Section J. List of Attachemts.pdf

J1: Budget Items, Defini ons and Template

BUDGET TEMPLATE FOR COST PROPOSALS

Please include all detailed costs under the following cost categories and subcategories. It is optional to include annual costs as separate columns in one spreadsheet or to include separate spreadsheets for each program year plus a total spreadsheet.

Budget Categories Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Total All Years

A. Direct Costs

1. Personnel

a. Interna�onal Staff

i. Long-Term Expatriate Staff

ii. HQ Technical Staff

b. Local In-Country Staff

i. Program Staff

ii. Opera�onal Staff

2. Fringe Benefits and Allowances

a. Fringe Benefits

b. Allowances

3. Travel

a. Interna�onal travel

b. Local and domes�c travel (car rental, taxis etc.)

4. Equipment and Supplies

a. Equipment (equipment with a unit cost greater than $5,000)

b. Supplies (equipment with a unit cost less than $5,000, including but not limited to worksta�ons & chairs, file cabinets, computers, cellular phones, printers, etc.). This cost category does not include office supplies, which should be included under Miscellaneous Direct Costs.

List of Attachments

5. Other Direct Costs

a. Equipment opera�on costs (e.g. including, but not limited to, vehicle rental/lease, vehicle and equipment maintenance/fuel/repair, motorcycle fuel/maintenance, generator fuel/maintenance, so�ware licenses)

b. Insurance/Travel (e.g. DBA, Medevac, visas, permits, immuniza�ons, exams, vehicle insurance, equipment insurance, other insurance)

c. Office opera�on costs (e.g.

rent/u�li�es/repairs/maintenance, security services, office supplies, make ready costs)

d. Communica�on costs (e.g. general communica�ons expense, mobile/cellular communica�on, internet, prin�ng/photocopying, courier)

e. Other (e.g. professional fees – audit/legal/payroll, branding & marking, banking fees)

6. Contractual

a. Direct Program ac�vi�es (including fixed-price, but not cost type, subcontracts AND NOT subawards).

b. Training;

c. MEL;

d. Consultants (including but not limited to expatriate consultants, local consultants, studies, analyses, etc.)

e. Grants Under Contracts (GUCs).

Total Direct Charges

B. Indirect Costs

7. Indirect Charges

a. Material Handling

b. Overhead

c. G&A

C. Total Es�mated Cost (Direct Cost plus Indirect Cost)

D. Fixed Fee

E. Total Es�mated Cost Plus Fee $ Million

J.2: IDENTIFICATION OF PRINCIPAL GEOGRAPHIC CODE NUMBERS

The USAID Geographic Code Book sets forth the official description of all geographic codes used by USAID in authorizing or implementing documents, to designate authorized source countries or areas. The following are summaries of the principal codes:

(a) Code 000--The United States: The United States of America, any State(s) of the United States, the District of Columbia, and areas of U.S.-associated sovereignty, including commonwealths, territories and possessions.

(b) Code 899--Any area or country, except the cooperating country itself and the following foreign policy restricted countries: Libya, Cuba, Iran, North Korea, and Syria

(c) Code 935--Any area or country including the cooperating country, but excluding the foreign policy restricted countries.

(d) Geographic code 937-- USAID’s statutory procurement authority, Section 604(a) of the FAA, authorizes procurement “from the United States, recipient country or developing countries.” Tracking that statutory authority, the Regulation establishes a presumptive USAID Principal Geographic Code, Code 937, for all USAID federally financed procurement of commodities and services under implementation instruments, unless otherwise specified.

(e) Code 941--The United States and any independent country (excluding foreign policy restricted countries), except the cooperating country itself and the following: Albania, Andorra, Angola, Armenia, Austria, Australia, Azerbaijan, Bahamas, Bahrain, Belgium, Bosnia and Herzegovina, Bulgaria, Belarus, Canada, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Gabon, Georgia, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Italy, Japan, Kazakhstan, Kuwait, Kyrgyzstan, Latvia, Liechtenstein, Lithuania, Luxembourg, Macedonia*, Malta, Moldova, Monaco, Mongolia, Montenegro*, Netherlands, New Zealand, Norway, Poland, Portugal, Qatar, Romania, Russia, San Marino, Saudi Arabia, Serbia*, Singapore, Slovak Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Taiwan*, Tajikistan, Turkmenistan, Ukraine, United Arab Emirates, United Kingdom, Uzbekistan, and Vatican City.

* Has the status of a "Geopolitical Entity", rather than an independent country

USAID

FROM THE AMERICAN PEOPLE

OMB Control N Expiration Date

CONTRACTOR EMPLOYEE BIOGRAPHICAL DATA SHEET

PRIVACY ACT STATEMENT

Authority: Foreign Assistance Act, Pub. L. 87-165, as amended, and 48 CFR Ch. 7 - AIDAR.

Purpose: To collect, use, maintain, and disclose information to determine the qualifications of an individual fo specific contract position and to determine the reasonableness of proposed salary or consultant rate for the s proposed under the contract. This form is only valid with an OMB Number displayed in accordance with 44 US 3506(c)(1)(B)(iii)(V).

Routine Uses: The personal information is used by USAID to maintain administrative records and to perform administrative functions inherent to the administration of the contract. This information will be used by USAID Contracting Officers and will not be disclosed outside USAID.

