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If a competitive range is established and Final Revised Proposals are requested then USAID intends to request a formal presentation, which will be evaluated in accordance with the requirements in Section M. The Chief of Party and two key personnel for the Offerors in the competitive range shall travel to Nairobi. (In an effort to help alleviate the costs for this USAID is willing to pay up to $10,000 to each Offeror to hold these discussions and make the presentation to the Mission.)

Therefore, Offerors must plan schedules accordingly to accommodate the timeline above. Offerors may include other members in the discussions at the Offerors’s own expense, or via conference phone call. During the presentation, the Offeror must provide a representative, who has the authority to negotiate on behalf of the Offeror.

This request in no way obligates USAID to award a contract, nor does it commit USAID to pay any costs incurred in the preparation and submission of your proposal.

Any questions regarding this RFP should be made in writing and sent to myself via e-mail at the addresses given above, before the Q&A close date specified above. We look forward to receiving and reviewing your proposals.

Regards, Signed

Linda K. McElroy Regional Contracting Officer

USAID/EA

TABLE OF CONTENTS

Contents

PART I - THE SCHEDULE 7

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS 7

B.1. PURPOSE 7

B.2. CONTRACT TYPE 7

B.3. ESTIMATED COST, FIXED FEE, AND OBLIGATED AMOUNT 7

B.4. BUDGET LINE ITEMS 7

B.5. APPROVALS (TBD) 8

B.6. PERIOD OF PERFORMANCE 8

B.7. MULTI-YEAR CONTRACT 8

B.8. INDIRECT COSTS 9

B.9. CEILING ON INDIRECT COSTS 9

B.10. COST REIMBURSABLE 10

SECTION C - STATEMENT OF WORK 11

C.1. TITLE OF PROGRAM 11

C.2. GOAL AND OBJECTIVES 11

C.3 BACKGROUND 11

C.4 SERVICES AND TASKS REQUIRED 17

C.5 PROGRAM REPORTING AND OTHER DELIVERABLES 30

C.6 TECHNICAL DIRECTION 34

C.7 CONTRACTOR PERFORMANCE MONITORING 35

C.8 CONTRACTOR OFFICE 35

C.9 KEY PERSONNEL 35

SECTION D - PACKAGING AND MARKING 38

D.1 AIDAR 752.7009 MARKING (JAN 1993) 38

D.2 BRANDING POLICY 38

D.3 BRANDING AND MARKING STRATEGY 38

SECTION E - INSPECTION AND ACCEPTANCE 40

E.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY

REFERENCE 40

E.2. INSPECTION AND ACCEPTANCE 40

SECTION F - DELIVERIES OR PERFORMANCE 41

F.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY

REFERENCE 41

F.2. PLACE OF PERFORMANCE 41

F.3. REPORTING REQUIREMENTS 41

F.4. KEY PERSONNEL 45

F.5. PERFORMANCE STANDARDS 45

F.6. 752.242-70 PERIODIC PROGRESS REPORTS (OCT 2007) 46

SECTION G - CONTRACT ADMINISTRATION DATA 47

G.1. AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998) 47

G.2. ADMINISTRATIVE CONTRACTING OFFICE 48

G.3. CONTRACTING OFFICER’S AUTHORITY 48

G.4. CONTRACTING OFFICER’S REPRESENTATIVE (COR) 48

G.5. TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID 48

G.6. PAYING OFFICE 50

G.7. INVOICING INSTRUCTIONS 50

G.8. ACCOUNTING AND APPROPRIATION DATA 50

SECTION H - SPECIAL CONTRACT REQUIREMENTS 51

H.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY

REFERENCE 51

H.2. AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS

(FEB 2012) 51

H.3. AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL

1997) 52

H.4. AIDAR 752.7005 SUBMISSION REQUIREMENTS FOR

DEVELOPMENT EXPERIENCE DOCUMENTS (JAN 2004) 52

H.5. INSURANCE AND SERVICES 53

H.6. AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC)

