ATTACHMENTs-_J.1-J.9.pdf

ATTACHMENT J.1 - PAST PERFORMANCE SHEET

REQUEST FOR PROPOSALS No.: SOL-72038618R00003

J.1 – Past Performance Report Format Offeror:

PART I: Award Information (to be completed by Offeror)

1. Award-making Entity:

2. Name of Awardee:

3. Award Number:

4. Award Type:

5. Total Award Amount: (if subaward, subaward value)

6. Period of Performance:

7a. Contracting/Agreement Officer: (Name, Telephone Number and E-mail address)

7b. Technical Officer (COR/AOR) : (Name, Telephone Number and E-mail address)

7c. Project Description (up to 200 words):

PART II: Performance Assessment (to be completed by Entity)

1. Quality of product or service, including consistency in meeting goals and targets, and cooperation and effectiveness of the awardee in fixing problems. Comment:

2. Cost control, including forecasting costs as well as accuracy in financial reporting. Comment:

3. Timeliness of performance, including adherence to contract schedules and other time- sensitive project conditions, and effectiveness of home and field office management to make prompt decisions and ensure efficient operation of tasks. Comment:

4. Customer satisfaction, including satisfactory business relationship to clients, initiation and management of several complex activities simultaneously, coordination among subcontractors and developing country partners, prompt and satisfactory correction of problems, and cooperative attitude in fixing problems. Comment:

5. Effectiveness of personnel including: effectiveness and appropriateness of personnel for the job; and prompt and satisfactory changes in personnel when problems with clients where identified. Comment:

SOL#72038618R-00003

ATTACHMENT J.2 - USAID FORM 1420-17

CONTRACTOR BIOGRAPHICAL DATA SHEET –

https://www.usaid.gov/forms/aid-1420-17 http://www.usaid.gov/forms/aid-1420-17

ATTACHMENT J.3 - MODEL SUBCONTRACTING PLAN OUTLINE

SMALL BUSINESS, VETERAN-OWNED SMALL BUSINESS,

HUBZONE SMALL BUSINESS CONCERNS,

SMALL DISADVANTAGED BUSINESS,

AND WOMEN-OWNED SMALL BUSINESS

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, Small Disadvantaged Business, and Women Owned 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).

(d) 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, HUBZone small business, small disadvantaged business, and women-owned small business concerns as subcontractors. Service-disabled veteran-owned small business concerns meet the definition of veteran- owned small business concerns, and offerors may include them within the subcontracting plan goal for veteran-owned small business concerns. A separate goal for service- disabled veteran-owned small business concerns is not required. 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 %*

(iv) Total dollars planned to be subcontracted to service-disabled veteran-owned small business concerns is: $ and %*

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

$ and %*

(vi) Total dollars planned to be subcontracted to small disadvantaged business concerns is: $ and %*

(vii) 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) HUBZone small business concerns;

(iv) Small disadvantaged business concerns; and

(v) 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 Procurement Marketing and Access Network (PRO-Net) of the Small Business Administration (SBA), 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, HUBZone, small disadvantaged, and women-owned small business trade associations). A firm may rely on the information contained in PRO-Net as an accurate representation of a concern's size and ownership characteristics for the purposes of maintaining a small, veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business source list. Use of PRO-Net 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) HUBZone small business concerns;

(iv) Small disadvantaged business concerns; and

(v) 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, HUBZone 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 $500,000 ($1,000,000 for construction of any public facility) 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 (j) 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.

REPORTING PERIOD REPORT DUE DUE DATE

Oct 1 – Mar 31 SF 294 04/30 Apr 1 – Sept 30 SF 294 10/30 Oct 1 – Sept 30 SF 295 10/30

ADDRESS:

DIRECTOR

USAID/OSDBU

RM 7.8E RRB

WASHINGTON, DC 20523-7800

(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, HUBZone small business, small disadvantaged business, and women-owned small business concerns and award subcontracts to them.

SUBCONTRACTING PLAN AUTHORIZATION:

NAME:

TITLE:

DATE:

SIGNATURE:

ATTACHMENT J.4 – TEMPLATE FOR THE BRANDING IMPLEMENTATION PLAN

FOR CONTRACTS

BRANDING IMPLEMENTATION PLAN AND MARKING

TEMPLATE FOR THE BRANDING IMPLEMENTATION

PLAN

GENERAL INSTRUCTIONS

The contractor must prepare a Branding Implementation Plan describing how it will implement the Branding Strategy. The Branding Implementation Plan must describe how the program will be positioned and promoted to beneficiaries and host country citizens. The contractor must prepare a Branding Implementation Plan containing information substantially similar to the sample provided below:

THIS PORTION IS CREATED BY THE

CONTRACTOR

Branding Implementation Plan for the Program

(Fill in Contract No. #)

1.1 HOW TO INCORPORATE THE MESSAGE

will use full branding and the USAID tagline “From the American People” on materials and communications. Co-branding and no branding will only be considered on a case-by-case basis as considered appropriate by the Contracting Officer’s Representative (COR) and Contracting Officer (CO).

