RFP SOL-519-12-000003 JSIP.pdf

1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES

UNDER DPAS (15 CFR 700)

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER

SEALED BID (IFB)

NEGOTIATED (RFP)

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

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

9. Sealed offers in original and ___________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in until local time _______________________ (Hour) (Date)

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.

A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

AREA CODE NUMBER EXT.

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

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES

B SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

C DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS

D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

E INSPECTION AND ACCEPTANCE

F DELIVERIES OR PERFORMANCE

G CONTRACT ADMINISTRATION DATA L INSTR., CONDS., AND NOTICES TO OFFERORS

H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD

K

REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

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

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ___ 180 days_____ calendar days (60 calendar days unless a different period is inserted 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 designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)

(See Section I, Clause No. 52-232-8)

14. ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE

(The offeror acknowledges receipt of amendments to the

SOLICITATION for offerors and related documents numbered and dated:

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER 15A. NAME AND

ADDRESS

OF OFFEROR

(Type or print)

15B. TELEPHONE NUMBER 17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM

(4 copies unless otherwise specified) 10 U.S.C. 2304(a) ( ) 41 U.S.C. 253(c) ( )

24. ADMINISTERED BY (If other than Item 7) 25. PAYMENT WILL BE MADE BY CODE CODE

26. NAME OF CONTRACTING OFFICER (Type or print)

Supervisory Regional Contracting Officer

27. UNITED STATES OF AMERICA 28. AWARD DATE

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

(Signature of Contracting Officer)

(REV. 9-97)

10. FOR INFORMATION CALL:

11. TABLE OF CONTENTS

STANDARD FORM 33

SOLICITATION, OFFER AND AWARD

SOLICITATION

OFFER (Must be fully completed by offeror)

AWARD (To be completed by Government)

1 N/A 135

SOL-519-12-000003

X

05/04/2012

Regional Office of Acquisition and Assistance (ROAA)

USAID/El Salvador

3450 San Salvador Place

Washington, DC 20521-3450 a

Acquisition and Assistance Office

USAID/El Salvador

3450 San Salvador Place

Washington DC 20521-3450

4 (four)

3:00 pm 06/21/2012

David Brown

Supervisory Contracting Officer

503 2501-3334 ssdgproposals@usaid.gov

See Attached Table of Contents pages 1-3

X 1

X 5-8

X 9-27

X 28

X 29

X 30-38

X 39-42

X 43-59

X 60-84

X 84

X 85-95

X 96-115

X 116-119

TABLE OF CONTENTS

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

B.2 CONTRACT TYPE

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

B.4 LINE ITEMS

B.5 INDIRECT COSTS (DEC 1997)

B.6 CEILING ON INDIRECT COSTS

B.7 COST REIMBURSABLE

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 BACKGROUND

C.2. SCOPE OF WORK

SECTION D - PACKAGING AND MARKING

D.1 BRANDING POLICY AND COMMUNICATIONS PLAN

D.2 AIDAR 752.7009 MARKING (JAN 1993)

D.3 BRANDING STRATEGY FOR JSIP PROGRAM

SECTION E - INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

SECTION F - DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

F.2. PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE STANDARDS

F.5 AUTHORIZED WORKWEEK

F.6 REPORTS

F.7 MONITORING AND EVALUATION

F.8 752.242-70 PERIODIC PROGRESS REPORTS (OCT 2007)

F.9 AIDAR 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE

DOCUMENTS

F.10 USAID PROPERTY IN THE CUSTODY OF CONTRACTORS

F.11 REPORT ON NON-EXPENDABLE PROPERTY

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)

G.2 ADMINISTRATIVE CONTRACTING OFFICE

G.3 TECHNICAL DIRECTION

G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

G.5 PAYING OFFICE

G.6 ACCOUNTING AND APPROPRIATION DATA

G.7 CONTRACTOR’S PRIMARY POINT OF CONTACT

G.8 CONTRACTOR’S PAYMENT ADDRESS

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION

REQUIREMENTS AND AIDAR 752.7027 PERSONNEL

H.2 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)

H.3 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES

H.4 AIDAR 752.7027 PERSONNEL (DEC 1990)

H.5 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

H.6 INSURANCE AND SERVICES

H.7 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES

H.8 AUTHORIZED GEOGRAPHIC CODE

H.9 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY

RESOURCES

H.10 LOGISTIC SUPPORT

H.11 LANGUAGE REQUIREMENTS

H.12 KEY PERSONNEL

H.13 SUBCONTRACTING PLAN AND THE SF 294 – SUBCONTRACTING REPORT FOR

INDIVIDUAL CONTRACTS AND SF 295 – SUMMARY CONTRACTING REPORT

H.14 EXECUTIVE ORDER ON TERRORISM FINANCING

H.15 REPORTING OF FOREIGN TAXES (July 2007)

