Sol_72067418R00004_Amendment_1.pdf

Date Issued: December 19, 2017 Questions due date: January 10, 2018, 4:00 PM Local Pretoria Time Closing Date: February 12, 2018 Closing Time: 4:00 PM Local Pretoria Time

SUBJECT: Request for Proposals (RFP) No.: 72067418R00004 REFERENCE: USAID’s Resilient Waters

The U.S. Agency for International Development (USAID) is seeking proposals from qualified organizations interested in providing technical assistance and services as described in the attached solicitation.

This procurement will be conducted through full and open competition, for which the procedures for “contracting by negotiation, trade-off process” as set forth in the Federal Acquisition Regulation (“FAR”) Part 15 will govern. All types of organizations (large or small commercial for profit firms, educational institutions, and non-profit organizations) meeting USAID source and nationality geographic code 935 are eligible to compete. The North American Industry Classification System (NAICS) Code for this action is 541990 — All Other Professional, Scientific, and Technical Services.

USAID/Southern Africa intends to award a cost-plus-fixed-fee (CPFF) completion type contract for a five (5) year period from the date of award with an estimated cost in the range of $32 million to $37 million. Although an estimated range is provided, offerors should propose costs that they believe are realistic and reasonable for the work described in their proposal. The most effective approach for achieving the expected results is encouraged and the award will be made to the Offeror whose proposal offers the best value to the Government considering technical and cost factors (see Section M) of the solicitation.

Offerors are encouraged to read the entire solicitation. Pay special attention to Section L – Instructions to Offerors and Section M – Evaluation Criteria. Any blanks in Sections B through J will be completed by the Contracting Officer before award. Offerors must comply with FAR Clause 52.204-7, System for Award Management and adhere to the requirements set forth in Section K – Representations, Certifications, and Other Statements of Offerors.

Amendments to this solicitation will be made available through the Federal Business Opportunities website at http://www.fbo.gov. It is the Offeror’s responsibility to check this site periodically for official updates and amendments to the solicitation. This solicitation in no way obligates USAID to award a contract, nor does it commit USAID to pay any costs incurred in the preparation and submission of a proposal in response hereto. Furthermore, the Government reserves the right to reject any and all offers, if such action is considered to be in the best interest of the Government.

By email only, please submit all questions and requests for clarifications about this RFP no later than the deadline above to proposals@usaid.gov and npiper@usaid.gov; include the RFP number in the email subject line. Oral instructions, answers or guidance from any USAID source prior to the award of the contract shall not be binding.

The Agency point of contact for this solicitation is Nathan Piper, Contracting/Agreement Specialist, at npiper@usaid.gov.

Sincerely, Camille Hasha Regional Contracting Officer

Request for Proposal (RFP) 72067418R00004 USAID’s Resilient Waters

SF 33

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 COST REIMBURSABLE

SECTION C – STATEMENT OF WORK

C.1 OBJECTIVES

C.2 BACKGROUND

C.3 RELATIONSHIP TO MISSION AND AGENCY POLICIES AND STRATEGIES . 13

C.4 STATEMENT OF WORK

C.5 GENERAL PROJECT IMPLEMENTATION GUIDELINES AND CONSIDERATIONS

SECTION D – PACKAGING AND MARKING

D.1 752.7009 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 REFERENCE30

E.2 INSPECTION AND ACCEPTANCE

E.3 MONITORING, EVALUATION, AND LEARNING PLAN

SECTION F – DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE31

F.2 PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE EVALUATION

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 AUTHORIZED WORK WEEK

H.5 EXECUTIVE ORDER ON TERRORISM FINANCING

H.6 GRANTS UNDER CONTRACT (GUC)

H.7 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL

CONFERENCES (JAN 2002)

H.8 CONSENT TO SUBCONTRACT

H.9 SUBCONTRACTING PLAN REPORT FOR INDIVIDUAL CONTRACTS AND

SUMMARY CONTRACTING REPORT

H.10 DEFENSE BASE ACT INSURANCE AND SERVICES

H.11 USAID-FINANCED THIRD-PARTY WEB SITES (AUGUST 2013)

H.12 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL)

(OCTOBER 2014)

H.13 ENVIRONMENTAL COMPLIANCE (22 CFR 216)

H.14 PERSONNEL COMPENSATION

H.15 ELECTRONIC PAYMENTS SYSTEM (JULY 2014)

H.16 EXCHANGE VISITORS AND TRAINING

H.17 DISCLOSURE OF INFORMATION

H.18 NON-EXPENDABLE PROPERTY PURCHASES

H.19 OPERATING CONSTRAINTS

H.20 CLOUD COMPUTING (MAY 2016)

PART II – CONTRACT CLAUSES

SECTION I – CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE64

I.2 FAR 52.203-13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT

(OCT 2015)

