Combined_Synopsis-Solicitation.pdf

U . S . T R A D E A N D D E V E L O P M E N T A G E N C Y

SUBJECT: COMBINED/SYNOPSIS SOLICITATION: China Aviation Desk Study

Series

SOLICITATION NUMBER: RFP-1131PL-17-R-DS61048

ISSUANCE DATE: February 17, 2017 CLOSING DATE: February 31, 2017, 12:00 Noon, Washington, D.C. Local

Time

This request for commercial item prepared in accordance with the format in Federal Acquisition Regulation (FAR) Subpart 12.6 and procedures in Subpart 13.1 as supplemented with additional information included in this notice. This announcement constitutes the only RFQ; offers are being requested and written solicitation will not be issued.

This solicitation is being issued IAW FAR Subpart 15.203. The Government will offer one award resulting from this solicitation to the offeror who is deemed responsible and is determined, based on the evaluation factors and sub factors, to represent the best value to the Government.

This procurement is a 100 percent set-aside for Small Business under NAICS Code

541690. Award is limited to U.S. Firms or U.S. individuals. Contractor and U.S.

subcontractor employees used shall be either U.S. citizens on non-U.S. citizens lawfully admitted for permanent residence in the United States. Contractor use of subcontractors is limited to less than fifty percent of the proposed price. International transportation and insurance must have their nationality; source and origin in the U.S., local lodging, food and transportation in the host country are not subject to this restriction.

THE FOLLOWING ITEMS REPRESENT THE "PROPOSAL PACKAGE" THAT

SHOULD BE RETURNED IN RESPONSE TO THIS SOLICITATION (Addendum to FAR 52.212-1, Instructions to Offerors – Commercial Items (APR 2014)).

1. Proposal Due Date:

Your quote must be received no later than 12:00 Noon local Arlington, VA time on

Tuesday, January 31, 2017. Late quotes will be processed in accordance with Federal Acquisition Regulation guidance.

2. Offer Submission:

Send your offer by email to contractproposals@ustda.gov which is due no later than 12:00

Noon, local Arlington, VA time on Tuesday, January 17, 2017. Proposals submitted by facsimile or to alternate email addresses will NOT be accepted.

3. Questions Relating to This Solicitation:

All questions must be emailed to the POC listed in the solicitation at awilliams@ustda.gov no later than 12 Noon, Tuesday, February 24, 2017. Please reference the Solicitation

Number in the SUBJECT LINE of your email.

4. Notice Regarding Suspension/Debarment/Ineligibility:

Any contract awarded to a contractor who, at the time of award was suspended, debarred, and ineligible for receipt of contract with Government Agencies or in receipt of a notice of proposed debarment from any Government Agency, is voidable at the option of the Government.

5. System for Award Management (SAM) Database:

All Contractors must be registered in the SAM database via https://www.sam.gov/portal/public/SAM/ in order to be eligible for contract award. Lack of registration in SAM will make an Offeror ineligible for award as described in FAR 52.204-7.

Do NOT delay submission of your offer pending receipt of a CAGE code.

6. Inspection and Acceptance:

All services are subject to the COR's and/or ACOR’s final approval. All work will be inspected and accepted at USTDA's Office, Arlington, VA.

7. Deliveries or Performance:

The Contractor shall submit all deliverables under this contract to the Contracting Officer's Representative (COR) as stated in the Performance Work Statement. Performance of this contract shall be at USTDA’s Office, Arlington, VA and at the contractor’s facility.

8. Contract Clauses:

The clauses at 52.214-4, Contract Terms and Conditions-Commercial Items and 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders- Commercial Items, apply to this acquisition.

China Aviation Desk Study Series Solicitation No.: 1131PL-17-R-DS61048 mailto:contractproposals@ustda.gov mailto:awilliams@ustda.gov https://www.sam.gov/portal/public/SAM/

9. Proposal Content:

SF 1449, Solicitation/Contract/Order for Commercial Items – Offeror should ensure the CAGE CODE and DUNS Numbers are placed in Block 17A and complete blocks 24 (PRICE QUOTE), 30A, 30B, and 30C. Finally, the offeror should sign and date in blue or black ink while ensuring that all changes made are initialed. PLEASE DO NOT SUBMIT

YOUR PRICES IN ANY OTHER FORMAT.

