TRANSPARENCY_SOL-519-15-000008.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) 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 173

SOL-519-15-000008

X

July 23, 2015

USAID/El Salvador

Regional Office of Acquisition and Assistance

3450 San Salvador Place

Washington, DC 20521-3450

Electronic only

2:00 pm September 16, 2015

BLANCA IBARRA

Supervisory Contracting Officer

503 2501-3331 3331 bibarra@usaid.gov

X 1

X 3-7

X 8-28

X 29-30

X 31-33

X 34-41

X 42-46

X 47-68

X 69-111

X 112

X 113-129

X 130-152

X 153-157

PART I – THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 PURPOSE

The Contractor will work in partnership with the Government of El Salvador (GOES) for effective implementation and compliance with regulations that enhance transparency and accountability in government. The contractor will target assistance to strengthen oversight institutions as well as support effective implementation in selected GOES agencies. Support will also be provided to a selected group of municipalities to achieve full implementation of the access to public information and ethics laws. The Contractor will also partner with civil society to foster citizen participation, oversight of public resources and GOES decision making processes, advocate for outstanding reforms, and promote universal application of transparency tools among the population, especially vulnerable populations. These efforts will contribute to institutionalize and expand transparency and citizen oversight, thereby increasing accountability and reducing opportunities for corruption.

B.2 CONTRACT TYPE

This is a FAR 16.102(B) combination award consisting of a Cost Reimbursement Completion

(CLIN 001) and a single award Indefinite Delivery/Indefinite Quantity (IDIQ) type contract

(CLIN 002) for the purpose of providing technical services that contribute to institutionalize and expand transparency and citizen oversight, thereby increasing accountability and reducing opportunities for corruption.

Under the Cost Reimbursement Completion portion of the contract (CLIN 001), the Contractor shall furnish all personnel, materials, equipment, supplies, facilities, services (except as expressly set forth in this contract as furnished by the Government) and perform all activities necessary for, or incidental to, the performance of work described in Section C and other sections of the contract not specifically identified under CLIN 002 as the IDIQ Supplemental Technical Assistance.

Under the IDIQ portion of the contract (CLIN 002), the contractor must furnish additional technical assistance arising out of or related to the completion portion of the contract, as required by Government-issued Task Orders. The services shall be ordered in accordance with Section H entitled “Ordering Supplemental Technical Assistance (CLIN 002)” and the IDIQ clauses in

Section I as this CLIN is part of this contract and not a stand-alone award, the Government is not required to state or order any minimum number of person-days as otherwise provided in FAR

16.504(a)(1)). The other CLINs contained in this contract provide sufficient consideration to make this a legally binding contract, and the Government has not obligation to fund or order under this CLIN.

B.3 ESTIMATED COST, FIXED FEE, AND OBLIGATED AMOUNT CLIN 001

(a) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, if any, is $TBD. The fixed fee, if any, is $TBD and the estimated cost plus all fixed fee, if any, is $TBD.

(b) Within the estimated cost plus all possible fee (if any) specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable and allocable costs incurred by the Contractor (and payment of fee, if any) for performance hereunder is $ TBD.

The Contractor must not exceed the aforesaid obligated amount unless authorized by the

Contracting Officer pursuant to the clause of this contract entitled “Limitation of Funds”

(FAR 52.232-22) as indicated in Section I of this contract.

(c) Funds obligated hereunder are anticipated to be sufficient through [TBD]

B.4 ESTIMATED COST AND FIXED FEE FOR CLIN 002

(a) The total estimated ceiling cost of this CLIN is $4,000,000.00 inclusive of the associated fee.

The fee is $ [TBD].

(b) The estimated cost of this CLIN includes the following estimates for material, equipment, subcontracts, travel, and training required for performance of the total amount of work that can be ordered by the Government under this CLIN during the life of this contract. The amount of ordered Other Direct Costs will not exceed $1,800,000.00.

(c) Level of Effort. In performing Government orders for Technical Assistance under this

CLIN, the Contractor is obligated to provide up to a maximum of 3,900 person-days.

The fee set forth in B.4 (a) is based upon furnishing the level-of-effort specified in paragraph (c) above. The total estimated cost and fixed fee will be established in the individual Government issued Task Orders and shall not exceed the amounts set forth in Section B.4 (a).

