Attachment_5_FA_4_SAMPLE_TO_SOW_3.docx

Attachment 5: FA 4 Sample TO SOW Solicitation 140D0422R0016

Functional Area (FA) 4: Economics, Environment, Science, Technology and Health Task Order (TO) SAMPLE Statement of Work (SOW) Design and Monitoring of Selenium Program

Nature and Purpose of the Project:

This project’s objective is to strengthen monitoring of the Bureau of Environmental Issues (BEI) Selenium program to ensure alignment with program strategy and program impacts are accurately captured and communicated. The tasks should be carried out in accordance with the U.S. Department of State’s (DOS) Program Design and Performance Management policy and Program Design and Performance Management Toolkit.

The Bureau of Environmental Issues Office of Environmental Chemical Studies (ECS) at DOS is managing approximately $2.5 million in Economic Support Funds (ESF) to support Selenium programs with U.S. and foreign non-governmental organizations to reduce selenium pollution. The BEI Selenium program focuses on addressing the two largest sources of selenium pollution: artisanal and small-scale coal mining (ASCM) and emissions from coal combustion. The Program has a leading role in assisting developing countries in the implementation of the Milagro Convention on Selenium.

Demand for BEI Selenium programs that address national security interests will likely grow for the foreseeable future -- supply and distribution channels in the artisanal small-scale coal mine sector are increasingly linked to transnational criminal organizations, and the sector itself is fraught with the use of child labor, forced labor and unsafe worker conditions.

The increasing complexity of selenium programming, as well as the requirements of DOS’s Program Design and Performance Management policy, the Foreign Aid Transparency and Accountability Act, and the Program Management Improvement and Accountability Act, merit increased attention to effective and innovative program design and implementation. In addition, on the project level, ECS strives to strengthen the performance monitoring of its projects to ensure their impact and that results are accurately captured and communicated. Through this effort, ECS seeks technical assistance and training to 1) improve the design of the Selenium Program and its projects and 2) improve the capacity of implementing partners on performance monitoring, and underscoring successes achieved as a result of ECS assistance.

Background and Current Status of the Effort:

The purpose of this project is to improve the design of the Selenium program by developing a theory of change and logic model to improve the Selenium programming needs. The project also hopes to improve the capacity of the implementing partner in performance monitoring and provide the basis to evaluate the Selenium program in the future.

To design impactful projects and inform future programming, ECS regularly conducts project monitoring activities including progress meetings, review of risk assessments, regular evaluation of performance indicator results, and site visits. Additionally, ECS developed a 5-year strategy that articulates the key actions to reduce selenium pollution through programming and interagency collaboration.

BEI expects its Selenium Program to address an expanding and increasingly complex set of challenges such as the political and cultural context in which Selenium program are implemented and therefore is seeking monitoring support to bolster existing efforts with the following expected results in mind:

· Improved BEI/ECS and implementing partners’ capacity to monitor Selenium projects;

· Improved quality of implementing partners’ monitoring plans and indicator data;

· Improved BEI/ECS ability to disseminate information about the successes of our programs; and

· Increased communication on the impact and sustainability of the BEI Selenium Program to help inform on improvements to current projects and design future projects.

· Improved capacity to address long-term evaluation impacts and goals to inform BEI managers in foreign assistance planning.

BEI is soliciting program design support to developing rigorous methodology and standards by which to allocate and evaluate foreign assistance funded by the Selenium Program. The program design must align to DOS and Bureau Strategic Objectives. In general, ECS would like the following support from the contractor:

· Task 1- Project Work Plan: Develop a work plan that encompasses all activities (Task 1 through 5) required to complete the scope of this project. The work plan should provide information on contractor level of effort and properly set expectations on potential constraints or prerequisites that may impact the implementation of the activities or tasks.

· Task 2- Program Designs: Establish a Program Design for the Selenium Program based on the Selenium Program strategy and existing grant projects. Provide recommendations for future impact assessments taking into consideration the external and internal constraints

· Task 3- Performance Management Plan (PMP): Document how project progress and results can be measured and assessed through monitoring, evaluation, and the analysis and use of performance information. Document project achievements.

· Task 4- Final Program Design and PMP Training: Conduct trainings to share monitoring best practices to build capacity of implementing partners and ECS. Share success stories.