H.16 PROHIBITION AND ASSISTANCE TO DRUG TRAFFICKING

H.17 GRANTS UNDER USAID CONTRACTS

H.18 AIDAR 752.7007 PERSONNEL COMPENSATION (July 2007)

H.19 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY

H.20 USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004)

H.21 PERSONNEL COMPENSATION

H.22 TRAVEL TO EL SALVADOR

H.23 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973 AND

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

TECHNOLOGY ACCESSIBILITY

H.24 MANDATORY COMPLIANCE REVIEWS

H.25 VALUE ADDED TAX

H.26 SALARY SUPPLEMENTATION

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

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

I.3 52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987)

I.4 AIDAR 752.245-70 GOVERNMENT PROPERTY-USAID REPORTING REQUIREMENTS

I.5 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

I.6 52.203-8 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR ILLEGAL OR

IMPROPER ACTIVITY (JAN 1997)

I.7 52.203-13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (APR 2010)

I.9 52.215-14 INTEGRITY OF UNIT PRICES (OCT 1997)

I.10 52.216-7 ALLOWABLE COST AND PAYMENT (DEC 2002)

I.11 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)

I.12 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

I.13 52.222-50 COMBATING TRAFFICKING IN PERSONS (FEB 2009)

I.14 52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987)

I.15 52.243-7 NOTIFICATION OF CHANGES (APR 1984)

I.16 52.229-8 TAXES--FOREIGN COST-REIMBURSEMENT CONTRACTS (MAR 1990)

I.17 AIDAR 752.228-3 WORKER'S COMPENSATION INSURANCE (DEFENSE BASE ACT)

I.18 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION

REQUIREMENTS (JAN 1990)

I.19 AIDAR 752.219-70 USAID MENTOR-PROTÉGÉ PROGRAM (JULY 2007)

I.20 AIDAR 752.219-71 MENTOR REQUIREMENTS AND EVALUATION (JULY 2007)

I.21 AIDAR 752.7019 PARTICIPANT TRAINING (JAN 1999)

I.22 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008)

I.23 ADS 302.3.5.9 PROHIBITION AGAINST DISCRIMINATION

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

SECTION J - LIST OF ATTACHMENTS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

K.2 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998)

K.3 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB 2009)

K.4 52.209-5 Certification Regarding Responsibility Matters (Apr 2010) K.5 52.222-22 Previous Contracts and Compliance Reports (Feb 1999) K.6 52.222-25 Affirmative Action Compliance (APR 1984) K.7 52.227-15 Representation of Limited Rights Data and Restricted Computer Software (Dec 2007) K.8 52.230-1 ....... COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCT 2008) 91

K.9 52.230-7 PROPOSAL DISCLOSURE--COST ACCOUNTING PRACTICE CHANGES (APR 2005)93

K.10 INSURANCE - IMMUNITY FROM TORT LIABILITY

K.11 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.12 AUTHORIZED NEGOTIATORS

K.13 SIGNATURE

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

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

L.2 52.204-6 Data Universal Numbering System (DUNS) Number (Apr 2008)

L.3 52.215-1 INSTRUCTIONS TO OFFERORS—COMPETITIVE ACQUISITION (JAN 2004)

L.4 52.216-1 TYPE OF CONTRACT (APR 1984)

L.5 52.233-2 SERVICE OF PROTEST (SEP 2006)

L.6 GENERAL INSTRUCTIONS TO OFFERORS

L.7 DELIVERY INSTRUCTIONS

L.8 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.9 INSTRUCTIONS FOR THE PREPARATION OF THE COST/BUSINESS PROPOSAL

L.10 TRANSITION AWARDS

SECTION M - EVALUATION FACTORS FOR AWARD

M.1 GENERAL INFORMATION

M.2 EVALUATION CRITERIA

M.3 COST PROPOSAL EVALUATION

M.4 EVALUATION OF OPTIONS

M.5 EVALUATION SYSTEM

M.5 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT AWARD

M.6 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED

ENTERPRISES

ATTACHMENTS

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The United States Agency for International Development (USAID), Regional Office of

Acquisition and Assistance in El Salvador requires support to achieve the goals and activities as detailed in Section C.

B.2 CONTRACT TYPE

The Government contemplates award of a Cost Plus Fixed Fee (CPFF) completion contract resulting from this solicitation.