B.5 CONTRACT BUDGET

As the period of performance for this contract is five (5) years, the CLIN budget structure is broken out into five, one-year increments, of which the first three years consist of the base period and the remaining two years are the option years as follows:

CLIN

No. 001

CLIN

DESCRIPTION

Base

Year 1

Base

Year 2

Base

Year 3

Option

Year 4

Option

Year 5

Total

001a

Direct Costs

001b Indirect costs

001c Grants under

Contract

$3,000,000

001d Total Fixed Fee

Total CLIN 001

Supplemental Technical Assistance Total

002a Labor Costs $

002b Other Direct Costs $1,800,000

002c Indirect Costs $

002d Fixed Fee $

Total CLIN 002 $4,000,000

Total estimated costs CLINs 001 and 002: $TBD

B.6 INDIRECT COSTS

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 TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined

Period:

B.7 CEILING ON INDIRECT COSTS

Reimbursement for allowable indirect costs shall be at final negotiated rates but not in excess of the following ceiling rates:

Description Rate Base Type Period

TBD TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined

Period:

The government will not be obligated to pay any additional amount on account of indirect costs above the ceiling rates established in the contract. This advance understanding will not change any monetary ceiling, cost limitation, or obligation established in the contract.

B.8 COST REIMBURSABLE

Allowable costs 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.9 PAYMENT OF FIXED FEE

Pursuant to FAR 16.306 (d), the fixed fee payable under this contract will be tied to the completion of the reports and deliverables specified in Section C and Section F of this contract and in accordance with approved Fee Schedule below.

Deliverables: The fee payments will be determined according to the following Fee Schedule:

[The following is an illustrative table which will be filled in at time of award]

Upon successful achievement of the deliverable, the Contractor shall provide evidence of its achievement to the Contracting Officer’s Representative and the Contracting Officer. Upon acceptance by USAID and issuance of a written approval by the Contracting Officer, the

Contractor shall submit an invoice for the amount associated with the fee.

B.10 MULTI-YEAR CONTRACT

CLIN 001 is considered non-severable, and is therefore a multi-year contract as defined in FAR

17.103. Therefore, this contract is subject to the requirements of FAR 17.106.

YEAR/DELIVERABLES Completion

Date

Percent

Fixed Fee

Amount of

Fixed Fee

CLIN 0001:

Deliverable (TBD) % $

Deliverable (TBD) % $

Deliverable (TBD) % $

Deliverable (TBD) % $

CLIN 0002: Supplemental Technical

Assistance

Deliverable (TBD) % $

Deliverable (TBD) % $

Deliverable (TBD) % $

Deliverable (TBD) % $

Total

Cancellation Dates:

Contract Year 2: DATE TBD, 2017

Contract Year 3: DATE TBD, 2018

Contract Year 4: DATE TBD, 2019

Contract Year 5: DATE TBD, 2020

Cancellation Ceiling:

This is a combination contract type consisting of a CPFF completion and IDIQ type line items where the contractor is authorized to be reimbursed for all costs which are allowable in accordance with FAR 52.216-7, “Allowable Costs and Payment”. Therefore, the contractor will not incur any costs which would have been amortized over the life of the contract should the contract be cancelled in accordance with FAR 52.217-2. Therefore, the cancellation ceiling for each cancellation date is [TBD].

[END OF SECTION B]

SECTION C - DESCRIPTION/SPECS./WORK STATEMENT

C.1 BACKGROUND

Corruption undermines social, political, and economic development, disrupts the delivery of services and efficient resource allocation, and weakens democracy. Where institutions are weak, there is room for criminal organizations to flourish and infiltrate the government. Strongly linked with insecurity, corruption increases opportunities for criminal entrepreneurs and facilitates impunity. It diverts resources that could be invested in social programs and law enforcement activities, contributing to instability and high levels of crime. Corruption persists in environments with limited transparency and oversight. Initiatives that promote access to information and allow citizens to monitor government decision making processes and public resource investment are key to increasing accountability and combatting corruption.

USAID’s work has been essential to move forward the transparency agenda in El Salvador, principally through the implementation of two activities during the period of 2005 - 2015. Those activities were the USAID/Central America and Mexico, Transparency and Accountability activity (2005-2009), and the USAID/El Salvador, Transparency and Governance activity

(2009-2015). Recognizing the need to promote transparency from various fronts, USAID partnered with the Government of El Salvador (GOES), civil society and the private sector to advance important reforms in the area. These activities were implemented during a period of political will from the sectors involved and in a positive, pro-transparency, international context in which organizations such as the United Nations (UN) and the Organization of American States

(OAS) prompted state members to adopt conventions to implement transparency measures . In addition, the Millennium Challenge Corporation (MCC) and international financial institutions such as the World Bank required El Salvador to meet certain transparency standards to be eligible for loans or development assistance.

