ENCL 1_1131PL20RDM31283 Performance Work Statement PWS.pdf

SECTION D – ANY CONTRACT DOCUMENTS, EXHIBITS OR ATTACHMENTS

D.1. PERFORMANCE WORK STATEMENT (PWS)

DEFINITIONAL MISSION FOR REGIONAL SOUTH AND SOUTHEAST ASIA PORTS

OPPORTUNITIES

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 Definitional Mission (“DM”) contract to support its decision-making relative to the funding of activities to support port projects in the Indo-Pacific Region. For the purpose of this DM, Indo-Pacific Region refers to the region of the globe stretching from India to the Pacific Islands, including countries such as Bangladesh, Burma, India, Indonesia, Malaysia, the Philippines, Sri Lanka, Thailand and Vietnam. Projects could be in any USTDA-eligible country in the region.

The Contractor shall, if requested by the COR, provide preliminary assessment reports (“Preliminary Assessments”) for up to ten (10) activities; the Preliminary Assessment shall determine whether a project proposal merits a full Project Report. The Contractor shall provide Project Reports for up to five (5) activities for USTDA funding consideration and one Final Public Market Report in cumulation to USTDA. USTDA reserves the right to make the final determination on which activities merit consideration for the Project Reports.

The Preliminary Assessments and Project Reports, unless otherwise directed by USTDA, shall be labeled clearly on every page as “Business Confidential” and shall be treated accordingly per sections D.11, “Confidentiality,” and D.12, “Intellectual Property.” The Final Public Market Report shall detail current market information about the ports sector in the Indo-Pacific countries considered under this DM.

The purpose of the Preliminary Assessments is to:

1. Collect high-level project information, such as information on the project’s technical, commercial, and financial viability, grantee commitment, U.S. export potential, technical and/or regulatory hurdles, and basic USTDA eligibility criteria.

2. Assess and identify key issues and obstacles to the project proposal moving forward.

3. Identify information and data needed in order for USTDA to make a determination on this project proposal.

4. Analyze specific project issues or technical factors that may impact overall project viability.

5. Provide supporting analysis and an approximately three (3) – five (5) page recommendation on whether or not USTDA should put this project proposal under full review (e.g. development of Terms of Reference, budget and Project Report).

The purpose of the Project Reports is to:

1. Assess and provide a recommendation on whether USTDA should provide funding for the proposed feasibility study(ies), technical assistance, pilot project(s), or other activity(ies), hereinafter referred to as “activity(ies)”.

2. Develop terms of reference and budgets for up to five (5) activities for USTDA funding consideration.

o If the Contractor is having difficulty meeting this requirement, the Contractor must discuss the findings of the mission with the Contracting Officer’s Representative (COR) in advance of writing the draft Project Reports.

o The Contractor shall obtain the COR’s written approval before developing any activity.

3. Provide supporting analysis for the recommendation on the activity in Project Reports that analyze all the relevant issues.

4. In addition, the Contractor shall assess the potential of the relevant market sector in the host country for U.S. suppliers of goods and services in the Project Reports and Final Public Report.

The Contractor will not be paid for reports that are not approved or completed.

The actual number of deliverables/reports against this contract is dependent on the success of the Definitional Mission and availability of projects. Therefore, not all deliverables may be required or be possible, and the figures provided for the Project Reports are not-to-exceed ceiling figures and not actual figures. The Contractor shall only invoice for work/deliverables actually completed. Any unexpended funds will be de-obligated from the contract at close-out.

D.1.3. USTDA FUNDING CRITERIA

The Contractor’s recommendations shall be based upon USTDA funding criteria, which are that the Project(s) must:

a) Be likely to receive implementation financing;

b) Have a procurement process that provides “equal access” to U.S. companies;

c) Represent an opportunity for sales of U.S. goods and services that is many times greater than the initial investment of USTDA assistance;

d) Be a development priority of the Project Sponsor and host country where the Project is located and, in some cases, have the endorsement of the U.S. Embassy in that host country; and

e) 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.

