Final RFP#72038620R00003- SUWASI- 02-13-2020.pdf

Request for Proposals (RFP) No: 72038620R00003 Issue Date: February 13, 2020 Questions Due Date: March 1, 2020, 2330 hours Proposal Submission Due Date: March 29, 2020, 2330 hours

Subject: Request for Proposals (RFP) No. 72038620R00003 USAID//INDIA - Support for Urban Water and Sanitation in India (SUWASI)

To All Prospective Offerors:

The United States Agency for International Development (USAID) through its India Mission is seeking proposals to achieve the objectives set forth in the attached Request for Proposals (RFP).

USAID anticipates awarding a cost-plus-fixed-fee (CPFF) completion type contract. The North American Industry Classification System (NAICS) code for this acquisition is 541990. The authorized geographic code is 937. USAID/India intends to award a five-year contract for implementation of the Activity described herein.

The purpose of this activity “Support for Urban Water and Sanitation in India” (SUWASI), is to provide targeted technical assistance to the Government of India at the national, state, and local levels to accelerate the achievement of universal access and use of water and sanitation services.

The estimated cost range for this procurement is $14.0 Million to $19.0 Million. Revealing the estimated cost of the contract does not mean that Offerors should necessarily strive to meet the maximum amount estimated. The most effective approach for achieving the expected results is encouraged and award will be made to the Offeror whose proposal offers the best value to the Government considering technical and cost factors (see Section M).

This procurement will be conducted under full and open competition procedures, pursuant to Part 15 of the Federal Acquisition Regulation (FAR) (48 CFR Chapter 1). All eligible organizations are encouraged to compete. USAID encourages participation, to the maximum extent possible, of small business concerns and local Indian organizations, either as the prime contractor or as subcontractors.

Section L of this RFP sets forth instructions for the preparation and submission of required proposal contents. Section M states the criteria by which proposals will be evaluated.

ONLY ELECTRONIC SUBMISSION of proposals at the following address: indiarco@usaid.gov will be accepted. Faxes and paper copies are not acceptable.

Any questions regarding this RFP are to be submitted in writing via e-mail to indiarco@usaid.gov to Charushila Lal and Armando Espinosa by the date and time specified on the previous page. Oral instructions or explanations given before the award of the contract resulting from this solicitation shall not be binding. Offerors must NOT submit questions directly to any other USAID staff. All mailto:indiarco@usaid.gov mailto:indiarco@usaid.gov

ABBREVIATIONS

AAPD Acquisition & Assistance Policy Directive ADS Automated Directives System AIDAR Agency for International Development Acquisition Regulation AMRUT Atal Mission for Rejuvenation and Urban Transformation AWP Annual Work plan CCR Central Contractor Registration CDCS Country Development Cooperation Strategy CFR Code of Federal Regulation CO Contracting Officer COP Chief of Party CPFF Cost-Plus-Fixed-Fee COR Contracting Officer’s Representative D&B Dun and Bradstreet, Inc.

DBA Defense Base Act DCA Development Credit Authority DCOP Deputy Chief of Party DEC Development Experience Clearinghouse DUNS Data Universal Numbering System EFT Electronic Funds Transfer EGAT Economic Growth and Trade FA Finance Administrator FAR Federal Acquisition Regulation FSSM Fecal Sludge and Septage Management GAO General Accounting Office GoI Government of India IEE Initial Environmental Examination MoHUA Ministry of Housing and Urban Affairs PWS Performance Work Statement ODF Open Defecation Free OMB Office of Management and Budget SBM-U Swachh Bharat Mission (Urban) SHGs Self-Help Groups (SHGs) SLWM Solid and liquid waste management ULB Urban Local Body

