SOL_72052018R00002_Justice_and_Transparency_-_final_09-18-2018.pdf

72052018R00002

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 126

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______________ calendar days (60 calendar days unless a different period is inserted

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

07/11/2018 X

GUATEMALA

USAID Guatemala Office of Acquisition and Assistance (OAA)

3190 Guatemala Place Washington, DC 20521-3190

2:00 p.m. 10/29/2018

Natalie J. Thunberg

C. E-MAIL ADDRESS

guatemalaproposals@usaid.gov

PAGE(S)

Natalie J. Thunberg

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97) Prescribed by GSA - FAR (48 CFR) 53.214(c)

3190 Guatemala Place Washington, DC 20521-3190

USAID Guatemala Office of Acquisition and Assistance (OAA)

REQ-520-18-000042

dperlman Typewritten Text

SOL 72052018R00002

SECTION B

Contents

ACRONYM LIST 6

SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS 8

B.1 PURPOSE 8

B.2 CONTRACT TYPE 8

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

B.4 CANCELLATION CEILING 9

B.5 PAYMENT 9

B.6 INDIRECT COSTS (DEC 1997) 10

B.7 COST REIMBURSABLE 10

B.8 FIXED FEE - FAR 52.216-8 (JUN 2011) 11

SECTION C – STATEMENT OF WORK 12

C.1 BACKGROUND 12

C.2 SCOPE 13

C.3 OBJECTIVES 15

C.4 OBJECTIVES/COMPONENTS/RESULTS: 15

SECTION D – PACKAGING AND MARKING 23

D.1 AIDAR 752.7009 MARKING (JAN 1993) 23

D.2 BRANDING AND MARKING 23

D.3 BRANDING STRATEGY 23

SECTION E – INSPECTION AND ACCEPTANCE 25

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 25

E.2 INSPECTION AND ACCEPTANCE 25

SECTION F – DELIVERIES OR PERFORMANCE 26

F.1 NOTICE LISTING FAR SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 26

F.2 DELIVERABLES 26

F.3 ENVIRONMENTAL COMPLIANCE 35

F.4 PERFORMANCE STANDARDS 36

F.5 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS

(SEPTEMBER 2013) 36

F.6 752.242-70 PERIODIC PROGRESS REPORTS (OCTOBER 2007) 37

F.7 KEY PERSONNEL 38

F.8 PLACE OF PERFORMANCE 38

F.9 PERIOD OF PERFORMANCE 38

F.10 752.7034 ACKNOWLEDGMENT AND DISCLAIMER. (DEC 1991) 38

SECTION G – CONTRACT ADMINISTRATION DATA 40

G.1 CONTRACTING OFFICER'S AUTHORITY 40

G.2 TECHNICAL DIRECTION 40

G.3 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID 40

G.4 ACCOUNTING AND APPROPRIATION DATA 41

G.5 CONTRACTING OFFICER 41

G.6 CONTRACTING OFFICER’S REPRESENTATIVE 41

G.7 CONTRACTOR’S PRIMARY POINT OF CONTACT 42

G.8 CONTRACTOR’S PAYMENT ADDRESS 42

G.9 752.7003 DOCUMENTATION FOR PAYMENT. (NOV 1998) 42

SECTION H – SPECIAL CONTRACT REQUIREMENTS 44

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 44

H.2 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES 44

H.3 INSURANCE AND SERVICES 44

H.4 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (July 2007) 44

H.5 AUTHORIZED GEOGRAPHIC CODE 45

H.6 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY

RESOURCES 45

H.7 LANGUAGE REQUIREMENTS 45

H.8 KEY PERSONNEL 45

H.9 SUBCONTRACTING PLAN AND THE SF 294 – SUBCONTRACTING REPORT FOR INDIVIDUAL

CONTRACTS AND SF 295 – SUMMARY CONTRACTING REPORT 46

H.10 EXECUTIVE ORDER ON TERRORISM FINANCING 46

H.11 REPORTING OF FOREIGN TAXES (July 2007) 46

H.12 PROHIBITION AND ASSISTANCE TO DRUG TRAFFICKING 47

H.13 GRANTS UNDER USAID CONTRACTS 47

H.14 AIDAR 752.7007 PERSONNEL COMPENSATION (July 2007) 48

H.15 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY 48

H.16 USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004) 48

H.17 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION 49

H.18 TRAVEL TO GUATEMALA 50

H.19 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973 AND

FEDERAL ACQUISITION CIRCULAR (FAC) 97-27 ELECTRONIC AND INFORMATION TECHNOLOGY

ACCESSIBILITY 50

H.20 ENVIRONMENTAL COMPLIANCE AND MANAGEMENT 51

H.21 CONTRACTOR’S STAFF SUPPORT, ADMINISTRATIVE AND LOGISTICS ARRANGEMENTS

AND LEGAL REGISTRATION IN THE COOPERATING COUNTRY 53

H.22 GOVERNMENT FURNISHED FACILITIES OR PROPERTY 53

H.23 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY 53

H.24 ELECTRONIC PAYMENTS 53

H.25 PURCHASE OF RESTRICTED GOODS 54

H.26 CONSENT TO SUBCONTRACT 54

H.27 PRESS RELATIONS 55

H.28 302.3.5.22 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL)

(OCTOBER 2014) 55

H.29 USAID-FINANCED THIRD PARTY WEB SITES (NOVEMBER 2017) 56

H.30 RESTRICTIONS AGAINST DISCLOSURE (MAY 2016) 57

H.31 LIMITATION ON ACQUISITION OF INFORMATION TECHNOLOGY (DEVIATION NOs.

