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1


Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


Environment Management Guide for

Australia’s
Aid Program 2012


AusAID’s Environment Management System




2


Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System



Environment Management Guide for Australia’s Aid Program 2012

© Commonwealth of Australia 2012

This work is copyright. Apart from any use as permitted under the
Copyright Act 1968
, no part may be
reproduced by any process without prior written permission from the Commonwealth. Requests and
inquiries concerning reproduction and rights should be addre
ssed to the Commonwealth Copyright
Administration, Attorney General’s Department, Robert Garran Offices, National Circuit, Barton ACT
2600 or posted at http://www.ag.gov.au/cca


Published by the Australian Agency for International Development (AusAID),

Ca
nberra, 2012.

This document is online at:

www.ausaid.gov.au/publications

For further information about the Australian Government’s international

development program, contact:

Communications Section

AusAID

GPO Box 887

Canberra ACT 2601

Phone (02) 6206 4000

Facsimile (02) 6206 4880

Internet
Go to AusAID website

www.ausaid.gov.au

Designed by GRi.D Communications, Canberra.



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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


Contents


Abbreviations

................................
................................
................................
................................
................................
...................

5

Purpose

................................
................................
................................
................................
................................
...............................

6

Who is this guide for?

................................
................................
................................
................................
................................
....

7

Summar
y

................................
................................
................................
................................
................................
............................

8

AusAID’s Environment Management System

................................
................................
................................
.....................

12

Introduction

................................
................................
................................
................................
................................
...................

12

EMS step one: Understand the environment policy and legal setting

................................
................................
......

15

Mandatory environment training for staff

................................
................................
.......

Error! Bookmark not defined.

Mandatory environment training for staff

................................
................................
................................
................................
..........

15

Development partner environment awareness

................................
................................
................................
................................

16

Australia’s aid policies and commitments
................................
................................
................................
................................
...........

16

Australia’s environment legislation

................................
................................
................................
................................
.......................

16

Partner government environment legislation

................................
................................
................................
................................
...

18

Multilateral environment agreements

................................
................................
................................
................................
..................

18

EMS step two: Conduct environment assessment and planning

................................
................................
................

20

Environment screening

................................
................................
................................
................................
................................
...............

21

Quality assurance: what type of expertise is required and

when?

................................
................................
...........................

25

Safeguards

................................
................................
................................
................................
................................
................................
.........

26

Referring environmentally significant impacts

................................
................................
................................
................................

26

Levels and types of environment assessment and planning

................................
................................
................................
.......

27

How the EMS applies to different types of aid
................................
................................
................................
................................
...

30

The important relationship between projects, programs, delivery strategies and the EMS

................................
........

30

A program
-
specific EMS

what is it and when do you do

one?

................................
................................
................................

31

How the EM
S applies when working with multilateral and bilateral development partners

................................
.....

32

Emergency and humanitarian aid activities

................................
................................
................................
................................
.......

33

EMS step three: Implement

................................
................................
................................
................................
......................

34

EMS step four: Monitor and evaluate

................................
................................
................................
................................
....

35

Roles and responsibilities
................................
................................
................................
................................
................................
...........

36

EM
S step five: Ensure continual improvement

through Executive

Committee reviews

................................
....

37

Selected bibliography

................................
................................
................................
................................
................................
.

38

AusAID publications

................................
................................
................................
................................
................................
......................

38

Ot
her documents

................................
................................
................................
................................
................................
............................

38

Appendix 1: Glossary

................................
................................
................................
................................
................................
..

40

Appendix 2: Multilateral environment agreements

................................
................................
................................
.......

43

Appendix 3:
Non
-
government organisations

and

the EPBC Act

................................
................................
..................

44

Some guiding questions and answers on how the EMS is relevant to non
-
government organisations (NGOs)

.

44

NGOs and environmental assessment and management

................................
................................
................................
.............

45

Appendix 4:
Summary of environment risk, action required and examples of

projects

................................
...

47

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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System





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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


Abbreviations


AusAID

Australian Agency for International Development

EIA


Environment Impact Assessment

EMP


Environment Management Plan

EMS


Environment Management System

EPBC Act

Environment Protection and Biodiversity Conservation Act 1999 (Commonwealth)

MEA


multilater
al environment agreements

MoU


memorandum of understanding

QAI


quality at implementation

SEA


Strategic Environment Assessment

SoS


scope of services



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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


Purpose

This guide is about the Australian Agency for International Development’s (AusAID)
Environmental
Management System (EMS): a framework designed to help us achieve sound environmental
performance across the aid program.

It outlines what AusAID staff and our development partners must do to help Australia meet its legal
and policy obligation
s and apply best practice in environmental management. For AusAID this includes
climate change and disaster risk reduction considerations.

The guide describes AusAID’s legal responsibilities under the
Environment Protection and
Biodiversity Conservation Ac
t 1999

(EPBC Act). It also outlines how to integrate the environment
across the aid program, in line with the Australian Government’s overall purpose, to help people
overcome poverty. This includes incorporating the environment in the Strategic Program
Dev
elopment and carrying it through to the individual aid activity investment level.

The
Environment Management Guide for Australia’s Aid Program 2012

updates and replaces the 2003
version. It includes some important differences. With our EMS it is now
:



essen
tial that we start our environment work early at the strategic level

in our
country/regional strategies and delivery strategies

as well as early in the design of all aid
activities investments



mandatory for all staff to undertake training on AusAID’s EMS



m
andatory for staff to conduct environment screening and record the results in AidWorks



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Environment Management Guide for Australia’s Aid Program 2012

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Environment Management System


Who is this guide

for?

The guide is a resource for AusAID staff and development partners involved in managing Australian
aid and activities funded by AusAID. It is for

those who plan, design, appraise, implement, monitor and
evaluate country/regional strategies, delivery strategies and individual aid activities.

Development partners include Australian whole
-
of
-
government departments and agencies, partner
governments, mu
ltilateral organisations, bilateral organisations, non
-
government organisations, civil
society organisations, research organisations, academia, special
-
purpose fund operators and
contractors (referred to collectively as ‘development partners’, unless other
wise specified).

Many development partners have their own EMS in place, often called environmental safeguards. This
guide informs our development partners of our legal obligations under the EPBC Act and our
responsibility to ensure they do not cause, or ar
e likely to cause, a significant negative impact on the
environment while working with the Australian aid

program.



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Environment Management Guide for Australia’s Aid Program 2012

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Environment Management System


Summary

The achievement of sustainable economic development is one of five strategic goals of the aid
program’s policy framework. The devel
opment objective of reducing the negative impacts of climate
change and other environmental factors flows from this goal (AusAID 2011). If efforts are not made to
meet this objective, decades of development gains may be diminished, and lives and livelihood
s lost.

In many developing countries the natural environment is the foundation of people’s wellbeing and
livelihoods, particularly those living in poorer rural areas.

Degradation of natural resources can adversely affect people’s health, their ability to a
ccess essential
food and water supplies and their opportunities for sustainable economic development. Climate
change impacts and an increase in the frequency and intensity of natural disasters are additional and
significant challenges for poor people. Some

of these impacts are created or exacerbated by
environmental degradation.

AusAID is legally obliged under the EPBC Act to ensure that through our international aid work we are
not causing, or likely to cause, a significant negative impact on the environme
nt. These potential
impacts must be diligently assessed and managed. Beyond our legal obligations, we have a duty as a
donor to apply best practice and ensure we integrate environment considerations into the aid
program.

This Environment Management Guide
for Australia’s Aid Program 2012 (guide) replaces the earlier
2003 version. It outlines what AusAID staff members, and our development partners, must do to help
the Australian Government:



meet its legal and policy obligations



continually improve environmen
t performance in aid activities



manage environment risks



ensure aid money is not used in a way that harms the environment



implement best environment management practices.

The guide is designed to help you integrate environment considerations across the aid

program, in line
with the Australian Government’s overall goal to help people overcome

poverty.

This guide is primarily for AusAID staff, but it is also a valuable source of information for all
development partners involved in managing Australian aid fund
ed by AusAID. It informs both AusAID
staff and our development partners of AusAID’s responsibilities under the EPBC Act. It also explains
what is required at all stages of AusAID’s strategic program development

planning, designing,
appraising, implementing
, monitoring and evaluating from an environment management perspective.
While AusAID staff members are expected to take the lead in ensuring that environment
considerations are addressed at all stages during strategic program development, it is imperative
for
our development partners to understand AusAID’s environment management requirements.

AusAID staff must always screen for environment issues and environment impacts when:



formulating country/regional strategies and delivery strategies



designing individ
ual aid activities (investments).

Understanding and implementing this guide is critical since the Australian Government has committed
to increase Australia’s official development assistance to a gross national income ratio of 0.5 per cent
by 2016

17.

To co
mply with the EPBC Act and deliver effective aid, we must ensure our decision makers are
informed when environment issues exist so they can decide how to manage them. This means we must
properly assess, plan and manage our country/regional strategies and d
elivery strategies as well as
assess, plan and manage all of our aid activities for potential environment impacts. We do this through
our EMS which is the main focus of this guide.

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Environment Management Guide for Australia’s Aid Program 2012

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Environment Management System


Our EMS requires us to assess all types of impacts

positive, negative, dire
ct and indirect. Importantly
for AusAID the term ‘environment’ includes climate change and disaster risk reduction. This is
reflected in the guide. It is important to note that our EMS is based on the recognition that the
environment is an important crossc
utting issue underpinning our success.

The objective of AusAID’s EMS is to ensure we assess and manage both the positive impacts the aid
program has on the environment, such as the sustainable use of environment resources to reduce
poverty, and negative en
vironment impacts, such as pollution that affects poor people and undermines
economic growth.

Our EMS has five steps (Figure 1).