Disclosure: Contractor employees/consultants under USAID cost-reimbursement contracts must submit pers employment history, and educational data, and the contractor must provide the basis and rationale for the pro salary as specified in the form. Providing personal information is voluntary. However, failure to provide any of requested information may delay or prevent approval of the individual proposed under the specific contract.

1. Name (Last, First, Middle) 2. Contractor’s Name

3. Employee’s Address (include ZIP code) 4. Contract Number 5. Position Under Contra

6. Proposed Salary 7. Duration of Assignmen

8. Telephone Number (include area code)

9. Place of Birth 10. Citizenship (If non-U.S. citizen, give visa status)

11. Names, Ages, and Relationship of Dependents to Accompany Individual to Country of Assignment

12. EDUCATION (include all college or university degrees) 13. LANGUAGE PROFICIEN (see instructions on Page

NAME AND LOCATION

OF INSTITUTION MAJOR DEGREE DATE LANGUAGE Proficiency

Speaking P

14. EMPLOYMENT HISTORY (List last three (3) positions held by the individual)

POSITION TITLE EMPLOYER’S NAME AND ADDRESS

POINT OF CONTACT &TELEPHONE #

Dates of Employment (M From

AID 1420-17 Page

J.3: Contractor Biographical Data Sheet o: 0412-0520 : 11/30/2024 r a ervices C other onal, posed the ct t

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3) roficiency Reading

M/YYYY)

To nhabashi Highlight

@ USAID '"

FROM THE AMERICAN PEOPLE

OMB Control No:

Expiration Date:

15. SPECIFIC CONSULTANT SERVICES (give last three (3) years). Continue on a separate sheet of paper, if required, to provide this information.

SERVICES PERFORMED EMPLOYER’S NAME AND ADDRESS

POINT OF CONTACT &TELEPHONE #

Dates of Employment (MM/YYYY) From To

16. RATIONALE FOR PROPOSED SALARY (Provide the basis for the salary proposed in Block 6 with supporting rationale for the market value of the position. Continue on a separate sheet of paper, if required) Salary definition – basic periodic payment for services rendered. Exclude bonuses, profit-sharing arrangements, commissions, consultant fees, extra or overtime work payments, overseas differential or quarters, cost of living or dependent education allowances.

17. CERTIFICATION: To the best of my knowledge, the above facts as stated are true and correct.

Signature of Employee Date

18. CONTRACTOR'S CERTIFICATION (To be signed by responsible representative of Contractor) Contractor certifies in submitting this form that it has taken reasonable steps (in accordance with sound business practices) to verify the information in this form. Contractor understands that USAID may rely on the accuracy of such information in negotiating and reimbursing personnel under this contract. Certifications that are false, fictitious, or fraudulent, or that are based on inadequately verified information, may result in appropriate remedial action by USAID, taking into consideration all the pertinent facts and circumstances, ranging from refund claims to criminal prosecution.

Signature of Contractor’s Representative Date

AID 1420-17 Page 2 of 3

INSTRUCTIONS

Indicate your language proficiency in Block 13 using the following numeric Interagency Language Roundtable levels (Foreign Service Institute Levels). The following provides brief descriptions of proficiency levels 2, 3, 4, and 5. “S” indicates speaking ability and “R” indicates reading ability. For more in-depth description of the levels refer to ADS 438.

2. Limited working proficiency

S Able to satisfy routine special demands and limited work requirements.

R Sufficient comprehension to read simple, authentic written material in a form equivalent to usual printing or typescript on familiar subjects within familiar contexts.

3. General professional proficiency

S Able to speak the language with sufficient structural accuracy and vocabulary to participate effectively in most formal and informal conversations on practical, social, and professional topics.

R Able to read within a normal range of speed and with almost complete comprehension of a variety of authentic prose material on unfamiliar subjects.

4. Advanced professional proficiency

S Able to use the language fluently and accurately on all levels normally pertinent to professional needs.

R Able to read fluently and accurately all styles and forms of the language pertinent to professional needs.

5. Functionally native proficiency

S Speaking proficiency is functionally equivalent to that of a highly articulate well-educated native speaker and reflects the cultural standards of a country where the language is natively spoken.

R Reading proficiency is functionally equivalent to that of the well-educated native reader.

PAPERWORK REDUCTION ACT INFORMATION

The information requested by this form is necessary for prudent management and administration of public funds under USAID contracts. The information helps USAID estimate logistic support and allowances, the educational information provides an indication of qualifications, and the proposed salary, along with the basis and rationale for the market value is used to monitor cost and help determine reasonableness of proposed salary.

