Attachment 1 Amendment 1 - Track Changes RFP 72052322R00003 Net Zero Cities.pdf

Request for Proposal 72052322R00003 USAID/Mexico Partnership for Net Zero Cities

Amendment 1, Attachment 1

Contents

PART I – THE SCHEDULE

SECTION B – SUPPLIES OR SERVICES/PRICES

B.1 PURPOSE

B.2 CONTRACT TYPE AND SERVICES

B.3 ESTIMATED COST AND FIXED FEE AND OBLIGATED AMOUNT

B.4 PAYMENT OF FIXED FEE

B.5 CONTRACT BUDGET

B.6 INDIRECT COSTS

B.7 REIMBURSABLE COSTS

SECTION C – STATEMENT OF OBJECTIVES

SECTION D – PACKAGING AND MARKING

D.1 AIDAR 752.7009 MARKING (JAN 1993)

D.2 BRANDING AND MARKING POLICY

D.3 BRANDING STRATEGY

D.4 MARKING

SECTION E – INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE14

E.2 INSPECTION AND ACCEPTANCE

E.3 QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

SECTION F – DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE16

F.2 PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE EVALUATION & PERFORMANCE STANDARDS

F.5 KEY PERSONNEL

F.6 REPORTS AND DELIVERABLES

SECTION G – CONTRACT ADMINISTRATION DATA

G.1 TECHNICAL DIRECTION AND DESIGNATION OF RESPONSIBLE USAID

OFFICIALS

G.2 CONTRACTING OFFICER'S AUTHORITY

G.3 ADMINISTRATIVE CONTRACTING OFFICE

G.4 CONTRACTING OFFICER’S REPRESENTATIVE (COR)

G.5 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

G.6 PAYMENT AND INVOICES

G.7 ACCOUNTING AND APPROPRIATION DATA

G.8 CONTRACTOR’S PRIMARY POINT OF CONTACT

SECTION H – SPECIAL CONTRACT REQUIREMENTS

H.1 LANGUAGE REQUIREMENTS

H.2 CONTRACTOR’S STAFF SUPPORT AND ADMINISTRATIVE AND LOGISTICS

ARRANGEMENTS

H.3 AUTHORIZED GEOGRAPHIC CODE

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

ADS 302.3.5.21 (OCTOBER 2014)

H.5 ELECTRONIC PAYMENTS SYSTEM (JULY 2014)

H.6 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS (22 CFR Part 140) 34

H.7 GRANTS UNDER CONTRACT (GUC)

H.8 AUTHORIZED WORK WEEK

H.9 EXECUTIVE ORDER ON TERRORISM FINANCING

H.10 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL

CONFERENCES (JAN 2002)

H.11 CONSENT TO SUBCONTRACT

H.12 SUBCONTRACTING PLAN REPORT FOR INDIVIDUAL CONTRACTS AND

SUMMARY CONTRACTING REPORT

H.13 DEFENSE BASE ACT INSURANCE AND SERVICES

H.14 ENVIRONMENTAL COMPLIANCE (22 CFR 216)

H.15 PERSONNEL COMPENSATION

H.16 DISCLOSURE OF INFORMATION

H.17 LIMITATION ON ACQUISITION OF INFORMATION TECHNOLOGY (APRIL

2018) (DEVIATION NOs. M/OAA-DEV-FAR-20-3c and M/OAA-DEV-AIDAR-20-2c)

(APRIL 2020)

H.18 FAR PART 4.21 PROHIBITION ON CONTRACTING FOR CERTAIN COVERED

TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR

EQUIPMENT (SECTION 889) (DECEMBER 2021)

PART II – CONTRACT CLAUSES

SECTION I – CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE44

I.2 FAR 52.204-21 BASIC SAFEGUARDING OF COVERED CONTRACTOR

INFORMATION SYSTEMS (NOV 2021)

I.3 FAR 52.217-7 OPTION FOR INCREASED QUANTITY-SEPARATELY PRICED

LINE ITEM (MAR 1989)

I.4 FAR 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL1990)

I.5 FAR 52.222-35 EQUAL OPPORTUNITY FOR VETERANS (jun 2020)

I.6 FAR 52.222-36 EQUAL OPPORTUNITY FOR WORKERS WITH DISABILITIES

(JUN 2020)

I.7 FAR 52.223-99 ENSURING ADEQUATE COVID-19 SAFETY PROTOCOLS FOR

FEDERAL CONTRACTORS (OCT 2021) (DEVIATION #M/OAA-DEV-FAR-22-01c)

I.8 FAR 52.247-67 SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT

(FEB 2006)

I.9 FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

I.10 AIDAR 752.229-71 REPORTING OF FOREIGN TAXES (JULY 2007)

I.11 AIDAR 752.245-70 GOVERNMENT PROPERTY—USAID REPORTING

REQUIREMENTS (OCT 2017)

I.12 AIDAR 752.252-2 AIDAR CLAUSES INCORPORATED BY REFERENCE (MAR

2015)

I.13 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)

PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS ... 60

SECTION J – LIST OF ATTACHMENTS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