TABLE OF CONTENTS

PART I – THE SCHEDULE 8

SECTION B – SERVICES AND PRICE/COSTS 8

B.1 PURPOSE 8

B.2 CONTRACT TYPE 8

B.3 ESTIMATED COST, FIXED FEE, AND OBLIGATED AMOUNT 8

B.4 PRICE SCHEDULE 8

B.5 FIXED FEE 9

B.6 INDIRECT COSTS (DEC 1997) 9

B.7 COST REIMBURSABLE 9

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK 10

C.1 TITLE OF ACTIVITY 10

C.2 PURPOSE 10

C.3 BACKGROUND 10

C.4 STATEMENT OF WORK 12

C.4.1 ACTIVITY OBJECTIVES, TASKS and DELIVERABLES 12

C.4.4.1 CENTRAL LEVEL SUPPORT 13

C.4.4.2 STATE LEVEL SUPPORT 20

C.4.4.3 CITY LEVEL SUPPORT 21

C.4.2 GEOGRAPHIC COVERAGE 22

C.4.3 COORDINATION 23

C.4.4 MONITORING, EVALUATION, AND LEARNING 23

C.4.4.1 MONITORING, EVALUATION AND LEARNING PLAN (MELP) 23

C.4.5 GENDER 25

C.5 KEY PERSONNEL 26

SECTION D – BRANDING AND MARKING 28

D.1 AIDAR 752.7009 MARKING (JAN 1993) 28

D.2 BRANDING STRATEGY 28

SECTION E – INSPECTION AND ACCEPTANCE 29

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 29

E.2 INSPECTION AND ACCEPTANCE 29

SECTION F – DELIVERIES OR PERFORMANCE 30

NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 30

F.1 PERIOD OF PERFORMANCE 30

F.2 PLACE OF PERFORMANCE 30

F.3 PERFORMANCE STANDARDS 30

F.4 REPORTS AND DELIVERABLES 31

F.5 REQUIRED REPORTS 31

F.6 OTHER SPECIAL REPORTS 35

F.7 KEY PERSONNEL 35

SECTION G – CONTRACT ADMINISTRATION DATA 37

G.1 CONTRACTING OFFICER’S AUTHORITY 37

G.2 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998) 37

G.3 CONTRACTING OFFICER’S REPRESENTATIVE (COR) 38

G.4 PAYING OFFICE 39

G.5 ACCOUNTING AND APPROPRIATION DATA 39

G.6 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID 39

G.7 CONTRACTOR’S PRIMARY POINT OF CONTACT 41

G.8 CONTRACTOR’S PAYMENT ADDRESS 41

SECTION H – SPECIAL CONTRACT REQUIREMENTS 42

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 42

752.225-70 42

SOURCE AND NATIONALITY REQUIREMENTS 42

H.2 ADS 302.3.5.19 USAID-FINANCED THIRD-PARTY WEB SITES (NOV 2017) 42

H.3 ADS 302.3.5.21 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL)

(OCT 2014) 43

H.4 AIDAR 752.7007 PERSONNEL COMPENSATION (JUL 2007) 45

H.5 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION 45

H.6 AUTHORIZED WORK WEEK 46

H.7 AIDAR 752.7031 LEAVE AND HOLIDAYS (OCT 1989) 46

H.8 AUTHORIZED GEOGRAPHIC CODE 48

H.9 DEFENSE BASE ACT INSURANCE AND SERVICES 49

H.10 EXECUTIVE ORDERS ON TERRORISM FINANCING 49

H.11 GOVERNMENT FURNISHED FACILITIES OR PROPERTY 49

H.12 LOGISTICAL SUPPORT 50

H.13 LANGUAGE REQUIREMENTS 50

H.14 FRAUD REPORTING 50

H.15 DISCLOSURE OF INFORMATION 50

H.16 CONSENT TO SUBCONTRACT 51

H.17 SUBCONTRACTING PLAN REPORT FOR INDIVIDUAL CONTRACTS AND SUMMARY

CONTRACTING REPORT 51

H.18 GENDER CONSIDERATION 52

H.19 INHERENTLY GOVERNMENTAL AND CLOSELY ASSOCIATED FUNCTIONS 52

H.20 CONFLICT OF INTEREST 52

H.21 EXCHANGE VISITORS AND TRAINING 54

H.22 NON-EXPENDABLE PROPERTY PURCHASES 55

H.23 ELECTRONIC PAYMENTS SYSTEM (JULY 2014) 55

H.24 ENVIRONMENTAL COMPLIANCE (22 CFR 216) 56

PART II – CONTRACT CLAUSES 58

SECTION I - CONTRACT CLAUSES 58

I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) 58

I.2 FAR 52.204-1 APPROVAL OF CONTRACT (DEC 1989) 61

I.3 AIDAR 752.252-1 AIDAR SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

(MAR 2015) 61

CONFERENCE PLANNING AND REQUIRED APPROVALS 62

I.4 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008) 63

I.5 AIDAR 752.7036 USAID IMPLEMENTING PARTNER NOTICES (IPN) PORTAL FOR

ACQUISITION (JUL 2014) 63

I.6 AIDAR 752.7037 CHILD SAFEGUARDING STANDARDS (AUG 2016) 65

PART III – LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS 67

SECTION J – LIST OF ATTACHMENTS 67

PART IV – REPRESENTATIONS AND INSTRUCTIONS 68

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS 68

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 68

K.2 FAR 52.204-24 REPRESENTATION REGARDING CERTAIN TELECOMMUNICATIONS AND

VIDEO SURVEILLANCE SERVICES OR EQUIPMENT (DEC2019) 68

K.3 FAR 52.204-26COVERED TELECOMMUNICATIONS EQUIPMENT OR SERVICES-

REPRESENTATION (DEC 2019) 69

K.4 FAR 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2018) 70

K.5 FAR 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (OCT 2015) 73

K.6 FAR 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JUL 2013) 74

K.7 FAR 52.209-11 REPRESENTATION BY CORPORATIONS REGARDING DELINQUENT TAX

LIABILITY OR A FELONY CONVICTION UNDER ANY FEDERAL LAW (FEB 2016) 75

K.8 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999) 76

K.9 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) 76

K.10 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCT 2015)

K.11 FAR 52.230-7 PROPOSAL DISCLOSURE—COST ACCOUNTING PRACTICE CHANGES

(APR 2005) 78

K.12 INSURANCE—IMMUNITY FROM TORT LIABILITY 79

K.13 AUTHORIZED NEGOTIATORS 79

K.14 SIGNATURE 79

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS 80

L.1 FAR 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998) 80

L.2 FAR 52.216-1 TYPE OF CONTRACT (APR 1984) 80

L.3 FAR 52.233-2 SERVICE OF PROTEST (SEP 2006) 80

L.4 GENERAL INSTRUCTIONS TO OFFERORS 81

L.5 DELIVERY INSTRUCTIONS 82

L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL 83

L.6.1 ORGANIZATION OF TECHNICAL PROPOSAL 83

L.6.2 TECHNICAL PROPOSAL CONTENTS 84

L.6.2.1 MANAGEMENT APPROACH INCLUDING KEY PERSONNEL AND

STAFFING (SEE SECTION M.2.1) 84

L.6.2.2 TECHNICAL APPROACH (See Section M.2.2) 85

L.6.2.3 PAST PERFORMANCE (See Section M.2.3) 86

L.7 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL (See Section M.3) 87

SECTION M – EVALUATION FACTORS FOR AWARD 96

M.1 GENERAL INFORMATION 96

M.2 TECHNICAL EVALUATION CRITERIA 96

(a) Management Approach including Key Personnel and Staffing (See Section L.6.2.1) 96

(b) Technical Approach (see section L.6.2.2) 96

(c) Contractor Performance Information (See Section L.6.2.3) 96

M.3 M.4 DETERMINATION OF COMPETITIVE RANGE AND CONTRACT AWARD 98

M.4 M.3 PRICE/COST EVALUATION 98

M.5 M.5 SOURCE SELECTION 98

M.6 M.6 CONTRACTING WITH SMALL BUSINESS CONCERNS 99

M.7 M.7 CONTRACTING WITH U.S. SMALL BUSINESS CONCERNS IN THE MENTOR-PROTÉGÉ

PROGRAM 99

PART I – THE SCHEDULE

SECTION B – SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to provide targeted technical assistance that supports the Government of India (GoI) at the national, state, and local levels to accelerate the achievement of universal access and use of water and sanitation services in India.

