have adverse impacts on important national or international species (listed or
proposed) or on critical species habitats?
10. Have adverse impacts on local or indigenous populations residing in the area of
interest?
For Category A and B projects, screening and scoping is needed.
29 28

Unable to
determine
11. Contribute to introduction, continued existence, or spread of non-native
invasive species or promote the introduction, growth or expansion of the range
of non-native invasive species?
12. Threaten national, local, tribal or indigenous peoples requirements for use of
natural resources or protection of the environment?
13. Trigger or exacerbate unresolved land tenure conicts concerning rights or
alternative uses of natural resources?
14. Have a disproportionate, signicant adverse effect on low-income or
disadvantaged populations?
15. Restrict access to traditional or ceremonial sites or adversely affect the physical
integrity of such religious sacred sites?
16. Have adverse impacts on natural resources or properties of historic or cultural
signicance?
17. Lead to signicant impacts indicated by a national, district or local community
group?
18. Have the potential to be controversial because of stakeholder disagreement?
19. Encourage migration or other population shifts?
20. Increase the workload of local communities or subgroups within the
communities?
21. Work in opposition with ongoing socio-economic development goals or efforts?
22. Require Capacity Development of affected or involved individuals and
organizations? Require Capacity Development to review and update of policies,
laws, regulations, or to develop partnerships?
ENVIRONMENTAL SCREENING FOR CATEGORY A & B PROJECTS

Unable to
determine
1. Have signicant adverse impacts on public health or safety?
2. Have signicant or controversial environmental effects on biophysical resources
such as land, water, soil, biodiversity?
3. Have adverse impacts on unique characteristics, such as wilderness, natural
rivers, aquifers, prime farmlands, wetlands, oodplains, or ecologically
signicant areas?
4. Have adverse impacts on traditional practices or agricultural systems in the
area?
5. Have highly uncertain and potentially signicant environmental and social
impacts with unique or unknown risks?
6. Establish a precedent for future action or represent a decision in principle
about future actions with potentially signicant environmental and social
impacts?
7. Set in motion or contribute to a progressive accumulation of signicant
environmental and social impacts?
8. Have adverse impacts (direct or indirect) on natural habitats such as wetlands,
mangroves, tropical forests?
9. Have adverse impacts on important national or international species (listed or
proposed) or on critical species habitats?
10. Have adverse impacts on local or indigenous populations residing in the area of
interest?
For Category A and B projects, screening and scoping is needed.
31 30
CERTIFICATION
Project Category A Yes No
I afrm the completion of a site visit and am familiar with the specics of the project. The project
team has consulted with affected agencies, other stakeholders, and project beneciaries. The
basic policy requirements for eld projects have been addressed. (Attach documentation).
I afrm the completion of an environmental assessment, including an environmental
management plan, as required. (Attach documentation).
Date:

SCOPING FOR CATEGORY A PROJECTS
1. Please describe how you evaluated possible environmental and social impacts. Meeting logs may be
attached or ll out the following table:
Environmental impact evaluation process Key events Participants Location
2. Briey describe consultation and coordination undertaken with government agencies, other stakeholders,
and project beneciaries, with special attention to indigenous peoples, women and targeted groups.
Describe how it has been reected in this project.
Agency, NGO, civil society, private sector consultations Date Participants Location
CERTIFICATION
Project Category A or B Yes No
I afrm the completion of an analysis of the potential environmental and social impacts for this
project and certify it to be in Category B. The analysis included information to assess the potential
negative and positive impacts and is addressed in the project design through appropriate
prevention or mitigation measures. (Attach documentation).
I afrm the completion of an analysis of the potential environmental impacts and have
determined this project should be classied as Category A. (Attach documentation).
Date:

Please answer the following questions:
1. Are the personnel preparing this form familiar with the site?
2. Are the personnel familiar with the populations living in or near the site?
3. List the name of those who have conducted or will conduct site visits and the
dates (N.B. If a Category B rating is made and no site visit is expected, then
please explain):
Yes No
Yes No
31 30
CERTIFICATION
Project Category A Yes No
I afrm the completion of a site visit and am familiar with the specics of the project. The project
team has consulted with affected agencies, other stakeholders, and project beneciaries. The
basic policy requirements for eld projects have been addressed. (Attach documentation).
I afrm the completion of an environmental assessment, including an environmental
management plan, as required. (Attach documentation).
Date:

SCOPING FOR CATEGORY A PROJECTS
1. Please describe how you evaluated possible environmental and social impacts. Meeting logs may be
attached or ll out the following table:
Environmental impact evaluation process Key events Participants Location
2. Briey describe consultation and coordination undertaken with government agencies, other stakeholders,
and project beneciaries, with special attention to indigenous peoples, women and targeted groups.
Describe how it has been reected in this project.
Agency, NGO, civil society, private sector consultations Date Participants Location
CERTIFICATION
Project Category A or B Yes No
I afrm the completion of an analysis of the potential environmental and social impacts for this
project and certify it to be in Category B. The analysis included information to assess the potential
negative and positive impacts and is addressed in the project design through appropriate
prevention or mitigation measures. (Attach documentation).
I afrm the completion of an analysis of the potential environmental impacts and have
determined this project should be classied as Category A. (Attach documentation).
Date:

Please answer the following questions:
1. Are the personnel preparing this form familiar with the site?
2. Are the personnel familiar with the populations living in or near the site?
3. List the name of those who have conducted or will conduct site visits and the
dates (N.B. If a Category B rating is made and no site visit is expected, then
please explain):
Yes No
Yes No
33
32
3.2 BIODIVERSITY
The project is likely to:
Be formulated with a good understanding of biologically diverse production systems.
Integrate the conservation and sustainable use of biodiversity into projects activities.