M/OAA-DEV-FAR-18-2c and M/OAA-DEV-AIDAR-18-2c) (APRIL 2018) 58

H.32 SECURITY CONDITIONS 59

H.33 SECURITY REPORTING 59

H.34 PROHIBITION OF ASSISTANCE TO A LAW ENFORCEMENT FORCES IN GUATEMALA 59

H.35 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION

REQUIREMENTS AND AIDAR 752.7027 PERSONNEL 60

H.36 LIMITATION ON ACQUISITION OF INFORMATION TECHNOLOGY (DEVIATION NOs.

M/OAA-DEV-FAR-18-2c AND M/OAA-DEV-AIDAR-18-2c) (APRIL 2018) 60

H.37 SOFTWARE LICENSE ADDENDUM (MAY 2016) 61

H.38 CLOUD COMPUTING (APRIL 2018) 62

H.39 ADS 203.3.12 - COVERED PARTICIPANTS 67

SECTION I – CONTRACT CLAUSES 68

I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (FEB 1998) 68

I.2 752.252-1 AIDAR SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (MAR 2015)

I.3 CLAUSES INCORPORATED IN FULL TEXT 72

SECTION J – LIST OF DOCUMENTS EXHIBITS AND OTHER ATTACHMENTS 90

J.1 ENVIRONMENTAL MANAGEMENT AND MITIGATION PLAN (EMMP) FORMAT 90

J.2 BRANDING AND MARKING – GUIDANCE AND TEMPLATE 90

J.3 DISCLOSURE OF LOBBYING ACTIVITIES 90

J.4 GOVERNMENT-FURNISHED PROPERTY 90

SECTION K – REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS 91

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 91

K.2 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS. (JAN 2018) 91

K.3 52.204-17 OWNERSHIP OR CONTROL OF OFFEROR. (JUL 2016) 95

K.4 52.204-20 PREDECESSOR OF OFFEROR. (JUL 2016) 96

K.5 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS. (OCT 2015) 96

K.6 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS. (JUL 2013) 98

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

LIABILITY OR A FELONY CONVICTION UNDER ANY FEDERAL LAW. (FEB 2016) 100

K.8 52.215-6 PLACE OF PERFORMANCE. (OCT 1997) 100

K.9 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS. (FEB 1999) 101

K.10 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION. (OCT 2015) 101

K.11 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) 103

K.12 52.230-7 PROPOSAL DISCLOSURE--COST ACCOUNTING PRACTICE CHANGES (APR 2005) 103

K.13 INSURANCE - IMMUNITY FROM TORT LIABILITY 104

K.14 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS 104

K.15 AUTHORIZED NEGOTIATORS 104

K.16 SIGNATURE 104

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO CONTRACTORS 105

L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE. (FEB 1998) 105

L.2 52.215-1 INSTRUCTIONS TO OFFERORS - COMPETITIVE ACQUISITION. (JAN 2017) 105

L.3 52.216-1 TYPE OF CONTRACT. (APR 1984) 109

L.4 52.233-2 SERVICE OF PROTEST. (SEP 2006) 109

L.5 52.252-5 AUTHORIZED DEVIATIONS IN PROVISIONS. (APR 1984) 110

L.6 GENERAL INSTRUCTIONS TO OFFERORS 110

L.7 DELIVERY INSTRUCTIONS 110

L.8 INSTRUCTIONS FOR THE PREPARATION OF TECHNICAL PROPOSAL 112

L.9 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL 115

L.10 APPLICABLE FACTS & RATIONALE FOR INSTRUMENT SELECTION 121

SECTION M – EVALUATION FACTORS FOR AWARD 123

M.1 GENERAL INFORMATION 123

M.2 TECHNICAL EVALUATION CRITERIA 123

M.3 EVALUATION OF COST PROPOSAL 125

M.4 SOURCE SELECTION 125

M.5 DETERMINATION OF THE COMPETITIVE RANGE 125

M.6 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED ENTERPRISES

M.7 BEST VALUE 126

ATTACHMENTS 127

ACRONYM LIST

AAPD Acquisition and Assistance Policy Directive ACO Administrative Contracting Officer ADS Automated Directive System AIDAR USAID Acquisition Regulations AWAC Allied World Assurance Company AWCPAS Agencies Without a Certified SES Performance Appraisal System BEO Bureau Environmental Officer CAGE Commercial and Government Entity CAS Cost Accounting Standards CIB Contractor Information Bulletin CLA Collaboration, Learning and Adapting CC Constitutional Court CFR Code of Federal Regulations CIO Chief Information Officer CO Contracting Officer COP Chief of Party COR Contracting Officer’s Representative CPFF Cost Plus Fixed Fee CRM Climate Risk Management CSIO Chief Information Security Officer CST Contractor Salary Threshold DBA Defense Base Act DDL Development Data Library DEC Development Experience Clearing House DLA Defense Logistics Agency DoD Department of Defense ECR Environmental Compliance Report EFT Electronic Funds Transfer EMMP Environmental Mitigation and Monitoring Plan ER Environmental Review ERF Environmental Review Form EXENIVA Sistema Electrónico de Exención de IVA FAC Federal Acquisition Circular FAR Federal Acquisition Regulation FITARA Federal Information Technology Acquisition Reform Act GAO Government Accountability Officer GDP Gross Domestic Product GoG Government of Guatemala GUCs Grants Under Contracts IDIQ Indefinite delivery/indefinite quantity contract IEE Initial Environmental Examination INACIF National Institute of Forensic Science INL International Narcotic Law Enforcement Affairs ISO International Standard Certification