· Task 5- Assistance in Implementing the PMP: Provide light-touch support or consultations to guide Implementing Partners in using the PMP

More specifically, the contractor will conduct the activities outlined in the Contractor Tasks and Deliverables section below.

Resources Provided by ECS:

In order to assist the contractor in developing a program design and logical model, ECS will make available documents and/or personnel resources necessary for background information and templates, as applicable. These include but are not limited to:

· Joint Strategic Plan (JSP);

· National Security Strategy (NSS);

· Program Design and Performance Management policy;

· Selenium Program 5-year strategy;

· Selenium Program factsheet;

· Funded agreements and latest program reports or final reports;

· Program Design and Performance Management Toolkit and templates;

· DOS Policy documents such as 18 FAM 300; and

· Key interviews with DOS staff knowledgeable about 18 FAM 300.

The contractor is expected to apply methodologies such as desk review of websites and existing documents, questionnaires or surveys, or phone or in person interviews to gather information needed to accomplish the stated tasks and deliverables. ECS will introduce the contractor to Implementing Partners or key stakeholders to facilitate the contractor’s outreach.

The COR and ECS will review and provide edits to draft deliverables within two weeks of receipt. The contractor or DOS may elect to use the bi-weekly status calls to provide feedback on draft deliverables.

Contractor Tasks and Deliverables:

A detailed list of tasks and deliverables follows.

· Task 1: Create a Project Work Plan:

The contractor shall create a detailed work plan in consultation with the COR and ECS. This consultation is important because it is an opportunity to think through and discuss program objectives, schedules, coordination, program design expectations, timeline, and the activities that will be conducted under this project. The detailed work plan will include specific tasks, activities, deliverables, personnel level of effort, implementation constraints, and steps required to produce the program design and performance management plan. The work plan will also incorporate the submission of monthly progress reports. The evaluation team should submit monthly progress reports (two pages max) to the COR which summarizes work performed under the evaluation, progress toward the project tasks, adherence to the evaluation timeline, and any impediments to progress.

The contractor shall submit a draft work plan to the COR and ECS for review prior to implementation.

The Contractor shall hold initial meetings with ECS and other stakeholders, to clarify information needs and to establish a consultative process when developing the work plan.

Development of the work plan, shall include, but not limited to:

· The Contractor initiating discussions with ECS serves to deepen collective understanding of final deliverables, and knowledge needs of the U.S. government.

· The Contractor should in the proposal prepare for at least two consultations before the U.S. government accepts the final work plan.

· The work plan should propose an approach that requires a sufficient amount of consultations and facilitated discussions necessary for an acceptable program design, will allowing for reasonable contingencies.

Task 1 Deliverables:

· Draft work plan;

· Final work plan;

· Monthly progress reports.

· Task 2: Program Design for Selenium Program:

The contractor shall compile the deliverables pertaining to each step of this task into program design documents that will be used as knowledge management tools. The contractor will use templates provided in DOS’s Program Design and Performance Management Toolkit.

The full program design should clearly define the problem statement(s) the program and connected projects will address, establish program level goals, objectives, and sub-objectives, and produce the logic model and theory of change to lay out how the program is expected to lead to the desired outcomes. This should include, but is not limited to, the following:

· The contractor, in collaboration with the COR and ECS, shall develop a problem or needs statement (as appropriate).

· The contractor, in collaboration with the COR and ECS, shall develop/refine program goals and objectives that align to higher-level strategies, including the Joint Strategic Plan (JSP), the National Security Strategy (NSS), and the existing Selenium program 5-year strategy. The strategic alignments of goals and objectives should be articulated in relevant deliverables.

· The contractor, in collaboration with the COR and ECS, shall develop a program logic model (including program assumptions) and theory of change.

· The contractor, in collaboration with the COR and ECS, shall review and provide input to update the Selenium Program 5-year strategy and Selenium Program factsheet, if applicable.

· The contractor, in collaboration with the COR and ECS, shall create a checklist to facilitate assessment of potential project proposal’s alignment with program objectives and higher-level strategies.

· The contractor shall recommend a list of potential impact assessments for the Selenium program with conditions for undergoing each potential impact assessment, such as timing, data, region, and/or implementing partner.

