RFP_72044018R00004_Amendment_1_(file_2_of_2).pdf

Request for Proposals (RFP) No: 72044018R00004 Amendment 1 Issue Date: March 9, 2018 Registration for Pre-proposal Conference Due Date: March 20, 2018 at 1600 Hanoi time Hanoi Pre-proposal Conference: March 27, 2018 Ho Chi Minh City Pre-proposal Conference: March 29, 2018 Proposal Submission Due Date: May 8, 2018 at 1600 Hanoi time

Subject: USAID/Vietnam – Linkages for Small and Medium-sized Enterprises (LinkSME)

To All Prospective Offerors:

The United States Government, represented by the U.S. Agency for International Development (USAID) through its Mission in Vietnam (USAID/Vietnam), is soliciting proposals from qualified organizations interested in providing the services described in the attached solicitation. USAID/Vietnam anticipates awarding one cost plus award fee type contract with a period of performance of five (5) years. The maximum amount of the contract (including costs and fee) is in the range of $20 million to $29 million, subject to the availability of funds.

We received a number of excellent questions regarding the RFP. The questions and answers are attached to this amendment. We’ve also amended Sections B, F, and L, so please carefully review this revised RFP. Due to the questions, and the large interest from potential private sector partners, we’ve decided to host two pre-proposal conferences. The conferences are a chance for USAID to provide potential offerors with more information on what USAID is seeking and provide an opportunity for potential offerors to network with potential private sector partners. The conferences will be held in Hanoi (March 27, 2018, from 9:00am to 11.30am) and Ho Chi Minh City (March 29, 2018, from 9:30am to 12.00pm).

Participants interested in attending the conference(s) must register by completely filling out the information at the link: https://goo.gl/forms/hovw9mkvxKWsYg5B3. Registration must be submitted on or before the due date mentioned above. Details on the location of the conference(s) will be provided upon confirmation of attendance.

Due to an organizational conflict of interest, the following entities and any of their staff who worked on the associated assessment for this award are not eligible for this competition as either a prime or any tier subcontractor:

1. Management Systems International, a Tetra Tech Company

2. Roberta Mahoney

3. David McCloud

If your organization decides to submit a proposal in response to this solicitation, it must be submitted in accordance with Section L of this RFP. Proposals must be submitted only electronically via e-mail on or before the due dates stipulated above, to Michael Capobianco at: mcapobianco@usaid.gov and Van Trinh at: vantrinh@usaid.gov and must conform to all requirements outlined in the solicitation. USAID reserves the right to award the contract subject to availability of funds. This solicitation in no way obligates USAID to award a contract nor does it commit USAID to pay any cost incurred in the preparation and submission of the proposal.

USAID appreciates the time and effort put into preparing proposals in response to this solicitation.

Sincerely, Michael Capobianco Contracting Officer USAID/Vietnam mailto:mcapobianco@usaid.gov mailto:vantrinh@usaid.gov

RFP No. 72044018R00004 Amendment 1 USAID/Vietnam – Linkages for Small and Medium-sized Enterprises

TABLE OF CONTENTS

PART I – THE SCHEDULE

SECTION B – SERVICES AND PRICE/COSTS

B.1 PURPOSE

B.2 CONTRACT TYPE AND CONTRACT SERVICES

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

B.4 CONTRACT BUDGET AND CEILINGS

B.5 INDIRECT COST

B.6 ADVANCE UNDERSTANDING ON CEILING INDIRECT COST RATES AND FINAL

REIMBURSEMENT FOR INDIRECT COSTS

B.7 PAYMENT OF AWARD FEE

B.8 COST REIMBURSABLE

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 TITLE OF ACTIVITY

C.2 PURPOSE

C.3 BACKGROUND

C.4 OBJECTIVES

C.5 COLLABORATING, LEARNING, AND ADAPTING

C.6 EVALUATION

C.7 MONITORING, EVALUATION AND LEARNING

SECTION D – BRANDING AND MARKING

D.1 MARKING AND BRANDING STRATEGY

D.2 AIDAR 752.7009 MARKING (JAN 1993)

SECTION E – INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

SECTION F – DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

F.2 PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE STANDARDS

F.5 AUTHORIZED WORK WEEK

F.6 DELIVERABLES

F.7 KEY PERSONNEL

SECTION G – CONTRACT ADMINISTRATION DATA

G.1 CONTRACTING OFFICER’S AUTHORITY

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

G.3 CONTRACTING OFFICER’S REPRESENTATIVE (COR)

G.4 PAYING OFFICE

G.5 ACCOUNTING AND APPROPRIATION DATA

G.6 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

G.7 CONTRACTOR’S PRIMARY POINT OF CONTACT

G.8 CONTRACTOR’S PAYMENT ADDRESS

SECTION H – SPECIAL CONTRACT REQUIREMENTS

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

H.2 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

H.3 ADS 302.3.5.19 USAID-FINANCED THIRD-PARTY WEB SITES (NOV 2017)

H.4 ADS 302.3.5.21 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL)

(OCT 2014)

H.5 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)

H.6 AIDAR 752.7007 PERSONNEL COMPENSATION (JUL 2007)