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

(a) Base Period of Performance

(1) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, if any, is __________. The fixed fee, if any, is ________. The estimated cost plus fixed fee, if any, is

(2) Within the estimated cost plus fixed fee (if any) specified in paragraph (a)(1) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor

(and payment of fee, if any) for performance hereunder is __________. The Contractor shall not exceed the aforesaid obligated amount.

(b) Option Period of Performance

(1) The estimated cost for the performance of the work required hereunder, exclusive of fee, if any, for the option period is __________. The fixed fee for the option period, if any, is ________. The estimated cost plus fixed fee, if any, for the option period is __________.

(2) Within the estimated cost plus fixed fee (if any) specified in paragraph (b)(1) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor

(and payment of fee, if any) for performance hereunder is $0. The Contractor shall not exceed the aforesaid obligated amount.

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

B.4 LINE ITEMS

The Total Estimated Cost of this contract is within the following range: $10,000,000 to

$24,999,999 (inclusive of base and option period.) The estimated cost for the base period is

$xxxxx. The estimated cost for the option period is $xxx.

SOL-519-12-000003 SECTION B

The summary budget for the base period is as follows:

Direct Labor $__________

Other Direct Costs* $__________

Indirect Costs $__________

Subawards $__________

Fixed Fee $__________

Total Estimated Cost plus Fixed Fee $__________

* Other Direct Costs include: office rent, vehicle, travel, social benefits, & office supplies

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, shall not be reimbursed to the

Contractor.

The summary budget for the option period is as follows:

Other Direct Costs* $__________

Indirect Costs $__________

Subawards/Grants Under Contract $__________

The total estimated costs inclusive of Based and Option Period, if exercised, is as follows:

Other Direct Costs* $__________

Indirect Costs $__________

Subawards/Grants Under Contract $__________

LIMITATION OF FUNDS

The ceiling price of this contract is $xxxx. In accordance with FAR clause 52.232-22, funds currently obligated under this contract are limited to $xxxxx. The contractor is not authorized to incur expenses in excess of $xxxx and shall notify the Contracting Officer in writing whenever it has reason to believe that the costs it expects to incur under this contract in the next 60 days, or when added to all costs previously incurred will exceed 75% of the total obligated amount.

B.5 INDIRECT COSTS (DEC 1997)

For the Prime Contractor:

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

“Major Subcontractors” are those subcontractors whose proposed cost exceeds $1,000,000.

B.6 CEILING ON INDIRECT COSTS

For the Prime Contractor:

(1) Reimbursement for indirect costs shall be at the lower of the negotiated final rates or the following ceiling rates:

(2) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates.

(3) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any change in classifying or allocating indirect costs requires the prior written approval of the Contracting Officer.

For the Major Subcontractor(s):

(4) Reimbursement for indirect costs shall be at the lower of the negotiated final rates or the following ceiling rates:

(5) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates.

(6) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any change in classifying or allocating indirect costs requires the prior written approval of the Contracting Officer.

B.7 COST REIMBURSABLE

The U.S. dollar costs allowable shall 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.

[END OF SECTION B]

SOL-519-12-000003 SECTION D

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

JUSTICE SECTOR IMPROVEMENT PROJECT (JSIP)

C.1 BACKGROUND

The justice sector plays a critical role in Salvadoran society, considering the serious security threat posed by criminal activity in the country. With an average murder rate of 73 per 100,000 people (compared to a worldwide average of 9 per 100,000), El Salvador has one of the highest rates of non-political violence in the world.

While the government recognizes this threat, crimes often go unprosecuted, and unpunished due to the lack of capacity and resources within the justice sector. The limitations of the state to combat and prevent crime erode the confidence of the people and undermine good governance. Sustainable economic and social development also requires governance based on the rule of law; in fact, countries that have strengthened the rule of law over the past 15 years have also seen a decline in homicide rates.

To combat criminality and create a climate for economic growth, the government needs an efficient, well-coordinated, and independent justice sector that can act as a real deterrent to crime. One of the greatest challenges of the judiciary is to improve credibility through efficient investigations and prosecution. Without an efficient and independent judiciary, impunity will perpetuate criminal activity and work done in the investigation phases will be lost.

For example, the police force and prosecutors do not always use scientific evidence effectively because of a lack of understanding of the technical language in the forensic report. New procedures to handle flagrant cases are blocked by burdensome procedures that do not allow for compliance with reduced time limits. New rules of evidence, which form part of the new Code of

Criminal Procedures, impose a more rigorous system of presenting and admitting evidence in trials than what justice professionals are prepared to use. The country’s high crime rates impose the need for streamlined procedures and improved case management, to respond efficiently to ever increasing workloads.

