Reg. 216, 22 CFR 216.2(c)(1), provides three general criteria that define a more specific list of Categorical Exclusions provided in 216.2(c)(2). The three criteria are:
- The action does not have an effect on the natural or physical environment;
- [USAID] does not have knowledge or control over, and the objective of [USAID] in furnishing assistance does not require, either prior to approval of financing or prior to implementation of specific activities, knowledge or control over, the details of the specific activities that have an effect on the physical and natural environment for which financing is provided by [USAID]; and
- Research activities which may have an effect on the physical and natural environment but will not have a significant effect as a result of limited scope, carefully controlled nature, and effective monitoring.
These three criteria are not normally used in determining and citing Categorical Exclusions. Instead, you should use the specific list below which is taken from §216.2(c)(2). The list above is used only if the activity meets the criteria, but is not specifically listed below. For example, you will notice that none of the items below covers monetization per se, so it would be appropriate to cite 22 CFR 216.2(c)(1)(i) The action does not have an effect* on the natural or physical environment.
*regulation 216 defines "effect" as being adverse. Activities with only beneficial impacts could thus qualify for a categorical exclusion.
Specific activities which are usually "categorically exempt." The classes of action defined as Categorical Exclusions are listed in the table below. If Categorical Exclusions apply to your activities or components thereof, enter these activities in your SUMMARY TABLE with the relevant information including the specific citation from the Regulation:
| Citation | Definition per Regulation 216 |
|---|---|
| §216.2(c)(2)(i) | Education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as construction of facilities, etc.); |
| §216.2(c)(2)(ii) | Controlled experimentation* exclusively for the purpose of research and field evaluation which are confined to small areas and carefully monitored [Note: a working definition of small would be fewer than four hectares (ha) or ten acres.] *note: usually agricultural test plots |
| §216.2(c)(2)(iii) | Analyses, studies, academic or research workshops and meetings |
| §216.2(c)(2)(iv) | Projects in which USAID is a minor donor to a multidonor project and there are no potential significant effects upon the environment of the United States, areas outside any nation's jurisdiction or endangered or threatened species or their critical habitat [Note: USAID is a minor donor when its total contribution to the project is both less than $1,000,000 and less than 25 percent of the estimated project cost, or USAID's total contribution is more than $1,000,000 but less than 25 percent of the estimated project cost and the environmental procedures of the donor in control of the planning of design of the project are followed, but only if the USAID Environmental Coordinator determines that such procedures are adequate.]; |
| §216.2(c)(2)(v) | Document and information transfers |
| §216.2(c)(2)(vi) | Contributions to international, regional or national organizations by the United States which are not for the purpose of carrying out a specifically identifiable project or projects |
| §216.2(c)(2)(vii) | Institution building grants to research and educational institutions in the United States such as those provided for under section 122(d) and Title XII of Chapter 2 of Part I of the FAA [22 USCA §§2151 p. (b) 2220a. (1979)]; |
| §216.2(c)(2)(viii) | Programs involving nutrition, health care or population and family planning services except to the extent designed to include activities directly affecting the environment (such as construction of facilities, water supply systems, waste water treatment, etc.) [Note: if biohazardous waste is handled, blood is tested, or syringes are used (as in an immunization program), mitigative measures to deal with waste disposal must be identified in an IEE.] |
| §216.2(c)(2)(ix) | Assistance provided under a Commodity Import Program when, prior to approval, USAID does not have knowledge of the specific commodities to be financed and when the objective in furnishing such assistance requires neither knowledge, at the time the assistance is authorized, nor control, during implementation, of the commodities or their use in the host country |
| §216.2(c)(2)(x) | Support for intermediate credit institutions when the objective is to assist in the capitalization of the institution or part thereof and when such support does not involve reservation of the right to review and approve individual loans made by the institution [Note: if there could be some biophysical impact from the loans made by the credit institution, for most rural credit programs, procedures for environmental review should be incorporated in the program and this activity should be addressed as part of an IEE.]; |
| §216.2(c)(2)(xi) | Programs of maternal or child feeding conducted under Title II of [Public Law] 480 [Note: when there are no on-the-ground physical interventions.]; |
| §216.2(c)(2)(xii) | Food for development programs conducted by food recipient countries under Title III of [Public Law] 480, when achieving USAID's objectives in such programs does not require knowledge of or control over the details of the specific activities conducted by the foreign country under such program [Note: PVOs do not receive Title III funds, so this categorical exclusion does not apply.]; |
| §216.2(c)(2)(xiii) | Matching, general support and institutional support grants provided to private voluntary organizations (PVOs) to assist in financing programs where USAID's objective in providing such financing does not require knowledge of or control over the details of the specific activities conducted by the PVO [Note: Title II is considered a commodity transfer, not a grant. Activities supported by 202(e) funds are subject to Reg. 216 compliance.]; |
| §216.2(c)(2)(xiv) | Studies, projects or programs intended to develop the capability of recipient countries to engage in development planning, except to the extent [they are] designed to result in activities directly affecting the environment (such as construction of facilities, etc.); and |
| §216.2(c)(2)(xv) | Activities which involve the application of design criteria or standards developed and approved by USAID [Note: to date USAID has no such approved criteria or standards, so this categorical exclusion will not apply.] |
NOTES:
- The most common Categorical Exclusions that will apply to PVO or Cooperating Sponsor small-scale activities are 216.2(c)(2)(i), (ii), (iii), (v), (viii) or (xi).
- The Categorical Exclusions of §216.2(c)(2) are not applicable to assistance for the procurement or use of pesticides. No use of pesticides will be approved unless USAID pesticide procedures have been satisfied. Consult Annex B [22 CFR 216.3(b)].
- Certain activities, for example, monetization or supplying computer equipment, may not fall under the specific list provided in §216.2(c)(2). However, since they normally have no significant adverse effect on the environment, they can be categorically excluded by citing one or more of the three general criteria in 216.2(c)(1). When an activity does not fit under §216.2(c)(2), but is still categorically excluded, this should be explained, together with citation of 216.2(c)(1).
- Categorical Exclusions are not a right; they are granted at the BEO's discretion.