To execute this requirement, the Contractor shall:

1. Meet or have a conference call with the Indo-Pacific Regional Team to discuss the definitional mission;

2. Contact and/or meet with relevant U.S. companies to discuss their interest in port sector project opportunities in Indo-Pacific countries, such as Bangladesh, Burma, India, Indonesia, Malaysia, the Philippines, Sri Lanka, Thailand and Vietnam;

3. If requested by the COR, travel to Host Country(ies) for approximately seven (7) business days to meet with prospective grantees and other relevant stakeholders from the relevant sector. If requested by the COR, the Contractor could make a second, approximately seven (7) business-day trip to the Indo-Pacific Region;

4. If requested by the COR, provide up to ten (10) Preliminary Assessments of project proposals and recommend whether or not USTDA should put the project proposals under full review;

5. Identify and evaluate project opportunities and provide recommendations for USTDA funding. Develop Terms of Reference and budgets for up to five (5) activities for USTDA consideration;

a. All project opportunities proposed by the DM Contractor must be approved by the COR prior to the drafting of a formal funding recommendation.

6. Provide a Final Public Market Report that details current market information about the ports sectors in the Indo-Pacific countries considered under this DM. Prior to drafting this report, the Contractor should discuss the countries to be covered in this report with the COR.

For each of the up to ten (10) Preliminary Assessments, the Contractor shall develop a stand-alone three (3) – five (5) page Preliminary Assessment report. For each of the up to five (5) activities to be recommended to USTDA, the Contractor shall develop a stand-alone Project Report. The Contractor shall also develop a stand-alone Final Public Market Report. The requirements for the Project Reports and Final Public Market Report are further detailed in section D.1.7, Reports.

D.1.4. 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 VII.

D.1.5. PROJECT PROFILE

Port technologies, services, and equipment that could be reviewed under this DM include:

consulting services, Internet of Things (IoT) platforms, digital services, route optimization technologies, freight and port logistics, wharf area development, handling equipment, equipment for green port operations, digital freight port services, expertise on upgrading port terminals, roll-on/roll-off capabilities, port security, customs collection methods, port inspections and import/export clearance procedures.

Southeast Asia

In Southeast Asia, several countries plan to expand existing ports and develop new ports to meet growing capacity demands and increase container traffic volume to keep pace with economic growth.

The Government of Indonesia plans to develop a port in West Java Province, adjacent to a large industrial park. Additionally, a greenfield port will be developed in West Kalimantan Province and focus on commodity shipments including palm oil and bauxite.

Vietnam has an extensive port network with over 120 ports including 37 ports with large cargo capacity. The Government of Vietnam intends to develop additional seaports under the Master Plan on Development of Vietnam’s Seaport System through 2020, while improving the efficiency of existing ports. Planned port projects include capacity expansion at Lien Chieu port and the construction of Phoenix port in the Vung Ang Economic Zone. Vietnam also plans to improve connections between the Mekong Delta and international ocean freight shipping routes to increase trade efficiency.

The Philippines is currently focused on developing the country’s domestic and international port infrastructure through several modernization projects. As demand for additional capacity increases along with rapid economic growth, ports in the country will also need to introduce new freight and logistics solutions.

In Malaysia, ongoing capacity expansion projects at the two international ports of Tanjung

Pelepas and Port Klang will significantly increase maritime trade throughout the country. The expansion represents an overall increase in infrastructure development along the Malacca Strait, one of the region’s major trade routes.

In Thailand, several ports are undergoing massive expansion projects. The Government of Thailand plans to build new ports and expand existing ports through investment in the Eastern Economic Corridor, which focuses on infrastructure development in three key eastern Thai provinces. The Port Authority of Thailand (PTA) is also planning to build a new commercial seaport and to expand a port in the eastern coastal province of Chonburi to enhance shipping capacity. Additionally, the Dawei Special Economic Zone, a partnership between Thailand and Burma, is expected to include a large capacity deep-sea port. The PTA also plans to introduce clean energy alternatives and modernized systems in currently operating ports in the country.

South Asia

Maritime transport is an integral part of trade and the economies of South Asian countries particularly India, Bangladesh, and Sri Lanka.

In India, around 95 percent of trade volume occurs through maritime transport. The country currently has 12 major ports and six new mega ports are expected to be developed to address increasing capacity demand. Inland waterways and inland ports are also a key area of focus. In addition to the construction of new ports, there is interest in the introduction of roll-on/roll-off capability to increase the efficiency of container transfer from ship to rail and ferry services, thereby improving inland waterway transportation.

In Bangladesh, increasing trade and economic development is driving the country towards enhancement of its maritime sector. The nation’s two major operating ports in Chittagong and Mongla are facing overflow issues and construction is underway on two additional deep seaports in Pavra and Matarbari.

