Attachment 1_SOW 26Q0109-A0003.docx

Bureau of International Narcotics and Law Enforcement Affairs (INL)

U.S. Embassy México

INL | Criminal Deterrence | Corrections Program Mexico

Statement of Work

Audit and Accreditation Services for Mexican Correctional Facilities

1. GENERAL

The Bureau of International Narcotics and Law Enforcement Affairs (INL) leads the Department of State’s (DOS) anticrime and counternarcotics efforts. INL’s mission is to minimize the impact of international crime and illegal drugs on the United States, its citizens, and partner nations by providing effective foreign assistance. INL supports our partner nations to stabilize and strengthen security institutions to combat drug trafficking and other transnational crimes that affect the United States. DOS, as well as other agencies, help the Mexican Penitentiary system develop mechanisms to detect and deter organized criminal activities within prisons that affect Mexican and U.S. security outside of prisons.

The Contractor shall provide all labor, services, materials, equipment, transportation, supervision, and all requirements necessary to accomplish the efforts described under this Statement of Work.

2. BACKGROUND

Organized criminal groups frequently oversee illicit activities from within Mexico’s penitentiary system, often affecting the public through the trafficking of drugs, weapons, and illicit goods, as well as extortion calls to U.S. citizens. Accreditation of prisons helps establish and improve procedures and processes by requiring the implementation of strict controls over the security of correctional facilities. This helps the Government of Mexico (GOM) establish more control within the prisons and curb activity by organized crime.

One of the Mexican Penitentiary System’s challenges is to ensure that there is significant control of correctional environments that are free from corruption, providing a safe and secure environment. To fulfill this mission, Mexico needs to correct physical conditions, develop personnel who can do their jobs effectively, apply and standardize appropriate procedures, implement treatment programs, evaluate progress, and generate feedback mechanisms for prison operations.

3. OBJECTIVE

The overall objective of this effort is to enhance prison conditions by achieving compliance of the International Core Standards developed by American Correctional Association (ACA), which is evaluated by an audit performed by experienced auditors from ACA. An audit involves a thorough assessment of every facility in the process of accreditation or re-accreditation. The audit will determine if the facility is compliant with the series of mandatory standards involving administration and management, physical infrastructure, institutional operations and services, and inmate programs. In this audit, the auditors have the responsibility of raising issues and concerns that may influence the security of the facility. If the penitentiary facility successfully passes said audit, they will be moved to the next phase, which involves a panel hearing that will determine whether the institution will achieve accreditation or reaccreditation for three years.

Specific objectives of this project are to:

· Accredit/reaccredit up to forty (40) prisons, including central offices, per year (allocated between federal and state facilities)

· Perform three (3) technical assistance visits (TAV) per year

· Execute Performance Monitoring Visits (PMVs) in compliance with ACA standards.

4. SCOPE

The scope of this project requires the contractor to perform audits to evaluate Mexican prisons that are in the process of receiving accreditation and re-accreditation by the American Correctional Association (ACA). An audit consists in the assessment of a penitentiary facility, and it will cover a variety of subjects involving, but not limited to, administration and management, institutional operations and services, the physical state of the facility, as well as security conditions for staff and inmate population. Accreditation or re-accreditation is dependent upon the successful approval of said audit. Audits shall be based on the compliance of accreditation standards developed by the ACA and the contractor will perform them. The contractor shall provide all necessary services, logistics and supplies/equipment necessary to accomplish the objectives of this contract.

5. PERFORMACE REQUIREMENTS

· Provide technical assistance in case INL requires clarification on policies and procedures related to the applicability of standards or expected practices.

· Select and assign visiting committee auditors The visiting committee auditors are required to have, at minimum, the following qualifications:

· At least one of the auditors selected for the same visit must be a Spanish speaker at a Level 4 and with English Level 1.

· Must have at least five (5) years of demonstrated experience working in correctional settings (adult, juvenile, training academy and/or central office).

· Must have at least three (3) years of experience in the ACA accreditation process (adult, juvenile, correctional training academy and/or central office). Preference must be given to auditors with previous experience with the ACA accreditation process in Mexico.

· Knowledge and understanding of the correctional system in Mexico.

· Participate in a session normally provided by ACA related to the accreditation process in Mexico under the International Core Correctional Standards for Mexico or the most current version of the standards applicable.

· Be culturally sensitive and respectful of Mexican multicultural expressions, customs and variations within the country.

· Possess a valid passport.

· Follow and comply with all security requirements established by the US Embassy in Mexico City regarding traveling within Mexico, especially considering the limitations or restrictions to travel to certain areas in the country. US citizens must adhere to any travel restrictions by the US Department of State.