B.2 CONTRACT TYPE

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

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

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

(b) Within the estimated cost plus fixed fee (if any) specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable and allocable costs incurred by the Contractor (and payment of fee, if any) is $ TBD. The Contractor must not exceed the obligated amount in accordance with the Limitation of Funds Clause, FAR 52.232.22.

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

B.4 PRICE SCHEDULE

Item No Supplies/Services (Description) Quantity Unit Unit Price Amount

00001 Direct Costs 1 LOT

Estimated Cost

Fixed Fee

Total Estimated Cost + Fee

00001 Indirect Costs 1 LOT

Estimated Cost

Fixed Fee

Total Estimated Cost + Fee

TOTAL CPFF

B.5 FIXED FEE

Payment of fixed fee will be made upon receipt of a proper invoice and shall directly correspond to the percentage of allowable costs being paid. In accordance with FAR 52-216- 8, Fixed Fee, the CO will withhold 15% of the total fee or $100,000, whichever is less until the required awards conditions under the reference clause have been met.

B.6 INDIRECT COSTS (DEC 1997)

The contract clause entitled “Allowable Cost and Payment (JUN 2013)”, FAR 52.216-7, specifies that the indirect cost rates shall be established for each of the Contractor’s accounting periods which apply to this contract. Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases:

Description Rate Base Type Period 1/ 1/ 1/ 2/ 2/ 2/ 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Provisional Period:

2/Base of Application:

3/Base of Application:

B.7 COST REIMBURSABLE

Allowable costs shall be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment (JUN 2013), FAR 52.216-8, Fixed Fee (June 2011), if applicable, and AIDAR 752.7003, Documentation for Payment

(NOV 1998).

In addition, the requirement and conditions concerning estimated cost and funding apply as detailed in FAR 52.232-22, Limitation of Funds (APR 1984).

[END OF SECTION B]

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 TITLE OF ACTIVITY

The title of this activity is Support for Urban Water and Sanitation in India (SUWASI).

C.2 PURPOSE

The purpose of this activity is to provide targeted technical assistance to the Government of India at the national, state, and local levels to accelerate the achievement of universal access and use of water and sanitation services expected from the Swachh Bharat Mission (Urban) “SBM-U/SBM- U 2.0” (or any other name by which the successor program to SBM-U may be known) including the Water Plus Protocol, Atal Mission for Rejuvenation and Urban Transformation (AMRUT) (or its successor mission/s) including support for the proposed water sub-missions such as Jal Jeevan Mission-Urban, Clean Ganga Mission, or other new Missions. This activity is supported by a Memorandum of Understanding (MoU) between the Ministry of Housing and Urban Affairs (MoHUA) and USAID/India in the areas of Water, Sanitation and Hygiene (WASH).

C.3 BACKGROUND

India’s urban population is expected to grow from 410 million in 2014 to 814 million by 2050.

To meet this demand, India is projected to add the equivalent of four new megacities by 2030.

Today, urban India contributes 65% to India’s GDP, which is estimated to rise to 70% by 2030.

However, the positive aspects of urbanization continue to be hampered by the relatively poor quality of life that a substantial proportion of the population face across several sectors, including water and sanitation. It is estimated that $96 billion in investments are required for the Indian urban sanitation sector from 2018 to 2032[2] including $57 billion in capital expenditures (capex) and $31 billion in operating expenditures (opex) for community sanitation, wastewater collection and treatment, septage collection and treatment, and household investments with the remaining funding required for support such as continued behavior change communications (BCC), administration, capacity building, project development and management.

Two missions launched by the MOHUA—SBM (U) and AMRUT—have created significant momentum in the past five years in addressing major problems in the WASH sector. SBM (U) was launched in October 2014, with the aim of achieving 100% open defecation free (ODF) status by October 2019 and 100% scientific processing of municipal waste in all 4,041 Urban Local Bodies (ULBs) in the country. AMRUT was launched in October 2015 with the aim of ensuring that every household has access to a tap with assured water supply and sewerage connection. SBM and AMRUT have made substantial progress in eliminating open defecation (>90% of cities have been certified as ODF) and increasing coverage of wastewater networks (94% of households either connected to septic tanks or sewerage networks) and household level piped water supply (increased from 72% in 2011 to 90% in 2019).

Since 2015, USAID has supported a Project Management Unit (PMU) within the MOHUA to provide technical support to SBM-U and AMRUT in the areas of capacity building, monitoring and evaluation, private sector engagement, procurement and financing, information and communications technology, mission enablement, and knowledge management among others.

This support has resulted in high impact interventions at both the policy and implementation level including:

1. The design and implementation of the world’s largest urban sanitation survey—the Swachh Survekshan

2. The design and implementation of standardized ODF, ODF+ and ODF++ protocols

3. The pilot and scale up of digital solutions such as the Google Toilet Locator, and an eLearning solution in partnership with Microsoft, Swachhta App, Swachh Manch etc.

