SOW_Attachments_I_through_IX.pdf

Attachment I

Desk Study: Business Confidential Analysis and Recommendation Outline

A. Executive Summary.

The Desk Study contractor (“Contractor”) shall provide an executive summary of the Contractor’s findings and recommendations.

B. Project Description.

The Contractor shall provide a brief description and history of the project (the “Project”). The Contractor shall describe the proposed technology from the U.S. firm to be used in the Project. The Contractor shall describe whether the proposed U.S. solution is technically viable and/or commercially available. If the

Contractor finds the proposed U.S. solution is not technically viable and/or commercially viable, the

Contractor shall discuss these issues with USTDA program staff before providing a recommendation.

The Contractor shall describe relevant issues to the Project [e.g. host country and/or other stakeholders, sector, Project location, source of raw materials, infrastructure requirements, proposed technological approach, legal and regulatory framework (licenses, permits, etc.), implementation schedule, economic fundamentals (estimated capital cost, operating costs, interest expense, taxes, expected revenues, etc.), the specific objectives of the proposed activity, how the proposed USTDA activity supports the Project implementation process, and any other variables or issues the Contractor deems critical as part of a thorough activity/Project evaluation.]

C. Project Sponsor’s Capabilities and Commitment.

This section describes the Project sponsor’s commitment and capabilities to undertake the activity and the subsequent Project. The purpose is to understand the experience of the Project sponsor and any previous work undertaken by the Project sponsor in the sector. This section should also include a discussion of any potential risks of working with the Project sponsor that could delay Project implementation. This can take many forms but should at a minimum address the applicable points below:

A thorough description of the host country Project sponsor, including its structure, capabilities, operations, and decision-making ability pursuant to the Project, and

An assessment of the Project sponsor’s commitment and ability to implement the Project (e.g.

the Project sponsor’s previous experience, current commitments, responsiveness, business activities, and government mandate).

D. Implementation Financing.

This section describes the Project sponsor’s plans to secure financing to implement the Project. This can take many forms but should at a minimum address the points below:

An assessment of the overall cost estimate of the Project;

For Projects involving potential equity investment, the Project’s proposed debt-equity structure to ensure that it corresponds to the requirements of the prospective lenders (this aspect is critical to USTDA’s decision making); and

A review of the financing options for Project implementation.

The Contractor is required to contact officials from the potential financing institutions, including, where appropriate, multilateral lending institutions, Export Import (Ex-Im) Bank, Overseas Private Investment

Corporation (OPIC), and private/commercial sources, to ensure that the Project sponsor(s) has adequately explored all financing options. The Contractor shall provide names and phone numbers of contacts at the potential financing institutions and summarize their comments. The Contractor must determine the most likely source(s) of implementation financing for the Project. The Contractor must ensure that the Terms of Reference (TOR) for the activity fulfill the requirements of the most likely financing source(s).

E. U.S. Export Potential.

This section describes the U.S. export potential that may result if the Project is implemented. The purpose is to estimate the U.S. export potential in order to justify USTDA funding for the activity.

This can take many forms but should at a minimum address the points below:

The Contractor shall provide a best estimate of potential procurement of U.S. goods and services for

Project implementation. This estimate should be supported by a breakdown by category and dollar value of goods and services likely to be imported for the Project and an illustrative list of potential U.S.

suppliers of the goods and services for those goods and services listed as likely U.S. exports. The

Contractor shall include U.S. content in their evaluation of U.S. exports, including an analysis of U.S.

manufacturing and services sourced from the United States that would most likely be used for the

Project. The Contractor shall cross-check the U.S. firm’s estimates of U.S. export potential with independent relevant sources, such as:

- USTDA program staff and USTDA’s evaluations data;

- The U.S. Department of Commerce’s International Trade Administration;

- Industry and trade associations; and

- Outreach with other U.S. suppliers in the sector.

The Contractor shall describe how procurements are typically conducted: 1) in the sector; 2) by the

Project sponsor; and 3) in the host country. The Contractor shall confirm whether there are local content requirements or procurement restrictions in this sector or for the Project and whether a local provider/distributor will be or is likely to be involved in Project implementation. The Contractor shall also list any import licensing requirements or permits needed by U.S. companies to participate and supply goods for the Project. The Contractor shall also identify any U.S. companies already working with the Project sponsor or working in the respective sector in the host country.

The Contractor shall provide a report that summarizes its discussions with U.S. companies that provide goods or services for the Project, and their level of interest in the Project should also be included. The

Contractor shall take note on not only the U.S. company’s general interest in the relevant sector or country, but also interest in the specific Project. The Contractor shall analyze how competitive the U.S.

company’s goods or services would be if the Project reaches the implementation stage. To ensure no one is given unfair advantage to compete for USTDA’s funding or the Project implementation, the Contractor should be sensitive to disclosing information about the proposed USTDA activity.

The Contractor shall submit a complete list of U.S. companies and other entities contacted, with the name and contact information of individuals interviewed and their responses.