Step 1

Understand the environment policy and legal setting

Step 2

Conduct environment assessment and planning

Step 3

Implement

Step 4

Monitor and evaluate

Step 5

Ensure continual improvement through executive committee reviews

While all five steps are important, the second step

conducting environment assessment and
planning

is crucial.

Step 2 always starts with answering a series

of environment screening questions. This screening
enables us to make the right decisions on whether further work is required and, if so, what type and
level (Figure 1).

Various terms are explained in definition Boxes 2 to 4 in the guide and in the Glossa
ry (Appendix 1),
including the term ‘significant impact’. While AusAID is required to identify, assess and manage both
positive and negative environment impacts, we are only required to refer significant negative
environment impacts to the Minister for the

Environment for advice. At the time of publication the
Minister for the Environment is the Australian Government Minister for Sustainability, Environment,
Water, Population and Communities.

At first glance, it may not seem obvious how to integrate environ
ment considerations into some of our
aid work or when (at what ‘entry point’). And it may seem as though the environment has little to do
with a strategy or activity you are working on. While sometimes this may be the case

such as work in
strengthening pub
lic financial management systems

the reality is that the environment can have far
-
reaching effects in obvious and sometimes not so obvious ways, which is why understanding and
implementing our EMS is so important.

As part of our EMS our Executive Committee
, the peak corporate governance body in AusAID, is
responsible for continually reviewing our EMS to ensure it is suitable, adequate and effective. In the
most recent review the Executive concluded that AusAID’s EMS needed to be directly linked to our
wider

corporate systems (including AidWorks), strategic program development, performance
management and evaluation, due diligence framework, and learning and development. This is now the
case.

Many components of this guide are the same as the 2003 version, such

as the five EMS steps. However,
there are important differences with this update. It is now:



essential that we start our environment work early at the strategic level

into our
country/regional strategies and delivery strategies

as well as early in the des
ign of all aid
activities



mandatory for all staff to undertake training on AusAID’s EMS



mandatory for staff to conduct environment screening and record the results in AidWorks

Many of our development partners have their own EMS in place

often called environmental
safeguards

to ensure their work does not cause a negative impact on the environment. We rely on
our development partners to adequately assess and manage potential impac
ts on the environment
through these safeguards and we need to be assured they are diligently adhering to them through
implementation and documentation. This due diligence is part of our legal obligations under the EPBC
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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


Act. So while this guide does not rep
lace our partners’ safeguards it clarifies AusAID’s minimum
requirements. If there is inconsistency between a partner’s safeguards and AusAID’s requirements, as
a minimum AusAID’s policies and EMS should be complied with.

AusAID staff members are never re
quired to personally undertake or prepare environment
assessments and plans, whether this be an environment analysis, Strategic Environment Assessment
(SEA), Environment Impact Assessment (EIA) or Environment Management Plan (EMP). Rather, they
are respons
ible for ensuring that external experts and/or our development partners undertake these
where appropriate. To do this, however, staff need to have at least a broad understanding of what is
involved with the levels and types of environment assessments, as o
utlined in this guide.

Our success in achieving international best practice in environment management depends on the
support of everyone in AusAID, and a commitment to ensuring environment considerations are
integrated with our other management systems an
d operations and treated as an essential component
of our risk management system. Environment considerations, in other words, should not be an ‘after
thought’ or an ‘add on’.

In addition to this guide, AusAID has an Environment Team in Canberra and Environ
ment Focal Points
across the agency who you can contact for further information. They are responsible for coordinating
referrals to the Minister for the Environment and will help you adhere to AusAID’s EMS.


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Environment Management Guide for Australia’s Aid Program 2012

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Environment Management System


Figure 1: Assessing your environmental risk



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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


AusAID’s Environment Management System

Introduction

An EMS is designed to help an organisation achieve best practice in environment performance.

To succeed, an EMS must be integrated with an organisation’s management systems and operations
and be treated a
s an essential component of its risk management system. This ensures that attention
to the environment starts early and is not an afterthought or add on.

Box 1: Objective of AusAID’s Environment Management System

To ensure AusAID assesses and manages the i
mpact the aid program has on the environment. This
includes managing both:



‘positive’ environment issues (opportunities for the sustainable use of environment resources to
reduce poverty and support economic development)



‘negative’ environment issues (thre
ats to the environment, such as resource degradation and
pollution, that affect poor people and undermine sustainable economic

growth).

AusAID’s EMS is an integral part of our overall Strategic Program Development. Core to this is its
inclusion in our stra
tegic program development guidance and our performance management and
evaluation policy. This helps us ensure that the development activities we fund or implement are
environmentally sound.


Important: What does an EMS

address?

An EMS can be used to addres
s environmental issues through allocating resources, assigning
responsibilities, and evaluating practices, procedures and processes for developing, implementing,
achieving, reviewing and maintaining the policy and legal setting.
Australian/New Zealand Sta
ndard

AS/NZS ISO 14001:2004 2004).


Our EMS incorporates international best practice environment management principles. We

use it

to:

1.

meet our legal and policy obligations

2.

continually improve environment performance in aid activities

3.

manage environment ris
ks

4.

ensure aid money is not used in a way that harms the environment

5.

implement best environment management

practices.

At AusAID we integrate environment, climate change and disaster risk reduction considerations under
one framework. The rationale for this
is that the climate constitutes a critical aspect of ‘the
environment’ and it must be taken into account alongside other environment issues. Climate change
has the potential to interact with, and potentially magnify, other environment phenomena such as
des
ertification, biodiversity loss, air pollution or the increasing scarcity of fresh water. Dealing with
climate change separately from other environment issues therefore makes little sense from either a
theoretical or practical perspective. The same is true

of disaster risk reduction which aims to reduce
risks from natural hazards to human wellbeing. So ensuring a comprehensive approach to
environment management ensures that all three components

environment, climate change and
disaster risk reduction

are eff
ectively considered within the aid program. It is also important to note
that our EMS treats the environment as an important crosscutting issue underpinning the success of
all our aid work.

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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


The relationship between the operational steps of the EMS and the
stages of AusAID’s Strategic
Program Development are broadly illustrated in Figure 2: ‘AusAID’s Environment Management System
at a glance’. AusAID staff members are never required to personally undertake or prepare an
environment analysis, Strategic Enviro
nment Assessment (SEA), Environment Impact Assessment
(EIA) or Environment Management Plan (EMP). Rather, AusAID staff are responsible for ensuring that
external experts and/or our development partners undertake these where appropriate.

Importantly, this i
nvolves ensuring that external experts and/or our development partners:



understand AusAID’s legal obligations under the EPBC Act, the context in which we are
operating and our commitment to implementing best international environment practice



have in place

their own sound environment safeguards (frameworks and practices).

It also includes ensuring you understand what is involved when others are conducting environment
assessment and planning. Without this understanding, you will not be well positioned to man
age
AusAID’s potential environment risks.

For further information or guidance on overseeing environment assessment and planning, or how to
find a suitable environment expert, contact AusAID’s Environment Team or Environment Focal Points.


Important:
Our in
tegrated EMS

AusAID’s EMS integrates environment considerations with climate change and disaster risk reduction
under one framework. In this guide the term ‘environment’ therefore includes all three

elements.




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Environment Management Guide for Australia’s Aid Program 2012

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Environment Management System


Figure 2:

AusAID’s Environment Management Sy
stem at a glance and how it links to program delivery


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Environment Management Guide for Australia’s Aid Program 2012

AusAID
Environment Management System


EMS step one:
Understand the environment
policy and legal setting

The first step in our EMS is
understanding

the environment policy and legal setting in which our aid
strategies and activities are implemented. This is the basis upon which we assess and manage
environment impact and promote

environmentally sustainable development.

Purpose
:

This section gives an o
verview of the environment policy and legal obligations under
Australia’s aid program, including the need for AusAID staff to:



understand the requirement to take environment training (mandatory) on our EMS



understand Australia’s environment legislation, pa
rticularly our obligations under the

EPBC
Act



be aware of partner government environment legislation



be aware of relevant multilateral environment agreements (MEAs).

Relevant partner government environment legislation and relevant MEAs should be outlined in the
Country Situation Analysis. Staff are not expected to have an in
-
depth understanding of local laws and
policies but need to be aware of their existence and ensu
re analysis is included in the Country
Situation Analysis. This should then be drawn on during the program design and implementation
stages.

For further information or guidance on the environment policy and legal setting in which you are working,
contact
AusAID’s Environment Team or Environment Focal Points. They will be able to direct you to
relevant State of Environment reports and Country Environment Analysis.


Tip

Contact Learning and Development Section and/or the Environment Team and Environment Foca
l
Points for details on our internal training programs on the environment, including AusAID’s EMS.


Mandatory environment training for staff

Environment training is mandatory for AusAID staff. This raises awareness throughout the Agency and
provides you wi
th what you need to implement our EMS.

At AusAID you can be trained on the environment through:



our online e
-
learning module on the EMS



our in
-
house learning and development program



induction and overseas
-
based training programs



seminars.


Important

AusAID
’s development partners are responsible for assessing and managing the environment impact
of their activities and complying with relevant legal and policy requirements.



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Environment Management System



Development partner environment awareness

AusAID provides development partners with
high
-
level briefings on our EMS and legal obligations
under the EPBC Act. However, development partners are required to do more than just develop a
broad understanding of AusAID requirements. They are responsible for assessing and managing the
environment
impact of their activities and complying with relevant legal and policy requirements in
country. This involves seeking detailed training and advice from their own qualified sources.


Australia’s aid policies and commitments

A number of documents outline Au
stralia’s aid policies and official development assistance budget
commitments for our aid program. These are constantly updated so you need to refer to the latest
version to understand Australia’s current priorities:



An Effective Aid Program for Australia.

