FOREST-PLUS RFP SOL-386-11-000003.pdf

U.S. Agency for International Development American Embassy Chanakyapuri New Delhi 110 021

Tel: 91-11-24198000 Fax: 91-11-24198612 www.usaid.gov/in

Issuance Date: October 24, 2011 Deadline for Questions November 4, 2011 1000 hrs. New Delhi time Deadline for Receipt of Proposal November 30, 2011, 1000 hrs. New Delhi time

Subject: Request for Proposal No. SOL-386-11-000003, Partnership for Land Use Science

(Forest-PLUS)

Dear Prospective Offerors:

The United States Government, represented by the U.S. Agency for International Development (USAID), is seeking proposals from qualified organizations interested in providing the services as described in the attached solicitation. This is a full and open competition, under which any type of organization (large or small commercial [for profit] firms, educational institutions, and non-profit organizations) is eligible to compete. In support of the Agency’s interest in expanding the number and sustainability of development partners, USAID encourages proposals from potential new partners.

This procurement is being conducted through full and open competition for which the procedures set forth in FAR Part 15 shall apply.

USAID plans to award a Cost Plus Fixed-Fee- completion type contract with a total estimated cost between $13 - $16 million over a period of five (5) years, subject to availability of funds.

The purpose of providing an estimated range for the contract is to help Offerors develop their proposals and does not mean that Offerors should not attempt to provide the lowest possible cost commensurate with their technical approach. Cost will be evaluated as part of a best value determination for contract award, including cost effective approaches to achieving the results.

Offerors must demonstrate that they believe the costs proposed are realistic and reasonable to attain the intended results.

USAID encourages the participation of small business concerns, small disadvantaged business concerns and women-owned small business concerns in this activity as the prime contractor or as subcontractors.

This solicitation in no way obligates USAID to award a contract, nor does it commit USAID to pay any cost incurred in the preparation and submission of the proposal. Furthermore, the Government reserves the right to reject any and all offers, if such action is considered to be in the best interest of the Government.

The RFP and subsequent amendments can be downloaded from the Federal Business Opportunities (“FBO”) web site https://www.fbo.gov/. It is the responsibility of the recipient of this solicitation document to ensure that it has been received from the INTERNET in its entirety and USAID bears no responsibility for data errors from transmission or conversion processes.

If substantive questions are received which affect the response to the solicitation, or if changes are made to the closing date and time, as well as other aspects of the RFP, this solicitation will be amended. It is the Offeror’ s responsibility to check the FedBizOpps site periodically for official updates and amendments to the solicitation.

An Interested Vendor List is not included in this solicitation. Offerors can register and use the Interested Vendor List (IVL) on the FedBizOpps page, so that firms can contact one another for consideration of teaming arrangements and/or small business subcontracting opportunities in response to this solicitation.

The details associated with the submission requirements are outlined under section L of this solicitation. Late proposals will be handled in accordance with FAR 15.208.

Questions and Answers: The deadline for receiving questions is the date noted above. Questions may be submitted to Mr. Arun Sehgal at indiarco@usaid.gov with a copy to Mr. Braden Enroth at benroth@usaid.gov

We extend our best wishes to all for a successful competition, and certainly want to thank you for your interest in USAID/India program activities.

Sincerely, sd/-

Arun Sehgal Acquisition & Assistance Specialist

USAID/INDIA

1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES

UNDER DPAS (15 CFR 700)

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER

SEALED BID (IFB)

NEGOTIATED (RFP)

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

NOTE: In sealed bid solicitations "offer" and "Contractor" mean "bid" and "bidder".

9. Sealed offers in original and _____________________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the depository located in until local time _______________________ (Hour) (Date)

CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All Offers are subject to all terms and conditions contained in this solicitation.

A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

AREA CODE NUMBER EXT.

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES

B SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

C DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS

D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 30 x

F DELIVERIES OR PERFORMANCE

G CONTRACT ADMINISTRATION DATA L INSTR., CONDS., AND NOTICES TO OFFERORCONTRACTORS

H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD

K REPRESENTATIONS, CERTIFICATIONS AND OTHER 69 - 80

STATEMENTS OF OFFERORS

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within __210______ calendar days (60 calendar days unless a different period is inserted by the Offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)

(See Section I, Clause No. 52-232-8)

14. ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE

(The Offeror acknowledges receipt of amendments to the SOLICITATION for and related documents numbered and dated:

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME AND

ADDRESS

OF OFFEROR

(Type or print)

15B. TELEPHONE NUMBER 17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM (4 copies unless otherwise specified)

10 U.S.C. 2304(a) ( ) 41 U.S.C. 253(c) ( )

24. ADMINISTERED BY (If other than Item 7) 25. PAYMENT WILL BE MADE BYCODE CODE

26. NAME OF CONTRACTING OFFICER (Type or print)

Braden W. Enroth

27. UNITED STATES OF AMERICA 28. AWARD DATE

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

(Signature of Contracting Officer)