· New auditors that the contractor would like to assign to this effort after contract award are subject to review and approval by the COR based on the aforementioned qualifications.

· Conduct up to forty (40) audits per year based on a firm fixed price (claim per audit).

· Prepare visiting committee reports in both Spanish and English for each audit within ten (10) business days of visit.

· Review and respond to plan of actions for non-compliance standards within ten (10) business days of receipt.

· Conduct panel hearings for each audit.

· Conduct technical assistance and/or monitoring visits, if needed.

· Track and review annual facility reports.

· Provide translation into Spanish of all relevant documents/reports, including, but not limited to audit reports, conference materials, and other documents as necessary. INL/Mexico will not provide translation or interpretation services.

· Provide and coordinate all travel and accommodation for their personnel.

· Project Management Plan: The contractor shall provide a Project Management Plan (PMP) after award of contract or execution of year notice on an annual basis. The PMP shall include a detailed representation of tasks, and required subtasks, to be performed (cross-referenced to the requirements of this SOW and the contractor’s technical proposal) for timely completion of the project. The plan shall define in detail all project milestones and associated completion schedules.

· Quarterly Project Report: The contractor shall provide (electronically) quarterly project reports on activities completed, pending action items, and activities planned for the following week on each Tuesday during the duration of the project. The Quarterly Project Report shall follow the example given in Annex A, “Quarterly Report Template” and should be structured in such a way to permit cross-reference to the SOW and contractor’s technical proposal, and shall include at the minimum the following sections:

· Document Control Section: Shall include contract number, recipient organization, program/project/activity title and location.

· Report Details: General objective, specific objectives, activities performed, goals, performance/outcome measures, problems/success to report and follow up to be done.

· Technical Progress Section: This section shall compare actual to planned performance and indicate the progress made in accomplishing each contract task. The report shall include relevant details for assessing the status of performance, i.e., a brief, factual summary description of the technical progress made. The section shall identify any unforeseen technical difficulties, which may threaten on-time completion of the contract. The section shall indicate the specific task that is not progressing according to plan; the reasons for the difficulty; and specific recommendations for remedial action.

· Monitoring and Evaluation (M&E): The project includes a monitoring and evaluation component to measure the impact of the activities undertaken, as well as the continuous monitoring of the activities by the INL Program Office and M&E team.

The table that follows lists the specific tasks, actions, audits and reports required under this SOW.

A quarterly report template is provided in Annex A.

Table 1

All documentation and reports shall be delivered in electronic format in Spanish and English.

All documentation and reports developed or provided by the contractor shall become property of the U.S. government.

All deliverables, including attachments, shall comply with the data right clauses incorporated in the contract. The Government will reject all deliverables containing markings contradicting said clauses.

All deliverables shall include a cover page incorporating the following information:

· Deliverable name and number

· Contract number

· Project title

· Date of submission

· INL Recipient

· Contractor’s name

Deliverables longer than five (5) pages shall include a table of contents. All attachments shall include the attachment number, deliverable name and number, and contract number.

6. PERIOD OF PERFORMANCE

The contract will have one (1) base year plus 3 option years. The Contractor shall complete all work and documentation, no later than twelve (12) months from date of contract award or the execution of the optional years.

7. PLACE OF PERFORMANCE

Audits will take place in state or federal prisons located within Mexico (audits/TAVs), and at conference centers in the U.S or virtually (panel hearings). Performance Monitoring Visits (PMVs) for a given contract year will occur not later than 24 months from the completion of that year. For example, PMVs for accreditations received during the base year must conclude not later than 24 months from the end of the base year.

8. CONSIDERATIONS

Timely completion and submission of reports and audits are critical to GOM maintaining the pace and flow of its corrections standardization and improvement. Therefore, the initial contract will be for a period of one (1) year with up to three (3) one-year optional years, renewable every year. The U.S. government may or may not exercise its right to extend for any/all option years.

In addition, INL may re-tender the contract following more than three late reports or audit result submissions. Therefore, the following provisions apply to this project:

· Deliverables provided in accordance with the scheduled date or timeframe are considered acceptable under the terms of the contract and fully agreed-upon payments will be made to the contractor.

· Any deliverables submitted late will result in a negative Contractor Performance Assessment Reporting System (CPARS) rating.

· Poor performance on this contract will determine whether the government will exercise an optional year.

9. QUALITY ASSURANCE

Quality Assurance and Surveillance Plan. The Quality Assurance and Surveillance Plan (QASP) is designed to provide an effective surveillance method to promote effective Contractor performance. The QASP provides a method for the INL to monitor Contractor’s performance and advise the Contracting Officer of unsatisfactory performance. The Contractor, not the Government, is responsible for management and quality control to meet the terms of the contract. The role of the Government is to conduct quality assurance to ensure that contract standards are achieved.