Take into account multiple values (social, economic, agricultural, medicinal, etc.) of biodiversity and its components.
Identify measures, such as agricultural practices, training, and institutional capacity development to conserve
and sustainably use biological diversity.
Take into account farmers traditional rights related to diversication, breeding and conservation of genetic
resources and local land races.
Be compatible with principles and obligations of Convention on Biological Diversity and other international
environmental agreements (e.g. CITES, Ramsar IT-PGRFA, IPPC).
Maintain the habitats unchanged and avoid the extraction of biotic and abiotic resources.
Be far from a critical habitat.
Avoid the release of chemical substances or the introduction of biologically modied organisms.
Avoid the use of alien species/varieties/breeds for livestock, crop, aquaculture or shery restocking.
Avoid the erosion of local genetic resources, varieties, and species; the degradation of natural and
agrosystems, and/or the diminishment of ecosystem functions.
Links: http://www.fao.org/nr/biodiv/biodiv-home/en
3.3 FISHERIES AND AQUACULTURE
Follow the ecosystem approach to sheries and aquaculture, thus adhering to the CCRF.
Preserve aquatic ecosystems and protect the quantity and quality of sheries resources, including genetic resources.
Preserve traditional patterns of resource use or strengthen subsistence and cash economies.
Avoid dumping of sh processing wastes in water bodies.
Avoid the depletion of other shery stocks or wild populations.
Avoid negative impacts on aquatic habitats such as coral reefs, sea-grass beds, mangrove, and wetlands.
Reduce incidental captures (particularly non-target or protected species).
Protect artisanal sheries from conicts with commercial shing vessels and their gears.
Protect small-scale farmers and local communities.
Encourage sustainable exploitation of spawning and nursery areas in inshore areas.
Be planned in coordination with river basin development or integrated coastal management initiatives.
Ensure evaluation and responsible use of non-native and non-adapted sh and aquatic species according to
FAO guidelines.
Create favourable habitats for water-related diseases vectors.
Ensure safe use of compounds such as pesticides and antibiotics.
Monitor ecological changes in coastal and inland waters.
Links: http://www.fao.org/shery/topic/2013/en
ANNEX 3
BASIC POLICY REQUI REMENTS
FOR FI ELD PROJECTS
3.1 AGRICULTURE
Be formulated with a good understanding of the local biophysical and socio-economical and socio-cultural
environment.
Use sustainable agricultural practices/approaches/technologies.
Promote the sustainable management and use of biological processes (as agricultural inputs).
Follow the ecosystem approach for sustainable agriculture production and management.
Contribute to protection or conservation of signicant areas of land.
Conserve genetic resources/diversity, especially agricultural genetic resources/diversity.
Promote a balanced production system between crops and livestock.
Reduce top-soil losses from erosion and the reduction in soil fertility/soil life.
Induce conservation and efcient use of water.
Reduce misuse of agrochemicals, contributing to a reduction of toxic substances in soil and water.
Introduce techniques for plant nutrition (e.g. IPNS) and plant protection (e.g. IPM).
Induce low energy consumption technologies or promote bioenergy sources.
Involve use of purchased inputs for greater productivity.
Benet or involve targeted groups (landless farmers, womens groups, indigenous peoples), taking into
consideration farmers rights, as appropriate.
Consider the free, prior and informed consent of local stakeholders.
Increase agro-processing capacity.
Protect critical ecosystems or reduce pressure on protected areas.
Secure conservation, sound husbandry of land resources.
Maintain current land management practices.
Promote awareness on the need for mitigation of greenhouse gases and adaptation to climate change.
Recognize climate change trends together with opportunities for mitigation and adaptation.
Be formulated within the framework of national or local sustainable development plans.
Be compatible with principles and obligations of international agricultural conventions (e.g. IT-PGRFA, IPPC).
Avoid changes in water quality and supply downstream of the project area.
Links: http://www.fao.org/ag/ca
33
32
3.2 BIODIVERSITY
Be formulated with a good understanding of biologically diverse production systems.
Integrate the conservation and sustainable use of biodiversity into projects activities.
Take into account multiple values (social, economic, agricultural, medicinal, etc.) of biodiversity and its components.
Identify measures, such as agricultural practices, training, and institutional capacity development to conserve
and sustainably use biological diversity.
Take into account farmers traditional rights related to diversication, breeding and conservation of genetic
resources and local land races.
Be compatible with principles and obligations of Convention on Biological Diversity and other international
environmental agreements (e.g. CITES, Ramsar IT-PGRFA, IPPC).
Maintain the habitats unchanged and avoid the extraction of biotic and abiotic resources.
Be far from a critical habitat.
Avoid the release of chemical substances or the introduction of biologically modied organisms.
Avoid the use of alien species/varieties/breeds for livestock, crop, aquaculture or shery restocking.
Avoid the erosion of local genetic resources, varieties, and species; the degradation of natural and
agrosystems, and/or the diminishment of ecosystem functions.
Links: http://www.fao.org/nr/biodiv/biodiv-home/en
3.3 FISHERIES AND AQUACULTURE
Follow the ecosystem approach to sheries and aquaculture, thus adhering to the CCRF.
Preserve aquatic ecosystems and protect the quantity and quality of sheries resources, including genetic resources.
Preserve traditional patterns of resource use or strengthen subsistence and cash economies.
Avoid dumping of sh processing wastes in water bodies.
Avoid the depletion of other shery stocks or wild populations.
Avoid negative impacts on aquatic habitats such as coral reefs, sea-grass beds, mangrove, and wetlands.
Reduce incidental captures (particularly non-target or protected species).
Protect artisanal sheries from conicts with commercial shing vessels and their gears.
Protect small-scale farmers and local communities.
Encourage sustainable exploitation of spawning and nursery areas in inshore areas.