SECTION K – REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS

OF OFFERORS

K.1 NOTICE LISTING SOLICITATION CLAUSES INCORPORATED BY REFERENCE

K.2 FAR 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998)

K.3 FAR 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2022)

K.4 FAR 52.204-20 PREDECESSOR OF OFFEROR (AUG 2020)

K.5 FAR 52.204-24 REPRESENTATION REGARDING CERTAIN

TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR

EQUIPMENT (NOV 2021)

K.6 FAR 52.204-26 COVERED TELECOMMUNICATIONS EQUIPMENT OR

SERVICES-REPRESENTATION (OCT 2020)

K.7 FAR 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (AUG

2020)

K.8 FAR 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (OCT

2018)

K.9 FAR 52.209-11 REPRESENTATION BY CORPORATIONS REGARDING

DELINQUENT TAX LIABILITY OR A FELONY CONVICTION UNDER ANY

FEDERAL LAW (FEB 2016)

K.10 FAR 52.209-12 CERTIFICATION REGARDING TAX MATTERS (OCT 2020) ... 78

K.11 FAR 52.209-13 VIOLATION OF ARMS CONTROL TREATIES OR AGREEMENTS-

CERTIFICATION (NOV 2021)

K.12 FAR 52.215-6 PLACE OF PERFORMANCE (OCT 1997)

K.13 FAR 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (SEP 2021)81

K.14 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB

1999)

K.15 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

K.16 FAR 52.225-2 BUY AMERICAN CERTIFICATE (MAY 2014)

K.17 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND

CERTIFICATION (JUN 2020)

K.18 FAR 52.230-7 PROPOSAL DISCLOSURE—COST ACCOUNTING PRACTICE

CHANGES (APR 2005)

K.19 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.20 AUTHORIZED NEGOTIATORS

K.21 SIGNATURE

SECTION L –INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFEROR

L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY

REFERENCE

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

L.5 DELIVERY INSTRUCTIONS

L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL95

L.7 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL

SECTION M - EVALUATION FACTORS FOR AWARD

M.1 OVERVIEW

M.2 TECHNICAL PROPOSAL EVALUATION CRITERIA

M.3 EVALUATION OF COST PROPOSALS

M.4 DETERMINATION OF THE COMPETITIVE RANGE

M.5 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED

ENTERPRISES

PART I – THE SCHEDULE

SECTION B – SUPPLIES OR SERVICES/PRICES

B.1 PURPOSE

The purpose of this activity is to reduce greenhouse gas emissions by improving energy efficiency measures in the buildings and transportation sectors, and reducing Short Lived Climate Pollutants (SLCP), thereby helping to put Mexico on a pathway to net zero emissions after 2030, as described in Section C.

B.2 CONTRACT TYPE AND SERVICES

This is a Cost-Plus-Fixed-Fee (CPFF) Completion Type Contract. For the consideration set forth below, the Contractor must perform the services and provide the deliverables or outputs described in Sections C, D, and F in accordance with performance standards specified in Section E.

B.3 ESTIMATED COST AND FIXED FEE AND OBLIGATED AMOUNT

(a) The total estimated cost for the performance of the work required for the five-year period of performance less the increased quantity option, exclusive of fixed fee, if any, is $[TBD]. The estimated cost-plus fixed fee, if any, is $[TBD].

(b) The estimated cost for the performance of the work required for the increased quantity option, if exercised, exclusive of fixed fee, if any, is $[TBD]. The fixed fee for the increased quantity option, if any, is $[TBD]. The estimated cost-plus fixed fee, if any, is $[TBD].

(c) Within the total estimated cost-plus fixed fee (if any) 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 shall not exceed the aforementioned obligated amount.

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

(e) The Contractor must not exceed the aforesaid obligated amount unless authorized by the Contracting Officer pursuant to the clause of this contract entitled "Limitation of Funds" (FAR 52.232-22). In accordance with Section F, the Contractor must not exceed the Pre-Mobilization Budget to be proposed by the Contractor after award until otherwise notified in writing by the Contracting Officer.

B.4 PAYMENT OF FIXED FEE

Pursuant to FAR 16.306(d) Cost-Plus-Fixed-Fee Contracts, payment of the fixed fee will be divided between fixed payments for activity deliverables found in Section F.6 (25 percent) and fixed payments based on the completed performance indicators/targets (75 percent) found in the Fixed Fee Schedule below.

[Selected Offeror’s Fixed Fee Schedule to be inserted at time of award.]

All fixed fee payments are subject to the inspection and acceptance by USAID as specified in Section E of the same and in compliance with the terms of this contract. Upon successful completion of a deliverable, the Contractor must provide evidence of its achievement in accordance with performance standards specified in Section E to the Contracting Officer’s Representative (COR). Upon receipt of concurrence by the COR, the Contractor shall submit an invoice for the amount of the fee associated with the deliverable.

Pursuant to FAR 52.216-8 Fixed Fee, after payment of 85 percent of the fixed fee, further payment of the fee will be withheld until a reserve is set aside not to exceed 15 percent of the total fixed fee or $100,000, whichever is less.