F. Foreign Competition and Market Entry Issues.

This section describes foreign competition and market entry issues in the host country. The purpose is to demonstrate why USTDA funding may be needed in order to level the playing field for U.S.

companies. This can take many forms but should at a minimum address the points below.

The Contractor shall provide a discussion of the foreign competition for goods and services likely to be procured for Project implementation by category. The Contractor shall include a discussion of U.S.

industry competitiveness in each category, taking into account geographic factors, host country industry capabilities, technology and licensee issues, past procurement tendencies of the Project sponsor, and how the procurement is likely to be conducted. Where relevant, the Contractor shall discuss the extent to which market entry issues impede exports and trade and how the activity will help overcome these obstacles.

G. Evaluation Strategy.

This section describes the strategy by which the Project, if implemented, should be evaluated. The purpose is to concisely describe the baseline goals and objectives of the Project, along with any potential risks or timeline hindrances, so the actual implementation results can be evaluated accordingly. This can take many forms but should at a minimum address the points below:

Goals and objectives:

o Clearly define the goals of the Project and identify what will constitute success

Ex: For trade capacity building or legal project, any change in law as result of

Project o Identify key sources for information needed to determine if USTDA’s activity attained its objective o Identify potential methods of measurement for evaluation specific to the Project

Process and Timeline:

o What is the step-by-step process the Project will follow to be implemented, following

USTDA’s funding?

o What is the anticipated Project development timeline? This may change, but it is important to know what the original goal is as it will influence USTDA’s evaluation effort.

o How are procurements typically conducted in the sector for this host country?

o Will there be local content requirements?

o Will a local provider/distributor be involved?

o Will there be one big procurement or several smaller ones? Will other entities be involved if the procurements are small?

Risks:

o Identify potential difficulties in measuring results and ways to mitigate those difficulties o Is any regulation needed before the Project can be developed (e.g. power purchase agreement standards)?

o Are there other entities that must authorize/approve implementation? List them according to their priority in the approval chain.

Key Leads:

o Are there US companies that already have business with the Project sponsor or in the sector? If so, what is USTDA’s added value for these companies’ ability to pursue additional business?

o Are there any companies short-listed for procurements? If so, are they short listed via direct sales, distributor, etc.?

H. Developmental Impact.

The Contractor shall identify at least one viable and quantifiable Development Impact Measure that will result from the Project being implemented based on the recommendations of the USTDA activity. The

Contractor shall work with the proposed Project sponsor and USTDA to identify the most viable

Development Impact Measure(s) that will result for the host country. Please refer to the Development

Impact Guide provided in Attachment VIII for the complete list of indicators and further instruction on how these indicators should be selected and estimated. The Program Evaluation

Office may provide additional guidance. The indicator should be chosen according to the sector. More than one Development Impact Measure may be identified for an activity but they must be viable and quantifiable. If the Contractor believes it is necessary to recommend a Development Impact Measure that is not contained in the list, please contact the COR and the Program Evaluation Office.

The Contractor shall provide the following information for each indicator identified for each activity: 1) current status, prior to USTDA’s activity and Project implementation (Baseline); 2) anticipated outcomes should the Project be implemented, based on the recommendations of the USTDA activity; 3) the anticipated timeline for the realization of these outcomes; and, 4) how such information can be measured and what sources could be utilized to determine whether the outcome was realized.

I. Impact on the Environment.

The Contractor shall provide a statement regarding the likely consequences the proposed Project may have on the environment. The Contractor shall ensure that the TOR for the activity includes, at a minimum, a preliminary review of the Project’s impact on the environment, with reference to local requirements and requirements of potential financing source(s) of the Project. The Contractor should identify potential negative impacts and discuss the extent to which they can be minimized or mitigated.

The Contractor shall conduct a climate resilience screening utilizing the guidance provided in

Attachment IX and, based on climate resilience screening results, provide details, including rationale, on whether (a) an in-depth analysis is recommended; (b) an in-depth analysis is not recommended; or

(c) whether or not the climate resilience screening has indicated that a proposed Project should not move forward. If in-depth analysis is recommended, the Contractor shall propose language for the TOR (see section O, #4).

J. Impact on U.S. Labor.

The Contractor shall provide an assessment of the impact of the Project on U.S. labor. The Contractor shall address the legislative prohibitions on the use of Foreign Assistance funds described in Attachment

III and any implication such prohibitions may have on the activity and/or Project.

K. Qualifications.

The Contractor shall provide a review of the capabilities of the U.S. firm submitting the proposal and the qualifications of the proposed U.S. firm’s personnel.

L. Justification.

The Contractor shall provide an explanation of why USTDA’s grant funding is needed, including a description of how the Project would support U.S. government policy priorities and promote trade, how

USTDA's participation would add value to the Project's development, and how the success of the Project would be measured in terms of trade capacity and development impact.

M. Recommendations.

The Contractor shall provide analysis and recommendations as to whether or not the Project meets

USTDA’s basic funding criteria as defined in Section D.1.2.1 in the Desk Study Statement of Work.