Making a real difference

Delivering real results



Aid Budget Statement



Portfolio Budget Statement



Country /regional strategy documents (including Country Situation Analysis, Statement of
Commitment/Pacific Partnerships for Development and Delivery Strategi
es)



thematic and crosscutting policies and strategies.




Australia’s environment legislation

The EPBC Act is Australia’s principal national legislation for the protection of the environment. It came
into effect on 16 July 2000. This section discusses the EP
BC Act (including its objectives), defines some
important terms (as found under the Act) and discusses the importance for AusAID of complying with
the Act.

The objectives of the EPBC Act (Section 3(i)) include:

a.

to provide for the protection of the environm
ent, especially those aspects of the environment
that are matters of national environmental significance and

b.

to promote ecologically sustainable development through the conservation and ecologically
sustainable use of natural resources and

c.

to promote the c
onservation of biodiversity; and (ca) to provide for the protection and
conservation of heritage

The principles of ecologically sustainable development are applied under the EPBC Act and apply to
AusAID’s work. These are outlined in Section 3A of the EPBC
Act and include:

a.

decision
-
making processes should effectively integrate both long
-
term and short
-
term
economic, environmental, social and equitable considerations

b.

if there are threats of serious or irreversible environmental damage, lack of full scientific

certainty should not be used as a reason for postponing measures to prevent environmental
degradation

c.

the principle of inter
-
generational equity

that the present generation should ensure that the
health, diversity and productivity of the environment is ma
intained or enhanced for the benefit
of future generations

Sections 28, 160 and 161 of the EPBC Act specifically relate to the foreign aid program and have
implications for AusAID and other agencies delivering Australian aid anywhere in the world. Section
160, Part 11, Division 4, Subdivision A, states:

“… before a Commonwealth agency or employee of the Commonwealth gives an authorisation
(however described) of an action [into] the entry by the Commonwealth, under Australia’s foreign aid
program, into a con
tract, agreement or arrangement for the implementation of a project that has, will
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Environment Management System


have or is likely to have a significant impact on the environment anywhere in the world … the agency
or employee must obtain and consider advice from the Minister [for the E
nvironment] in accordance
with this Subdivision.”


Box 2: Definition of the environment

The EPBC Act defines the environment

as:

a.

ecosystems and their constituent parts, including people and communities

b.

natural and physical resources

c.

qualities and
characteristics of locations, places and areas

d.

heritage values of places

e.

social, economic and cultural aspects of a thing mentioned in a, b, c or d.

This definition recognises that biological and physical surroundings are not isolated from people and
the w
ay people interact with their surroundings. This is consistent with AusAID’s view that the
environment is a cross
-
cutting development issue. Indeed, it is our rationale for bringing environment,
climate change and disaster risk reduction together under the

umbrella of our EMS.

Source: EPBC Act 1999, Section 528 Definitions


This guide focuses on activities affecting a, b, and c of the Act (Box 2). AusAID has separate systems and
procedures for assessing d and e, including guidelines on ‘Displacement and
resettlement of people in
development activities’. It is important to note that these environment and social assessments must run
concurrently and be linked for them to be effective.


Important:
Ecologically sustainable development

Ecolog
ically sustainable

development

a key objective of the EPBC Act

is consistent with the overall
aim of the Australian aid program. The principles of ecologically sustainable development are outlined
in section 3A of the Act, which are also synonymous with the internationally
agreed concept of
environmentally sustainable development.


Box 3: Definition of environment impact

An environment impact is any direct or indirect change to the environment, whether negative or
positive, or wholly or partly resulting from one or more acti
vities (Standards Australia/Standards New
Zealand 2004). This may involve cumulative or combined changes to the environment.



Direct impact is a change (physical, chemical or biological) to the environment because of an
activity (for example, building a roa
d, funding an irrigation canal, establishing a waste
-
water
system, protecting natural resources, or introducing a plant or animal species).



Indirect impact is where changes in policy or behaviour flowing from an activity will affect the
environment in the
future or ‘downstream’ (for example, designing a road system, funding land
titling, providing environment education, or strengthening an institution in the natural resource
sector).



Positive impact is a beneficial environment outcome (for example, increase
d biodiversity or
better health as a result of a clean water supply).



Negative impact is an adverse environment outcome (for example, a contaminated water table
from sewage systems, erosion from poorly planned infrastructure activities, or decimation of
ex
isting vegetation through the introduction of livestock). Such outcomes can sometimes be
irreversible and have a chain of impact on poverty, such as poor health or a reduction in
livelihood potential.

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Environment Management System



Tip

We only need to refer AusAID activities to the Mi
nister when they could result in a significant negative
impact on the environment.


Box 4: Definition of significant environment impact

The term ‘significant impact on the environment’ has special meaning for the Australian aid program, as
agreed by the Mi
nister for Sustainability, Environment, Water, Population and Communities. A significant
impact on the environment refers only to a significant negative environment impact not a significant
positive environment impact. This means considering the negative e
nvironment impact in isolation from
any net or overall benefit of the activity. For guidance on how to determine ‘significant impact’ see the
Department for Sustainability, Environment, Water, Population and Communities
Actions on, or impacting
upon, Commo
nwealth Land and actions by Commonwealth Agencies

significant impact guidelines 1.2

EBPC Act 1999 January 2010 (www.environment.gov.au).


To comply with the EPBC Act and deliver effective aid, AusAID must properly assess, plan and manage
aid for
environment impacts. This means considering all types of impacts

positive, negative, direct
and indirect. To achieve this we must screen for environment impact early (see EMS step 2) to make
decisions on whether further environment assessment and planning
is required and, if so, what type
and level. It is important to note that under section 516A of the EPBC Act, AusAID is required to report
annually on its environment performance and contribution to ecologically sustainable development.


Partner government

environment legislation

All of our partner governments have their own environment legislation, regulations, standards and/or
policies. It is essential that our aid activities (investments) comply with partner government
environment legislation in addition

to our own. The requirements of partner government environment
legislation need to be identified and addressed in AusAID country/regional strategies (such as through
a Country Situation Analysis) and delivery strategies, and aid activities, where appropri
ate. Ordinarily,
AusAID Managers are responsible for ensuring that partner government legislation and policies are
considered under these processes. Ultimate responsibility for approving strategies and aid activity
(investment) design sits with AusAID dele
gates at the relevant Senior Executive Service level.

This can be done through consulting with partner government counterparts and linking with analysis
undertaken by other development partners, such as State of Environment reports and country
environment
assessments prepared by the World Bank and the Asian Development Bank.


Multilateral environment agreements

The Australian Government is a signatory to many multilateral environment agreements (MEAs) (such
as conventions and protocols) and is required to m
eet obligations under them. Those most relevant to
Australia’s aid program are listed in Appendix 2 and include the United Nations Framework
Convention on Climate Change. The Hyogo Framework, while not an MEA, is relevant to the aid
program given its focus

on disaster risk reduction. Australia also plays an important role in supporting
many partner countries to comply with these agreements, including by improving their regulatory
frameworks.

The main purpose of MEAs is to protect environment items of intern
ational significance (for example
migratory birds, biodiversity, seas, wetlands and world heritage sites). The Australian aid program
needs to ensure its activities do not impact negatively on any item or area protected under an MEA.
Many of our developmen
t partner countries will have areas covered under MEAs that need to be
protected. An exception to the main purpose of MEAs is the Basel Convention on the Control of
Transboundary Movements of Hazardous Wastes and Their Disposal and its regional subsidiary
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agreements, such as the Waigani Convention in the Pacific. This MEA focuses on the international
movement of hazardous wastes. Importing hazardous waste into Australia is considered
environmentally significant and requires us to seek advice from the Minist
er for the Environment (See
‘Referring environmentally significant activities’ in EMS step 2).

AusAID is also responsible for monitoring and reporting regularly on the total official development
assistance Australia gives to developing countries to help th
em implement their obligations under
MEAs. We gather data through AidWorks, using policy marker questions and sector coding developed
in accordance with guidance from the Organisation for Economic Co
-
operation and Development’s
Development Assistance Commi
ttee.


Tip

Information on partner government environment requirements is necessary or a Country Situation
Analysis, which will guide program designs. Some way to source this are:



consult with partner government environment agencies and agencies responsible

for climate
change and disaster risk reduction if different



review country environment assessments prepared by the World Bank and the Asian Development
Bank



review State of the Environment reports for relevant countries



if none of these are available in
-
c
ountry, consult with our own Environment Team and Environment
Focal Point.




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EMS step two:
Conduct environment assessment
and planning

The second step in AusAID’s

EMS is to conduct environment assessment and planning. This should be
done as early as possible and starts with environment screening. When preparing a country/regional
or delivery strategy this should start as early as development of the situation analys
is. When designing
an aid activity this should take place during the concept

stage.

Purpose
:

This section briefly describes the context in which environment assessment and planning
takes place and it outlines the steps involved.

Australia delivers aid in
various ways including through budget support, program
-
based approaches,
sector
-
wide approaches, pooled funding, trust funds, technical assistance and projects. AusAID works
with a range of development partners to deliver aid. In all cases we must incorpor
ate environment
considerations into what we do, to meet our legal and policy obligations without imposing
unnecessary administrative burden on our development partners.

This EMS step is especially important since it is when we conduct our environment scree
ning,
assessment and planning. This is most effective when it takes place early in AusAID's Strategic
Program Development and early in the aid activity design (investment design) process. In both cases
we start by answering environment screening questions,

to determine next steps.



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Environment screening

AusAID staff must always screen for environment issues and impacts when:



formulating country/regional strategies and delivery strategies (strategic program
development)



developing individual aid activities
(investments).

You screen by answering a series of environment screening questions. There are two sets of questions.
One set applies at the strategic program development level and a different set of environment
screening questions must be answered at the i
nvestment concept stage. The answers to these
questions must be recorded in AidWorks.