I.3 FAR 52.204-21 BASIC SAFEGUARDING OF COVERED CONTRACTOR

INFORMATION SYSTEMS (JUN 2016)

I.4 FAR 52.222-35 EQUAL OPPORTUNITY FOR VETERANS (OCT 2015)

I.5 FAR 52.222-36 EQUAL OPPORTUNITY FOR WORKERS WITH DISABILITIES

(JUL 2014)

I.6 FAR 52.222-50 COMBATING TRAFFICKING IN PERSONS (MAR 2015) Alternate I

(Mar 2015)

I.7 FAR 52.247-67 SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT

(FEB 2006)

I.8 FAR 252.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

(FEB 1998)

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

I.10 FAR 52.222-2 -- Payment for Overtime Premiums (Jul 1990)

I.11 AIDAR 752.229-71 REPORTING OF FOREIGN TAXES (JULY 2007)

I.12 AIDAR 752.245-70 GOVERNMENT PROPERTY—USAID REPORTING

REQUIREMENTS (JUL 1997)

I.13 AIDAR 725.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)

I.14 752.7101 Voluntary Population Planning Activities (JUNE 2008)

I.15 752.252-2 AIDAR CLAUSES INCORPORATED BY REFERENCE (MAR 2015) . 88

PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS ... 90

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 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2017)

K.3 FAR 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JUL

2013)

K.4 FAR 52.222-56 CERTIFICATION REGARDING TRAFFICKING IN PERSONS

COMPLIANCE PLAN (MAR 2015)

K.5 FAR 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND

CERTIFICATION (OCT 2015)

K.6 FAR 52.230-7 PROPOSAL DISCLOSURE—COST ACCOUNTING PRACTICE

CHANGES (APR 2005)

K.7 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.8 AUTHORIZED NEGOTIATORS

K.9 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 PROPOSAL106

L.7 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL

SECTION M - EVALUATION FACTORS FOR AWARD

M.1 OVERVIEW

M.2 TECHNICAL EVALUATION CRITERIA

M.3 COST EVALUATION

M.4 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT AWARD

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 contract is to improve management of transboundary natural resources and increase access to safe drinking water and sanitation services across Southern Africa.

B.2 CONTRACT TYPE AND SERVICES

This is a Cost-Plus-Fixed-Fee (CPFF) Completion 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 and comply with all contract requirements.

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 (5) year period hereunder, exclusive of fixed fee, if any, is: $TBD. The total fixed fee is $TBD. The total estimated cost plus fixed fee, if any, is $TBD.

(b) 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.

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

(d) 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).

B.4 PAYMENT OF FIXED FEE

$TBD is the maximum fixed fee to be paid in accordance with this Section B.4. Subject to FAR 52.216-8 “Fixed Fee” and the following, the Contractor will be paid the proportion of the fixed fee that corresponds to the proportion of allowable direct costs incurred by the Contractor during the period covered by the invoice. Notwithstanding the foregoing, the Contractor’s fixed fee is in consideration of the accomplishment of the deliverables or outputs described in Sections C, D, and F, as well as complying with all Contract requirements. If the Contracting Officer determines that this method results in paying a disproportionately higher ratio of fixed fee than the percentage of work that the Contractor has completed, then the Contracting Officer may suspend further payment of any fixed fee until the Contractor has made sufficient progress to justify further payment. Subject to the Contracting Officer’s discretion, if the Contractor subsequently completes the delayed work such that costs incurred are proportionate to work completed, the Contracting Officer may approve payment of the amount of the fee that was suspended.

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.

Direct Costs $TBD Indirect Costs $TBD Fee $TBD Grants Under Contract $5,600,000 Total $TBD

B.6 INDIRECT COSTS

Pending the establishment of a revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and appropriate bases:

Description Period Rate Base

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

- Period, e.g. CY 2018

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

B.7 COST REIMBURSABLE

USAID will only reimburse the Contractor for allowable costs in accordance with 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 WORK

C.1 OBJECTIVES

The goal of the Resilient Waters activity is to build more resilient and water secure Southern African communities and ecosystems through improved management of transboundary natural resources and increased access to safe drinking water and sanitation services. Resilient Waters will incorporate USAID’s continuous learning and adaptive management approach, which emphasizes the generation and sharing of knowledge and subsequent use of that knowledge to inform decisions, adapt ongoing activities and improve the design of future programs.

Resilient Waters has four integrated objectives, which are intended to reinforce each other to improve overall water security and resilience of communities and ecosystems. For selected geographies in Southern Africa, Resilient Waters will result in:

Objective 1: Improved transboundary water security and resource management;

Objective 2: Increased access to safe, sustainable drinking water and sanitation services;

Objective 3: Strengthened ability of communities and key institutions to adapt to change, particularly the impacts of climate change; and

Objective 4: Conserved biodiversity and ecosystem services.