Sri Lanka is strategically located at the center of the Indian Ocean and is preparing to become a regional maritime hub. Currently, the Port of Colombo is the busiest container terminal in South Asia and efforts are underway to expand the port with the addition of the Eastern Terminal.

D.1.6. METHODOLOGY:

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

D.1.6.1. NON-DISCLOSURE AGREEMENT AND KICKOFF Upon award, the Contractor shall be required to sign a Non-Disclosure Agreement. To the extent that the work under this contract requires that the contractor be given access to confidential information or proprietary data from the Government or other companies, the Contractor agrees to treat such information and data as confidential and to use the information only for the contemplated purpose. After signing the Non-Disclosure Agreement, the Contractor shall contact USTDA’s COR to schedule a meeting or call to discuss details of the Contract assignment. The COR shall provide the Contractor with names and addresses of the potential project sponsor(s), other pertinent entities to contact in the United States and overseas, and any other relevant details or proposals that may impact the design and/or evaluation of the proposed activity(ies).

After reviewing these materials, contact the assigned COR to discuss initial observations and raise any questions or concerns about the proposal and the Project.

D.1.6.2. PRE-VISIT REPORT

No less than one week prior to departure to the host country, the Contractor shall provide the Contracting Officer (CO) and the COR a pre-visit written report containing:

a) The proposed schedule or itinerary;

b) Preliminary strategies or findings on viability of the project(s);

c) Financing options;

d) U.S. company interest in the project(s) and information about the sector in the host country, in general;

e) Summaries of proposed activity(ies) for USTDA’s funding consideration to support the project(s) identified;

f) A list of contacts to be made during the visit;

g) A pre-visit checklist of issues, information and questions to be utilized during the visit;

and

h) A Pre-visit report with a preliminary version of Attachment VIII (in Excel format), which will provide substantive comments on U.S. company interest in the project(s) and in the host country in general.

D.1.6.3. COMMUNICATION WITH U.S. EMBASSY/CONSULATE IN HOST

COUNTRY

Communications with U.S. and foreign embassy officials prior to the award of this contract and completion of the kickoff meeting with USTDA in relations to the requirements of this contract is strictly prohibited.

USTDA will advise the U.S. Embassy and/or Consulate(s) in the host country of the Contractor’s proposed travel itinerary no later than one week prior to departure and request that the Commercial and/or Economic Section(s) of the Embassy and/or Consulate(s) provide the Contractor with names and addresses of appropriate host country officials with whom to meet.

D.1.6.4. HOST COUNTRY TRAVEL

The Contractor shall travel to the host country to meet with relevant project officials and with the U.S. Embassy and/or Consulate(s) in execution of this DM. The Contractor shall contact the Commercial and/or Economic Section(s) upon arrival and prior to departure for briefing and debriefing meetings. It is the Contractor’s responsibility to arrange all meetings. The Commercial or Economic Section staff may be able to assist the Contractor in arranging some initial meetings with host country officials. The Contractor is also responsible for arranging its own logistics for the visit (e.g. lodging, transportation, interpretation services, etc.). In some instances, the USTDA Contractor may find it useful to purchase the Gold Key or Business Facilitation Services offered at the U.S. Embassy or Consulate. In some cases, the Contractor may need to contract with a local entity to assist with trip logistics and/or for interpretation services. However, substantive technical work may not be subcontracted to local entities. The Contractor shall discuss proposed travel with the COR and shall obtain the COR’s agreement in writing as to when and where the Contractor travels.

The Contractor is required to acquire the following travel insurance coverage for personnel traveling overseas in support of this requirement:

• Defense Base Act (DBA) Insurance and Medical Evacuation Insurance (for Contractors when they perform work overseas).

D.1.6.5. CONTACTS

The Contractor shall submit a list of individuals contacted during the Definitional Mission, and include at a minimum mailing addresses, phone and fax numbers, e-mail addresses, and a substantive summary of key comments that support the Contractor's recommendations. The list shall be submitted in Excel format and in accordance with to the specifications outlined in Attachment XIII, “U.S. Company Contacts” and Attachment I, “Definitional Mission: Final Report Requirements.”