Task 2 Deliverables:

· 2.1 Draft problem/needs statements;

· 2.2 Final problem/needs statements;

· 2.3 Draft program goals and objectives;

· 2.4 Final program goals and objectives;

· 2.5 Draft logic models;

· 2.6 Final logic models;

· 2.7 Updated Program Strategy document and Program fact sheet, if applicable;

· 2.8 Final project alignment checklist;

· 2.9 Proposed list of recommended impact assessments and conditions for conducting each assessment.

· Task 3: Create a Performance Management Plan (PMP).

The contractor shall create a PMP that establishes how project progress and results can be measured and assessed through monitoring, evaluation, and the analysis and use of performance information. The PMP shall include a compilation of indicators, indicator reference sheets, an indicator tracking table, a monitoring plan, a practical procedure/guide to conduct data quality assessments, an evaluation plan, and a strategic review process to facilitate and aid in analyzing and learning from future monitoring and evaluation efforts. Strategic reviews will help the project teams gain insights into ongoing progress and projected future results that could impact implementation.

To garner buy-in from implementing partners and ECS Selenium team, the contractor shall reach out to implementing partners and ECS to identify existing best practices in performance monitoring, in addition to areas where the partners and ECS identify as needing assistance or improvement. The contractor shall also use this opportunity to solicit feedback on indicators and their definitions. This can be done through phone calls, email, or in person meeting depending on the location of the implementing partners, ECS, and contractor. Information gathered from these discussions should be incorporated in the PMP, to the extent feasible.

As part of the PMP, the contractor will prepare indicator reference sheets, which consist of indicators that are currently in use by Selenium programming and a list of recommended indicators that align with the program design for the Selenium Program, for ECS to effectively collect data against, and represent a meaningful mix of custom, standard, quantitative and qualitative measures for future Selenium programming that aligns with the program goals and objectives as defined in Task 2. DOS has a set of standard indicators, which may be used or referenced in addition to the development of custom indicators tailored to the program design. The contractor will also be expected to review indicators used in existing projects in this process. Performance indicators will also include short-term output and intermediate indicators to allow ECS program staff to manage the program at a strategic programmatic level and monitor changes to the theory of change.

The reference sheets for each indicator will be of no more than two pages in length and will clearly define the indicator and provides suggestions for best practices and examples on how to assess indicator results.

In addition to performance data, the PMP will include templates for capturing success stories, case studies, or other communication materials that showcase achievements as a result of the Selenium program. The contractor will consult with ECS to identify three (3) project successes to highlight using the suggested templates. The contractor will be expected to coordinate with Implementing Partner(s) to ensure the accuracy of the write-ups.

To obtain content for the communication materials, the contractor may be required to conduct interviews with the implementing partners or benefitting stakeholders (local miners, processors, local/national government officials, or regional partners) or observe implementation as applicable. The contractor will be expected to construct a list of standard interview questions that will be used to solicit problems or challenges, success stories, impact statements, or praise for project achievements. The list of standard interview questions will be included as part of the templates for drafting communication materials. The contractor will also ensure that templates are formatted so Implementing Partners and ECS can easily fill in text in different sections or text boxes and can include pictures or graphs in designated sections to populate future or update existing communication materials. The communication materials are intended to be no more than a one-pager or shorter snippets for the public, but may also be used internally within DOS. Therefore, the communication materials and their templates will need to be compatible with DOS software and system requirements.

The contractor, in their proposal and throughout implementation, shall consider that regular reviews of program data will be used to:

· Improve performance as new insights are gained that enable course correction and adaptation;

· Maintain accountability with implementers and key stakeholders by establishing regular reviews;

· Inform current and future programmatic decisions to modify or eliminate what is not working and reinforce what is working;

· Enable the use of performance data as part of regular reviews of progress toward ECS’s strategic goals and objectives.

· Inform future strategic documents formation and budgetary decisions;

· Test theory of change hypotheses;

· Identify and monitor assumptions and context;

· Advocate for support with increased information and knowledge about the programs’ implementation and results to defend and support DOS resource requests;

· Facilitate coordination, collaboration, communication, and exchange of experiential knowledge internally and with external stakeholders.

