Signed_IEE.pdf

DCN: 2020-GEO-010

Georgia / I Human and Institutional Capacity Development Activity 1 EE.BEU Standard Form: RCE.v3

United States Agency for International Development (USAID) USAID/Caucasus

Amendment #3 to Initial Environmental Examination (IEE)

Program/Project/Activity Data:

Activity/Project Name: The USAID Human and Institutional Capacity Development Activity

Assistance Objective: DO 1: Democratic checks and balances and accountable governance enhanced

Program Area: DO 1: Democratic checks and balances and accountable governance enhanced

Country(ies) and/or Operating Unit: Georgia Originating Office: PPS Date: 11/06/19 PAD Level RCE: Yes ☐ No X RCE/IEE Amendment: Yes X No ☐ Supplemental RCE: Yes ☐ No X

DCN of Original RCE/IEE: DCN: 2014-GEO-018

DCN of Amendment(s): DCN: 2017-GEO-010

If Yes, Purpose of Amendment: Adding a new activity DCN(s) of Related EA/IEE/RCE/ER(s):

Implementation Start/End:

AMD:

December 2021 – December 2025

LOP:

June 2014 – December 2025

Funding Amount: AMD: $10,000,000 LOP Amount: $96,548,160 Contract/Award Number (if known):

Recommended Determination: Categorical Exclusion

Additional Elements:

Government to Government: ☐ Local Procurement: ☐ Donor Co-Funded: ☐

1. Project and Activity Description

1.1 Purpose and Scope of RCE

The purpose of this amendment is to add a new activity—the USAID Human and Institutional Capacity Development Activity—to the Mission’s Project Appraisal Document (PAD) for “More Transparent and Accountable Governance,” extend time of the PAD through December 31, 2025; and increase the ceiling by $10,000,000 to $96,548,160.

1.2 Project Overview

The objective of the USAID Human and Institutional Capacity Development Activity is to achieve lasting results in the human and institutional capacity development of USAID’s strategic partner institutions in Georgia that play a critical role in the country’s Journey to Self-Reliance (J2SR). These may include governmental, non-governmental, and private sector entities for all types of HICD services.

Georgia / I Human and Institutional Capacity Development Activity 2

Georgia is at the critical juncture of Western-oriented development where institutional capacity, commitment, and trustworthiness of its state and non-state entities are key to ensuring a democratic, growth-oriented, and inclusive J2SR. Over the years, Georgia has shown a clear commitment to advancing reforms on this path; however, it has not been matched by a commensurate capacity of local institutions to see it through. A comparison of Georgia’s J2SR Country Roadmaps for FY 2019 and FY 2020 validates this mismatch, with the aggregated Country Commitment score decreasing slightly (with a statistically insignificant change from 0.66 to 0.65) and the aggregated Country Capacity score falling from 0.73 to 0.66. USAID seeks to support Georgia on its J2SR by assisting a broad range of governmental, nongovernmental, and private sector entities with institutional capacity development services matching the varying degrees of their commitment and capacity.

As the Government of Georgia continues to seek an optimum organization setup of its institutions for an effective delivery of reforms, recurrent structural and personnel changes will continue to require assistance of experts in HICD to avoid possible management and administrative inefficiencies. In the wake of Georgia’s 2020 parliamentary elections, the demand for HICD interventions with a quick turnaround time and a holistic approach is also likely to increase. USAID’s Human and Institutional Capacity Development Activity in Georgia contributes to Georgia’s J2SR by assisting the Mission’s strategic partner organizations (that include governmental, nongovernmental, and private sector entities) to address administrative limitations and performance gaps that impede the effective implementation of key reforms, including those related to the European Union Association Agreement, Decentralization, and Civil Service Reform.

While this new program builds on the experience and success of the Mission’s current and previous HICD activities, it aims to diversify its services to match the varying levels of need, capacity, and commitment of the partner institutions requiring HICD assistance. It also seeks to develop innovative means of HICD knowledge and resource sharing by establishing a Center of Excellence. The Contractor will be required to develop and implement a credible and measurable plan to develop the capacity of its local subcontractors to compete for and manage large donor awards in the future. Lastly, the program will continue providing participant training support services to USAID-sponsored exchange visitors planning to travel to the United States.

2. Project Description and Climate Risk Screening

In accordance with the Mandatory Reference for ADS Chapter 201, the climate risk management screening for this activity was conducted. The climate risk analysis was done using Climate Risk Screening and Management Tool and the Georgian Road Map on Climate Change Adaptation.

In the framework of the Human and Institutional Capacity Development Activity, the following activities are planned:

Defined or illustrative activities under Component One—Long-term, short-term, and last-mile HICD Services

Under this component, the Contractor will deliver the HICD services in accordance with USAID’s HICD Handbook; although, the Contractor is encouraged to draw on a wide range of advanced tools and approaches tailored to the needs of the partner institution at different stages of the HICD cycle.