SERVICES (JULY 2007) 54

H.7. AUTHORIZED GEOGRAPHIC CODE 55

H.8. LANGUAGE REQUIREMENTS 55

H.9. AUTHORIZED WORK WEEK 55

H.10. AIDAR 752.228-9 CARGO INSURANCE 55

H.11. AIDAR 752.7012 PROTECTION OF THE INDIVIDUAL AS A

RESEARCH SUBJECT (AUG 1995) 55

H.12. AIDAR 752.7034 ACKNOWLEDGMENT AND DISCLAIMER (DEC

1991) 56

H.13. EXECUTIVE ORDER ON TERRORISM FINANCING 56

H.14. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL

CONFERENCES (JAN 2002) 57

H.15. REPORTING OF FOREIGN TAXES 57

H.16. USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004) 58

H.17. HOMELAND SECURITY PRESIDENTIAL DIRECTIVE -12 58

H.18. ORGANIZATIONAL CONFLICT OF INTEREST 59

H.19. AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND

NOTIFICATION REQUIREMENTS (JAN 1990) 59

H.20. ENVIRONMENTAL COMPLIANCE 59

H.21. SMALL BUSINESS SUBCONTRACTING PLAN 60

H.22. GENDER CONSIDERATION 61

H.23. DISCLOSURE OF INFORMATION 61

H.24. INFORMATION TECHNOLOGY REQUIREMENT 61

H.25. GRANTS UNDER CONTRACT 61

PART II - CONTRACT CLAUSES 63

SECTION I - CONTRACT CLAUSES 63

I.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY

REFERENCE 63

I.2. 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION

REGARDING RESPONSIBILITY MATTERS (FEB 2012) 66

I.3. 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999) 67

I.4. 52.243-7 NOTIFICATION OF CHANGES (APR 1984) 67

I.5. SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT

(FEB 2006) 69

I.6. AIDAR 752.219-70 USAID MENTOR- PROTÉGÉ PROGRAM (JUL

2007) 69

I.7. AIDAR 752.7101 VOLUNTARY POPULATION PLANNING

ACTIVITIES (JUN 2008) 69

PART III LIST OF ATTACHMENTS 72

SECTION J - LIST OF ATTACHMENTS 72

PART IV REPRESENTATIONS AND INSTRUCTIONS 73

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER

STATEMENTS 73

K.1. NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY

REFERENCE 73

K.2. 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB

2012) 73

K.3. INSURANCE - IMMUNITY FROM TORT LIABILITY 75

K.4. AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS 75

K.5. 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS

(APR 2010) 76

K.6. 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB

2012) 77

K.7. 52.215-6 PLACE OF PERFORMANCE (OCT 1997) 78

K.8. 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT 1999)

ALTERNATE I (OCT 1998) 78

K.9. 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB

1999) 79

K.10. 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) 80

K.11. 52.225-20 PROHIBITION ON CONDUCTING RESTRICTED BUSINESS

OPERATIONS IN SUDAN – CERTIFICATION (AUG 2009) 80

K.12. 52.227-15 STATEMENT OF LIMITED RIGHTS DATA AND RESTRICTED

COMPUTER SOFTWARE (MAY 1999) 81

K.13. 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND

CERTIFICATION (JUNE 2000) 82

K.14. 52.230-7 PROPOSAL DISCLOSURE – COST ACCOUNTING PRACTICE

CHANGES (APR 2005) 84

K.15. SIGNATURE 84

K.16. AGREEMENT ON OR EXCEPTIONS TO, TERMS AND CONDITIONS 85

SECTION L - INSTRUCTIONS TO OFFERORS 86

L.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY

REFERENCE 86

L.2. 52.216-1 TYPE OF CONTRACT (APR 1984) 86

L.3. 52.233-2 SERVICE OF PROTEST (SEP 2006) 86

L.4. GENERAL INSTRUCTIONS TO OFFERORS 87

L.5. SUBMISSION/DELIVERY INSTRUCTIONS 88

L.6. INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL

PROPOSAL 88

L.7. INSTRUCTIONS FOR PREPARATION AND SUBMISSION OF THE COST

PROPOSAL 89

SECTION M - EVALUATION FACTORS FOR AWARD 93

M.1 GENERAL INFORMATION 93

M.2 TECHNICAL EVALUATION CRITERIA 93

M.3 PAST PERFORMANCE 94

M.4 EVALUATION OF SMALL BUSINESS SUBCONTRACTING PLAN 94

M.5 COST EVALUATION 95

M.6 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT

AWARD 95

M.7 SOURCE SELECTION 95

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1. PURPOSE

The purpose of this contract is to strengthen the resiliency and sustainability of East African economies, trans-boundary freshwater ecosystems, and communities, targeting three key development challenges of East Africa that are likewise high priority areas for the U.S. Government (USG) as described in detail in Section C, Statement of Work.

B.2. CONTRACT TYPE

This is a Cost-Plus Fixed-Fee (CPFF) completion type contract. For the consideration set forth below, the Contractor shall provide the performance requirements described in Section C and the deliverables or outputs described in Section F.

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, if any, is $TBD. The fixed fee, if any, is $TBD. The 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 [to be inserted at the time of award].

B.4. BUDGET LINE ITEMS

The following budget table captures the final negotiated cost elements for the performance of the work required hereunder. Contractors are required to use the “RFP Budget Template” embedded here below:

Budget Template-PREPARED.

Since funds are earmarked for specific activities we have included a by CLIN worksheet. The budget should clearly show, with formulas, how the figures referenced in the CLIN worksheet were developed based on the summary and detailed budget worksheets. Cost estimates with respect to the CLINs should be guided by the CLIN table provided below. Contractors must also submit the summary table showing the price schedule per CLIN with their proposal.