Be planned in coordination with river basin development or integrated coastal management initiatives.
Ensure evaluation and responsible use of non-native and non-adapted sh and aquatic species according to
FAO guidelines.
Create favourable habitats for water-related diseases vectors.
Ensure safe use of compounds such as pesticides and antibiotics.
Monitor ecological changes in coastal and inland waters.
Links: http://www.fao.org/shery/topic/2013/en
ANNEX 3
BASIC POLICY REQUI REMENTS
FOR FI ELD PROJECTS
3.1 AGRICULTURE
Be formulated with a good understanding of the local biophysical and socio-economical and socio-cultural
environment.
Use sustainable agricultural practices/approaches/technologies.
Promote the sustainable management and use of biological processes (as agricultural inputs).
Follow the ecosystem approach for sustainable agriculture production and management.
Contribute to protection or conservation of signicant areas of land.
Conserve genetic resources/diversity, especially agricultural genetic resources/diversity.
Promote a balanced production system between crops and livestock.
Reduce top-soil losses from erosion and the reduction in soil fertility/soil life.
Induce conservation and efcient use of water.
Reduce misuse of agrochemicals, contributing to a reduction of toxic substances in soil and water.
Introduce techniques for plant nutrition (e.g. IPNS) and plant protection (e.g. IPM).
Induce low energy consumption technologies or promote bioenergy sources.
Involve use of purchased inputs for greater productivity.
Benet or involve targeted groups (landless farmers, womens groups, indigenous peoples), taking into
consideration farmers rights, as appropriate.
Consider the free, prior and informed consent of local stakeholders.
Increase agro-processing capacity.
Protect critical ecosystems or reduce pressure on protected areas.
Secure conservation, sound husbandry of land resources.
Maintain current land management practices.
Promote awareness on the need for mitigation of greenhouse gases and adaptation to climate change.
Recognize climate change trends together with opportunities for mitigation and adaptation.
Be formulated within the framework of national or local sustainable development plans.
Be compatible with principles and obligations of international agricultural conventions (e.g. IT-PGRFA, IPPC).
Links: http://www.fao.org/ag/ca
35 34
8
Specic guidelines under the code of conduct, regarding equipment, use and good practices are reported below.
Avoid risk of disease transmission to other animal species, wildlife and to humans.
Avoid greenhouse gas emissions from the animal food chain.
Avoid risk of disease transmission through poor quarantine and trans-boundary movements.
Be compatible with principles and obligations of international agricultural conventions (e.g. CBD, UN-CCD,
Global Plan of Action for Animal Genetic Resources)?
Links: http://www.fao.org/ag/againfo/resources/en/publications.html
http://www.fao.org/ag/againfo/programmes/en/A5.html
http://www.fao.org/ag/againfo/themes/en/Environment.html
3.6 FERTILIZERS
Encourage integrated plant nutrition systems by combining mineral fertilizers with organic inputs such as farm
yard or green manure.
Increase the efciency of fertilizer use while limiting environmental pollution.
Limit fertilizer applications to maximum effective rates taking into account the predominant cropping system,
soil conditions, and other intensication factors.
Protect areas or critical aquifers or water bodies (aquifers, sources of freshwater for urban centers).
Promote use of biological nitrogen xation or other processes that might reduce fertilizer requirements.
Be planned with prior consultation with farmers, indigenous peoples or other local populations.
Create planned environmental benets as a result of its cumulative effects with other projects.
Encourage crop rotations that recycle nutrients in crop by-products (e.g, straw, haulms), particularly from
legumes.
Avoid a shift in cropping pattern as a result of fertilizer introduction.
Avoid the accumulation of excess nutrients in soils, causing the leaching of nutrients into groundwater, and
excessive nutrient loading of water surface bodies and wetlands.
Avoid signicant changes in land use and water extraction patterns.
Links: http://www.fao.org/ag/agl/agll/ipnis/index.asp
http://www.fao.org/agriculture/crops/core-themes/theme/spi/plantnutrition/en
3.7 PESTICIDES
Be within provisions of the Rotterdam Convention and national or trans-boundary pest control strategies.
Apply integrated pest management (IPM) techniques and best practices, including use of biological methods,
timing of crop sowing, use of pest-resistant varieties etc.
Apply best practice guidelines and standards for safe use and disposal of used pesticides containers and
outdated stocks
8
.
3.4 FORESTRY
Avoid overexploitation or other undesirable environment or social impacts.
Protect unstable slopes or fragile riparian or coastal vegetation.
Avoid the increase of soil erosion, loss of organic matter, nutrient leaching or change in soil ecology.
Favorably impact groundwater recharge, runoff water and water quality, including sediment loads that affect
aquatic life.
Avoid conversion of signicant areas of the forest to unsuitable land uses.
Avoid the inhibition of forest regeneration or the promotion of undesirable vegetation types.
Protect natural habitats of protected species, including impacts on wildlife.
Protect endemic species or other biodiversity.
Avoid the establishment of new roads that improve forest access.
Avoid the establishment of new roads that obstruct the integrity of forest life.
Protect the culture and traditional livelihoods of indigenous people/forest dwellers.
Preserve the sources of income for local population (fuel woods, wildlife, habitats...).
Preserve the recreational or tourist value of the forest and related resources.
Avoid conicts in local land tenure systems.
Avoid the introduction of new species or new technologies for which local knowledge is limited.
Decrease reliance on non-renewable sources of energy.
Be compatible with national and international laws, commitments, treaties and agreements.
Links: http://www.fao.org/forestry/guidelines/en
3.5 LIVESTOCK AND ANIMAL HUSBANDRY
Maintain forested areas and protect wild-life (particularly for tsetse y eradication).
Avoid competing land uses or affect prevailing land rights.
Preserve local environment, in particular, as regards disease prevention and habitat impacts.
