Attachment J.7 LAC-23-200 RCE (CO- Compass activity).pdf

REQUEST FOR CATEGORICAL EXCLUSION

PROJECT/ACTIVITY DATA

Project/Activity Name: Compass: A Monitoring, Evaluation, and Learning

Activity

Geographic Location(s) (Country/Region): USAID/Colombia/LAC Amendment (Yes/No), if Yes indicate # (1, 2...): No Implementation Start/End Dates (FY or M/D/Y): November 2024 - November 2029

If Amended, specify New End Date: N/A Solicitation/Contract/Award Number: TBD Implementing Partner(s): TBD Bureau Tracking ID: LAC-23-200 Tracking ID of Related RCE/IEE (if any): N/A Tracking ID of Other, Related Analyses: N/A

ORGANIZATIONAL/ADMINISTRATIVE DATA

Implementing Operating Unit(s):

(e.g. Mission or Bureau or Office)

USAID/Colombia/PRO

Other Affected Operating Unit(s): N/A Lead BEO Bureau: LAC

Funding Operating Unit(s):

(e.g. Mission or Bureau or Office)

USAID/Colombia/PRO

Funding Account(s) (if available): Various funding sources, like DA, ESF, GHP and EG Original Funding Amount: $45,800,000

If Amended, specify funding amount: N/A

If Amended, specify new funding total: N/A Prepared by: Catalina Correa Date Prepared: July 31, 2023

ENVIRONMENTAL COMPLIANCE REVIEW DATA

Analysis Type: ⌧ Request for Categorical Exclusion ◻ Deferral Environmental Determination(s): ⌧ Categorical Exclusion ◻ Deferred (per

22CFR216.3(a)(7)(iv) Categorical Exclusion Expiration Date (if different from implementation end date):

N/A

Additional Analyses/Reporting Required: N/A Climate Risks Identified (#): Low _7____ Moderate __0____ High __0____ Climate Risks Addressed (#): Low _7____ Moderate __0____ High __0____

LAC/USAID COLOMBIA/COMPASS ACTIVITY 1

USAID 216 RCE TEMPLATE VERSION 1, DECEMBER 2017

THRESHOLD DETERMINATION AND SUMMARY OF FINDINGS

PROJECT/ACTIVITY SUMMARY

The purpose of this activity is to provide USAID/Colombia with technical and advisory services related to the monitoring, evaluation, and learning of USAID/Colombia’s strategy and activities. This includes providing monitoring support services; designing and implementing rigorous baseline, performance and impact evaluations, as well as other studies and assessments, and supporting their use and dissemination; and developing collaborating, learning and adapting initiatives. These efforts will inform the Mission’s strategy, learning, programmatic designs, decision-making, and adaptation, and will enable USAID/Colombia to comply with USAID’s Evaluation Policy and USAID Automated Directives System

(ADS) 201.

ENVIRONMENTAL DETERMINATIONS

Upon approval of this document, the determinations become affirmed, per Agency regulations (22 CFR 216).

Per USAID Environmental Procedures, certain classes of actions may qualify for a Categorical Exclusion, pursuant to 22 CFR Section 216.2(c)(1) and (2), for which an Initial Environmental Examination, or an Environmental Assessment is not required. The activities described qualify for a categorical exclusion per 22 CFR 216 as follows:

1. Section 216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings; and

2. Section 216.2(c)(2)(v) Document and information transfers.

The following table summarizes the environmental determinations applicable to the specific

PROJECTS/ACTIVITIES:

TABLE 1: ENVIRONMENTAL DETERMINATIONS

Projects/Activities Categorical Exclusion Citation (if applicable) Recommendation

Project/Activity 1 Title COMPASS Activity

Monitoring activities §216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings;

Performance and Impact Evaluations

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings;

§216.2(c)(2)(v) Document and information transfers.

Research and Assessments

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings;

§216.2(c)(2)(v) Document and information transfers.

Collaboration, Learning and Adapting (CLA) activities

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings;

§216.2(c)(2)(v) Document and information transfers.

Data management, including GIS and data visualization

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings;

LAC/USAID COLOMBIA/COMPASS ACTIVITY 2

§216.2(c)(2)(v) Document and information transfers.

CLIMATE RISK MANAGEMENT

This activity includes monitoring, evaluation, and other analytical and research efforts; therefore implying a low (no) climate risk. Mission staff conducted a climate risk management assessment. The results appear in Annex 1.