D.1.6.6. DEFINITIONAL MISSION TIPS

The Contractor is encouraged to review the Definitional Mission tips on USTDA’s website via the following link to better understand USTDA’s expectations for this Definitional Mission:

https://www.ustda.gov/business-opportunities/small-business-info/dm-proposal-tips

D.1.7. DELIVERABLES

The Contractor shall provide verbal updates to the COR on a regular basis. The deliverables may also take the form of information, advice, opinions, alternatives, analyses, evaluations, recommendations, Preliminary Assessment, Project Reports, Final Public Market Report, or other oral or written work products needed for successful performance. The Contractor shall respond in a timely manner to reasonable requests for updates and information from the COR.

The Contractor shall provide the following reports to USTDA:

(a) If requested by the COR, one Preliminary Assessment for each project proposal selected by USTDA for review. The Contractor shall submit each Preliminary Assessment to the COR on a rolling basis. Each Preliminary Assessment will be treated as business confidential and must conform to the guidelines established in this PWS.

(b) One Project Report for each project selected by USTDA for a Project Report. The Contractor shall submit each Project Report to the COR on a rolling basis. Each Project Report will be treated as business confidential and must conform to the guidelines established in this PWS. Each Project Report must include the Required Budget in individual Microsoft Excel file.

(c) Final Report. The Final Public Market Report shall detail current market information about the ports sectors in the Indo-Pacific countries considered under this DM. This report shall be suitable for public distribution and shall contain no confidential information.

Unless otherwise agreed to by USTDA, the Contractor shall submit all reports under this Contract to the COR on or about forty-five (45) calendar days upon return from final travel. If it is anticipated that Project Report(s) cannot be provided within this timeframe, the Contractor shall immediately contact the COR to discuss the reasons for the delay.

https://www.ustda.gov/business-opportunities/small-business-info/dm-proposal-tips

D.1.7.1 PRELIMINARY ASSESSMENT

If requested by the COR, the Contractor shall develop up to ten (10), three (3) to five (5) page Preliminary Assessments that address the following PWS components, sections and questions:

a) High-level executive summary of the proposed project, including the project’s technical, commercial and financial viability, grantee commitment, and U.S. export potential

b) PWS Section D.1.3. USTDA Funding Criteria

c) What are the obstacles (e.g. technical, regulatory, and/or financial) to this project’s implementation?

d) Analysis of any specific project issues or technical factors that may impact overall project viability

e) What additional information does USTDA need to assess this project’s viability?

f) What additional information does USTDA need to assess this project’s suitability vis-a-vis USTDA’s funding criteria?

g) Recommendation: Provide supporting analysis and recommendation on whether or not the project proposal meets USTDA funding criteria and merits full review (e.g.

development of Terms of Reference, budget and Project Report).

After receiving the COR’s request for a Preliminary Assessment, the Contractor shall discuss the project proposal with the COR during a meeting or conference call. Within two (2) weeks of this meeting or conference call, the Contractor shall submit the Preliminary Assessment in electronic format to the COR; if it is anticipated that the Contractor cannot submit the Preliminary Assessment within this timeframe, the Contractor shall immediately contact the COR to discuss the reasons for the delay.

Upon direction from the COR, the Contractor shall submit an electronic copy of each Preliminary Assessment to USTDA. No hardcopy submissions will be accepted. All Preliminary Assessments must be 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 definitional mission, the label “Preliminary Assessment”, and the project number so that it is easily identifiable. Any copies of Project proposal materials must be returned to USTDA with the submission of the Preliminary Assessment.

Upon government acceptance of the Preliminary Assessment, the Contractor shall submit an invoice to USTDA.

D.1.7.2 PROJECT REPORT

For each Project Report, the Contractor shall develop and prepare a report that complies with and satisfies all elements in the following PWS components:

a) PWS Section D.1.3. USTDA Funding Criteria

b) PWS Section D.1.4. Climate Resilience Screening

c) PWS Attachment I. Project Report Outline, including Attachment V (Required Budget Format) and Attachment VI (Task Completion

Schedule)

d) PWS Attachment II. Impact on U.S. Labor

e) PWS Attachment III. USTDA Nationality Requirements

f) PWS Attachment VII. Guidance on Climate Resilience Screening

g) PWS Attachment VIII. U.S. Companies Contacted During the Course of the

Definitional Mission

h) Summaries of all meetings held in the U.S. and overseas for each Project Report

Additionally, the Contractor shall collect, review, and analyze all necessary information acquired from the following sources:

a) Proposal and supporting documentation provided by Project Sponsor(s) and related project parties; and

b) Meetings (including conference calls) with prospective Grantees, interested U.S.

companies in the relevant sectors, as well as project finance sources.