Avoid stocking rates exceeding the livestock carrying capacity of land and rangeland degradation.
Avoid the dissociation of animal husbandry from mixed farming.
Preserve the loss of traditional practices that conform with sustainable management practices.
Avoid the introduction of new livestock types that do not t with local farming systems.
Avoid losses of animal genetic resources.
Take into account rotational grazing systems or combined animal husbandry.
Preserve hilly areas or limit soil erosion and compaction problems, such as near waterways.
Avoid untested strains of forage plants.
Avoid unsustainable manure management practices that can result in soil and water contamination.
35 34
8
Specic guidelines under the code of conduct, regarding equipment, use and good practices are reported below.
Avoid risk of disease transmission to other animal species, wildlife and to humans.
Avoid greenhouse gas emissions from the animal food chain.
Avoid risk of disease transmission through poor quarantine and trans-boundary movements.
Be compatible with principles and obligations of international agricultural conventions (e.g. CBD, UN-CCD,
Global Plan of Action for Animal Genetic Resources)?
Links: http://www.fao.org/ag/againfo/resources/en/publications.html
http://www.fao.org/ag/againfo/programmes/en/A5.html
http://www.fao.org/ag/againfo/themes/en/Environment.html
3.6 FERTILIZERS
Encourage integrated plant nutrition systems by combining mineral fertilizers with organic inputs such as farm
yard or green manure.
Increase the efciency of fertilizer use while limiting environmental pollution.
Limit fertilizer applications to maximum effective rates taking into account the predominant cropping system,
soil conditions, and other intensication factors.
Protect areas or critical aquifers or water bodies (aquifers, sources of freshwater for urban centers).
Promote use of biological nitrogen xation or other processes that might reduce fertilizer requirements.
Be planned with prior consultation with farmers, indigenous peoples or other local populations.
Encourage crop rotations that recycle nutrients in crop by-products (e.g, straw, haulms), particularly from
legumes.
Avoid a shift in cropping pattern as a result of fertilizer introduction.
Avoid the accumulation of excess nutrients in soils, causing the leaching of nutrients into groundwater, and
excessive nutrient loading of water surface bodies and wetlands.
Avoid signicant changes in land use and water extraction patterns.
Links: http://www.fao.org/ag/agl/agll/ipnis/index.asp
http://www.fao.org/agriculture/crops/core-themes/theme/spi/plantnutrition/en
3.7 PESTICIDES
Be within provisions of the Rotterdam Convention and national or trans-boundary pest control strategies.
Apply integrated pest management (IPM) techniques and best practices, including use of biological methods,
timing of crop sowing, use of pest-resistant varieties etc.
Apply best practice guidelines and standards for safe use and disposal of used pesticides containers and
outdated stocks
8
.
3.4 FORESTRY
Avoid overexploitation or other undesirable environment or social impacts.
Protect unstable slopes or fragile riparian or coastal vegetation.
Avoid the increase of soil erosion, loss of organic matter, nutrient leaching or change in soil ecology.
Favorably impact groundwater recharge, runoff water and water quality, including sediment loads that affect
aquatic life.
Avoid conversion of signicant areas of the forest to unsuitable land uses.
Avoid the inhibition of forest regeneration or the promotion of undesirable vegetation types.
Protect natural habitats of protected species, including impacts on wildlife.
Protect endemic species or other biodiversity.
Avoid the establishment of new roads that improve forest access.
Avoid the establishment of new roads that obstruct the integrity of forest life.
Protect the culture and traditional livelihoods of indigenous people/forest dwellers.
Preserve the sources of income for local population (fuel woods, wildlife, habitats...).
Preserve the recreational or tourist value of the forest and related resources.
Avoid conicts in local land tenure systems.
Avoid the introduction of new species or new technologies for which local knowledge is limited.
Be compatible with national and international laws, commitments, treaties and agreements.
Links: http://www.fao.org/forestry/guidelines/en
3.5 LIVESTOCK AND ANIMAL HUSBANDRY
Maintain forested areas and protect wild-life (particularly for tsetse y eradication).
Avoid competing land uses or affect prevailing land rights.
Preserve local environment, in particular, as regards disease prevention and habitat impacts.
Avoid stocking rates exceeding the livestock carrying capacity of land and rangeland degradation.
Avoid the dissociation of animal husbandry from mixed farming.
Preserve the loss of traditional practices that conform with sustainable management practices.
Avoid the introduction of new livestock types that do not t with local farming systems.
Avoid losses of animal genetic resources.
Take into account rotational grazing systems or combined animal husbandry.
Preserve hilly areas or limit soil erosion and compaction problems, such as near waterways.
Avoid untested strains of forage plants.
Avoid unsustainable manure management practices that can result in soil and water contamination.
37 36
G U I DE L I N E S F OR FAO F I E L D PROJ E CTS E N V I R O N ME N TA L I MPA C T A S S E S S ME NT
Maintain supply of, or demand for, energy and mechanical parts.
Propose self reliant operation and maintenance systems.
Avoid land tenure disputes, water right conicts or changes in water pricing.
Protect archaeological sites, structures of historic signicance and landscape value.
Limit erosion in watershed area and in intakes, waterways and reservoirs.
Reduce downstream ow, impairing aquatic life or endangering wetland supply of water.
Avoid water-borne disease hazards or health hazards to local or downstream populations.
Be designed with prior consultation and participation of affected populations.
Avoid a shift in cropping patterns, or a shift from low-input to high-input farming practices.
Provide ood warning and protection and avoidance of ood hazards.
Involve or strengthen extension services consultation of affected farmers.
Avoid or maintain soil salinity or land subsidence.
Preserve surface water hydrology, surface water quality, or water resources adjacent to project area.
Protect commercial sheries or aquaculture.