Technical Proposal – Technical proposal, not exceeding 10 pages, that documents their Technical expertise and experience to meet the requirements in the solicitation.

Past Performance Information – Please include reference information for at least one but not more than three clients for relevant work of similar size, scope, and complexity you have performed in the last three years. The name and contact information of Offeror’s references will not count towards the page limit.

10. Past Performance Questionnaire:

The Offeror shall provide information for a maximum of three (3) contracts and/or subcontracts held within the last three (3) years. Also, ensure the attached Past Performance Questionnaire is forwarded by the Offeror to the contract POC for which the past performance reference is being provided. The government will use information submitted by the Offeror’s past performance POC, such as other Federal Government offices and commercial sources, to assess performance. The attached Past Performance Questionnaire MUST be completed by the POC providing the reference. Upon completion, the past performance POC should forward the completed questionnaire to USTDA via email to contractproposals@ustda.gov no later than 12:00 P.M., Washington D.C. time on

February 17, 2017.

11. Evaluation Factors for Award: FAR 52.212-2, Evaluation, Commercial Items (available at www.farsite.hill.af.mil under FAR), is being used. The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s). The following non-price factors are of equal importance and will be used to evaluate all offers. All evaluation factors, other than cost or price, when combined, are significantly more important that cost or price.

(1) TECHNICAL: The following sub-factors are listed in descending order of importance:

Sub-factor 1: Relevant Technical Experience

The RFP respondent’s relevant qualification and professional experience performing activities of similar scope and complexity to the requirement such as expertise and experience in the aviation sector, including writing terms of reference and evaluating budgets to determine the likelihood that the RFP respondent can successfully perform the contract requirements and the degree of the risk of non-performance. The RFP

China Aviation Desk Study Series Solicitation No.: 1131PL-17-R-DS61048 mailto:contractproposals@ustda.gov http://www.farsite.hill.af.mil/ respondent shall also demonstrate relevant technical experience in the aviation sector as it relates to the evaluation of the impact of regulation, policy, and U.S. commercial exports.

Sub-factor 2: Prior Country or Regional Experience

The RFP respondent’s prior relevant experience in China shall be evaluated to determine the likelihood that the RFP respondent can perform the contract requirements and the degree of the risk of non-performance.

(2) PAST PERFORMANCE

(3) PRICE: The Government will evaluate price to determine the following— Completeness: All information required by the solicitation has been submitted and is accurate.

Reasonableness: Price is fair and reasonable in accordance with FAR.

Technical factor and sub-factors shall be evaluated using the following adjectival ratings:

Table 1. Technical Ratings

Rating Description

Outstanding Proposal meets requirements and indicates an exceptional approach and understanding of the requirements. Strengths far outweigh any weaknesses. Risk of unsuccessful performance is very low.

Good Proposal meets requirements and indicates a thorough approach and understanding of the requirements. Proposal contains strengths which outweigh any weaknesses. Risk of unsuccessful performance is low.

Acceptable Proposal meets requirements and indicates an adequate approach and understanding of the requirements. Strengths and weaknesses are offsetting or will have little or no impact on contract performance. Risk of unsuccessful performance is no worse than moderate.

Marginal Proposal does not clearly meet requirements and has not demonstrated an adequate approach and understanding of the requirements. The proposal has one or more weaknesses which are not offset by strengths. Risk of unsuccessful performance is high.

Unacceptable Proposal does not meet requirements and contains one or more deficiencies. Proposal is unawardable.

Past Performance factor shall be evaluated using the following adjectival ratings:

Table 2. Past Performance Confidence Assessments

Rating Description

Substantial Confidence Based on the offeror’s recent/relevant performance record, the Government has a high expectation that the offeror will successfully perform the required effort.

Satisfactory Confidence Based on the offeror’s recent/relevant performance record, the Government has a reasonable expectation that the offeror will successfully perform the required effort.

Limited Confidence Based on the offeror’s recent/relevant performance

China Aviation Desk Study Series record, the Government has a low expectation that the offeror will successfully perform the required effort.

No Confidence Based on the offeror’s recent/relevant performance record, the Government has no expectation that the offeror will be able to successfully perform the required effort.

Unknown Confidence (Neutral) No recent/relevant performance record is available or the offeror’s performance record is so sparse that no meaningful confidence assessment rating can be reasonably assigned.