B.5. APPROVALS (TBD)

The use of contract funds is approved for the following (A, B, C, D & E) below:

A. (TBD) International Travel Trips included in the successful contractor’s cost proposal accepted by USAID. However, consistent with AIDR 752.7032 International Travel Approval and Notification, the contractor is required to provide (in advance) an itinerary for each of the above international trips, showing the name of the traveller, purpose of trip, origin/destination (and intervening stops), and dates of travel before travel is undertaken. Each notification must state that the travel proposed to be undertaken is included in the contractor’s cost proposal accepted by USAID.

B. Project Non-Expandable Property (NXP) specifically identified in the detailed budget accepted by USAID (if separate Source /Origin /Nationality approval is required; the request must be submitted to the Contracting Officer in advance).

C. (TBD) project vehicles specifically requested for funding in the detailed budget accepted by USAID.

However prior to purchase of any of the (TBD) vehicles, the contractor is required to obtain Contracting Officer’s final approval and, additionally, obtain separate Source/Origin/Nationality approval if applicable.

D. Subcontracting with: TBD

E. Six day work week may be authorized on a case-by-case basis for STTA at the discretion of the CO.

B.6. PERIOD OF PERFORMANCE

The period of performance for this contract is five years from date of award.

B.7. MULTI-YEAR CONTRACT

This CPFF contract is considered non-severable, and is therefore a multi-year contract as defined in FAR

17.103. Therefore, this contract is subject to the requirements of FAR 17.106.

Cancellation Dates:

Contract Year 2: December 15, 2013 Contract Year 3: December 15, 2014 Contract Year 4: December 15, 2015 Contract Year 5: December 15, 2016

Cancellation Ceiling:

This is a CPFF type contract where the Contractor is authorized to be reimbursed for all costs which are allowable in accordance with FAR 52.216-7, “Allowable Costs and Payment”. Therefore, the Contractor will not incur any costs which would have been amortized over the life of the contract should the contract be cancelled in accordance with FAR 17.103 and 52.217-2. Therefore, the cancellation ceiling for each cancellation date is TBD.

B.8. 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:

Period:

B.9. CEILING ON INDIRECT COSTS

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

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:

Period:

(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.

(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.10. 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 - STATEMENT OF WORK

C.1. TITLE OF PROGRAM

The title of the project is Planning for Resilience in East Africa through Policy, Adaptation, Research, and Economic Development (PREPARED).

C.2. GOAL AND OBJECTIVES

The overall goal of PREPARED is to strengthen the resiliency and sustainability of East African economies, transboundary freshwater ecosystems, and communities, targeting three key development challenges of East Africa that are likewise high priority areas for the U.S. Government (USG). The first two are biodiversity conservation and sustainable access to water, sanitation, and hygiene (WASH). The third development challenge is climate change, which is not a sector in and of itself, but rather a set of environmental stressors that impact economic and social development and potentially exacerbate existing problems within the Biodiversity Conservation and WASH sectors. In fact, biodiversity and water resources/services, along with agriculture, are considered to be particularly vulnerable to the impacts of climate change in the region. Lack of economic diversity and inadequate institutional capacity suggest that East African countries are among the most vulnerable to the impacts of climate variability and change, whose shocks can further impede economic and livelihood advancement.

PREPARED has three integrated objectives:

Objective 1: Climate change adaptation technical capacity, policy leadership, and action readiness of regional institutions improved;

Objective 2: Resilient and sustainable management of biologically significant transboundary freshwater ecosystems in the East African Community region strengthened; and Objective 3: Resilient and sustainable water supply, sanitation, and wastewater treatment services in the Lake Victoria Basin enhanced.

C.3 BACKGROUND

C.3.1 Regional Development Challenges and Responses Key opportunities lie at the nexus of three areas of development priority for both East African Community (EAC) and the United States Agency of International Development (USAID), i.e., transboundary freshwater biodiversity conservation, improved access to drinking water supply and sanitation services, and increased resiliency to climate change. Separately and together these issues have enormous implications for the long-term sustainable development and economic growth of the region.

They also provide an opportunity for USAID/East Africa (USAID/EA) to take a truly innovative development approach that simultaneously addresses these issues through the lens of ecosystem based adaptation, integrated water resources management (IWRM), sustainable WASH services delivery, and climate change adaptation in ways that will lead to long-term transformative change and resiliency.

The current state of affairs for each development challenge will be briefly discussed in the following paragraphs to provide regional sectoral context. The principal intersections of these challenges are elaborated upon in Attachment 2.

C.3.1.1 Transboundary Biodiversity Conservation in East Africa East Africa’s ecosystems encompass some of the most diverse terrestrial and aquatic landscapes of the world, which provide a wide range of ecosystem services of vital importance to the livelihoods and economies of the region. Maintaining biodiversity is thus essential for ensuring the sustainability of environmental goods and services.