IVA Impuesto Valor Agregado LGBTI Lesbian, Gay, Bisexual, Transgender/Transsexual and Intersexed LOE Level of Effort MEDEVAC Medical Evacuation MEL Monitoring, Evaluation and Learning MEO Mission Environmental Officer M&M plan Mitigation and Monitoring Plan NAICS North America Industry Classification NARA National Archives and Records Administration NATO North Atlantic Treaty Organizations NAWW National Average Weekly Wage NICRA Negotiated Indirect Cost Rate Agreement NSPA NATO Support and Procurement Agency OAA Office of Acquisition and Assistance OFCCP Office of Federal Contract Compliance Programs PAD Project Appraisal Document PNC National Civil Police REA or BEO Regional Environmental Officer RCE Request for Categorical Exclusion RFP Request for Proposal SAM System for Award Management SEGEPLAN Secretariat for Planning and Programming SES Senior Executive Services SF Standard Form SICOMP Public Ministry’s Computer Control System SOW Statement of Work STTA Short Term Technical Advisor TBD To be determined TCN Third Country National USAID United States Agency for International Development USG United States Government

SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this Contract is to strengthen security and justice sector institutions to more effectively and efficiently investigate, prosecute and adjudicate crime in order to reduce corruption and impunity in Guatemala.

B.2 CONTRACT TYPE

This is a Cost Plus Fixed Fee-Completion form Contract. For the consideration set forth in the Contract, the Contractor will provide the deliverables or outputs described in Sections C and F and comply with all Contract requirements. The Contractor must perform the services set forth in Contract at prices consistent with Section B of this contract.

B.3 ESTIMATED COST, FIXED FEE AND OBLIGATED AMOUNT

The summary budget for the five year period is as follows:

Total estimated cost: $ ___TBD_______

Direct labor (including fringe): $ ___TBD_______

Other direct costs (includes equipment, supplies, and subcontracts): $ ___TBD_______

Grants under contracts: $ 3,000,000.00

Indirect Costs: $___TBD________

Fixed Fee: $___TBD________

Ceiling Price: $___TBD________

(a) The total estimated cost for the performance of the work required hereunder, exclusive of fixed fee, is $[to be inserted by CO at time of award]. The Total Estimated Cost Plus Fixed Fee for the Period is $[to be inserted by CO at time of award].

(b) Within the estimated cost plus fixed fee specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor for performance hereunder is $[to be inserted by CO at time of award]. The Contractor will not exceed the aforesaid obligated amount unless authorized by the Contracting Officer pursuant to the clause of the contract entitled Limitation of Funds- FAR 52.232-22.

(c) Funds obligated are anticipated to be sufficient through [date to be inserted by CO at time of award].

NOTE: The Contractor will not be paid any sum in excess of the ceiling price. The only person authorized to commit or obligate additional funds is the Contracting Officer. Incurrence of costs in excess of the total amount obligated based on directions received from any individual other than the

Contracting Officer and without prior Contracting Officer’s approval, will not be reimbursed to the Contractor.

B.4 CANCELLATION CEILING

This is a multi-year contract as defined in FAR 17.103. Therefore, this contract is subject to the requirements of FAR 17.106. In the event that the Government cancels requirements for services in subsequent program years under this contract, the following conditions will apply: [Amount and dates to be filled in at time of award]

Cancellation Dates:

Contract Year 2: DATE TBD, [Award year + 1 year] Cancellation Ceiling: TBD Contract Year 3: DATE TBD, [Award year + 2 years] Cancellation Ceiling: TBD Contract Year 4: DATE TBD, [Award year + 3 years] Cancellation Ceiling: TBD Contract Year 5: DATE TBD, [Award year + 4 years] Cancellation Ceiling: TBD

The cancellation dates and ceiling amounts will be established at the time of award. The amounts will be based on the nonrecurring costs to be incurred by the awardee, which would be applicable to, and which normally would be amortized over the life of the contract, and the items or services to be furnished under the multi-year requirement. This is a CPFF type contract, pursuant to which all costs for which the contractor seeks reimbursement must be allowable in accordance with FAR 52.216-7, “Allowable Costs and Payment.”