BASIS FOR CONTRACT AWARD: The Government will use Trade-off Source Selection Procedures to evaluate offers and determine the best value. The Government will award a contract resulting from this RFP to the offeror who is deemed responsible in accordance with Federal Acquisition Regulation, as supplemented, who's proposal conforms to the RFP requirements (to include all stated terms, conditions, representations, certifications, and all other information required by this solicitation) and is determined, based on the evaluation factors to represent the best value to the Government. The Government seeks to award to the offeror who gives USTDA the greatest confidence that it will best meet or exceed the requirement affordably. This may result in an award to a higher rated, higher priced offeror, where the decision is consistent with the evaluation factors and the Contracting Officer reasonably determines that the technical approach of the higher priced offeror outweighs the cost difference.

//Signed//

GARTH A. HIBBERT

Chief, Office of Acquisition Management

China Aviation Desk Study Series

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

1. REQUISITION NUMBER PAGE 1 OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

LOCAL TIME

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODE17a. CONTRACTOR/

OFFEROR

CODE

FACILITY

CODE

CODE

TELEPHONE NO.

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

RFQ IFB RFP

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

29. AWARD OF CONTRACT: REF. OFFER

DATED . . YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

10. THIS ACQUISITION IS UNRESTRICTED OR

NAICS:

SIZE STANDARD:

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

SET ASIDE: % FOR:

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

8 (A)

EDWOSB

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

2017-61005A/1131PL-17-R-DS61048

1131PL-17-R-DS61048

Angela M. Williams 703.875.4357 1153 100

See Block 9

1131PL

See Block 9

U.S. Trade and Development Agency Finance Office finance@ustda.gov

1001 China Aviation Desk Study Series

GARTH A. HIBBERT

541690

$15M

See Block 31c 01/17/2017

01/31/2017 12:00 Noon

1131PL

U.S. Trade and Development Agency Office of Acquisition Management 1000 Wilson Blvd., Suite 1600 Arlington, VA 22209-3901

1131PL

China Aviation Desk Study Series

SECTION D – ANY CONTRACT DOCUMENTS, EXHIBITS OR ATTACHMENTS

D.1 PERFORMANCE WORK STATEMENT (PWS)

D.1.1. OVERVIEW:

The U.S. Trade and Development Agency (USTDA) is a foreign assistance agency that delivers its program commitments through grants and contracts. The projects supported by USTDA activities represent strong and measurable development priorities in the host country and offer opportunities for the sale of U.S. goods and services. Requests for USTDA assistance are made by either public or private sector project sponsors for implementation in developing and middle income countries.

D.1.2. SCOPE OF WORK:

USTDA requires services under this non-personal services Contract to support or improve its decision-making relative to the funding of an activity in a developing or middle-income country.

The Contractor shall provide a report (a “Business Confidential Analysis and Recommendation”) to USTDA, which will:

Assess and provide a recommendation on whether or not USTDA should provide funding for the proposed feasibility study, technical assistance or other trade capacity building activities, hereinafter referred to as “activities;” and

Provide supporting analysis for the recommendation on the activity in a final report

(“Final Report”) that analyzes all the relevant issues.

Specifically, this Desk Study (DS) contract would require the contractor (DS Contractor) to review up to three proposals for aviation feasibility studies, technical assistance activities or pilot projects in China, as well as review and provide recommendations for one (1) current USTDA technical assistance activity. USTDA intends to contract with a U.S. company (the

“Contractor”) to perform a Desk Study to assess: (1) whether or not the Projects meet USTDA’s basic funding criteria (below); (2) develop and recommend the appropriate Terms of Reference

(TOR) for the activities; and (3) develop an appropriate budget for the TOR recommended for the activity.

D.1.2.1. USTDA Funding Criteria:

The Contractor’s recommendations shall be based upon USTDA funding criteria, which are that the Project must: (1) be likely to receive implementation financing, (2) have a procurement process that provides “equal access” to U.S. companies; (3) represent an opportunity for sales of

U.S. goods and services that is many times greater than the initial investment of USTDA assistance; (4) be a development priority of the Project sponsor and host country where the

Project is located and have the endorsement of the U.S. Embassy in that host country, and (5) involve U.S. companies that are facing market entry problems and/or strong competition from foreign companies which often receive subsidies and other support from their governments.