How to conduct environment screening:



use Rules and Tools Guideline 163 to help you answer the environment screening questions



use guidance on how to determine ‘significa
nt impact’ by the Department for
Sustainability,
Environment, Water, Population and Communities
Actions on, or impacting upon,
Commonwealth Land and actions by Commonwealth Agencies

significant impact guidelines
1.2

EPBC Act 1999 January 2010 (www.environm
ent.gov.au).



take further action as required (this will be determined by the answers you provide

see
Figures 2 and 4 for guidance)



discuss concerns or issues with the Environment Team or Environment Focal Points



record your answers to the environment scree
ning questions in AidWorks


Box 5: Environment screening questions

Strategic planning screening questions

Q1.

Q1.Is the initiative likely to take place in a vulnerable location or risky sector?

Q2.

Q2.Is the initiative likely to have a significant negative impact
on the environment?

Q3.

Q3.Is a SEA of the initiative (including policy, program, portfolio, country or regional strategy)
planned?

Investment concept environment screening questions

recorded in AidWorks at the activity level

Q1.

Q1. Will the activity take place i
n a vulnerable place or risky sector?

Q2.

Q2. Could climate change or natural disasters impact on the activity?

Q3.

Q3. Could the activity impact on ecosystems that sustain livelihoods?

Q4.

Q4. Could opportunities to build resilience into people’s livelihoods be incor
porated?

Q5.

Q5. Could be the activity have a significant impact on the environment, including increasing
greenhouse gas emissions?


Tip

For programs over $3 million you must also include your answers to the environment screening
questions in the QAE

report.


Important

Completing the investment concept environment screening questions and lodging them in AidWorks is
AusAID’s
minimum requirement

for ensuring EPBC Act compliance. It provides a formal record that
screening has occurred.


Tip

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Consider the size of yo
ur strategic program or activity against the size of the potential environment
impacts. For example, there is little point in spending $500,000 on an assessment if the project’s
budget is $3

milli
on. If you are unclear of next
steps, seek advice from AusAI
D’s Environment Adviser.




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Figure 4: EMS Step 2

overview of environment assessment and planning for the Strategic Planning and
Program Cycle and individual aid activity design




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Figure 5: EMS Step 2

flow of environment screening, assessment and planning

in the aid activity design
process (investment

design)




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Quality assurance: what type of expertise is required and

when?

Delivery strategies, as a basis for strategic management of aid, are subjected to mandatory
independent appraisal. Investments desig
ned and delivered as part of the strategy are then open to
independent technical appraisals.

Independent appraisal and/or peer review of investment concepts and designs is important to our
EMS. It is a ‘formal check point’ to assure us that environment iss
ues have been taken into account.

The investment design:



is our last chance to ensure that environment screening and assessment has been adequate to
meet our legal and policy obligations, and to ensure quality of design before the design is
approved and s
igned off by AusAID



is an important opportunity to evaluate the design’s significant negative impacts on the
environment and whether AusAID needs to refer any matter to the Minister for the
Environment for advice in accordance with the EPBC Act (guidance o
n how to determine
‘significant impact’ by the Department for Sustainability, Environment, Water, Population and
Communities,
Actions on, or impacting upon, Commonwealth Land and actions by
Commonwealth Agencies

significant impact guidelines 1.2

EPBC Act 1
999 January 2010
(
go to environment website
)

http://www.environment.gov.au/
)


Box 6: Should an environment expert be part of the appraisal/peer review team?

If you answered yes to any screening question

which
means you have identified a potential
environment impact

then you must have an environment expert as part of your review team. This
could be an expert from within AusAID and/or an external expert.

For delivery strategies it is recommended that the quality
and performance systems section in AusAID
that manages the appraisal process (the Program Effectiveness and Performance Division at the time
of publication) calls on an environment expert as appropriate.


Tip

Environment assessments should be undertaken as

early as possible in the strategic program
development. They are an integral component of any analysis on poverty or growth for a particular
country or region, for example it is common practice to undertake a poverty analysis when developing
a country str
ategy.


Important

The person signing off on an investment concept and design, normally the First Assistant Director
General, can be held accountable under the EPBC Act for reporting incorrect environment information.



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Safeguards

One major role of the investment concept process is to complete an Investment Concept Risk and
Value Assessment. This includes a question on safeguards. A supplementary Safeguard Screening Note
outlines all of AusAID’s safeguard areas and screening questio
ns for each of these. The environment
screening questions from Box 5, can be found in this Safeguard Screening Note. By completing these
safeguard screening questions they ensure designs include the necessary analysis to meet AusAID’s
policy and other stan
dards.

By following the steps outlined in this section, the investment concept and design documentation will
contain the necessary information to enable AusAID to meet its legal obligations under the EPBC Act.


Referring environmentally significant impacts

AusAID is legally responsible for deciding which activities to refer to the Minister for the

Environment.

AusAID’s EPBC Act referrals information form must be completed when an environment issue is to be
referred to the Minister for the Environment or wh
en AusAID, through the Environment Team,
initiates consultation with the Department of Sustainability, Environment, Water, Population and
Communities. The Department may request further information to assess the proposed activity and
this information shoul
d usually be available in the design documentation.

Only when there is a potential for a
significant negative impact

on the environment does a formal
referral to the Minister for the Environment need to be made. If this is required there are mandatory
sta
tutory processes to follow which the Environment Team and Environment Focal Points will guide
you through.


Important

Development agencies use the term ‘safeguards’ to refer to operational policies put in place to prevent
or mitigate adverse impacts of the
ir projects or programs on people and the environment.


Tip

Do you need to refer an environment matter to the Minister for the Environment?

Contact the Environment Team and Environment Focal Points to discuss the issue. They will help you
to complete the A
usAID EPBC Act Referral Form and will handle the rest of the process for you.



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Levels and types of environment assessment and planning

The main purpose of our environment assessment and planning process is to inform decision makers
that environment issues

exist so they can decide how they should be managed. This is essential to
ensure sustainable activities and is in line with international best practice.

If the investment concept environment screening identifies the need for further environmental
analysis

(see Figure 5), you are not required to personally undertake or prepare this analysis. Rather,
you are responsible for ensuring our development partners undertake these where appropriate so
AusAID meets its legal obligations under the EPBC Act. To do this

you need at least a broad
understanding of what is involved with the levels and types of environment assessments (see Table 3).


Tip

A
usAID’s EPBC Act information referrals form (Appendix 4) can be completed most easily when the
concept or design is takin
g place in country. The completed form should be appended to the

design.




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Table 3: Levels and types of environment assessments

TYPE

CHARACTERISTICS

PURPOSE/BENEFITS

REQUIREMENTS

Environment
analysis

(both in the
situation analysis
of a
country/regional
strategies and
delivery strategies
as well as in the
design of an aid
activity)



high
-
level; broad



not as in
-
depth or
detailed as other levels
of analysis



vary in size and scope,
but are usually quick to
complete (can, for
example, be a brief desk
study or
involve an
external expert
conducting targeted
field studies)



used for both strategic
planning processes and the
design of aid activities



conducted to confirm the
findings of the environment
screening and determine if a
more comprehensive
assessment is nee
ded



most often appropriate if
there is potential for a
negative or positive
environment impact which is
of a size and type that can be
readily identified and is
unlikely to be significant



must attach to
country/regional or
delivery strategy
and/or aid acti
vity
design document

Strategic
Environment
Assessment (SEA)

(country/regional
strategies and
delivery strategies)

1.

detailed and in
-
depth

2.

only used for strategies
and programs either:


after environment
a.
screening requires it


if it is immediately
b.
known that
a
significant negative
environment impact
may occur


if the you want to
c.
ensure best practice



used for country/regional,
strategies and delivery
strategies



considers the range and
cumulative impacts of
proposed development
initiatives



assesses broad
environment
issues to improve the quality
and efficiency of subsequent
activities



helps to identify
environment


poverty links
at country/regional level and
delivery strategy



must attach to
country/regional
strategy or delivery
strategy



strategy document
s
should clearly show
how the results of
the SEA have been
taken into account
and any impact on
the Theory of
Change/Program
Logic (for
monitoring and
evaluation
purposes)

Environment
Impact Assessment
(EIA)

(design of aid
activities)

1.

detailed and
in
-
depth

2.

only used for activities,
either:


after environment
a.
screening requires it


if it is immediately
b.
known that an
activity may have a
significant negative
environment impact


if the activity is new
c.
and the Activity
Manager wants to
ensure best practice

3.

must involve all relevant
stakeholders including:


partner government

a.

affected community

b.

national
c.
1.

used for activities, but only if
required

2.

identifies and evaluates
foreseeable environment
impacts

3.

unde
rtaken in
-
country by
the feasibility team or the
design team (at the site
where the activity will take
place)

team must include
at least one member with
environment expertise
(discuss what constitutes
appropriate expertise with
the Environment Team or
Envi
ronment Focal Points)

4.