4. The design and scale up of an integrated WASH related management information system

5. The design of a National FSSM Policy

6. City and state level procurement support

SUWASI reflects and aligns with USAID policies and strategies including the USG Water Strategy, the USAID Multi-Sectoral Nutrition Strategy, and USAID’s Policy on Gender Equality and Female Empowerment. Investing in WASH is fundamental to achieving USAID’s goal of improving health and reducing poverty.

SUWASI also reflects and aligns with GOI policies and strategies including SBM-U and AMRUT which aim to extend universal water and sanitation services to all urban cities in India.

This makes a substantial contribution to the achievement of the National Urban Sanitation Policy of 2008, National Water Policy of 2012, Jal Jeevan Mission and the Water and Sanitation - Sustainable Development Goal SDG 6.

Despite the progress made under SBM-U and AMRUT, there remain several challenges to completing the sanitation value chain and ensuring universal access to safe drinking water and sustainable sanitation in India. The focus of GOI WASH missions is now shifting to sustaining ODF including moving towards ODF++ (ODF along with liquid waste containment and treatment), achieving 100% coverage of household piped drinking water supply and fecal waste, water containment, the scientific treatment and disposal of all untreated fecal sludge through either network sewerage or fecal sludge management systems, and the restoration of urban water bodies. There is currently a scattered focus on the collection, treatment and disposal links of the service chain. Other gaps include a poor enabling WASH environment in India, lack of capacity at the ULB levels, low uptake of all urban reforms under AMRUT, and lack of financially sustainable models for projects.

Additionally, the primary source of financing in the sector presently is through GOI allocation (either capital spend or revenues). A large financing gap has been identified as one of the greatest barriers to achieving water and sanitation targets. Hence, there is a pressing need to tap other resources to address this gap with taxes and tariff reform, innovative procurement and financing mechanisms, and an underlying enablement of private sector ecosystem.

It is expected that SBM-U and AMRUT will continue for at least an additional five years past their original five-year mandate. The revised missions will increase WASH service delivery to an estimated population of 200 million individuals and will expand engagement with small and innovative businesses and Self-Help Groups (SHGs) working in solid and liquid waste management (SLWM), fecal sludge and septage management (FSSM), waste collection, segregation, etc. Additionally, a new Jal Shakti Ministry was launched in May 2019 to address water conservation and water recycling initiatives under its Jal Jeevan Mission (Water Mission).

The urban component of Jal Jeevan Mission is proposed to be addressed by AMRUT.

C.4 STATEMENT OF WORK

The SUWASI Contractor will provide the MoHUA with full-range, multi-disciplinary, targeted technical support to achieve, sustain and accelerate outcomes under the successor missions to SBM-U/SBM-U 2.0 and AMRUT. The Contractor will also provide targeted support to selected states to achieve the same objectives at the state level. Finally, the Contractor will support a technical support team to provide “on-demand” assistance to cities to achieve the objectives of the SBM-U/SBM-U 2.0 and AMRUT missions at the municipal level. The SUWASI activity is designed to align with USAID’s principle of ‘Self-Reliance’ and “Private Sector Engagement.”

(See attachment J.10)

Figure 1: Results Framework

C.4.1 ACTIVITY OBJECTIVES, TASKS and DELIVERABLES

The Contractor will provide targeted technical assistance to the Government of India at the national, state, and local levels to accelerate the achievement of universal access and use of water and sanitation services expected from the Swachh Bharat Mission (Urban) “SBM-U/SBM-U 2.0” Atal Mission for Rejuvenation and Urban Transformation (AMRUT) (or its successor mission/s) including support for the proposed water sub-Missions such as Jal Jeevan Mission-Urban, Clean Ganga Mission, or other new Missions through the following interrelated efforts:

1. Central level support

2. State level support

3. City level support

The support at these levels will include, the following areas:

• Short or long-term technical assistance and advisory services

• Pilot or demonstration projects

• Establishing or strengthening data and learning platforms, working groups

• Utilization of Internet Communications Technology (ICT)

• Organizing events

• Training, mentoring, or other forms of capacity building

• Policy and regulatory advocacy

• Citizen engagement or mobilization

• Market strengthening for private sector engagement and partnerships

C.4.4.1 CENTRAL LEVEL SUPPORT

C.4.1.1.1 Support management of Project Management Unit for SBM-U/SBM-U 2.0

The Contractor will establish and manage a dedicated team of staff to form a Program Management Unit (PMU) linked to SBM-U/SBM-U 2.0 Urban (or any other name assigned to the successor Mission(s) to Swachh Bharat Mission), based in the MoHUA. This shall also include any linked staffing required outside the PMU in key departments such as the Central Public Health Environmental Engineering Organization (CPHEEO). The staffing shall support the achievement of WASH outcomes outlined in the forthcoming SBM-U/SBM-U 2.0 Urban including the following thematic areas:

1. Working towards Sustainable Sanitation: Since 2015, SBM has achieved considerable traction on aspects of access to sanitation and ending open defecation in India. The next major step is to ensure the sustainability of these outcomes and to bridge any gaps that remain.

Sustainable sanitation will require the implementation of ODF+, ODF++ and Water+ protocols, adding additional toilet infrastructure, and preventing hazardous sanitation practices like manual cleaning of sewers etc. The resources at the PMU will actively engage across verticals of program management, technical enablement, procurement and financing and private sector enablement.

2. Accelerating sanitation outcomes through fecal sludge management: With Individual Households (IHHL) coverage nearing 100% and almost all cities becoming ODF, it will be critical to ensure the containment, safe transport and scientific treatment of sewage and septage.