If the recommendation is that USTDA should fund the activity, but in a phased approach or only if certain outstanding issues are resolved or conditions met, those phases, issues or conditions should be clearly delineated and discussed in the recommendation.

N. Contacts.

The Contractor shall provide a list of individuals contacted during the Desk Study. The list shall include the address, phone and fax numbers, and e-mail address of each individual.

O. Terms of Reference.

The Contractor shall be responsible for submitting to USTDA a Terms of Reference (“TOR”) and budget for the activity that conforms to USTDA’s requirements. This work shall entail working with the U.S.

firm and the proposed Project sponsor to develop the TOR and budget for the activity using the U.S.

firm’s and Project sponsor’s draft proposal as a basis. The TOR, which must be approved by the Project sponsor and the U.S. firm, shall include, at a minimum, the following:

1. Purpose and objective of the activity. This section will contain a concise statement describing the activity.

2. A technical assessment. This section will include relevant background information and analysis that is pertinent to the technical feasibility of the Project (e.g. site selection, gap analysis, data collection, comparative analysis, parameters for pilot project implementation, baseline indicators and key performance indicators, a review of any previous reports or studies related to the Project, and an assessment of technologies to be used in pilot project implementation).

3. An economic analysis of the Project. This section will include a detailed analysis on all of the costs associated with the implementation of the Project, and relevant additional economic analyses relevant to the viability of the Project. This section shall provide all relevant information pertaining to the economic analysis of the Project (e.g. a cash flow analysis, analysis of market conditions, raw material availability, supply agreements, off-take agreements, competing alternative methods of achieving the same or similar Project objectives). This analysis should also include the internal rate of return under a variety of different assumptions (e.g. different interest rates, depreciation, licensing fees, and import duties).

In addition, in order to provide the Project sponsor with sufficient information to responsibly implement, manage, and maintain the Project for the duration of the investment, this section will provide a Life Cycle Cost Analysis (LCCA) as part of the overall Project cost estimate.

The LCCA shall examine the total initial capital costs to plan, design, develop, and build the

Project, and also shall include a detailed analysis of the costs associated with the medium-term and long-term operation of the Project, which includes maintaining the facilities, equipment, and other assets financed as part of the Project. Such costs include, but are not limited to, warranties, operation, maintenance, acquisition, installation, refurbishment, and disposal costs that could be encountered throughout the life of the Project.

A financing plan for the Project. This section shall provide an analysis on the different types of financing (e.g. equity, debt) available for Project implementation. This section will assess whether or not potential public and private financing organizations (e.g. the World

Bank, relevant regional multilateral development banks, Ex-Im and OPIC) are interested in providing financing for Project implementation. This section shall include a financing plan and a financing strategy, including several approaches to securing financing for the Project based on discussions with the Project sponsor, potential lenders and potential financiers. This section shall outline the rationale for the financing plan and financing strategy and shall take into account a number of relevant factors (e.g. timing, interest rates, and potential financing terms). This section shall also provide a recommendation for the most effective financing sources for the Project.

This section shall include a sensitivity analysis of the return on investment (ROI). The sensitivity analysis shall account for the cost recovery indicators based on different assumptions for key Project variables, such as electricity tariffs, sales volumes, capital and operating cost estimates, and interest rates and investment requirements.

If sources of financing are not yet confirmed, this section shall identify the potential sources of financing. The U.S. firm, with the Project sponsor’s express permission, shall contact the potential sources of financing to assess the likelihood of receiving financing from such sources. This section shall outline the sources including, but not be limited to, bilateral financing institutions, multilateral financing institutions, international financing institutions and local and regional commercial banks.

This section shall also identify any and all Project risk factors and including a risk avoidance/reduction plan for each factor by means of insurance and bonding or other means.

The plan shall meet the requirements of the potential financing sources, including host country sources, multilateral financiers, international financing institutions and others.

4. An appropriate preliminary environmental analysis of the Project. This section shall include a preliminary review of the Project’s anticipated impact on the environment with reference to host country requirements and those of potential financiers (e.g. the World

Bank). This review would identify potential negative impacts, discuss the extent to which they can be mitigated. The U.S. firm shall develop plans for a full environmental impact assessment if and when the Project moves forward to the implementation stage. This includes the identification of steps that will need to be undertaken by the Project sponsor subsequent to the activity’s completion and prior to Project implementation. Based on the Contractor’s climate resilience screening, if an in-depth analysis for the Project is needed, then the

Contractor shall propose language detailing how the U.S. firm should complete such an in-depth analysis for the Project (see Attachment IX).

5. A review of regulatory issues and the legal framework related to the Project. This section shall include a discussion of the relevant regulatory structure needed, including an assessment of any regulations that would impact the Project's viability, a prognosis to move forward, and a need for additional regulations. Unless otherwise specified, this review shall include a review of current and proposed regulations, permitting requirements, licensing requirements, legal framework, construction approvals, foreign participation regulations, regulations that impact environmental requirements, and any other regulatory issues that may have a significant impact on the Project. This section shall identify policy and/or legislative actions that could either act as potential barriers to the implementation of the Project or would be necessary for implementation of the Project. This section shall also review any pending or potential regulatory actions that may impede Project implementation. If the Project does not meet all requirements, the U.S. firm shall identify methods to overcome those deficiencies.