Terms of Reference for a
contracted design must
specify the requirement to
conduct an EIA, including a
thorough investigation of the
1.

results should be
incorporated
into
the activity design,
in the problem
analysis section or
as a separate annex

2.

potential negative
environment
impacts, and non
-
achievement of
intended positive
environment
impacts, should be
addressed in the
design document’s
risk matrix

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environment agency
in
-
country


local environment
d.
agency

environment issues identified
during the initial environment
analysis

Environment
Management Plan
(EMP)

(design of aid
activities)

1.

detailed and in
-
depth

2.

used to outline how
environment impacts
identified in the EIA will
be managed

3.

must involve all relevant
stakeholders including:


partner government

a.

affected community

b.

national
c.
environment agency
in
-
country


local environment
d.
agency

4.

can be a separate
document or as an
annex to the activity
design

5.

is most effective when
integrated with the
activity’s overall key
management systems,
risk management
framework, and
monitoring and
eval
uation plan

1.

key vehicle for ensuring that
environment impacts are
managed during
implementation

2.

specifies how the
environment impacts
identified during the EIA will
be managed (including
actions for maximising
positive impacts and
avoiding, minimising or
m
itigating negative impacts)

3.

identifies who is responsible
for implementation

4.

describes how
implementation and
effectiveness will be
monitored, evaluated and
reported on

this enables
early detection of, and
response to, unexpected
impacts or emergencies

5.

in
cludes appropriate
indicators of effective
environment management

1.

outcomes of
implementation
must feed into
AusAID’s continuous
improvement
process (
see
EMS
step 5
)


2.

indicators of
effective
environment
management must
be included in an
activity’s M&E plan
and be reported on
under the
Sustainability
Criteria in AusAID’s
QAI report

3.

requirements must
also be included in a
contract’s scope of
services (SoS) or
Memorandum o
f
Understanding
(MoU)




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How the EMS applies to different types of aid

AusAID uses different approaches and types of aid to achieve the overall objectives of the aid program.
Types of aid means the way donor’s funds are channelled

to development activities. Different types of
aid can be used under a single approach. For example, under a sector
-
wide approach, a project could
both channel funds to a development partner and provide budget support directly to a partner
government.

Our
obligations under the EPBC Act apply to all the ways in which Australian aid is delivered. This
includes:

1.

the different types of aid we select (for example, budget support or pooled funds)

2.

ensuring our EMS obligations are taken into account in the approach

we choose to frame
that support (for example, a country/regional strategy or delivery strategy)

2.

the external approach we decide to contribute to (for example, a trust fund, a program
-
based
approach or a sector
-
wide approach).

Our development partners are
equally responsible for ensuring that the obligations under the EPBC
Act are adhered to in all that they

do when delivering Australian aid.


The important relationship between projects, programs, delivery strategies
and the EMS

Increasingly AusAID uses del
ivery strategies and programs, instead of stand
-
alone projects, as an
approach to deliver aid (Box 7 explains the differences). It is therefore important to understand how
the EPBC Act and our EMS apply to this evolving approach, especially because of the
unique
characteristics of delivery strategies and programs.

Unlike projects, delivery strategies or programs cannot always identify all components or individual
projects (activities/investments) at the design stage. At this stage the focus is to set out

in

agreement
with development partners

a set of higher
-
level aid outcomes and an approach to achieving these
outcomes. Often, decisions on the individual projects that will ultimately form the delivery strategy or
program are not made until early in implemen
tation.

This does not mean that delivery strategies or programs are excluded from being part of our EMS. The
principles and processes of the EMS still apply and, as with projects, it is just as important to assess
environment impacts as early as possible.
In other words, environment considerations are integral to
the design process and should not be an ‘add on’ or ‘afterthoughts’.

With delivery strategies and programs, the EMS kicks in with the design of each activity, with the first
step being environment

screening. This then informs you of next steps and if an EIA and EMP are
required. In general, if you answer ‘yes’ to any environment screening question you are required to
take further action to ensure environment considerations do not ‘fall through the
cracks’. With
delivery strategies and programs, AusAID is committed to ensuring that:



a program
-
specific EMS is included in the actual design document (where necessary), or



outlining the process for developing an EMS during initial implementation is outlin
ed in the
design document (where necessary).


Important

AusAID’s development partners are equally responsible for ensuring that the obligations under the
EPBC Act are adhered to in all that they do when delivering Australian aid.


Box 7: Definitions: The d
ifference between projects, programs and delivery strategies

Project (also known as an aid activity/investment in AusAID)

has a defined set of inputs, activities
and outputs, to reach specific objectives and outcomes, including at policy level, within a de
fined time
frame, with a defined budget and within a defined geographical area.

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Program

generally defined as an integrated collection of projects (activities), often at scale. A
program has higher
-
level impacts including at policy level. Therefore program
design focuses on
AusAID agreeing with development partners on higher
-
level outcomes. The individual projects
(activities) are then determined in the early stages of implementation in line with the desired
outcomes.

Delivery strategies

a strategic planning

and management tool, which in AusAID sits between a
Statement of Commitment and individual activity
-
level design. For each priority development outcome
area identified in a country situation analysis and agreed to in a Partnership for Development or
State
ment of Commitment, a delivery strategy will be developed. This strategy should clearly describe
how AusAID will support and promote change towards the achievement of its priority development
outcome. In short it articulates how we will deliver our commitm
ents.


A program
-
specific EMS

what is it and when do you do

one?

A program
-
specific EMS is usually developed by the lead development partner who is also responsible
for ensuring environment expertise is sourced as required, that the EMS is peer reviewed an
d that the
EMS is well implemented and monitored.

The requirement for this is specified in the contract that forms the SoS or MoU. As discussed earlier, it
can either be in the program’s design phase or during initial implementation. The latter approach
of
fers greater scope for development partner involvement, thereby enabling the program
-
specific EMS
to be tailored to the program and adapted to the local context.

AusAID must review and sign off on the EMS since we are legally liable for the results. We do
this in
the same way as we handle other peer reviews of environment assessments (see Peer reviews: what
type of expertise is required and when?).

A program
-
specific EMS must describe:




the procedures required for each element of the system and who is
responsible for

each



the process involved for environment assessment and planning for all activities that form the
program, and who is responsible for each



how environment responsibilities will be transferred to development partners as the program
moves to
wards completion



the procedures for undertaking environment monitoring at program level as well as monitoring
EMPs at activity level


Tip

A program specific EMS should contain similar elements to AusAID’s EMS, which is modelled on the
ISO 14001 standard. A
usAID’s Environment Team or Environment Focal Points can provide advice and
assistance if required.


An example of a program
-
specific EMS is the Environmental Compliance and Environmental
Management Process (ECOMAP) that supports the Indonesia Infrastructu
re Initiative (IndII). ECOMAP
is designed to ensure appropriate integration of environment awareness into all aspects of IndII
activities, so that the relevant regulations, policies and strategies of the Government of Australia and
the Government of Indone
sia can be met throughout program implementation.



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How the EMS applies when working with multilateral and bilateral
development partners

AusAID must be confident that the multilateral and bilateral development partners we work with in
delivering aid have

in place their own EMS (referred to by many development partners as
‘environmental safeguards’). We rely on our partners to adequately assess and manage the
environment through these mechanisms and we also need to be assured that they are diligently
adher
ing to the safeguards through implementation and documentation. This due diligence is part of
our legal obligations under the EPBC Act.

Our due diligence does not mean AusAID has to duplicate or create our own set of environment
safeguards for the activiti
es our development partners are involved in. Our role is to review what
safeguards they have in place to ensure no significant negative environment impact is likely to occur.
This is because AusAID is still responsible for referring matters to the Minister

for the Environment,
even if a program or project is being implemented by an external development partner.

In partner
-
led designs, AusAID staff must ensure that the Design Summary and Implementation
Document summarises the findings of our partner’s envir
onment screening process and any
subsequent environment analysis. This is important for our due diligence obligations under the EPBC
Act.

When submitting a partner
-
led design document to a peer review you must ensure the appropriate
environment assessments

are attached. You must also ensure the environment assessments are
uploaded on AidWorks, in the same place where you load the design documentation, so it is readily
available for referencing and for internal auditing purposes.

AusAID monitors the relevanc
e, effectiveness and efficiency of multilateral and bilateral organisations
through its multilateral assessment framework and bilateral assessment framework processes. This
helps us harmonise inter
-
agency environment management practices and identify oppor
tunities for
strengthening their environment performance. These assessments are used as the basis for promoting
reform through the organisations’ governing bodies.

AusAID’s Environment Team and Environment Focal Points also support reform in other ways,
in
cluding by, for example, providing input when an international development partner is reviewing or
revising its EMS.


Tip

If you are not sure what environment assessments need to be included with the design documentation
contact the Environment Team or
Environment Focal

Points.



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Emergency and humanitarian aid activities

The objectives of humanitarian action are to save lives, alleviate suffering and maintain human dignity
during and in the aftermath of man
-
made crises and natural disasters. When providi
ng emergency and
humanitarian assistance the Australian Government’s foremost concern is to provide a timely and
appropriate response. Australia will often provide funding to United Nations’ humanitarian agencies
or NGOs which typically have long
-
term expe
rience and links with partner organisations and
communities in the region

affected.

Integrating environment considerations into our emergency and humanitarian aid work is always
important but we have to be practical. Box 8 provides important information
on how our response
evolves at different stages of a crisis. When an emergency or humanitarian aid activity receives funds
from AusAID but is managed by an external development partner we rely on that partner to
adequately assess and manage the environment

through their EMS or environment safeguards. We are
still responsible for our own due diligence, however (see ‘How the EMS applies when working with
multilateral and bilateral development partners’

above).

Our emergency (or humanitarian) response is infor
med by best international practice, such as the
Sphere Handbook: Humanitarian Charter and Minimum Standards in Humanitarian Response. The
2011 version of this handbook incorporates a stronger focus on the protection and safety of affected
populations. It c
onsiders in greater depth environment integration issues such as climate change and
disaster risk reduction as well as early recovery of services and livelihoods.


Box 8: Special notes on the environment and emergency and humanitarian aid

When AusAID is re
sponding to a crisis we have utmost focus on delivering relief and services in the
most expedient manner. We follow an established administrative protocol at assessment, preparation
and implementation stages and we establish funding, deployment and supplyi
ng of goods and services
as swiftly as possible. At this early response stage, the priority is for stabilisation, protection and
support and there is no requirement for undertaking detailed analysis of environment considerations.
However in taking a ‘do no

harm’ approach, AusAID strives to ensure that emergency assistance
provided does not have negative environment consequences for longer
-
term recovery.