Links: http://www.fao.org/nr/water/topics_quality.html
3.9 SOCIO-ECONOMIC DIMENSIONS
Contribute to alleviating poverty for a signicant portion of the rural poor population.
Create stable employment or generate new income in agriculture, forestry or sheries.
Create opportunities for payments for environmental services such as carbon storage.
Facilitate participation, including women, in decision-making that directly or indirectly affects them.
Enhance food security in terms of self-reliance and self-sufciency.
Ensure rural equity, gender equity, and inter-generational equity.
Be designed and implemented with prior consultation, consent and participation of affected populations.
Introduce new and/or adapted technologies that are environmentally, economically and socially sound.
Introduce preventive measures that reduce degradation of natural resources, protect natural ecosystems and
biodiversity, and reduce human risk.
Not establish new institutional mechanisms (policy, legislation, regulations, and institutions).
Increase local and national understanding and knowledge of sustainable development processes.
Develop new models of sustainable management.
Improve local management and technical capabilities.
Catalyze formation of self-reliant local groups.
Build upon experience of settlers in particular ecosystems, farming activities or technologies.
Provide for training, extension and economic incentives to aid settlers in new environments and economic
settings.
Consider land rights schemes and existing systems of land use rights.
Protect surface and ground water quality, livestock, human health, sh stock, aquatic habitat and wildlife, in
particular where run-off is likely to occur.
Promote natural enemies of pests and avoid an increase in pest incidence or creation of new pests.
Take into account benecial soil micro-organisms and enhance micro-zoo genetic populations.
Ensure conditions by which the application of pesticides is well targeted.
Limit the intense application of systemic chemical pesticides.
Limit handling of chemicals by inexperienced farmers.
Require involvement or strengthening of extension services consultation of affected farmers.
Require disposal of obsolete pesticides.
Links: http://www.fao.org/agriculture/crops/core-themes/theme/pests/pm/en
http://www.fao.org/waicent/faoinfo/agricult/agp/agpp/pesticid/disposal/en/103194/index.html
http://www.fao.org/docrep/006/ad487e/ad487e00.htm
http://www.fao.org/docrep/006/Y2765E/Y2765E00.HTM
http://www.fao.org/docrep/007/y5774e/y5774e00.htm
3.8 WATER DEVELOPMENT
Reect provisions of internationally recognized best practices and national or transboundary water
management plans.
Preserve habitat for wildlife or sheries.
Ensure timely extraction of trees in impoundments, avoid proliferation of water weeds, and protect riparian
vegetation.
Avoid ooding of land suitable for agriculture or create adverse effects in human settlements.
Protect watersheds and water quality within or adjacent to the project area.
Maintain the location existing populations, community facilities, and housing.
37 36
Maintain supply of, or demand for, energy and mechanical parts.
Propose self reliant operation and maintenance systems.
Avoid land tenure disputes, water right conicts or changes in water pricing.
Protect archaeological sites, structures of historic signicance and landscape value.
Limit erosion in watershed area and in intakes, waterways and reservoirs.
Reduce downstream ow, impairing aquatic life or endangering wetland supply of water.
Avoid water-borne disease hazards or health hazards to local or downstream populations.
Avoid a shift in cropping patterns, or a shift from low-input to high-input farming practices.
Provide ood warning and protection and avoidance of ood hazards.
Involve or strengthen extension services consultation of affected farmers.
Avoid or maintain soil salinity or land subsidence.
Preserve surface water hydrology, surface water quality, or water resources adjacent to project area.
Protect commercial sheries or aquaculture.
Links: http://www.fao.org/nr/water/topics_quality.html
3.9 SOCIO-ECONOMIC DIMENSIONS
Contribute to alleviating poverty for a signicant portion of the rural poor population.
Create stable employment or generate new income in agriculture, forestry or sheries.
Create opportunities for payments for environmental services such as carbon storage.
Facilitate participation, including women, in decision-making that directly or indirectly affects them.
Enhance food security in terms of self-reliance and self-sufciency.
Ensure rural equity, gender equity, and inter-generational equity.
Be designed and implemented with prior consultation, consent and participation of affected populations.
Introduce new and/or adapted technologies that are environmentally, economically and socially sound.
Introduce preventive measures that reduce degradation of natural resources, protect natural ecosystems and
biodiversity, and reduce human risk.
Not establish new institutional mechanisms (policy, legislation, regulations, and institutions).
Increase local and national understanding and knowledge of sustainable development processes.
Develop new models of sustainable management.
Improve local management and technical capabilities.
Catalyze formation of self-reliant local groups.
Build upon experience of settlers in particular ecosystems, farming activities or technologies.
Provide for training, extension and economic incentives to aid settlers in new environments and economic
settings.
Consider land rights schemes and existing systems of land use rights.
Protect surface and ground water quality, livestock, human health, sh stock, aquatic habitat and wildlife, in
particular where run-off is likely to occur.
Promote natural enemies of pests and avoid an increase in pest incidence or creation of new pests.
Take into account benecial soil micro-organisms and enhance micro-zoo genetic populations.
Ensure conditions by which the application of pesticides is well targeted.
Limit the intense application of systemic chemical pesticides.
Limit handling of chemicals by inexperienced farmers.
Require involvement or strengthening of extension services consultation of affected farmers.
Require disposal of obsolete pesticides.
Links: http://www.fao.org/agriculture/crops/core-themes/theme/pests/pm/en
http://www.fao.org/waicent/faoinfo/agricult/agp/agpp/pesticid/disposal/en/103194/index.html
http://www.fao.org/docrep/006/ad487e/ad487e00.htm
http://www.fao.org/docrep/007/y5774e/y5774e00.htm
3.8 WATER DEVELOPMENT
Reect provisions of internationally recognized best practices and national or transboundary water
management plans.