1.2 MESSAGES

All materials and events from the program will be branded as from USAID and prepared by as part of the Forest for Water and Prosperity (Forest-PLUS 2.0) Program. All materials will acknowledge that they were produced with support “from the American people.” In cases where a local language predominates above English, the appropriate translation into the local language will be used in branding the program.

Additional ideas to increase awareness that the American people support this program are: all of the trainers will be trained to include in each presentation or training session a statement at the beginning of their meeting or training session that the technical assistance that they provide and the other program services are made possible as a result of “the assistance from the American people.” The Forest-PLUS 2.0 Program will follow specific procedures for including the Branding Implementation Plan requirements as stated in the mandatory internal reference Branding and Marking in USAID Direct Contracting in the Automated Directives System, Chapter 320.

2 .0 HOW TO PUBLICIZE THE PROGRAM, PROJECT OR ACTIVITY

This section discusses how to publicize the program and also includes a description of the communications tools to be used. Such tools may include the following:

2 .1 TOOLS

The following communication tools may be used:

Press releases Press conferences Media interviews Site visits Success stories Beneficiary testimonials Professional photography Public Service Announcements PSAs

Videos and radio spots Webcasts, e-invitations, blast e-mails, or other internet activities.

3. KEY MILESTONES OR OPPORTUNITIES

The following key milestones or opportunities are anticipated to generate awareness that the program is from the American people. These milestones may be linked to specific points in time, such as at the beginning or end of a program, or to an opportunity to showcase reports or other materials. These include, but are not limited to:

• holding training events,

• publishing reports,

• highlighting success stories,

• promoting final or interim reports, and

• Communicating program impact/overall results.

4. AUDIENCES

Subject to approval by USAID, Forest-PLUS 2.0 Program has the following target audiences with whom it will promote and publicize USAID sponsorship:

4.1 Primary audience:

The primary audience for all materials and documents produced under this contract are:

government authorities at different levels, key government agencies, national and international private sector companies, and forest-dependents communities.

4.1.2 Secondary audience:

The secondary audience for materials and documents produced by the Forest-PLUS 2.0 Program includes: USAID stakeholders in the United States like the Congress and other US agencies; non-governmental organizations, the academia, contractors working on forest issues, as well as local, sub-national, national and international media.

5. ACKNOWLEDGEMENTS

5.1 ACKNOWLEDGING HOST-COUNTRY GOVERNMENTS

All Forest-PLUS 2.0 documents will follow USAID Branding Guidelines. If during the course of this program other major sponsors are involved, we will advise the COR of their involvement and request permission to include them as necessary.

5.2 ACKNOWLEDGING OTHER HOST-COUNTRY PARTNERS

Co-branding with civil society groups will occur when these organizations have contributed funds to the activity. Co-branding with in-country partners may also be desirable when trying to promote local ownership and capacity building. However, when products are fully funded by USAID, CO approval is required for any exceptions to full branding requirements.

5.3 CO-BRANDING WITH OTHER INTERNATIONAL ORGANIZATIONS

In such cases, the guidelines for co-branding will be followed, assuming the funding contributed is more than a token amount.

5.4 Coordination with USAID on Press, Publicity and Program Promotion

Prior to developing any press release, or scheduling media events and media interviews, [insert contractor name] will inform and receive clearance from the communications team at USAID. Any material requiring USAID clearance should be submitted at least 10-14 days in advance.

The Forest-PLUS 2.0 program will engage with the press for promoting program objectives and outcomes. Material prepared for distribution to the press will require prior approval by USAID.

USAID does not co-brand press releases. Drafted by the Contractor, the press release is sent to USAID for approval and will be released by the Embassy Public Affairs section using only their logo.

Throughout the program implementation, [insert contractor name] will provide USAID with the following:

• An updated quarterly list of public events to be organized by the program during the coming three months, including tentative dates, location, and audience. [insert contractor name] will coordinate with USAID on the inclusion of USAID promotional material for participants and the participation of USAID/U.S. Government representatives.

• Provide press clippings that mention the program and/or USAID.