C.2 BACKGROUND

The following provides relevant background information regarding (a) the development problem,

(b) the regional response, including USAID’s current and past programs, and (c) Resilient Waters’ geographic focus.

C.2.a Development Problem:

Around Southern Africa, water sits at the center of an interrelated set of pressing environmental and development challenges. The health of the region’s biodiversity, communities and natural landscapes requires the sound stewardship of water, soil, energy, land, wildlife and other natural assets. Moreover, water-related risks “cascade through food, energy, urban and environmental systems1.” Risks related to water security will have profound consequences for regional economic productivity, community health, poverty, migration, inter- and intra-national conflict and political stability, among other pressing development challenges.

The majority of countries in Southern Africa are water scarce or water stressed. By 2025, it is likely that water supplies in much of the region will be insufficient to meet human and ecosystem needs, resulting in increased competition for scarce resources, constrained economic development, increased migration and declining human health. The region is characterized by considerable inequality in the distribution of water resources, high vulnerability to climate change, extreme variability in seasonal rainfall, as well as in the unequal socio-economic, technical and adaptive capacity of countries to address water and climate related challenges. All

1 World Bank, High and Dry, Climate Change, Water and the Economy. 2016.

major rivers in the region2 – as well as most of the known large aquifer systems – flow across national boundaries, making cooperative transboundary decision making and management necessary to conserve biodiversity and ensure equitable and efficient use of natural resources.

Transboundary groundwater management presents an additional challenge as groundwater basins don’t necessarily track the surface water basins which overlay them. Effective and sustainable regional water management requires a conjunctive approach to surface and groundwater resource management, and an awareness of the critical role that groundwater plays in sustainable surface water management.

Across the region, approximately 40% of the human population does not have access to adequate safe drinking water, while 60% does not have access to adequate sanitation3. These averages mask considerable regional and seasonal disparities. Nearly half of all humans globally who remain without access to an improved water source live in Sub-Saharan Africa. One half of hospital beds in Africa are filled with patients suffering from waterborne-related diseases, and in sub-Saharan Africa, approximately 40% of children under age five are physically and cognitively stunted for life due in great part to diarrheal disease caused by unsafe water. Beyond diarrheal disease, unsafe water contributes to malnutrition, burdens healthcare systems, and restricts opportunities for economic growth.4 A significant financing gap exists between the total investment required to build and maintain the region’s WASH infrastructure and the volume of funds available from public sources.5

Under normal climate conditions, the region is susceptible to devastating drought-flood cycles.

Worse, the region’s scarce water supply is highly vulnerable to the current and expected impacts of climate change. The devastating El Niño cycle during the prime 2015/16 agricultural growing season caused the least productive harvest season in 35 years, leaving 2.5 million people in urgent need of food assistance and many times this number food insecure. Several countries in the region issued drought related disaster declarations. In South Africa, the 2015/16 rainy season was the driest ever recorded in over 100 years of precipitation records. Worse, water insecurity and climate related risks can serve as a “threat multiplier,” exacerbating “existing economic, social and environmental vulnerabilities6.” Some parts of last year’s drought may become the new normal in years to come. According to one recent analysis:

“Climate models suggest that the Southern African region will be both drier and hotter in the future, with reduced rainfall levels as well as changes in the intensity and frequency of precipitation, resulting in more extreme weather events and longer periods between rainfalls.7”

The richness of the region’s watersheds and the biodiversity they support is vitally important to the health and wellbeing of the region’s citizens, the sustainable economic growth of the region’s

2 SADC identifies 15 river basins shared by at least two countries in the region. SADC, 2016: Regional Strategic Action Plan (RSAP) IV.

3 SADC, RSAP IV.

4 WHO/UNICEF Joint Monitoring Program, 25 Years Progress on Sanitation and Drinking Water 5 Introducing Commercial Finance into the Water Sector in Developing Countries. World Bank, February 2017.

6 National Security Implications of Climate-Related Risks and a Changing Climate, U.S. Department of Defense, 2015; and Intelligence Community Assessment on Global Water Security, Office of the Director of National Intelligence, 2012.

7 Climate Change Adaptation Readiness: Lessons from the 2015/16 El Niño for Climate Readiness in Southern Africa, SAIIA, 2017.

economies, as well as national security and social stability. As a result of the historic and ongoing unsustainable use of natural resources and weak environmental governance, critical environmental processes such as the maintenance of water, soil and air quality and wildlife habitats have been degraded across the region. Specific threats to biodiversity include, but are not limited to, habitat loss and degradation, the proliferation of invasive species, unsustainable harvesting and poaching of targeted species, increased human-wildlife conflict, poor management and control of natural resources and impacts to the quality and quantity of river flows.