H.7 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION

H.8 AIDAR 752.7031 LEAVE AND HOLIDAYS (OCT 1989)

H.9 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JUL 2007)

H.10 AIDAR 752.222-70 USAID DISABILITY POLICY (DEC 2004)

H.11 AUTHORIZED GEOGRAPHIC CODE

H.12 EXECUTIVE ORDERS ON TERRORISM FINANCING

H.13 GOVERNMENT FURNISHED FACILITIES OR PROPERTY

H.14 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES

H.15 LOGISTICAL SUPPORT

H.16 LANGUAGE REQUIREMENTS

H.17 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION

REQUIREMENTS (APR 2014)

H.18 FRAUD REPORTING

H.19 ENVIRONMENTAL COMPLIANCE

H.20 DISCLOSURE OF INFORMATION

H.21 FACILITIES USED FOR RELIGIOUS ACTIVITIES

H.22 INSURANCE

H.23 SPECIAL REQUIREMENTS ADS 225

H.24 CONSENT TO SUBCONTRACT

H.25 CLOUD COMPUTING (MAY 2016)

PART II – CONTRACT CLAUSES

SECTION I

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

I.2 AIDAR 752.252-1 AIDAR SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (MAR

2015) 47

I.3 FAR 52.204-1 APPROVAL OF CONTRACT (DEC 1989)

I.4 FAR 52.229-8 TAXES – FOREIGN COST-REIMBURSEMENT CONTRACTS (MAR 1990)

I.5 AIDAR 752.209-71 ORGANIZATIONAL CONFLICTS OF INTEREST DISCOVERED AFTER

AWARD (JUN 1993)

I.6 AIDAR 752.242-70 PERIODIC PROGRESS REPORTS (OCT 2007)

I.7 AIDAR 752.7025 APPROVALS (APR 1984)

I.8 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008)

I.9 AIDAR 752.229-71 REPORTING OF FOREIGN TAXES (JULY 2007)

I.10 AIDAR 752.222-71 NONDISCRIMINATION (JUNE 2012)

I.11 AIDAR 752.231-72 CONFERENCE PLANNING AND REQUIRED APPROVALS (AUG 2013)

I.12 AIDAR 752.7036 USAID IMPLEMENTING PARTNER NOTICES (IPN) PORTAL FOR

ACQUISITION (JUL 2014)

I.13 AIDAR 752.7037 CHILD SAFEGUARDING STANDARDS (AUG 2016)

I.14 FAR 52.203-99 PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE CERTAIN

INTERNAL CONFIDENTIALITY AGREEMENTS (APR 2015)

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

SECTION J – LIST OF ATTACHMENTS

PART IV – REPRESENTATIONS AND INSTRUCTIONS

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

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

K.2 FAR 52.203-98 PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE CERTAIN

INTERNAL CONFIDENTIALITY AGREEMENTS-REPRESENTATION (APR 2015)

K.3 FAR 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2018)

K.4 FAR 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (OCT 2015)

K.5 FAR 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JUL 2013)

K.6 FAR 52.209-11 REPRESENTATION BY CORPORATIONS REGARDING DELINQUENT TAX

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

K.7 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999)

K.8 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

K.9 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCT 2015) 63

K.10 FAR 52.230-7 PROPOSAL DISCLOSURE—COST ACCOUNTING PRACTICE CHANGES (APR

2005) 65

K.11 INSURANCE—IMMUNITY FROM TORT LIABILITY

K.12 AUTHORIZED NEGOTIATORS

K.13 SIGNATURE

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

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

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

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

L.4 GENERAL INSTRUCTIONS TO OFFERORS

L.5 PROPOSAL SUBMISSION

L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.7 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL

SECTION M – EVALUATION FACTORS FOR AWARD

M.1 GENERAL INFORMATION

M.2 TECHNICAL EVALUATION CRITERIA

M.3 EVALUATION OF PAST PERFORMANCE

M.4 COST PROPOSAL EVALUATION

M.5 DETERMINATION OF COMPETITIVE RANGE

M.6 SOURCE SELECTION

PART I – THE SCHEDULE

SECTION B – SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to provide technical assistance and other services as described in detail in Section C for the implementation of USAID/Vietnam’s program entitled “Linkages for Small and Medium-sized Enterprises (LinkSME).”

B.2 CONTRACT TYPE AND CONTRACT SERVICES

This is a cost plus award fee (CPAF) contract. For the consideration set forth below, the Contractor must achieve the performance objectives and deliverables or outputs described in this contract.

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

a) The estimated cost for the performance of the work required hereunder, exclusive of award fee, is

$TBD. The maximum award fee is $TBD. Total estimated cost plus all fees, if any, is $TBD.

b) Within the estimated CPAF specified in paragraph a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any) for performance hereunder is $TBD. The Contractor must not exceed the aforesaid obligated amount.

B.4 CONTRACT BUDGET AND CEILINGS

a) The contract budget found herein is based on the Contractor’s original proposal and/or final proposal revision, which was accepted by USAID through award of this contract.

b) The following itemized budget sets forth the estimates for individual line items of cost:

TBD

B.5 INDIRECT COST

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

Description Rate Base Type Period

TBD % 1/ 1/ 1/

1/ Base of Application:

Type of Rate:

Period:

B.6 ADVANCE UNDERSTANDING ON CEILING INDIRECT COST RATES AND

FINAL REIMBURSEMENT FOR INDIRECT COSTS

a) The Contractor must make no change in its established method of classifying or allocating indirect costs without the prior written approval of the Contracting Officer.