Preserve habitat for wildlife or sheries.
Ensure timely extraction of trees in impoundments, avoid proliferation of water weeds, and protect riparian
vegetation.
Avoid ooding of land suitable for agriculture or create adverse effects in human settlements.
Protect watersheds and water quality within or adjacent to the project area.
Maintain the location existing populations, community facilities, and housing.
38
39
ANNEX 4
ENVI RONMENTAL REVI EW
I N FAO PROJECT CYCLE
IDENTIFICATION PHASE
Identication of the idea
Preparation, assessment and endorsement
Concept Note
Formalization of relations with donors project
level
FORMULATION PHASE
Analysis
Problem analysis
Results analysis
Stakeholders analysis
Strategy analysis
Planning
SPD
(Results Matrix, Risks Matrix,
Workplan and Budget,
Results-Based Monitoring, etc.)

Environmental Review (A,B,C)
Sectoral checklists, Technical background
documents,
Donors and stakeholders comments included
in the ESRF
Endorsement of environmental review
Environmental Screening and Scoping (A,B)
Environmental Screening Form
Donors consultation
Environmental Impact Assessment methods (A)
Environmental Analysis methods (B)
Identication of mitigation measures
EIA reports
Public Disclosure free prior and informed
consent
Stakeholders consultation
Environmental management plan

Establishment of environmental baselines
Mitigation measures and CD requirements
Measurable monitoring indicators
Project risk management matrix includes EIA
risks
Prepare standard and guiding documents for SPD
EIA attachment to SPD
PROJECT CYCLE PHASES EIA STEPS
Include participation of people affected by decision-making process.
Diversify and expand productive activities, supply of inputs, markets and self-sufciency.
Reect understanding of benets of natural systems and potential conicts with local population.
Benet or involve indigenous peoples (ILO convention No. 169) and FAO policy on indigenous people
http://www.fao.org/economic/esw/esw-home/esw-indigenous-peoples/en.
3.10 GENDER CONSIDERATIONS
Create opportunities for the empowerment of women.
Promote womens participation in decision-making and ensure that women benet from the project along
with men.
Safeguard the rights and needs of vulnerable or marginalized populations, including women, youth, the
elderly or disabled.
Contribute to the equal distribution of resources (land, labour, fertilizer, credit, technology, extension,
markets) between men and women.
Draw on the distinct knowledge and skills of men and women.
Take into account the different vulnerabilities of men and women, due to differences in access to resources
and different constraints.
Target both mens and womens roles and tasks (such as in what animals they rear or which crops they grow)
so that both men and women are included.
Identify any gender biases in institutions regarding who should receive technology, information and extension
services and ensure that both men and women are supported.
Account for the differential impacts of migration on men and women.
Links: http://www.fao.org/sd/Seaga/downloads/En/projecten.pdf
ftp://ftp.fao.org/docrep/fao/012/i1240e/i1240e00.pdf
http://www.fao.org/sd/2001/PE0602a_en.htm
http://worldbank.org/genderinag
38
39
ANNEX 4
ENVI RONMENTAL REVI EW
I N FAO PROJECT CYCLE
IDENTIFICATION PHASE
Identication of the idea
Preparation, assessment and endorsement
Concept Note
Formalization of relations with donors project
level
FORMULATION PHASE
Analysis
Problem analysis
Results analysis
Stakeholders analysis
Strategy analysis
Planning
SPD
(Results Matrix, Risks Matrix,
Workplan and Budget,
Results-Based Monitoring, etc.)

Environmental Review (A,B,C)
Sectoral checklists, Technical background
documents,
Donors and stakeholders comments included
in the ESRF
Endorsement of environmental review
Environmental Screening and Scoping (A,B)
Environmental Screening Form
Donors consultation
Environmental Impact Assessment methods (A)
Environmental Analysis methods (B)
Identication of mitigation measures
EIA reports
Public Disclosure free prior and informed
consent
Stakeholders consultation

Establishment of environmental baselines
Mitigation measures and CD requirements
Project risk management matrix includes EIA
risks
Prepare standard and guiding documents for SPD
EIA attachment to SPD
PROJECT CYCLE PHASES EIA STEPS
Include participation of people affected by decision-making process.
Diversify and expand productive activities, supply of inputs, markets and self-sufciency.
Reect understanding of benets of natural systems and potential conicts with local population.
Benet or involve indigenous peoples (ILO convention No. 169) and FAO policy on indigenous people
http://www.fao.org/economic/esw/esw-home/esw-indigenous-peoples/en.
3.10 GENDER CONSIDERATIONS
Create opportunities for the empowerment of women.
Promote womens participation in decision-making and ensure that women benet from the project along
with men.
Safeguard the rights and needs of vulnerable or marginalized populations, including women, youth, the
elderly or disabled.
Contribute to the equal distribution of resources (land, labour, fertilizer, credit, technology, extension,
markets) between men and women.
Draw on the distinct knowledge and skills of men and women.
Take into account the different vulnerabilities of men and women, due to differences in access to resources
and different constraints.
Target both mens and womens roles and tasks (such as in what animals they rear or which crops they grow)
so that both men and women are included.
Identify any gender biases in institutions regarding who should receive technology, information and extension
services and ensure that both men and women are supported.
Account for the differential impacts of migration on men and women.