Water is a common thread connecting these diverse challenges; without sound and sustainable stewardship of water resources, the majority of the region’s development challenges will prove intractable. The consequences of water insecurity will be felt well beyond the region’s natural and environmental systems. The importance of addressing water related challenges to sustainable regional development is reflected by water resource management’s elevation to “goal” status under the SDG framework as opposed its status as a sub-goal “target” under the preceding MDGs. “Without quality, sustainable water resources and sanitation, progress in many other areas across the SDGs, including health, education and poverty reduction, will also be held back8.” Lacking water of adequate quantity, quality and affordability, the region will face daunting challenges related to economic growth, community health, and political security and stability. As concluded in a recent World Bank analysis, water insecurity “can cause severe disruptions and compound fragilities in social, economic, and environmental systems9.”

C.2.b Regional Response:

The region’s natural resource challenges call out for an integrated development approach.

Resilient and sustainable environmental systems demand a holistic, multi-sectoral and multi-scaled approach. In a complex and interconnected development landscape, USAID believes that complementary initiatives – and the adoption of systems thinking approaches - can play a mutually reinforcing role in creating resilient communities and ecosystems. Past and current USAID environmental programs in the region have integrated climate change adaptation;

biodiversity conservation; water supply, sanitation and hygiene (WASH); and integrated water management initiatives toward a goal of sustained environmental stewardship.

For over a decade, USAID/Southern Africa (USAID/SA) has worked to improve transboundary management and decision making for water, biodiversity and associated natural resources in order to promote the sustainable, equitable and rational use of natural resources to meet human development and ecological needs. USAID/SA has partnered with the Limpopo Watercourse Commission (LIMCOM) through the Resilience in the Limpopo Basin project (RESILIM), the Permanent Okavango River Basin Water Commission (OKACOM) through the Southern Africa Regional Environment Program (SAREP), and the Orange-Senqu River Commission (ORASECOM) through USAID’s recently ended partnership with the International Union for Conservation of Nature (IUCN)10. These in turn built upon USAID/SA’s Integrated River Basin

8 UN Sustainable Development Goals Report 2017 9 Turbulent Waters: Pursuing Water Security in Fragile Contexts. Sadoff et al. World Bank, 2017.

10 An overview of current Mission environment programs can be found here:

https://www.usaid.gov/sites/default/files/documents/1860/Environment_briefer_Jan2017.pdf

Management (IRBM) Project (active from 2004 to 2009). Resilient Waters will expand these efforts to support sound management of water and biodiversity resources across Southern Africa.11

USAID programs have also worked at finer scales, such as tributary or catchment scale, for example along the Olifants River in South Africa, through the RESILIM-Olifants project implemented by the Association for Water and Rural Development (AWARD). This aligns with the Southern African Development Community’s (SADC) recently finalized Regional Strategic Action Plan IV (RSAP)12 on integrated water resources management, which raises the profile of sub-basin level institutions by emphasizing the principle of “subsidiarity,” i.e. promoting empowered management institutions at the lowest, least centralized, management level that is appropriate. Various additional regional entities, operating above, below and alongside the basin scale, also play an important role in transboundary water resources management13. Resilient Waters builds upon current and past USAID programs, and seeks out opportunities to complement and reinforce these programs’ impacts.

Beyond USAID, a wide range of donors and other institutional partners address water, climate resilience, and biodiversity issues within Southern Africa, particularly the importance of water security in integrated, sustainable development. Sustainable management within the region’s river basins demands a coordinated response across a variety of sectors and stakeholders. USAID is interested in supporting partnerships and alliances that result in long-term, ecologically, socially, and economically sound management of water and biodiversity resources.

Donors and other international cooperation partners (ICP) have a strong history of engagement on transboundary waters around Southern Africa. A joint sector support program implemented by GIZ and DFID supports SADC’s water activities, including some level of central SADC support to the region’s River Basin Organizations (RBOs). The Swedish International Development Agency (SIDA) has a decade-long collaboration program with OKACOM. Both the EU and UNDP are currently considering and/or planning programs in coordination with the region’s RBOs. UNESCO and the Swiss Agency for Development and Cooperation lead the Groundwater Resources Governance in Transboundary Aquifers (GGRETA) project, which looks at three transboundary aquifers around the world, including the Stampriet aquifer shared between Namibia, Botswana and South Africa, in order to build shared trust in transboundary aquifer management. The DFID-funded Climate Resilient Infrastructure Development Facility (CRIDF) links economic development and sustainable, equitable use of Southern Africa’s transboundary water resources by supporting infrastructure development in transboundary water basins. UNEP’s Global Environment Monitoring System (GEMS) supports the sharing of high-quality environmental surface and groundwater data and information. The World Bank’s Cooperation in International Waters in Africa (CIWA) promotes inclusive growth, climate resilience, and poverty reduction by addressing constraints to cooperative management and development of international waters. The Global Water Partnership (GWP) runs a series of

11 We encourage bidders to – at a minimum – be familiar with SAREP’s and RESILIM’s final reports, available via USAID’s Development Experience Clearinghouse: dec.usaid.gov.