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

Description 2018 2019 2020 2021 2022 2023

TBD % % % % % %

c) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates.

d) This advance understanding must not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes in classifying or allocating indirect costs require the prior written approval of the Contracting Officer.

B.7 PAYMENT OF AWARD FEE

The Contractor may earn and be paid all or a portion of an award fee for performance under this contract. The Government's purpose in granting an award fee is to encourage and reward superior contract performance.

The maximum award fee must be made available to the Contractor in five (5) increments, with the first evaluation occurring one year after the award date, and the remaining four evaluations occurring annually, on the anniversary of the award date, as specified below:

Period of Performance Period*

(Start/End date) Amount of Award

Fee Available First Year TBD at Award TBD Second Year TBD at Award TBD Third Year TBD at Award TBD Fourth Year TBD at Award TBD Fifth Year TBD at Award TBD Maximum Award Fee Available

TBD

* Period will be completed upon contract award.

The determination of the award fee, if any, earned by the Contractor must be in accordance with the Award Fee Evaluation Plan (see section J). Unearned award fee cannot rollover from one award fee increment to the next award fee increment.

Payment of any award fee earned by the Contractor must not be subject to the withholding provisions of the clause of this contract entitled "Allowable Cost and Payment" (FAR 52.216-7).

B.8 COST REIMBURSABLE

The U.S. dollar costs allowable will be limited to reasonable, allocable, and necessary costs determined in accordance with FAR § 52.216-7, “Allowable Cost and Payment,” FAR § 52.232-20, “Limitation of Cost,” and FAR § 52.232-22, “Limitation of Funds,” if applicable, and AIDAR 752.7003, “Documentation for Payment.”

[END OF SECTION B]

SECTION C – DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 TITLE OF ACTIVITY

Linkages for Small and Medium-sized Enterprises (LinkSME)

C.2 PURPOSE

Systemic changes in business relationships between Vietnamese Small and Medium-sized Enterprises (SMEs) and Foreign Direct Investment (FDI) companies engaged in Global Value Chains (GVC): Significant increases in the quantity and/or quality of business linkages between Vietnamese SME-firms and global value chains

C.3 BACKGROUND

Vietnam has had one of the world’s fastest rates of growth over the past 20 years (6.4 percent), but its growth rates have been slowing in recent years. This has raised concerns that Vietnam may be falling into the middle income trap. Most researchers conclude that Vietnam is not yet ensnared in the trap, but is at risk and approaching a critical point where it needs to make economic reforms to avoid it.

Given this situation, the GVN has made raising productivity and increasing value-added production a high priority as part of its plan to modernize and grow its economy. One way to do this is by strengthening the linkages between domestic firms and global value chains.

The opening of the Vietnamese economy to foreign investors and labor and capital flows and market access as result of economic integration has provided the momentum for the country to attract foreign direct investment (FDI) and improve its export performance. However, low productivity and lack of skilled labor among local firms has limited value chain linkages while the lack of businesses supporting the export sector has dampened the spillover benefits to Vietnam’s domestic economy.

The low capacity of most local enterprises to meet the required international quality and efficiency standards is daunting to many FDI firms, even though, in theory, local subcontracting should be efficient and cost effective. Local content ratio and local sourcing in most sectors are far below government official targets and local industry expectations.

SMEs account for 98 percent of all Vietnamese enterprises, and the SMEs contribute 45 percent to the GDP. The firms are mostly small and few are able to invest in developing the innovations essential to competitiveness and contributing to the continued growth of national economy.

Currently, only 21 percent of Vietnamese SMEs are a part of global value chains and only 14 percent of SMEs have succeeded in attracting foreign clients or partners, despite the massive amounts of FDI being invested in the country. : Mission analysis suggests, however, that the SME sector is not uniform and that the managerial and production abilities of SME firms, and thus their readiness to successfully engage with global value chains, varies across SMEs and their sectors of operation.

Theory of Change: To achieve systemic changes within SME sectors, focusing on facilitating individual firm level transactions is necessary, but not sufficient. Rather, to achieve systemic changes, sectoral level changes need to occur. If linkages and connections between these most-ready domestic SMEs and GVC firms are facilitated, then more firms will replicate this approach thereby institutionalizing SME-GVC business linkages, strengthening SME-GVC business relationships, and accelerating domestic SME growth.

C.4 OBJECTIVES

At the end of the contract, the contractor must achieve these two objectives:

1. Strengthen the SME-GVC Business Linkage Framework

2. Enhance Vietnamese SMEs’ capacity to supply GVC firms in 5 sectors

To achieve these objectives, the contractor must perform work in a phased approach. All of the contractor’s interventions in performance of this SOW must be approved by the Contracting Officer’s Representative (COR) via the annual work plan (AWP). The AWP is a living document and can be amended on an as needed basis with the approval of the COR.