The judiciary plays a significant role in the promotion of transparency within the government with effects farther reaching that just the criminal realm. Through its rulings the Supreme Court can control the abuses on the part of other branches of government. While in El Salvador the

Supreme Court has an Integrity Unit in charge of auditing the assets of designated public officials when they take and leave office, to comply with the legal framework against illicit enrichment, in 2005 the Court removed the unit’s authority to request bank statements of public officials’ assets, thus weakening its investigative ability. Additionally, the Supreme Court has two offices which control the conduct and performance of judges and private attorneys through a system of complaints and procedures in which judges and attorneys can be charged and disciplined. As part of the reforms passed after the Peace Accords, the National Judicial Council

(CNJ) became an independent entity whose members are elected by the National Assembly, and whose mandate is to control the Judiciary by evaluating the performance of individual judges and the justice sector as a whole. The CNJ is also responsible for proposing candidates for entrance into and promotions within the judicial career. In the last decade, the Supreme Court ruled

1 Censo de población y vivienda 2007. And, Policía Nacional Civil figures 2004-2011, given to the U.S. Embassy.

2 El Salvador Joint County Action Plan, November 2011.

http://censos.inei.gob.pe/censos2007/ against the Judicial Council, prohibiting them from reviewing the content of the judgments, leaving the Council with few possibilities of evaluating the quality of justice.

Again, these units that oversee the integrity and conduct of judges and private attorneys are not as effective as they could be due to past Supreme Court rulings that have restricted their actions.

These units also need to provide more information to the public on the results of their investigations.

This is a particularly important time to focus on judicial reform as the current administration has taken steps to promote a transparency agenda and employ change agents. With the election of new Supreme Court Justices, this body has begun to promote a transparency agenda. There have been a number of important rulings that while negatively affecting the interests of other branches of government or influential sectors, were made in the interests of the citizenry as a whole. The

Supreme Court has also begun to expose former corrupt practices in the Court itself and has made necessary adjustments. Given the circumstances, there is a real opening for reforms that will strengthen the judiciary to be more effective and accountable, and to exercise its role in preventing and controlling corruption in other government agencies.

The current Rule of Law Project was designed to support implementation of the new Code of

Criminal Procedures which was approved in early 2009, but did not come into effect until

January 2011. Therefore the project took advantage of the openings in the justice sector to invest heavily in institutional strengthening and change management to increase the capacity of criminal justice sector institutions, and to implement the new legal framework. Results have been very promising: conviction rates have increased, the use of alternative dispute resolution has increased, and murder rates have decreased in the communities where the project was implemented.

Nonetheless, to build on these accomplishments and investments, a second phase is needed to secure the improvements and reforms achieved in the current project especially since most of the initiatives have been only been tried in a pilot phase. The CCP came into effect two years after the project began, effectively limiting the amount of time available for the project to help the

Government of El Salvador solidify the new processes and regulations. New efforts and approaches to strengthen the criminal justice system are urgently required in order to complement and leverage existing crime prevention efforts.

Finally, the recently signed Partnership for Growth Initiative (PFG) between the U.S.

Government (USG) and the Government of El Salvador analyzed and defined two binding constraints to economic growth in El Salvador. The PFG initiative prioritized security as El

Salvador’s primary binding constraint to economic growth, and provides guidance on how programs jointly developed by the USG and the Salvadoran Government can unlock this constraint. Within the context of justice sector programs, The United States Agency for

International Development (USAID) is responsible for leading one goal, and co-leading two others with interagency partners: 1) Professionalize and reform police, prosecutors, judges and security personnel (USAID); 2) Improve the current criminal justice procedures and practices

(USAID, State Department’s office of International Narcotics and Law Enforcement [INL] and the US Department of Justice [DOJ]); and 3) Support community policing program at the

3 USAID Strengthening Democracy, Improving the Justice System in El Salvador, Performance Monitoring Report, FY 2011, Checchi and

Company Consulting, Inc.

national level (USAID and INL). The PFG initiative was agreed to by the USG and the

Government of El Salvador through a Joint Country Action Plan , signed on November 3, 2011.

C.2. SCOPE OF WORK

The components and activities of this program are based on the development hypothesis that if justice sector agencies more effectively pursue crime, while also becoming more transparent, they will reduce impunity, and increase citizen’s confidence in the government.