The need to comply with international standards along with an active civil society generated positive conditions to promote important reforms in the last 10 years, so that transparency became a citizen right in El Salvador. The access to public information law and reformed government ethics law, effective since 2012, are essential tools to institutionalize transparency and accountability in public service. Likewise, the implementation of other USAID-funded discrete and pilot transparency initiatives in recent years, such as integrity pacts in the construction sector, access to public information offices across the government, transparency websites, citizen observatories and public accountability sessions have also contributed to increase government transparency and responsiveness to civil society.

In spite of the important advances that have been achieved in the institutionalization of transparency as a citizen right, the implementation of the reforms has been slow. Recent reforms and an emerging demand from civil society have helped create new, independent and stronger institutions whose role is to increase transparency in the public sector. However, at this point, the new institutions still lack adequate resources, expertise, and are not fully operational.

The abuse of entrusted authority by public functionaries for private gain

The OAS’s Interamerican Convention against Corruption was ratified by El Salvador in 1998 and the UN

Anti-corruption Convention was ratified in 2003.

Moreover, an attempt in early 2013 to undermine the access to public information law showed that some sectors are still uncomfortable with providing citizens the right to monitor how public resources are used. In this context, the role of the civil society sector to stop attempts to diminish the effectiveness of the achieved reforms is essential for their sustainability and for achieving real accountability.

Salvadorans still perceive that there are corrosive/significant levels of corruption within the

Government. The Transparency International (TI) Corruption Perception Score (CPI Score) for

El Salvador shows small improvements in the past five years, fluctuating between 32 and 39 points (out of a maximum of 100 points). Countries with a score of less than 50 points are considered to have “a serious corruption problem” by TI. Likewise, the Latin American Public

Opinion Project (LAPOP)’s bi-annual survey shows a similar stagnation in its perception of corruption measure where the latest result in 2014 is higher than the one in 2004 (67.7 points out of a maximum 100). Although approval of the reforms was expected to generate a positive impact on these indicators, the fact that the reforms have exposed the GOES to closer monitoring and that corrupted practices persist have caused this “zero improvement” effect.

A follow-on USAID activity is needed to secure the reforms achieved in previous activities, to build on accomplishments, and help key GOES institutions and civil society to properly implement and make the reforms sustainable to hold government accountable and decrease opportunities for corruption. With proper support, El Salvador can take advantage of this unique moment to apply enacted reforms effectively, advocate for additional reforms, consolidate oversight institutions, and significantly advance the fight against corruption in El Salvador.

Likewise, a massive dissemination of transparency tools among the general population is needed, particularly in the rural areas, and among vulnerable populations, including youth. Of particular importance is the implementation of the access to public information law and government ethics law at the municipal level, where important gaps exist. In addition, there are outstanding reforms that would directly impact anti-corruption efforts in El Salvador, particularly in the area of civil service.

C.2 COLLABORATION WITH THE GOVERNMENT OF EL SALVADOR.

El Salvador is one of four countries in the world where the Partnership for Growth Initiative (PFG) is under implementation. This initiative is an innovative approach to bilateral cooperation that joins the United States and El Salvador as partners in targeting El Salvador’s main obstacles to economic growth. After a constraints analysis performed in 2011, it was determined that the main obstacles to economic growth in El Salvador were lack of security and low productivity in the tradable sector; as a result, a series of goals to tackle those constraints were agreed between the two governments.

This new transparency activity will contribute to the achievement of two PFG goals of the security constraint: (1) Goal #4 “Facilitate economic growth by ensuring El Salvador’s labor force is protected from crime while in transit to and from work, and ensuring that the public transportation service providers serving the labor force are protected from crime.” The activity will contribute to this goal through the implementation of transparency measures at the transportation authority and (2) Goal #6 “Professionalize El Salvador’s civil service and enhance public confidence in the government,” supporting the implementation of the access to public information law and promoting a civil service reform.

In addition to the PFG initiative, the activity aligns with the GOES’ Plan de Gobierno 2014-2019

EJE10: “Lo haremos con la ciudadanía”, and in collaboration with other USG agencies, will contribute to the “Northern Triangle Alliance for Prosperity Plan.” This plan outlines medium-term working guidelines and commitments by regional leaders of El Salvador, Honduras and Guatemala to tackle conditions for illegal migration to the United States. Commitments are aimed to improve the work and business climate, ensure more effective government, create jobs, reduce poverty, improve the quality of services and expand economic opportunities for all of those in search of a better life. This new activity will contribute to strategic action “Strengthening institutions to increase citizen trust in the State” by strengthening accountability through institutionalizing of transparency and accountability initiatives across the GOES and increasing civil society’s oversight capacity.