PAPERWORK REDUCTION ACT NOTICE

Public reporting burden for this collection of information is estimated to average thirty (30) minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to:

United States Agency for International Development Bureau for Management Office of Acquisition and Assistance Policy Division (M/OAA/P) Washington, DC 20523-7100;

and

Office of Management and Budget Paperwork Reduction Project (0412-0520) Washington, DC 20503

AID 1420-17 Page 3 of 3

J.4: SF LLL DISCLOSURE OF LOBBYING ACTIVITIES

This form is available at the following link:

https://www.usaid.gov/sites/default/files/sflllin.pdf https://www.usaid.gov/sites/default/files/sflllin.pdf

J.5: PAST PERFORMANCE QUESTIONNAIRE

(To be completed by the offeror)

1. Contract Number:

2. Contractor (Name and Address):

3. Type of Contract: Negotiated Sealed Bid Fixed Price Cost Reimbursement _____ Hybrid (explain) _______________________

4. Complexity of Work: Difficult Routine

5. Description, location, and relevancy of work:

6. Contract Dollar Value:

Status: Active Completed

7. Date of Award:

Contract Completion Date (including extensions): _____

8. Type and Extent of Subcontracting:

9. Name, Address, Telephone Number, and E-mail Address of the Procuring Contracting Officer and/or the Contracting Officer ’s Representative (and other references—e.g., Administrative Contracting Officer —if applicable):

J.6: MODEL SUBCONTRACTING PLAN TEMPLATE

Identification Data

Contractor: ______________________________________________________________

Address: ________________________________________________________________

Solicitation or Contract Number: _____________________________________________

Project Title: _____________________________________________________________

Total Amount of Contract (Including Options) $_________________________________

Period of Contract Performance (MO. & YR.) __________________________________

* Federal Acquisition Regulation (FAR), paragraph 19.708(b) prescribes the use of the clause at

FAR 52.219-9 entitled "Small Business Subcontracting Plan." The following is a suggested model for use when formulating such subcontracting plan. While this model plan has been designed to be consistent with FAR 52.219-9, other formats of a subcontracting plan may be acceptable. However, failure to include the essential information as exemplified in this model may be cause for either a delay in acceptance or the rejection of a bid or offer where the clause is applicable. Further, the use of this model is not intended to waive other requirements that may be applicable under FAR 52.219-9. "SUBCONTRACT" as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a

Federal Government prime Contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract.

1. Type of Plan (Check One)

____ Individual plan (All elements developed specifically for this contract and applicable for the full term of this contract).

____ Master plan (Goals developed for this contract; all other elements standard; must be renewed annually).

____ Commercial products plan (Contractor sells large quantities of off-the-shelf commodities to many Government agencies. Plans/goals negotiated by a lead agency on a company-wide basis rather than for individual contracts. Plan effective only during year approved. Contractor must provide copy of lead agency approval).

The Offeror's subcontracting plan shall include the following:

(1) Goals, expressed in terms of percentages of total planned subcontracting dollars, for the use of small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns as subcontractors. The Offeror shall include all subcontracts that contribute to contract performance, and may include a proportionate share of products and services that are normally allocated as indirect costs.

(2) A statement of--

(i) Total dollars planned to be subcontracted for an individual contract plan; or the Offeror's total projected sales, expressed in dollars, and the total value of projected subcontracts to support the sales for a commercial plan is:

$_______________ and _______________%

(ii) Total dollars planned to be subcontracted to small business concerns is:

$_______________ and _______________%*

(iii)Total dollars planned to be subcontracted to veteran-owned small business concerns is:

$_______________ and _______________%*

Total dollars planned to be subcontracted to service-disabled veteran-owned small business concerns is:

$_______________ and _______________%*

(iv) Total dollars planned to be subcontracted to HUBZone small business concerns is:

$_______________ and _______________%*

(v) Total dollars planned to be subcontracted to small disadvantaged business concerns is:

$_______________ and _______________%*

(vi) Total dollars planned to be subcontracted to women-owned small business concerns is:

$_______________ and _______________%*

(*Expressed as a percentage of "A")

(3) A description of the principal types of supplies and services to be subcontracted, and an identification of the types planned for subcontracting to--

(i) Small business concerns;

(ii) Veteran-owned small business concerns;

(iii) service-disabled veteran-owned small business,

(iv) HUBZone small business concerns;

(v) Small disadvantaged business concerns; and

(vi) Women-owned small business concerns.

(check all that apply)

Subcontracted

Supplies/Services____LB SB VOSB SDVOSB HUBZone SDB WOSB

(Attach additional sheets if necessary.)

(4) A description of the method used to develop the subcontracting goals in paragraph (d)(1) of this clause.

(5) A description of the method used to identify potential sources for solicitation purposes (e.g., existing company source lists, the System for Award Management (SAM), veterans service organizations, the

National Minority Purchasing Council Vendor Information Service, the Research and Information

Division of the Minority Business Development Agency in the Department of Commerce, or small, HUB Zone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information contained in SAM as an accurate representation of a concern's size and ownership characteristics for the purposes of maintaining a small, veteran-owned small, HUB Zone small, small disadvantaged, and women-owned small business source list. Use of SAM as its source list does not relieve a firm of its responsibilities (e.g., outreach, assistance, counseling, or publicizing subcontracting opportunities) in this clause.

(6) A statement as to whether or not the Offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportionate share of indirect costs to be incurred with—

(i) Small business concerns;

(ii) Veteran-owned small business concerns;

(iii) service-disabled veteran-owned small business,

(iv) HUBZone small business concerns;

(v) Small disadvantaged business concerns; and

(vi) Women-owned small business concerns.)

(7) The name of the individual employed by the offeror who will administer the Offeror's subcontracting program, and a description of the duties of the individual.

(8) A description of the efforts the Offeror will make to assure that small business, veteran-owned small business, service-disabled veteran-owned small business, HUB Zone small business, small disadvantaged business, and women-owned small business concerns have an equitable opportunity to compete for subcontracts.