Links: http://www.fao.org/sd/Seaga/downloads/En/projecten.pdf
http://www.fao.org/sd/2001/PE0602a_en.htm
http://worldbank.org/genderinag
40
41
ANNEX 5
OUTLI NE FOR CATEGORY A REPORT
PROJECT TITLE: LOCATION (country, district):
PROJECT TEAM (leader, members):
PROJECT LOCATION:
PROJECT DESCRIPTION:
PURPOSE:
COST/BUDGET:
AGENCIES INVOLVED (domestic and international):
APPLICABLE NATIONAL ENVIRONMENTAL MANAGEMENT/ASSESSMENT POLICIES, REGULATIONS, REQUIREMENTS:
WORK PLAN:
WORK SCHEDULE:
SITE DESCRIPTION (incl. biophysical and social baseline conditions):
SITE RECONNAISSANCE (maps, photos, plans):
DATA, INFORMATION SOURCES (published and grey literature):
DATA, INFORMATION CONSTRAINTS:
CONSULTATIONS (individuals, groups, agencies):
PROJECT EFFECTS OR IMPACTS (primary, secondary, tertiary):
PROJECT ALTERNATIVES CONSIDERED:
IMPACT PREVENTIVE ACTIONS:
IMPACT MITIGATION MEASURES:
ENVIRONMENTAL MANAGEMENT PLAN:
MONITORING AND EVALUATION REQUIREMENTS:
CAPACITY DEVELOPMENT NEEDS:
APPRAISAL AND APPROVAL
Self assessment by the PTF
ITR
Quality Assurance Review by the PAC
Project Approval
IMPLEMENTATION AND MONITORING
Declaring the Project Operational
Initiation of Activities
Results-Oriented Monitoring
PROJECT EVALUATION
PROJECT CLOSURE
Last self-assessment by the LTO part of the PTF
Consultation with EIA Team/ITR when needed
Review of Classication by technical expert
within PAC
Approval
Environmental management plan/IPP
Project risk management matrix
Progress/status reporting tools
Project evaluation
Lessons Learned
40
41
ANNEX 5
OUTLI NE FOR CATEGORY A REPORT
PROJECT TITLE: LOCATION (country, district):
PROJECT TEAM (leader, members):
PROJECT LOCATION:
PROJECT DESCRIPTION:
PURPOSE:
COST/BUDGET:
AGENCIES INVOLVED (domestic and international):
APPLICABLE NATIONAL ENVIRONMENTAL MANAGEMENT/ASSESSMENT POLICIES, REGULATIONS, REQUIREMENTS:
WORK PLAN:
WORK SCHEDULE:
SITE DESCRIPTION (incl. biophysical and social baseline conditions):
SITE RECONNAISSANCE (maps, photos, plans):
DATA, INFORMATION SOURCES (published and grey literature):
DATA, INFORMATION CONSTRAINTS:
CONSULTATIONS (individuals, groups, agencies):
PROJECT EFFECTS OR IMPACTS (primary, secondary, tertiary):
PROJECT ALTERNATIVES CONSIDERED:
IMPACT PREVENTIVE ACTIONS:
IMPACT MITIGATION MEASURES:
ENVIRONMENTAL MANAGEMENT PLAN:
MONITORING AND EVALUATION REQUIREMENTS:
CAPACITY DEVELOPMENT NEEDS:
APPRAISAL AND APPROVAL
Self assessment by the PTF
ITR
Quality Assurance Review by the PAC
Project Approval
IMPLEMENTATION AND MONITORING
Declaring the Project Operational
Initiation of Activities
Results-Oriented Monitoring
PROJECT EVALUATION
PROJECT CLOSURE
Last self-assessment by the LTO part of the PTF
Consultation with EIA Team/ITR when needed
Review of Classication by technical expert
within PAC
Approval
Environmental management plan/IPP
Project risk management matrix
Progress/status reporting tools
Project evaluation
Lessons Learned
42
43
ANNEX 6
I NITIAL CAPACITY ASSESSMENT AS
PART OF ENVI RONMENTAL SCOPI NG
(if required)
Individuals
1. Are technical capacities adequate for individuals (in communities, civil society, government and private
sector)? If not, what are the key gaps in capacities?
2. Are functional capacities adequate in policy formulation and implementation, in the formation of
partnerships, in the management of information and knowledge and in programme implementation? If not,
what are the key gaps in capacities?
Organizations
3. Are changes needed to ensure adequate organizational motivation in the mitigation of environmental impact?
If so, what are the changes?
4. Are there sufcient capacities to ensure that organizations have adequate strategic and management
functions? If not, what are needed?
5. Are the institutional or inter-institutional mechanisms in place to foster information sharing? If not, what is
most needed?
6. Is knowledge sufcient in nancial management, human resources management, planning and M&E? If not,
what is most needed?
7. Are there adequate capacities in relevant organizations to incorporate gender issues? If not, what is needed?
8. Does the relevant Ministry /department have a programme for staff training to improve skills? If not, what is
needed?
Enabling Policy
9. Are there sufcient capacities to formulate, review and revise policies and strategies? If not, what is needed?
10. Is there adequate policy commitment? If not, how can this be addressed?
11. Is there an adequate economic framework and sufcient national budget allocations? If not, how can this be
addressed?
12. Is there adequate governance and power structures relative to the potential environmental impact? If not,
how can this be addressed?
13. Does national legislation enable adequate access of information and knowledge? If not, how can this be
addressed?
14. Are there sufcient policy analysis tools and capacity development to formulate the necessary environmental
policies and programmes? If not, how can this be addressed?
PREPARED BY: (Lead technical ofcer, name and title)
Submission date:
Reviewed by: (Other technical ofcer if relevant, name and title)
Completion date:
Endorsed by: (Director, lead technical unit, name and title)
The environmental management plan (EMP)
includes the mitigation, monitoring, and
institutional measures to be taken during project
implementation in order to prevent, minimize,
or eliminate adverse environmental and social
impacts. The EMP is part of, and costed in project
design, and will include the following:
Mitigation: Feasible and cost-effective
measures to address signicant adverse
environmental impacts. Specically, the EMP
identies and summarizes all anticipated
signicant adverse environmental impacts and
describes each mitigation measure and the
conditions under which it is required.