Task 3 Deliverables:

· 3.1 Draft PMP;

· 3.2 Draft three (3) communication materials that highlight Selenium Program successes;

· 3.3 Final three (3) communication materials;

· 3.4 Draft communication templates, including a draft list of standard interview questions;

· 3.5 Final formatted communication templates, including final list of standard interview questions;

· 3.6 Final PMP with communication materials and templates as annexes;

· 3.7 Draft summary report and full report that articulates findings from conducting the program assessment in Task 2 as well as successes and challenges in program implementation solicited from Implementing Partners;

· 3.8 Final summary report and final report.

· Task 4: Training on Final Program Design and Performance Management Plan (PMP).

The contractor shall compile all relevant program documents developed under the previous tasks and prepare a cumulative presentation and overview of the program design and accompanying PMP.

For ECS:

· The contractor shall prepare an in person presentation to share best practices on program design to highlight final deliverables in Task 2 and prepare a training on the PMP and final deliverables in Task 3 to improve performance management and communicate implementation successes. The contractor will also provide training on the list of recommended indicators and their definitions.

· The contractor shall compile the deliverables pertaining to each step of this task into a final program design document that will be used as a knowledge management tool.

For Implementing Partners:

· The contractor shall prepare a virtual training program with the potential that there may be Implementing Partners who wish to attend the training in person, depending on the location of the training (contractor’s facility or U.S. Department of State meeting facilities). There will be no more than three (3) training sessions for Implementing Partners. The purpose of the training is to share best practices to build capacity of implementing partners while ensuring that implementing partners understand how to utilize the PMP and communication templates, as well as understand the definitions for indicators, to improve performance management and communicate implementation successes. To ensure that each training session is effective and allocates ample time for questions and answers, the contractor shall consider, in consultation with the COR and ECS, dividing the training groups to a smaller size based on Implementing Partner staff location, region of implementation, and/or project goals/objectives to allow for targeted training sessions. The contractor shall follow up to the training sessions by offering light-touch support or consultations (see Task 5).

· The contractor shall coordinate with select Implementing Partners to demonstrate achievements that have been documented (see Deliverables 3.3) at the training, if applicable.

· The contractor shall record the training and provide a transcript of the questions and answers discussed during the implementing partner training. The contractor may need to record multiple live trainings or closed session rehearsals to confirm the quality of the training session and that the media file is intact prior to submission as a deliverable. The recording must include voice along with the presentation. ECS also requests that the contractor split the training recording by topics to ensure that the files can be transferred to ECS without size limitations. Question and answers do not need to be recorded in the media file.

Task 4 deliverables:

· 4.1 Final program folders;

· 4.2 Develop draft presentation on program design for Selenium Program;

· 4.3 Final presentation on program design for Selenium Program;

· 4.4 Develop training materials, including templates (for ECS and Implementing Partners);

· 4.5 Final training materials, including templates (for ECS and Implementing Partners);

· 4.6 One (1) set of recorded training session, separated by topics, with transcripts of all Q&As.

· Task 5: Assistance in Implementing the PMP.

To confirm that Implementing Partners have increased their capacity to monitor projects, the contractor shall provide virtual, one-on-one or small group, light-touch support or consultations to guide Implementing Partners in using the PMP. Specific technical assistance activities could include:

· Reviewing monitoring plans and suggesting improvements;

· Reviewing draft progress report and indicator results;

· Brainstorming achievements to highlight; and

· Reviewing draft communications materials.

The contractor shall also update the Q&A transcript as part of Deliverable 4.6 to capture inquiries and responses that arise during Task 5. This document will serve as a Frequently Asked Question (FAQ) for Performance Monitoring.

Task 5 deliverables:

· 5.1 Draft FAQ

· 5.2 Final FAQ;

· 5.3 List of support/activities provided to each Implementing Partner.

Project Management:

Post-Award Conference: The Contractor shall participate in a contractual kick-off meeting with the government Contracting Officer (CO) and the Contracting Officer’s Representative (COR). Within two weeks of the award date, the contractor shall meet with the COR and ECS staff. The purpose of this technical kick-off meeting will be to identify primary points of contact, discuss scope, deliverable schedule, tasks, billing, reporting, and other administrative issues. The Contractor shall prepare and submit to the COR a written summary of the meetings’ outcomes within ten working days of the technical kick-off.