C.3 COLLABORATION WITH OTHER USAID PROJECTS, USG AGENCIES AND

INTERNATIONAL DONORS

The contractor will support USAID’s efforts to avoid duplication and to enhance synergy with other stakeholder’s initiatives related to transparency and accountability. Coordination with other USAID contractors, USG Agencies, and other donors will be key to maximize synergy and obtain best results.

Other USAID/EL Salvador Activities

USAID/El Salvador’s Justice Strengthening Activity, includes a judicial transparency component.

The main partners for this intervention are the Supreme Court of Justice (SCJ) as well as some civil society organizations (CSOs). Through this component, USAID supports the enforcement and update of the illicit enrichment law (or Ley de Probidad) by strengthening the Integrity Unit and the Investigation Unit located at the SCJ.

USAID/El Salvador’s Fiscal Policy and Expenditure Management Activity, provides assistance to the Ministry of Finance (MOF) and related government institutions to promote the importance of fiscal transparency, including the provision of tools and adequate training to MOF personnel to address transparency issues. The program is also helping to create an online and accessible public expenditure tracking system.

USAID/El Salvador’s Higher Education partners with the GOES and local universities to build the human and institutional capacity development of Salvadoran higher education institutions and the effectiveness of key government and higher education entities to provide educational programs and research that contribute to the country's economic growth.

Vice-Ministry of Transportation in the Ministry of Public Works.

http://www.presidencia.gob.sv/wp-content/uploads/2014/06/478601347_doc-audio.pdf http://www.presidencia.gob.sv/wp-content/uploads/2014/06/478601347_doc-audio.pdf

At the municipal level, USAID/El Salvador currently supports crime prevention activities through various mechanisms and implementing partners in thirty five municipalities; these activities partner with municipal governments and non-governmental organizations (NGOs) to develop crime prevention plans. Those activities are “Community-based crime and violence prevention.”

Other US Government Agencies (USG)

The US Department of Justice (DOJ) and ICITAP are the goal leaders and implement the main lines of action under PFG Goal # 4 “Facilitate economic growth by ensuring El Salvador’s labor force is protected from crime while in transit to and from work, and ensuring that the public transportation service providers serving the labor force are protected from crime,” related to law enforcement and strengthening of the investigation capacities of the National Civilian Police and the Attorney General’s Office.

Other Donors

The Spanish Cooperation (AECID) also provided technical assistance to the GOES for the development of the new civil service reform bill (Anteproyecto de Ley de la Función Pública), and also funds activities to promote its passage.

The International Labor Organization (ILO) accompanied the public consultation process of the civil service draft bill, mediated with unions and also developed a technical review of the contents of the bill.

The United Nations Development Program (UNDP) implements transparency and access to public information initiatives in support of the GOES’ Institute of Access to Public Information as well as the Secretary of Citizen Participation and Transparency. In addition to that, the UNDP monitors the commitments under the UN Anti-corruption Convention.

The European Union has supported CSOs to develop materials related to access to public information and has sponsored some training activities.

C.4 APPROACH.

USAID/El Salvador will work in partnership with the GOES for effective implementation and compliance with regulations that enhance transparency and accountability in government. This activity will target assistance to strengthen oversight institutions as well as support effective implementation in selected GOES agencies. Support will also be provided to a selected group of municipalities to achieve full implementation of the access to public information and ethics laws.

USAID/El Salvador will also partner with civil society to foster citizen participation, oversight of public resources and GOES decision making processes, advocate for outstanding reforms, and promote universal application of transparency tools among the population, especially vulnerable populations. These efforts will contribute to institutionalize and expand transparency and citizen oversight, thereby increasing accountability and reducing opportunities for corruption.

Interventions targeting civil society and government are mutually reinforcing. For example, a grant pool for CSOS will be available to implement monitoring and oversight of public resources.

At the same time, USAID/El Salvador will support a group of central government institutions to generate a positive interaction with civil society and be responsive to their demands. Likewise, the civil service reform process and professionalization of the public service workforce, an area where the GOES has taken the lead as part of the PFG initiative (Goal # 6), will be complemented by civil society efforts.

USAID/El Salvador will encourage the use of innovative approaches to implement transparency initiatives at the national and municipal level and expand the use of information technology (IT) tools and social media to contribute to the achievement of expected results. Likewise, USAID will encourage the development of research and tracking tools to measure progress in the areas of transparency and accountability such as national rankings, scorecards, studies and surveys.

C.5 STRATEGIC FRAMEWORK.