Negative Incentive:

Low rating in CPARS; appropriate action under the inspection and termination clauses of the contract.

Performance: number of valid written complaints during the month.

Deliverables and reports are timely distributed to all parties identified in the contract.

Spell and grammar checks are completed on all deliverables.

No deliverables or reports are submitted late or not in accordance with contract requirements.

Negative Incentive:

Low rating in CPARS; appropriate action under the inspection or termination clauses of the contract.

Number of deliverables or reports that are either untimely or not in accordance with purchase order requirements.

Surveillance. INL will receive and document all complaints from Government personnel regarding the services provided. If appropriate, INL will send the complaints to the Contracting Officer for transmittal to the Contractor for corrective action.

Standard. The performance standard is that the Government receives no more than one (1) complaint per month. INL shall notify the Contracting Officer of the complaints so that the Contracting Officer may take appropriate action to enforce the applicable inspection clause, if any of the services exceed the standard.

Procedures.

1. If personnel observe unacceptable services, either incomplete work or required services not being performed, they should immediately contact INL.

2. INL will complete appropriate documentation to record the complaint.

3. If INL determines the complaint is invalid, INL will advise the complainant. INL will retain the annotated copy of the written complaint for his/her files.

4. If INL determines the complaint is valid, INL will inform the Contracting Officer who will contact the Contractor and give the Contractor additional time to correct the defect, if additional time is available. The Contracting Officer shall determine how much time is reasonable.

5. The Contracting Officer shall, at a minimum, notify the Contractor by email of any valid complaints.

6. If the Contractor disagrees with the complaint and challenges the validity of the complaint, the Contractor shall notify the Contracting Officer. The Contracting Officer will review the matter to determine the validity of the complaint.

7. The Contracting Officer will consider complaints as resolved unless notified otherwise by the complainant.

8. Repeat complaints are not permitted for any services. If a repeat complaint is received for the same deficiency during the service period, INL will contact the Contracting Officer for appropriate action under the Inspection clause.

9. If the contractor fails to meet the performance standard, the Government reserves the right to take action under the Inspection clause, including a deduction from the invoice.

10. NONPAYMENT FOR UNAUTHORIZED WORK

No payments will be made for any unauthorized supplies or services or for any unauthorized changes to the work specified herein. This includes any services performed by the Contractor of his own volition or at the request of an individual other than a duly appointed CO. Only a duly appointed CO is authorized to change the specifications, terms, and/or conditions of this contract.

11. TYPE OF CONTRACT

This will be a firm-fixed price, one (1) base year plus up to three (3) option years. No additional amounts will be paid to the contractor based on fluctuations in prices of proposed items or incurred costs for actual work performed.

12. CONFIDENTIALITY CLAUSE

The Contractor and its employees must exercise the utmost discretion concerning all matters relating to their duties and functions. They must not communicate to any person any information known to them by reason of their performance of services under this contract, which has not been made public, except in the necessary performance of their duties or upon written authorization of the Contracting Officer.

All documents and records (including photographs) generated during the performance of work under this contract must be for sole use and become the exclusive property of the Government. Furthermore, no article, book, pamphlet, email, recording, broadcast, speech television appearance, film or photograph concerning any aspect of work performed under this contract must be published or disseminated through any media without the prior written authorization of the Contracting Officer. These obligations do not cease upon the expiration or termination of this contract. The contractor must include the substance of this provision in all contracts of employment and in all subcontracts hereunder. The contractor must ensure care, confidentiality and correct use of the information delivered and generated during the execution of the contract, as well as elements that the GOM makes available for its execution.

Annex A: Quarterly Report Template

Narrative Quarterly Report Month-Month Year

Contract Number:

COR Name:

GTM Name:

Recipient Organization:

Program/Project/Activity Title:

Location of the Project/Activity:

REPORT for the QUARTER (please check appropriate box)

Provide parameters for performance monitoring to include inputs, outputs, outcomes, and performance interventions. (Performance objectives, goals, and indicators based on the Statement of Work (objectives) from the Notice of Award)

GOALS AND OBJECTIVES

General Objective:

Specific Objectives:

Activities Performed:

Goals:

Performance / Outcome Measures:

Management:

Monitoring Site Visit Conducted (Provide date and description of performance and progress and any issues/problems related to the agreement)

Telephone or Desk Audit Conducted (Provide date and description of performance and progress and any issues/problems discussed related to the agreement)

Problems/Successes to Report:

Successes:

Problems:

Follow-up to be done:

Additional Questions/Comments:

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