The AWP must outline the implementation process and detail activity schedules, resource requirements, roles and responsibilities, monitoring, reporting and review procedures. Quarterly monitoring of milestones, which are identified in the AWP, must be conducted by the contractor with progress being reviewed monthly and reported quarterly to the COR. Annual self-assessments by partners and stakeholders, as well as engagement of focus groups and surveys, must be used to identify lessons learned and guide future work plans.

To facilitate sustainability and ownership, the contractor must establish a broadly representative SME advisory group early during Phase 1 which will help steer the activity. This Advisory Group will provide strategic advice to the activity, especially related to sectors in which the contractor engages.

The contractor must develop and establish relationships with private sector firms and associations.

Firms and associations engaged in Vietnam will provide considerable resources to the success of this project, both in capital and expertise. The contractor, using the methodology incorporated from the proposal dated (TBD), must achieve a quantified private sector engagement of ($ TBD).

Phase 1:

During Phase 1, the contractor must complete at least 10 transactions - meaning contracts between GVC and SME firms - and the understanding of why these transactions were successfully completed or not. This will culminate in the development of five sector plans to inform Phase 2. Additionally, during this phase, the contractor will develop partnerships with private sector firms.

During the first phase of the activity, the contractor must focus on learning, developing evidence, and strengthening relationships among relevant stakeholders. The contractor must establish a body of evidence, baseline data, and potential interventions for future years. This body of evidence must include gender as a component - identifying specific barriers faced by women-owned SMEs (which may or may not be acted upon during subsequent phases). During the first phase, the contractor must facilitate at least 10 transactions between GVC and SME firms in 2 sectors, resulting in the SME firm to participate in a GVC. A transaction is defined as a contract between the GVC firms and SME firms. The purpose of facilitating these transactions is to get an understanding of the major constraints to successfully completed transactions at a firm level, but also at a sector level. For the initial transactions, the selected Vietnamese firm must be sophisticated and savvy, and the interventions will allow the firms to make future linkages and participate more actively in the GVCs.

This information must then be used to inform the contractor’s development of a Phase 2 Plan including 5 sector plans, to be implemented during the second phase of the activity. The sector plans must engage in research to inform how the contractor will engage with sectors for future phases.

This may include stakeholder analyses, sectoral reviews, and focus groups to identify key constraints, challenges and opportunities. The Phase 2 plan will be reviewed by the SME advisory group, discussed above, and must be submitted to COR for concurrence and CO for approval prior to implementation of Phase 2.

Phase 2:

USAID/Vietnam realizes that to achieve systemic changes within SME sectors, facilitating individual firm level transactions are necessary, but not sufficient, achievements. Rather, to achieve systemic changes, sectoral level changes need to occur. During Phase 2, the contractor must focus on replication and scaling of the pilot transactions both within the initial two sectors, and to an additional three sectors (5 sectors total) and a continued refinement of the learning and identification of lessons learned, which will inform Phase 3

During the second phase of the activity, the contractor must use Phase 1 research and findings to begin to implement the sector plans developed and approved in Phase 1, in all five sectors. Phase 2 actions must emphasize scalability and replication of successful transactions at a firm level within the five sectors. The contractor’s sectoral interventions can cover a wide range of technical assistance and capacity building areas and must be tailored to specific sectoral needs. The contractor must continue to capture lessons learned and knowledge on constraints facing SMEs relative to establishing links with GVCs, both at a macro and micro level. This information must then be used to inform the contractor’s development plan for Phase 3 activities to eliminate major barriers for SMEs growth in Vietnam and then institutionalize necessary changes. The Phase 3 plan will be reviewed by the SME advisory group, discussed above, and must be submitted to COR for concurrence and CO for approval prior to implementation of Phase 3.

Phase 3:

Upon approval to move into Phase 3, the contractor must implement the approved plan for Phase 3 during the final 18 months of the contract. During Phase 3, the contractor must apply lessons learned from the previous two phases, to implement a plan to eliminate major barriers affecting SMEs in Vietnam. The contractor must focus on reducing major barriers limiting SME growth across Vietnam. In contrast to Phases 1 & 2, which are sector specific, Phase 3 must help to institutionalize key reforms and changes beyond the initial five sectors. Understanding national-level constraints to SME growth and SME-GVC linkage development, and identifying and institutionalizing reform actions and processes to remove those constraints, will help strengthen the institutional framework for SME growth across the nation.

C.5 COLLABORATING, LEARNING, AND ADAPTING

USAID/Vietnam is committed to obtaining stakeholder input to our activities, coordinating all implementing partners’ efforts for greater efficiency and effectiveness, and measuring high-level indicators in an effort to apply the following Monitoring, Evaluation and Learning objectives:

● Use lessons learned to strengthen activity implementation and foster greater replication/scaling.

● Evaluate the level of collaboration with other donor programs and improve synergies.

To facilitate coordination, USAID/Vietnam or one of the implementing partners (on rotating basis) may convene semi-annual meetings which may include sharing of summary annual work-plans, bi-annual summary reports, best practices, and challenges. The contractor is required to attend the above mentioned meetings unless directed otherwise by the COR. The contractor may be required to convene and organize one of the above mentioned meetings. Further, the contractor must engage the SME advisory group on a regular basis.