• Provide copies of all final communication material produced by the program.

In the annual report, the program will present to USAID an overview of the publicity events organized and media coverage received during the year.

TEMPLATE FOR THE MARKING PLAN GENERAL INSTRUCTIONS

The contractor must also prepare a Marking Plan that will enumerate all of the public communications, commodities and program materials that visibly bear or will be marked with the USAID identity. Contract deliverables to be marked with the USAID Identity must follow design guidance for color, type, and layout in the USAID Graphics Standard Manual.

With reference to ADS Sections 320.3.2.3 and 320.3.2.4 the contractor must prepare a Marking Plan containing information substantially similar to the sample provided below:

THIS PORTION IS CREATED BY THE CONTRACTOR

Marking Plan for the USAID/India Program (FOREST-PLUS 2.0)

Below is the required Marking Plan:

1.1 MARKING

1.2 MARKING PLAN FOR MATERIALS TO BE PRODUCED

Table 1 outlines the types of materials that may be produced under the USAID Forest-PLUS

2.0 Program. Any materials that are not anticipated below, but are produced under the initiative, will also be subject to branding guidelines and CO approval, as appropriate. Please note that marking is not required on items used as part of the administration of the contract, such as stationery products, equipment, and offices. The goal is to mark programs and projects, and not implementing partners. Thus, letterhead, name tags, business cards, office space, equipment, and supplies are not subject to branding.

Every contract deliverable that is marked with the USAID identity for the Forest-PLUS 2.0 Program will follow design guidance for color, type, and layout in the Graphic Standards Manual as related to equipment, reports, studies, events, and public communication (including printed products, audio, visual, and electronic materials). The USAID logo will be used for programmatic correspondence. Forest-PLUS 2.0 letterheads will be used for administrative matters and will not have the USAID logo. Business cards will not show the USAID logo.

All studies, reports, publications, Web sites, and all informational and promotional products not authored, reviewed, or edited by USAID will contain a provision substantially as follows:

“This study/report/ Website is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this study/report/ Website are the sole responsibility of (name of organization) and do not necessarily reflect the views of USAID or the United States Government.”

THIS PORTION IS CREATED BY THE CONTRACTOR

Marking Requirements for USAID/India Program Forest for Water and Prosperity (Forest-PLUS 2.0) Program

(Fill in Solicitation/Contract No. #)

With reference to ADS Section 320.3.2.2, below is the required Marking Plan:

TABLE 1. MARKING PLAN FOR MATERIALS TO BE PRODUCED - CHANGE AS

NEEDED

Category Type of Marking Remarks Administrative

Stationery products (administrative business)

USAID standard graphic identity will NOT be used.

Pertains to letterhead, envelops, and mailing labels

Stationery products (program related)

USAID standard graphic identity will be used.

Pertains to letters that accompany program materials

Business cards USAID standard graphic identity will NOT be used on business cards.

The contractor should use its own business cards but include the line " project" on the business card.

Office signs USAID standard graphic identity will NOT be used to mark project offices.

Project deliverables Follows USAID Graphics Standard Manual guidelines for full branding

Technical Technical reports and studies

The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding unless co-branding is acceptable or an exception is granted for no branding.

Briefing papers, memoranda, and policy recommendations

The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding guidelines unless co-branding is acceptable or an exception is provided for no branding.

Government, strategies, plans, and guidelines (national and sub-national levels) or other materials positioned as being from the host-country government

Follows USAID Graphics Standard Manual guidelines for full branding (if applicable) unless co- branding is acceptable or an exception is provided for no branding.

Organizations' policies, strategies, plans, and guidelines (e.g., an NGO’s procedures manual for gender strategy) or other materials positioned as being from the host-country partner.

Follows USAID Graphics Standard Manual guidelines for full branding (if applicable) unless co- branding is acceptable.

Training materials and manuals

The USAID identity will be printed on the cover of documents; design follows guidelines for full branding

CDs-ROM The USAID identity will be printed on the CD label, splash screen/menu, and packaging; design follows guidelines for full branding

PowerPoint presentations

The USAID identity is required on title breaker slides; design follows guidelines for the full branding unless co-branding is acceptable or an

Conference posters and presentations

The USAID identity will be printed on the poster or presentation; design follows guidelines for professional meetings or full branding unless co-branding acceptable or an exception is granted for no branding.

Videos Will follow USAID Graphic Standards Manual guidelines and disclaimer.

Program materials Will follow USAID Graphic Standards Manual guidelines.