12 http://www.sadc.int/files/9914/6823/9107/SADC_Water_4th_Regional_Strategic_Action_Plan_English_version.pdf 13 See, for example, Do hydrologic rigor and technological advance tell us more or less about transboundary water management? Giordano M. et al., International Environmental Agreements Politics Law and Economics, September 2015.

country water partnerships in many SADC countries, bringing together a wide range of stakeholders in order to mainstream integrated management in national development planning around water. A growing number of donors, corporations, and governmental and quasi-governmental research and investment groups are addressing sustainable and innovative financing models for water and wastewater infrastructure and services.

While the list above is not intended as a comprehensive nor exhaustive summary of donor and partner initiatives around the region, USAID aims to coordinate closely with complementary projects to ensure maximum impact and limit redundant investments. Furthermore, a number of Southern African countries have bilateral USAID missions14 with ongoing related programs.

Resilient Waters will closely coordinate with other USAID missions in the region under direction from the Contracting Officer’s Representative (COR), in order to capitalize on opportunities for complementary programming.

Beyond RBOs, the project will partner with other related entities working in overlapping geographies, such as the region’s Transfrontier Conservation Areas (TFCAs). USAID and other partners are also engaged in disrupting wildlife crime across the region. While this project will not focus explicitly on addressing this important threat to biodiversity, in order to promote sustainable economic well-being and enhanced rule of law, synergies should be identified to the extent possible with other related USAID regional programs.

Regionally, key governmental entities include SADC, its member states, and its water division, as well as the African Union’s African Ministers’ Council on Water (AMCOW), which provides a forum for high level cooperation around water. In addition to RSAP IV, SADC’s Revised Protocol on Shared Watercourses (2000) and the Regional Water Policy (2005) play a key role in regional water management, particularly transboundary water cooperation, as do SADC’s Regional Biodiversity Strategy and Protocol on Wildlife Conservation and Law in their respective technical areas. All work supported under this project will support SADC’s Regional Indicative Strategic Development Plan (RISDP).

At the national government level, USAID anticipates close cooperation with relevant national ministries, including departments of Water and Sanitation, Environment, and Science and Technology, as well as other relevant government or quasi-governmental entities such as South Africa’s Water Research Commission (WRC) and park authorities.

C.2.c Geographical Focus

The river basin scale continues to serve as a useful frame for USAID engagement. While the region’s RBOs serve as important players in regional transboundary water management, organizations operating at a variety of scales – both above and below the basin scale – will also be critical partners to achieving project objectives. Over the past five years, USAID has supported work at regional, basin, sub-catchment and local scales, as appropriate, and anticipates continuing to do so via Resilient Waters. As laid out in a recent analysis15, “there is a need to

14 https://www.usaid.gov/where-we-work/africa 15 Thinking inside the basin: Scale in transboundary water management. International Water Management Institute (IWMI) Water Policy Brief, Issue 39, December 2015.

complement basin-scale focus with focus on scales inside the basin,” and to consider “diversity in the scale of transboundary water cooperation.” Smaller scale, catchment level approaches, tailored to specific local challenges and opportunities may constitute a more effective approach to certain transboundary challenges. Different scales may be appropriate for different challenges.

C.3 RELATIONSHIP TO MISSION AND AGENCY POLICIES AND STRATEGIES

Resilient Waters will be programmed under USAID’s regional agreement with SADC. All of the Contractor’s activities will be supportive of the SADC Climate Change Adaptation Strategy and the SADC Revised Protocol on Shared Watercourses and in line with the priorities laid out in SADC’s RSAP IV. In particular, USAID/SA supports the SADC Protocol under the framework of a Strategic Objective Grant Agreement (SOAG) signed with SADC in 2010.

Resilient Waters will directly contribute to USAID/SA’s Regional Development Cooperation Strategy (RDCS)16 Development Objective (DO) 1, “Increased Sustainable Economic Growth in Targeted Areas”. USAID’s Environment & Energy (E&E) Team is working with the Mission RDCS team to ensure continued alignment with the new RDCS, currently under formulation, as well as relevant USAID policies and strategies that govern the use of Agency funds. In addition, Resilient Waters complements programming administered by other USAID missions in the region as laid out in these missions’ Country Development Cooperation Strategy (CDCS).

Resilient Waters will meet USAID objectives and standards as defined by the Foreign Assistance Framework17. The contract will be funded with resources appropriated by the U.S. Congress for Biodiversity Conservation, WASH, and Climate Change Adaptation. As such, the Contractor and all its activities must comply with all relevant directive requirements and appropriate implementation guidance as defined by USAID. Within the Standard Foreign Assistance Framework, Resilient Waters focuses on Program Area HL 8 Water Supply and Sanitation, EG

10.1 Clean Productive Environment, EG 10.2 Biodiversity, and EG 11 Climate Change – Adaptation. Earmark, directive and other implementation requirements are subject to change by Congress. The Contractor must maintain communication with USAID to ensure that appropriate guidance is followed under each Fiscal Year funding allocation.