B.5 PAYMENT

The Contractor must submit invoices to the payment office indicated on the cover page of the Contract.

Each invoice must be emailed and submitted on an SF-1034 Public Voucher for Purchases and Services Other Than Personal to the Financial Management Office/USAID/Guatemala. One copy of the voucher and the invoice must also be submitted to the Contracting Officer’s Representative (COR).

Electronic submission of invoices is strongly encouraged. The SF-1034 must be signed, and it must be submitted along with the invoice and any other documentation in Adobe.

The paying office is:

USAID/El Salvador 3450 San Salvador Place Washington, DC 20521-3450 guatevouchers@usaid.gov and guatemalacashmgmt@usaid.gov

B.6 INDIRECT COSTS (DEC 1997)

For the Prime Contractor:

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

For Major Subcontractor(s):

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

A “Major Subcontractor” is a subcontractor that is performing 20% or more of the contract, or is deemed critical by the offeror in achieving the objectives and tasks in the contract.

B.7 COST REIMBURSABLE

The U.S. dollar costs allowable will be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment, FAR 52.216-8, Fixed Fee, if applicable, and AIDAR 752.7003, Documentation for Payment.

B.8 FIXED FEE - FAR 52.216-8 (JUN 2011)

USAID paying office ordinarily pays the Contractor a percentage of a fixed fee that directly corresponds to the percentage of allowable costs being paid. Two exceptions to paying fixed fee in this manner apply:

(a) If the CO 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 CO may suspend further payment of any fixed fee until the Contractor has made sufficient progress to justify further payment, up to the agreed percentage.

(b) The clauses entitled "Allowable Cost and Payment" (FAR 52.216-7) and "Fixed Fee" (FAR 52.216-8) are incorporated into this contract. The terms and conditions of these clauses apply after total payments of fixed fee reach eighty-five percent (85%) of the total fixed fee.

[END OF SECTION B]

SECTION C

SECTION C – STATEMENT OF WORK

Justice and Transparency Project (the Project)

C.1 BACKGROUND

Since the 1990s, USAID has partnered with key reformers to modernize and overhaul Guatemala’s justice sector institutions. USAID has supported these efforts by also building the capacity of investigators, prosecutors and judges. USAID has capitalized on the Government of Guatemala’s (GoG) growing momentum over the years to bring about an effective and efficient justice system, which is fundamental to ensuring the rule of law. The rule of law is critical to a country’s stability, equality, accountability and growth. It means that everyone is accountable to the same agreed-upon laws; and that once a law is passed, it applies to everyone in equal measure – regardless of sex, race, religion, economic status, or other individual characteristics.

With the support of USAID under the Security and Justice Sector Reform Project, the Public Ministry (Ministerio Publico) has implemented new investigation and case management models in the Specialized Prosecutors’ Offices for Anti-Extortion and Anti-Corruption. Within the last year, the Anti-Extortion Prosecutor’s Office has carried out five massive operations in which approximately 800 alleged extortionists were arrested, and an estimated Q25 million (approximately $3.4 million) was seized. The number of final verdicts in extortion cases went from 26 in 2015, to 512 in 2017. The number of people found guilty of extortion increased from 41 to 735 over the same period. The number of search warrants issued related to extortion cases significantly expanded from 122 to 1,038. The significant increase in search warrants demonstrates Guatemala's interest and ability to actively pursue extortion cases under the improved investigation and coordination model.

USAID also supported Guatemala to adopt a 24-Hour court model through which detainees are seen by a judge within six hours of arrest as mandated by law. Since its creation, this model has reduced the number of cases dismissed for lack of merit from 77% to less than 15%, and increased the number of cases resolved by the Pluripersonal Court[1] in 2013 by over 400%. Additionally, USAID continues to work to bring the financial and administrative management procedures in security and justice sector institutions up to international standards, thereby contributing to long-term institutional efficiency and effectiveness.

USAID supported the GOG in establishing the High Impact Court model to provide greater security for Guatemala’s justice sector personnel and to enable conditions to process the most sensitive cases involving gangs, narcotrafficking, transitional justice and high-level corruption. The first High Impact Court was implemented in Guatemala City in 2009, and since that time, the Judiciary has established additional courts in Guatemala City and Quetzaltenango. There are now five High Impact Courts that respond to an ever-growing caseload.

In addition, gender based violence is the number one reported crime in Guatemala, per the Public Ministry’s most recent annual report in total 53,503 complaints on violence against women were filed in Guatemala. USAID contributed to the implementation and expansion of Specialized Femicide and Violence Against Women Courts. The courts have streamlined case processing and increased the number of final verdicts by 300% from 792 in 2012 to 2,385 in 2016.

USAID’s support in the justice sector has followed the GOGs efforts and priorities. Previous USAID funded initiatives were aligned with justice sector institutions five-year strategies to ensure sustainability.