The Contractor shall also be required to review preliminary concept proposals for the aforementioned TA submitted by the U.S. firm. The Contractor shall review the terms of reference and budget for the projects, as well as further assess potential developmental impacts, U.S. industry competiveness, and foreign competition.

D.1.2.2. Climate Resilience Screening:

Per Executive Order (EO) 13677, USTDA is required to consider climate resilience in its international development work. The Agency has determined that in order to be compliant with the EO, climate resilience screenings must be conducted at the project scoping stage for all feasibility studies (FS) and technical assistance (TA) activities. Accordingly, the Contractor shall conduct a climate resilience screening utilizing the guidance provided in Attachment IX.

Categorical exclusions to climate resilience screening include: all Global Procurement Initiative activities, all de minimis training grants, and all International Business Partnership Programs (i.e.

reverse trade missions, conferences, and workshops). Activities that fall into the categorical exclusions do not need to undergo a climate resilience screening.

D.1.2.3. Project Profile:

This Desk Study (DS) contract would review two U.S.-China Aviation Cooperation Program

(ACP) project proposals and develop funding recommendations, modify the ongoing General

Aviation and Business Aviation Development Project Phase IV (Project Number: 2014-61013A), “GABA IV”, as well as evaluate and refine the scope of work for training under a de minimis

Training Grant (Project Number: 2016-61009A) that USTDA awarded in April, 2016 in support of a U.S. firm’s competitive bid to supply China’s HNA Aviation with a portfolio of airline

Information Technology (IT) services and a Passenger Service System (PSS). The DS contractor would assist USTDA in quickly responding to and evaluating multiple requests for funding in

China’s aviation sector.

The two proposed ACP technical assistance activities to be reviewed and prepared by this DS would help support continued U.S. government and industry engagement with the Civil Aviation

Administration of China (CAAC) and other aviation industry representatives in China under the

ACP, which is currently comprised of 45 U.S. member companies. The two proposals include technical assistance for China in Aviation Meteorological Forecasting and a third phase of technical assistance focused on Massive Delay Response System (MDRS) in Shanghai, following completion of the USTDA technical assistance on MDRS in Xian, China (Project

Number: 2015- 61012A). Technical assistance to improve China’s capacity to accurately forecast weather conditions would likely lead to reduced flight delays and improve airline fuel efficiency. MDRS technical assistance will improve China’s capacity to integrate various airport and flight operations into a more efficient global air traffic management system, with the goal of reducing flight delays.

In addition to these two proposals from ACP, HNA Aviation recently selected a U.S. firm for the

IT services and PSS bid. Accordingly, a DS is required to evaluate and refine the terms of reference and scope of work for this training that was awarded under USTDA’s de minimus training grant program. The DS Contractor would work in cooperation with HNA Aviation and

China Aviation Desk Study Series the U.S. firm to review the proposal from the U.S. firm and to help develop this specialized training. The Training Grant would be a “train the trainer” program conducted by the U.S. firm for HNA Aviation’s employees.

In addition to these three proposals, the ongoing General Aviation Business Aviation Phase IV technical assistance project requires modifications to accommodate the Chinese Government’s current general aviation inspection capacity needs through U.S.-based training. Specifically, this

DS would modify the current GABA IV technical assistance project allowing for a broader range of general aviation inspectors to attend training. Accordingly, this DS would analyze the current budget and make recommendations for modifications to be incorporated in a Grant amendment.

China is the world’s second largest aviation market, and the International Air Transport

Association (IATA) predicts that by 2034 China will be the biggest air passenger market in the world, with one in every five air passengers traveling to, from, and/or within China. This large-scale expansion of China’s aviation sector calls for significant increases in: flights; passenger and cargo aircraft capacity; air traffic management systems; and professional management training – all of which represent significant market opportunities for U.S. aviation companies.

USTDA support for the past twelve years of the ACP has produced significant successes both in commercial terms and technical cooperation. These proposed technical assistance activities are expected to continue to bolster U.S. exports in the increasingly competitive aviation market in

China.

A DS contractor is needed to assess each of these four project’s viability, evaluate the proposed terms of reference and budget estimate for the project, and confirm U.S. industry competitiveness and foreign competition.