Through the Resilient Waters activity, the Contractor will support implementation of the Senator Paul Simon Water for the World Act18 which focuses on improving water security by increasing sustainable access to safe drinking water and sanitation, improving water resources management, and promoting cooperation on shared waters. The Act prioritizes funding in countries with the lowest rates of water and sanitation access. Furthermore, the Contractor will support USAID’s Water and Development Plan, part of the whole-of-government U.S. Global Water Strategy19, which is called for in the Water for the World Act. The Contractor will also address the specific requirements of the Congressional WASH directive. Moreover, through Resilient Waters, the Contractor will support USAID in advancing whole-of-government U.S. water security objectives, including sound management of freshwater resources, strengthened sector

16 https://www.usaid.gov/sites/default/files/documents/1860/SouthernAfricaRDCS.pdf 17 https://www.state.gov/f/indicators/ 18 https://www.congress.gov/bill/113th-congress/house-bill/2901 19 https://www.usaid.gov/what-we-do/water-and-sanitation/us-global-water-strategy governance and financing, and increased collaboration over shared waters, as laid out in the USG Global Water Strategy, as required in the Water for the World Act of 2014.20

In addition, in line with overall Agency policy, USAID/SA’s integrated water programs aim to go beyond basic water services and ‘one-off’ solutions by focusing on sustainability of WASH services, leveraging partnerships, finance, and innovation, and integrating water with other key development issues. The Contractor will also seek out opportunities to complement other Agency initiatives promoting regional water security21.

Furthermore, the Contractor will support USAID’s Climate Change and Development Strategy22, which aims to help countries and communities around the world access and use climate science to build resilience to climate variability and risks. The Contractor will also support USAID’s Biodiversity Policy23 and Biodiversity Code24, which aim to conserve and integrate biodiversity as an essential component of development. All activities implemented under this contract must meet these directive requirements, in proportion to the resources available.

C.4 STATEMENT OF WORK

Building on past USAID investments, particularly SAREP and RESILIM, the Resilient Waters Contractor will work at an appropriate scale (river basin, catchment level, bilateral, multilateral, regional, etc.) to improve transboundary management and decision making for water, biodiversity and associated natural resources, including potential climate impacts. Ultimately, such improved management and decision-making is critical to achieve sustainable development goals and increase the resilience of Southern Africa’s most vulnerable people and ecosystems.

While USAID will consider relevant work in additional landscapes, catchments, and/or basins that will best achieve stated goals, as outlined in Section C.2.c, USAID requires that the Resilient Waters Contractor continue to support existing investments in the Okavango and Limpopo river basins, working with Angola, Namibia, and Botswana in the case of the Okavango, as well as with South Africa, Botswana, Zimbabwe and Mozambique in the case of the Limpopo. While the contract’s required results and minimum activities are listed below, the Contractor must implement activities and results beyond the minimum wherever feasible. Specific targets for results must be suggested in the Monitoring, Evaluation and Learning (MEL) Plan.

C.4.a Project Components and Expected Results

Resilient Waters has four integrated objectives. For selected geographies in Southern Africa, Resilient Waters will result in:

Objective 1: Improved transboundary water security and resource management;

20 See for example Toward Expanded U.S. Leadership on Global Water Security. Water 2017. August 2017.

21 Examples of potentially complementary programming include the recently launched WASH-FIN and Sustainable Water Partnership projects, both managed out of USAID’s Washington based Water Office.

22 https://www.usaid.gov/climate/strategy 23 https://www.usaid.gov/biodiversity/policy 24 https://www.usaid.gov/biodiversity/impact/requirements

Objective 2: Increased access to safe, sustainable drinking water and sanitation services;

Objective 3: Strengthened ability of communities and key institutions to adapt to change, particularly the impacts of climate change; and

Objective 4: Conserved biodiversity and ecosystem services.

In Southern Africa, USAID recognizes that water is at the intersection of a range of critical, interrelated development challenges. Effective management of water resources to meet human development needs, improve livelihoods and alleviate poverty while adapting to climate change and conserving biodiversity requires a transition to sound, science-based, water planning and management founded upon rationalized, equitable access to and utilization of water resources.

The Contractor’s approach will include a commitment to good governance principles, resource stewardship at the local level, an appropriate enabling environment from provincial, national and regional levels, and meaningful participation by, and partnerships with, key stakeholders, including civil society, vulnerable populations, and the private sector.