B.5 CONTRACT BUDGET

The total cost (including fixed fee) stated below may not be adjusted without a written modification signed by the Contracting Officer. No amounts in excess of the amounts specified for each line item below shall be billed against the Contract:

CLIN Category Total (USD)

Direct Costs $TBD Subcontracts $TBD Grants Under Contract $TBD Indirect Costs $TBD Fixed Fee $TBD Total Estimated Cost $TBD

CLIN Category Total (USD) 1001 Increased Quantity Option (IQO)

Direct Costs $TBD Subcontracts $TBD Grants Under Contract $TBD Indirect Costs $TBD Fixed Fee $TBD Total Estimated Cost IQO $TBD Total Estimated Cost CLIN 0001 +

a) The inclusion of any costs in the above budget does not obviate the requirement for prior approval by the Contracting Officer of cost items designated as requiring prior approval by any of the terms and conditions of this contract, including the applicable cost principles (see FAR 52.216-7, Allowable Cost and Payment); nor, does it constitute a determination of allowability by the Contracting Officer of any item of cost, unless specifically stated elsewhere in this contract. Also, the Contractor must not adjust these amounts without a written modification signed by the Contracting Officer. The Contractor must not bill any amounts against this contract in excess of the amounts specified for each line item.

b) The Contractor agrees to furnish data that the Contracting Officer may request on costs expended or accrued under this contract.

c) Without the prior written approval of the Contracting Officer, the Contractor must not exceed the total estimated cost set forth in the budget or the total obligated amount, whichever is less.

B.6 INDIRECT COSTS

a) Pending establishment of revised provisional or final indirect cost rates, USAID/Mexico will reimburse allowable indirect costs on the basis of the following negotiated provisional or predetermined rates and the appropriate bases pursuant to the contractor’s current executed Negotiated Indirect Cost Rate Agreement

(“NICRA”):

• [To Be Determined at Award]

Description Rate Base Type Period Indirect Cost [•]% 1/ 1/ 1/

a) Description or type of rate indicated as a percentage, e.g., G&A

- Base, e.g., Direct Labor for Labor Overhead

- Period, e.g., CY 2018

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

c) The Contractor will use the indirect cost recovery rates proposed during negotiations and accepted by the Contracting Officer for the subcontractors that received Contracting Officer consent. The Contractor must not apply different indirect cost recovery rates for the subcontractors without prior written approval of the Contracting Officer.

B.7 REIMBURSABLE COSTS

The U.S. dollar costs allowable will be limited to reasonable, allocable, and necessary costs determined in accordance with FAR 31 (contract cost principles), FAR 52.216-7 Allowable Cost and Payment FAR 52.216- 8 Fixed Fee, 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 – STATEMENT OF OBJECTIVES

USAID will insert the Contractor’s Performance Work Statement at award. Please see SECTION J, Attachment J.1 for the Statement of Objectives (SOO) that informs the development of Section C.

[END OF SECTION C]

SECTION D – PACKAGING AND MARKING

D.1 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.

D.2 BRANDING AND MARKING POLICY

(a) The Contractor must 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 Contracts” (Version from February 5, 2020) at https://www.usaid.gov/sites/default/files/documents/320.pdf ; and USAID “Graphic Standards Manual” available at www.usaid.gov/branding , or any successor branding policy.

(b) Pursuant to ADS 320.3.2 USAID policy requires exclusive branding and marking in USAID direct acquisitions.

(c) “Exclusive Branding” means that the program is positioned as USAID’s, as showcased by the activity name.

(d) “Exclusive Marking” means that contractors may only mark USAID-funded programs, projects, activities, public communications, and commodities with the USAID Standard Graphic Identity and, when applicable, the host-country government or ministry symbol or another U.S.

Government logo.

(e) Prime and subcontractors’ corporate identities and logos must not be used on USAID funded program materials in accordance with USAID policy.

https://www.usaid.gov/sites/default/files/documents/320.pdf http://www.usaid.gov/branding

D.3 BRANDING STRATEGY

In accordance with ADS 320.3.2.1, the Contractor must prepare a Branding Implementation Plan (BIP) and Marking Plan (MP) to address the Branding Strategy. This is to ensure that the Contractor’s Branding Implementation Plan and Marking Plan under this contract are in compliance with the USAID Graphics Standard Manual available at http://www.usaid.gov/branding and any successor branding policy, as detailed in ADS Chapter 320.

USAID policy is to require exclusive branding and marking in USAID direct acquisitions.

“Exclusive Branding” means that the project is positioned as USAID’s, as showcased by the project name (e.g., USAID’s PDP Activity). “Exclusive marking” means contractors may only mark USAID-funded programs, projects, activities, public communications, and commodities with the USAID Standard Graphic Identity and, where applicable, the host-country government or ministry symbol or logo. It is USAID’s policy that contractors and subcontractors’ corporate identities or logos may not be used on USAID-funded program and communications materials.

Objective: To deliver the message that the assistance is from the American People.

Activity Name: “USAID/Mexico Partnership for Net Zero Cities” or until a final name is agreed to with the Contractor.

Positioning: The Contractor will have the responsibility to position USAID’s name in each activity to be supported to ensure that people recognize and identify that those activities are developed by the generous contribution of the US Government and the American people.