D.1.2.3.1 Methodology:

In the course of carrying out this Desk Study, the Contractor must take the following steps:

D.1.2.3.2. After reviewing the proposal, contact the COR at (703) 875-4357 to discuss initial observations and raise any questions or concerns about the proposal and the Project. At this time, USTDA will provide the Contractor with additional guidance on the Agency’s requirements for the preparation of TOR and budget. The Contractor shall also consult with USTDA's

Evaluations Department regarding the drafting of host country development impact measures for the Final Report (see Attachment I below, Section O.6 of the Business Confidential Analysis and

Recommendation Outline).

D.1.2.3.3. Review the proposal in detail and, if necessary, request additional information or clarifications from the U.S. firm. A copy of any such request should be provided to the COR.

D.1.2.3.4. Deliverables:

D.1.2.3.4.1. The Contractor shall review the proposal and provide to USTDA a Final Report, including the following one separate electronic volume(s) to USTDA:

China Aviation Desk Study Series

(a) Project Reports No. 1-4: A Business Confidential Analysis and Recommendation report

(Project Report) for each of the four feasibility study, technical assistance or pilot projects identified by USTDA for development. The Project Report must conform to the outline found in Attachment I and provide the requested information and analysis, unless otherwise agreed in writing by USTDA.

(b) Final Report: The DS Contractor shall submit a Final Report to USTDA that includes an executive summary of the DS purpose and itemized listing of all Project Reports completed by the DS Contractor in accordance with the SOW. The Business Confidential

Analysis and Recommendations must conform to the outline found in Attachment I and provide the requested information and analysis, unless otherwise agreed to in writing by

USTDA. The Business Confidential Analysis shall contain all individual Project Reports completed by the DS Contractor.

D.1.2.3.4.2. The Contractor shall submit all deliverables under this Contract to the COR on or about April 30, 2017. The payment schedule for this fixed price contract shall be as follows.

PAYMENT SCHEDULE OF SERVICES

Action Percentage of Payment (%)

Mobilization Payment 10% of Firm-Fixed-Price (FFP)

Contractor Submission and Government Acceptance of Project

Report No. 1 (See Section D.1.2.3.4 above)

20% of FFP

Contractor Submission and Government Acceptance of Project

Report No. 2 (See Section D.1.2.3.4 above)

20% of FFP

Contractor Submission and Government Acceptance of Project

Report No. 3 (See D.1.2.3.4 above)

20% of FFP

Contractor Submission and Government Acceptance of Project

Report No. 4 (See D.1.2.3.4 above)

20% of FFP

Contractor Submission and Government Acceptance of Final Report

(See D.1.2.3.4.1 above)

10% of FFP

D.1.2.3.5. Final Report:

The Contractor shall provide:

The Final Report shall include all the TORs and budgets that the Contractor has developed in coordination with the Project sponsor and U.S. firm. If it is anticipated that the Final Report cannot be provided within four months, the Contractor shall immediately contact the COR to discuss the reasons for the delay. The COR may also request the Contractor to provide portions of the Final Report before the submission of the entire Final Report.

The Final Report shall incorporate all mutually agreed upon material and revisions. It shall be grammatically and factually correct in all respects, internally consistent, and all statements and tables shall be clear and easily understood by a competent reader, and contain no typographical errors. Upon direction from the COR, the Contractor shall submit electronic copy of Final

Report(s) to USTDA. No hardcopy submissions will be accepted. All reports must be

China Aviation Desk Study Series paginated, clearly labeled, and submitted electronically in Adobe PDF format to USTDA via the following email:

finalreports@ustda.gov

The email subject line must include the title of the desk study and the project number so that it is easily identifiable. The Public Market Report shall be submitted as a separate electronic document, subject to the same requirements as those noted above. Any copies of Project proposal materials must be returned to USTDA with the submission of the Final Report.

Upon government acceptance of the Final Report, the Contractor shall submit an invoice, to

USTDA.

D.1.3. PERIOD OF PERFORMANCE:

The Period of Performance for this Contract shall be eight months from the date of the

Contracting Officer's signature on the Contract.

D.1.4. PLACE OF PERFORMANCE:

The places of performance shall be at USTDA's Office, Arlington, VA and at the Contractor’s facility.