6. An analysis of key host country development impacts. This section of the TOR shall detail the anticipated host country impacts of the Project, in accordance with USTDA’s

Development Impact Measures, should the Project be implemented following the recommendations provided through the activity. This task shall incorporate the baseline information gathered by the Contractor, in accordance with Section H of this Attachment I, and provide clear instructions to the Project sponsor and U.S. firm to update this baseline information to accurately reflect new projections based on the analysis of Project feasibility and recommendations set forth in other tasks. This task shall instruct the U.S. firm to utilize the Development Impact Guide provided in Attachment VIII, in conjunction with the baseline data. The U.S. firm shall work closely with the Project sponsor during this task to ensure that the projected development impacts are viable and measurable.

7. U.S. sources of supply. This section of the TOR shall contain a task for an assessment of

U.S. sources of supply for all goods and services required to implement the Project. This section shall include a list that includes (i) the possible U.S. sources of supply and/or services for the Project, (ii) a detailed description of relevant products, solutions and/or services to be provided, and (iii) contact information for the party or parties responsible for marketing/sales in the host country. The business name, point of contact, address, telephone number, and e-mail address shall be included for each identified party. This shall include different types of

U.S. suppliers that would be relevant to the implementation of the Project (e.g. technology license providers, engineering and construction companies, project management and oversight companies; equipment providers; and U.S. suppliers of environmental protection and compliance equipment). The list may also include information on potential U.S sources of services that the Project sponsor may need for the successful technical and commercial operation of the Project, such as operating management, maintenance management, product quality control, and product marketing assistance.

The U.S. firm shall be expected to be in direct contact with potential U.S. suppliers. The U.S.

firm shall meet with U.S. companies to better understand their interest in the Project. The

U.S. firm shall also identify any potential challenges for U.S. suppliers and ways to mitigate these challenges. For competed projects, the U.S. firm shall prepare a Project announcement that can be publicly distributed to various U.S. based equipment and service firms announcing the Project and the requirements (at an informational level).

The U.S. firm shall engage relevant potential suppliers in discussions and analyze their interest in supplying equipment and services for the Project. The U.S. firm shall inform the

Project sponsor of which U.S. suppliers have expressed interest in the Project.

8. An implementation plan. This section shall include the work required, after the conclusion of the activity, to implement the Project, with a corresponding timeline of when each step is anticipated to occur. This section shall include all relevant information pertaining to the implementation of the Project and specifically address any gaps and inefficiencies identified during the course of the activity. The implementation plan shall provide the Project sponsor with a detailed description of the gaps and the options to mitigate each of them, coupled with a cost/benefit breakdown for each option (e.g. technology procurement, installation, site preparation, any facility renovations/construction, civil modifications required during construction, short and long-term training requirements, operations and maintenance, a proposed annual budget requirement for the Project, any relevant changes to the Project sponsor’s corporate structure that could bolster the implementation of the Project, Key

Performance Indicators including their baselines and proposed annual targets, power purchase agreements, and construction requirements). The implementation plan shall also include a detailed strategy on how the Project will meet any regulatory, licensing, permitting, and environmental requirements identified in Tasks 4 and 5. The implementation plan shall be of sufficient scope and detail for presentation to potential financing source(s).

The U.S. firm’s implementation plan and budget shall be based on the final agreed-upon strategy for Project implementation as recommended by the U.S. firm and adopted by the

Project sponsor.

9. Final Report. The U.S. firm shall prepare and deliver to the Project sponsor and USTDA a substantive and comprehensive final report of all work performed under the TOR. The final report shall be organized according to the above tasks, and shall include all deliverables and documents that have been provided to the Project sponsor. The final report also shall include an Executive Summary. The final report shall be prepared in accordance with Clause I of

Annex II of the Grant Agreement.

The TOR must be designed to meet the requirements of the most likely source(s) of implementation financing. The requirements of some of the potential financing sources may be found at the following web sites:

www.opic.gov/finance.home.html www.exim.gov/tools.index.html www.ifc.org/proserv www.adb.org/PrivateSector/finance/default.asp www.ebrd.com/applyindex.html www.iadb.org www.afdb.org/opportunities/business_generic_proc_notices_country.htm

P. ACTIVITY BUDGET (2-3 PAGES)

Activity Budget Format

The Contractor shall provide a detailed budget that is divided into two parts: a line item budget and task breakdown (Attachment V) and a Task Completion Schedule (Attachment VI)

All costs in the budget should be reasonable and allocable to the work being performed, and should cover all of the work required under the activity’s TOR. The budget should be supported with sufficient detail to enable USTDA staff or others reviewing the material to understand completely, not only the budgeted amounts, but also the methodology that justifies the budget amounts. The budget should be provided in accordance with the format in Attachment V and should include:

Labor, budgeted by position title and task for each of the positions on the U.S. firm’s team. Positions should be identifiable, with descriptions of the positions and proposed team members included in the proposal. Person-Days should reflect the proposed number of days of work effort proposed for each position for each task. The labor cost shall be derived as set forth in Attachment V. The proposed budget may not include fee or profit.