BEO SPECIFIED CONDITIONS OF APPROVAL

No additional conditions of approval are required.

IMPLEMENTATION

In accordance with 22 CFR 216 and Agency policy, the conditions and requirements of this document become mandatory upon approval. This includes the relevant limitations, conditions and requirements in this document as stated in Section 3 of this RCE and any BEO Specified Conditions of Approval.

This Activity will be implemented by a single contractor through a small business competitive process.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 3

USAID APPROVAL OF REQUEST FOR CATEGORICAL EXCLUSION

PROJECT/ACTIVITY NAME: Compass: A Monitoring, Evaluation, and Learning Activity

Bureau Tracking ID: LAC-23-200

Approval: Cleared electronically Robert Rhodes, Acting Deputy Mission Director

9/27/2023 Date

Clearance: Cleared electronically Michelle Dworkin, PRO Office Director

9/26/2023 Date

Clearance: Cleared electronically Maria Elena Santana, Mission Environmental Officer (MEO)

9/13/2023 Date

Clearance: Diana Shannon, cleared electronically Diana Shannon, Regional Environmental Advisor (REA)

9/14/2023 Date

Concurrence: Bethzaida Colon Bethzaida Colon, Bureau Environmental Officer (BEO)

9/27/2023 Date

LAC/USAID COLOMBIA/COMPASS ACTIVITY 4

1.0 PROJECT AND ACTIVITY DESCRIPTION

1.1 PURPOSE AND SCOPE OF RCE

The purpose of this document is to establish that all proposed projects/activities under the new Compass: A Monitoring, Evaluation, and Learning Activity (COMPASS Activity) belong to classes of actions eligible for Categorical Exclusions as set out in Agency regulations (22 CFR 216.2(c)) and that there are no foreseeable significant direct or indirect impacts that would preclude them from receiving a Categorical Exclusion. Upon approval of this document, the Categorical Exclusions are affirmed for the project/activity. This analysis also documents the results of the project/activity level Climate Risk Management process in accordance with USAID policy (specifically, ADS 201 mandatory reference 201mal). This RCE is a critical element of a mandatory environmental review and compliance process meant to achieve environmentally sound activity design and implementation.

1.2 PROJECT OVERVIEW

The purpose of the COMPASS contract is to provide USAID/Colombia with technical and advisory services such as analyses, studies, academic or research workshops and meetings for USAID/Colombia projects and activities. The COMPASS Activity includes the following components: 1) Monitoring Activities, 2) Evaluations, 3) Research and Assessments, 4) Collaboration, Learning and Adapting (CLA) Activities, and 5) Data Management, including Geographic Information System (GIS) and data visualization. Illustrative tasks include: develop and/or implement a data management system, including data collection, storage, processing, analysis, reporting and learning; integrate the monitoring, evaluation, and contextual data, and geospatial data into the overall data management system as well as other reports and analyses requested by the Mission; provide technical assistance to identify and create advanced use of data systems like, but not limited to, Machine Learning and Artificial Intelligence; work with the Mission, implementing partners and external stakeholders to identify, collect, clean, organize and disseminate geographical data that facilitate the collaboration, learning and adaptation of USAID/Colombia.

These efforts will facilitate informed program management decisions, shape the long-term strategic direction of programs and decision-making within the Mission, and enable USAID/Colombia to comply with USAID’s Evaluation Policy and USAID Automated Directives System (ADS) 201 directives. The total estimated USAID Life of Project (LOP) funding for this five-year activity is up to $45.3 million.

1.3 PROJECT DESCRIPTION

Under the COMPASS Activity, the contractor will provide USAID/Colombia with technical and advisory services to ensure continuous MEL support that enables USAID to effectively manage, monitor and evaluate its strategy, projects and activities. This support includes the design and implementation of: 1) performance evaluations1, 2) impact evaluations2, 3) assessments and 4) other analysis and components of evaluations (e.g., baselines). These qualitative and/or quantitative evaluations and assessments may be at the country, Development Objective (DO), program, project, area / component, and/or activity-level.

2 Impact evaluations measure the change in a development outcome that is attributable to a defined intervention;

impact evaluations are based on models of cause and effect and require a credible and rigorously defined counterfactual to control for factors other than the intervention that might account for the observed change.