Prior to initiating a Project Report, the Contractor shall obtain an official letter of interest/commitment from the Grantee demonstrating their commitment to the Project and working with USTDA and the selected U.S. Contractor on the Activity. If a letter cannot be obtained, the Contractor shall discuss and receive written approval from the COR prior to initiating the Project Report. Project Reports will not be approved by USTDA unless the official letter or written approval from USTDA authorizing the Project Report is included. Each Project Report shall include the Required Budget Format in individual Microsoft Excel documents.

Upon direction from the COR, the Contractor shall submit an electronic copy of each Project Report to USTDA. No hardcopy submissions will be accepted. All reports must be paginated, clearly labeled, and submitted electronically in Adobe PDF format to USTDA via the following email:

The email subject line must include the title of the definitional mission, the label “Project Report”, and the project number so that it is easily identifiable. Any copies of Project proposal materials must be returned to USTDA with the submission of each Project Report.

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

USTDA.

D.1.7.3 FINAL PUBLIC MARKET REPORT

The Contractor shall submit a DM Final Public Market Report that includes a description of the mission detailing the following:

(a) Current market information about the ports sectors in the countries considered under this

DM;

(b) Opportunities for U.S. firms to participate in ports sector projects (e.g. types of equipment and services needed); and

(c) Key considerations for U.S. firms looking to participate in ports sectors in the countries considered under this DM (e.g. regulatory requirements).

If it is anticipated that the Final Public Market Report cannot be provided within four (4) weeks following USTDA acceptance of the final Project Report, 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 Public Market Report before the submission of the entire Final Public Market Report.

Upon direction from the COR, the Contractor shall submit an electronic copy of Final Public Market Report to USTDA. No hardcopy submissions will be accepted. All reports must be paginated, clearly labeled, and submitted electronically in Adobe PDF format to USTDA via the following email:

The email subject line must include the title of the definitional mission and the project number so that it is easily identifiable. Any copies of Project proposal materials must be returned to USTDA with the submission of the Final Public Market Report.

Upon government acceptance of the Final Public Market Report, the Contractor shall submit an invoice to USTDA.

D.1.8. QUALITY CONTROL AND PERFORMANCE ASSESSMENT

D.1.8.1. Quality

The deliverables 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 deliverables that does not conform in all respects to the Contract requirements, including but not limited to, the written quality of the

Preliminary Assessments, Project Reports, and Final Public Market Report. The Contractor shall correct all deficiencies at no additional cost to the Government.

D.1.8.2. Performance Assessment

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).

The COR will consider all pertinent information during the preparation of the Contractor’s performance assessment. The Contractor will be afforded the 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.1.9. 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.1.10. 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.1.11. IMPARTIALITY

It is essential that the DM 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 or until the awarding of a USTDA-funded feasibility study resulting from this contract. The Contractor is responsible for including this restriction in all subcontracts under the Contract.

D.1.12. 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.1.13. PERIOD OF PERFORMANCE:

The Period of Performance for this Contract shall be 18-months from the date of the Contracting Officer's signature on the Contract.

D.1.14. PLACE OF PERFORMANCE:

The places of performance shall be in the Indo-Pacific Region, and at the Contractor’s facility.

D.2. ATTACHMENTS

ATTCH/ TITLE

EXHIBIT

I Project Report Outline II Impact on U.S. Labor Statement III USTDA Nationality Requirements IV Required Budget Format V Task Completion Schedule VI Guidance on Climate Resilience Screening VII U.S. Companies Contacts

Attachment I – 1

Attachment I

Project Report Outline: Business Confidential Analysis and Recommendation

A. Executive Summary.

The Contractor shall provide an executive summary of its findings and recommendations.

B. Project Description.

The Contractor shall hold meaningful discussions with appropriate contacts to determine how USTDA’s funding can be used most effectively to support the implementation of the project(s) identified in the host country.

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 gauge the interest of potential project financiers and potential U.S. suppliers and assess whether the proposed USTDA activity(ies) will help accomplish the project(s) goals.

The Contractor shall provide relevant information to potential project sponsors regarding USTDA’s evaluation criteria, timeline, and due diligence requirements. 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

Attachment I – 2

• 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.

Attachment I – 3

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

The Contractor shall also list any import licensing requirements or permits needed by U.S.

companies to participate and supply goods for the Project. The Contractor shall also identify any U.S. companies already working with the Project sponsor or working in the respective sector in the host country.