C.6 EVALUATION

According to USAID’s Evaluation Policy and Automated Directive System (ADS) 203.3.2.3 USAID must evaluate all large and pilot activities and the evaluation has to be included in the activity design.

If USAID/Vietnam decides to conduct a rigorous evaluation of this activity, the contractor must comply with USAID requirements regarding the evaluation, including selection of sites/beneficiaries, collection of data (including baseline, implementation progress, and impact as may be determined), and work closely with USAID and the Evaluation Contractor to integrate the evaluation into the AWP. Although the impact evaluation, if undertaken, will only affect a fraction of the activity, it should be noted that, until the evaluation is completed, any major shifts in programming in regard to those components will require written approval from the COR.

C.7 MONITORING, EVALUATION AND LEARNING

LinkSME will contribute toward the achievement of Development Objective (DO) 1 under USAID/Vietnam’s Country Development Cooperation Strategy: “Governance enhanced to facilitate broader-based, sustainable growth.” LinkSME contributes to USAID/Vietnam’s Trade and Growth Project under DO 1, with the purpose of developing replicable approaches to facilitate a more attractive and predictable trade and investment climate for domestic and international investors.

Indicators that must be measured include:

● Number of linkages within targeted industries and sectors

● Number of replicated linkages outside target firms

● Value, volume, and efficiency of production among assisted firms

● Key characteristics of SME growth-ready firms identified

A final list of indicators, including mandatory Foreign Assistance Framework Standard Indicators, will be confirmed in collaboration with USAID after the award. USAID will work with the contractor to select specific indicators, benchmarks and targets, and establish baseline data against which subsequent performance can be measured. The contractor must track indicators within the Monitoring, Evaluation, and Learning (MEL) Plan (described in Section F). USAID will work with the contractor to develop specific indicators, benchmarks and targets, and establish baseline data against which subsequent performance can be measured. All indicators must be disaggregated by participant gender and age, as well as firm size, sector, and location, to understand the extent to which various populations benefit(ed) from the project.

[END OF SECTION C]

SECTION D – BRANDING AND MARKING

D.1 MARKING AND BRANDING STRATEGY

The Contractor shall submit a final branding implementation plan and marking plan no later than 30 days after award. The plan must be in accordance with ADS 320.3.2. The plan must be submitted to the COR for approval.

The Contractor shall comply with the requirements of the policy directives and required procedures outlined in USAID Automated Directive System (ADS) 320.3.2 “Branding and Marking in USAID Direct Contracting” at http://www.usaid.gov/policy/ads/300/320.pdf; and USAID “Graphic Standards Manual” available at www.usaid.gov/branding or any successor branding policy.

Anticipated elements of marking plan:

Deliverables to be marked include products, equipment and inputs delivered; places where program activities are carried out; external public communications, studies, reports, publications and informative and promotional products; and workshops, conferences, fairs, media related activities and any such events. Publications authored by Contractors or other non-USAID employees must include the following disclaimer on the title page: “The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.” Threats and restrictions to the security of the program need to be identified and assessed in order to request any necessary exception from the marking requirement in accordance with ADS 320.3.2.

USAID’s web page contains the electronic version of the Graphic Standards Manual that is compulsory for all Contractors. Marking under this contract shall comply with the “USAID Graphics Standards Manual” available at http://www.usaid.gov/work-usaid/branding/acquisition-awards.

D.2 AIDAR 752.7009 MARKING (JAN 1993)

a) It is USAID policy that USAID-financed commodities and shipping containers, and project construction sites and other project locations be suitably marked with the USAID emblem. Shipping containers are also to be marked with the last five digits of the USAID financing document number.

As a general rule, marking is not required for raw materials shipped in bulk (such as coal, grain, etc.), or for semi-finished products which are not packaged.

b) Specific guidance on marking requirements should be obtained prior to procurement of commodities to be shipped, and as early as possible for project construction sites and other project locations. This guidance will be provided through the cognizant technical office indicated on the cover page of this contract, or by the Mission Director in the Cooperating Country to which commodities are being shipped, or in which the project site is located.

c) Authority to waive marking requirements is vested with the Regional Assistant Administrators, and with Mission Directors.

d) A copy of any specific marking instructions or waivers from marking requirements is to be sent to the Contracting Officer; the original should be retained by the Contractor.

[END OF SECTION D]

SECTION E – INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

In accordance with FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract, the following contract clauses are hereby incorporated by reference, with the same force and effect as if they were given in full text. See http://acquisition.gov/far/index.html and http://www.usaid.gov/sites/default/files/documents/1868/aidar_0.pdf for electronic access to the full text of a clause.

NUMBER TITLE DATE

FAR (48 CFR Chapter 1)

52.204-14 SERVICE CONTRACT REPORTING

REQUIREMENTS OCT 2016

52.246-3 INSPECTION OF

SUPPLIES--COST-REIMBURSEMENT MAY 2001

52.246-5 INSPECTION OF

SERVICES--COST-REIMBURSEMENT APR 1984

E.2 INSPECTION AND ACCEPTANCE

USAID inspection and acceptance of services, reports and other required deliverables or outputs shall take place at principal place of performance (Vietnam) or at any other location where the services are performed and reports and deliverables or outputs are produced or submitted. Unless otherwise stated, the designated Contracting Officer's Representative (COR) has been delegated authority to inspect and accept all services, reports and required deliverables or outputs.