One traditional model for biodiversity conservation is the use of Protected Areas (PAs). East Africa contains some of the world’s oldest and richest PAs, such as the Tsavo, Queen Elizabeth, and Serengeti National Parks in Kenya, Uganda, and Tanzania, respectively. PAs were the cornerstones of virtually all early national and international conservation strategies since the concept arose in the 1860s (Eagles et al.

2002) and have been guided by the principle of strict conservation. But that thinking has evolved beyond the concept of “set asides” of large wild areas for conservation, especially for the characteristic large mammal aggregations, and now includes explicit attention to economic and local livelihood consideration such as recreation, pastoralism, tourism, fisheries, forestry, and the value of ecosystem services within both individual and linked networks of PAs (Eagles et al. 2002).

Furthermore, the conservation community recognizes the need to look beyond protection of delimited PAs, and increasingly takes a more comprehensive and multi-scaled approach that not only considers particular species and ecosystems in isolation, but also addresses management across both protected and non-protected areas, considering the entire biophysical and socioeconomic landscape in which valued biodiversity is situated. This is of the utmost importance as land conversion and encroachment of PAs have led to biodiversity declines (IUCN 2012) and serious ecological isolation with negative effects on species richness, abundance, and genetic vigor (Aboud et al. 2012). Nassef et al. (2009) points out that as lucrative as national parks and PAs are to national economies in the region, they are still largely treated as revenue generating units isolated from their surroundings, ignoring vital ecosystem goods and services as inputs, which fundamentally maintain the presence of wildlife populations. Further, the relationship with local communities to their land and the financial incentives returning to local communities for positive impacts to landscape and biodiversity conservation is wanting yet critical to maintaining ecosystem services in and around national parks and PAs.

The emergence of conservancies outside PAs is a promising method of capturing wildlife revenues for communities while conserving biodiversity (Aboud et al. 2012). Another promising approach is Total Economic Valuations and Payment for Ecosystem Services, both of which can provide a framework for capturing holistic ecosystem services and identifying the full range of costs and benefits of certain activities (Aboud et al. 2012). Landscape-scale approaches such as IWRM also provide a platform to manage both protected- and non-protected status resources in a holistic way, recognizing that threats to water and watershed-related biodiversity often originate in other parts of the hydrologic system.

While the present collection of PAs and associated conservation efforts in East Africa embraces to some extent broader biodiversity concepts, a preoccupation with large mammal concentrations, as well as terrestrial and marine ecosystems still exist (Scholes et al. 2009). The conservation of freshwater ecosystems and efforts to curb the alarming decline in freshwater biodiversity continues to be limited in East Africa even though researchers strongly suggest that freshwater PAs, in the context of broader IWRM at the basin scale, have the potential to protect freshwater ecosystems from a range of deleterious stressors and positively impact declines in biodiversity (Suski and Cooke, 2006). Movement towards broader freshwater conservation is also closely linked to the paucity of existing information on aquatic biodiversity, as well the wide dispersal, disorganization, and inaccessibility of existing data to decision makers for effective integration into plans to address these issues.

EAC Response: The EAC Secretariat prioritizes transboundary conservation approaches in their new five-year Strategic Plan (2011-2016), and the East African Legislative Assembly recently passed the EAC

Transboundary Ecosystems Bill 2010 to effectively streamline the management of transboundary ecosystems with a view to enhancing the quality of the environment and ensuring sustainable utilization of shared natural resources in the EAC. Both documents embrace a multi-sectoral and broad landscape vision to the conservation of biodiversity and ecosystem services as part of overall regional development strategies. In addition, three of the five key transboundary issues identified in the EAC’s Strategic Action Plan for the Lake Victoria Basin (EAC 2007) include loss of aquatic biodiversity, pollution and eutrophication of aquatic resources, and unsustainable water resource management; and the recently published A Study on Aquatic Biodiversity in the Lake Victoria Basin (LVBC 2011) recognizes that aquatic ecosystems comprise one of the most important resources in the Lake Victoria Basin (LVB), covering 50% of the Basin’s surface area, as well as the need for a centralized access point for information and data management for aquatic biodiversity in the LVB.

C.3.1.2 Drinking Water Supply and Sanitation in East Africa Lack of availability and low quality of freshwater resources and water-related services are important limiting factors for development in Africa, constraining food production and industrial activity, and contributing significantly to the burden of disease. The availability and access to drinking water supply and sanitation services specifically is an important determinant of economic growth and social development, yet access to basic WASH services in East Africa is low overall. The five EAC Partner States have a mixed performance for access to ‘improved’ services as defined by the Millennium Development Goals (MDGs).

Water supply access has been improving over the last 20 years in the region, but gaps are still significant.