D.1.5. QUALITY CONTROL AND PERFORMANCE ASSESSMENT:

D.1.5.1. Quality of Final Report:

The Final Report shall be grammatically and factually correct in all respects, internally consistent, and all statements and tables shall be clear and easily understood by a competent reader, and contain no typographical errors. The Contractor is responsible for quality control actions necessary to achieve quality in the delivery of the required services, which may include the services of a professional editor. The COR will reject a Final Report that does not conform in all respects to the Contract requirements, including but not limited to, the written quality of the

Final Report. The Contractor shall correct all deficiencies at no additional cost to the

Government.

D.1.5.2. Performance Assessment

1. Monitoring Performance. During the course of contract period, the COR will track

Contractor’s performance. At the end of the performance period, the COR will assess the

Contractor’s performance in accordance with FAR 42.15 and report to the Contracting

Officer for submission to the Contractor Performance Assessment Reporting System

(CPARS).

2. CPARS Assessment. The COR will consider all pertinent information during the preparation of the Contractor’s performance assessment. The Contractor will be afforded the

China Aviation Desk Study Series opportunity to identify factual errors. The COR’s assessment is not subject to negotiation and the COR will not engage in discussions with the Contractor. Any errors identified by the

Contractor will be addressed by the Reviewing Official. A copy of the final performance assessment will be available in the Past Performance Information Retrieval System (PPIRS).

D.1.6. CONFIDENTIALITY:

The proposal of the U.S. firm is a proprietary document and should not be distributed without permission from USTDA and the U.S. firm. The Contractor shall treat any proposal and supporting information submitted by the U.S. firm as business confidential in its entirety, unless otherwise stated in writing by the U.S. firm. The Contractor shall not include any business confidential information in the Public Market Report and shall include the following confidentiality certification in the final invoice:

“I hereby certify that the Public Market Report contains no business confidential information.”

D.1.7. INTELLECTUAL PROPERTY:

This Contract is funded by the United States Government. All intellectual property generated and/or delivered pursuant to this Statement of Work shall be subject to appropriate federal acquisition regulations which entitle the Government to unlimited rights to technical data developed exclusively with Government funds. The Government may: (1) use; (2) disclose; (3) reproduce; (4) prepare derivative works; (5) distribute copies to the public; (6) perform publicly;

and (7) display publicly, the “data” in any manner and for any purpose, and have or permit others to do so (i.e., the Government may sublicense these rights to another contractor). See FAR

52.227-14(a).

D.1.8. IMPARTIALITY:

It is essential that the Desk Study be conducted with complete impartiality and objectivity and that the Contractor and its Subcontractors not obtain an unfair competitive advantage in USTDA-funded activities resulting from this Contract. In accordance with the principles of FAR Subpart

9.5 and USTDA policy, the Contractor and its Subcontractors, if any, for this Contract shall be ineligible to compete for, as a prime or subcontractor or otherwise, USTDA-funded activities that result from this Contract, unless USTDA through its Office of Acquisition Management, shall have granted a waiver, based upon FAR 9.503, that preclusion of the Contractor or its

Subcontractors from the follow-on activity would not be in the Government’s interest. This restriction shall remain in effect for three (3) years from the termination of this Contract. The

Contractor is responsible for including this restriction in all subcontracts under the Contract.

D.1.9. COORDINATION WITH OTHER CONTRACTORS:

The government may award other contracts for additional work not prescribed in this contract. The

Contractor shall fully cooperate with such other contractors in performance of the requirement herein, and as directed by the Contracting Officer. The Contractor shall not commit or permit any act, which will interfere with the performance of work by any other USTDA Contractor.

D.2 ATTACHMENT

ATTCH/ TITLE PAGES

EXHIBIT

I Desk Study Business Confidential Analysis and

Recommendation Outline

II Desk Study: Public Market Report Guidance and Outline

III Impact on U.S. Labor Statement

IV USTDA Nationality Requirements

V Required Budget Format

VI Task Completion Schedule

VII Budget Narrative Requirements

VIII Guidance on Development Impact Assessment

IX Guidance on Climate Resilience Screening

China Aviation Desk Study Series

Attachment I

Desk Study: Business Confidential Analysis and Recommendation Outline

A. Executive Summary.

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

B. Project Description.

The Contractor shall provide a brief description and history of the project (the “Project”). The

Contractor shall describe the proposed technology from the U.S. firm to be used in the Project.