Level of visibility: The Contractor will ensure a high level of USAID visibility in most of their activities, at both the national and sub-national levels. Due to the nature of policy and institutional reforms which usually is developed with high level of political will, in the cases where the themes appear as sensitive, low profile will be used. When a sensitive situation needs to be considered, the Contractor will strictly follow USAID recommendations.

Anticipated elements of marking plan: Deliverables to be marked, include products, equipment and inputs delivered; places where project 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 project need to be identified and assessed in order to request any necessary exception from the marking requirement in accordance with ADS 320.3.2.

D.4 MARKING

1. Description of public communications and program materials to be produced as part of the activity that will visibly bear the USAID Identity:

Standard USAID Identity:

2. “This project was made possible by the United States Agency for International Development and the generous support of the American People.”

As laid out in F.6.4 below, the Contractor will prepare the Branding Implementation Plan and Marking Plan as part of an overall communications strategy post award.

[END OF SECTION D]

SECTION E – INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See https://acquisition.gov/browse/index/far for electronic access to the full text of a FAR clause.

NUMBER TITLE DATE

FEDERAL ACQUISITION REGULATION

(48 CFR Chapter 1)

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

a) USAID inspection and acceptance of services, reports, and other required deliverables or outputs will take place at:

USAID/Mexico (U.S. Embassy) Paseo de la Reforma 305, Cuauhtémoc Mexico City, Mexico 06500

b) USAID reserves the right to inspect and accept any services, reports, and other required deliverables or outputs where the services are performed and where reports and deliverables or outputs are produced or submitted. The Contracting Officer’s Representative (COR) listed in Section G has been delegated the authority by the Contracting Officer (CO), to inspect and accept all services, reports, and required deliverables or outputs.

E.3 QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

The progress, success, and impact of the contractor’s performance under this contract will be monitored and evaluated as a part of the overall activity results. The QASP is a management process with the intent of encouraging maximum performance, efficiency, and cost effectiveness by the contractor and can be modified at any time by the Government.

The QASP will be used as a Government monitoring process to enforce the inspection and acceptance clauses of the contract. The QASP may require modification and/or updates after selection for award to reflect the contractor’s known strengths and weaknesses. The QASP is a “living” monitoring process that should be discussed, reviewed and updated regularly but no less than on an annual basis. It is based on the premise that the contractor, not the Government, is responsible for managing and ensuring that quality controls meet the terms of the contract.

https://acquisition.gov/browse/index/far

The Government reserves the right to modify performance standards and/or metrics during the life of this contract, in order to ensure that the right outcomes are being assessed and that the performance standards are appropriate. It is the Contractor’s responsibility to follow up with the COR to ensure the QASP monitoring process is implemented and updated. The QASP is incorporated as a component of the Activity.

[END OF SECTION E]

SECTION F – DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See https://acquisition.gov/browse/index/far for electronic access to the full text of a FAR clause.

FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1)

NUMBER TITLE DATE

52.242-15 STOP-WORK ORDER AUG 1989

52.242-15 STOP-WORK ORDER ALTERNATE I APR 1984

F.2 PERIOD OF PERFORMANCE

(a) The period of performance for this contract is five years and one increased quantity option, if exercised, from the start date of September XX, 2022.

(b) The Contractor must ensure that the Contracting Officer approved adjustments to the original estimated completion date, if any, do not result in costs incurred that exceed the total estimated cost of the contract. Under no circumstances will such adjustments authorize the Contractor to be paid any sum in excess of the contract price.

(c) [Note to Offerors: This language will be added to the award if it is based on the Modified Foreign Assistance waiver. If the apparently successful offeror does not require a waiver, this additional language will be deleted from the award document.]

The period of performance for this contract is subject to the conditions set forth in Section H.18.

F.3 PLACE OF PERFORMANCE

a) The Contractor shall perform the services described in Section C in Mexico.

b) The Contractor may perform certain tasks outside of Mexico (such as in the Contractor’s home offices or elsewhere related to drafting strategy, drafting, or compiling reports, etc.)

as appropriate.

F.4 PERFORMANCE EVALUATION & PERFORMANCE STANDARDS

https://acquisition.gov/browse/index/far

The evaluation of the Contractor’s overall performance shall be conducted jointly by the Contracting Officer’s Representative (COR) and the Contracting Officer and shall form the basis of the Contractor’s permanent performance record with regard to this contract.

F.5 KEY PERSONNEL

A. Key Personnel are defined as those personnel directly responsible for management of the contract, or those personnel whose professional and technical skills are certified by the requiring office as being essential for the successful implementation of the contract activity. The Key Personnel that the Contractor must furnish for the performance of this contract are as follows:

i. Name/Position Title ____[TBD]______________/______[TBD]_________

[Up to five Key Personnel to be inserted at time of award]

B. The personnel specified above are considered to be essential to the work being performed hereunder. The Contractor must remain responsible for providing such Key Personnel for full-time performance for the term of this contract unless otherwise agreed to by the Contracting Officer. Prior to replacing any of the specified individuals, the Contractor must notify both the Contracting Officer and the COR reasonably in advance and submit written justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the program. No replacement will be made by the Contractor without the written consent of the Contracting Officer.