(REV. 9-97)

10. FOR INFORMATION CALL:

11. TABLE OF CONTENTS

STANDARD FORM 33

SOLICITATION, OFFER AND AWARD N/A

SOLICITATION

OFFER (Must be fully completed by Offeror)

AWARD (To be completed by Government)

1 112

RFP# SOL-386-11-000003

X

October 24, 2011

72000

Regional Office of Acquisition and Assistance, USAID/INDIA, American Embassy, Shantipath Chanakya Puri, New Delhi 110021, India

See section 7

ROAA, USAID/India, American Embassy (Gate 1), Chanakya Puri, New Delhi, India 1000 Hrs.(India) November 30, 2011

Arun Sehgal +91-11-24198796 indiarco@usaid.gov

See Attached Table of Contents

X 1

X 3-5 X 6-27

X 28-29

X

X 31-40 X 41-45

X 46-62

X 63-67

X 68

X

X 81-98

X 99-102

72000

Regional Office of Acquisition and Assistance, USAID/INDIA, American Embassy, Shantipath Chanakya Puri, New Delhi 110021, India

See section G.5

RFP # SOL-386-11-000003

TABLE OF CONTENTS

PART I – THE SCHEDULE 3

SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS 3

SECTION C – STATEMENT OF WORK 6

SECTION D – PACKAGING AND MARKING 28

SECTION E – INSPECTION AND ACCEPTANCE 30

SECTION F – DELIVERIES OR PERFORMANCE 31

SECTION G – CONTRACT ADMINISTRATION DATA 41

SECTION H – SPECIAL CONTRACT REQUIREMENTS 46

PART II – CONTRACT CLAUSES (SECTION I) 63

PART III – LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 68

SECTION J – LIST OF ATTACHMENTS 68

PART IV – REPRESENTATIONS AND INSTRUCTIONS 69

SECTION K – REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS 69

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS 81

SECTIOM M – EVALUATION FACTORS FOR AWARD 99

ATTACHMENT 3 - ILLUSTRATIVE BUDGET SUMMARY FORMAT 103

ATTACHMENT 4 - AMERICAN EMBASSY LOCAL COMPENSATION

PLAN FOR LES 105

ATTACHEMNT 5 - ACRONOYMS AND ABBREVATIONS 112

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to provide technical assistance and services as described in detail in Section C, Statement of Work for implementation of “Partnership for Land Use Science (Forest-PLUS)” in India.

B.2 CONTRACT TYPE

This is a Cost-Plus-Fixed-Fee (CPFF) completion-type contract. For the consideration set forth in the contract, the Contractor shall provide the results/ outcomes described in Section C (Statement of Work) and all reports and deliverable set forth in Section F.3 and F.4.

B.3 ESTIMATED COST, FIXED FEE, AND OBLIGATED AMOUNT

(a) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, is __________(TBD). The fixed fee is, if any, is _______ (TBD). The total estimated cost plus fixed fee, if any, is _________ (TBD).

(b) Within the estimated cost plus fixed fee, if any, specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any ) for performance hereunder is_______ (TBD). The Contractor shall not exceed the aforesaid obligated amount.

(c) Funds obligated hereunder are anticipated to be sufficient through ________(TBD).

B.4 PRICE SCHEDULE

Development Result: Accelerate India’s transition to a low emissions economy by taking REDD+ actions to scale through facilitating scientific exchange/technical cooperation and piloting their results at scale.

CLIN DESCRIPTION AMOUNT ($)

001 Component 1: Sustainable Landscapes –Development :

Scientific exchange/technical cooperation facilitated

002 Component 2: Sustainable Landscape - Deployment:

Scientific and technical results piloted at scale.

003 Other Activities and Management Support

TOTAL ESTIMATED COST

FIXED FEE

CEILING PRICE (Cost plus Fixed Fee)

B.5 INDIRECT COSTS

Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases:

Description Rate Base Type Period

1/ 1/ 1/ 2/ 2/ 2/ 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

2/Base of Application:

Type of Rate:

Period:

3/Base of Application:

Type of Rate:

Period:

B.6 CEILING ON INDIRECT COST RATES AND FINAL REIMBURSEMENT FOR

INDIRECT COSTS

(a) Reimbursement for allowable indirect costs shall be at the lower rate of the final negotiated (or predetermined) rates, or the following ceiling rates:

The Contractor shall not receive indirect costs that exceed rates two percentage points or 10% of the individual indirect cost rates above, whichever are lower. The Contractor shall also negotiate ceiling indirect costs rates with their sub-contractors/sub-awardees that do not exceed two percentage points or 10% of the individual indirect costs rates in NICRA at time of award.

(b) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates. Final indirect costs exceeding the rate(s) applied to the base(s) shown above shall be absorbed by the Contractor.