The Contractor shall describe whether the proposed U.S. solution is technically viable and/or commercially available. If the Contractor finds the proposed U.S. solution is not technically viable and/or commercially viable, the Contractor shall discuss these issues with USTDA program staff before providing a recommendation.

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

C. Project Sponsor’s Capabilities and Commitment.

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

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

An assessment of the Project sponsor’s commitment and ability to implement the Project

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

D. Implementation Financing.

This section describes the Project sponsor’s plans to secure financing to implement the Project.

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

An assessment of the overall cost estimate of the Project;

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

A review of the financing options for Project implementation.

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

Investment Corporation (OPIC), and private/commercial sources, to ensure that the Project sponsor(s) has adequately explored all financing options. The Contractor shall provide names and phone numbers of contacts at the potential financing institutions and summarize their comments.

The Contractor must determine the most likely source(s) of implementation financing for the

Project. The Contractor must ensure that the Terms of Reference (TOR) for the activity fulfill the requirements of the most likely financing source(s).

E. U.S. Export Potential.

This section describes the U.S. export potential that may result if the Project is implemented.

The purpose is to estimate the U.S. export potential in order to justify USTDA funding for the activity. This can take many forms but should at a minimum address the points below:

The Contractor shall provide a best estimate of potential procurement of U.S. goods and services for Project implementation. This estimate should be supported by a breakdown by category and dollar value of goods and services likely to be imported for the Project and an illustrative list of potential U.S. suppliers of the goods and services for those goods and services listed as likely

U.S. exports. The Contractor shall include U.S. content in their evaluation of U.S. exports, including an analysis of U.S. manufacturing and services sourced from the United States that would most likely be used for the Project. The Contractor shall cross-check the U.S. firm’s estimates of U.S. export potential with independent relevant sources, such as:

- USTDA program staff and USTDA’s evaluations data;

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

- Industry and trade associations; and

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

The Contractor shall describe how procurements are typically conducted: 1) in the sector; 2) by the Project sponsor; and 3) in the host country. The Contractor shall confirm whether there are local content requirements or procurement restrictions in this sector or for the Project and whether a local provider/distributor will be or is likely to be involved in Project implementation. The

Contractor shall also list any import licensing requirements or permits needed by U.S. companies to participate and supply goods for the Project. The Contractor shall also identify any U.S.

companies already working with the Project sponsor or working in the respective sector in the host country.

The Contractor shall provide a report that summarizes its discussions with U.S. companies that provide goods or services for the Project, and their level of interest in the Project should also be included. The Contractor shall take note on not only the U.S. company’s general interest in the relevant sector or country, but also interest in the specific Project. The Contractor shall analyze

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

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

F. Foreign Competition and Market Entry Issues.

This section describes foreign competition and market entry issues in the host country. The purpose is to demonstrate why USTDA funding may be needed in order to level the playing field for U.S. companies. This can take many forms but should at a minimum address the points below.

The Contractor shall provide a discussion of the foreign competition for goods and services likely to be procured for Project implementation by category. The Contractor shall include a discussion of U.S. industry competitiveness in each category, taking into account geographic factors, host country industry capabilities, technology and licensee issues, past procurement tendencies of the

Project sponsor, and how the procurement is likely to be conducted. Where relevant, the

Contractor shall discuss the extent to which market entry issues impede exports and trade and how the activity will help overcome these obstacles.

G. Evaluation Strategy.

This section describes the strategy by which the Project, if implemented, should be evaluated.

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

Goals and objectives:

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

Ex: For trade capacity building or legal project, any change in law as result of Project o Identify key sources for information needed to determine if USTDA’s activity attained its objective o Identify potential methods of measurement for evaluation specific to the Project

Process and Timeline:

o What is the step-by-step process the Project will follow to be implemented, following USTDA’s funding?

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

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

o Will there be local content requirements?

o Will a local provider/distributor be involved?

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

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Risks:

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

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

Key Leads:

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

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

H. Developmental Impact.

The Contractor shall identify at least one viable and quantifiable Development Impact Measure that will result from the Project being implemented based on the recommendations of the USTDA activity. The Contractor shall work with the proposed Project sponsor and USTDA to identify the most viable Development Impact Measure(s) that will result for the host country. Please refer to the Development Impact Guide provided in Attachment VIII for the complete list of indicators and further instruction on how these indicators should be selected and estimated.