[END OF SECTION E]

SECTION F – DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

In accordance with FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract, the following contract clauses are hereby incorporated by reference, with the same force and effect as if they were given in full text. See http://acquisition.gov/far/index.html and http://www.usaid.gov/sites/default/files/documents/1868/aidar_0.pdf for electronic access to the full text of a clause.

FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1)

NUMBER TITLE DATE

52.242-15 STOP-WORK ORDER AUG 1989

ALTERNATE I APR 1984

F.2 PERIOD OF PERFORMANCE

The period of performance is five (5) years from date of contract award.

F.3 PLACE OF PERFORMANCE

The place of performance is Vietnam.

F.4 PERFORMANCE STANDARDS

USAID will evaluate the Contractor’s performance in accordance with FAR 42.15, corresponding USAID procedures, and the Contractor’s adherence to the annual work plan, reporting against its Activity Monitoring, Evaluation, and Learning Plan (AMELP), and quality reports described in Section F.6 below. USAID will evaluate the Contractor’s performance during the initial, intermediate, and final periods of the contract in accordance with the Contractor Performance Assessment Reporting System (CPARS). The Contracting Officer and the COR will jointly conduct the evaluation of the Contractor’s overall performance. This evaluation will form the basis of the Contractor’s permanent performance record under this contract.

F.5 AUTHORIZED WORK WEEK

The standard work week is from Monday through Friday. No overtime or premium pay is authorized under this Contract. The Contractor is authorized up to a five-day work week for long-term staff. A six-day work week may be authorized on a case by case basis with the prior written approval of the designated Contracting Officer (CO).

F.6 DELIVERABLES

In addition to other required reports and deliverables in this contract, the Contractor must deliver the following for the approval of the Contracting Officer’s Representative (COR). The Contractor will allow at least 10 business days for review and comments from the COR on any draft report submission.

All reports and plans are subject to written approval by the COR, except for the Closeout plan and the Property Disposition plan, and the Phase 1, 2, and 3 Work Plans, which are subject to Contracting Officer’s approval.

Note: USAID’s fiscal year starts on October 1 and ends on September 30. Four fiscal quarterly periods begin on October 1, January 1, April 1 and July 1.

a. Quarterly Progress and Financial Report The Contractor shall submit a combined Quarterly Progress and Financial Report no later than thirty

(30) days following the end of each fiscal quarter. The reports shall be no more than twenty (25) pages and reflect the structure of the Annual Work Plan and address at least the following points:

● Activities completed under each planned intervention;

● Activities to be undertaken in the following quarter;

● Outputs accomplished and results realized in the quarter;

● Any challenges during the implementation period and proposed solutions.

● Private Sector Engagement: (1) Description of where private sector contributions have been sought and received, and how these contributions have contributed to the achievement of the overall objectives; (2) Report on the value of private sector contributions (by the quarter, and cumulatively - both financial and in-kind);

● Collaboration and coordination with other relevant USAID and donor activities and GVN;

● Aggregate outputs accomplished and results realized since project inception;

● Budget execution, clearly showing actual versus planned expenditures, and a forecast of the expenditures for the remainder of the project;

● Demonstration of steps taken to analyze the Contractor’s own progress against desired results and to devise solutions, propose course corrections, and identify whether new stakeholders should be engaged to ensure program success;

● Electronic copies of all reports, success stories, and other relevant documents prepared during the quarter (to be submitted as attachments);

● Total funds committed by date by USAID into the Contract;

● Total funds expended by the Contractor to date, including a breakdown to the budget categories provided in the Contractor’s cost proposal and between Technical and Administrative services, with additional detail to be provided upon request by the COR;

● Pipeline (committed funds minus expended funds).

The financial report must show, for the contract and any subcontract, costs to date, the budget estimate for the upcoming quarter, variations from previous estimates (which should be highlighted on any spreadsheets and should be addressed in a narrative if significant), and the estimated cost to complete the quarter. Actual cost information must be submitted in the format of the budgets submitted in the Contractor’s cost proposal. The financial report format will be determined by the COR after consultations with the Contractor, except as specified above. Specially, the report shall contain at a minimum the following information:

b. Annual Progress Report The fourth Quarterly Progress Report shall constitute the Annual Progress Report. It is due to USAID/Vietnam on October 31 of each year. It must be a comprehensive narrative report summarizing the previous year’s activities and accomplishments using the annual work plan as a starting point, and will serve as a key tool by which USAID/Vietnam monitors the performance of the Contractor. The report shall include status of personnel, project activities, and will summarize services delivered and progress towards achieving results identified in the Statement of Work. It shall document both successes and failures of the interventions, and discuss reasons for shortcomings and recommend actions to overcome them. It will also include an updated risk assessment examining the project’s critical assumptions and associated risks, and recommend changes based on monitoring results. For each action, the Contractor shall designate responsible parties and establish a timeframe for completion. The report must also include Annexes as follows:

● A comparison of project accomplishments to date vs. project benchmarks and overall progress

● Objectives, using qualitative and quantitative data as appropriate.