(c) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes in classifying or allocating indirect costs require the prior written approval of the Contracting Officer.

B.7 COST REIMBURSABLE

The U.S. dollar costs allowable shall be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment, FAR 52.216-8, Fixed Fee, if applicable and AIDAR 752.7003, Documentation for Payment.

[END OF SECTION B]

SECTION C – DESCRIPTION / SPECIFICATIONS/STATEMENT OF WORK

C.1. BACKGROUND

C.1.a. Overview of Global Climate Change and Forestry Sector

Climate change has emerged as one of the key global challenges of the 21st century.

Rising temperatures, increasingly extreme weather events leading to natural disasters, and variable rainfall will affect peoples’ livelihoods and health. For example, the World Health Organization highlights that climate change affects the fundamental requirements for health – clean air, safe drinking water, sufficient food, and secure shelter. In the development context, climate change is projected to have disproportionately negative impacts on people in developing countries who do not have the resources to adapt easily to such changes.

The global community is faced with daunting challenges in transforming this situation. Visionary and sustained political leadership, international co-operation, and innovation will be needed to implement transformational solutions. Innovations on a massive scale will have to occur in policy, science, technology, and investment to assure sustainability.

Policies and programs facilitating innovation and large-scale adoption and deployment of low-carbon land use approaches will need to play a central role in global efforts to address climate change. Long-term solutions will require stabilizing greenhouse gas concentrations in the atmosphere at acceptable levels, national low emissions development strategies that look comprehensively at land use and forestry, and robust monitoring, reporting, and verification of net greenhouse gasses emitted or sequestered.

The broader climate arena encompasses energy, urban, industrial and transportation dimensions, as well as land use aspects of greenhouse gas mitigation.

Climate Change and Poverty

India is faced with the challenge of sustaining its rapid economic growth while dealing with the global threat of climate change. Climate change may alter the distribution and quality of India's natural resources and adversely affect the livelihood of its people. India may face a major threat from climate change since its economy is closely tied to its natural resource base and climate-sensitive sectors such as agriculture, water, and forestry.

India's development path is based on its unique resource endowments, the overriding priority of economic and social development and poverty eradication, and its high cultural value for the environment and the maintenance of ecological balance. In order to achieve a sustainable development path that simultaneously advances economic and environmental objectives, Prime Minister Manmohan Singh released India’s first National Action Plan on Climate Change (NAPCC) on June 30, 2008. The NAPCC is based on the following principles:

Protecting the poor and vulnerable sections of society through an inclusive and sustainable development strategy, sensitive to climate change.

Achieving national growth objectives through a qualitative change in direction that enhances ecological sustainability, leading to further mitigation of greenhouse gas emissions.

C.1.b. UNFCCC and REDD+

Within the broad climate change mitigation arena, land use and forestry are estimated to contribute at least 30% of global greenhouse gas (GHG) emissions. Thus, the Inter-governmental Panel on Climate Change (IPCC) suggests that more sustainable land use has the potential to reduce GHG emissions by one-third, and deliver positive development benefits.

In December 2009, the 15th Conference of the Parties to the United Nations Framework Convention on Climate Change (UNFCCC) met in Copenhagen. The resulting Copenhagen Accord recognized that climate change is one of the greatest challenges of the present day and that countries should pursue opportunities for low emissions development. The Accord also emphasized that actions should be taken to keep temperature increases below 2°C.

The Accord also recognized the importance of reducing emissions and increasing sequestration through forests termed “REDD+” (Reducing Emissions from Deforestation and Forest Degradation). Paragraph six of the Copenhagen Accord reads:

We recognize the crucial role of reducing emission from deforestation and forest degradation and the need to enhance removals of greenhouse gas emission by forests and agree on the need to provide positive incentives to such actions through the immediate establishment of a mechanism including REDD-PLUS, to enable the mobilization of financial resources from developed countries.

As both the U.S. and India are signatories to the Copenhagen Accord, there exists an opportunity to operationalize REDD+ within the Indian context. The current positive political momentum and the needs of the country to conserve and restore its forest cover favors accelerating REDD+ in India. There is a growing consensus that as a country moves towards full-scale REDD+ implementation, it will need to develop a strategy, and the necessary conditions to implement that strategy – generally referred to as “REDD+ readiness”.

The agreement on REDD+ ( part of the Cancun agreements to which both India and US are signatories) reached on December 11, 2010 in Cancun, Mexico, at the 16th Conference of Parties to UNFCCC, further provides countries with guidance on REDD+ readiness. The REDD+ agreement also identifies the systems and information a country needs to put in place before moving to full-scale implementation of REDD +. These include, inter alia: a national strategy or action plan, national forest reference emission level and/or forest reference level; a robust and transparent national forest monitoring system; and a system for providing information on how safeguards – such as conservation of biodiversity- are being addressed and respected.