The purpose of this program is to support existing efforts and initiatives of the Government of El

Salvador to better satisfy the needs of its citizens through an effective, cohesive, and transparent justice system. The program will have a specific focus on two major components: Criminal

Justice Reform and Judicial Transparency. There will also be an overarching Citizen

Participation Campaign that promotes public oversight and awareness of the reforms taking place under the first two components, as well as a study to inform decisions about future utilization of host government systems. The goal is to reduce the rates of impunity, thereby reducing crime, by strengthening the performance of the justice sector, including improving basic administrative structures within the justice sector; ensuring coordination among agencies; building efficiency in controlling responding to crime; and tackling corruption

By the end of this program, USAID expects to increase the Government of El Salvador’s inter-agency cooperation, reduce the current rates of impunity in violent crimes, decrease homicides and robberies through the community policing strategy, and set up the mechanisms and legal framework for increased transparency within the judiciary and to monitor accountability of public officials.

The two major components of this project are at different stages of maturity. The criminal justice portion will seek to expand nation-wide services that have proven to be successful through previous initiatives and will require higher funding levels. However, the judicial transparency portion is a more experimental initiative that will entail revision of existing legal frameworks, advocacy and an initiative for improved accountability within the Supreme Court. These type of activities will require significant political will, but will require considerably less funds than component one of the project.

I. APPROACH

The program will work in partnership with the Government of El Salvador to better satisfy the needs of its citizens through an effective, cohesive, and transparent justice system. USAID/El

Salvador views the implementation of this contract as an ongoing interactive process that builds local ownership and capacity to attain sustainable implementation. Therefore, local capacity development is key to the success of this program and the Contractor should work to create a learning environment that allows for a high degree of flexibility and the continual incorporation of lessons learned throughout the period of implementation. Cross cutting issues such as gender, youth and anticorruption should be incorporated into all components.

The components of the project should be mutually reinforcing. For example, greater transparency in the selection of judges and better controls to reduce the incidence of corrupt

4 The Joint Country Action Plan can be found here:

http://photos.state.gov/libraries/elsavador/92891/octubre2011/Joint_Country_Action_Plan.pdf http://photos.state.gov/libraries/elsavador/92891/octubre2011/Joint_Country_Action_Plan.pdf judges will result in a more effective and efficient criminal justice system. Likewise, a stronger role in controlling corruption will result in greater credibility in the judiciary, prompting more citizens to report crimes.

There will also be an overarching Citizen Participation Campaign that promotes public oversight and awareness of the reforms taking place under the different components of the program, as well as a study to inform decisions about future utilization of host government systems.

Finally, as to the Criminal Component of this program; the fact that the criminal justice sector produces one single result calls for a unified vision that enhances collaboration and ensures that processes carried out by one institution will adequately support the rest of the system. Therefore, a complaint presented at the police unit passes through all justice sector institutions until a decision is made by a competent judge. The aggressor in this situation would then go through an effective rehabilitation system to reduce recidivism. Thus, the greatest challenge is to support the criminal justice system to improve its efficacy as a unified sector so as to effectively reduce the rates of impunity. The approach is holistic to ensure connectivity and coordination between

Justice Sector partners.

Geographic Focus

Due to their nature, most of the activities will be carried out at a central government level, but will benefit the whole country. For instance, systems set up to improve efficiency at the prosecutors’, public defenders’, or forensic unit’s main offices will improve services in the whole country and facilitate the production of consolidated performance reports. A few activities such as community policing programs, victim’s assistance centers and other specialized units will be carried out in the different departments. In this case, the specific locations will be determined in collaboration with the Government of El Salvador to ensure sustainability and their commitment to provide personnel and resources.

1. Proposed Implementation Plan and Expected Results

The project has three components: Criminal Justice Reform, Judicial Transparency, and an overarching Citizen Participation and Host Country Ownership component that promotes public oversight and awareness of the reforms taking place under the first two components. The third component also includes a feasibility study of potential methods for using local justice institutions’ systems as direct aid recipients in future programming.

Illustrative activities envisioned for the project support the framework set forth by the US/GOES bilateral PFG Joint Country Action Plan are:

COMPONENT 1: CRIMINAL JUSTICE REFORM approximately

This component has three main subcomponents, described below:

Subcomponent 1.1: Raise professional standards for justice sector personnel

A. Improving coordination mechanisms and capabilities of justice sector officials for the implementation of the new Code of Criminal Procedures

Under its current project, USAID/El Salvador has achieved positive results in raising professional standards of justice sector officials, training many justice sector personnel on the new CCP, supporting legal institutions, and establishing a number of victims’ assistance centers.

In order to build on this additional capacity across the justice sector, USAID expects to work on increasing cooperation and collaboration among the National Civil Police (PNC), forensics units, the Prosecutor’s Office, the Public Defender’s Office, and the courts to improve their efficiency and effectiveness in processing criminal cases. These results will be achieved through illustrative activities such as: furthering the successful implementation of a newly designed police/prosecutor manual, and training of justice sector officials in ―theory of the case methodologies‖ to guide them on how to plan and organize resources, and successfully pursue and solve cases.