C. Unless failure to provide the designated Key Personnel as specified above is beyond the control, and without the fault or negligence, of the Contractor (e.g., non-acceptance or termination of employment by the individual, illness or death of the individual), failure to provide such Key Personnel as specified above may be considered nonperformance by the Contractor.

D. If the Contractor, at any time, is unable to comply with these requirements, the Contractor shall simultaneously notify, in writing, the Contracting Officer and the COR reasonably in advance of the individual's departure or non-acceptance of employment and shall submit written justification and explanation in sufficient detail (including implications for the CPFF total contract) to permit evaluation of the impact on the program.

E. No replacement of Key Personnel shall be made by the Contractor without the written consent of the Contracting Officer; provided, that the Contracting Officer may ratify in writing such replacement and such ratification shall constitute the consent of the Contracting Officer required by this clause.

F.6 REPORTS AND DELIVERABLES

In addition to the requirements set forth for submission of reports in Sections I, and in accordance with AIDAR clause 752.242-70, Periodic Progress Reports, the Contractor must submit reports, deliverables or outputs as further described below to the COR (referenced in Section G).

F.6.a General Reporting

The Contractor must submit to the COR one electronic copy of the below described plans and reports. All reports must be submitted in English and, on a case-by-case basis and as requested by the COR, in Spanish. All reports are considered drafts until approved as final by USAID.

Draft reports must be submitted in PDF or Microsoft Word (or similar format approved by the COR), with the word “DRAFT” as a watermark or header. Approved reports must be submitted in PDF form. USAID will review and accept all documents produced under this award. COR approval of reports will be provided within 15 calendar days. The Contractor will then have 15 calendar days to incorporate the modifications and resubmit the report for COR approval. COR approval of the revised submission will be within 15 calendar days. This applies to the list below as well as any other studies, reports, briefings, or any other document for public distribution (on a case-by-case basis). Reports that are subject to approval of the Contracting Officer are indicated below.

The Contractor must comply with the schedule for the submission of each report listed below.

NOTE: any changes to the due dates of the following deliverables must be approved by the COR, in advance and in writing. Unless otherwise specified, the reference to days means “calendar days.”

The Contractor is explicitly advised that all activities planned and included in the required deliverables listed below must be within the scope and terms of the contract. Furthermore, the COR’s approval of activities and any corresponding cost estimates included in these deliverables does not supplant the CO’s written approval in cases in which it is required.

The Contractor will promptly notify the Contracting Officer and COR of any problems, delays, or adverse conditions which materially impair the Contractor's ability to meet the requirements of the contract.

F.6.b Deliverables

NO. Report/Deliverable Due Date

1 Rapid Mobilization Plan (updated)

15 calendar days after the Period of Performance start date.

2 Quality Assurance Surveillance Plan (Updated)

45 calendar days after the Period of Performance start date.

Annual Work Plan

a) Year one work plan due 90 days after Period of Performance start date.

b) Subsequent annual work plans due by August 15 (to cover the period October 1 - September 30)

4 Monitoring, Evaluation, and Learning Plan

60 calendar days after the Period of Performance start date.

5 Annual Performance Reports

15 calendar days after the end of the first full USAID fiscal year and annually thereafter.

6 Quarterly Performance Reports

15 calendar days after the end of the Quarter.

7 Quarterly Financial Reports

15 calendar days after the end of the Quarter.

8 Accrual Reports 15 calendar days prior to the close of each fiscal year quarter.

9 Success Stories Monthly 10 Outreach and Events At least two weeks prior to any event requiring

USAID or high-level USG participation.

11 Climate Risk Screening 90 days after the Period of Performance start date.

12 Final Report 30 calendar days prior to Period of Performance end date.

13 Weekly Meetings Weekly 14 Grants Under Contract

Manual 45 calendar days after the Period of Performance start date.

15 Reporting of Foreign Taxes

Yearly, by April 16.

16 Other Reports As requested.

17 Closeout / Demobilization

Plan 180 calendar days prior to the Period of Performance end date.

F.6.b.1 Rapid Mobilization Plan (Updated)

Within 15 days after the award of the start date of the period of performance, the Contractor will submit a rapid mobilization plan for contract activities that covers the first 90 days of the contract period. Once approved, this plan will guide the organization of contract resources and initial activities. This plan must address organization and initial personnel activities;

development of management systems; and operationalizing procedures for implementation and management. An important component of this plan is the section detailing measures for developing a collaborative working relationship with key stakeholders, other donors, and other USAID activities as relevant. Part of this plan should also include discussion on how the Contractor will leverage ongoing efforts in energy efficiency in the buildings and transport sectors and short-lived climate pollutants.

F.6.b.2 Quality Assurance Surveillance Plan (QASP) (Updated)

The Quality Assurance Surveillance Plan (QASP) will outline a surveillance schedule and clearly describe the surveillance methods to be used. The QASP must include roles and responsibilities for surveillance throughout the duration of the contract. The QASP must align with the PWS and focus on the quality and timeliness of the output to be delivered and not just on the steps required or procedures used to provide the service. The QASP must provide for prevention and ready detection of any challenges, and for timely and positive corrective action.