Monitoring: Monitoring of the environmental
impacts during project implementation and of
the effectiveness of mitigation measures.
Capacity Development: The assessment of CD
requirements should be a country-led process
with participation of stakeholders involved in,
or affected by the potential environmental
impact. The sustainability of the mitigation
and adaptation measures should be fully
considered in the assessment. The following
dimensions should be assessed:
enabling environment including for the
formulation and implementation of policies,
processes, laws, regulations, incentives and
partnerships;
capacities of organizations such as
government agencies, NGOs, civil society,
communities, and private sector;
capacities of individuals in communities, of
research organizations and policy-makers.
Implementation Schedule and Cost Estimates:
i.e. for mitigation, monitoring, and capacity
development measures that must be carried
out as part of the project, including capital and
recurrent cost estimates and sources of funds
for implementation.
Integration of EMP with Project: For the EMP to
be executed effectively, it must be integrated
into the projects overall planning, design,
budget, and implementation.
42
43
ANNEX 6
I NITIAL CAPACITY ASSESSMENT AS
PART OF ENVI RONMENTAL SCOPI NG
(if required)
Individuals
1. Are technical capacities adequate for individuals (in communities, civil society, government and private
sector)? If not, what are the key gaps in capacities?
2. Are functional capacities adequate in policy formulation and implementation, in the formation of
partnerships, in the management of information and knowledge and in programme implementation? If not,
what are the key gaps in capacities?
Organizations
3. Are changes needed to ensure adequate organizational motivation in the mitigation of environmental impact?
If so, what are the changes?
4. Are there sufcient capacities to ensure that organizations have adequate strategic and management
functions? If not, what are needed?
5. Are the institutional or inter-institutional mechanisms in place to foster information sharing? If not, what is
most needed?
6. Is knowledge sufcient in nancial management, human resources management, planning and M&E? If not,
what is most needed?
7. Are there adequate capacities in relevant organizations to incorporate gender issues? If not, what is needed?
8. Does the relevant Ministry /department have a programme for staff training to improve skills? If not, what is
needed?
Enabling Policy
9. Are there sufcient capacities to formulate, review and revise policies and strategies? If not, what is needed?
10. Is there adequate policy commitment? If not, how can this be addressed?
11. Is there an adequate economic framework and sufcient national budget allocations? If not, how can this be
addressed?
12. Is there adequate governance and power structures relative to the potential environmental impact? If not,
how can this be addressed?
13. Does national legislation enable adequate access of information and knowledge? If not, how can this be
addressed?
14. Are there sufcient policy analysis tools and capacity development to formulate the necessary environmental
policies and programmes? If not, how can this be addressed?
PREPARED BY: (Lead technical ofcer, name and title)
Submission date:
Reviewed by: (Other technical ofcer if relevant, name and title)
Completion date:
Endorsed by: (Director, lead technical unit, name and title)
The environmental management plan (EMP)
includes the mitigation, monitoring, and
institutional measures to be taken during project
implementation in order to prevent, minimize,
or eliminate adverse environmental and social
impacts. The EMP is part of, and costed in project
design, and will include the following:
Mitigation: Feasible and cost-effective
measures to address signicant adverse
environmental impacts. Specically, the EMP
identies and summarizes all anticipated
signicant adverse environmental impacts and
describes each mitigation measure and the
conditions under which it is required.
Monitoring: Monitoring of the environmental
impacts during project implementation and of
the effectiveness of mitigation measures.
Capacity Development: The assessment of CD
requirements should be a country-led process
with participation of stakeholders involved in,
or affected by the potential environmental
impact. The sustainability of the mitigation
and adaptation measures should be fully
considered in the assessment. The following
dimensions should be assessed:
enabling environment including for the
formulation and implementation of policies,
processes, laws, regulations, incentives and
partnerships;
capacities of organizations such as
government agencies, NGOs, civil society,
communities, and private sector;
capacities of individuals in communities, of
research organizations and policy-makers.
Implementation Schedule and Cost Estimates:
i.e. for mitigation, monitoring, and capacity
development measures that must be carried
out as part of the project, including capital and
recurrent cost estimates and sources of funds
for implementation.
Integration of EMP with Project: For the EMP to
be executed effectively, it must be integrated
into the projects overall planning, design,
budget, and implementation.
44
AMENDMENTS
TO THE GUI DELI NES
The present Environmental Impact Assessment
Guidelines for FAO Field Projects have been
elaborated by an Inter-Departmental Working
Group (IDWG) under the chair of the Technical
Cooperation Department, specically, the
Field Programme Coordination and Results-
Based Monitoring unit (TCDM). Any substantial
changes to this version, in particular as may
ensure alignment to future corporate decisions
on polices/procedures, should be elaborated by
TCDM in consultation with the EIA Task Force.
PRINTED IN ITALY ON ECOLOGICAL PAPER - FSC (FOREST STEWARDSHIP COUNCIL) CERTIFIED
FAO 07/2012
44
AMENDMENTS
TO THE GUI DELI NES
The present Environmental Impact Assessment
Guidelines for FAO Field Projects have been
elaborated by an Inter-Departmental Working
Group (IDWG) under the chair of the Technical
Cooperation Department, specically, the
Field Programme Coordination and Results-
Based Monitoring unit (TCDM). Any substantial
changes to this version, in particular as may
ensure alignment to future corporate decisions
on polices/procedures, should be elaborated by
TCDM in consultation with the EIA Task Force.
PRINTED IN ITALY ON ECOLOGICAL PAPER - FSC (FOREST STEWARDSHIP COUNCIL) CERTIFIED
FAO 07/2012
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ISBN 978-92-5-107276-9
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Environmental Impact Assessment: Guidelines For Fao Field Projects

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