The Contractor shall provide a report that summarizes its discussions with U.S. companies that provide goods or services for the Project, and their level of interest in the Project should also be included. The Contractor shall take note on not only the U.S. company’s general interest in the relevant sector or country, but also interest in the specific Project. The Contractor shall analyze how competitive the U.S. company’s goods or services would be if the Project reaches the implementation stage. To ensure no one is given unfair advantage to compete for USTDA’s funding or the Project implementation, the Contractor should be sensitive to disclosing information about the proposed USTDA activity.

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

F. Foreign Competition and Market Entry Issues.

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

The Contractor shall provide a discussion of the foreign competition for goods and services likely to be procured for Project implementation by category. The Contractor shall include a discussion of U.S. industry competitiveness in each category, taking into account geographic factors, host country industry capabilities, technology and licensee issues, past procurement tendencies of the Project sponsor, and how the procurement is likely to be conducted. Where relevant, the Contractor shall discuss the extent to which market entry issues impede exports and trade and how the activity will help overcome these obstacles.

G. Evaluation Strategy.

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

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

• Goals and objectives:

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

Attachment I – 4

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?

• Project Implementation Risks:

Please articulate the most prominent risks and the potential risk mitigants that may enable activity and/or project implementation success, for example through the specific design of TORs. Potential implementation risks may include the following:

Support for the Project

• How has the host country government expressed support for the project?

• Is there a stated host country government strategy, policy, or regulation that supports implementation of the project?

• What is the breadth and depth of grantee support/engagement on the activity and project? If only one grantee contact is critical and knowledgeable or engaged on the activity/project, what steps would USTDA or the contractor need to take to respond and mitigate the impact/change of personnel/champion for the activity/project?

Financial Strength and Management Acumen

• Once the TORs are complete, what will be the remaining impediments to financing the project?

• What assurances have you received that the parties have the wherewithal to implement the project?

Regulatory, Legal and Economic Risks

• Which permits, licenses, or government agreements that are required at this stage of the project’s development remain outstanding? What are the expected timelines for these approvals? Are any challenges anticipated to obtaining all required approvals for the project?

Attachment I – 5

• Will any federal/state/local political cycles or other political considerations, such as sanctions, impact implementation of the project?

• Are there contract sanctity challenges in the Host Country, and will these challenges have any bearing on implementation? For example, is there a high likelihood that a power purchase agreement may not be honored if lower energy prices become readily available?

What is the risk profile of the proposed USTDA-funded activity?

• Does the U.S. contractor have a track record working in the Host Country and industry? With the proposed technology? Bringing early-stage deals with this technology and/or in the host country to financial close?

• What assurances have you received that the parties have the wherewithal to implement the activity?

What are the potential risk mitigants that may enable project or activity implementation success?

• Are there USTDA-activity specific mitigants (e.g. terms of reference, periodic check-ins and review, etc.) that can help mitigate the above risks?

• Are there any performance or completion guarantees or other mechanisms that will be incorporated into the activity to mitigate completion risks?

• If the risks cannot be mitigated, what factors do you think make the activity/project likely to be successfully implemented?

• 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 COR 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. It is the Contractor’s responsibility to ask the COR to identify at least one Development Impact Measure for each Project. The Contractor shall provide the following information for each indicator identified by the COR 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

Attachment I – 6 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 VII and, based on climate resilience screening results, provide details, including rationale, on whether (a) an in-depth analysis is recommended; (b) an in-depth analysis is not recommended; or (c) whether or not the climate resilience screening has indicated that a proposed Project should not move forward. If in-depth analysis is recommended, the Contractor shall propose language for the TOR (see section O, #4).

J. Impact on U.S. Labor.

The Contractor shall provide an assessment of the impact of the Project on U.S. labor. The Contractor shall address the legislative prohibitions on the use of Foreign Assistance funds described in Attachment II 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 3 in the Definitional Mission Performance Work Statement.

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 Definitional Mission and fill out Attachment VIII. The list shall include the address, phone and fax numbers, and e-mail address of each individual.

Attachment I – 7

O. Terms of Reference.

For 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, should include the following; please discuss with the COR which of the items below are required for each Project.

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

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

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

different interest rates, depreciation, licensing fees, and import duties).

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

4. 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

Attachment I – 8 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…