1 Performance evaluations focus on what a particular project or program has achieved (either at an intermediate point or at the conclusion); how it is being implemented; how it is perceived; whether expected results are occurring; and other questions pertinent to program design, management and decision making. Performance evaluations often incorporate before-after comparisons, but generally lack a rigorously defined counterfactual.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 5

The COMPASS Activity includes the following components: 1) Monitoring Activities, 2) Evaluations, 3) Research and Assessments, 4) Collaboration, Learning and Adapting (CLA) Activities, and 5) Data Management, including Geographic Information System (GIS) and data visualization. Below are the illustrative activities for each:

Component I - Monitoring Support Services Provide context and performance monitoring relevant to USAID strategies, projects, and activities to increase its capacity to make well-informed decisions based on evidence, promote adaptive management, and facilitate compliance with ADS 201.

Illustrative Tasks:

Anticipated tasks include, but are not limited to, the following illustrative tasks:

● Support the development of the Mission’s new CDCS, including the Results Framework.

● Support monitoring of USAID/Colombia indicators aligned with the current and next CDCS, including the Performance Management Plan, Basket of Targets indicators3, the Mission’s Problem Sets4, the Mission’s climate strategy, cross-cutting topics, and activity monitoring plans and approaches.

● Support the Mission in the Data Quality Compliance of its performance monitoring. This task will entail the review and analysis of the quality of data collection procedures and ensuring that the approved definition of indicators is being properly understood and applied.

● Support annual or periodic reporting requirements like the Performance Plan and Report (PPR), reporting during portfolio reviews, and the CDCS mid-course stock-taking.

● Prepare clear visualizations showing the results of data context and performance analysis to USAID and relevant stakeholders, using formats as appropriate (dashboards, paper, web-based, GEO PDF, story maps, ArcGIS, etc.).

● Support USAID/Colombia in the implementation and monitoring of the indicators related to the new climate strategy and other USAID priorities as they arise.

Component II - Evaluations Conduct evaluations of USAID/Colombia programming, according to USAID Evaluation Policy and ADS 201 evaluation principles, standards, and requirements. Both performance and impact evaluations are required, and may be mid-term, final or ex-post evaluations. Baselines for some of the evaluations will also be required.

Illustrative Tasks:

Anticipated tasks for evaluations include, but are not limited to, the following illustrative tasks:

● Provide evaluation teams that meet the experience, language, technical skills and education needed for the evaluations required.

● Design evaluations appropriately to address stated evaluation questions, ensuring both qualitative

4 Problem Sets represent a mid-layer of planning for USAID/Colombia. These documents serve to communicate a finite number of priority development problem sets along with USAID’s approach to responding to them. They strive to be more user-friendly, shorter, and clearer than project appraisal documents.

3 The Basket of Targets is a set of indicators from the Mission’s Performance Management Plan (PMP) that measure the CDCS’ highest-profile themes against their respective targets.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 6

and quantitative evaluation designs and data triangulation.

● Implement evaluations as required at the activity, DO, cross-cutting themes, strategy or other levels. Conduct evaluations in accordance with the ADS 201 and the Evaluation Policy and planned by USAID.

● Provide all necessary logistical support, including travel arrangements (with required USAID clearances), meeting and interview arrangements, computer support, team planning facilitation, and report editing and dissemination.

● Support USAID/Colombia in the evaluation of the new climate strategy and other priorities that may arise during the period of implementation of this contract.

Component III - Research and, Assessments Provide high-quality, timely, and utilization-focused research and assessments. Unlike evaluations that judge performance, assessments are forward-looking and they examine the relevance, feasibility, and potential sustainability of an intervention, strategy or an activity prior to that intervention or activity’s implementation. Similarly, research is undertaken to increase understanding of, and knowledge about, a specific subject area and it is used to inform interventions, strategies, and activities.

Illustrative Tasks Anticipated tasks include, but are not limited to, the following illustrative tasks:

● Design, jointly with USAID, needs assessments for the CDCS to inform its development and adaptation, and needs assessments to inform the design of new activities.

● Develop specific analytical products such as political economic assessments, regional case studies, private sector landscape assessments and thematic assessments.

● Conduct assessments, academic studies, situational analyses, rapid appraisals, surveys, polling, feasibility studies, cost-benefit analyses and cost-efficiency analyses, and others on certain sectors or issues relevant to USAID’s programmatic or strategic areas.