India has joined over 138 countries in associating itself with the Copenhagen Accord, and has endorsed the Cancun agreements. It has also inscribed a voluntary commitment to reduce its carbon intensity by 25 percent over 2005 levels, by 2020. This public commitment lends urgency to India’s plans to identify and implement mitigation actions to move the country down a low carbon development path.

The Copenhagen Accord included an overall commitment of nearly $30 billion between 2010 and 2012 by developed countries for adaptation and mitigation, including forests, in developing countries, which was reiterated in the Cancun agreements. The U.S. Government has dedicated $1 billion during this period for forest-related mitigation. The Accord also explicitly acknowledges that a Low Emission Development Strategy (LEDS) is indispensable to sustainable development, and requires developing countries to establish national GHG emission inventories, and report these to the UNFCCC every two years.

C.1.c. USG and the Global Climate Change Initiative

U.S. President Obama and the U.S. Government (USG) have committed to the goals of the Copenhagen Accord, and made Global Climate Change (GCC) a priority for foreign policy and foreign assistance. Central aspects of the USG’s approach to international climate change assistance include low-carbon development strategies, climate-proofing development, and national planning and capacity building. Globally, USAID has disaggregated its climate change activities into three pillars that correspond to USG priorities and current efforts of USAID programs. The three pillars are:

Sustainable Landscapes: Includes activities and projects that reduce emissions or increase sequestration by forests and through improved land management Clean Energy: Includes activities that reduce, mitigate and/or sequester emissions of greenhouse gases from energy, industry, transport, and urban areas and Adaptation: Includes activities in which climate vulnerability and adaptation are an explicit part of project analysis and design.

USAID’s bilateral investments come from the Sustainable Landscapes pillar of the Global Climate Change budget. Within the Sustainable Landscapes pillar, which contributes to meeting the $1 billion funding for REDD+, the U.S. portfolio includes contributions to the Forest Carbon Partnership Facility and the Forest Investment Program at the World Bank. Other U.S. domestic agencies contribute through both limited direct budget support, as well as valuable in-kind contributions. The U.S. strategy for its REDD+ investments, which includes USAID bilateral sustainable landscapes programs, as well as appropriate biodiversity programs, has the following three overarching objectives:

Objective 1: REDD+ Architecture: Creating and supporting an efficient, effective, and coordinated international system to help countries deliver REDD+ outcomes. The United States will support the creation of a framework that drives policies and programs with evidence of impact by generating, evaluating, and analyzing outcomes and providing coordinated, transparent, and effective financing and technical support to developing countries.

Objective 2: REDD+ Readiness: Helping countries become ready to participate in pay-for-performance programs and take complementary domestic actions. Investments will help countries become ready at the national level to undertake actions at a scale that can significantly reduce emissions or increase sequestration, enable access to pay-for-performance financing, including future carbon markets, and meet ambitious domestic mitigation commitments.

Objective 3: REDD+ Demonstration: Achieving cost effective and sustainable net emissions reductions. Investments will support programs that achieve, or that demonstrate scalable approaches to achieving, significant, cost-effective net emissions reductions.

C.1.d. GOI initiatives As one of the largest greenhouse gas emitter in the world, India’s contributions to global warming are already significant. With the second-fastest growing economy after China, and a middle class projected to grow from 300 million to 500 million in the next few decades, those emissions could grow astronomically.1 Fortunately, India has chosen a green path to growth that treats the transition to a low carbon economy as its biggest economic opportunity of the 21st century.

C.1.d.1. National Action Plan on Climate Change (NAPCC) In June 2008, India released its first NAPCC to promote India’s development objectives while also yielding co-benefits for addressing climate change. Eight National Missions that focus on various dimensions of climate change mitigation and adaptation form the core of the National Action Plan, and are being institutionalized by their respective Ministries – several of which will involve significant action at the state level.2 NAPCC’s goal, implemented through its Missions (e.g. Green India Mission described below), is to promote India’s development objectives while also yielding co-benefits that address climate change. Together, the Missions are projected to offset 11% of India’s annual GHG emissions.

C.1.d.2. Green India Mission In addition to serving as the coordination unit for implementing the NAPCC, the Ministry of Environment and Forests leads the “Green India Mission”. The first draft of the Green India Mission strategy was released on May 24, 2010 and after public consultations and revisions, the Mission document was approved by the Prime Minister’s Council on Climate Change in February, 2011. The Mission aims to address REDD+ related issues in three broad areas:

Enhance carbon sinks in sustainably-managed forests and other ecosystems;

Adapt vulnerable species/ecosystems to the changing climate; and Adapt forest-dependent communities in the face of climate variability.

The first of the three Green India Mission priority areas aligns closely with the sustainable landscapes pillar, and is a potential entry point for USAID to engage with the Government of India (GOI) in natural resources management. The latter two Green India priorities have clear implications for the climate adaptation pillar.