(9) Assurances that the Offeror will include the clause of this contract entitled "Utilization of Small

Business Concerns" in all subcontracts that offer further subcontracting opportunities, and that the offeror will require all subcontractors (except small business concerns) that receive subcontracts in excess of $650,000 ($1.5 M for construction of any public facility with further subcontracting possibilities) to adopt a subcontracting plan that complies with the requirements of this clause.

(10) Assurances that the Offeror will--

(i) Cooperate in any studies or surveys as may be required;

(ii) Submit periodic reports so that the Government can determine the extent of compliance by the

Offeror with the subcontracting plan;

(iii) Submit Standard Form (SF) 294, Subcontracting Report for Individual Contracts, and/or SF

295, Summary Subcontract Report, in accordance with paragraph (1) of this clause. The reports shall provide information on subcontract awards to small business concerns, veteran-owned small business concerns, service-disabled veteran-owned small business concerns, small disadvantaged business concerns, women-owned small business concerns, and Historically Black Colleges and Universities and Minority Institutions. Reporting shall be in accordance with the instructions on the forms or as provided in agency regulations.

(iv) Ensure that its subcontractors agree to submit SF 294 and SF 295.

(11) A description of the types of records that will be maintained concerning procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of the Offeror's efforts to locate small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns and award subcontracts to them.

SUBCONTRACTING PLAN AUTHORIZATION:

NAME:__________________________________________________________

TITLE: ________________________________________________________

DATE: __________________________________________________________

SIGNATURE: ____________________________________________________

2023 CLIMATE CHANGE STANDARD

INDICATOR HANDBOOK:

DEFINITION SHEETS

UPDATED: 9/1/2023

J.7: Climate Change Indicator Handbook

CONTENTS

FY23 Update Summary 2 EG.11 Adaptation 3

EG.11-1 Number of people trained in climate change adaptation 3 EG.11-2 Number of institutions with improved capacity to assess or address climate change risks 4 EG.11-3 Number of laws, policies, regulations, or standards addressing climate change adaptation formally proposed, adopted, or implemented 6 EG.11-4 Amount of investment mobilized (in USD) for climate change adaptation 8 EG.11-5 Number of people supported by the USG to adapt to the effects of climate change 11 EG.11-6 Number of people using climate information or implementing risk-reducing actions to improve resilience to climate change 13

EG.12: Clean Energy 15 EG.12-1 Number of people trained in clean energy 15 EG.12-2 Number of institutions with improved capacity to address clean energy issues 17 EG.12-3 Number of laws, policies, regulations, or standards addressing clean energy formally proposed, adopted, or implemented 19 EG.12-4 Amount of investment mobilized (in USD) for clean energy 21 EG.12-5 New clean energy generation capacity 24 EG.12-6 Greenhouse gas (GHG) emissions, estimated in metric tons of CO2 equivalent, reduced, sequestered, or avoided through clean energy activities 26 EG.12-7 Projected greenhouse gas emissions, estimated in metric tons of CO2 equivalent, reduced, sequestered, or avoided through clean energy actions 28 EG.12-8 Expected lifetime energy savings from energy efficiency or energy conservation (NEW FY23) 32

EG.7: Modern Energy Services 34 EG.7.1-1 Number of beneficiaries with improved energy services 34

EG.13: Sustainable Landscapes 35 EG.13-1 Number of people trained in sustainable landscapes 35 EG.13-2 Number of institutions with improved capacity to address sustainable landscapes issues 36 EG.13-3 Number of laws, policies, regulations, or standards addressing sustainable landscapes formally proposed, adopted, or implemented 38 EG.13-4 Amount of investment mobilized (in USD) for sustainable landscapes 40 EG.13-5 Number of people receiving livelihood co-benefits (monetary or non-monetary) associated with the implementation of USG sustainable landscapes activities 43 EG.13-6 Greenhouse gas (GHG) emissions, estimated in metric tons of CO2 equivalent, reduced, sequestered, or avoided through sustainable landscapes activities 44 EG.13-7 Projected greenhouse gas emissions reduced or avoided from adopted laws, policies, regulations, or technologies related to sustainable landscapes 46 EG.13-8 Number of hectares under improved management expected to reduce greenhouse gas emissions 48

FY23 UPDATE SUMMARY

Foreign Assistance Standardized Program Structure and Definitions U.S. foreign assistance is categorized using a specific system known as the Standardized Program Structure and Definitions (SPSD). The SPSD consists of definitions for foreign assistance programs, providing a common language to describe programs. By utilizing a common language, information for various types of programs can be aggregated within a country, regionally or globally allowing for the comparison and analysis of budget and performance data.

Since 2016, Climate Change has been in the Economic Growth (EG) category.

