PWS - 6 ISO Judiciary - 07082024.pdf

U.S. Department of State (DOS)

Bureau of International Narcotics and Law Enforcement Affairs

U.S. Embassy Lima, Peru

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

SECTION 1

SOLICITATION CONSIDERATIONS

1.1 SYSTEM FOR AWARD MANAGEMENT

This solicitation requires registration with the System for Award Management (SAM) prior to award, pursuant to FAR 4.1102 and other applicable regulations and guidelines. Information can be found at www.sam.gov.

1.2 TRADE AGREEMENTS ACT (19 U.S.C. 2512(A)) (TAA)

Pursuant to the Trade Agreements Act (19 U.S.C. 2512(a)) (TAA), Federal acquisitions of supplies may be made only from offerors that shall supply products of an eligible country under any of the free trade agreements entered into pursuant to the TAA. An article is considered a product of a country only if it is wholly a product of that country or if it has been, substantially transformed, in that country into a new and different article of commerce with a name, character, or use distinct from that of the original article(s). Note that any item that is a discreet article as it is sold in commerce, regardless of its ultimate function or use, cannot be considered, substantially transformed, and based solely on its integration into IT or other systems.

1.3 UNAUTHORIZED DISCLOSURE

The Contractor and its employees shall exercise the utmost discretion concerning all matters relating to their duties and functions. They shall 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 shall be for the sole use and become the exclusive property of the U.S Government. Furthermore, no article, book, pamphlet, email, recording, broadcast, speech television appearance, film or photograph concerning any aspect of work performed under this contract shall 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 shall include the substance of this provision in all contracts of employment and in all subcontracts hereunder.

See FAR 3.104 for additional information.

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SECTION 2

INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS/RESPONDENTS

SUBMISSION INFORMATION PERTAINING TO REQUEST FOR QUOTE

2.1 INFORMATION TO CONTRACTOR

Contractors are reminded that information furnished under this Request for Quote (RFQ) may be subject to disclosure under the Freedom of Information Act (FOIA). Therefore, all items that are confidential to business or that contain trade secrets or proprietary or personnel information must be clearly marked. Marking of items shall not necessarily preclude disclosure when Department of State (DOS) determines disclosure is warranted by FOIA. However, if such items are not marked, all information contained within the submitted documents shall be deemed releasable.

2.2 QUESTIONS CONCERNING THE REQUEST FOR PROPOSAL

Offerors are warned against contacting any INL personnel other than the Contracting Officer and Contract Specialist prior to award of the Contract resulting from this RFQ. If such a contact occurs and found to be prejudicial to competing vendors, the vendor making such a contact may be excluded from award consideration.

2.3 CONTRACTOR RELATIONSHIPS

The Department of State (DOS) encourages the use of subcontractors. In addition, the Department requires that any potential Organization Conflict of Interest be identified in the proposal to ensure proper firewalls established prior to award.

2.4 MULTIPLE PROPOSALS/ALTERNATIVE SOLUTIONS

Contractors shall not submit, nor shall the Government accept or evaluate, multiple proposals offering alternative solutions. Contractors shall not submit, nor shall the Government accept or evaluate, multiple solutions within one proposal.

2.5 PERIOD OF ACCEPTANCE OF OFFERS

Contractors shall agree, if the proposal is accepted within ninety (90) calendar days (unless a greater period is inserted by the contractor) from the date specified in the solicitation for receipt of proposals, to furnish any or all of the requirements upon which prices are proposed at the price set opposite each item, performed and/or delivered at the designated point(s) within the time specified.

2.6 SPECIFIC SUBMISSION INSTRUCTIONS

Vendors shall limit the number of pages to no more than fifteen (15), 12 Point Font, Times New Roman, pdf.

Proposals MUST include the following to be considered compliant:

• PRICE: unit and extended prices, inclusive of delivery charges in USD, for each CLIN.

• DELIVERY DATE: Proposed delivery date and project schedule.

• DESCRIPTION: Description of how the requirement will be accomplished; product literature may be provided.

• QASP: A proposed quality assurance surveillance plan to ensure this project stays on track and how it will be monitored throughout the period of performance.

• PAST PERFORMANCE: A list of contracts within the last two (2) years for services similar to this requirement; it may be federal or commercial customers. The list shall include contact information (name, organization, email, and phone) and limited to no more than five (5) references.

2.7 EVALUATION FACTOR FOR OFFERORS

The following are the evaluation factors for proposals sent by the bidders:

• Compliance with the requested technical specifications as per Performance Work Statement.

• Award will be made using the Best Value Tradeoff Method.

o Technical services provider reliability: Offeror's ability to provide the resources to meet the requirements.

o Timeliness performance: Offeror's ability to complete major milestones on schedule, this is, timely completion of efforts within the period of performance.

o Quality assurance surveillance: Offeror's ability to perform, monitor and control the performance.

o Key personnel: Offeror's compliance with required team members in terms of both quantity and profiles.

o Past performance: Offeror's performance evaluation in similar nature past contracts/awards.

• Award will be made on an “all or none” basis.

• The Government reserves the right to reject quotations that are incomplete, non-compliant with the terms of this solicitation, or that are unreasonably high in price.

• For evaluation purposes, the price will be determined by multiplying the offered prices times the quantities stated in the schedule, and arriving at a grand total, including all options, if any.

• The Government will evaluate the proposed delivery time frame and the technical specifications. The Government will only consider for award those companies that the Government determines have a high likelihood of satisfactorily completing the required items based on the proposal.

• The Government will determine quoter responsibility by analyzing whether the apparent successful quoter complies with the requirements of FAR 9.1.

• Unless an exception in FAR 4.1102 applies, a quoter must be registered in SAM (www.sam.gov) in order to be eligible for award. If the quoter does not become registered in the SAM database in the time prescribed by the Contracting Officer, the Contracting Officer will proceed to award to the next otherwise successful registered quoter.

http://www.sam.gov/

SECTION 2

PERFORMANCE WORK STATEMENT

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

CLIN Description Quantity Unit

001 Organizational Discovery, Risk Assessment, and Process Mapping (across all six units in parallel)

1 LT

002 Technology Assessment of Existing COTS Solutions and Build vs.

Buy Evaluation

1 LT

003 Implementation of Anti-Bribery Management System 1 LT

004 Awareness and Training Plan 1 LT

005 Internal Audit Support 1 LT

006 External Audit Support 1 LT

007 Final Report and Certification Preparation 1 LT

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.

All deliverables should be provided in Spanish.

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

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

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.

• 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 Peruvian justice system.

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

• Consultants should be fluent in Spanish.

• Consultants should conduct in-person meetings and on-site visits with each of the six judicial courts and units noted in the SOW.

• Demonstrated past performance and familiarity with the Peruvian justice system.

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.

H. Evaluation Criteria

A technical evaluation committee, using the criteria shown in this Performance Work Statement, will evaluate the applications. The various functional elements of the technical criteria are assigned weighted scores, so that the applicants will know which areas require emphasis in the preparation of applications.

Where technical applications are considered essentially equal, cost may be the determining factor. Applicants should note that these criteria serve as the standard against which all applications will be evaluated and serve to identify the significant matters which applicants should address in their applications.

• Technical approach and proposed implementation plan

• Qualifications of contractor’s consultants (in accordance with Section E requirements)

• Contractor’s demonstrated past performance and familiarity with the Peruvian justice system

• Cost effectiveness.