In 2008 (the last year for which data is available) national coverage in the five EAC Partner States ranged from a low of 54% in Tanzania to 72% in Burundi. Sanitation coverage falls considerably behind water supply access in the EAC region, especially in rural areas, ranging from only 24% of the population overall with improved sanitation access in Tanzania to 54% in Rwanda. Of those with ‘improved’ sanitation, data is not widely available on how many people are connected to a networked sewerage system versus having a stand-alone latrine or septic system, but the former is thought to be minimal, e.g., it was estimated that in 2007 networked sewerage services covered only 14% of urban centers in Kenya, and are not evident in rural settings at all (IEA 2007). Overall among the EAC Partner States, only Rwanda is on track to meet the MDG in sanitation, and only Uganda is on track to meet the drinking water supply goal. The challenges are especially great in the rapidly growing smaller towns around Lake Victoria, which generally have lower than average service levels.

EAC Response: The third EAC development strategy (2006-2010) highlighted improved access to drinking water supply and sanitation services as a specific priority for the Lake Victoria Basin Commission (LVBC). The strategy also identified strategic interventions for improved management of domestic wastewater. WASH has been prioritized in the 2012-2013 EAC development budget, receiving almost 30% of the total.1 Most recently, the EAC’s newly developed Climate Change Strategy and Climate Change Master Plan recommend various adaptation measures that increase the resiliency of WASH infrastructure from climate-related natural disasters and protect drinking water source water supplies from increased climate variability.

C.3.1.3 Climate Change in East Africa East African countries are particularly vulnerable to the impacts of climate change because their populations have a high dependence on land-based resources, as well as on freshwater and riverine systems. Furthermore, poverty and institutional weaknesses limit the adaptive capacity in the region.

Adam Ihuch, “Water Supply Gets 30 percent of regional development budget,” Relief Web article, June 4, 2012, http://reliefweb.int/node/500985.

In East Africa, climate change trends such as increasing temperatures, changes in timing and amount of rainfall, and extreme weather events already threaten development gains and economic stability. Future climate change projections suggest a worsening of these conditions.2 Population growth, urbanization, emerging economies, and environmental degradation will compound the impacts of a changing climate.

As such, adaptation to climate change continues to rise on the agendas of researchers, practitioners, and decision makers, driven by growing evidence that climate change is real, already observable, and threatening to undermine development in the region.

While general climate trends in the region are largely understood, developing specific predictions at spatial and temporal scales relevant to planning is still challenging, much less developing an accurate picture about likely impacts in specific sectors such as agriculture, water/WASH, or biodiversity. Even less effort has been devoted to rigorous evaluation of potential adaptation strategies or how expected changes in climate should shape policies, strategies, and actions by public and private stakeholders in the region.

According to a recent review of current and planned adaptation activities, a considerable level of adaptation action is already being implemented in East Africa (IISD 2011). However, activities are often conducted at the pilot-scale and there is little or no coordination of the adaptation actions that are being implemented within the purview of a broader, integrated strategy. This is compounded by the various knowledge, methodological, and institutional gaps that exist, which limit the ability of regional, national, and local decision-makers and planners to conduct structured adaptation planning that explicitly considers the long term impacts of climate change.

EAC Response: The EAC is already encouraging considerable regional cooperation on climate change at the policy level as part of its overall role as regional coordinator on climate change, food security issues, and transboundary resource management. In March 2010, the EAC released a Declaration on Food Security and Climate Change (EAC 2010a). It has also published a Food Security Action Plan (EAC 2010b), a Regional Climate Change Policy (EAC 2011c), and a draft Climate Change Strategy (EAC 2011d) and Climate Change Master Plan (EAC 2011e). EAC has established a multi-sectoral Council on Food Security and Climate Change to organize joint implementation of these policies and plans within key shared areas of concern. While this work has been important, the EAC has yet to formalize its role through the establishment of a climate change office with the technical and organizational capacity to address significant policy issues at the regional and bilateral level.

At the bilateral level, the capacity of individual EAC Partner States to respond to the adverse impacts and inherent uncertainty of climate change remains very low. Effectiveness is hampered by many factors including weak and inadequate policies and institutions, lack of data/information, weak human resource capacity, and limited financial resources. Collectively, these institutional weaknesses have rendered climate change responses in the five EAC Partner States highly ineffective according to the recently finalized EAC Climate Change Strategy and Master Plan (EAC 2011d, 2011e).

C.3.2 The Need for a Regional Transboundary, Cross-Sectoral Approach The development sectors of interest and the impacts of climate change are not constrained by national or jurisdictional boundaries. In particular, many of the shared environmental, social, and economic challenges facing East Africa are linked to the interconnected climatological, hydrological, and ecological processes of watersheds and ecosystems that may not follow local or national political delineations. The sustainability and resiliency of development strategies are also shaped in part by regional economic policies, political conflicts, and transboundary demographic, ecological, and health dynamics. As such, a good policy or framework in one country, with business as usual in neighboring countries, is likely to lead

2 It is reported that by 2030, for example, demand for water could outstrip supply by 40 percent and that about half of the population might live in water scarce areas (WWF2010). Climate change may exacerbate these conditions in some areas.

to poor development results for the region as a whole. Likewise, uncoordinated sectoral responses can be ineffective or even counterproductive, because a response in one sector can increase the vulnerability and/or reduce the effectiveness of another sector’s responses. For example, while an increase in agricultural productivity in the LVB may increase regional food security at one level, if not properly managed, it may have negative impacts on other components of food security (e.g., native fisheries), to local water supplies for other domestic or productive uses, and/or to freshwater ecosystems – all of which can collectively exceed the gains made in crop production. To ensure that the potential costs and risks are factored into planning, it is critical to engage multiple sectors and stakeholders into integrated planning across sectors.