Promotional

Event signs, banners, and exhibition booths materials

The USAID identity will be printed on the materials; design follows guidelines for full branding unless co-branding is acceptable or an

Project promotional materials (e.g., success stories, testimonials, findings, or project results)

The USAID identity printed on the materials; design follows guidelines for full branding.

Materials for site visits The USAID identity will be printed on the materials

1.3 GRANTS UNDER CONTRACTS (If applicable)

Grants under contracts, when authorized in accordance with ADS 302, “USAID Direct Contracting” must be branded and marked like grants. The policy directives and required procedures for branding and marking of assistance awards in ADS Section 320.3.3 and 22 CFR

226.91 apply. The contractor is responsible for including branding and marking requirements for these grants in it Branding Implementation Plan and Marking Plan, as part of its overall responsibility for managing grants under its contract.

1.4 PREPRODUCTION REVIEW

USAID reserves the right to request preproduction review of USAID-funded public communications and program material for compliance with USAID graphic standards and the approved Marking Plan.

TABLE 2. REQUEST FOR EXCEPTIONS

Determine the correct exception that you wish to request in the chart below and complete the country(ies) listing and explanation for approval by the Contract Officer.

Exception 320.3.2.5 (a) Guidelines for addressing exception Compromise the intrinsic independence or neutrality of a program or materials where independence or neutrality is an inherent aspect of the program and materials. This includes, but is not limited, the following: 1) election monitoring or ballots, and voter information literature; 2) political party support or public policy advocacy or reform; 3) independent media, such as television and radio broadcasts and newspaper articles and editorials; and, PSAs or public opinion polls and surveys.

Identify the USAID Strategic Objective, Interim Result, or program goal furthered by an appearance of neutrality, or state why the program, project, activity, commodity, or communication is ‘intrinsically neutral.’ Identify, by category or deliverable item, examples of program materials funded under the award for which you are seeking the exception.

Country(ies): Item: Description Explanation:

Exception 320.3.2.5 (b) Guidelines for addressing exception Diminish the credibility of audits, reports, analyses, studies and policy recommendations whose data or findings must be seen as independent

State what data, studies, or other deliverables will be produced under the USAID funded award, and explain why the data, studies, or deliverables must be seen as credible Country(ies): Item: Description Explanation:

Exception 320.3.2.5 (c) Guidelines for addressing exception Undercut host-country government “ownership” of constitutions, laws regulations,, policies, studies, assessments, reports, publications, surveys or audits, PSAs, or other communications better positioned as “by” or “from” a cooperating country ministry, organization or government official.

Identify the item or media product produced under the USAID funded award, and explain why each item or product, or category of item and product, is better positioned as an item or product produced by the cooperating country government.

Exception 320.3.2.5 (d) Guidelines for addressing exception Impair the functionality of an item, such as sterilized equipment or spare parts.

Identify the item or commodity to be marked, or categories of items or commodities, and explain how marking would impair the item’s or functionality.

Exception 320.3.2.5 (e) Guidelines for addressing exception Incur substantial costs or be impractical, such as items too small or other otherwise unsuited for individual marking, such as food in bulk.

Explain why marking would not be cost beneficial or practical.

Exception 320.3.2.5 (f) Guidelines for addressing exception Offend local cultural or social norms,, or be considered inappropriate on such items as condoms, toilets, bed pans, or similar commodities

Identify the relevant cultural or social norm, and explain why marking would violate that norm or otherwise be inappropriate

Exception 320.3.2.5 (g) Guidelines for addressing exception Conflict with international law, such as the international recognized neutrality of the International Red Cross (IRC) or other organizations.

Identify the applicable international law that is conflicted by marking.

Exception 320.3.2.5 (h) Guidelines for addressing exception Deter achievement of program goals, such as cooperating with other donors or ensuring repayment of loans

Identify the applicable program goals and identify other donors or explain how marking will deter achievement.

REQUEST FOR WAIVERS FOR CONTRACTS

ADS 320.3.2.6 Waivers are approved by the Principal Officer. Waivers are determined on the following criteria:

“The USAID Principal Officer has this authority to waive, in whole or in part, USAID marking requirements. The Principal Officer may only exercise this authority if he/she determines that USAID-required markings would pose compelling political, safety, or security concerns, or that marking has had or will have an adverse reaction in the cooperating country. In exception circumstances, the Principal Officer may approve a blanket waiver by region or country.” Please see ADS 320.3.2.6 for more information on waivers.