Itemization for per diem, transportation, communications, purchased services/contracts, translation of final report, and other direct costs. Per diem must be based on U.S.

Government rates, which are available on the State Department web site

(https://aoprals.state.gov/web920/per_diem.asp) .

For each line item, the Contractor shall must include an explanation for how all costs were derived.

The Task Completion Schedule should list each major task to be performed in support of the activity’s

TOR. The duration of each task is to be graphically presented in a bar chart as illustrated in Attachment

VI.

http://www.opic.gov/finance.home.html http://www.exim.gov/tools.index.html http://www.ifc.org/proserv http://www.adb.org/PrivateSector/finance/default.asp http://www.ebrd.com/applyindex.html http://www.iadb.org/ http://www.afdb.org/opportunities/business_generic_proc_notices_country.htm https://aoprals.state.gov/web920/per_diem.asp

Attachment III

Impact on U.S. Labor Statement

The Foreign Operations, Export Financing and Related Programs Appropriations legislation restricts

U.S. foreign assistance from being used to provide:

(a) any financial incentive to a business enterprise currently located in the United States for the purpose of inducing such an enterprise to relocate outside the United States if such incentive or inducement is likely to reduce the number of employees of such business enterprise in the United

States because United States production is being replaced by such enterprise outside the United States;

(b) assistance for any program, project, or activity that contributes to the violation of internationally recognized workers’ rights, as defined in section 507(4) of the Trade Act of 1974, of workers in the recipient country, including any designated zone or area in that country: Provided, That the application of section 507(4)(D) and (E) of such Act should be commensurate with the level of development of the recipient country and sector, and shall not preclude assistance for the informal sector in such country, micro and small-scale enterprise, and smallholder agriculture;

(c) any assistance to an entity outside the United States if such assistance is for the purpose of directly relocating or transferring jobs from the United States to other countries and adversely impacts the labor force in the United States; or

(d) for the enforcement of any rule, regulation, policy, or guidelines implemented pursuant to—

(A) the third proviso of subsection 7079(b) of the Consolidated Appropriations Act, 2010;

(B) the modification proposed by the Overseas Private Investment Corporation in November

2013 to the Corporation’s Environmental and Social Policy Statement relating to coal; or

(C) the Supplemental Guidelines for High Carbon Intensity Projects approved by the Export-

Import Bank of the United States on December 12, 2013, when enforcement of such rule, regulation, policy, or guidelines would prohibit, or have the effect of prohibiting, any coal fired or other power-generation project the purpose of which is to: (i) provide affordable electricity in International Development Association (IDA)-eligible countries and IDA-blend countries;

and (ii) increase exports of goods and services from the United States or prevent the loss of jobs from the United States.

Attachment IV

USTDA Nationality Requirements The purpose of USTDA's nationality, source, and origin requirements is to assure the maximumpracticable participation of American contractors, technology, equipment and materials in the pre-feasibility, feasibility, and implementation stages of a project.

Award is limited to U.S. firms or U.S. individuals. Contractor and U.S. subcontractor employees used shall be either U.S. citizens or non-U.S. citizens lawfully admitted for permanent residence in the

United States. Contractor use of subcontractors is limited to less than fifty percent of the proposed price. International transportation and insurance must have their nationality, source and origin in the

United States. Local lodging, food, and transportation in the host country are not subject to this restriction.

Nationality:

Definitions

A “U.S. individual” is (a) a U.S. citizen, or (b) a non-U.S. citizen lawfully admitted for permanent residence in the United States (a green card holder).

A “U.S. consultant” is (a) a U.S. citizen whose principal place of business is in the United States, or (b) a non-U.S. citizen lawfully admitted for permanent residence in the United States (a green card holder) whose principal place of business is in the United States.

A "U.S. firm" is a privately owned firm that is incorporated in the U.S., with its principal place of business in the U.S., and which is either (a) more than 50% owned by U.S. citizens and/or non-U.S.

citizens lawfully admitted for permanent residence in the United States, or (b) has been incorporated in the U.S. for more than three (3) years prior to the issuance date of the request for proposals; has performed similar services in the U.S. for that three (3) year period; employs U.S. citizens in more than half of its permanent full-time positions in the U.S.; and has the existing capability in the U.S. to perform the work in question.

A partnership that is organized in the U.S., has its principal place of business in the U.S., and is more than 50% owned by U.S. citizens and/or permanent residents, qualifies as a “U.S. firm”.

A nonprofit organization, such as an educational institution, foundation, or association, also qualifies as a “U.S. firm” if it is incorporated in the U.S. and managed by a governing body, a majority of whose members are U.S. citizens and/or permanent residents.