F.6.b.3 Annual Work Plan

Within the first 90 days after the award of the period of performance start date, the Contractor must submit the first annual work plan. This work plan and annual work plans for subsequent years must describe the activities and interventions required to meet the contract outputs. The work plan must describe all contract activities and expected deliverables for the given year.

The annual work plan may include:

• Proposed activities and expected progress towards achieving results and performance measures (tied to indicators agreed upon within the Monitoring, Evaluation, and Learning Plan);

• Timeline for implementation of the year’s proposed activities, including target completion dates;

• Deliverables, targets and anticipated results and key indicators against which the Contractor will be evaluated;

• Information on how activities/tasks will be implemented;

• Key monitoring and evaluation activities planned to be conducted in that work plan year;

• Personnel and staffing requirements to achieve expected outcomes;

• Major equipment to be procured;

• Details of collaboration with subcontractors and other major partners;

• Sustainability plan

• Detailed annual budget plan; and

• Demobilization plan (final year work plan only).

The Contractor will develop work plan activities according to the estimated annual budgets in the contract, and will finalize the work plan based on comments from the COR. The budget for the work plan period must be attached and disaggregated by quarter, Annual work plans are expected to reflect extensive discussions and joint planning exercises at national and subnational levels with relevant stakeholders. The Contractor must receive COR approval of the annual work plan before implementation.

The first work plan and budget will cover the period from period of performance start date through September 30, 2023. Subsequent annual work plans and their budgets will be submitted for COR approval by August 15 and must cover the period of October 1 – September 30.

Depending on changing priorities and conditions, periodic revisions to the work plan may be requested by the COR. Such revisions may be submitted periodically in consultation with the

COR.

F.6.b.4 Monitoring, Evaluation, and Learning (MEL) Plan

As per ADS 201, the Contractor is required to submit for COR approval a Monitoring, Evaluation, and Learning Plan (MEL Plan) for the life of the activity based on its proposed monitoring and evaluation (M&E) strategy for collecting, evaluating and validating data which will be used to measure overall progress towards Mission goals.

The Contractor must submit a draft MEL plan to the COR 60 days after the start of the period of performance for review and comments, so that it is finalized 90 days after the period of performance, using the USAID/Mexico template that the COR will provide upon the award date.

The MEL Plan will specify indicators, targets, and methodologies that will be used to monitor the progress of contract activities towards achieving key milestones and results related to the contract’s objectives, expected outcomes, impacts, and measures of accountability. The MEL Plan covering the complete contract period must be submitted for approval to the COR. Any subsequent changes in the MEL Plan will require COR approval.

The MEL Plan will include performance and context indicators to measure progress towards achieving each of the results included in the contract, anticipated life of the contract and annual targets for these indicators, and a strategy for monitoring these indicators during implementation.

The MEL Plan must include the applicable standard, Foreign Assistance indicators and each standard indicator must have a Data Quality Assessment (DQA) conducted after the first year of data collection, and after three years from the first DQA.

The MEL Plan will include a brief description of proposed evaluations to be managed by the Contractor. These evaluations are considered internal as they are managed internally by the Contractor. Such evaluations will not replace the occasional need for external evaluations conducted by third-party firms and managed by USAID/Mexico apart from this contract. The need for an external evaluation will be determined by USAID/Mexico and the COR will notify the Contractor in the event of such an evaluation. The Contractor’s cooperation with the external evaluation team will be required for these evaluations. This collaboration may include facilitating interviews with counterparts, participants, and beneficiaries and providing all necessary information. For more information on evaluations, please see ADS chapter 201.3.6.

The MEL Plan must also integrate the Collaboration, Learning and Adapting (CLA) approach, per ADS 201 guidance. Per the guidance, a CLA focus helps ensure that programming is coordinated, grounded in evidence, and adjusted as necessary to remain relevant and effective throughout implementation. The MEL Plan should also include annual sessions to reflect on progress to date and inform work planning with USAID and other key partners.

Once the MEL Plan is approved, the Contractor will be required to upload the monitoring data to the Development Information Solution (DIS) within 30 days, to be reviewed and validated by the

COR.

F.6.b.5 Annual Performance Reports

The Contractor will submit a concise annual report that will include progress of major activities, problems encountered, and proposed remedial actions. The Annual Performance Report must follow the same format as the quarterly report, but with additional focus on cumulative accomplishments, progress and problems toward achievement of results, performance measures, indicators and benchmarks tied to the Annual Work Plan and the Activity MEL Plan targets for the quarter and the entire previous fiscal year. The fourth quarterly report will serve as the Annual Performance Report and shall be submitted within 15 calendar days after the end of the first full USAID fiscal year and annually thereafter for each authorized year of performance, which runs from October 1-September 30. In addition, the Annual Performance Report must include an analysis of the performance indicators data and proposed revisions of annual target projections as needed. The report must also contain an executive summary and the following, at a minimum, in addition to the quarterly report components:

● Progress since the last annual report (activities completed, benchmarks achieved, performance standards completed)

● Qualitative and quantitative data required by USAID for the annual Performance Plan and Report (PPR) purposes, a brief listing of the major activities and successes during the year; knowledge sharing and learning activities; information on training activities; listing of sub-grants during the fiscal year; and contributions to cross cutting issues as specified by the Mission.