● Analyze and present data and findings based on the evidence found in the primary and secondary data collection.

● Conduct assessments, analyses, studies, and/or research that support the new climate strategy.

Component IV - Collaboration, Learning and Adaptation (CLA) Develop and implement CLA strategies, including CLA activities to synthesize knowledge from diverse resources and promote knowledge-sharing and coordination both within the Mission, and among the Mission, implementing partners, and other actors engaged in similar development activities.

Illustrative Tasks Anticipated tasks include, but are not limited to, the following illustrative tasks:

● Support ongoing CLA activities such as CLA Friday Learning Sessions, Communities of Practice and learning agendas.

● Identify and support strategic collaboration opportunities, including workshops and/or conferences to convene USAID staff, implementing partners, and/or local stakeholders to discuss challenges, share best practices, and foster collaboration on specific topics related to USAID’s areas of intervention and strategies.

● Support the development and/or implementation of a CLA and Knowledge Management and Organizational Learning strategy at the Mission.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 7

Component V - Data management, including GIS and data visualization Design, implement and staff a comprehensive data unit that will support the Mission’s reporting and data management capacity, as well as the overall MEL services of the contract (monitoring, evaluation, research and assessments, GIS, CLA, communication, etc.) with data governance and data management services.

Illustrative tasks:

Anticipated tasks include, but are not limited to, the following illustrative tasks:

● Develop and/or implement a data management system to support the MEL services for the contract, including data collection, storage, processing, analysis, reporting and learning.

● Provide technical assistance to all members of the MEL team and contractor on data-related matters, including data analysis, visualization and reporting.

● Provide training and capacity-building activities on all aspects of the data lifecycle to Mission staff and other stakeholders as needed.

● Provide technical assistance to identify and create advanced use of data systems like, but not limited to, Machine Learning and Artificial Intelligence.

● Work with Mission staff to create and standardize methods and tools to extract, clean, and process relevant data from the Monitor system, or any other system used during the period of implementation of this contract.

● Work with the Mission, Implementing Partners and external stakeholders to identify, collect, clean, organize and disseminate geographical data that facilitate the collaboration, learning and adaptation of USAID/Colombia.

● Work with the Mission and implementing partners to design and implement an evaluation system and/or procedures that collect the necessary data to assess program and strategy effectiveness and impact.

● Work with Mission and other external stakeholders to identify and collect the necessary contextual data to inform program implementation and decision-making.

TABLE 2: DEFINED OR ILLUSTRATIVE PROJECTS/ACTIVITIES AND SUB-ACTIVITIES

Project/Activity 1 — COMPASS Activity Sub-activity 1: Monitoring Activities Sub-activity 2: Evaluations Sub-activity 3: Research and Assessments Sub-activity 4: Collaboration, Learning and Adapting (CLA) Activities Sub-activity 5: Data Management, including Geographic Information System (GIS) and data visualization

These activities belong to classes of actions eligible for Categorical Exclusion. During the implementation of some of these subactivities, field visits may be required.

2.0 ENVIRONMENTAL ANALYSIS

2.1 JUSTIFICATION FOR CATEGORICAL EXCLUSION

The activities under the COMPASS Activity are among the classes of actions listed in 22 CFR 216.2(c)(2) and have no foreseeable significant direct or indirect adverse effect on the environment. Therefore, under 22 CFR 216.2(c)(1), neither an IEE nor an EA will be required for these activities. Instead, a Categorical Exclusion is recommended for the projects/activities described above in Section 1.3 as

LAC/USAID COLOMBIA/COMPASS ACTIVITY 8

follows:

A Categorical Exclusion is issued to the COMPASS Activity, pursuant to 22 CFR 216.2(c)(2):

(iii) Analyses, studies, academic or research workshops and meetings;

(v) Document and information transfers;

TABLE 3: RECOMMENDED DETERMINATION FOR CATEGORICAL EXCLUSION

Project/Activity and Sub-Activity #

Recommended Determination for Categorical Exclusion

COMPASS Activity

Monitoring Activities §216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings

Evaluations §216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings §216.2(c)(2)(v) Document and information transfers

Research and Assessments

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings §216.2(c)(2)(v) Document and information transfers

Collaboration, Learning and Adapting (CLA) Activities

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings §216.2(c)(2)(v) Document and information transfers