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

COR and the Program Evaluation Office.

The Contractor shall provide the following information for each indicator identified for each activity: 1) current status, prior to USTDA’s activity and Project implementation (Baseline); 2) anticipated outcomes should the Project be implemented, based on the recommendations of the

USTDA activity; 3) the anticipated timeline for the realization of these outcomes; and, 4) how such information can be measured and what sources could be utilized to determine whether the outcome was realized.

I. Impact on the Environment.

The Contractor shall provide a statement regarding the likely consequences the proposed Project may have on the environment. The Contractor shall ensure that the TOR for the activity includes, at a minimum, a preliminary review of the Project’s impact on the environment, with reference to local requirements and requirements of potential financing source(s) of the Project. The

Contractor should identify potential negative impacts and discuss the extent to which they can be minimized or mitigated.

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

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

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Project should not move forward. If in-depth analysis is recommended, the Contractor shall propose language for the TOR (see section O, #4).

J. Impact on U.S. Labor.

The Contractor shall provide an assessment of the impact of the Project on U.S. labor. The

Contractor shall address the legislative prohibitions on the use of Foreign Assistance funds described in Attachment III and any implication such prohibitions may have on the activity and/or

Project.

K. Qualifications.

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

L. Justification.

The Contractor shall provide an explanation of why USTDA’s grant funding is needed, including a description of how the Project would support U.S. government policy priorities and promote trade, how USTDA's participation would add value to the Project's development, and how the success of the Project would be measured in terms of trade capacity and development impact.

M. Recommendations.

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

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

Work.

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

N. Contacts.

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

O. Terms of Reference.

The Contractor shall be responsible for submitting to USTDA a Terms of Reference (“TOR”) and budget for the activity that conforms to USTDA’s requirements. This work shall entail working with the U.S. firm and the proposed Project sponsor to develop the TOR and budget for the activity using the U.S. firm’s and Project sponsor’s draft proposal as a basis. The TOR, which must be approved by the Project sponsor and the U.S. firm, shall include, at a minimum, the following:

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

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

3. An economic analysis of the Project. This section will include a detailed analysis on all of the costs associated with the implementation of the Project, and relevant additional economic analyses relevant to the viability of the Project. This section shall provide all relevant information pertaining to the economic analysis of the Project (e.g.

a cash flow analysis, analysis of market conditions, raw material availability, supply agreements, off-take agreements, competing alternative methods of achieving the same or similar Project objectives). This analysis should also include the internal rate of return under a variety of different assumptions (e.g. different interest rates, depreciation, licensing fees, and import duties).

In addition, in order to provide the Project sponsor with sufficient information to responsibly implement, manage, and maintain the Project for the duration of the investment, this section will provide a Life Cycle Cost Analysis (LCCA) as part of the overall Project cost estimate. The LCCA shall examine the total initial capital costs to plan, design, develop, and build the Project, and also shall include a detailed analysis of the costs associated with the medium-term and long-term operation of the Project, which includes maintaining the facilities, equipment, and other assets financed as part of the Project. Such costs include, but are not limited to, warranties, operation, maintenance, acquisition, installation, refurbishment, and disposal costs that could be encountered throughout the life of the Project.

A financing plan for the Project. This section shall provide an analysis on the different types of financing (e.g. equity, debt) available for Project implementation.

This section will assess whether or not potential public and private financing organizations (e.g. the World Bank, relevant regional multilateral development banks, Ex-Im and OPIC) are interested in providing financing for Project implementation.

This section shall include a financing plan and a financing strategy, including several approaches to securing financing for the Project based on discussions with the Project sponsor, potential lenders and potential financiers. This section shall outline the rationale for the financing plan and financing strategy and shall take into account a number of relevant factors (e.g. timing, interest rates, and potential financing terms).

This section shall also provide a recommendation for the most effective financing sources for the Project.

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

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

This section shall also identify any and all Project risk factors and including a risk avoidance/reduction plan for each factor by means of insurance and bonding or other means. The plan shall meet the requirements of the potential financing sources, including host country sources, multilateral financiers, international financing institutions and others.

4. An appropriate preliminary environmental analysis of the Project. This section shall include a preliminary review of the Project’s anticipated impact on the environment with reference to host country…