Performance Work Statement - 6 ISO Judiciary.pdf

Statement of Work Support in the Implementation of Anti-Bribery Management System for Judiciary

I. General Information

A. Introduction

Public corruption poses a significant threat to the integrity and stability of society. It undermines trust in government institutions, erodes the rule of law, and diverts resources away from essential public services. Specifically, bribery fuels public corruption, undermining trust in institutions and distorting decision-making processes. Limiting bribery is crucial to preserving the legitimacy of government systems and promoting fairness and transparency in society.

Preventing public corruption is imperative to ensure fairness, accountability, and justice. The International Organization for Standardization (ISO) Standard 37001 is a valuable tool to combat public corruption. ISO 37001 certification aims to establish an effective anti-bribery management system within organizations, providing guidelines for preventing, detecting, and addressing bribery and corruption risks. This standard helps implement robust policies, procedures, and controls to mitigate bribery risks, enhance ethical business practices, and safeguard their reputation and integrity.

B. Background

From 2019-2021, U.S. Embassy Lima’s Office of International Narcotics and Law Enforcement (INL) supported Peru’s Judiciary in implementing a risk management and anti-bribery system to obtain ISO 37001 certification for the Executive Council of the Judicial Branch and the Permanent Criminal Chamber of the Supreme Court. This system allows these Judiciary offices to prevent and eradicate corrupt, unethical, and inefficient practices and thereby strengthen the provision of justice services to citizens.

After the initial implementation of the anti-bribery system, INL provided support to these judicial entities to renew their ISO 37001 for two consecutive years.

II. Specifications

A. Objective

To identify a contractor to conduct an assessment and guide the implementation of a modern risk management and anti-bribery system in support of six (6) units/courts within Peru’s Judiciary to enable them to obtain ISO 37001 – Anti-bribery Management System certification.

B. Scope

Upon completion of the work, it is expected that the six (6) units/courts selected for the intervention will have implemented the necessary changes and improvements that will allow them to request and obtain the ISO 37001 certification. The six units/courts are:

• National Control Authority of Judiciary

• One Supreme Constitutional Court of Lima

• Superior Criminal Court of La Libertad (in Trujillo)

• Superior Criminal Court of Arequipa (in Arequipa)

• Superior Criminal Court of San Martin (in Moyobamba)

• Superior Criminal Court of Huancavelica (in Huancavelica)

C. Specific Objectives of Technical Assistance

• Specific Objective 1: Conduct a risk assessment for six (6) units/courts and a process mapping exercise for each entity which provides conclusions and recommendations for necessary improvements to obtain the ISO 37001 certification.

• Specific Objective 2: Advise, guide, accompany, and support the six (6) units/courts in the execution of actions toward the implementation of the anti-bribery management system.

• Specific Objective 3: Advise and accompany the six (6) units/courts during internal and external audits towards ISO 37001 certification.

D. Products/Deliverables and Deadlines

The expected completion time for each of the six (6) units/courts is twelve (12) months. The contractor is expected to provide consulting services to multiple units simultaneously.

The total completion for all six units' courts should not exceed 12 months.

Stages Products/Deliverables

SGAS

Implementation

1. A Roadmap containing the policies, objectives, necessary procedures, and missing activities for the implementation of the Antibribery Management System (ABMS), duly identified and planned to follow diligently over five (5) months to achieve the implementation of the mentioned system, with the respective assignment of responsibilities (of the consulting company or specific institutional instances. For example, proposals for documents such as official documents, manuals, guides, and regulations, among others, are the responsibility of the consulting firm. The revisions and approvals are the responsibility of the corresponding authority in the Judicial Branch.)

2. Risk Matrix review and control validation

E. Desired Profile(s) for the Technical Assistance

A multidisciplinary team, formed at least by an economist and a lawyer.

Qualifications:

• Degree in Law / Degree in Economics

• Postgraduate studies and / or specialization in Management or Public Policy and Anti-Bribery Management Systems certification

• Experience in providing advice to public institutions to obtain ISO 37001 certification

• Professional experience in research studies and elaboration of manuals, protocols, guides in the justice system.

• Professional experience in areas related to planning, administration, and reform of the justice system.

3. + An Awareness and Training Plan in this area for crucial Judicial Branch personnel, including planning, necessary procedures, and missing activities for the implementation of the ABMS, duly identified and planned to follow diligently in the next five months to achieve the implementation of the mentioned system, with the respective assignment of responsibilities (of the consulting company or specific institutional instances. For example, proposals for documents such as official documents, manuals, guides, and regulations, among others, are the responsibility of the consulting firm, and the revisions and approvals of these are the responsibility of the corresponding authority in the Judicial Branch.)

4. A report on the full compliance of the roadmap and the implementation of the Awareness and Training Plan.

Internal Audit 5. An Internal Audit Plan, with planned actions to be followed diligently over 2 months to evaluate and improve the Antibribery Management System ABMS, with the respective assignment of responsibilities

6. A report on the compliance of the findings as a result of the internal audit; as well as recommendations for the identification of a competent and recognized body for the external certification audit.

External Audit 7. A report on the accompaniment in the process of external audit and ISO 37001 Certification.

F. Method of Payment:

It is desirable that the consulting service perform work across all 6 courts and judicial units simultaneously. Payments would be made once each deliverable is completed for all 6 courts and judicial units.

• Upon successful completion of Deliverable 1: 10%

• Upon successful completion of Deliverable 2: 15%

• Upon successful completion of Deliverable 3: 15%

• Upon successful completion of Deliverable 4: 15%

• Upon successful completion of Deliverable 5: 15%

• Upon successful completion of Deliverable 6: 15%

• Upon successful completion of Deliverable 7: 15%

G. Confidentiality

The contractor and its consultants must maintain confidentiality and absolute reserve in handling information they have access to or produce during the service performance. It is forbidden to reveal, hand over, or make such information available to third parties. This confidentiality is maintained during and after the conclusion of the service order.