Illustrative activities include:

Potential Climate Risk

Climate Risk Rating*

Georgia / I Human and Institutional Capacity Development Activity 3

1.1 Long-term HICD interventions designed to support strategic partner institutions with a full range of HICD services with a quick turnaround time. The services include an institutional performance assessment (PA), identification of performance gaps, development of recommended performance solutions to address the gaps, and establishment of internal monitoring and evaluation systems (that the partner institutions will use to measure progress, report on results, and identify any emerging gaps going forward).

1.2 Short-term HICD interventions designed to provide targeted HICD services to partner institutions that demonstrate specific needs and are deemed to be of particular importance to the success of the Mission’s CDCS and J2SR priorities. These assistance activities will require a significantly lower level of effort. A key distinguishing factor between a Long-Term and Short-Term HICD Services is that in the latter category, only one component of the full HICD cycle is implemented. This could be a PA only, a performance solution based on a pre-existing PA, or a monitoring system that will equip the partner institution with a long-term capability to monitor performance and identify emerging gaps independently.

1.3 Last-mile HICD interventions designed to empower Georgia’s advanced, high-performing institutions to make critically important, catalytic efforts to establish them as the leaders of J2SR and role models of high-performing entities meeting the needs of their upstream and downstream stakeholders/customers to the maximum degree possible. Hence, a key distinguishing factor between the Last-Mile and the other two types of the HICD services is that the latter is designed for high-performing entities, i.e. those that have already come a long way in developing HICD systems and are in need of last-mile assistance efforts to establish themselves as the leaders of Georgia’s J2SR that other institutions can learn from. These may include (but are not limited to) the need to obtain international certification in management systems, certification of key/top staff in project or organizational management, leveraging partnership opportunities with local and international peer organizations, etc.

Low Low

Defined or illustrative activities under Component Two—Center of Excellence

The Center of Excellence (CoE) will serve as a source for effective knowledge management, knowledge sharing, and innovation in the field of HICD that will be accessible to a broad range of local institutions. The CoE will aim to achieve greater efficiencies and innovation in harnessing the best practices in the field of HICD and developing ones that can benefit a broader range of local institutions.

Potential Climate Risk

Climate Risk Rating*

2.1 Drawing on USAID’s CLA model to facilitate continuous learning. Low Low

2.2 Synthesizing the best practices developed in the course of the program implementation, including those demonstrating correlations between improved

Georgia / I Human and Institutional Capacity Development Activity 4 performance and achievement of institutions’ goals and contributions to Georgia’s J2SR.

2.3 Analyzing lessons learned and recommendations to improve current HICD approaches or strategies aimed at longer-term institutional behavior change.

Low Low

2.4 Building the capacity to carry out small-scale research or surveys to assess the overall institutional capacity in a sector selected by USAID.

Low Low

2.5 Providing space for innovation that could tackle (but are not limited to) these illustrative questions:

- How can or should the program use technology (e.g. apps, existing/open-source software or computer-based training (CBT) resources) to improve its services or maximize their impact?

- How can the program further its efforts to help partner entities develop or use advanced self-assessment tools?

- How can the program’ HICD services reach institutions in remote areas?

- How can the program leverage the experience of the private sector entities or educational/research institutions in the field of HICD/organizational development?

Defined or illustrative activities under Component Three— Local subcontractor development

Potential Climate Risk

Climate Risk Rating*

3.1 Establishing a credible and measurable plan for the development of the capacity of its local subcontractors.

3.2 Developing systems, policies, and procedures to enable the subcontractors to compete for and implement large donor awards either independently or as a consortium.

Low Low

3.3 Developing Key Performance indicators and targets and means of verification.

Defined or illustrative activities under Component Four—Participant Training Support Services

Potential Climate Risk

Climate Risk Rating*

4.1 Coordinating Security Risk and Fraud Inquiry (SRFI) with the Mission. Low Low

4.2 Managing Health and Accident Coverage (HAC) enrollment. Low Low

4.3 Providing visa processing support, including the preparation of the supporting documents for their J-1 visa applications

Low Low

4.4 Designing and facilitating pre-departure orientation for participants on all aspects of USAID sponsorship, in accordance with USAID policy

Low Low

4.5 Working with the Mission’s implementing partners to track and report participants and program activities that are fully or partially funded by USAID on a quarterly basis. For in-country or third-country Participant Training and technical support, the exclusive use of the agency's TraiNet reporting system is

Georgia / I Human and Institutional Capacity Development Activity 5 required. For any training or related technical support activities based in the U.S., TraiNet and the USAID Visa Compliance System (VCS) are both required

4.6 Monitoring participants for punctuality and completion of their program, and return to home country

3. Justification for Categorical Exclusion Determination

The activities under the USAID Human and Institutional Capacity Development Activity will not have an effect on the natural or physical environment and are among the classes of activities listed in 22 CFR 216.2(c)(2). Therefore, under §216.2(c)(1), neither an IEE nor an EA will be required for these activities. Instead, a categorical exclusion threshold determination is recommended for the following identified activities under 22 CFR 216.2(c)(2):

● Activities 1.1, 1.2, 1.3, 3.1, 3.2, 3.3 under §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.);