Certain aspects of the new CCP, such as the rules of evidence impose a more rigorous system of presenting and admitting evidence in trials and represent one of the main accusatory elements of the Code. Justice sector professionals have only been trained through a training-of-trainers approach, which has proven to be insufficient to properly implement this reform. Implementing on behalf of USAID, the resulting contractor is expected to develop and impart a thorough training program to address the needs of all justice sector personnel who engage in these activities.

The USAID program will also expand a leadership and mentorship training program offered to mid-level police officers of the PNC to other echelons of the police institution, as well as other justice sector agencies, to initiate change management processes to help them evolve into more service oriented institutions.

Support will also be given for professional programs that instruct justice sector personnel and those studying to join these professions on appropriate professional standards and practices.

Finally, it is expected that the new project will capitalize on its previous work with the Justice

Sector Coordinating Commission (CCSJ) to integrate efforts towards effective implementation of the CCP and to ensure a unified vision and common objectives leading to an improved criminal justice sector in El Salvador. Progress measures for these activities include:

Expected results:

Increased inter-agency cooperation through training justice sector personnel in implementation of the new joint police/prosecutor investigation manual and inter-agency collaboration

Strengthened leadership skills among justice sector personnel through training such personnel in a leadership/mentorship program

Illustrative Indicators for base period:

20% change from baseline in the number of justice sector personnel trained in leadership/mentorship program at end of base period.

15 % change from baseline in number of justice sector employees reporting that investigation procedures prescribed by the new joint investigation manual are followed at end of base period.

Illustrative Indicators for Option Years:

10% additional increase in number of justice sector personnel trained in implementation of new joint police/prosecutor investigation manual and implementation of new CCP and inter-agency collaboration each year.

10% additional increase in number of justice sector personnel trained in and leadership/mentorship program each year.

Required Standard and Central America Regional Security Initiative (CARSI) Indicators:

Number of justice sector personnel that received USG training

B. Improve criminal investigations, including a wider use of scientific evidence

USAID expects the Contractor to improve the investigative capacity of prosecutors and police investigators to solve violent crimes that affect major human rights and have high rates of impunity, such as intentional homicides, intentional injuries, and gender violence. A key challenge facing the security sector is that the police force and prosecutors and other justice sector personnel do not use scientific evidence properly, sometimes requesting irrelevant reports, failing to obtain the necessary testing from the victim in a timely manner, and other times misusing the evidence gathered because of a lack of basic understanding of the technical language in the forensic report.

To improve this situation, the Contractor will develop the institutional capacity of the police, prosecutors and other justice sector personnel by providing guidance on the testing needed for victims at their first exposure to the justice system through the victims’ assistance model, thus reducing the number of requests for unnecessary testing. The Contractor is also expected to establish joint protocols and procedures that will guide the requests of justice sector personnel to the units that provide forensic services, and provide instruction to relevant personnel on the correct use and interpretation of forensic reports. Progress measures for these activities include:

Increased appropriate and efficient use of scientific evidence in homicides, intentional injuries and gender violence, through the establishment of protocols and procedures throughout the justice process.

Improved victims’ assistance through the establishment of a system that ensures victims in targeted areas receive proper forensic testing at first interaction with the justice system.

At least 2 Protocols/procedures implemented to ensure scientific evidence is processed and utilized properly and efficiently by end of base period.

15% percent change from baseline in the number of victims who receive proper forensic testing at first encounter with justice system at end of base period.

Illustrative indicators for Option Years:

Protocols/procedures for proper processing and utilization of forensic evidence implemented in at least 2 additional locations each year.

10% increase in number of cases in which scientific evidence is introduced each year.

10% additional increase in number of victims in selected areas that receive proper forensic testing at first interaction with justice system each year.

Required Standard and CARSI Indicators:

Arrest to conviction ratio in countries where the U.S. is providing related assistance

(CARSI).

Number of cases where scientific evidence is admitted at trial (PFG).

Subcomponent 1.2: Improve the current criminal justice procedures and practices

USAID has seen impressive results in this area of its current project, such as a 100% compliance with reduced timelines set by the new CCP for cases where the aggressor is caught in the commission of the crime (flagrant cases) in the selected localities. USAID intends to build on this success by supporting the Salvadoran government’s efforts to further implement the CCP, which took effect January 2011, with the addition of several new units that handle these types of cases throughout the country. The project also will improve existing practices, making them more conducive for successful implementation of the new legal framework.

USAID expects to extend its support for specialized judicial initiatives through activities such as providing nationwide assistance to victims of domestic and sexual violence and improving the judiciary’s case resolution rates through the introduction of proper guidance and testing.