Attachment V

Required Budget Format

DIRECT LABOR COSTS:

TOR Task TOR Task Name ____________Primary Contractor (Employee) Labor_________ Total Person Days x Daily Rate* = TOTAL COST I Task ________ (Position A) ________ ________ _____________ (Position B) ________ ________ _____________

TOTALS: ________ ________ _____________

TOR Task TOR Task Name __________________Non-Employee Labor_____________________ Total Person Days x Daily Rate ** = TOTAL COST I Task ________ (Position A) ________ ________ _____________ (Position B) ________ ________ _____________

TOTALS: ________ ________ _____________

TOTAL DIRECT LABOR COSTS: _____________

OTHER DIRECT COSTS:

Purchased Services/Contracts*** Tasks_________ TOTAL COST

Travel Trips Trip Cost TOTAL COST

International Air Travel _________ _________ _____________ In Country Air Travel _________ _________ _____________ Ground Transportation _________ _________ _____________

Trip Days Per Diem Rate TOTAL COST

Per Diem _________ _________ _____________ Other (local travel, etc.) _________ _________ _____________ Interpreters _________ _________ _____________

Other TOTAL COST Reproduction and Binding _____________ Courier Services _____________

Visa Services _____________ Communication _____________

TOTAL OTHER DIRECT COSTS: _____________

TOTAL COSTS (DIRECT LABOR COSTS + OTHER DIRECT COSTS): _____________

TOTAL U.S. COMPANY COST SHARE: _____________

PROPOSED USTDA GRANT: __________

* Primary Contractor (Employee) Labor Costs = Salary + Overhead + Benefits (no fee or profit).

** Non-Employee Labor Cost = Salary + Overhead + Benefits + Reasonable Fee or Profit.

*** Purchased Services/ Contracts may include engineering drawings, lab work, surveys, translation, etc., which would not be included in Non-Employee Labor Cost above.

Attachment IV-1

Attachment VI

Task Completion Schedule

Weeks 1 2 3 4 5 6 7 8

Task I

Task II

Task III

Final Report

Instructions

List each major task to be performed. The duration of each task is to be graphically represented. For example, in the illustrative schedule, Task 1 is to begin in Week 1 and end in Week 4. Preparation of the Final Report begins in Week 6 and is completed in Week 8.

U.S. TRADE AND DEVELOPMENT AGENCY

DEVELOPMENT IMPACT GUIDE

INTRODUCTION:

Development Impact Measures are designed to help quantify the impact of USTDA’s support for infrastructure development in emerging economies. This information is essential to USTDA’s ability to set clear goals and measure the results of its programs, relative to the Agency’s core objective of promoting United States private sector participation in development projects around the globe. Understanding the local impacts of USTDA’s program supports the Agency’s ability to design projects with a higher likelihood of implementation and a higher likelihood of U.S. export generation, thus supporting the Agency’s mission.

SELECTING DEVELOPMENT IMPACTS DURING INITIAL PROJECT DEFINITION:

Development Impact Measures should be viable, realistic and quantifiable. During the initial stages of project definition, relevant Development Impact Indicators are selected by sector from the attached list (pg. 3). At least one realistic and quantifiable Development Impact Measure is selected for each USTDA activity. A baseline measurement is established for each indicator, which is used to compare future outcomes. The baseline is also used to set an anticipated timeline and determine how the information will be measured and collected once a project moves to implementation. This baseline information is incorporated into the Terms of Reference, which provides reporting guidance to the contractor performing the USTDA activity. The Desk Study or Definitional

Mission consultant shall work in close consultation with the proposed project sponsor and USTDA personnel to select the relevant Development Impact Indicators, measure and establish baseline data, and determine how the anticipated outcomes will be measured. Here are some examples:

Sector Category Indicator Description Baseline* Anticipated

Outcome

Example: Energy and

Power

Infrastructure

Development and

Efficiency Gains

New renewable energy capacity

Expansion of this 50 MW geothermal plant in the XYZ region will double the amount of renewable energy it produces.

50 MW

renewable energy

100 MW

renewable energy

Example: All Promoting Effective

Markets and

Governance

Supporting

Regulation that

Promotes

Effective

Governance

USTDA’s support for this aviation activity will help the host country meet ICAO standards for civil aviation oversight and regulations.

N/A, or partial compliance with standards

XYZ, etc.

Compliance with ICAO standards

XYZ

*The Baseline refers specifically to the starting level of the area/population/etc. that will be directly affected by the project. For example, if the project is a greenfield power plant, the baseline would be 0 MW. On the other hand, if the project is a retrofit or expansion to an existing power plant, the baseline would be the current output (e.g., 10 MW) and the anticipated outcome would be the total output following the expansion (e.g., 100 MW). Thus the baseline is calculated at the project level, rather than the regional, country or industry-wide level.