As the emergency situation stabilises and AusAID moves into recovery, rehabilitation and
reconstruction,
our EMS kicks in. At this stage, we are required to ensure we follow all appropriate
environment integration measures and adhere to our legal obligations under the EPBC Act.

We expect our humanitarian partners to have environment safeguards in place and to

be diligent in
implementing and reporting on these when working on AusAID
-
funded aid activities. As with regular
aid work, we are not expected to duplicate our development partner environment safeguards, but we
are expected to review and approve them as p
art of our due diligence.




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EMS step three: Implement

The third step in AusAID’s EMS involves implementing an activity’s (investment’s) environment
assessment and management requirements determined during the design or early in implementation
for country/
regional strategies, delivery strategies and aid activities.

Purpose
:

This section briefly outlines how implementation and environment considerations go hand
-
in
-
hand.

If no environment impacts were identified during the SEA (strategic program development s
tage) or
EIA (design of aid activity/investment development stage) then monitoring for unexpected
environment impacts becomes part of your regular implementation, management, monitoring and
evaluation plan.

If potential environment impacts were identified
during the SEA or EIA then:



an EMP or program
-
specific EMS will have been developed and this must be included in the
design document or



a commitment to develop and implement an EMP or program
-
specific EMS during the early
stages of implementation will have

been included in the design document and the contract’s
SoS or MoU.

To ensure we fulfill our policy and legal obligations during implementation, AusAID’s activity
(investment) managers, along with our development partners, are responsible for fulfilling t
he
requirements of AusAID’s EMS. That is, an activity’s EMP or the program
-
specific EMS must be fully
developed and implemented during the early stages of activity implementation.

Here is a quick summary of who is responsible for what during implementation
:


AusAID

AusAID’s activity (investment) manager, whether in
-
country or in Canberra, is
responsible for managing the contract or partnership.

This includes ensuring that all development partners involved comply with the
environment provisions in the
design.

Development
partner

The development partner managing the activity is responsible for ensuring that the
environment provisions specified in the design, S0S or MoU are implemented.

This means they are responsible for effectively implementing the act
ivity’s
(investment’s) EMP or program
-
specific EMS or, in some cases, developing and
implementing the EMP or EMS.


If new environment impacts arise during implementation, which were not identified during the design
phase, the implementing partner must und
ertake appropriate assessment and planning so the new
environment impact can be appropriately managed.


Important

Complying with all relevant environment laws and regulations of the partner country must always be
included as part of the environment provis
ions in the SoS or MoU.




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EMS step four: Monitor and evaluate

The fourth step in an EMS involves assessing our environment performance through monitoring and
evaluating, which is essential to ensuring we comply with our legal

obligations.

Purpose
:

This section outlines how monitoring and evaluating is an important component of our EMS,
the need to plan for it early and how to proceed.

Because of its importance, the process for how environment impacts will be monitored and evaluated
needs to be dete
rmined early in the design and then incorporated into the EMP or program
-
specific
EMS. A set of performance indicators must be developed against which environment performance will
be assessed.

Environment performance is subsequently assessed by monitoring
and evaluating against the original
intent. This includes how environment provisions in a contract’s SoS or MoU

either the EMP or
program
-
specific EMS

are being implemented.

AusAID uses its Quality at Implementation (QAI) reports to monitor existing envir
onment issues as
well as new ones that arise during implementation of AusAID activities. If new environment issues
arise during implementation of the activity then these need to be assessed and managed as per Steps
2
-
4 of this guide. When reviewing environ
ment considerations in the activity incorporate your
findings under the sustainability criterion.


Important

By monitoring environment performance, we can assess how environment issues and impacts are
managed to:

1.

determine if the EMP or EMS was adequate an
d implemented

2.

assess the outcomes of environment issues addressed by the development partner as a result
of monitoring during implementation..




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Roles and responsibilities

Here is a quick summary of who is responsible for what during monitoring and evalua
tion.


AusAID Senior
Program
Manager
and/or
Counsellor

Must ensure Annual Program Performance Reports completed for country strategies
including on environment performance where appropriate.

Must ensure an annual quality assessment for a delivery strategy
is completed and
feed the results into the Annual Program Performance Reports.

AusAID activity
manager

Most complete QAI reports based on information from the development partner and
against the investment design quality standards. The monitoring and
evaluation
section and the sustainability section of the QAI are particularly important, but the
environment can also be included in other sections as appropriate.

In the QAI sustainability section you must note any new or emerging environment
issues not i
dentified at the start as well as report on the

environment performance
indicators identified during program

design.

Development
partner

Must assure AusAID that the EMP or program
-
specific EMS is effectively implemented
and provide reports/information tha
t AusAID can use in its QAI. To do this the
development partner must identify, examine and address environment issues and
impacts, including unexpected ones that arise during implementation.

AusAID audit
section

Formally checks that aid activities are bei
ng implemented as per AusAID requirements
and have the necessary systems and plans in place for monitoring and evaluating
identified environment issues.


To maintain continual improvement, suitability and effectiveness of AusAID’s EMS, AusAID’s Executive
reviews the EMS periodically (see EMS step 5).


Tip

If you do not have the capacity or resources to determine if the development partner is complying with
the environment provisions in the design then seek advice from AusAID’s

Environment Team or
Environment Focal Points.
Remember:

it is your responsibility to ensure appropriate environment
performance monitoring is taking place.




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EMS step five: Ensure
continual
improvement

through
Executive

Committee
reviews

The fifth step in AusAID’s EMS involves the responsibility of the Executive Committee, the peak
governance body in AusAID, to ensure our EMS is suitable, adequate and effective.

Purpose
:

This section summarises the Executive Committee review process.

AusAI
D’s Environment Team is responsible for providing advice to the Executive Committee on the
Agency’s EMS and other environment issues. This involves providing the Executive Committee with
information and recommendations for it to consider in continually imp
roving AusAID’s EMS. The
Executive Committee members are required to sign off on any changes to be made to AusAID’s EMS.

To provide advice and recommendations to the Executive Committee, our Environment Team and
audit staff first collate information from m
any sources including:



the results of monitoring and evaluating our environment performance (EMS step 4)



audit reports



activity (investment) reports (including from activity monitoring groups and technical
advisory groups)



reviews, such as mid
-
term



changes

in legislation or policy



changes in strategic priorities



issues relating to continuous improvement



non
-
government organisation monitoring reports



activity completion reports



independent completion reports



ex
-
post evaluations or reviews



annual program perf
ormance reviews



annual reporting requirements under the EPBC Act.

The Executive Committee considers the advice and information provided and either signs off on
proposed changes or requests further action.

In preparing the Executive Committee for review Aus
AID’s Environment Team may periodically
request information from the Agency and ask the Agency to incorporate lessons learned into our EMS
for continual improvement.

An Executive Committee review of AusAID’s EMS must happen at least every five years.



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Selected bibliography

AusAID publications

An Effective Aid Program for Australia. Making a real difference

Delivering real results

www.ausaid.gov.au/makediff/aid
-
policy.cfm

AusAID 2011,
Displacement and resettlement of people in development activities


www
.ausaid.gov.au/Publications/Pages/297_7899_1894_4451_6947.aspx

AusAID 2010,
Integration in Practice

Integrating disaster risk reduction, climate change and
environment considerations in AusAID programs

www.ausaid.gov.au/publications/pdf/Integrationinpracti
ce.pdf.

AusAID 2009,
Investing in a safer future

a disaster risk reduction policy for the Australian aid program

www.ausaid.gov.au/publications/pdf/disasterriskreduction.pdf.

AusAID 2010, AidWorks User Manual V17


Other documents

ADB 2011, Operations Manua
l www.adb.org/documents/manuals/operations/default.asp?p=aadb.

ADB 2010, Operations Manual

Safeguard Policy Statement
www.adb.org/documents/manuals/operations/OMF01
-
4Mar2010.pdf.

Commonwealth of Australia 2009,
Engaging our Pacific Neighbours on Climate Ch
ange: Australia’s
Approach

www.climatechange.gov.au/government/~/media/publications/international/engaging
-
pacific
-
neighbours.ashx.

Dalal
-
Clayton, B & Bass, S 2009,
The Challenges of environmental mainstreaming: experiences of
integrating environment into
development cooperation
. Environmental Governance No. 3. International
Institute of Environment and Development. London. www.pubs.iied.org/pdfs/17504IIED.pdf.

DANIDA 2009,
Environment Guide

Environmental Assessment for Sustainable Development

www.danidadev
forum.um.dk.

Department of Sustainability, Environment, Water, Population and Communities,
Environment
Protection and Biodiversity Conservation Act 1999

Act no. 91 of 1999, compilation prepared 1 Jan
2011, taking into account amendments of 2010 www.comlaw.
gov.au/Details/C2011C00014.

Department of Sustainability, Environment, Water, Population and Communities,
Environment
Protection and Biodiversity Conservation Act 1999
Referral Form www.environment.gov.au/.

Department of Sustainability, Environment, Water
, Population and Communities,
EPBC Act Draft
Administrative Guidelines on Significance
, September 2005 www.environment.gov.au/.

Department of Sustainability, Environment, Water, Population and Communities,
Actions on, or
impacting upon, Commonwealth Land a
nd actions by Commonwealth agencies

significant impact
guidelines

1.2, EPBC Act 1999 January 2010 www.environment.gov.au.

Environment Protection and Biodiversity Conservation Act 1999
, no. 91, Commonwealth Government
Printer, Australia, 1999. www.environme
nt.gov.au/.