● Activity 2.1, 2.2, 2.3, 2.4, 2.5, 4.1, 4.2, 4.3, 4.4, 4.5, 4.6 under §216.2(c)(2) (iii)Analyses, studies, academic or research workshops and meetings;

4. Limitations of the Categorical Exclusion Determination:

This categorical exclusion does not cover classes of actions normally having a significant effect on the environment under §216.2(d):

i. Programs of river basin development;

ii. Irrigation and water management;

iii. Agricultural land leveling;

iv. Drainage projects;

v. Large scale agricultural mechanization;

vi. Resettlement projects;

vii. New land development;

viii. Penetration road building and road improvement;

ix. Powerplants;

x. Industrial plants; and

xi. Potable water and sewerage projects In addition, this categorical exclusion does not cover activities that:

● Support project preparation, project feasibility studies, engineering design for activities listed in §216.2(d)(1);

● Affect endangered species;

● Provide support to extractive industries (e.g. mining and quarrying);

● Promote timber harvesting;

● Lead to construction, reconstruction, rehabilitation, or renovation work;

● Support agro-processing or industrial enterprises;

● Provide support for regulatory permitting;

● Lead to privatization of industrial facilities or infrastructure with heavily polluted property;

● Assist the procurement (including payment in kind, donations, guarantees of credit) or use

(including handling, transport, fuel for transport, storage, mixing, loading, application, clean-up of spray equipment, and disposal) of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials--pesticides cover all insecticides, fungicides, rodenticides, etc. covered under the Federal Insecticide, Fungicide, and Rodenticide Act; and/or

Georgia / I Human and Institutional Capacity Development Activity 6

● Procure or use genetically modified organisms.

Any of these actions would require a Europe and Eurasia Bureau Environmental Officer (BEO) approved amendment to the categorical exclusion.

5. Mandatory Inclusion of Environmental Compliance Requirements in Solicitations, Awards, Budgets, and Work Plans

● Appropriate environmental compliance language, including limitations defined in Section 4, shall be incorporated into solicitations and awards for categorical exclusions.

● The implementing partner shall ensure annual work plans do not prescribe activities that are defined as limitations in Section 4.

6. Revisions

Under §216.3(a)(9), if new information becomes available that indicates that activities covered by the categorical exclusion might be considered major and their effect significant, or if additional activities are proposed that might be considered major and their effect significant, this categorical exclusion determination will be reviewed and, if necessary, revised by the Mission Environmental Officer (MEO) with concurrence by the BEO. It is the responsibility of the USAID Contract Officer’s Representative (COR)/Agreement Officer’s Representative (AOR) to keep the MEO and BEO informed of any new information or changes in the activity that might require revision of this determination.

7. Recommended Determination for Categorical Exclusion:

Approval:

David Hoffman, Acting Mission Director

Date

Clearance:

Gocha Lobzhanidze, Mission Environmental Officer

Clearance:

_DD_______________________________________

David Dzebisashvili, AOR/COR

_11-27-2019___________

Concurrence:

Mark Kamiya E&E Bureau Environmental Officer

Distribution:

IEE File MEO (to also provide a copy to AOR/COR)

Georgia / I Human and Institutional Capacity Development Activity 7

Climate Risk Screening and Management Tool

1.1: Defined or Anticipated Tasks or Interventions*

The USAID Institutional Human and Institutional Capacity Development Activity

Next step:

Timeframe

1.2: Time-frame FY20-FY25 Next step:

Geog.

1.3: Geography The project will be implemented in Georgia Next step:

Climate Risks

2: Climate Risks*

In 2017-2050: The average annual air temperature throughout Georgia will increase by 1.3 C to 1.6 C, the number of summer days (above 25°C) will increase; the absolute minimum air temperature by 1 C is probable in the mountain zone, the overall tendency is for an increase. The number of frost days is decreasing throughout Georgia. The annual number of hot days will increase about 2.5 times. The percentage change of annual total precipitation is within a range from an 11% decrease to an 8% increase. A number of days of heavy rain will increase by 2 to 5 days; a decrease is more observable in the southeast, also in Adjara and a large part of Imereti; and an increase will take place in mountain regions, mostly within the Greater Caucasus.

Next step:

Adaptive Capacity

3: Adaptive Capacity

The climate is likely changing in the way that it may have low-level effect on professionals to conduct/participate in the research and training activities under the project.

Next step: Risk Rating

4: Climate Risk Rating* [Enter rating for each risk: High, Moderate, or Low]

Low Next step: Opps.

5: Opportunities* Work with relevant government stakeholders to develop their capacity to plan for and respond to disasters in a timely and efficient manner.

Next step: Risk Mgmt. Options

6.1: Climate Risk Management Options

Support facilities that maintain air conditioning and evacuation plans (in case of disaster)

Next step:

Selected Options

6.2: How Climate Risks Are Addressed in the Activity* Not currently addressed Next step: Next

Steps 7: Next Steps for Activity Implementation

Will consider opportunities to build capacity for disaster risk planning and response.

Next step:

Accepted Risks

8: Accepted Climate Risks* None Finished!