Monthly Status Reports: As outlined in Task 1 and Deliverable 1.3, the contractor shall submit a monthly report via email to the COR. The monthly report shall contain, but is not limited to, the following:

· Management Summary: Documenting any major problems/issues, breakdown of current expenditures, and any significant progress or events by task.

· Narrative: Description of work performed on tasks(s) during the reporting period and expected to be performed during the next quarter, including discussions of any problems/issues and recommendations for correction at the time of invoice submission. The contractor shall report TO status in accordance with the milestones and objectives identified in the approved work plan and timeline.

All reports shall contain the following headings and corresponding information:

· Task order number;

· Name of contractor;

· Phone number of contractor;

· Period of performance;

· TO program manager;

· Title of project;

· Contracting officer’s technical representative;

· Management summary by task;

· Narrative by task;

· Problems and issues by task.

Schedule of Deliverables:

The program design and PMP development phase of the project is projected to last approximately forty-two (42) weeks. Below is a notional outline of times needed per each task and presents efforts that will occur concurrently.

Task 1- Work Plan: Six (6) weeks Task 2- Program Designs: Twenty-four (24) weeks Task 3- Performance Management Plan (PMP): Eighteen (18) weeks Task 4- Final Program Design and PMP Training: Twelve (12) weeks Task 5- Assistance in Implementing PMP: Eighteen (18) weeks

The list of deliverables are provided in the table below. The contractor should reference the notional timeline and complete the table as part of the proposal submission to inform the development of the work plan (Task 1).

1.1 Draft work plan

1.2 Final work plan

1.3 Monthly progress reports (two pages max) submitted to the COR

2.1 Draft problem/needs statements

2.2 Final problem/needs statements

2.3 Draft program goals and objectives

2.4 Final program goals and objectives

2.5 Draft logic models

2.6 Final logic models

2.7 Updated Program Strategy document and Program fact sheet, if applicable

2.8 Final project alignment checklist

2.9 Proposed list of recommended impact assessments and conditions for conducting each assessment

3.1 Draft PMP

3.2 Draft three (3) communication materials that highlight Selenium Program successes

3.3 Final three (3) communication materials

3.4 Draft communication templates, including a draft list of standard interview questions

3.5 Final formatted communication templates, including final list of standard interview questions

3.6 Final PMP with communication materials and templates as annexes

4.1 Final program folders

4.2 Develop draft presentation on program design for Selenium Program

4.3 Final presentation on program design for Selenium Program

4.4 Develop training materials, including templates (for ECS and Implementing Partners)

4.5 Final training materials, including templates (for ECS and Implementing Partners)

4.6 One (1) set of recorded training session, separated by topics, with transcripts of all Q&As

5.1 Draft FAQ

5.2 Final FAQ

5.3 List of support/activities provided to each Implementing Partner

Project Team: In the proposal, the contractor should present their proposed team for the subject TO. One or more of the team members should have significant experience with and knowledge of the Program Design and Performance Monitoring policy and toolkit. In developing specifications for staffing the evaluation team, Managers should consider these elements:

· Size and composition: The design team will include one senior design specialist, a mid-level TO program manager, junior level administrative support, a mid-level performance monitoring/indicator specialist, a mid-level performance monitoring/design training specialist, and a mid-level research analyst. The team leader is required to have fifteen+ years of experience in program design, supervising data collection, as well as in analysis and presentation of findings. The senior team lead must have experience with quantitative and qualitative evaluation methodologies such as how to best establish criteria for judging “success” of foreign assistance programs, and the ability to analyze, synthesize and draw larger conclusions and lessons learned from various sources of data and findings. Proposed personnel are expected to be the ones conducting the work. Any changes or substitutions to the team must be vetted and approved by DOS liaisons.

· Qualifications:

· Program design methods and data collection skills (Team Leader)

· Technical competence in research areas and policy analysis

· Presentation skills

· Gender analysis skills

· Report writing skills

· In-country/region work experience a plus, but not a requirement

· Knowledge of languages spoken in the regions a plus, but not a requirement

· Security Clearance: A Secret personnel security clearance is required for TO performance.