Addressing complex, interdependent objective areas under a single mechanism can be challenging. Moreover, Resilient Waters’ various objective areas may require that the Contractor engage simultaneously at the local and/or provincial levels (for example in the provision of WASH services) alongside regional and/or basin wide engagement (for example in the coordination of basin water sharing agreements). However, due to the integrated nature of environmental challenges, and the systemic role that water plays across the development continuum, an integrated, cross-disciplinary approach is required. It is not USAID’s intention to implement parallel activities addressing each of the objective areas independently. Rather, the Contractor must support innovative, mutually-reinforcing and adaptive approaches, capitalizing on opportunities for impact as they arise. The Contractor must ground their approach in a highly relevant and strategic understanding of overlapping ecological, social, economic and political considerations. A holistic systems approach will be necessary to achieve project goals.

While the Contractor will be expected to devote significant resources (no less than seventy-five percent) to continuing USAID engagement in the Okavango and Limpopo basins, building upon SAREP and RESILIM achievements, Resilient Waters may operate in any transboundary basin substantially located within the SADC region. The Contractor may propose to work in additional basins in which Resilient Waters could achieve project goals. Expansion to other shared river basins or sub-basins must be carefully planned with regional counterparts and partners, coordinated with other donor initiatives and justified in terms of desired results. In addition, work in additional basins is subject to approval by USAID during work plan development. In selecting priority geographies for Resilient Waters beyond the Limpopo and Okavango basins, USAID will consider opportunities for impact, existing donor programs including opportunities for synergies and collaboration, the potential relevance of lessons learned and/or piloted activities to other basins, opportunities for advancing transboundary groundwater discussions, and relevant stakeholder agencies’ and other basin stakeholder groups’ willingness to partner.

In addition, to achieve the intended outcomes of Resilient Waters, the Contractor will partner with local implementing organizations and build local institutions that can continue to provide leadership in the region on transboundary natural resource collaboration, including pursuant to grants under contract as described in Section H.6. Specific project results can be achieved through grants to NGOs and/or private sector organizations under this activity. However, the expectation is that most of these grants will be to local organizations. Public-private alliances are encouraged to leverage buy-in and additional support for achieving overall objectives. Resilient Waters’ overall approach to partnerships, including its grants under contract component, will enhance sustainability and embed approaches supported by this activity within appropriate institutions. These grants must support local partners working in the priority basins identified by the Contractors, including the Okavango and the Limpopo, and may be used to further the Contractor’s activities in any of the objective areas described below. The grants under contract program should mobilize local resources and expertise. The program should also leverage partnerships and alliances with regional, national and local institutions, including but not limited to private sector and civil society entities, the Southern African Development Community (SADC) and regional transboundary institutions.

C.4.b Technical Services

Set forth below are results, activities, services and deliverables, along with specific guidance that the Contractor must follow in providing the required services and performing tasks under the Contract for each of the four objectives.

Objective 1: Improved transboundary water security and resource management:

The benefits of transboundary cooperation over shared water resources are well established (including but not limited to economic, social and environmental, peace and security governance benefits)25. Moreover, “greater cooperation over transboundary waters offers significant prospects for the resolution of political conflicts and greater regional integration. Transboundary waters constitute a promising entry point for diplomats aiming for high peace dividends.26” Conversely, water insecure communities are at heightened risk of conflict, underperform in measures of economic growth, community health, educational attainment, and other related development areas, and suffer inordinately from extreme climate events, including floods and droughts.

Under this Objective area, the Contractor will build the capacity of key stakeholders to facilitate the integration of sound water and natural resource management practices and adaptation strategies into policy, planning and management. Stakeholders include governments (at all levels), civil society, water boards, regional transboundary water institutions at the basin, catchment or tributary scale, or the relevant water administration authorities, universities and the private sector, recognizing the potential for differentials in individual and institutional capacity within and across basins. Moreover, the Contractor will implement activities under this Objective area to foster innovative approaches to promote collective basin decision-making and integrated

25 See for example Policy Guidance Note on the Benefits of Transboundary Water Cooperation, UNECE, 2015.

26 The Rise of Hydro-Diplomacy: Strengthening foreign policy for transboundary waters. Adelphi/German Federal Foreign Office, 2014.

and systems level thinking, and will strive to apply productive practices and approaches learned from other transboundary environmental disciplines. The Contractor will use creative and participatory project management frameworks to ensure that activity decision-making, collaborative work-planning and monitoring and learning are coordinated across the activity’s objective areas. In addition, the Contractor will utilize an adaptive approach to capitalize on emerging synergies and opportunities for innovative partnerships and leverage of additional resources.

Southern Africa benefits from an enabling regional framework related to transboundary water resources coordinated by SADC’s water division27, as well as existing RBOs which – to varying degrees – serve as representative consultative bodies, and - in places - meaningful coordinators of shared action. Basin organizations, as well as the agreements and treaties which underpin them, play a critical role in decreasing the likelihood of hydro-political conflict28. However, it is important that the region’s RBOs continue to evolve from roles related to coordination and collaboration toward joint planning and action, and seek out opportunities for expanded financial sustainability29. Under this Objective area, the Contractor will implement activities to advance robust, sustainable transboundary water cooperation. In most cases, strong engagement with the applicable RBO will further this goal.