Given that only a small part of urban India is connected with network sewers and a majority of households still rely on septic tanks or pits for containment, it is imperative to scale up the safe management of fecal sludge and septage. To this end, the PMU will focus on scaling up fecal sludge and septage management (FSSM) systems and services across the country.

3. Attaining sustainable behavioral change: Five years of SBM-U have demonstrated that behavior change is central and critical to achieving sustained outcomes in any WASH intervention. Hence, in addition to ODF sustainability, behavioral change communication in the next phase of the mission, will emphasize on aspects of sustainable sanitation through ODF++, FSSM, personal hygiene, and other aspects of the entire WASH value chain.

4. Enabling sustainable finance and procurement: One of the major bottlenecks identified by the states and ULBs in implementing WASH projects is the availability and cost of financing for such projects as well as a relative lack of fit-for-purpose procurement approaches. This also leads to ineffective private public partnership models. The PMU will continue to advise and support states and ULBs in strengthening their financial and procurement practices and in creating sustainable financial and procurement models.

The above should encompass supporting the cross-cutting focus areas of the PMU to enhance and enable private sector partnerships and expand and increasing utilization of digital infrastructure in all the spheres of implementation.

Tasks and Deliverables:

Task C.4.1.1.1-1: Activity design and implementation support, including phased roll-out strategy for implementation of SBM-U/SBM-U 2.0

Deliverable: Quarterly reports outlining design and implementation support provided

Task C.4.1.1.1-2: Developing supplementary tools, guidelines and advisories for implementation

Deliverable: Quarterly reports summarizing supplementary tools, guidelines and advisories for implementation developed

Task C.4.1.1.1-3: Development of a competitive monitoring framework to accelerate implementation of SBM-U/SBM-U 2.0 and its various components

Deliverable: Competitive monitoring framework with implementation strategy – in report form

Task C.4.1.1.1-4: Scale up Capacity building solutions for program division and government officials; state and ULB officials and private sector (as required) in collaboration with technical bodies like the CPHEEO, including in procurement and innovative financing

Deliverable: Quarterly reports summarizing capacity building efforts during the period and plan for next period

Task C.4.1.1.1-5: Facilitate evaluation and validation of new and affordable FSSM solutions in collaboration with the relevant central and state agencies through a government led mechanism

Deliverable: Report with proposed mechanism and implementation strategy

Task C.4.1.1.1-6: Development of an Information-Education-Communication (IEC) and Behavior Change Communication (BCC) framework and strategy roadmap for States and ULBs, and related implementation support

Deliverable: IEC/BCC Strategy and Implementation Roadmap in form of report, follow on quarterly reports on implementation support

Task C.4.1.1.1-7: Developing a framework for procurement and financial sustainability by aligning the procurement lifecycle and architecture of contracting bodies such as ministries, states, and ULBs

Deliverable: Procurement strategy report capturing various aspects in the task

Task C.4.1.1.1-8: Developing a comprehensive understanding of challenges faced by ULBs and states in financing WASH projects and proposing solutions at the policy and regulatory level, including innovative tools such as value capture finance

Deliverable: WASH Financing report capturing as-is situation and proposed solutions

Task C.4.1.1.1-9: Identifying entrepreneurs and viable business models in the WASH sector and disseminating the same, through active support to MoHUA/States/ULBs

Deliverable: Online portal for creating database of WASH entrepreneurs

Task C.4.1.1.1-10: Mapping a detailed assessment of needs, availability of solutions/resources from the private sector and suggested approaches for WASH innovators/entrepreneurs

Deliverable: Report outlining needs/availability of solutions/ resources from private sector and suggested approaches for WASH innovators/ entrepreneurs

Task C.4.1.1.1-11: Design of a Knowledge Management Portal 2.0 for enhancing knowledge management and dissemination to states, ULBs, private sector and other players in the WASH sector Development of a portal which will capture and measure the progress of private sector participation in the field of sanitation

Deliverable: Creation and roll-out of Knowledge Management portal.

Task C.4.1.1.1-12: Leverage partnerships with corporates, NFSSM Alliance and USAID WASH partners, training institutions etc. for accelerating various outcomes, such as maximizing access and dissemination of knowledge and communications to WASH practitioners and citizens

Deliverable: Quarterly reports outlining progress made

Task C.4.1.1.1-13: Unified technology portal for ease of collection and access to data (including that related to FSSM) by States, ULBs and citizens

Deliverable: Creation and roll-out of Unified online data platform.

Task C.4.1.1.1-14: Digital interventions across the FSSM value chain, for example ‘on demand’ desludging facilities, expanding the scope of Swachh Nagar App.

Deliverable: On-demand desludging feature on Swachh Nagar app

Task C.4.1.1.1-15: Establishing a Fund Tracking System for ensuring states and cities have timely access to funds

Deliverable: Creation and roll-out of Unified online data platform.

C. 4.1.1.2 Support management of Technical Support Unit (TSU) for AMRUT

The Contractor will establish and manage a dedicated team of staff to form a Technical Support Unit (TSU) to AMRUT (or any other name assigned to the successor mission(s) and its sub-missions including the proposed Jal Jeevan Mission-Urban), providing targeted support for strategy, capacity building and technical assistance related to WASH. This shall also include any linked staffing required outside the PMU in key departments such as the CPHEEO. The staffing shall support the following areas:

The TSU will provide broad-based programmatic support to the AMRUT Mission—including the Jal Jeevan Mission—for urban areas. AMRUT’s current primary goal is to ensure piped drinking water supply and wastewater treatment to more than four thousand ULBs across the country.

1. Impetus on the reuse and recycle of wastewater for drinking water: With growing concerns around depleting freshwater resources in the country, AMRUT supports attaining a circular economy of water encouraging the reuse and recycle of wastewater, water conservation and rejuvenation, and the replenishment of water bodies. The TSU will support this effort when related to drinking water only.