Contract Officers (CO) do not make waivers. However, only the CO has the authority to inform the contractor of a waiver decision and to direct the contractor to comply with it. A waiver decision may constitute a change to the contract terms and conditions, and only the CO has the authority to issue a change order to the contract. USAID contractors may request waivers of the Marking Plan, in whole or in part, through the CO, with the CTO then assisting in processing a waiver request to the Principal Officer.

ATTACHMENT J.5 – CERTIFICATION REGARDING TRAFFICKING IN PERSONS

COMPLIANCE PLAN

In accordance with FAR Provision 52.222-56 incorporated in full text in Section K of this Solicitation the apparent successful Offeror must submit, prior to award, a certification regarding its Trafficking in Persons Compliance Plan. A signed copy of the below certification must be submitted as part the Offeror’s Cost/Business Proposal.

Certification Regarding Trafficking in Persons Compliance Plan, pursuant to FAR 52.222-

For the Contract or portion (if any) of the Contract resulting from Solicitation No. SOL- 72052718R00001 that (1) is for supplies, other than commercially available off-the-shelf items, to be acquired outside the United States, or services to be performed outside the United States; and

(2) has an estimated value that exceeds $500,000; I hereby certify that, [insert name of apparent successful Offeror/Contractor]

1) Has implemented a compliance plan to prevent any prohibited activities identified in paragraph

(b) of the clause at 52.222–50, Combating Trafficking in Persons, and to monitor, detect, and terminate the Contract with a subcontractor engaging in prohibited activities identified at paragraph

(b) of the clause at 52.222–50, Combating Trafficking in Persons; and

(2) After having conducted due diligence, either— (i) To the best of the Offeror/Contractor’s knowledge and belief, neither it nor any of its proposed agents, subcontractors, or their agents is engaged in any such activities; or (ii) If abuses relating to any of the prohibited activities identified in 52.222– 50(b) have been found, the Offeror/Contractor or proposed subcontractor has taken the appropriate remedial and referral actions.

The term “commercially available off the-shelf (COTS) item,” is defined in the clause of this solicitation/Contract entitled “Combating Trafficking in Persons” (FAR clause 52.222–50)

Signature:

Date:

[END OF ATTACHMENT J.5]

ATTACHMENT J.6 - INITIAL ENVIRONMENTAL EXAMINATION (IEE)

Partnership for Land Use Science (Forest-PLUS II)

Program/Project/Activity Data:

Activity/Project Title: Partnership for Land Use Science

(Forest-PLUS II)

Solicitation #: N.A.

Contract /Award Number (if known): N.A

Geographic Location : India; 386, Originating Bureau/Office: USAID/India, Clean Energy and Environment (CLEEO)

Supplemental IEE: ☐ Yes ☒ No

Amendment: ☐ Yes ☒ No

Programmatic IEE: ☐ Yes ☒ No

DCN and date of Original document: N.A

DCN and ECD link (s) of Amendment (s): N.A

Amendment No: N.A

Funding Amount: $ 2.7 million

Life of Project Amount: $15 million

Implementation Start/End: FY 2018/ FY 2023

Prepared By: Juliann Aukema, Julia Kennedy and Varghese Paul

Date Prepared: November 3, 2017

Expiration Date (if any): Reporting due dates (if any): N.A

Environmental Media and /or Human Health Potentially Impacted (check all that apply)

None ☒ Air ☐ Water ☐ Land ☐ Biodiversity ☐ Human Health ☐ Other ☐

Recommended Threshold Determination:

☒☐Negative Determination ☒With Conditions

☒Categorical Exclusion

☐Positive Determination

☐Deferral

☐Exemption

☐USG Domestic NEPA action

Climate Change

☐ GCC/Adaptation ☐ GCC/Mitigation☒ Climate Change Vulnerability Analysis (included)

Adaptation/Mitigation Measures: Not Applicable

SUMMARY OF FINDINGS

Pursuant to 22 CFR 216.2(a), environmental analysis/evaluation is required for new projects, programs or activities authorized by USAID. This Initial Environmental Examination (IEE) evaluates the Forest-PLUS II activity over a period of five years.

RECOMMENDED ACTION:

(i) Categorical Exclusion:

Pursuant to 22 CFR 216.2(c) (3), the originator of the activities (USAID/India Clean Energy and Environment Office (CLEEO)) has determined that “core” program activities, which include technical assistance, training and capacity building, studies, development of forest management plans, developing of ecosystem services monitoring tools are environmentally neutral actions, (Table I), consist of types of interventions entirely within the categories listed in 216.2(c) (2) and are therefore recommended to be categorically excluded by falling under the following classes of actions:

• The action does not have an effect on the natural or physical environment {22 CFR 216.2(c)(1)(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.) {22 CFR 216.2(c)(2)(i)};

• Document and information transfers {22 CFR 216.2(c)(2)(v)}.