It will be impossible to advance meaningful transboundary water security and cooperation without investments in the governance practices and institutions that will underpin this cooperation into the future. As noted in a recent analysis, “while it is possible to deal with water stress peacefully, transboundary water agreements are usually facilitated by robust institutions.”30 Likewise, robust transboundary water cooperation is predicated upon the availability of a shared foundation of accurate, agreed-upon, and relevant data, as well as shared modeling, forecasting, planning and decision-making tools. The Resilient Waters Contractor will invest in the regional collection and dissemination of appropriate data and integrated tools, and facilitate the effective use of such evidence for improved decision making.31 Such systems must include both surface water and groundwater data, as well as related demographic and resource data which impact supply and demand forecasting, and potentially tap into opportunities for citizen engagement in data collection, processing and dissemination.

Required Results:

The Contractor’s activities, services and deliverables related to this objective area will focus on achieving the following results. Targets for each of the Required Results listed below must be

27 For example, SADC’s Revised Protocol on Shared Watercourses, Climate Change Adaptation Strategy, and the recently updated RSAP related to water resources. A GIZ/DFID program administered out of Botswana provides a regular framework for donor coordination in the region related to transboundary water resources.

28 De Stefano, L., et al. "Assessment of transboundary river basins for potential hydro-political tensions." Global Environmental Change 45 (2017).

29 See, for example, Financial Sustainability of International River Basin Organizations, GIZ, 2014.

30 Water and U.S. National Security. Council on Foreign Relations (CFR) Discussion Paper, January 2017.

31 Including, illustratively, UNESCO-IHP’s Water Information Network System (WINS), GEF’s Transboundary Water Assessment Program (TWAP), and groundwater data maintained by the UN-affiliated International Groundwater Resources Assessment Center (IGRAC).

provided in the Contractor’s Monitoring, Evaluation, and Learning (MEL) Plan and updated annually in consultation with the COR in the activity’s annual work plan.

Improved capacity within regional, national, and local governments to manage transboundary river basins; harnessing innovative integrated management approaches to address complex transboundary water challenges.

Strengthened institutional arrangements at a variety of scales which enhance collaborative resource management, including planning, allocating, measuring and enforcing water sharing mechanisms.

Improved transboundary management of surface and groundwater resources.

Leveraged innovative financial resources and new partners to support integrated and improved management and technical assistance to key stakeholders.

Increased engagement of an active citizenry in decision-making related to transboundary water coordination.

Technical assistance for meeting environmental water and ecological flow requirements as established by the appropriate national and/or river basin authorities.

Minimum Activities, Services, and Deliverables:

The Contractor is required to provide services, deliverables, and activities to achieve the results specified above as further defined in annual work plans. All of the Contractor’s activities must build upon work already supported by USAID (in particular SAREP and RESILIM) and other donors in the targeted area. The Contractor’s activities under this Objective area must include, but not be limited to, those listed below:

Capacity building platforms and programs such as exchanges, study tours, training, internships, mentoring, academic and/or vocational study, and institutional twinning.

Technical assistance for various aspects of transboundary water, ecosystem management and climate adaptation.

Analysis of relevant regional and/or global transboundary basins, and adapting global best practice for regional application, and tools that assist planners in developing skills to take an ecosystem approach to water management.

Institutional and technical support for basin/catchment organizations and other relevant institutions, including assessments of water demand, risks and uses.

Protocols on information, data sharing, and monitoring procedures to improve governance of water resources.

Groundwater assessments in order to determine areas at risk of groundwater overexploitation, and areas with opportunities for Managed Aquifer Recharge.

Objective 2: Increased access to safe, sustainable drinking water and sanitation services:

Due to a combination of population growth and slow progress in infrastructure and/or services rollout, the number of people in sub-Saharan Africa without access to sanitation has increased since 1990. The United Nations’ Sustainable Development Goal (SDG) 6 on water sets out ambitious targets for universal access to water and sanitation by the year 2030, but an unprecedented mobilization of funding will be required to meet this goal. A significant component of this investment must be leveraged from non-governmental sources. Around Southern Africa, an additional challenge is ensuring adequate investment in the Operation and Maintenance (O&M) of water and wastewater infrastructure. Often, municipalities, water utilities or local water service providers find it easier to secure financing for new investments than to invest in O&M and initiatives that address non-revenue water (NRW) and other network maintenance and rehabilitation goals.

The Contractor will implement activities to increase first time access to sustainable water supply and sanitation, improve service quality for existing water and sanitation connections, increase adoption of key positive hygiene behaviors, and strengthen…