For instance, the Public Ministry’s Strategy 2015-2019[2] includes fifteen strategic directions with prioritized actions. USAID based its assistance on this strategy in order to support the success of the

Public Ministry. For example, USAID’s activities helped the Public Ministry to create their Policy on Criminal Prosecution; transform the criminal investigation model implemented in Prosecutor’s Offices;

and strengthen and consolidate a career path for Prosecutors through the implementation of reforms to the Organic Law. USAID’s future assistance must align with institutional priorities.

C.2 SCOPE

The purpose of the project is to strengthen security and justice sector institutions to more effectively and efficiently investigate, prosecute and adjudicate crime in order to reduce corruption and impunity in Guatemala.

Theory of Change

If Guatemalan justice sector institutions implement effective, efficient, inclusive and transparent investigations, prosecutions and adjudication processes, then a greater share of Guatemalan citizens will receive justice, thereby reducing the overall impunity rate and increasing citizen trust in the justice system.

Existing Barriers

This activity requires close coordination with all justice sector counterparts. USAID’s assistance must be bolstered by sufficient host country support as justice sector reform and processes are ultimately the responsibility of GoG institutions. While USAID determines there is considerable political will from the GoG, sufficient budgetary and staff support must also be available in order for USAID’s assistance to be most effective. For instance, in 2015, more than 76,000 cases were filed in the judiciary, and by 2016, that number jumped to 106,000, an increase of 39%, demonstrating greater trust in the system. This important achievement was met with new challenges, as Guatemala currently has an average of six judges per 100,000 people, when international standards call for 17 judges per 100,000 people.

Significant challenges also exist on the budgetary front; each year, the allocation of an adequate budget to the various justice institutions depends on political will rather than technical need. Budgeting for the justice sector is not approached holistically or systematically, leaving some institutions less resourced than others. Further, overall tax revenue represented just 10.35 percent of Guatemala's gross domestic product (GDP) in 2016, according to Guatemala’s Tax Administration Superintendent. Low tax income rates and underfunded state institutions contribute directly to the weak security and justice environment in Guatemala. In order for USAID assistance to be effective, strong cooperation must be struck between the justice sector, the legislative branch, and the Ministry of Finance in order to implement systems that make the most effective use of available resources.

Guatemala's criminal justice system suffers from institutional weakness, a lack of resources, high impunity rates, and corruption. In fact, corruption permeates the justice system to a point where three sitting Supreme Court Magistrates were removed from office in 2016 and 2017 on corruption charges.

Another significant challenge faced by the justice system is the lack of presence of justice sector institutions at the municipal level. For instance, the Public Ministry is only present in 10% of Guatemala’s 340 municipalities which severely limits access to justice for many Guatemalans. Based on the Public Ministry’s data, there are only 13 prosecutors for every 100,000 people; international standards call for 39 prosecutors per 100,000 people. Moreover, access to justice is a challenge especially for vulnerable groups who often face multiple forms of discrimination. This is especially relevant in a country where indigenous people constitute 60% of the population and often face obstacles in accessing prompt justice services. Unequal access to justice further undermines equality in society, particularly as disadvantaged and vulnerable groups disproportionately experience legal hardship.

Furthermore, judicial procedures suffer from constant delays due to appeals and reconsideration pleadings filed with higher courts. There are no sanctions against reckless or dilatory litigation which affects the justice system and saturates all courts with frivolous reconsiderations, objections and appeals meant only to buy time and delay proceedings. These actions lengthen cases and delay justice, resulting in impunity.

Furthermore, courts in Guatemala generally fail to adhere to the time limits established by Guatemalan law for resolving appeals. For example, appeals that should be resolved within a month routinely take six to 12 months to resolve. The impact of missed deadlines is compounded by egregious bureaucratic delays.

While the due process rights of all criminal defendants must be properly safeguarded, the system of protections in place is often manipulated and prevents victims from receiving prompt justice, which is a legal right.[3]

Also justice sector institutions face great challenges in inter-institutional coordination which helps to ensure an integral response to crime and reduce impunity. The relationship between prosecutors and police on criminal investigations is a challenge that continues to limit the efficiency of the justice system.

For example, prosecutors control and provide direction of the criminal investigation while police forces carryout the actions. There are numerous police investigation forces and coordination among them is a challenge. Additionally, based on strategic prosecution the prosecutors focus on criminal structures which is a different approach from the traditional investigations on a case by case basis. Strengthening the communication and coordination between prosecutors and police will impact the success of criminal cases through the justice system. There is also an increasing caseload within the system and case backlog has become more of an issue. Poor inter-institutional coordination; a centralization of services in urban areas; and a growing discrepancy between the complexity of cases and judicial officials’ knowledge and skills are also important challenges limiting justice in Guatemala. Activities supported by this project will aim to address these challenges by building on the sector’s growing momentum and on its established relationship with USAID.