This reality calls for an approach to addressing important development challenges that transcend national boundaries. A regional approach is key. One example of value-added coordination at the regional scale is the effective management of transboundary water resources. Multi-country river basins dominate the African hydrologic landscape in general, and the EAC region in particular. IWRM and governance at the transboundary scale is thus an essential component of ensuring water security for economic, domestic, industrial, and ecosystem users across all countries and communities sharing the resource. Over the last decade, transboundary river and lake basin cooperation have been underway in several basins in East Africa, most notably through the Nile Basin Initiative (NBI), including its subsidiary LVB. The USAID-supported Transboundary Mara River Basin (MRB) program indirectly supports these larger international efforts, focusing on securing reserve environmental flows and biodiversity action planning for the Mara River and the Serengeti‐Maasai Mara ecosystem (LVBC and WWF-ESARPO 2010a, 2010b).

While these examples are positive and regional integration is growing through the various regional policies outline in the previous sections, the implementation and enforcement mechanisms are generally lacking (Aboud et al. 2012). This is particularly true for climate change adaptation which lags behind in regional integration. To clarify, a number of global and regional research institutions in East Africa are working on climate change adaptation issues, but they are generally doing so in scattered, disbursed pilot projects with no cohesive strategy or coordination of efforts at the regional scale.

The diverse, regional sectoral policies need to be consolidated and harmonized with a bearing to transboundary resource management, including sustainable WASH, biodiversity conservation, and climate change adaptation. This approach would offer decision-makers and implementers in the region the ability to prevent potential conflicts, to consider trade-offs and synergies between various sector development and climate adaptation activities, and to build regional resiliency that enables continued economic growth.

C.3.3 USAID/East Africa (USAID/EA) USAID/EA is based in Nairobi, Kenya and supports regional activities that address regional-level development and environment priorities, and provides value-added support to USAID bilateral missions.

One key advantage of USAID/EA’s regional mandate is the use of regional programming to amplify development impact at regional, national, and sub-national levels. Working across East Africa, USAID/EA is uniquely positioned to address transboundary/regional issues and seize opportunities for catalytic change across multiple countries, often while complementing and furthering the objectives of bilateral USG-funded programs.

The Office of Regional Economic Growth and Integration (REGI) is the largest technical implementation unit in USAID/EA with three distinct teams: Agriculture, Trade, and Environment. REGI manages a complex and broad portfolio valued at $45-50 million each year, which represents approximately 70% of the USAID/EA annual budget. REGI works in full partnership with African institutions to achieve local development goals and promote U.S. Foreign Policy objectives. REGI and its partners jointly seek to reduce barriers and facilitate increased regional and global trade; to increase the productivity and competitiveness of the region, particularly in agricultural value chains; to support improved transit corridors; to engage in adaptation and clean energy initiatives in response to global climate change; to improve access to clean water and sanitation; and to help maintain the region’s rich biodiversity as a sustainable and globally-recognized asset.

C.3.4 The PREPARED Program The PREPARED program is proposed as a medium-term (five year), multi-organization, comprehensive program with a $45 million ceiling (of which the Contract has a $24.5 million ceiling; the remaining amount will be distributed to regional intergovernmental and technical partners) aimed at mainstreaming integrated, multi-sectoral, evidence-based, climate-resilient development planning and program implementation into the EAC and its Partner States’ development agendas.

Successful planning for the regional development challenges laid forth in C.3.1 points to the need for strong working partnerships, coordination, and capacity building among a broad range of institutions in the climate change, biodiversity, and water supply and sanitation communities to create and strengthen policy leadership and knowledge frameworks that support and integrate adaptive and strategic decision-making and more effective development. At a minimum, this will require the collaboration and alignment of the following independently-funded implementing partners:

East African Community (EAC) Secretariat and Partner States (Kenya, Uganda, Burundi, Rwanda, and Tanzania);

Lake Victoria Basin Commission (LVBC), a technical arm of the EAC Secretariat;

Intergovernmental Authority on Development (IGAD) Climate Prediction and Application Center

(ICPAC);

Famine Early Warning System Network (FEWS NET); and Regional Centre of Monitoring for Regional Development (RCMRD), which houses USAID-funded SERVIR-East Africa.