PROGRAM AREA EG.11: Adaptation Program Element EG.11.1: Climate Science and Analysis Program Element EG.11.2: Climate Governance Program Element EG.11.3: Climate-resilient Practices

PROGRAM AREA EG.12: Clean Energy Program Element EG.12.1: Low Emissions Development Planning for Energy Program Element EG.12.2: Clean Energy Investment, Implementation, and Use

PROGRAM AREA EG.13: Sustainable Landscapes Program Element EG.13.1: Low Emission Planning Development in Land Use and/or REDD+ Program Element EG.13.2: Implementation of Low Emission Development Strategies, including Sustainable

Landscapes and REDD+

Required As Applicable All USAID standard indicators are Required as Applicable (RAA). RAA states that if an OU has a result that can be reported toward a standard indicator, the OU is required to do so in the PPR. Reporting on climate indicators is required regardless of funding type (i.e., even if an activity does not receive direct climate funding, they still must report relevant climate results). The purpose of RAA is to avoid gaps in reporting on Agency priorities. Note that RAA does not mean an OU must have a result - that is determined by an activity’s design and implementation.

FY23 Updated Climate Change Standard Indicators A/CORs should always make sure their Implementing Partners have the latest definition sheets, which are updated annually. Current indicators are located at https://www.climatelinks.org/resources/gcc-standard-indicator-handbook.

Significant changes to the standard indicators in FY23 are noted in blue, and include:

1. Climate finance indicators (EG.11-4, EG.12-4, and EG.13-4) were updated with revised definitions

2. EG.11-5 and EG.11-6 were updated to clarify the difference between the two indicators

3. EG.12-7 was significantly updated and the disaggregates have changed

4. EG.12-8 was added to capture energy efficiency-related results

5. Gender disaggregates have been updated to align with current Agency guidance

For additional information on Climate Monitoring and Reporting, contact: Kate Faulhaber (kfaulhaber@usaid.gov), Catherine Pomposi (cpomposi@usaid.gov), or Regan Smurthwaite (rsmurthwaite@usaid.gov).

http://www.state.gov/f/c24132.htm http://www.state.gov/f/c24132.htm https://www.climatelinks.org/resources/gcc-standard-indicator-handbook mailto:kfaulhaber@usaid.gov mailto:cpomposi@usaid.gov mailto:rsmurthwaite@usaid.gov

EG.11 ADAPTATION

Indicator EG.11-1 Number of people trained in climate change adaptation supported by USG assistance

Definition The goal of climate adaptation programming is to enhance resilience and reduce the vulnerability of people, places, systems, and livelihoods to actual or expected impacts of climate change, including through improved use of information, planning, and action.

Training is defined as a learning activity involving: 1) a setting intended for teaching or transferring knowledge, skills, or approaches; 2) a formally designated instructor(s) or lead person(s); and 3) a defined set of learning objectives, or outcomes.

Training can include long-term academic degree programs, short- or long- term non-degree technical courses in academic or in other settings, seminars, workshops, conferences, on-the-job learning experiences, observational study tours, field, farm, or other site visits, distance learning, or similar activities as long as it includes the three elements above.

Coaching and mentoring, meetings, or other efforts that could have educational value but do not have a defined set of learning objectives are generally not considered to be training unless they meet the three definitional standards for training identified above.

Only people who complete the training course are counted for this indicator. People who attend multiple, non-duplicative trainings may be counted once for each training they completed in the reporting period.

This indicator focuses on delivery of training that was made possible through full or partial funding from the USG. This may include the provision of funds to pay instructors or lead persons, providing hosting facilities, or other key contributions necessary to ensure the delivery of the training. This indicator does not include courses for which the USG only helped develop the curriculum. USG staff and implementers should not be included in the calculation of people trained.

Program Areas EG.12 (Clean Energy) and EG.13 (Sustainable Landscapes) also have indicators related to training. If an individual, within the reporting period, was also trained in clean energy or sustainable landscapes, they may be reported under those if the training meets the definitional standards.

For USAID Activities:

USAID ADS standards require that participants attend a minimum of 90% of total course hours to be considered as completing a course.

Primary SPS Linkage Economic Growth (EG) 11: Adaptation

Long Term Linkages Training can contribute to strengthening capacity and promoting strategic partnerships.

Training also aids in sustainability as it often aims to improve the likelihood that development partners will continue to implement relevant interventions after USG support has ended.

Indicator Type Output

Reporting Type Number of people

Use of Indicator This indicator will be used to track the extent of USG supported climate change adaptation training.

Reporting Frequency Annually. However, reporting by implementing partners may be required on a more frequent basis.

Data Source Data sources are implementers (including data from sub-implementers) and operating units.

The following information may be requested for each training counted toward this result and should be retained in an implementer’s internal documentation: 1) the name, date, and location of the training; 2) the learning objectives; and 3) the names, gender and affiliation of participants.

Bureau Owner(s) Agency: USAID and State Bureau and Office: USAID/RFS/CR, USAID/DDI/CCS, DOS/OES/EGC POC: Catherine Pomposi (cpomposi@usaid.gov), Kate Faulhaber (kfaulhaber@usaid.gov), Helen Waller (wallerh@state.gov)

Disaggregate(s) ● Male

● Female

Indicator EG.11-2 Number of institutions with improved capacity to assess or address climate change risks supported by USG assistance

Definition Institutions with improved (i.e., better, additional, or greater) capacity to assess or address climate change risks are institutions that have new or increased ability to use approaches, processes, strategies, or methodologies to adapt to climate change.

The effects of climate change may occur suddenly or gradually, and can include rising temperatures, floods, droughts, storms, landslides, salinization, coastal inundation, sea level rise, desertification, heat or cold waves, and biodiversity loss, among other effects.