USG Coordination:

The contractor will be expected to coordinate the implementation of the project with other USAID funded initiatives and other USG agencies. The project will coordinate with the Youth and Gender Justice Project which supports the juvenile justice system as well as all justice sector institutions on combating gender-based violence and trafficking in persons. At the municipal level, efforts will be coordinated with USAID’s crime and violence prevention initiatives such as CONVIVIMOS, Community Roots and Urban Municipal Governance. The project will also support the Place-Based Strategy[4] as strengthening the rule of law is key to reducing overall crime and violence. Efforts must also be coordinated with the Bureau of International Narcotics and Law Enforcement Affairs (INL). In addition to other support to the justice system, INL supports the establishment of a new model for the penitentiary system which is a key element of the justice system.

Gender:

Gender equality is a USG priority and USAID will continue to lead in that effort. Women’s empowerment and gender equality must be taken into consideration under each objective. The contractor will also be expected to support efforts to ensure access to justice for women and other vulnerable populations. Specifically, assistance will be given to institutions to effectively put gender equality policies into practice. The contractor will focus on sensitizing justice sector personnel so that they adhere to the guidelines that allow for equal and prompt justice services to all populations.

USAID’s Youth and Gender Justice Project is currently under implementation and the goal is to strengthen the capacity of the Guatemalan government to provide services to respond to the needs of juvenile offenders and victims, as well as victims of gender-based violence and trafficking in persons.

The contractor will coordinate efforts with the Youth and Gender Justice Project to ensure there is no duplication of efforts and that underserved populations, including women and indigenous populations, have access to the justice system.

C.3 OBJECTIVES

USAID Guatemala will continue to build on the successes achieved under the existing project, specifically in improving the effectiveness and efficiency of the justice sector through specialized investigation of crime; expanding and strengthening the High Impact Courts and 24-hr. Courts; improving the efficiency of administrative and financial processes in the justice sector; and promoting essential judicial reform. Efforts must also support improved justice sector services outside the capital, thus improving access to justice for all Guatemalans.

USAID promotes partnerships with the private sector on development issues including anti-corruption.

The contractor is encouraged to seek private sector interest in supporting any of the areas under this SOW, especially given recent private sector remarks in enhancing rule of law in Guatemala. Additionally, throughout implementation partnerships with private sector, other donors and civil society are encouraged, through the use of grants under contracts

The contractor must work towards the following four objectives:

Objective 1: Improve the Public Ministry’s ability to adequately investigate and prosecute criminal cases.

Objective 2: Improve effectiveness and coordination of the justice system.

Objective 3: Increase transparency to improve effectiveness and legitimacy of the justice system[5].

Objective 4: Support Judicial reform and oversight to strengthen rule of law.

C.4 OBJECTIVES/COMPONENTS/RESULTS:

Objective 1: Improve the Public Ministry’s ability to adequately investigate and prosecute criminal cases

The Public Ministry is the motor of the criminal justice system in Guatemala. USAID has focused its efforts on supporting the Public Ministry in responding to the need for specializing in particular crimes as well as the decentralization of its presence in the country. Efforts must continue to strengthen the Public Ministry by supporting the expansion of services through the country to respond to the ever-growing number of criminal complaints and ensuring access to justice for women and other vulnerable populations. Technical assistance, training and mentoring must also be provided to improve investigation and prosecution of cases in specialized prosecutors’ offices including extortion, corruption, environmental crimes, crimes against life, among others. Additionally, efforts must support institutional strengthening through the implementation of the reforms to the Organic Law[6] as well as support to the institutional case tracking and management system.

While USAID foresees support in these areas, the project must take into consideration the priorities of the new Attorney General who was appointed in the spring of 2018.

Component 1.1 Increase access to justice through Public Ministry services

USAID’s development assistance under previous and existing rule of law (RoL) projects has increased the efficiency and credibility of the Public Ministry. Nonetheless, such transformation has brought about an increased caseload which places a heavy burden on the institution. For example, sexual violence and gender-based violence cases have doubled in the last six years. Under the framework of the Democratic Criminal Policy, this rising trend will likely continue in the coming years, prompting the institution to expand its services throughout the country and modernize processes to respond to the increased demand.

As the Public Ministry expands its services, efforts must support increasing access to justice to respond to citizens’ demands, particularly for populations with the most limited access to justice, including women and indigenous populations. Therefore, the contractor must support the Public Ministry in implementing at least 10 new prosecutor’s offices throughout Guatemala.

The contractor must support the Public Ministry to decongest the system by promoting the use of alternatives to trial whenever possible so as to bring swifter resolution to cases and reduce burden on the judiciary.

The contractor will also foster an increase in accessibility of justice services for all populations , as well as incorporate procedures aligned with indigenous groups’ cultural practices. Concurrently, the contractor will also promote that specific victim assistance efforts act as a catalyst for the inclusion and well-being of persons with disabilities and other vulnerable groups.

Expected Results:

● At least ten new prosecutor’s Offices implemented.

● Training and implementation of mechanisms or models for the application of alternatives to trial in at least 20 prosecutor’s offices.