European Union,
Tools and Methods Series Guidelines No 4

Guidelines on the integration of
environment and climate change in development cooperation

November 2009
www.capacity4clev.ec.europa.eu/t
-
and
-
m
-
series/blog/guidelines
-
nr
-
4guidelines
-
integ
ration
-
environment
-
and
-
climate
-
change
-
development
-
cooperation

Global Monitoring Report 2008,
MDGs and the Environment: Agenda for Inclusive and Sustainable
Development
, World Bank and International Bank for Reconstruction and Development Washington,
DC www
.imf.org/external/pubs/ft/gmr/2008/eng/gmr.pdf.

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Environment Management System


OECD DAC 2006, Guidelines and Reference Series Applying Strategic Environment Assessment: Good
practice guidance for development cooperation www.seataskteam.net/guidance.php.

OECD DAC 2009, Policy Guidance
on integrating climate change into development cooperation. Paris.
www.oecd.org/dataoecd/0/9/43652123.pdf.

Standards Australia/Standards New Zealand 2004,
Australian/New Zealand Standard AS/NZS ISO
14001:2004 Environmental Management Systems

Specification

with Guidance for Use
, Published
jointly by Standards Australia, Homebush, and Standards New Zealand, Wellington, 2004.

Swedish International Development Cooperation Agency (Sida) 2004, Policy and Action Plan for
Environmentally Sustainable Development

Si
da’s Environmental Management System
www.sida.se/shared/jsp/download.jsp?f=download.jsp_f%3DSIDA3512en_EvironManageSystem%2B
web.pdf&a=16412.

The Sphere Project 2011,
Humanitarian Charter and Minimum Standards in Humanitarian Response
,
The Sphere Project, G
eneva www.sphereproject.org/.

UK Department for International Development 2000, Environmental Sustainability and
Eliminating
Poverty: Strategies for Achieving the International Development Targets
, DFID,

London.

UK Department for International Development 2000, EC (Directorate General for Development
European Commission), UNDP (United Nations Development Programme) and World Bank 2002,
Linking Poverty Reduction and Environmental Management Policy Challenges and Op
portunities
, World
Bank, Washington, DC.

World Bank 1991 and 1999,
Environmental Assessment Sourcebook
, vols I, II and III, World Bank,
Washington, DC, 1991, 1999 www.go.worldbank.org/LLF3CMS1I0.

World Bank 2010,
Environment safeguard policies and environm
ent assessment


www.go.worldbank.org/9LF3YQWTP0.

World Bank 2012,
World Development Report
, Development and Climate Change World Bank,
Washington, DC. www.siteresources.worldbank.org/INTWDR2010/Resources/5287678
-
1226014527953/Overview.pdf.



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Appendix 1:
Glossary


Word/term

Definition

Adaptation

Refers to initiatives and measures to reduce the vulnerability of natural and
human systems against actual or expected climate change effects
(Intergovernmental Panel on Climate Change (IPCC) 2007).

Adaptive
capacity

The ability of a system to adjust to climate change (including climate variability
and extremes) to moderate potential damages, to take advantage of
opportunities or to cope with the consequences (IPCC 2007)

Climate change

Refers to a change in the state of the climate that can be identified (for
example, by using statistical tests) by changes in the mean and/or the
variability of its properties, and that persists for an extended period, typically
decades or longer. Climate
change may be due to natural internal processes or
external forcings, or to persistent anthropogenic changes in the composition of
the atmosphere or in land use (IPCC 2007).

Disaster risk reduction

The concept and practice of reducing disaster risks throu
gh systematic efforts
to analyse and manage the causal factors of disasters by, for example, reducing
exposure to hazards, lessening the vulnerability of people and property, wisely
managing land and the environment, and improving people’s preparedness for

adverse events United Nations (UN) International Strategy for Disaster
Reduction 2009).

Due diligence

Refers to the steps taken by a person or organisation in order to satisfy a legal
requirement. AusAID has developed an Environment Management System to
ensure due diligence under the Environment Protection and Biodiversity
Conservation Act 1999 (EPBC Act).

Environment

The EPBC Act defines the environment as:

a) ecosystems and their constituent parts, including people and communities

b) natural and physic
al resources

c) qualities and characteristics of locations, places and areas

d) heritage values of places

e) social, economic and cultural aspects of a thing mentioned in a, b, c or d.

Environment analysis

A generic term covering various types of assessme
nt processes such as
environment analysis, Environment Impact Assessment, Strategic Environment
Assessment and environmental audits.

Environment impact

Indicates the potential or real effect on the physical, natural or cultural
environment brought about
by an action. Impacts can be direct or indirect.

Environment integration

Environment integration is the incorporation of environment considerations,
including climate change and disaster risk reduction into policies, programs and
related activities. It re
quires the incorporation of environment decision making
into core institutional thinking.

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Environment Focal Points

Dedicated AusAID focal points from across the Agency tasked with guiding staff
on environment management and environment, climate change and

disaster
risk reduction integration. Each has received technical training to support
his/her role.

Environment performance

A process for measuring or describing how environment integration is
implemented in the development agenda. Uses a benchmark or ind
icator that is
tracked and reported on over time.

Environment screening

An initial systematic approach to documenting the environment effects of a
proposed project to recommend if further assessment is required.

Environment Team

At the time of publicatio
n means the Integration and Environment Section in
AusAID’s Climate Change and Environment Branch.

Minister for the
Environment

The Australian Government Minister for the Environment. At the time of
publication the Minister’s full title is the Australian
Government Minister for
Sustainability, Environment, Water, Population and Communities.

Mitigation

Technological change and substitution that reduce resource inputs and
emissions per unit of

output.

“… mitigation means implementing policies to reduce gre
enhouse gas
emissions and enhance sinks”(IPCC 2007).

Program

In the context of the Australian Agency for International Development’s
(AusAID) development work, a program refers to an ongoing series of
development interventions designed to achieve a certai
n result. As used in
lending or technical cooperation operations, ‘program’ refers to a group of
projects partially financed by AusAID alone or with other donors.

Project

In the context of AusAID’s development work a project refers to a group of
defined i
nvestment activities, with specific start and end points, intended to
accomplish a specific objective. Also a capital investment that can be analysed
and appraised independently.

Risk

The possibility that environment, social, health and safety, governance

or
operation
-
specific factors may affect the environment sustainability of an
operation. Safeguard risk assessment and management is an iterative process
of identifying risk factors and taking action to manage risks at country, portfolio
and operation lev
els.

Safeguards

A collection of policies or mandates that generally address both environment
and social issues with provisions to minimise negative impacts as well as to
enhance the quality of environment and life.

Significant impact

A significant impact is an impact which is important, notable, or of
consequence, having regard to its context or intensity. Whether or not an
action is likely to have a significant impact depends upon the sensitivity, value
and quality of the environment
which is impacted, and upon the intensity,
duration, magnitude and geographic extent of the impacts. All of these factors
should be considered when determining if an action is likely to have a
significant impact on the environment. For further information,

speak to the
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Environment Team or Environment Focal Points.

Sustainable development

Refers to development that meets the needs of the present without
compromising the ability of future generations to meet their own needs. The
term is in line with the wide
ly accepted definition of the UN Brundtland
Commission (UN 1987). The Organisation for Economic

Co
-
operation and Development’s glossary adds that this definition assumes the
conservation of natural assets for future growth and development (OECD
2009a).





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Appendix 2: Multilateral environment
agreements

Experience indicates that this list of multilateral environment agreements (MEAs) have the most direct
relevance to Australia’s aid program. There are, however, many more agreements in place and when
worki
ng with partner countries you need to check which ones they have signed up to. You then have to
ensure you take the appropriate MEAs into account in the design of your country/regional strategies
and delivery strategies and also in the design of aid activi
ties.



Convention on Biological Diversity (Rio de Janeiro, 1992)

Objectives are the conservation of biological diversity, the sustainable use of its
components and the fair and equitable sharing of the benefits arising out of the use of
genetic resources.



United Nations Framework Convention on Climate Change (New York, 1992)

Objective is to stabilise greenhouse gas concentrations in the atmosphere at a level that
would prevent dangerous anthropogenic (human) interference with the climate system.



Internation
al Convention to Combat Desertification (Paris, 1994)

Objective is to combat desertification and mitigate the effects of drought.



Convention on the Control of Transboundary Movements of Hazardous Wastes and Their
Disposal (Basel, 1989)

Objective is to ensu
re the sound management of international movements of hazardous
wastes. It is intended primarily to prevent irresponsible waste
-
brokering operations that
dump waste in developing countries.



Vienna Convention for the Protection of the Ozone Layer (Vienna, 1
985) and the Montreal
Protocol on Substances that Deplete the Ozone Layer (Montreal, 1987)

Aim is to phase out ozone
-
depleting substances (halocarbons that include
chlorofluorocarbons and halons).



Convention on International Trade in Endangered Species of
Wild Fauna and Flora
(Washington, 1973)

Aim is to help protect species that are endangered with extinction and that are, or may be,
affected by trade.



Convention on Wetlands of International Importance Especially as Waterfowl Habitat
(Ramsar, 1971)

Had its

origin in the protection of wetlands important to migratory birds as habitats and in
1990 changed its name to reflect the convention’s interest in all wetland values and in
encouraging the management of wetlands based on ecologically sustainable principle
s.




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Appendix 3:
Non
-
government organisations
and

the EPBC Act

Some guiding questions and answers on how the EMS is relevant to non
-
government organisations (NGOs)

1. Are NGOs required to undertake environmental assessment and planning?

Yes. Preventing en
vironmental degradation and taking advantage of opportunities to enhance the
environment are essential to alleviating poverty and ensuring sustainable development. AusAID
requires potential environment impacts to be considered when designing and implementi
ng all aid
work by any development partner, including NGOs.

2. Do AusAID’s legal obligations apply to NGOs?

Yes. AusAID is bound by the EPBC Act, which applies to all aid activities no matter who is
implementing them. This includes NGOs.

3. How can AusAID
ensure our legal obligations are being met when working through

NGOs?