The EAC is well positioned as a growing regional political and economic bloc that is encouraging considerable regional cooperation on climate change, food security, biodiversity conservation, and water resource management at the policy and planning levels. The LVBC, a technical arm of the EAC, provides leadership on key management issues related to the Lake Victoria Basin, which the EAC has designated as an "area of common economic interest" and a "regional economic growth zone" to be developed jointly by the EAC Partner States. ICPAC offers quality-controlled data management, climate diagnostics and prediction applications, research and development, and end-user liaisons in the region. FEWS NET has been a leader in developing capacity, building and strengthening networks, and developing decision support products to help decision-makers mitigate food insecurity in the near term. More recently, FEWS NET has been conducting climate trend analyses in selected food-insecure African countries and building connections between climate trends and agriculture and water supply.

To this end, PREPARED’s overall objectives will be achieved through three implementing mechanisms in addition to this Contract (the Contract), i.e., two USAID/EA Assistance Agreements (AAs) with the EAC/LVBC and IGAD, respectively, and a buy-in to a USAID/United States Geological Survey (USGS) Participatory Agency Partnership Agreement (PAPA) to access FEWS NET expertise.

In addition, under a separate, USAID/Washington-supported agreement, the SERVIR-East Africa hub has aligned its program design with PREPARED to improve the demand and supply of information for decision-making and action (SERVIR 2012). SERVIR (Regional Visualization and Monitoring System) is a global USAID program that integrates earth observations (e.g. satellite imagery) and forecast models together with in situ data and knowledge for timely decision-making to benefit society. SERVIR-East Africa is headquartered at RCMRD in Nairobi, Kenya. It currently provides critical information on disasters, ecosystems, biodiversity, weather, water, climate, health, agriculture, and energy. Partner organizations include NASA, other U.S. Government agencies and universities, international space agencies, and non-governmental organizations (NGOs). SERVIR regional operational facilities are responsible for interfacing and coordinating with other international and national organizations in their region related to climate change, environmental monitoring, weather disasters, civil protection, and mapping, among others. PREPARED and SERVIR share the objective of strengthening the capacity of decision-makers to integrate scientific data and information and geospatial technologies.

The services provided under this Contract shall involve implementation and coordination of all major activities with special attention given to the alignment of the above implementation/ collaboration partners and leveraging the strengths and expertise of each to maximize results. There shall be significant integration among the four mechanisms, as well as with USAID/Washington’s SERVIR-East Africa hub based in RCMRD. The coordinated, active participation and constructive engagement of stakeholders across the four awards is essential. In addition, coordination and communication with USAID/EA’s regional Feed the Future and Horn of Africa Resiliency Initiatives will also be important.

USAID anticipates that creative and participatory project management frameworks will be used to ensure that project decision-making, collaborative work-planning and monitoring are coordinated across all relevant Mission mechanisms. USAID anticipates that regular meetings, on at least a quarterly basis, will be held between the partners managing the four mechanisms described above.

C.4 SERVICES AND TASKS REQUIRED

C.4.1 PROGRAM COMPONENTS, EXPECTED RESULTS AND ILLUSTRATIVE

ACTIVITIES

This Contract will have five (5) program components, three of which were set forth in Section C.1 above and will be discussed as technical services, and two of which are management and administrative services:

Component 1: Climate change adaptation technical capacity, policy leadership, and action readiness of regional institutions improved (50% of total contract value) Component 2: Resilient and sustainable management of biologically significant transboundary freshwater ecosystems in the East African Community region strengthened (25% of total contract value)

Component 3: Resilient and sustainable water supply, sanitation, and wastewater treatment services in the Lake Victoria Basin enhanced (25% of total contract value)

Component 4: Regional Coordination of Partners (weighted by technical area as denoted above) Component 5: Overall Program Management and Administrative Support (weighted by technical area as denoted above)

PREPARED will meet USAID objectives and standards as defined by the Foreign Assistance Framework (see Attachment 3). The program will be funded with resources earmarked by the U.S. Congress and the President for Biodiversity Conservation, WASH, and Climate Change Adaptation. As such, the program and all activities will meet the necessary Biodiversity and WASH Congressional earmarks, as well as Climate Change Adaptation Presidential Initiative requirements as defined by USAID (see Attachment 3).

Within the Foreign Assistance Framework, PREPARED focuses on Program Area 4.8, Environment, through Elements 4.8.1, Natural Resources and Biodiversity, 4.8.2, Clean Productive Environment (Climate Change), as well Program Area 3.1, Health, through Element 3.1.8, Water Supply and Sanitation. Earmark and other funding requirements are subject to change by Congress. The Contractor shall maintain communication with USAID to insure that appropriate guidance is followed for earmarks and Initiatives under each Fiscal Year funding allocation.

C.4.2 TECHNICAL SERVICES

Set forth below are illustrative activities, expected results, and specific guidance for providing services and performing tasks under the Contract for each of the three Technical Components. While a subset of illustrative activities are provided here, Offerors are encouraged to propose innovative and creative approaches to most effectively achieve program objectives. Attachment 4 provides additional relevant resources that may be useful to Offerors.