● Annual financial status reports.

● Project bibliography, including reports prepared by the Contractor and others.

● A list of all technical assistance activities, including names of specialists, purpose and duration of consultations, achievements, and problems encountered.

● A list of all in-country workshops, forums, trainings organized and numbers of participants.

● A list of equipment and materials purchased, including items purchased, destination of equipment and amount expended.

c. Annual Work Plan The Annual Work Plan (AWP) will form the basis for activities to be initiated in each year of the contract. For the purpose of the Annual Work Plan, “Annual” is defined according to the U.S.

Government fiscal year. The initial work plan covering the first year of the contract period (until September 30th) shall be submitted to USAID/Vietnam for approval within 30 days of the award of the contract and include plans for mobilization. This plan shall include a description of the activities the Contractor intends to implement during the first year of the contract through September 30, 2018.

Subsequent Annual Work Plans covering the fiscal year must be submitted by September 1. The COR will collaborate with the Contractor in determining appropriate activities for each year. The COR will review the AWP and provide comments within two weeks of receipt. The Contractor shall incorporate these comments and provide a revised version within one week of receiving USAID’s comments. The Work Plan will include major activities that will be undertaken, rationale behind these activities, anticipated results of these efforts and how they will be measured, projected budget per objective, costs of short-term assistance and training to be delivered during the year; the kind and cost of commodities to be provided, and a timeframe for when activities will commence and end.

Details of collaboration with other USAID or donor-funded implementing partners must also be included, as well as planned activities to promote Private Sector Engagement. Modifications that respond to changed conditions may be made; however, major modifications to each Annual Work Plan are subject to the approval of the COR.

d. Phase 2 Plan:

Within eighteen (18) months of award, the contractor must submit a Phase 2 Plan to the COR, which will ultimately be approved by the CO. This Plan must identify how the contractor will implement Phase 2, to be determined in consultation with the COR and SME Advisory Group. It must be comprised of five sector plans, building off of the analysis developed during the proposal period.

The five sectors will be the initial two sectors identified in Phase 1, and then the three most promising sectors (from the five selected in the initial proposal) where the contractor has the greatest likelihood to achieving success. The Plan must explain the rationale for continued selection of the sectors, how each sector operates, and an analysis of relationships within the selected sector. Further they Phase 2 plan must identify how lessons learned during the initial phase will be applied and scaled to remaining sectors.

e. Phase 3 Plan:

The contractor must submit a Plan for Phase 3 of the contract, no later than the beginning of the 40th month of the award. The contractor must implement the final phase during the last 18 months of the contract (months 42-60). This plan must demonstrate how the contractor will facilitate broad, systemic changes in changes in the SME sector, based on analyses conducted during the first two phases of the contract. As with Phase 1 and Phase 2 workplans, the COR will provide concurrence, and the CO will approve the document.

f. Activity Monitoring, Evaluation and Learning Plan Thirty (30) days after award, the contractor must submit a draft version of the Monitoring, Evaluation and Learning Plan (together with the work plan). USAID shall review the draft and provide comments within 30 days after receipt of the draft Monitoring, Evaluation and Learning Plan. The

Contractor shall submit a final Monitoring Evaluation and Learning Plan no later than 15 days after receipt of comments from USAID. The MEL Plan shall be updated and revised as needed in collaboration with USAID. The MEL Plan will include specific benchmarks and indicators for measuring progress for all activities that are ongoing, including results outlined in the Statement of Work, risks and assumptions set forth in the risk analyses, and USAID/Vietnam’s overall Performance Monitoring Plan along with additional benchmarks and indicators developed by the contractor. Additionally, the MEL Plan must address how the Contractor will monitor and collect data on private sector engagement including: (1) Description of where private sector contributions have been sought and received, and how these contributions have contributed to the achievement of the overall objectives; (2) Report on the value of private sector contributions (by the quarter, and cumulatively - both financial and in-kind). The plan will specify how data will be collected and analyzed. The MEL Plan will also highlight how data collected will show the influence and effectiveness of program approaches and methodologies employed and how the data will contribute toward enhancing understanding of promising practices in the sector. All data should be disaggregated by gender and age, whenever applicable.

g. SME Advisory Group Ninety (90) days after award, the contractor must commence the SME Advisory Group, comprised of relevant private and public sector representatives, which will serve to provide strategic direction to the LinkSME contract. The Contractor must ensure this Advisory Group meets no less than three times per year following its inception.

h. Short-Term Consultant Reports, Technical Reports, Developed Materials The Contractor shall provide electronic copies of all technical reports including analyses, policy recommendations, comparative studies, etc. to the COR as these are developed, at least on a quarterly basis, when submitting quarterly reports. The Contractor must submit copies to USAID/Vietnam of selected materials developed under the project, including but not limited to, course curricula and training materials; conference reports; and procedure and operating manuals. For reports and materials in Vietnamese, the Contractor must provide a detailed summary, including key recommendations and findings.