General Contractor Requirements: The contractor should provide the appropriate number of staff to fully execute the evaluation, using a cost-effective approach. The team should be a multi-disciplinary team with knowledge of and expertise in program design, facilitating discussions across many stakeholders, over a period of time, with various levels of expertise and specialized knowledge, and developing program management plans. Team members should have experience with analyzing, synthesizing, and drawing broader conclusions and lessons learned from various inputs to ensure a program design that leverages our comparative programmatic strengths, where US projects can deliver the most value consistent with our strategic visions and priorities. The team should develop a performance monitoring plan that practically allows ECS to perform recurring strategic reviews and managing the Selenium Program at a strategic level.

The contractor will provide resumes for each individual on the team, all of whom will be regarded as key personnel, and therefore are to be essential. ECS expects that key personnel will be available to conduct the activities noted in the statement of work. At least 30 days prior to diverting any of the specified individuals to other programs or contracts (or as soon as reasonably possible), the contractor will notify ECS staff, and submit a justification for the diversion or replacement request (including proposed substitution(s)) to permit evaluation by ECS program staff of the impact this could have on the performance under this statement of work. The contractor shall not divert or otherwise replace key personnel without written consent from DOS’s program staff.

ECS expects that key personnel proposed by the contractor will be available, and responsible for their own housing, logistics, and transportation.

Additionally, ECS expects proposed key personnel to be the staff executing the deliverables and any changes in key personnel needs to be reviewed and approved.

The proposed personnel listed below are considered essential to the work to be performed. The U.S. Department of State reserves the right to exercise approval authority over any of the contractor’s key personnel. Additionally, prior to changing any structure of the key personnel – eliminating, replacing, or diverting personnel to other programs – the contractor must notify the Contracting Officer (CO) through the Contracting Officer’s Representative (COR) at least thirty (30) days prior to the proposed change.

The contractor must provide sufficient detail in a written justification that assesses the impact of the change on the work that is being performed. The justification shall include names of the substitutions along with complete statement of capabilities/qualifications of the proposed substitutes. The contractor shall not replace any of the key personnel named to work on this TO without the written consent of the CO via the COR.

Proposed Personnel: Proposed personnel are expected to be the people on the job. Any substitutes to the proposed team must be vetted and approved before they begin work. The following is just an illustrative outline of the team’s composition, and DOS expects and welcomes alternative recommendations to best achieve the visions of this evaluation.

· Design Specialist (Senior)

· Performance Monitoring/Indicator Specialist (Mid)

· Evaluation/Performance Monitoring/Design Training Specialist (Mid)

· Research Assistant (Mid)

Period of Performance: The period of performance for this TO is 18 months from the date of the Contracting Officer’s signature.

Place of Performance: The principal place of performance will be at the contractor’s facility or DOS meeting facilities. Presentations and trainings will be conducted at the contractor’s facility or DOS meeting facilities, with the understanding that most implementing partners will participate virtually.

Travel: Travel outside of the Metropolitan Washington, DC area is not necessary for the implementation of this project. ECS plans to arrange a workshop with all of the Implementing Partners in October 2019 in Washington, DC. This would be a key opportunity for the contractor to meet with the Implementing Partners and begin to brainstorm ideas for creating communication materials to highlight program successes.

Communication with DOS should be conveyed directly to both contacts listed above at a minimum. Additional Program Office point of contacts may be provided as appropriate.

Disposition of Deliverables, Data, and Related Information: All documentation, deliverables, and written reports developed by the contractor will become the property of the U.S. Government (henceforth Government). All databases developed by the contractor for the purpose of organizing and analyzing files/records will be the property of the Government. The security of the information and IT systems that the information is stored on is paramount to this requirement. No information gathered by the contractor during the course of this project shall be shared with any party other than the Government representatives of this program at DOS. The contractor must execute the appropriate security to ensure full compliance with U.S. Federal Government security and privacy policies, including secure data transfer.

Government-furnished Property: The Government may determine the need to furnish the contractor staff with Government property for the benefit of the contract. The Government may further authorize access to DOS IT systems through a Government issues computer, Blackberry, and/or laptop with Virtual Private Network capabilities. If so, the contractor will be held to the standards established in the Government Property Clause (June 2007), FAR 52.245-1 and FAR 52.245-9 defining Government property and its usage. Furthermore, each contractor staff granted such access will be bound by all applicable DHS and DOS policies related to IT access, usage, property controls, incident reporting, security and “supervised access” requirements. Any Government property will remain the property of the Government and must be returned without damage or alteration, and in the condition that it was delivered, at the completion of the TO.