Relevant institutions may include national, subnational, or regional government institutions (such as ministries, departments, or commissions), private sector entities, local civil society organizations (such as women’s groups or farmers’ cooperatives), and trade unions, among other governmental, nongovernmental, and private sector institutions.

Indications of increased institutional capacity to assess or address climate change risks include, but are not limited to:

● Using climate change data, information, or analysis to inform decisions and actions;

mailto:cpomposi@usaid.gov mailto:kfaulhaber@usaid.gov mailto:wallerh@state.gov

● Improving administrative or organizational capacity of climate-change focused institutions;

● Devoting greater resources to climate change adaptation planning and action (e.g., human, financial, equipment);

● Developing and/or implementing climate adaptation plans of action

● Improved access to equipment or data;

● Engaging stakeholders and building networks related to climate change adaptation objectives;

● Building in-house technical expertise.

This indicator measures both improvements in capacity to address climate change in institutions that do not focus exclusively on climate change as well as general institutional capacity improvements in climate institutions.

An institution can be reported as having its capacity improved in multiple years if it achieves meaningful improvement in each of the years it is reported. However, each institution should only be reported once per fiscal year. Implementing partners may support improved institutional capacity by engaging with institutions through a variety of methods and over varying timeframes. Implementers may be asked to provide supporting documentation as requested below in the Data Source Section.

Program Areas EG.12 (Clean Energy) and EG.13 (Sustainable Landscapes) also have indicators related to institutional capacity building. If, within the reporting period, an institution’s capacity was improved to also address clean energy or sustainable landscapes issues, they may be reported under those indicators if the institutions meet the definitional standards.

Primary SPS Linkage Economic Growth (EG) 11: Adaptation

Long Term Linkages Improved governance and capable institutions are critical elements of climate change adaptation and can contribute to an activity’s long-term sustainability.

Indicator Type Output

Reporting Type Number of institutions

Use of Indicator This indicator will be used to track global progress in building institutional capacity to address climate change adaptation.

Reporting Frequency Annually. However, reporting by implementing partners may be required on a more frequent basis.

Data Source Reporting is by implementing partners using standard monitoring and evaluation procedures.

The following information may be requested for each institution counted toward this result: 1) the name of the institution; 2) the established need for and type of additional capacity being targeted; 3) the nature and extent of the interventions utilized to improve capacity; and 4) a summation of the nature of the improved capacity for the institution(s) as a result of the specific approaches to address climate change issues.

For USAID Activities:

Examples of methods for measuring specific climate change capacities of institutions include:

● USAID GCC Institutional Capacity Assessment Tool

● International Institute for Environment and Development (IIED), “Tracking Adaptation and Measuring Development (TAMD) Climate Change Indicators - Methodological Notes” (Indicators 1 through 9);

● Development for environment, food and rural affairs (DEFRA). 2010. Self-Assessment guidance and matrix for National Indicator (NI) 188 – Planning to adapt to climate change;

● Examples of methods for measuring general institutional capacities include: USAID TIPS #15, Measuring Institutional Capacity.

Bureau Owner(s) Agency: USAID and State Bureau and Office: USAID/RFS/CR, USAID/DDI/CCS, DOS/OES/EGC POC: Catherine Pomposi (cpomposi@usaid.gov), Kate Faulhaber (kfaulhaber@usaid.gov), Helen Waller (wallerh@state.gov)

Disaggregate(s) ● National governmental

● Sub-national governmental

● Other

Indicator EG.11-3 Number of laws, policies, regulations, or standards addressing climate change adaptation formally proposed, adopted, or implemented as supported by USG assistance

Definition The goal of climate adaptation programming is to enhance resilience and reduce the vulnerability of people, places, systems, and livelihoods to actual or expected impacts of climate change, including through improved use of information, planning, and action.

Laws, policies, plans, strategies, regulations, or standards considered under this indicator are measures developed to address climate change adaptation.

Plans or strategies, such as National Adaptation Plans (NAPs), Nationally Determined Contributions (NDCs) that incorporate climate adaptation, stakeholder engagement strategies, and other nationally significant measures may be reported under this indicator. Nationally significant measures may include sector specific or provincial plans, strategies, policies, or industrial standards which, if successfully implemented, could have a significant impact on the country’s resilience to climate change. Locally significant measures include support to the development of watershed or other landscape-level management plans with community management organizations.

https://www.climatelinks.org/resources/global-climate-change-institutional-capacity-assessment http://www.iied.org/tracking-adaptation-measuring-development http://www.iied.org/tracking-adaptation-measuring-development http://www.iied.org/tracking-adaptation-measuring-development http://services.maidstone.gov.uk/meetings/documents/s4605/Appendix%20C%20NI188%20Self%20Assessment%20Matrix%20maidstone.pdf http://services.maidstone.gov.uk/meetings/documents/s4605/Appendix%20C%20NI188%20Self%20Assessment%20Matrix%20maidstone.pdf http://services.maidstone.gov.uk/meetings/documents/s4605/Appendix%20C%20NI188%20Self%20Assessment%20Matrix%20maidstone.pdf http://pdf.usaid.gov/pdf_docs/Pnadw115.pdf http://pdf.usaid.gov/pdf_docs/Pnadw115.pdf mailto:cpomposi@usaid.gov

“Formally proposed” means that a relevant government official or agency, organization, or non-governmental entity with decision-making authority has proposed the measure, according to established procedures, preferably publicly when this is appropriate to the given context.