These activities represent approximately 70% ($10.5 million) of the total estimated cost of the activity.

(ii) Negative Determination with Conditions (NDC):

A Negative Determination with Conditions is recommended for certain interventions, namely strengthening forest-based enterprises. This component involves identification of prospective economic opportunities among forest-based value chains, strengthening forest-based enterprises and encouraging investment in viable economic opportunities by private and public sectors. This component represents approximately 30% ($4.5 million) of the total estimated cost of the activity. Establishment of processing and value addition units by the implementing agency or by third party entrepreneurs might have a negative impact on the environment. To ensure compliance, the implementing agency will develop an Environmental Review Manual1 (EM) which will be compliant with the Indian regulations and will be approved by the MEO and COR at USAID. The EM shall be also compliant with the Indian obligations under relevant ratified international environmental agreement. The manual will detail out the criteria and procedure to assess the potential impacts of each of the enterprises and include a framework of the environmental mitigation and monitoring plan (EMMP). Based on the assessment made for each enterprises, the partner will develop enterprise specific EMMP. The partner will undertake suitable mitigation measures including monitoring and reporting on the compliance.

Furthermore, the COR will carry out together with MEO/DMEO & CIL, as warranted, random site visits to ensure that the conditions in this IEE as well as specified in the specific EMMP are implemented. The implementing agency will also undertake training and educational efforts to improve awareness of its partners and sub-contractors/sub-grantees, of the local beneficiaries and third party entrepreneurs.

(ii) Climate Risk Screening:

The technical office undertook the detailed climate risk analysis and presents below a brief summary. The majority of interventions proposed under the Forest PLUS II activity are at a low risk from adverse effects related to the impacts of climate change. The interventions are predominantly technical assistance and are not subject to significant climate risk. However, the natural resources the activity seeks to protect and strengthen are vulnerable to the impacts of climate change. We are proposing actions to be incorporated into activity implementation to help reduce that vulnerability and increase the resilience of the forests and communities who depend on them. Conversely, this activity will have a beneficial impact on climate change because the development of evidence-based forest management plans that incorporate ecosystem service values will increase the climate resilience of the forests themselves and the surrounding communities by identifying and tracking changes in the services they rely on.

These plans also decrease climate risk through strengthening incentives for maintaining

1 The manual will detail out the procedures related to environment review that will guide the award and implementation of the NDC activities.

forests and the ecosystem services they provide, thereby decreasing greenhouse gas emissions.

Climate change is projected to impact India’s forests. In west and central regions, forest cover is expected to shift to drier forest types as the drying effect of increased evaporation outpaces increases in precipitation. Forest fires, which already account for the loss of an average of 1 million hectares each year, may increase with warmer temperatures. Any change in forest cover would impact around 300 million people, including many indigenous communities, who are directly dependent on forests for their livelihoods.

The technical assistance interventions proposed under the Forest-PLUS II to strengthen management of forests, to include ecosystem services in forest management planning, and to increase economic opportunities from improved land management are not subject to climate risks. However, the base for these technical assistance interventions, the forests and the ecosystem services from the forests will be subject to climate risks in the long term. The development of evidence-based forest management plans (that incorporate ecosystem service values), through the project support, will increase the climate resilience of the forests themselves and the surrounding communities by identifying and tracking changes in the services they rely on. These plans also decrease climate risk through strengthening incentives for maintaining forests and the ecosystem services they provide, thereby decreasing GHG emissions.

The technical assistance to strengthen enterprises will consider capacity building for identifying and responding to the climate risks that impact the operation of the enterprises. If the risk is sufficiently high and the enterprise is motivated to do so, technical assistance could be provided to develop an action plan or implement measures to improve the climate resilience of that enterprise.

1. BACKGROUND AND ACTIVITY DESCRIPTION

1.1 Purpose and Scope of the IEE

The purpose of this IEE is to reflect on potential environmental impact under the Forest-PLUS II project to be implemented over five years.

1.2 Background

USAID’s Forest-PLUS project was designed to support and strengthen the elements of the “Green India Mission2”, and accelerate India’s transition to a high performing, low emissions, and energy secure economy. The primary focus was on strengthening capacity for REDD+ (Reducing Emissions from Deforestation and Forest Degradation) in India. This project is ending on November 2017.