C.1.d.3. The Low Carbon Growth Plan

1 http//unstats.un.org/unsd/environment/air_co2_emissions.htm 2 The Eight National Missions include 1. Solar Energy; 2. Enhanced Energy Efficiency; 3. Sustainable Habitat; 4.

Conserving Water; 5. Sustaining the Himalayan Ecosystem; 6. Green India; 7. Sustainable agriculture and 8.

Strategic Knowledge Platform for Climate Change.

India is faced with the challenge of sustaining its rapid economic growth while dealing with the global threat of climate change. This threat emanates from accumulated greenhouse gas emissions in the atmosphere that have been generated by human beings. India's development agenda focuses on the need for rapid economic growth to eradicate poverty, and to improve standards of living – referred to as ‘inclusive development’. Meeting this agenda requires large-scale investment in infrastructure, technology, access to clean energy, and rational land use management.

Prime Minister Singh constituted a 26-member expert group to help develop a low-carbon growth strategy for India.3 The intent of the low-carbon growth strategy is to examine the options, the costs, the alternatives, and the multiple benefits of moving to a low-carbon development pathway. It will provide more detailed guidelines as to what measures can be taken to form an integrated, detailed strategy and elaboration of various specific measures that will enable the GOI to meet its emission intensity objectives of 25 percent reduction by 2020. The Planning Commission released the interim report on low carbon strategy for India in 2011.

USAID plans to support the GOI to implement its low carbon growth plan by providing technical, analytic, and institutional capacity building support. A separate program is being designed for this purpose.

C.1.e. U.S. – India Strategic Relationship and Climate Change Both India and the U.S. face unprecedented challenges to operationalize REDD+ in a cost effective and sustainable manner. The forestry sector as it relates to climate change is of strategic importance amidst the rapidly growing diplomatic, economic and trade relationship between the United States and India.

In recognition of this, a visionary Memorandum of Understanding (MoU) to enhance cooperation on energy security, energy efficiency, clean energy and climate change, was signed during the November 2009 visit of the Indian Prime Minister Singh to the United States.

Under the Energy and Climate Change MoU, a U.S.-India climate dialogue was launched. The dialogue seeks to enhance bilateral U.S.-India cooperation with a view to achieving a successful outcome of the ongoing multilateral climate change negotiations. The dialogue will enable both countries to deal with climate change consistent with national policies and strategies.

C.1.f. Development Hypothesis and Strategic Approach The Indo-U.S. Strategic Dialogue, and related international climate discussions, provides the opportunity for both governments to work towards the mutual goal of mitigating climate change.

As such, the development hypothesis focuses on a peer-to-peer scientific and technical collaboration with the GOI to accelerate India’s transition to a low emissions economy. At the same time, the program will support India’s continued economic growth, and the livelihoods of its people.

3 The Expert Group on Low Carbon Strategies for Inclusive Growth formed in January 2010 is chaired by Dr. Kirit Parikh, former member of India's Planning Commission and hosts a formidable array of government, industry, academia, and civil society members.

USAID is embarking on a new bi-lateral relationship with the Government of India’s Ministry of Environment and Forests (MOEF). USAID signed a bilateral agreement with MOEF in September 2010. Recognizing MOEF’s significant capacity and experience, Forest-PLUS will emphasize scientific and technical collaboration and exchange, and piloting their results at scale.

Site selection will depend upon the type of research to be carried out, and will be determined through further discussions with the GOI.

C.2 EXPECTED RESULT

The key result expected under this program is:

Improved tools, methods and approaches developed and deployed for taking REDD+ actions to scale.

C.3 STATEMENT OF WORK

Objective:

This statement of work (SOW) outlines the requirements for the five-year sustainable landscapes program under the Partnership for Land Use Science (Forest-PLUS) project, between USAID/India and Government of India (GOI). The program will contribute to USAID/India’s Assistance Objective of accelerating India’s transition to a low emissions economy by taking REDD+ actions to scale. The project aims to reduce emissions from deforestation and forest degradation and enhance sequestration through afforestation, conservation, and sustainable management of forests. The project will feed into the GOI’s NAPCC and Green India Mission.

The Forest PLUS program will address sectoral barriers, build human and institutional capacity, develop and deploy improved scientific methods for carbon inventory and reference baselines, and actively engage stakeholders and create an enabling environment for REDD+ implementation in India. The Forest-PLUS project will work with the MOEF to support implementation of national policies and programs, and will contribute to MOEF’s efforts to establish and implement programs through collaboration with the new REDD+ Cell. The program will also look for active engagement with communities and local governments in supporting REDD+ activities.

The Forest-PLUS project has 2 components:

Component 1: Sustainable Landscape- Development: Scientific exchange/technical cooperation facilitated.

Component 2: Sustainable Landscape - Deployment: Scientific and technical results piloted at scale.

The activities under components 1 and 2 are interrelated, and iterative with multiple-feedback loops among them. Therefore, both the components should be undertaken simultaneously to enable adaptive management.