2. Enabling water and wastewater reforms: A set of water sector reforms for ULBs is envisaged under the mission that will enable improvement in water governance, mission efficacy, and overall service delivery. Some of these reforms are technology enabled equitable water supply, reduction in NRW, smart metering, promoting start-up ideas in water, private sector financing and participation.

3. Water and sanitation utility improvement: Improved water and sanitation utilities will require multi-faceted support including the formation of peer-to-peer networks of utilities or others, establishing a national utility performance benchmarking and reward system, and technical assistance to utilities seeking improvement and reform in the areas of non-revenue water, network expansion, tariff reform, energy efficiency, master planning, etc.

4. Innovation and private sector participation: Effective water management at the ward and city levels is required to combat the long term water shortage challenges faced by the country.

This will require innovative ideas, private sector participation for resource pooling and scaling up of initiatives. Under the Jal Jeevan Mission (Urban) the promotion of the private sector and the adoption and adaptation of best practices in the water industry will be critical.

5. Support for Clean Ganga: Targeted support to the National Mission for Clean Ganga (NMCG), Jal Shakti Ministry would require coordinated efforts with SBM, AMRUT and other national urban WASH initiatives for leveraging infrastructure built under various programs in the Ganga Basin cities and other tasks as illustrated below.

Tasks and Deliverables :

Task C.4.1.1.2-1: Developing the policy and strategy roadmap for the Jal Jeevan Mission

(U) with a focus on drinking water supply to slums and the Economically Weaker Section (EWS), along with implementation guidelines/advisories for various stakeholders (including states/ULBs and private sector players)

Deliverable: Policy and strategy roadmap report as finalized with MoHUA, follow on quarterly reports summarizing guidelines/advisories developed

Task C.4.1.1.2-2: Formulation of a program monitoring and evaluation framework and its integration with existing frameworks

Deliverable: M&E framework – in the form of report capturing various aspects of the task

Task C.4.1.1.2-3: Knowledge product capturing case studies and good practices on water reuse and promotion of circular economy of water and on desalination solutions

Deliverable: Report on case studies and good practices on water reuse and circular economy of water and desalination solutions

Task C.4.1.1.2-4: Implementation roadmap for the rejuvenation of water bodies such as lakes, ponds, and traditional water bodies for sustainable fresh water supply to the city;

water conservation; rain water harvesting in synchronization with the Jal Shakti Abhiyan

Deliverable: Creation of comprehensive implementation roadmap report

Task C.4.1.1.2-5: Developing an incentive-enabled framework (implementable through and online performance index) on water governance and reforms framework in line with Niti Aayog’s composite water management index, water resource management (to reduce non-revenue water) along with the objectives of the Jal Jeevan Mission, and water conservation efforts under Jal Shakti Abhiyan

Deliverable: Creation of incentive enabled framework

Task C.4.1.1.2-6: Policy support and design for unlocking private sector funds through innovative instruments such as private equity funds, impact bonds and innovative contracting models like the hybrid annuity model, Design, Build, Finance, operate, Transfer (DBFOT), etc. Programs like Namami Gange have pioneered PPP in wastewater sector, and states are executing PPPs in desalination, FSTP and water supply projects. This should also include procurement and contracting approaches to facilitate the same.

Deliverable: Innovative financing report – including case studies, examples from other GoI programs and proposed policy roadmap

Task C.4.1.1.2-7: Creating a platform such as an innovation exchange for encouraging private players to provide digital and technological interventions leveraging use of IOT, AI for improved water management and enabling online capacity building support for private sector and government officials

Deliverable: Functional requirement specifications for an online innovation exchange and capacity building portal

Task C.4.1.1.2-8: Development of a framework for leveraging infrastructure and institutional mechanisms set up in the Ganga Basin cities for STPs, FSTPs, sewer networks etc., to support rejuvenation, cleaning and upkeep of the Ganga River as a sustainable model under NMCG

Deliverable: Framework report

Task C.4.1.1.2-9: Support linking relevant actors and city managers to be exposed to good practices in river rejuvenation, preferably through strategic tie ups with US Universities and technical institutions

Deliverable: At-least one finalized strategic tie up evidenced through a Letter of Intent and/or and MoU

Task C.4.1.1.2-10: Create a knowledge base of efforts being undertaken globally on upkeep of river basins, rejuvenation of large rivers etc. and provide ongoing capacity building of AMRUT cities for wastewater treatment in Ganga Basin

Deliverable: Creation and roll-out of knowledge portal, follow on quarterly reports on capacity building efforts.

C.4.1.1.3 Manage a support team for MoHUA leadership

The Contractor will establish and manage a team of staff dedicated to support MoHUA leadership (Secretary, MoHUA, or his/her designates) that facilitates mission monitoring for water and sanitation outcomes including building of the leadership capacity and overall quality of governance at the Urban Local Body level.

1. Facilitating mission monitoring for water and sanitation outcomes: One of the main outcomes of urban development is sustainable water and sanitation services to urban populations, including the population in urban slums. Since the WASH components under urban missions are fragmented, it is crucial that the leadership have access to tools that will enable a coordinated and comprehensive perspective on WASH outcomes in order to be able to set and drive the national Urban WASH agenda.

2. Strengthening Urban Local Bodies for improved governance systems and urban reforms:

While capacity building is an integral component of missions, it needs augmentation led by the MoHUA. Special capacity building programs should be directly driven and monitored from the Secretary MoHUA office to facilitate urban governance and ameliorate reform performance.

Showcasing good practices in urban governance, and standardizing governance practices through learnings would be strategic.