Through the new project, USAID will also engage and encourage civil society to improve the justice sector by supporting victims’ assistance centers, observatories on justice sector performance to improve accountability, and strengthening community relations with police and other law enforcement entities as addressed under Subcomponent 1.3. Likewise, the project will expand pilot initiatives to increase citizens’ access to justice through mediation and alternative dispute resolution, information centers to guide citizens through the judicial process, and support the streamlining of procedures through ―model courts‖ of first instance, designed to handle the additional workload created by the new summary procedures for flagrant cases.

To improve efficiency, the project will build on past efforts and expand and consolidate specialized units in the Prosecutor’s Office to handle all types of minor and flagrant cases, as well as increase the coverage of the Public Defender’s Office, as the new procedures have created additional workloads that require more effective systems. The project will also expand support for the reengineering processes initiated in the PNC, Prosecutor’s Office, and Public

Defender’s Office to improve efficiency and become customer service oriented institutions.

Alternative sentencing for youth and adults will also be advocated and strengthened by the identification and expansion of community service options to satisfy sentences. Other activities include enhancing mediation/restorative justice measures, and strengthening monitoring capabilities to ensure compliance and positive reintegration of offenders into communities. This aspect of the project is expected to help reduce recidivism. USAID further expects to help government authorities increase the number of cases resolved through Alternative Dispute

Resolution.

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Finally, the Contractor is expected to provide technical assistance to prosecutors and police to improve their capacity to analyze cases and establish linkages between crimes in order to improve the investigative capacity in cases such as serial rape, femicide (targeted killing of women), crimes committed by minors, and domestic violence. Some of these cases have links within family units and may benefit from early screening for such relationships so their processing can be coordinated. Following such links can help prevent additional violence, and reduce recidivism and impunity.

Progress measures for these activities include:

Improved services and due process for victims of gender violence and other violent crimes through the establishment of new victims’ assistance centers in selected areas.

Increased efficiency in solving cases and streamlining of procedures through establishment of new specialized units to handle minor and flagrant cases in selected major prosecutors’ offices.

Increased access to justice through the implementation of protocols and procedures in peace courts that allow for quicker, more efficient case processing in additional jurisdictions.

Improved positive reintegration of offenders through increased use of alternative sentencing and restorative justice measures.

Improved quality of case resolution through establishment of protocols for coordinating the processing of related cases in targeted areas.

Improved investigation results through the training of police officers at the sub-delegation and local unit levels of the PNC in investigative techniques in selected areas.

At least 5 new victims’ assistance centers established by end of base period.

At least 5 additional peace courts complying with case distribution systems, improved access to information and attention to users.

10% percent increase from baseline in cases resolved using alternative or simplified procedures (e.g. Alternative Dispute Resolution, alternative sentencing, expedited procedures, restorative measures etc.).

At least 3 new protocols/procedures established for coordinating the processing of related cases in targeted areas by end of base period.

10% percent increase from baseline in cases investigated at the sub-delegation/local unit level of the PNC where a formal accusation is filed, at the end of base period.

At least three additional new victim assistance centers established each year.

At least three additional peace courts complying with case distribution systems, improved access to information and attention to users for each year.

5% increase each year of cases resolved using alternative or simplified procedures (e.g.

Alternative Dispute Resolution, alternative sentencing, expedited procedures, etc.).

Protocols established for coordinating the processing of related cases in at least 2 additional jurisdictions each year.

10% increase each year in the number of cases investigated at the sub-delegation/local unit level of the PNC where a formal accusation is filed.

Number of individuals/groups who received legal aid or victim's assistance with USG support.

Percent of citizens expressing confidence in the justice system in USG-supported communities (CARSI).

Arrest to conviction rates in countries where the U.S. is providing related assistance

(CARSI).

Percent of summary procedure cases whose length of time for resolution is in compliance with the new CCP timelines (PFG).

Number of people reached by USG funded intervention providing gender based violence services (Disaggregate: men, women, ages 10-29, and 30+) (PPR Guidance).

Subcomponent 1.3: Community Policing (IRs 1 and 1.2)

Significant gains have been made through the community policing aspects of the current project.

In the areas where community policing has been implemented, murder rates have decreased 27% and robbery rates have decreased by 33%, while confidence in the police increased.

USAID

plans to build on its previous success supporting the PNC in its effort to become a more community-oriented model of operation. Using ―change management‖ theory to identify change leaders or ―champions,‖ the project will take advantage of existing leadership capacity to guide the PNC towards a cooperative and productive relationship with citizens. This approach focuses on human resources, management policies and practices, professional development, and awareness training. Project efforts will include supporting a reengineering plan within key units of the PNC to identify and address organizational and management challenges.