ANALYSIS DURING PERFORMANCE OF USTDA ACTIVITY:

During the course of the USTDA funded activity, the activity contractor updates the indicators chosen and anticipated measurable outcomes, based on the recommendations resulting from the USTDA activity. The contractor incorporates the baseline analysis and adjusts the findings, as needed, to explain how the proposed activity will directly impact development in a host country. The contractor works closely with the project sponsor as well as USTDA personnel while completing the activity to ensure that the final report clearly displays the anticipated outcomes that will be achieved when the project is implemented. These updates are used in future evaluation efforts to monitor progress and expected timeframes when the development impact will be realized.

EVALUATION OF PROJECT IMPLEMENTATION AND IMPACTS:

As USTDA’s funding for the project planning assistance draws to a close, the Agency’s Program Monitoring and

Evaluation Office begins the process of evaluating the success of the project by comparing the actual results of project implementation to the initial benchmarks set during project development (i.e., potential vs. realized results). For each grant activity, the Agency conducts a Project Implementation Assessment, followed by an Initial

Impact Analysis when the final report is accepted by USTDA. Both of these assessments rely on the updates and feedback from the project sponsor and activity contractor to document the status of project implementation and expected future developments. From there, each activity is evaluated annually for several years to measure the progress made towards implementation and the impacts and results achieved. The information collected throughout the project evaluation process directly supports the Agency’s ability to identify the most effective ways to leverage its funding, inform its decision making processes, and maintain accountability and transparency with all partners.

Example:

Telecommunications

Infrastructure

Development and

Efficiency Gains

Improved Digital

Communication

Access

Implementation of the fiber optic cable network will expand internet access to XYZ areas.

500,000 people

2 million people

Initial Indicator Selection During Project Definition

Desk Study/Definitional Mission consultant identifies key goals and objectives

Sets benchmarks to measure success

Provides baseline context to compare results

Analysis During USTDA Funded Study

Activity contractor conducts deeper analysis and updates benchmarks to reflect expected results

Data collected feeds into Project Implementation Assessment

Calculation of Impact During Project

Evaluation

Evaluator measures impacts and implementation results compared to initial expectations

Evaluator documents project outcomes

Evaluator collects data to support USTDA funding decisions and strategic planning

SECTOR CATEGORY INDICATOR DEFINITION MEASURE

* For Indicators with an asterisk, quantitative baseline data and anticipated outcomes are preferred. If quantitative estimates cannot be established, yes/no measures may be utilized with USTDA Program Monitoring and Evaluation Office’s prior approval.

Agribusiness

Infrastructure Development and Efficiency Gains

Agricultural Supply Chains

Improved

Improvements made to agricultural systems as a result of project implementation

Tons per year or Y/N*

All

Infrastructure Development and Efficiency Gains

Improved Output through

Advanced Technology

New technologies introduced to a host country resulting in an increase of efficiency, capacity, or output/process improvement

$ value or

Y/N*

All

Promoting Effective Markets and Governance

Supporting Ability to Secure

Financing

Implementation/utilization of USTDA recommendations enabled project sponsor and/or participants to secure financing (private or public)

$ amount of financing secured

All Human Capacity Building Temporary Jobs Created Temporary jobs created by project implementation

Number of individuals

All Human Capacity Building Permanent Jobs Created Permanent jobs created by project implementation

Number of individuals

All Human Capacity Building

Training and Skill

Development

Training and Skill Development for host country stakeholders enabled through project implementation

Number of individuals

All

Promoting Effective Markets and Governance

Access to New Financial

Products and Services

Number of new financial products or services offered

(private mortgage financing systems, debt finance for energy efficiency, state natural resource funds, etc.)

Number of individuals

All

Promoting Effective Markets and Governance

Supporting Regulation that

Promotes Effective

Governance

Adoption of policy, regulations or law that promotes effective governance of a sector or market (including compliance with a bilateral or multilateral policy or trade agreement) Y/N*

All

Promoting Effective Markets and Governance

Supporting Clear, Transparent, Competitive Tender Processes

Adoption of tender processes that promote greater transparency and competition Y/N*

All

Promoting Effective Markets and Governance Improved Investment Climate

Implementation/utilization of USTDA recommendations led to direct investment in host economy (including companies opening or expanding offices/operations)

$ amount of foreign direct investment generated

All

Promoting Effective Markets and Governance

Adoption of Standards or

International Best Practices

Implementation/utilization of USTDA recommendations led to the adoption of improved standards or internationally recognized best practices, thus allowing for greater commercial competition Y/N*

All Promoting Safety and Security

Improved Safety and/or

Security

Improved human safety and/or security resulting from project implementation

Number of individuals or

Y/N*

Energy and Power

Infrastructure Development and Efficiency Gains

Improved Power Delivery and

Continuity of Service

Efficiency gains and reductions in losses as a result of project implementation, including reductions in frequency of outages, length of outages, and power losses throughout grid MWh

Energy and Power

Infrastructure Development and Efficiency Gains New Energy Capacity

New energy generated (new installed capacity and new energy provided) MW

Energy and Power

Infrastructure Development and Efficiency Gains

New Renewable Energy

Capacity

New renewable energy generated (new installed capacity and new energy provided) MW

Energy and Power

Infrastructure Development and Efficiency Gains Increased Access to Electricity

Number of people provided access to power through new or expanded generation or improved transmission or distribution systems

Number of households

All

Promoting Environmental

Benefit

GHG Emissions Reduced or

Avoided

Amount of GHG pollution reduced or avoided by implementation of new technology, environmental controls, etc.