Tasks and Deliverables:

Task C.4.1.1.3-1: Coordination with different missions to monitor WASH outcomes and derive insights, resulting in a periodic knowledge product capturing good practices and case studies

Deliverable: Quarterly reports capturing good practices and case studies

Task C.4.1.1.3-2: Digital platform for integration of WASH and other urban development data available under different missions

Deliverable: Creation and roll-out of Urban Missions unified data dashboard

Task C.4.1.1.3-3: Define and roll-out standard urban governance systems with a focus on WASH outcomes, through a knowledge product capturing good practices

Deliverable: Report with recommended urban governance systems

Task C.4.1.1.3-4: Conduct cross learning exposure visits across regional headquarters of states to disseminate different aspects of procurement and seek feedback on evolving challenges

Deliverable: Annual report with details of regional exposure visits

Task C.4.1.1.3-5: Develop urban transformation case studies focusing on governance and convergence of various missions under the larger urban transformation agenda

Deliverable: Urban Transformation Report – capturing case studies as per task details

Task C.4.1.1.3-6: Develop and/or leverage a competitive monitoring framework to accelerate urban transformation and convergence for WASH outcomes

Deliverable: Competitive monitoring framework with implementation strategy – in report format

Task C.4.1.1.3-7: Develop and/or scale up solutions to enable urban wash planning

Deliverable: Report on proposed solutions. implementation strategy, drawing from bottom up approaches eg: community WASH, microplanning etc.

C.4.4.2 STATE LEVEL SUPPORT

The Contractor will provide support to selected identified states to accelerate outcomes as envisaged under the successor/revised SBM-U and AMRUT Missions including the proposed Jal Jeevan Mission (Urban). The support will include the following:

1. Support sustaining ODF status in urban areas in the respective states through implementation support, policy roll out and monitoring, the development of ODF sustainability strategies, and capacity building of state officials in implementing various facets of sustainability in

ODF.

2. Accelerating ODF+ and ODF++ through fecal sludge and septage management. This will be done through supporting and advising states in implementing FSSM, support in evaluating technologies and business models, and monitoring outcomes.

3. Development of IEC/BCC framework for the envisaged outcomes under the above-mentioned missions, and support in implementation and monitoring of the same.

4. Support in enabling and scaling up of private sector participation in the entire WASH value chain in the state, including enabling procurement and financing

Tasks and Deliverables:

Task C.4.1.2-1: Methodology for states selection to receive this support and support mechanism proposed

Deliverable: Detailed implementation methodology developed.

Task C.4.1.2-2: Annual Work Plan for each state supported

Deliverable: Annual reports on proposed work plan for each supported state

Task C.4.1.2-3: Policy roadmap and strategy (including IEC/BCC framework) for achieving 100% ODF++ status

Deliverable: Strategy report for each state

Task C.4.1.2-4: State FSSM implementation strategy

Deliverable: Strategy report for each state

Task C.4.1.2-5: Program management and monitoring plan at state level

Deliverable: Strategy and planning report for each state

Task C.4.1.2-6: Capacity building and direct support of ULBs within states to implement

SBM-U/SBM-U 2.0

Deliverable: Quarterly reports summarizing capacity building activities during the period and plan for next period

Task C.4.1.2-7: Leverage work being done by other development partners in WASH space in the state, as far as feasible and practicable

Deliverable: Quarterly report capturing progress on this aspect

Task C.4.1.2-8: Annual State Report synthesizing results and learning from support

Deliverable: Annual report capturing learnings from each state and results

Task C.4.1.2-9: Five State level workshops and/or events on SBM-U/SBM-U 2.0 and/or

AMRUT

Deliverable: Report for each workshop/event

C.4.4.3 CITY LEVEL SUPPORT

The Contractor will develop a pool of resources to provide “on demand” support for cities on accelerating WASH outcomes. This support will range from rapid response to medium term technical assistance across at least 10 cities. At a minimum, this will include:

1. Advising and supporting Mission directorates on all program aspects

2. Preparation of and support for implementation and monitoring of ODF sustainability strategies.

3. Support in implementation and monitoring of FSSM initiatives.

4. Support in procurement, project design and monitoring of FSSM, water supply and wastewater treatment projects

5. Support in developing strategy for achieving 100% coverage with respect to household piped water supply, and connectivity to either network sewerage or FSSM value chain.

6. Support in enhancing and enabling private sector participation in the entire WASH value chain.

Tasks and Deliverables:

Task C.4.1.3-1: Methodology for selection of cities to be provided support

Deliverable: Detailed implementation methodology developed.

Task C.4.1.3-2: Annual Work Plan for city support team

Deliverable: Annual reports on proposed work plan

Task C.4.1.3-3: Annual Report synthesizing results and learning from city support team

Deliverable: Annual reports capturing learnings and results in supported cities

Task C.4.1.3-4: Water Supply/FSSM Strategy toolkit

Deliverable: Development of Water Supply/ FSSM strategy framework and implementation toolkit, including periodic reporting/review

Task C.4.1.3-5: Knowledge products resulting from support provided to these cities

Deliverable: Annual report capturing case studies

Task C.4.1.3-6: Periodic cross learning workshops/other dissemination mechanisms for the supported cities and others to learn from each other

Deliverable: Report on each workshop – at-least one every year

Task C.4.1.3-7: Toolkits for development of standard documentation (such as DPRs etc.)

for WASH interventions

Deliverable: Development of toolkit for FSSM DPR

Task C.4.1.3-8: Ten City level workshops and/or events on SBM-U/SBM-U 2.0 and/or

AMRUT

Deliverable: Report for each workshop/event

C.4.2 GEOGRAPHIC COVERAGE

The Contractor will provide support to the Government of India at National level (SBM, AMRUT, MOHUA Leadership Support); state level in Respective states, as selected; and, support selected cities across India including Ganga Basin Cities (118 priority towns on main stem of River Ganga).