In the next phase, Forest-PLUS II will build on its earlier work to provide technical assistance to Government of India (GoI) and other stakeholders to manage forest landscapes in India for enhanced ecosystem services and increased inclusive economic opportunities.

USAID benefits from a number of interesting lessons from the initial Forest PLUS activity that we are incorporating into the new activity. These include:

1. It is important for female foresters to improve their leadership skills. In response, Forest-PLUS II includes a leadership training program for women and will aim for at least 30% participation of women in training activities.

2. Forest-PLUS introduced the ecosystem approach to forest management. While the state governments have begun to implement this approach, there is a need for tools and expertise to support this work. Forest-PLUS II will strengthen the capacity of stakeholders to apply an ecosystem approach to forest management at different levels of management (e.g. state, local, community).

3. The Forest PLUS work on livelihoods revealed that the economic incentives created through small scale income generating activities are often not sufficient for changing behaviors related to use of forest resources. Forest-PLUS II incorporates these lessons by encouraging offerors to support conservation enterprises and value chain partnerships in addition to small scale livelihoods activities. In addition, the implementer will include a private sector development expert in the proposed core activity team.

1.3 Description of Activities

Forest-PLUS II will improve the management of targeted forest landscapes in India for enhanced ecosystem services and increase inclusive economic opportunities. The program involves strengthening forest management, inclusion of ecosystem services, and increasing economic opportunities from improved land management.

The project has the following three components:

i. Strengthening ecosystem-based management of forest landscapes

2 Green India Mission or the National Mission for Green India is one of the eight missions under India’s National Action Plan on Climate Change (NAPCC). It aims at protecting, restoring and enhancing India's forest cover and responding to climate change by a combination of adaptation and mitigation measures

The first component of Forest-PLUS II will focus on ecosystem based management in targeted forest landscapes including activities focused on: a) providing technical assistance for management planning processes, specifically developing management plans and capacity building for forestry staff; b) providing technical assistance to support the development and deployment of tools, techniques, protocols, and/or processes for land managers for improved decision making by state and private entities; and c) establishing a system for monitoring forest cover and quality, and the outcomes of forest management interventions. Some of the illustrative activities that will be undertaken in this component include:

• Enhancement/modification of the digital tools developed under the Forest-PLUS project such as the Forest Data Management System and mForest to include data collection and analysis of ecosystem services beyond carbon

• Developing remote sensing protocols for forest monitoring. This activity will build on the monitoring systems developed under USAID’s SERVIR program

• Developing low–cost system for forest monitoring integrating digital and remote sensing tools

• Developing land use decision support tools

• Developing forest management plans, based on ecosystem based approach

• Capacity building of GOI stakeholders on use of analytical and monitoring tools and development of management plans

ii. Factor ecosystem services into management of forest landscapes

The second component of Forest-PLUS II will incorporate ecosystem services into at least six

(6) management plans by assessing and quantifying ecosystem services (carbon, water, and biodiversity at a minimum), their flows, beneficiaries, and economic values and integrating this information back into the management plans of the first component and into cost benefit analyses of management or land use alternatives. This component also includes the design and possible piloting of incentive mechanisms (e.g. Payment for environmental services), building from USAID experience in this domain and an analysis, to be conducted by the implementing partner, of what is legally and politically feasible as well as an examination of outcomes (successes and failures) of incentive mechanisms in other contexts (e.g. India or globally).

The pilot pertains to use of incentives as a tool to improve the ecological health of forests and enhance the flow of ecosystem service from the forests. The pilot would involve facilitating MOUs between the appropriate buyers and the forest dependent communities, who are the providers/managers of ecosystem services from forests (such as water). The buyers could include, for example, municipalities or the private industries that would use those ecosystem services (such as water).

Some of the illustrative activities that will be undertaken in this component include:

• Developing baselines of ecosystem services from forests

• Identifying valuation methods for specific ecosystem services

• Incorporating ecosystem values in the management planning aspect of component 1

• Providing technical assistance to GOI in developing a system for periodic monitoring of the flow of ecosystem services

• Providing technical assistance to GOI in applying cost benefit analysis (including ecosystem services) in land use and policy decisions

• Implementing a pilot on an incentive mechanism for managing forest landscapes to provide enhanced delivery of ecosystem services

iii. Increase economic opportunities from improved landscape management

The third component of Forest-PLUS II will increase economic opportunities from improved landscape management by strengthening of value chains in a way that reduces and eventually reverses degradation. In this component, business models for selected value chains will be developed to scale up in ways that lead to improved overall management of entire landscapes.