USAID has an interagency agreement with U.S. Forest Service (USFS) that builds upon and supports the scientific and technical collaboration and exchange envisioned under the Forest- PLUS project. The Contractor is expected to coordinate with USFS for the same.

C.3.a. Component 1: Sustainable Landscapes -Development: Scientific exchange/technical cooperation facilitated.

The Inter-governmental Panel on Climate Change’s (IPCC) fourth assessment report suggests that the land use sector has the potential to contribute about a third of the global GHG emissions reductions necessary to achieve the 450 parts per million carbon dioxide equivalents (CO2e) target by 2020, while at the same time delivering positive development benefits. Central to achieving India’s goal to reduce carbon intensity, is the continued net reduction of greenhouse gases from the forestry sector by both avoided emissions (conserving existing forests), and increased sequestration (afforestation and sustainable management of forests). The Indian forestry sector has traditionally been one of the most organized sectors in India with more than 140 years of scientific input into forest management. However, like other sectors, it has been affected by a rapid increase in human and livestock population, insufficient infrastructure, inadequate investment, and transforming forestland to agriculture and development activities.

Other problems include inadequate public awareness of the multiple functions of forests, under-valuation of forest contributions to Gross Domestic Product (GDP), technological gaps, insufficient funding, and lack of adequately trained “frontline” forest staff. There is also a growing need to establish credible national baselines and methodologies associated with the GOI’s Green India Mission and REDD+ activities in India.

In India, the need for fuel wood, timber and other forest products exceeds the country’s ability to sustain quality forests, a problem further compounded by livestock grazing which impacts forest regeneration and productivity. The deficit is anticipated to further increase in the future with rising population pressures, accelerated economic growth, and rises in income and consumption levels.

Globally, there is a growing consensus that as a country moves towards full scale REDD+ implementation, it will need to develop a REDD+ strategy and build capacity to create measurable reportable and verifiable (MRV) emission reductions. This will require the creation of systems for forest carbon monitoring. Policies and programs will also be required to create economic incentives and management capacities to drive those reductions through improvements in forest management (REDD+ readiness).

To address the challenges in the forestry sector, particularly in REDD+ implementation, the design component of the program focuses on the U.S.–India collaborative scientific and technical research and exchanges that explore methods and approaches to implement REDD+. This will be vital for India’s own programs and will further demonstrate India’s advances in science and technology to develop lessons that may be applied across the globe.

Component 1 is conceived as an opportunity to engage with the GOI, especially MOEF, and assist them in implementing the GOI’s national Green India Mission. To begin, MOEF and

USAID will jointly decide upon mutual areas of scientific interest. Criteria for selection include research gaps and geographic preferences. Scientific collaboration will result in adaptation and analysis of a variety of biophysical and socioeconomic methodologies and approaches to implement REDD+.

Component 1 will focus on the following three tasks:

1. Develop tools, techniques and methods for better ecosystem management and increasing sequestration.

2. Develop improved methods to establish carbon inventories and reference baselines.

3. Analyze social and economic incentives for REDD+ policy and practice.

It should be noted that there are overlaps between the three tasks and hence some of the activities may be iterative.

The scope of work of Component 1 is comprised of the following tasks:

Task 1: Develop tools, techniques and methods for better ecosystem management and increasing sequestration.

The Green India Mission recognizes the low productivity rate of Indian forests compared to world standards. Stocking levels of forests are half of their potential. The immense pressure on India’s forests for subsistence (e.g. fuel wood, fodder) and livelihood use (bamboo, medicinal plants, etc.) has created a large gap between supply and demand, which has degraded the forests.

Policies and legislation giving communities more access to forest resources, such as fodder and non-timber forest products have done so without management plans and mechanisms to ensure sustainable harvests. As markets grow for these products, unsustainable extraction increases and degrades resources. Many Indian forests are under pressure as a result of fuel wood and fodder collection, and open grazing systems.

The “plus” in REDD+ goes beyond reducing emissions from deforestation and degradation, to enhance sequestration through afforestation, conservation and sustainable management of forests. The “PLUS” is not as simple as planting trees. To be effective and strategic in methods of conservation and tree planting, research is necessary to take into account the diversity of ecosystems and individual carbon characteristics of trees as well as socio-economic drivers of maintenance and protection (linked to task 3 of component 1). Addressing these opportunities requires research into established, as well as innovative, technical approaches to reduce degradation, restore forest density, and establish new tree cover.

Activities shall include:

Improve silviculture techniques and management practices to accelerate re-growth rates, and restore degraded forests.

Identify and analyze management techniques/tools to promote ecosystem relationships that increase carbon sequestration, and have other environmental (e.g. water filtration, conservation, etc.) and livelihood benefits.

Develop methodologies to sustainably manage harvest of both non-timber forest products (NTFPs) by local communities.

Explore methods to improve grazing management and stall feeding systems, leading to better natural regeneration.