“Adopted” means officially codified or enacted by a government, organization, or non-governmental entity with decision-making authority in its respective legal, regulatory, policy, or non-governmental system.

“Implemented” means that a measure is in force or being executed in the intended geographic locations and at the intended administrative levels.

If a measure is not yet adopted, it must at least be formally proposed within an official process to be reported.

Each measure can be counted once as “proposed,” once as “adopted,” and once as “implemented,” if applicable, within the same reporting period or across multiple reporting periods. The indicator narrative should include an explanation of when each measure is being reported.

Legal, regulatory, and policy reform and new industry standards can create incentives for investment in climate change adaptation. Measures that address climate change adaptation may be integrated in scope (e.g., at a certain political level such as municipal, state, or national), or may address sectors (including, but not limited to water, marine resources, forests, land use and agriculture, health, energy, trade, education, infrastructure, or urban development).

Program Areas EG.12 (Clean Energy) and EG.13 (Sustainable Landscapes) also have indicators related to laws, policies, regulations, and standards. If the law, policy, regulation or standard also addresses clean energy or sustainable landscapes, it may be reported under those indicators given that it meets the definitional standards.

Primary SPS Linkage Economic Growth (EG) 11: Adaptation

Long Term Linkages An improved enabling environment through legal, regulatory and policy reform, strategy development and planning helps ensure that efforts and investments in climate change have legal and strategic backing and institutional ownership.

Indicator Type Output

Reporting Type Number of measures

Use of Indicator This indicator is used to track national and subnational legal, regulatory, and policy progress in climate change adaptation.

Reporting Frequency Annually. However, reporting by implementing partners may be required on a more frequent basis.

Data Source Data will be collected by implementing partners with knowledge of their specific activities and programs.

The narrative accompanying this indicator should explain the connection between the measure and climate change adaptation. The narrative and each implementer’s internal documentation should be specific about what the reported number represents, particularly:

● What is the title of the measure?

● At what stage is it? (officially proposed, adopted, or implemented)

● What is/are the institution(s) that will be implementing and/or enforcing the measure?

● How does the measure contribute to climate change adaptation?

● Is this measure a mandate/requirement of an international climate agreement, such as the

Paris Agreement?

Bureau Owner(s) Agency: USAID and State Bureau and Office: USAID/RFS/CR, USAID/DDI/CCS, DOS/OES/EGC POC: Catherine Pomposi (cpomposi@usaid.gov), Kate Faulhaber (kfaulhaber@usaid.gov), Helen Waller (wallerh@state.gov)

Disaggregate(s) ● National, Proposed

● National, Adopted

● National, Implemented

● Sub-national, Proposed

● Sub-national, Adopted

● Sub-national, Implemented

● Regional or International, Proposed

● Regional or International, Adopted

● Regional or International, Implemented

Indicator EG.11-4 Amount of investment mobilized (in USD) for climate change adaptation as supported by USG assistance

Definition The goal of climate adaptation programming is to enhance the resilience and reduce the vulnerability of people, places, systems, and livelihoods to actual or expected impacts of climate change, including through improved use of information, planning, and action.

This indicator measures new (non-USG) finance mobilized by USG assistance, for actions, activities, projects, or programs that support adaptation to the effects of climate variability and change. Activities should report all relevant results under this indicator regardless of the type of USG funds (i.e., program area or earmark) used to support the activity.

Finance ‘mobilized’ refers to finance/investment from external entities that was catalyzed by USG assistance, directly or indirectly, regardless of whether there is a USG financial commitment. Finance ‘leveraged’ is a subset of ‘mobilized’ and refers to new finance/investment that was catalyzed by the presence of a USG financial commitment, such as cost-sharing a grant mailto:cpomposi@usaid.gov or guaranteeing a loan.

Disaggregation Finance reported under this indicator must be disaggregated by sector (public or private) and by origin (domestic or international). Finance can be mobilized from public sector sources (e.g., other governments, tax payments, donors, public multilateral entities), private sector sources (e.g., corporations, consumer payments). Domestic finance originates within the country in which it is implemented, and international finance originates outside of the country where the action is occurring.

USG funding cannot be counted under this indicator. For the case of public finance mobilized from multilateral funds to which the USG contributes, the amount of finance reported toward this indicator should be prorated to exclude the relative percentage of USG contribution to that fund (e.g., if 20% of Green Climate Fund funding comes from the USG, an activity can count 80% of investment mobilized from the GCF toward this indicator).

Financial Closure Finance mobilized may be reported under this indicator at financial closure. Financial closure is when the contract or agreement is signed by all relevant parties.

Examples of Finance Mobilized Finance can be mobilized through a variety of interventions. Examples of the types of U.S.

assistance that could mobilize finance include:

● Grant

● Concessional Loan

● Non-Concessional Loan

● Equity Investment

● Guarantee

● Insurance

● Policy Intervention

● Capacity Building

● Technology Development and Transfer

● Technical Assistance

● In-kind Contribution

● Other

Examples of what mobilized funds may support include: improving the enabling environment for adaptation actions; funding the costs of climate change adaptation; monitoring climate change outcomes; or sensitizing stakeholders to climate risks and opportunities.