Component 1.2 Improved investigation and prosecution

The proposed activity requires the contractor to work side-by-side with the Public Ministry to expand strategic criminal prosecution throughout the country, with a commensurate GoG commitment for increased personnel and funding to open new offices. Such gradual growth will be tied to technical assistance, training and mentoring on the implementation of successful criminal investigation models and case management systems to strengthen criminal investigations and prosecutions. Inter-institutional coordination between prosecutors and police is a key element to ensure that both organizations perform under the highest criminal investigation standards. The contractor must also provide technical assistance, training, mentoring and support to specialized prosecutor offices including extortion, corruption, environmental crimes, crimes against life, and liquidation units[7].

The fight that has been waged against corruption and impunity must continue to develop and strengthen better investigative and prosecutorial capabilities. To this end, there must be a continuity of existing technical assistance to strengthen the specialized investigation methodology and the investigation management model. In coordination with the Public Ministry’s institutional training unit, this project must support the development of a permanent capacity-building platform to train staff on investigating new criminal trends in the areas of extortion, homicides, narcotics, organized crime, embezzlement, money laundering, cybercrime, as well as other institutional priorities. Technical assistance will also support the platform to train staff and officials on criminal specialties, criminal investigation, and interviewing techniques. Support for the creation of protocols and guidelines for conducting high profile criminal investigations is also required.

USAID supported the Attorney General in the process of developing a national public policy to guide the actions of State institutions in reducing crime rates in Guatemala. In October 2015, the Democratic Criminal Policy of Guatemala was approved by Guatemala´s Secretariat for Planning and Programming (SEGEPLAN) as an official public policy. This policy’s primary goal is to create inter-agency strategies to address and prioritize crimes. The policy is based on four key pillars: crime prevention, efficient investigation, effective punishment and rehabilitation of those who are punished. The contractor must also support the Public Ministry’s efforts to continue with the implementation process of the Criminal Democratic Policy.

Expected Results:

● At least four Specialized Prosecutor’s Offices with a new investigation and prosecution model implemented.

● The National Democratic Criminal Policy implemented in 15 municipalities.

Component 1.3 Successful implementation of the Public Ministry’s Organic Law

The contractor must also support the implementation of the Public Ministry’s Organic Law to build up internal (e.g., administrative and supervisory) management systems according to international standards and based on specific goals and parameters in order to measure its performance. Such internal systematization will benefit the institution twofold: first, through better efficiency and oversight standards, the Public Ministry will ensure optimal use of its scarce resources and adequately fulfil its mandate. Second, such efficiency gains will result in a better response to the thousands of criminal cases filed each year.

Expected Results:

● Based on the criteria outlined in the Organic Law, Public Ministry authorities conduct annual performance evaluations of all Prosecutor’s Offices.

Component 1.4 Improved case tracking and management system

In order to develop an institution that responds to current technological requirements, the contractor must provide the necessary tools to collect and use statistical data and case tracking information for supervisory, planning, and monitoring purposes. It is necessary for the contractor to enhance the effective use of the Computer Control System of Investigation of the Public Ministry (SICOMP in Spanish) case tracking system.

Expected Result:

● SICOMP provides reports and statistics on an annual basis to the Performance Evaluation Unit as a part of the required criteria included in the Organic Law.

Objective 2: Improve effectiveness and coordination of the justice system

The institutions that comprise the justice system (i.e., the Judiciary, the Public Defense Institute, the National Forensics Institute, the Constitutional Court and the National Police) have faced similar challenges as the Public Ministry (e.g., over-saturation due to increased caseload). Also, the justice system has increased interest in addressing specialized crimes which calls for specialized offices and personnel knowledgeable on issues as divergent as environmental crimes, organized crime, and corruption. USAID aims to increase the presence of the various justice sector bodies in the country to reduce case backlog and decongest the justice system. Such support requires close collaboration with government authorities to determine their priorities and ensure adequate budgetary and operational support. Such expansion also requires an increased skill-set in order to respond to ever more sophisticated crimes.

As justice sector geographic coverage expands with the opening of new offices, the project will collaborate with the justice system by supporting the implementation of methodologies and case management systems; strengthening quality control standards; training and specializing justice sector operators; and providing equipment to maximize efficiency and information sharing.

In addition, technical assistance will strengthen internal and organizational processes, policies, and systems in all justice sector institutions to enhance the internal gears of each institution. Support will include developing institutional career paths, performance evaluation measures, and strengthening training units to allow for ongoing learning and professional growth of justice sector staff.

Support will also be provided to the institutions to effectively put gender equality policies into practice.

The contractor will focus on sensitizing justice sector personnel so that they adhere to the guidelines that allow for equal and prompt justice services to all populations.

In addition to the individualized support offered to the various institutions, support will also be provided to improve greater coordination within the system as a whole. This line of support seeks to address the coordination challenges that persist among the different institutions. By developing inter-institutional protocols and agreements to regulate work flows from one entity to another, each body will contribute to a case to a degree that is strictly necessary, thus avoiding unnecessary and costly work. Reaching such inter-institutional agreements will contribute to swifter judicial rulings.

At least ten key geographic areas at the municipal level must be selected in which critical project activities under Objectives 1 and 2 will be implemented. The target areas will be selected in coordination with USAID and justice sector institutions and will most likely include high crime areas where other USAID interventions are underway.