Support exchange visits between the U.S. and India.

Deliverables include:

A strategy paper on sustainable forest/ecosystem management that integrates: improved silvicultural techniques; sustainable grazing management techniques; and ecosystems relationships to increase carbon sequestration, as well as other environmental and livelihood benefits.

Minimum two new or improved silviculture techniques developed/adapted to the Indian context.

Minimum two management techniques/tools identified/adapted to the Indian context that increase carbon sequestration, and have other environmental (e.g. water filtration, conservation, etc.) and livelihood benefits.

Minimum two sustainable harvest methodologies for NTFPs developed.

Two techniques developed/adapted to the Indian context to improve grazing management which takes into account equity, productivity and sustainability.

Minimum two exchange visits/study tours organized between U.S. and India.

Task 2: Develop improved methods to establish carbon inventory and reference baselines for India.

Establishing a high-quality greenhouse gas inventory is the first step to understand opportunities to reduce emissions or increase sequestration. The inventory for the forest sector should be based on a robust national forest inventory (NFI), as well as state-level inventories. The GHG inventory must build on accepted international methodologies and standards to generate the activity data and emissions factors that are specific to India. This can involve collecting data and establishing management protocols and methods, as well as carbon calculation models and estimation tools.

The decision taken in Copenhagen by the United Nations Framework Convention on Climate Change’s (UNFCCC) Subsidiary Body for Scientific and Technological Advice (SBSTA) in December 2009, and agreed to by the GOI, provides guidance to countries on methodologies and approaches for inventories. Forest carbon inventory systems and their results should be transparent, available, and suitable for review. Carbon estimation should be done through a mix of on-the-ground data collection, and remote-sensed data.

India’s forest carbon stock is unique based on its mix of tree species and the range of its forest ecosystems. Research may be needed into the carbon content of these species, and their extent within ecosystems. Quantifying the carbon content of specific tree species is one step, but the overall work to quantify India’s forest carbon stock will require the development of new methodologies and models to extrapolate forest carbon up to the national level.

Institutional capacity building is important within MOEF’s institutions at the state and local levels where carbon and ecosystem service data will be collected and fed up to the national level.

Highly trained human resources are also required to conduct the NFI at the grassroots level.

The GOI’s REDD Cell is currently being formed, and will likely initiate a national dialogue on REDD+ issues. This cell will increase awareness, and disseminate relevant data and climate variability related information in a timely fashion.

Activities shall include:

Improve methodologies to estimate the carbon content of different forest types.

o Design/adapt software models that convert remote sensed data into carbon estimates.

o Integrate remote sensed data with ground-level inventory data, to improve the accuracy of carbon estimates.

o Design sampling methodologies to conduct forest carbon inventories, and assist GOI to roll out these methodologies to state and local levels through workshops and trainings.

o Develop protocols to help predict, estimate, and document carbon stock changes that accompany changes in land management.

Facilitate community participation o Design protocols for community involvement in forest carbon inventories.

o Develop cost-effective, easy-to-use tools and methods to gather accurate data at local levels in order to expand focus to all land classes, regions and carbon pools.

o Develop forest data management systems and technologies that collate community-based data collection, and feed it into a national database.

Improve data management and availability o Improve information availability for REDD+ purposes.

o Improve/strengthen national greenhouse gas inventory data management system related to forestry.

o Harmonize data collection and reporting.

o Provide platforms to facilitate linkages across field research and technological advancements.

Build Capacity4 o Develop training courses for state-level forest department staff on improved methods for inventorying forest resources.

o Develop curriculums to train frontline Indian Forest Service personnel on a host of natural resource management, carbon, and REDD+ issues.

Deliverables include:

Two software models developed/adapted to the Indian context which converts remote sensed data into carbon estimates.

Minimum three sampling methodologies designed to conduct forest carbon inventories.

4 The Offeror will conform to USAID Automated Directives System (ADS) Chapter 252 – Visa Compliance for Exchange Visitors and ADS 253 – Training for Development, as well as USAID/India-specific requirements for processing of J-1 Exchange Visitors. The Recipient will enter applicable information into TraiNet for any participant Training, third-country training and in-country training that is funded through this award.

Minimum two protocols created to estimate carbon stock changes that accompany changes in land management.

Minimum two protocols developed for community involvement in forest carbon inventories.

Four tools and methods developed to gather accurate data at local levels.

National greenhouse gas inventory data management system (related to forests) strengthened/improved.

Platforms developed to facilitate linkages across field research and technological advancements.

Training courses for state-level forest department staff designed for inventorying forest resources.

Curricula and modules developed to train foresters on integrated approaches to forest management (including Natural Resource Management (NRM), REDD+ issues, economics, and social sciences).

Minimum two exchange visits/study tours organized between U.S. and India.