USAID plans to expand the community policing model piloted successfully in various municipalities under the current project. The model is a joint effort among the PNC, municipal officials, and other local officials to address drivers of insecurity in each community. Security action plans are drafted to tackle crime problems and to identify solutions for each community.

Crime indices are monitored closely and police officials are held accountable for results.

Greater presence of the community policing model throughout the country by implementing the model in additional municipalities.

Improved community service orientation of the police institution through implementing change management theory training.

15 new communities implementing a community policing program by end of base period.

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10% improvement in Citizen Perception – Trust in the police in USG-supported communities (CARSI).

Community policing model implemented in at least 5 new municipalities each year.

5% improvement in Citizen Perception – Trust in the police in USG-supported communities each year (CARSI).

Homicide rates in USG-supported communities (CARSI).

Incidence of selected violent crimes in targeted communities (PFG).

It should be noted that this component will not be implemented prior to USAID receiving appropriate authorization for conducting police-related activities pursuant to Congressional mandate. Furthermore, all law enforcement personnel expected to receive training under this project must undergo the requisite vetting process before participating.

COMPONENT 2: JUDICIAL TRANSPARENCY

This Component also has three main subcomponents, described below:

Subcomponent 2.1: Strengthened Enforcement of Illicit Enrichment Law and

Investigation of Corrupt Judges and Attorneys (IRs 2 and 2.3)

This activity area strengthens units in the Supreme Court that are responsible for investigating illicit enrichment by public officials (Unidad de Probidad) and corrupt practices by judges and attorneys working in the judicial sector (Unidad de Investigacion Judicial y Unidad de

Investigacion Profesional).

A. Strengthening of the Integrity Unit

First, the project seeks to strengthen the capacity of the Integrity Unit of the Supreme Court in its responsibility for auditing public officials of other government institutions. All public officials and employees who manage budgets are required to present a formal statement of their assets before and after taking office to the Integrity Unit of the Court. The office can also conduct investigations if they have credible reasons to believe there has been some act of corruption, or to corroborate the information presented. The procedures and mandate of this unit are regulated by a Law called ―Ley de Enriquecimiento Ilícito de los Empleados Publicos‖, which dates back to 1959. During the last decade, there have been some proposals to update this law and make it more effective. The need to reform this law was aggravated by a decision in 2005 by the former

President of the Court which took away the Integrity Unit’s ability to request bank statements to monitor and investigate illicit enrichment. In order to function properly, the unit needs adequate tools and sufficient independence to perform their duties. The legal framework needs to be discussed and revised so that the unit can carry out its responsibilities.

B. Strengthening of the Investigation Units

The second aspect of this activity area addresses corrupt or illegal practices among attorneys and judges by strengthening the Investigation Units of the Supreme Court. For these two units to have a more prominent role in promoting transparency, they must function more independently and provide public access to the results of their investigations. Apart from the legal community, very few people are aware of their existence and the possibility to file complaints against judges or private attorneys for corrupt or arbitrary acts. The project will support the Supreme Court in revising and strengthening the procedures of these units to establish an effective disciplinary system to control arbitrary and corrupt practices in the legal profession. Illustrative activities may include: (a) Conducting an evaluation of the procedures and functioning of these units to provide recommendations for increased effectiveness; (b) Development of an outreach campaign to inform citizens of the procedures to file complaints; (c) Establishment of adequate processes to inform the interested party and the public of the results of the investigations in accordance with the new Access to Information law. Progress measures for these activities include:

Legal framework against illicit enrichment revised and updated to strengthen the power of the Integrity Unit for investigating and making charges related to illicit enrichment.

New procedures developed for the Integrity Unit to prevent, detect and control corrupt practices by public officials.

Procedures of the Supreme Court’s Investigations Units revised for improved effectiveness as well as improved systems to inform the public on the results of their proceedings against judges and private attorneys for corrupt or arbitrary acts.

A new or improved system is designed, tested and implemented to inform the public on the results of their proceedings against judges and private attorneys for corrupt or arbitrary acts.

Draft version of revised illicit enrichment legal framework consulted publicly.

At least 2 new or improved procedures developed for the Integrity Unit to prevent, detect and control corrupt practices by public officials.

At least 2 new or improved procedures developed for the Supreme Court’s Investigations

Units for improved effectiveness.

A new or improved system is designed and tested to inform the public on the results of their proceedings against judges and private attorneys for corrupt or arbitrary acts.

Illustrative Indicators for Option Years:

At least one additional procedure developed or improved for the Integrity Unit to prevent, detect and control corrupt practices by public officials…