In addition, USAID/EA seeks to leverage additional resources from the private sector to further PREPARED’s technical objectives through the establishment of one or more public-private partnerships or Global Development Alliances (GDAs) (see http://idea.usaid.gov/ for more information on private-public partnerships). Offerors shall include in their proposals/applications a comprehensive approach to private sector engagement that includes the following:

Understanding of the need for public-private partnerships and potential private sector partnership opportunities in this project and how potential partnerships will contribute to project objectives/results and to the business interests of potential partners;

Approach for private sector partner engagement, with a focus on innovative approaches and sustainable development outcomes and a detailed explanation of how partnerships, including leveraged funds, will be solicited, established, and managed;

Measurable indicators and targets that will determine success;

Experience building and managing GDAs or other public-private alliances, and achievement of concrete results from previous partnerships.

Demonstration of how the proposed partnership contributes to sustainable improvements in access to clean water and sanitation.

USAID/EA has established a target ratio for private sector matches of 1:1. Matching resources obtained through partnerships may free up funding for other purposes within this Statement of Work or allow for expanded program implementation. Any partnership commitments undertaken by the implementer(s) during the course of the project will be subject to USAID review and approval. Any post-award changes to the cost or program budget will also be subject to USAID approval.

Offerors should not approach Resource Partners or request any letter of commitment until the project has been awarded. Resource partners unfamiliar with the USAID acquisition and assistance process may be confused and frustrated by multiple applicant/proposal requests. This may damage the relationship between USAID, the Offeror and the partners after the award has been made. A sound strategy and approach is all that is required for the proposal.

C.4.2.1 Climate Change Adaptation The scientific understanding of many climate change impacts is still in development, and confidence in certain predictions is much higher than in other areas. For example, scientists feel relatively confident that temperatures will rise, but predictions of the timing and amount of rainfall in East Africa are quite variable. More specifically, the output of global circulation models (GCMs) for Africa show low levels of confidence for precipitation patterns across most of the tropical and subtropical latitudes of Africa, including East Africa (Le Quesne et al. 2010), where GCM precipitation projections are variable and inconsistent at intra-annual/seasonal and annual resolutions (Wilby et al. 2009). It is difficult to know how to interpret these projections and how to use them to guide resource management decisions in the

EAC region (IPCC 2008; Le Quesne et al. 2010). As such, one of the key challenges that need to be resolved between scientists and decision-makers is the inherent tension between the uncertainty of climate science and the need for action.

For adaptation planning, climate projections of 20-30 year (or longer) time scales are preferred, as are more localized and place-specific analyses. However, climate models generally, especially those used for major international reports such as the Intergovernmental Panel for Climate Change (IPCC), are not yet able to provide this level of temporal or spatial resolution, and often include a significant variance in the projected outcomes. Regional or downscaled modeling also imparts significant variance. Although there is growing research into modeling techniques that may eventually yield better predictions both temporally and spatially, climate models are unlikely to improve substantially in the near future in their projections of impacts at scales of less than 50 kilometers. Policy makers must be equipped with sufficient training and tools to enable more flexible policy approaches to cope with varied climate futures.

The core adaptation task in the region is thus to build the capacity to cope with uncertainty rather than being reactive to a specific climate impact. The availability of good climate risk information alone does not necessarily make adaptation decisions easier or better. Managing uncertainty requires effective use of information at all scales and across the spectrum of emphasis on vulnerability and impacts. Decisions inevitably involve many intersecting – and often competing – values and interests, and processes for weighting and resolving these play a central role in adaptive decision- making and “adaptive policymaking.” This will require policymakers to treat policies as ongoing experimental and learning processes (McGray, Hammill, Bradley 2007). In other words, dynamic policies and action plans that are able to be readily adapted to changing conditions will provide a critical supporting environment for adaptation at all scales. Investment in institutions and decision-making processes will provide a solid foundation for ongoing adaptation efforts that can adjust and improve as new information, techniques, or conditions are encountered.

Expected Results The Contractor shall:

Establish an EAC Climate Change Coordination Unit that plays a key role in coordinating climate change knowledge management and transboundary climate change adaptation policy making and investment planning within the EAC and LVBC

Develop a regional-level database or clearinghouse mechanism for gathering and sharing climate change and key sector data, climate change impacts, vulnerability assessments, and best adaptation practices, including protocols for data quality, as well as coordination and coherence among key national and regional data and information management institutions

Develop a set of functional and replicable climate science-based geospatial decision-making and management tools

Train regional and bilateral government officials and partners on the impact of climate change on key development challenges in the region with a special emphasis on climate smart, integrated, and adaptive decision-making

Enhance technical capacity to identify current climate risks and assess likely future climatic trends at the regional scale

Improve the availability and quality of climate science and information relevant to decision-makers in the region

Improve the inclusion of acquired knowledge about current and future climate risks and adaptive policymaking in decision-making…