● Problems encountered and whether they were solved or are still outstanding;

● Proposed solutions to new or ongoing problems;

● Success stories;

● Documentation of best practices that can be taken to scale;

● Environmental Status Report (ESR) section based on the approved Initial Environmental Examination (IEE) and Environmental Mitigation and Monitoring Plan (EMMP) (if required); and

● Quarterly Progress Reports for the quarter covering the annual summary report to be attached as links in an annex.

● List and links of all final and approved reports and data submitted to the DEC during the fiscal year.

● Documentation of best practices that can be taken to scale.

Annual Progress Reports will not exceed 40 pages. Additional annexes may be included if they support findings, conclusions, and recommendations of the core document.

F.6.b.6 Quarterly Performance Reports

The Contractor must submit quarterly performance reports summarizing progress of the major activities in relation to the expected results during the period indicating any problems encountered and proposing remedial actions as appropriate.

Quarterly reports must be submitted within 15 calendar days after the end of the reported fiscal year quarter. The report covering the quarter ending on September 30 of each year must contain information for the whole fiscal year, in addition to the fourth quarter, and will serve as both a quarterly and annual report. (Please see the Annual Performance Reports section above.)

The specific scope and format of the quarterly reports will be determined in consultation with the COR. However, quarterly reports will be structured to highlight achievements, obstacles faced, impact of delays, and any other significant information for the expected results and activities.

They will also contain a summary of the progress made under each of the results, including a detailed description of key activities that took place during the period reported. Additionally, quarterly reports will include an overview of sub-grants, key accomplishments, lessons learned, best practices and any other significant information during the reporting period.

For all training activities financed under this contract, the Contractor must comply with all vetting processes and procedures. Specifically for training activities conducted in the United States, the Contractor must also comply with Automated Directives System (ADS) Chapter 252 and other USAID/Mexico specific policies and procedures governing the compliance to the J1 visa for all trainings that take place in the United States via relevant Embassy or USAID system(s).

Quarterly reports should also include a list of conducted and planned upcoming events (national and sub-national meetings, seminars, training sessions, conferences, and others; international consultant visits; evaluations and assessments; and meetings with key GOM officials and decision-makers), with dates.

F.6.b.7 Quarterly Financial Reports

The Contractor must submit quarterly financial reports, which will contain a summary page which shows spending by program component for the quarter, cumulative spending to date, available funding for the remainder of the activity and any variances from planned expenditures.

If there are significant accrued expenditures for the quarter being reported upon which for some reason have not yet been billed to the contract, the Contractor must include a brief note to that effect, with the specific amount involved, in order to allow USAID to accurately track the activity’s expenditure rate. The fourth quarterly report will be cumulative and will serve as an annual report.

The Contractor also must submit:

● Annual Report of Expendable Property: Annually, no later than 30 days after the end of 12 months of implementation and each year thereafter.

● Report on Foreign Tax: Annually, no later than April 16.

F.6.b.8 Accrual Reports

The Contractor must submit to the COR and other administrative staff as indicated by USAID, on a quarterly basis an estimated accrual report including the following information: (i) total amount obligated; (ii) total amount invoiced; (iii) total amount expended but not yet invoiced;

and (iv) remaining unexpended funds.

F.6.b.9 Success Stories

Approximately one-page success stories to be submitted to the COR. On a quarterly basis, the Contractor will provide up to four one-page summary accounts of notable activities, according to specifications provided by USAID.

F.6.b.10 Outreach and Events

Prior to consultation with the COR, uploading high profile events (as defined by the Mission) to Mission’s events calendars to allow planning for Mission and Embassy representatives and lead time for internal clearances and authorizations.

The Contractor will provide USAID with the appropriate event planning documents such as talking points, briefing checklists, scene-setters, and press releases, in the event that USAID or other U.S. Government officials participate in meetings or public-event related to the implementation of the Contract. Event documents such as talking points, briefing checklists (BCLs), and scene-setters will be provided to USAID with enough advance time to ensure that USAID or other U.S. government officials have sufficient time to prepare for the meeting or public event.

The Contractor must also provide at least one single-paragraph on achievements every two weeks and weekly short excerpts (2-3 sentences on upcoming events i.e., meetings, trainings, workshops, etc.).

The Contractor will be required, on an as needed basis, to arrange project implementation site visits (including all related technical documents) for site visits by high-ranking USG delegations (i.e., the U.S. Ambassador, Congressional Delegations, and USAID senior management).

F.6.b.11 Climate Risk Screening

The Contractor must submit an activity-level, climate risk screening within 90 days after the award of the contract for COR review and approval and integrate a climate risk management plan as part of the annual work plans for moderate and high climate risks.

F.6.b.12 Final Report

In lieu of the fifth annual report, the Contractor must submit the final performance report outlining major accomplishments vis-à-vis the results and activities outlined in Section C, including the following information:

• A summary of all activities undertaken per expected result

• Accomplishments and lessons learned per expected result

• A comparison of the actual results (at all levels) with the expected result established at the beginning of the project per expected result

• Reasons why expected results were not met, if appropriate

• A summary of performance indicators used and an assessment of their relative usefulness

• Recommendations for future interventions to build on Project success

• Other pertinent information, including the final financial status of the Project.