Task 3: Analyze Social and Economic Incentives for REDD+ Policy and Practice India’s National Forest Policy (NFP) gives priority to the sustenance and livelihood needs of forest-dependent communities and also involves them in the protection, conservation, and management of forests. India’s forests are primarily considered social and environmental resources. More than 22 million hectares of forests assigned to the community under the Joint Forest Management (JFM) Program, with benefit-sharing mechanisms based on the principle of “care and share”. However, there are problems in its implementation. A major task ahead for the GOI is to bridge the domestic supply and demand gap for wood and non-wood products. India is, and will continue to be, a large market for wood and non-wood-based products and its demands are projected to increase 3-4 folds by 2020.

Applied socioeconomic research will complement the above two areas of investigation defined under task 1 and 2, which focus on the biophysical sciences (ecosystem management practices and carbon inventory). Carbon sequestration and emissions reduction will take place through the actions of individuals and institutions working on the ground. Carbon, as only a possible additional income source, will not alone motivate people to change the ways they utilize and manage forest resources. Therefore, research will be carried out to identify the key social and economic incentives for sustainable forest management and carbon sequestration. Key stakeholders include local- to national-level government, community members, universities, civil society and the private sector.

Collaborative research will identify innovative practices to encourage forest conservation, afforestation, and natural regeneration by various stakeholders. Various models like JFM and Community Conservation Forests exist, and research will explore which would facilitate the greatest scaling of REDD+. Additional opportunities for scientific research include benefit-sharing, and the potential role of information and communications technology to streamline transparent benefit-sharing.

Carbon is currently only one of the potential forest benefits that communities may perceive, and so a pragmatic approach may be to integrate carbon strategies with broader livelihood strategies.

REDD+ and carbon markets may provide direct financial incentives, yet there are other important incentives related to local livelihoods that merit research. These incentives include other forms of livelihood support such as improving the value chain for Non-Timber Forest Products (NTFPs), and increasing access to clean energy and/or improved cookstoves.5 These improvements would enable communities to maintain and increase forest carbon stocks by potentially reducing their dependence on forest subsistence activities, and demand for fuel wood.

At the national level, a very important research topic relates to the co-benefits of maintaining and increasing forest carbon stocks, and environmental services. These services include maintaining water supply and quality, biodiversity and critical species such as the tiger, and resilience to climate change. An economic valuation, and specifically a financial quantification, of these benefits would demonstrate the costs and benefits for greater government investment and support to MOEF for their work in REDD+, and in fulfilling the Green India Mission. The project would focus on developing mechanisms to ensure community participation in enhanced ecosystem service provision (of which carbon would be one important component), and the modalities for the flow of incentives to local communities under various management regimes.

Identify suitable institutional models and community governance structures for scaling up

REDD+ activities Develop programs to build the capacity of local communities to inventory, manage, and monitor the condition of forest resources.

Design a pilot program to relax marketing and permitting restrictions on forest products so that communities have the right to exclude over-users, have greater incentives to sustainably manage NTFPs, and reap improved livelihood benefits from processing and selling NTFPs.

Support exchanges with the Center for People and Forests (RECOFTC) and/or the Center for International Forestry Research (CIFOR).

Document and disseminate success stories and lessons learned from community forest management.

Develop training programs for forest department staff in social sciences, to increase their understanding of the importance of community involvement in managing forest resources.

Documentation on institutional models and community governance structures and their scalability for REDD+.

At least two programs designed to build the capacity of local communities to manage forest resources.

Two pilot programs developed to give communities greater responsibility over forests and degraded forest lands.

5 Under the Forest-PLUS program, USAID will not provide direct funding for community livelihood activities.

Community engagement should be motivated by GOI policies and/or self-interest, and USAID’s role will be to purely facilitate engagement and institution building. This will avoid potential pitfalls such that, when USAID funding stops, value chains weaken or fold completely.

A document on potential opportunities for communities to benefit sustainable forest management, with particular emphasis on benefits from the economic value of NTFPs, such as through the development of new value chains.

Two pilot programs designed in collaboration with state forest departments to test the impact of easing out marketing and permitting (harvest and transit) restrictions of forest products on the livelihood of forest dependent communities.

Minimum two exchanges/study tours conducted with the RECOFTC and the Center for International Forestry Research (CIFOR).

An international conference to showcase the results of Component 1.

C.3.b. Component 2: Sustainable Landscape- Deployment - Scientific and Technical Results Piloted at Scale.

Component 2 will share the results from Component 1 with relevant stakeholders for feedback and further refinement. Under this component, cost-effective, geographically relevant and culturally appropriate approaches and methods are to be piloted in the field at scales that lend results and learnings to replication at higher levels (from a local, to state, and possibly national levels).

Successful field testing leading to the scale-up of REDD+ actions will require the following:

1. Dialogue with stakeholders from local to national levels, including government, civil society, universities, communities and the private sector to explain the results of component one.

2. Active participation and constructive engagement of stakeholders to pilot and…