Specific technical assistance will be provided based on the needs of each entity while also focusing on a vision to strengthen the justice system as whole. Below are specific lines of assistance for each of the justice system actors:

Component 2.1 Strengthened adjudication of criminal cases in the Judiciary/ Criminal Courts

The Project must strengthen and expand specialized models, including the 24-hour courts, High Impact Courts, pluripersonal courts, as well as courts addressing specialized crimes such as environmental crimes, and tax and customs related felonies, among others. Support will also assist in the implementation of Decree 7-2011 that allows Justices of the Peace to adjudicate minor offenses. Such expansion must be coordinated with the capacity-building of judges and staff in order to deepen their knowledge.

The contractor must also support justice sector institutions in the application of alternatives to trial (e.g., mediation, conditional suspension of criminal prosecution, abbreviated procedures) to reduce case backlog and delays. Guidance will be given to the judiciary on how to adapt case management systems to offer litigants lower-cost, faster, and effective ways to resolve their differences without resorting exclusively to trials.

Technical assistance must also be provided to strengthen key internal procedures to foster compliance in enforcing the judiciary’s career ladder, objectivity in the selection of cases, and clear internal processes to do away with arbitrary practices.

The contractor must promote the development of necessary guidelines and procedures to stop de facto discriminatory practices that often stall judicial proceedings for marginalized groups. While promotion of indigenous justice is not part of this project, the contractor must promote positive measures against discrimination to ensure an adequate treatment of vulnerable groups. For example, the contractor will support the Judiciary’s newly-created Secretariat for Indigenous Affairs in an effort to enforce the rights of indigenous groups based on their cultural practices.

Expected Results:

● At least six new model courts implemented.

● Decree 7-2011 implemented in at least 20 justices of peace.

● Alternative to trial training carried out in 30 first instance courts.

Component 2.2 Specialized defense practices incorporated in the Public Defense Institute

In order to ensure a systems approach to strengthening the rule of law, efforts must be oriented at improving the services provided by the Public Defense Institute. As the justice sector body responsible for providing free legal assistance to defendants unable to afford it, the Institute must balance offering free legal services to 85-95 percent of all criminal defendants, while receiving the lowest share of the justice system budget. The Institute’s administrative and operational processes lag behind those of other justice sector institutions which results in an overburdened entity unable to provide adequate legal services. The contractor must provide support to overhaul the Institute’s case management system and internal processes, with special emphasis on incorporating technology in the systems. Responding to the Institute’s need to develop evidence-based solutions to maximize efficiency, the proposed transformation process will allow the Institute to track performance on the overall case management system, pinpoint bottlenecks, and rapidly resolve them to maximize the limited staff and resources.

As the justice system aims to address specialized crimes, public defenders must defend clients in these specialized cases. This requires Institute staff to develop specialized skills. Moreover, an adequate defense cannot take place if defendants lack essential knowledge on interrogation techniques, criminal procedures, evidence collection and handling, analysis of expert reports, and forensic speech.

Additionally, the contractor must address a lack of skills in understanding prosecutors’ use of wire-tapping, ballistics and other investigation methodologies. Staff will be trained through the Institute’s Institutional Training Unit which supports both formal and on-the-job training.

Expected Results:

● Revised case management system implemented in Public Defense Institute.

● 300 public defense lawyers trained on interrogation techniques, criminal procedures, evidence collection and handling, analysis of expert reports, forensic speech, use of wire-tapping, ballistics and other investigation methodologies.

Component 2.3 Increased efficiency of the Constitutional Court

The Constitutional Court (CC) is an institution that safeguards the integrity of the judicial process;

however, processes within the CC have been misused to stall cases and slow down the administration of justice. The use and abuse of constitutional appeals (amparos constitucionales)[8] prevents the CC from addressing legitimate constitutional violations. Instead, the Court is forced to address more than 7,000 challenges per year on alleged grounds of unconstitutionality and rights violations, despite the fact that 80 percent of such challenges are rejected due to lack of merit. The result is delayed justice for thousands of cases.

The project must support the CC by strengthening the system to sort and filter constitutional challenges so as to reject any unfounded challenges. As with the other judicial bodies, such systems require additional reforms to transform the workings of the Court. Additional support must be given to install technological tools to expedite processes and notifications, and to allow litigating partners and clients to communicate and participate via video-teleconferencing on Court proceedings. While these activities will certainly decongest the Court’s caseload, such reforms will prevent individuals from taking advantage of the Court’s constitutional oversight role and allow trial courts to impart justice in a timely manner.

Expected Results:

● A video conference system implemented in the Constitutional Court.

● At least three processes to decongest the Constitutional Court implemented.

Component 2.4 Increased use of scientific evidence in criminal cases through state-of-the-art forensic procedures

Guatemala’s National Institute of Forensic Science (INACIF in Spanish) faces severe budget limitations due to insufficient allocations from the GoG. INACIF has been instrumental in providing scientific evidence in numerous important cases.