i. Baseline and Gender Assessments One hundred and eighty days (180) after the MEL plan has been approved, the contractor must complete a baseline assessment and gender assessment for the selected sectors. The Contractor may select the tool or tools for the baseline assessment of the selected sectors. The assessment must identify the current baseline of the sector including participation of SMEs in GVCs, the target for linkages that the Contractor will reach, the interventions needed to address the constraints identified, and assess the feasibility of addressing each constraint in a sustainable manner. The assessment must address the probability of realizing independent investment and replication of project successes as well as indicate the degree to which successes are scalable independent of project interventions. The Contractor must provide updates on the baseline assessment over the course of project implementation and consider the implications of this assessment for project interventions in quarterly reports or in discussion with the COR.

j. Demobilization Plan The Contractor must submit a demobilization plan to the COR for approval 6 months before the end of the contract. The plan will include an illustrative property disposition plan, a plan for phase out of in-country operations, a delivery schedule for all reports or other deliverables required under the contract, and a timetable for completing all required actions in the demobilization plan, including the submission date of the final disposition plan for the CO’s approval. USAID reserves the right to direct or redirect any proposed disposition.

k. Final Contract Completion Report At least thirty (30) days prior to the end of the contract, the Contractor must prepare and submit one electronic version (as a single MS Word file) of the Contract Completion Report to the COR, which summarizes the accomplishments of this contract, methods of work used, best practices, lessons learned, and recommendations regarding unfinished work and/or project continuation, and the financial status of the contract. The final Completion Report shall also contain an index of all reports and information products produced under this contract. Along with the Completion Report, an electronic depository will be submitted, containing all written documents, reports and presentations.

The depository shall be organized in a user-friendly system.

The Contractor must submit the following outputs to the Contracting Officer Representative (COR) or his/her Alternate. Each of the reports shall be submitted electronically using Microsoft Word, Excel, or PowerPoint software. All reports shall be written in plain, grammatically correct English.

All reports are subject to approval by the COR. Written reports will be in the form of regular reports (as described below) as well as ad hoc written reports for which content and length will be determined jointly by the COR and the Contractor. The term “day” is defined as calendar day unless otherwise stated.

F.6.b. Deliverables

Report/Deliverable Date Due/Delivery Delivery

A. Quarterly Progress and Financial Report

Submission no later than thirty (30) days following the end of each fiscal quarter.

Report shall be no more than twenty five

(25) pages.

Electronically

COR/ACOR

B. Annual Progress Report

Fourth Quarterly Progress and Financial Report shall constitute the Annual Progress Report and said report is due on or before October 31.

Electronically

COR/ACOR

C. Annual Work Plan The initial work plan covering the first year of the contract period (until September 30th ) must be submitted within 30 days of award of the contract.

Subsequent work plans must be submitted on or before September 1.

Electronically

COR/ACOR

D. Phase 2 Plan Phase 2 Plan must be submitted within the first eighteen (18) months of the award.

Prior to submission, the contractor must consult with the SME Advisory Group.

Electronically

COR/ACOR

CO

Report/Deliverable Date Due/Delivery Delivery

E. Phase 3 Plan Phase 3 Plan must be submitted within the first forty (40) months of the award. Prior to submission, the contractor must consult with the SME Advisory Group.

Electronically

COR/ACOR

CO

F. Monitoring, Evaluation and Learning Plan

Thirty (30) days after award of the contract a draft version of the Monitoring, Evaluation and Learning Plan must be submitted. The Contractor shall submit a final Monitoring Evaluation and Learning Plan no later than 15 days after receipt of comments from USAID.

Electronically

COR/ACOR

G. SME Advisory Group Commence within 90 days from the effective date of the contract, and meets at least 3 times annually.

Electronically

COR, ACOR

H. Short-Term Consultant Reports, Technical Reports, Developed materials.

Finished products will be submitted with the Quarterly Progress and Financial Report, or as requested by COR.

Electronically

COR, ACOR

I. Baseline and Gender Assessments

One hundred and eight days (180) after the MEL plan has been approved, the contractor must complete a baseline assessment and gender assessment for the selected sectors.

Electronically

COR, ACOR

J. Demobilization Plan Submission is due within 6 months prior to the end of the contract

Electronically CO

K. Final Contract Completion Report

Final copy due 30 days prior to contract end date.

Electronically

COR, ACOR

F.7 KEY PERSONNEL

(a) The contractor must furnish three (3) positions deemed key personnel for the performance of this contract. One of the positions must be Chief of Party. The contractor must explain how each position will contribute to the success of the contract, and the minimum requirements for the position, as well as general roles and responsibilities. Once positions are designated as key personnel, and are essential to the work being performed under this contract.

Key Personnel are expected to have the requisite skill set to implement the approach set forth in Section C, achieve sustainable results and coordinate and cooperate with a wide range of stakeholders as well as complementary donor-funded and GVN programming. The skill set for the project implementation team must include – across the key personnel positions – at a minimum the following skills:

● Systems approach to promote SMEs to engage in GVCs;

● Demonstrated experience in managing relationships with private sector brands, associations, and relevant public sector entities;

● Experience with adaptive management approaches;

● Effective approaches to local capacity development.

No Key Personnel Position

1 Chief of Party

2 TBD

3 TBD

(b) The key personnel identified above are considered essential to the work being performed under this contract. The contractor must remain responsible for providing such key personnel for full-time performance for the term of…