C.4.3 COORDINATION

The Contractor will coordinate with the following GoI officials/stakeholders as part of implementation:

1. The Ministry of Housing and Urban Affairs, GoI: Secretary, JS (SBM), JS (AMRUT/JJM) and their delegates and counterparts as may be decided from time to time

2. National Mission for Clean Ganga: The Director General (NMCG) and his/her delegates

3. Other GoI ministries/department officials as may be required from time to time

4. State Level Support: Principal Secretary/Secretaries of Urban Development in Selected

States, SBM and AMRUT Mission Directors and their delegates

5. City Level Support: Municipal Commissioners (or equivalent officers), SBM Nodal Officers and their delegates

The Contractor is also expected to coordinate and harmonize implementation of activities with various USAD/India WASH Partners and NFSSM Alliance members as may be required to fulfill various parts of this scope of work.

C.4.4 MONITORING, EVALUATION, AND LEARNING

The Contractor must establish and streamline a strong and strategically coherent monitoring, evaluation, and learning throughout all activities that shall be documented in a Monitoring, Evaluation, and Learning (MEL) Plan. The MEL will be updated annually during work planning.

The MEL must include at a minimum the:

• Activity Monitoring and Evaluation Plan

• Standard and custom indicators to monitor activities

• Plan for Managing Data

• Data Quality

The Contractor must establish and sustain a strong monitoring, evaluation, learning, and adaptation approach that effectively tracks activity progress and fosters evidence-based decision making, learning, and iterative adaptation to unexpected results, changes, and findings. USAID’s commitment to rigorous evaluation and evidence-based investments requires that the contractor develop a framework for monitoring, evaluating, learning, and adapting that will support, validate, and/or highlight the need to refine the causal model and related interventions.

The Contractor must report on relevant Water and Sanitation standard indicators on an annual basis. The Contractor should conduct baseline survey to establish a baseline for all indicators which it reports on.

C.4.4.1 MONITORING, EVALUATION AND LEARNING PLAN (MELP)

The Contractor must develop and implement an MELP which includes appropriate output and outcome indicators, and year-to-year deliverables with appropriate linkages to the activity objectives. It must include a detailed results framework that builds on the results framework in the RFP; performance indicator reference sheets, including draft targets for each indicator and information on data quality assurances; and a calendar of key performance management tasks.

The Contractor must also collect all activity level baseline data. Performance indicator reference sheets are required for all indicators.

Evaluation Plan

The contractor must develop an Evaluation plan to be conducted during the implementation of the activity. Considering the nature and importance of the capacity building efforts in this activity, the Contractor will conduct an assessment to measure the impact attributable to the interventions as described in this section. The contractor must present a design and scope of this assessment in the annual work plan and detailed MELP.

Indicators

The Contractor must propose in the MELP for COR approval the best set of indicators to track outputs, outcomes, and impacts across all of the outcome areas in the SOW and demonstrate the activity’s contribution to the Water and Sanitation initiatives. The contractor’s collection and reporting on all indicators must adhere to the indicator requirements, including requirements for all disaggregates, as outlined in the most recent version of the Water and Sanitation, the U.S.

Department of State’s Standard Foreign Assistance Indicators Framework (http://www.state.gov/f/indicators/), or as instructed in writing by the USAID/India COR.

The Contractor must draw from, the indicators highlighted below, all of which come directly from Water and Sanitation and the U.S. Department of State’s Standard Foreign Assistance Indicators Framework. While the Contractor may propose additional indicators, all additional standard, custom and non-required indicators are subject to approval by the COR. Following is the list of indicators:

Water Sanitation Standard Indicator

• HL.8.1-1- Number of people gaining access to basic drinking water services as a result of USG assistance.

• HL.8.1-2- Number of people gaining access to safely managed drinking water services as a result of USG assistance.

• HL.8.1-3- Number of people receiving improved service quality from an existing basic or safely managed drinking water service as a result of USG assistance.

• HL.8.1-4- Number of institutional settings gaining access to basic drinking water services due to USG assistance.

• HL.8.2-1- Number of communities certified as open defecation free (ODF) as a result of USG assistance.

• HL.8.2-2- Number of people gaining access to a basic sanitation service as a result of USG assistance.

• HL.8.2-3- Number of people gaining access to safely managed sanitation services as a result of USG assistance.

• HL.8.2-4- Number of basic sanitation facilities provided in institutional settings as a result of USG assistance.

• HL.8.2-5- Percentage of households with soap and water at a handwashing station commonly used by family members.

• HL.8.2-6- Percent of households in target areas practicing correct use of recommended household water treatment technologies.

• Number of institutions with improved capacity to address WASH issues as supported by USG assistance

• Amount of investment mobilized (in USD) for WASH as supported by USG assistance

Plan for Managing Data

The contractor is must explain how it intends to manage data at all stages, from collection to reporting. If several organizations are jointly managing the activity, the contractor will touch on how data will be consistently handled across the partners to ensure a high quality of aggregated data.

Data Quality

The contractor must ensure quality of all data collected and reported, whether directly by the contractor or through its sub-partners. The contractor must take initiative to build on the best practices and lessons learned from ongoing or completed USAID activities. The contractor must prioritize strengthening the capacity of all sub-partners in M&E to ensure that they collect and report high quality data that follow best practices and comply with Water and Sanitation requirements related to data quality. The contractor must perform regular Data Quality Analyses for indicators with all partners and ensure understanding of Performance Indicator Reference Sheets and application of homogenous data collection processes for shared indicators across sub-partners. The contractor must dedicate sufficient resources to M&E personnel and budgets.

C.4.5 GENDER

Women are…