Metric tons per year of

CO2

equivalent

All

Promoting Environmental

Benefit

Air Pollutants Reduced or

Avoided

Amount of non-GHG air pollutants, such as SOX and NOX, reduced or avoided by implementation of new technology, environmental controls, etc.

Metric tons per year

Health

Infrastructure Development and Efficiency Gains

Improved Access to Modern

Healthcare

Number of people who will have access to modern healthcare systems including equipment (CAT-Scan, Ultra-sound, etc.) and IT systems (Electronic Medical Records, network systems, etc.).

Number of individuals

Health

Infrastructure Development and Efficiency Gains

Improved Healthcare

Infrastructure

Improvements to healthcare infrastructure that will increase efficiency, accuracy and quality of healthcare while reducing costs. Y/N*

Manufacturing/Pet rochemicals

Infrastructure Development and Efficiency Gains Diversification of Commodities

Project implementation creates commodity diversification, leading to greater economic stability Y/N*

Natural Resource

Development and

Mining

Infrastructure Development and Efficiency Gains

Improved Oil Transportation or Storage

New oil transportation and/or storage (whether pipelines, rail or marine depot) on an annual basis

Million barrels of oil equivalent per year

Natural Resource

Development and

Mining

Infrastructure Development and Efficiency Gains

Increased Oil and Gas

Production Increased annual oil and gas production

Million barrels of oil equivalent

Natural Resource

Development and

Mining

Infrastructure Development and Efficiency Gains Increased Refining Capacity Increase in annual production capacity of refined products

Million barrels of oil per year

Natural Resource

Development and

Mining

Infrastructure Development and Efficiency Gains

Improved Gas Transportation or Storage

New gas transportation and/or storage (whether pipelines, LNG facility or rail or marine depot) on an annual basis

Millions of

Cubic Meters

Natural Resource

Development and

Mining or Energy and Power

Infrastructure Development and Efficiency Gains Improved Energy Security

Increased energy security for the host country or decreased dependence on foreign energy resources, either through new power generation using domestic resources or through supporting Infrastructure to extract and utilize domestic natural resources Y/N*

Natural Resource

Development and

Mining

Promoting Effective Markets and Governance

Improved Regulation of

Extractive Industries

Regulatory changes which increase transparency and improve general operations of private, state-owned and national extractive industries Y/N*

Telecommunicatio ns

Infrastructure Development and Efficiency Gains

Improved Digital

Communication Access

Number of people affected by expansion in telecommunications infrastructure to both metropolitan and rural areas including Broadband, Wireless, Voice, and Data

(particularly of note if reaching populations without prior access to internet, telephone, etc.)

Number of individuals

Telecommunicatio ns

Infrastructure Development and Efficiency Gains

Improved Data Management and Security

Capacity added, security/redundancy gained or reliability improved through implementation of data centers, cloud computing systems, or other storage infrastructure Y/N*

Telecommunicatio ns Promoting Safety and Security

Improved Emergency

Response Capabilities

Implementation of communication systems to improve emergency response

Number of individuals or

Y/N*

Transportation

Infrastructure Development and Efficiency Gains Improved Aircraft Fleet

Additional aircraft added to a fleet including both airplanes and helicopters improving GA personnel travel, cargo transportation, as well as search and rescue capacity Number

Transportation

Infrastructure Development and Efficiency Gains Improved Locomotive Fleet

Additional locomotives added to a fleet to improve general transportation infrastructure impacting both personnel and cargo movements Number

Transportation

Infrastructure Development and Efficiency Gains Expanded Airport Facilities

Passenger capacity increased through implementation of new airport infrastructure or expansion

Number of individuals

Transportation

Infrastructure Development and Efficiency Gains Freight Capacity Enhanced

Total increase or improvement in freight storage, handling, or carrying capacity for transportation facilities Tons per year

Transportation

Infrastructure Development and Efficiency Gains

Improved Mobility and Access through Transportation

Infrastructure

Physical improvements, equipment additions, or technology advancements which improve the flow of traffic and increase access or mobility (including airport, ship, vehicle and other types of traffic)

Number of individuals or

Y/N*

Water and

Environment

Promoting Environmental

Benefit Improved Water Quality

Improved water quality through the installation of new wastewater treatment or sludge treatment systems or monitoring and control technology M^3/Day

Water and

Environment Promoting Safety and Security

Improved Forecasting and

Disaster Preparedness

Capabilities

Implementation of early warning systems, real-time monitoring and prediction software/systems, better coordination and management of recovery systems

Number of individuals or

Y/N*

Attachment IX-1

Attachment IX

GUIDANCE ON CLIMATE RESILIENCE SCREENING

Under EO 13677, USTDA is required to incorporate climate resilience considerations in its international development work.