For agriculture and food systems, for instance, this could include: mobilizing funds for climate-smart research and development; investing in integrating climate information into extension; investing by small and medium-sized enterprises (SMEs) in climate-smart agriculture practices or scaling financial services to smallholders and women for greater uptake of climate-smart innovations.

International Climate Finance Reporting For investment mobilized from the private sector, please also provide the following additional details in implementing partner reporting to USAID and in OU reporting via the PPR indicator or SPSD narratives:

● Clear description of how U.S. efforts have led to the finance mobilization

● Type (and, if applicable, amount) of U.S. assistance provided

● Source and amount of funds by actor (e.g., company name) and actor type (e.g., private bank).

For all investments mobilized, Missions should seek to provide a high-level summary of finance mobilized, by whom, and for what purpose in the PPR narratives.

PREPARE and Climate Strategy Reporting When reporting on adaptation finance, OUs should also report on both “people supported to adapt” (EG.11-5) and “people using climate information or implementing risk-reducing actions” (EG.11-6), if there are results under those indicators.

Because finance mobilized results are aggregated across Climate sectors, dollars reported toward this indicator CANNOT be reported under Clean Energy finance (EG.12-4) or Sustainable Landscapes finance (EG.13-4). However, an activity may decide to divide results across these indicators (e.g., 60% Adaptation and 40% Clean Energy) if appropriate.

The same results SHOULD be reported under both EG.11-4 and relevant non-climate finance indicators, such as private sector engagement (PSE-4) and water finance (HL.8.4-1), if the result meets the definition of each indicator.

Primary SPS Linkage Economic Growth (EG) 11: Adaptation

Long Term Linkages The mobilization of additional financial resources can help catalyze resources needed for transformational change and contribute to long-term sustainability and progress toward adaptation goals.

Indicator Type Outcome

Reporting Type U.S. dollars (USD)

Use of Indicator As appropriate, aggregated mobilization data can be used to assess the impact of foreign assistance for both domestic and international audiences as well as for the basis of tracking progress to international commitments and goals.

Reporting Frequency Annually. However, reporting by implementing partners may be required on a more frequent

Data Source To report observed mobilization, project implementers will gather data about the amount of finance mobilized in the past fiscal year and report through standard reporting procedures.

Documentation should include a rationale for how U.S. support has facilitated the mobilization of reported resources and include information such as: methodology used to assess mobilization, source of funds by project name, the type of project and financial instrument, and use of funds.

Bureau Owner(s) Agency: USAID and State Bureau and Office: USAID/RFS/CR, USAID/DDI/CCS, DOS/OES/EGC POC: Catherine Pomposi (cpomposi@usaid.gov), Kate Faulhaber (kfaulhaber@usaid.gov), Helen Waller (wallerh@state.gov)

Disaggregate(s) ● Public, domestic funds

● Public, international funds

● Private, domestic funds

● Private, international funds

Indicator EG.11-5 Number of people supported by the USG to adapt to the effects of climate change

Definition This indicator is designed to capture the breadth of our climate adaptation work. This indicator counts participants of programs who are supported to adapt to the effects of climate change. Participants may be part of direct adaptation funded programs or non-adaptation funded programs.

This indicator counts participants of programs who are supported to adapt to the effects of climate change but does not seek to track whether this support improved resilience to climate change of the reported population. The latter outcome-based measure is instead tracked in EG. 11-6. Specifically, for individuals supported to adapt to the effects of climate change who also have used climate information or implemented risk reducing actions (consistent with EG.

11-6 definition), those individuals should be reported to both EG. 11-5 and EG. 11-6.

‘Support’ is defined as assistance from the project or activity, with the intention of helping people adapt to climate change. Support encompasses financial resources, assets, infrastructure, agricultural inputs, training, communications (e.g., early warning systems, extension support to respond to early warning such as drought tolerant seeds) or information (e.g., weather forecasting). People reported under this indicator may also be reported under other standard indicators, as appropriate. Reporting under this indicator requires the effects of climate change to be recognized and targeted by the project or activity.

‘People supported’ relates to populations with a clear relationship to an adaptation project or activity. If the data collected is by household, then this figure should be converted into the number of people (see Data calculation section below).

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‘Effects of climate change’ are defined here as the effects of increasing climate variability and climate change. This may include, for example, changes in precipitation, temperature and sea level rise. Effects may occur suddenly or gradually, and can include floods, droughts, storms, landslides, salinization, coastal inundation, sea level rise, desertification, heat or cold waves and biodiversity loss, among other effects.

Varying levels of support may count under this indicator. Targeted support where individual people or households are identified and aware they are receiving support in some form should be included. Reporting should include people receiving high levels of individualized support (including, but not limited to agricultural extension services and training of individuals in communities to develop emergency plans) as well as people receiving medium levels of support (including, but not limited to people receiving information services such as a flood warning or weather forecast by text, people within catchment area of structural flood defenses, or people living in a community where other members have been trained in emergency flood response).

Examples of the types of support under this indicator include, but are not limited to:

● Farmers receiving extension services such as improved or drought tolerant seeds, and support to implement climate smart practices, among others;

● People receiving financial support through, for example, forestry incentive programs to…