Data Management, including Geographic Information System (GIS) and data visualization

§216.2(c)(2)(iii) Analyses, studies, academic or research workshops and meetings §216.2(c)(2)(v) Document and information transfers

LAC/USAID COLOMBIA/COMPASS ACTIVITY 9

2.2 CLIMATE RISK MANAGEMENT

TABLE 4. PROJECT AND ACTIVITY CLIMATE RISK MANAGEMENT SUMMARY TABLE

Tasks/Defined or Illustrative Interventions

Climate Risks5 Risk Rating6

How Risks are Addressed7 Opportunities to Strengthen Climate Resilience8

COMPASS Activity

Monitoring Activities

Access restrictions:

Access restrictions due to extreme climate change impacts or damage to infrastructure or interruption in services

Low Risk

Incorporate changes in precipitation patterns when planning meetings, workshops, surveys, training, routes, field visits and monitoring requirements to reduce climate risks and ensure strategies withstand climate variability

N/A

Evaluations

Access restrictions:

Access restrictions due to extreme climate change impacts or damage to infrastructure or interruption in services

Low Risk

Incorporate changes in precipitation patterns when planning meetings, workshops, surveys, training, routes, field visits and monitoring requirements to reduce climate risks and ensure strategies withstand climate variability

N/A

Planning vulnerability:

Planning vulnerability due to damage caused by extreme climate events.

Low Risk

Provide technical support to local communities and institutions to incorporate changes in weather patterns and vulnerable areas in all planning tools to reduce risks and ensure planning strategies that withstand climate variability. N/A

8 Describe opportunities to achieve multiple development objectives by integrating climate resilience or mitigation measures

7 Describe how risks have been addressed in activity design and/or additional steps that will be taken in implementation. If you choose to accept the risk, briefly explain why.

6 Low/Moderate/ High 5 List key risks related to the defined/illustrative interventions identified in the screening and additional assessment.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 10

Research and Assessments

Access restrictions:

Access restrictions due to extreme climate change impacts or damage to infrastructure or interruption in services

Low Risk

Incorporate changes in precipitation patterns when planning meetings, workshops, surveys, training, routes, field visits and monitoring requirements to reduce climate risks and ensure strategies withstand climate variability

Specific assessments or research may be done to advance climate resilience.

Planning vulnerability:

Planning vulnerability due to damage caused by extreme climate events.

Low Risk

Provide technical support to local communities and institutions to incorporate changes in weather patterns and vulnerable areas in all planning tools to reduce risks and ensure planning strategies that withstand climate variability. N/A

Collaboration, Learning and Adapting (CLA) activities

Access restrictions:

Access restrictions due to extreme climate change impacts or damage to infrastructure or interruption in services.

Low Risk

Incorporate changes in precipitation patterns when planning meetings, workshops, surveys, training, routes, field visits and monitoring requirements to reduce climate risks and ensure strategies withstand climate variability.

CLA activities may be conducted to advance climate resilience.

Data Management, including Geographic Information System (GIS) and data visualization

Access restrictions:

Access restrictions due to extreme climate change impacts or damage to infrastructure or interruption in services.

Low Risk

Incorporate changes in precipitation patterns when planning meetings, workshops, surveys, training, routes, field visits and monitoring requirements to reduce climate risks and ensure strategies withstand climate variability.

Specific data may be developed to advance climate resilience.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 11

3.0 LIMITATIONS OF THE CATEGORICAL EXCLUSION

The categorical exclusions recommended in this document apply only to projects/activities and sub-activities described herein.

Other projects/activities that may arise must be subject to an environmental analysis and the appropriate documentation prepared and approved, whether it be a new Request for Categorical Exclusion, an amendment, or other type of 22 CFR 216 document.

It is confirmed that the projects/activities described herein do not involve actions normally having a significant effect on the environment, including those described in 22 CFR 216.2(d)

No additional studies are required because of categorical exclusion, and the fact that it has a low climate risk.

3.1 MANDATORY INCLUSION OF ENVIRONMENTAL COMPLIANCE REQUIREMENTS IN SOLICITATIONS, AWARDS, BUDGETS

USAID will ensure the environmental compliance requirements are incorporated into solicitations, awards, budgets, and work plans, including relevant limitations of Section 3 above.

LAC/USAID COLOMBIA/COMPASS ACTIVITY 12