For AusAID to meet its legal obligations under the EPBC Act we must ensure that all our development
partners properly assess and manage the environment in all of the work they perform for AusAID
-
funded aid activities. This is AusAID’s environment managemen
t objective under our Environment
Management System (EMS). Therefore, the development partner, including NGOs, must ensure that:



environment requirements specified in aid activity proposals are sound and then
diligently implemented, monitored and reported
on to AusAID



all actual or potential environment impacts relating to any aid activity

whether direct or
indirect, positive or negative

are assessed and managed to avoid or mitigate negative
impacts and promote positive impacts



they adhere to the reporting
requirements described in AusAID’s NGO package of
information and advise AusAID of any potential or actual environment impacts and
comply with all relevant environment laws and regulations of the partner country.

4. What is ‘environmental significance’ und
er the EPBC Act?

‘Environmental significance’ has a specific meaning under the EPBC Act. Under the Act AusAID is
required to take action with respect to all ‘potential significant environmental impacts’. This definition
refers to significant negative impac
ts inherent in an aid activity irrespective of any positive impacts it
may have or any proposed environment management or mitigation measures.

Any aid activity determined to have potential significant negative environmental impacts must be
referred by AusA
ID’s Environment Team to the Minister for the Environment.

5. Do NGOs have to determine environment significance?

No. AusAID determines environment significance based on advice received from the NGO in answering
environment screening questions. However, si
nce AusAID must refer activities that could have
significant negative environment impacts to the Minister for the Environment for formal advice, NGOs
should have an understanding of the term ‘significance’ and notify AusAID of any NGO
-
aid activity that
mig
ht be of potential environment significance.

6. Can the Minister for the Environment require AusAID to refer any environment activity
proposals?

Yes. Under the EPBC Act the Minister for the Environment can require AusAID to refer any activity
proposal, i
ncluding NGO proposals, believed to have a potentially significant negative impact on the
environment.



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NGO
s and environmental assessment and management

7. What is the first step in ensuring potential environment impacts are properly assessed and
managed
for NGOs?

The first step in ensuring that potential environment impacts are properly assessed and managed is to
undertake environment screening. Answering environment screening questions (Tool 6) and
specifying further action to be taken, where required, c
onstitutes AusAID’s environment screening for
NGOs.

The primary functions of the environment screening questions are to:



determine if the NGO aid activity is in an environmentally sensitive location or sector



determine if the NGO aid activity has the poten
tial to have an impact on the environment



determine if further environment assessment and management is required



help assess if environment issues have received adequate attention in the NGO proposal or
design and will be addressed during implementation



as
sist in developing a better understanding of environment issues in AusAID and the NGO
and provide information for reporting purposes such as is required for multilateral
environment agreements.

If the answer to any of the environment screening questions is

‘yes’, further action must be taken. This
further action must be specified in the NGO’s proposal

and/or agreement with AusAID and must contain:



details of the results of the environment screening



agreement to undertake an Environment Impact Assessment (EI
A) at the beginning of
NGO aid activity implementation



agreement for the Environment Management Plan (EMP) to be developed and
implemented during NGO aid activity implementation.

If the answers to all environment screening questions are ‘no’, no further ac
tion is required except for
normal monitoring and evaluation during implementation

unless environment issues arise at a later
stage. Normal monitoring procedures should identify such issues as they arise and these should be
reported on to AusAID on a timel
y basis.

8. What is the second step in ensuring potential environment impacts are properly assessed
and managed?

The second step occurs at the beginning of NGO
-
aid activity implementation when the NGO

must:



undertake an EIA if specified following the envir
onment screening



develop and implement an EMP if specified following the environment screening.

When undertaking the assessments and management planning for an NGO
-
aid activity it is important
that the EIA and the EMP be proportionate to the potential size

of the environment impacts. While
environment assessment tasks can appear onerous, in most cases a simple checklist or table will
satisfy AusAID’s

requirements.

9. Is there a difference between how environment assessment and management is handled by
other

development partners as opposed to NGOs (including fully accredited agencies funded
anually)?

No. The process is the same. If an NGO is to receive funding for a program rather than for a project the
NGO must undertake environment screening, not only for t
he program as a whole but for each project
within the program. A program
-
specific EMP can be developed and implemented for this purpose. EMS
step 2 (in part 1 of this guide) has more details.

10. Will the NGO be required to report on its findings?

Yes. In
the first report submitted (be it the final report for a single
-
year, NGO
-
aid activity or the first
interim report for a multi
-
year NGO program or project) the NGO will be required to provide a
description of any EIA findings, how these were incorporated i
nto an EMP and the environment
management outcomes. All subsequent reports (including final reports) must include an update of any
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environment issues arising and how they were managed, and any further environment management
outcomes. AusAID checks all repo
rts for consistency with the commitments made in the original
proposal and subsequent reports. For quality assurance purposes AusAID can request at any stage to
see the answers to environment screening questions, the EIA or the EMP.

11. How should an NGO u
se the ‘Environment Management Guide for Australia’s Aid Program
2011’?

NGOs should use the Environment Management Guide for Australia’s Aid Program 2011 to guide them
when they are completing applications for AusAID funding. In particular, EMS step 2 in p
art 1 of the
guide, will help NGOs answer environment screening questions and gain an understanding of EIAs and
EMPs. The guide should not be seen as a substitute for NGOs seeking advice from their own or sourced
environment experts and obtaining further i
nformation on undertaking EIAs and developing and
implementing EMPs.



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Appendix 4:
Summary of environment risk,
action required and examples of

projects


Potential for project to
have a negative impact
on environment


Environment

(safeguard)
action
required


Examples


High

These projects are likely
to cause significant
negative environment,
and associated social
impacts, that are
sensitive, diverse
and/or unprecedented.

It is not possible to
absolutely define
‘significant impact’ at
the environment

screening stage
because no two
projects are identical.
Therefore determining
if a project may have a
significant impact on
the environment
requires further
analysis and must be
based, to the extent
feasible, on scientific
data and local
information.

For t
he most part an
environment expert,
with specific training in
environment
assessment and
planning, can make this
determination. And the
determination must be
made on a

case
-
by
-
case
basis.


Projects at this level
definitely require an
Environment Impact
Ass
essment (EIA) and
associated Environment
Management Plan
(EMP).

These are undertaken
by environment
experts

national or
international,
depending on the
calibre and
qualifications required
in the development
partner country where
the project will be
impleme
nted

‘on the
ground’ in other words.

Remember that the EIA
is a standard set of
internationally
accepted activities
practiced across
development partner
donors and
development partner
countries.


Examples of projects likely to cause significant negative
im
pact are:



l
arge dams and
reservoirs



l
arge
-
scale forestry
production



industrial plants (large
-
scale)



major new industrial
estates



irrigation, drainage,
and flood control
(large
-
scale)



food processing, agro
industries (large
-
scale)



livestock or animal
farming and/or
production (large scale)



aquaculture and
mariculture (large
scale)



fisheries development,
fisheries export
promotion



large
-
scale water
extraction (aquifers,
groundwater)



land clearance and
levelling mining



oil and gas exploration



oil and gas

transport
(pipelines, terminals)



port and harbo
u
r
development



highway construction
(major roads, arteries,
toll roads)



rail systems (light rail,
subways)



reclaimed and new land
development



river basin
development



large thermal
and
hydropower
development



wind turbine farms
(large scale)



high
-
tension
transmission lines



major urban housing
development



wastewater treatment
plants



waste collection
systems (large scale)



solid waste collection
and management
systems (large scale)



manufacture,
transportation, and use
of pesticides (in large
volumes or significant
use)



manufacture,
transportation and use
of hazardous and/or
toxic materials



serious occupational or
health risks



resettlement



major impacts on
people



impacts on Indigenous

or tribal populations.


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bridge construction
(major)


Medium

These projects are likely
to cause mostly local
and short
-
term
negative environment
and social impacts.
Effective mitigation
measures are readily
available.

Some projects at this
level may have
‘significant’ negative
environment impacts,
but they are ‘less
significant’ than
projects in the high
category.

These impacts are site
-
specific and few (if any)
are irreversible.

In most cases
mitigation measures
can be designed more
readily for projects at
this level than they
can
for projects in the high
category.

In addition, specific
environment design
criteria can be
developed for
individual projects.

Projects at this level
normally require an
environment analysis,
rather than a full blown
EIA. They must also
have an abbrevi
ated
EMP.

The environment
analysis should focus on
the specific issues
identified in the
screening process and
the provisions needed
to avoid, mitigate or
compensate for specific
environment and social
impacts. These must be
included in the
abbreviated EMP
.



Examples of projects likely to cause mostly local and short
-
term negative environment social impacts are:



health posts and
units



education with
school expansion,
school construction
or rehabilitation



agro
-
industries
(small scale)



electrical
transmission (rural)



aquaculture and
mariculture
(moderate to small
scale)



protected area and
biodiversity
effecting resource
access,
infrastructure
development or
community
development



irrigation and
drainage (small
scale)



micro
-
hydropower
(le
ss than 5 mw)



renewable energy
(other than
hydropower)



rural water supply and
rural latrines



wastewater collection
(small scale)



watershed projects
(management or
rehabilitation)



road rehabilitation
(maintenance and
upgrading

small scale)



moderate to
small
-
scale
manufacturing/industry



telecommunications



greenfield projects in
existing industrial
estates



social funds



community
-
driven
development.

Low

These projects are likely
These projects do not
require any action

Examples of projects likely to cause minimal or no neg
ative
environment and associated social impacts are:

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to cause minimal or no
negative environment
and associated social
impacts.
There may be
special circumstances
when these projects
might require specific
environment actions.

beyond environment
screening, except for
ongoing monitoring.



education

if there
is no

construction



family planning



health

if there is
no construction



nutrition projects



improving
governance



capacity building.