F.6.b.13 Weekly meetings

The Contractor will hold weekly meetings with the COR to discuss reports and resolve problems as required. Minutes from the weekly meeting and action taken on issues raised in the previous meeting will be provided within three days after such meeting.

F.6.b.14 Grants Under Contract (GUC) Manual

The Contractor must submit a draft Grants Under Contract manual. The manual must include the steps that the Contractor will take in order to design, solicit, and award subgrants under the contract. Also, it must state how the Contractor will mitigate any conflict of interest. The manual must also include a template of subgrants and the Mandatory Standard Provisions and the Required as Applicable Standard provisions for the type of subgrants. The Contractor will use ADS 303, 2 CFR 200 and 2 CFR 700 to develop the manual. The Grants Under Contract Manual will be approved by the Contracting Officer.

F.6.b.15 Reporting of Foreign Taxes

See I.10 for requirements.

F.6.b.16 Other Reports

USAID may ask for special and/or ad hoc reporting as needed, within the scope of the Contract.

The substance of this reporting may include specific contract activities, coordination with other USAID Mexico programs, USG agencies, or coordination with other donors. USAID may also request the attendance of the Contractor’s staff for coordination or monitoring meetings. These requests will be in writing and will specify the due date.

F.5.17 Closeout/Demobilization Plan

The Contractor must submit a plan for contract closeout, including all programmatic, administrative, and operational functions, in close coordination with the COR. A draft Closeout Plan must be submitted to the COR and CO for review.

● Brief program summary and program timeline;

● Financial status report, including Financial Status Report timeline, expenditures to date by program element and projected funds to be de-obligated, latest NICRA or indirect cost rates, and anticipated balance of federal funds after expiration of the instrument;

● Review of contract files for audit purposes and final billing to USAID;

● A timeline for completing all required actions, including the submission date of the final property disposition to the COR;

● Contractor phase out plan, including personnel, subcontractors and/or partnerships phase out;

● Dates for final delivery of all goods and services (including status of grants, final report and other deliverables);

● Submission of reports and data to relevant USAID databases;

● Final inventory of residual non-expendable property, which was acquired or furnished under the instrument;

● A property disposition plan for the Contractor, Subcontractors and local NGOs, where applicable, in accordance with government regulations reviewed by the COR and approved by the Contracting Officer;

● Status of all program audit reports per the instrument’s provisions, and final audit report timeline;

● A schedule to address office leases, bank accounts, utilities, cell phones, personnel notification, health insurance, outstanding travel, social payments, household shipments, severance for local staff (if appropriate), vehicle leases/disposition, phone subscriptions;

● Receipt of all final invoices and grant performance reports; and

● Report on compliance with all local labor laws, tax clearances, etc.

The Closeout Plan must be approved by the Contracting Officer.

[END OF SECTION F]

SECTION G – CONTRACT ADMINISTRATION DATA

G.1 TECHNICAL DIRECTION AND DESIGNATION OF RESPONSIBLE USAID

OFFICIALS

The USAID/Mexico Office of Governance, Human Rights and Citizen Security (GRC) shall provide technical oversight to the Contractor through the designated COR. The Contracting Officer shall issue a letter appointing the COR for the contract and provide a copy of the designation letter to the Contractor.

Contracting Officer Address:

Office of Acquisition and Assistance (OAA) USAID/Mexico US Embassy Paseo de la Reforma 305 Cuauhtemoc, Mexico City, Mexico 06500 meicoaa@usaid.gov

Contracting Officer’s Representative Address:

Office of Governance, Human Rights and Citizen Security (GRC) USAID/Mexico US Embassy Paseo de la Reforma 305 Cuauhtemoc, Mexico City, Mexico 06500

G.2 CONTRACTING OFFICER'S AUTHORITY

The Contracting Officer is the only person authorized to make or approve any changes in the requirements of this Contract and notwithstanding any provisions contained elsewhere in this Contract, the said authority remains solely in the Contracting Officer. In the event the Contractor makes any changes at the direction of any person other than the Contracting Officer, the change shall be considered to have been made without authority and no adjustment shall be made in the contract terms and conditions, including price.

G.3 ADMINISTRATIVE CONTRACTING OFFICE

All questions concerning the administration of this award shall be sent to the Contracting Officer. It is the responsibility of the Contractor to inform the Contracting Officer of requests that affect any and all sections of this award. The Contracting Officer is located at:

Office of Acquisition and Assistance (OAA) mexicoaa@usaid.gov

G.4 CONTRACTING OFFICER’S REPRESENTATIVE (COR)

The designated COR will be determined at the time of award and designated per a separate letter.

All technical questions during implementation of the project shall be addressed to the COR.

G.5 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

(a) Technical Directions is defined to include:

(1) Written directions to the Contractor which fill in details, suggest possible lines of inquiry, or otherwise facilitate completion of work;

(2) Provision of written information to the Contractor which assists in the interpretation of drawings, specifications, or technical portions of the work statement;

(3) Review and, where…