It will involve careful selection of appropriate value chains, providing technical assistance to strengthen those value chains in ways that are profitable, inclusive, and incentivize reinvestment in long-term landscape integrity, and it will involve providing technical assistance for attracting investment in expanding or replicating business models that can achieve those objectives.

Illustrative activities include:

• Conducting market demand analysis of forest based products

• Conducting value chain analysis; including production, processing, trade and distribution of forest based products

• Facilitating establishment of enterprises based on selected value chains, which includes processing and value addition units

• Providing technical assistance to facilitate investment in viable forest product based economic activities by private and public sector

Geography and Beneficiaries: The locations where the forest management planning, ecosystem services piloting and value chain strengthening activities will be implemented shall be determined at a later date, in collaboration with the Government of India’s Ministry of Environment, Forest and Climate Change (MOEFCC). USAID and MOEFCC will select three to four landscapes which will represent the major forest type groups/agro-ecological zones in India. This will improve the replicability and scalability of the approaches and tools developed under Forest-PLUS II.

Beneficiaries of the activity include the state forest departments and communities in the project area.

2. RECOMMENDED THRESHOLD DECISIONS AND MITIGATION ACTIONS

Categorical Exclusion and Negative Determination with Conditions (Please refer to the Summary Section).

The justification for recommending a determination of Categorical Exclusion for activities under the project is due to their nature, such as technical cooperation, training programs, capacity building, knowledge management and communication, and other similar types of environmentally neutral actions. For certain activities, a determination of NDC has been made.

The table below lists the major activities of the Program according to Reg. 216 requirements and recommends Threshold Decisions and environmental compliance actions.

Components and illustrative activities

Effect on Natural or Physical environment

Threshold decisions and Reg.216 actions required

1 Strengthen ecosystem-based management of forest landscapes

No negative effect on environment.

In fact implementation of activities under this component will have positive impact on the natural environment such as improved ecological health of forests.

Categorical Exclusion: No action required

2 Factor ecosystem services into management of forest landscapes

No effect

Categorical Exclusion: No action required

3 Identify and analyze prospective economic opportunities among forest-based value chains

Insignificant effect.

Establishment of processing and value addition units by the implementing agency or by third party entrepreneurs might have some negative impact on the environment.

Negative Determination with Conditions:

• The Implementing agency will develop an Environmental Review Manual3 which will be compliant with the Indian regulations and will be approved by the MEO and C/AOR at USAID.

• The manual will detail out the criteria and procedure to assess the potential impacts of each of the enterprises and include a framework of the environmental mitigation and monitoring plan (EMMP).

• Based on the assessment made for each enterprises, the partner will develop enterprise specific EMMP.

It will undertake suitable mitigation measures including monitoring and reporting on the compliance.

• The AOR/COR will carry out random site visits to ensure that the provisions on the EMMP is implemented.

• The implementing agency will also undertake training and educational efforts to improve awareness of its partner and sub-contractors/sub-grantees, of the local beneficiaries and third party entrepreneurs.

• The implementing agency will ensure that for all enterprises best practices for site selection will be followed

3 The manual will detail out the procedures related to environment review that will guide the award and implementation of the NDC activities.

so that there is minimal disturbance to the local environment including existing forest cover, native flora, wildlife etc.

• The implementing agency will follow all relevant GOI legislations related to enterprise management.

3. MITIGATION, MONITORING & EVALUATION

3.1 Specific Responsibilities

The COR and the MEO will review and approve environmental compliance documentation, conduct spot checks to ensure that conditions in the IEE are met, mitigating measures identified are implemented, and adequate measurement protocols are in place to ensure their implementation, and provide guidance when required to the Implementing Partner. The COR and MEO shall explain at the post award conference all conditions approved in the IEE to the implementing partner

3.2 Reporting Requirements

The Implementing Partner will regularly report to USAID on and have a section on environmental compliance in its Annual Work Plans. The Final Report will also have a section that will summarize activities related to environmental compliance and will describe results.

4. LIMITATIONS OF THE IEE

This IEE does not cover activities involving:

• Assistance for the procurement, use or recommendation for use of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials.

• Activities involving support to wood processing, agro-processing, industrial enterprises, and regulatory permitting.

• GDA and DCA

• Assistance, procurement, or use of genetically modified organisms (GMOs).

• Procurement or use of Asbestos, Lead, and or Mercury Containing Materials (ALMCM), PCB containing transformers, or other hazardous/toxic materials for construction projects.

5. REVISIONS

Pursuant to 22 CFR 216.3(a) (9), if new information becomes available which indicates that activities to be funded by the project might be “major” and their effects “significant,”…