The components of this activity are based on the development hypothesis that well-functioning of transparency and accountability regulations and policies and an active and informed civil society can effectively increase accountability and reduce opportunities for corruption in El Salvador, and lead the country to higher levels of citizen security and development.

All components under this Statement of Work (SOW) contribute to the achievement of Project

Purpose: Justice, transparency and accountability in key institutions improved” under

Development Objective 1 (DO1): “Citizen security and rule of law in targeted areas improved” of the Country Development Cooperation Strategy (CDCS) Goal “Broad based economic growth in secure El Salvador expanded.” The following diagram reflects how all components in this SOW contribute to every output and sub-purpose included in the CDSC-DO1 logical framework.

(See diagram on next page)

Justice, Transparency and Accountability Project

Results Framework

By the end of this activity, USAID/El Salvador seeks to achieve its goal of an “improved transparency and accountability in key institutions”, by increasing GOES’ compliance with transparency and public service regulations, developing capable and independent GOES oversight institutions, and enhancing civil society monitoring and advocacy of reform implementation and appropriate use of public resources.

C.6 SCOPE OF WORK

The scope of this new Transparency and Accountability activity has been developed within the strategic framework of the CDCS DO1 in consultation with the GOES and civil society. By the end of this activity in 2020, USAID seeks to achieve its goal of an “improved transparency and accountability in key institutions” by promoting policy reform and implementation, as well as an increased effectiveness and professionalism of public employees. Therefore, this new activity will be responsible for creating conditions within the GOES to embrace and comply with transparency reforms, foster ethical behavior and increased professionalism among public officials, and promote citizen participation and monitoring of public resources.

USAID’s Democracy and Governance portfolio is implemented through a variety of grants and cooperative agreements and contracts. The contractor shall work in coordination with USAID/El

Salvador and these entities and continually seek to achieve synergies and prevent duplication of efforts.

USAID encourages offerors to propose initiatives to engage vulnerable populations (women, rural, indigenous, disabled, LGBTI, youth) in transparency work and, as relevant, address these group’s issues through policy, access to public information and other transparency mechanisms.

The contractor will achieve the results under the following Objectives and components:

Objective 1: Strengthened GOES’ transparency, accountability and professional standards.

Component A: Capacities of regulatory agencies that oversee transparency and ethics regulations increased;

Component B: Central government’s transparency increased;

Component C: Professionalization of Central GOES public servants enhanced;

Component D: Transparency and professionalism at the municipal level increased;

Objective 2: Increased citizen oversight, participation and awareness of anti-corruption reforms.

Component A: Civil Society’s capacities to monitor public resources and combat corruption strengthened; and

Component B: Transparency rights in vulnerable populations expanded.

Objective 1: Strengthened GOES’ transparency, accountability and professional standards.

El Salvador has advanced in the area of transparency by approving regulations that are implemented by independent institutions, which provide incentives for citizen monitoring and oversight of appropriate public resource usage. However, one of the main findings of the mid-term evaluation of the previous Transparency activity was that there is still weak institutionalization and implementation of transparency practices across the GOES.

Activities implemented under this Objective will address the needs of key oversight institutions to effectively promote implementation of transparency and professionalism regulations, and will assist select GOES institutions at the national and municipal levels to better respond to access to public information requirements, as well as to implement more expansive open government and accountability practices. Under this Objective, the activity will also assist the GOES in complying with ethics standards and professionalizing the public service workforce through the promotion of civil service reform and optimization of select human resource management processes.

Page 4, Report on the Mid-Term Performance Evaluation of the USAID Transparency and Governance Activity, Development Training Services, Inc., December of 2012.

Component A: Capacities of regulatory agencies that oversee transparency and ethics regulations increased. (Linked to Output 2.2 of the Strategic Framework)

The recently created Institute of Access to Public Information (the Institute) is the independent

GOES Agency responsible for ensuring access to public information. The Institute’s initial startup was very slow. The appointments of the commissioners that represent five civil society sectors were completed one year after the law came into effect, and the budget was allocated seven months after the appointments were confirmed.

8.

The Institute faces challenges in the implementation of the access to public information law.

This is associated with its relative institutional youth and the fact that there is still resistance among public officers at the central and municipal levels to being held accountable for providing information to the citizens

. During its first year of existence, the Institute received 166 complaints; some of them were complex involving important GOES institutions such as the

Legislative Assembly, the Supreme Court of Justice and the Supreme Electoral Tribunal. The

Institute’s resolutions for those cases established important precedents on public information release, demonstrating the Commissioners’ intention to remain independent and advance full implementation of the law

One of the main challenges of the access to public information law is the tight timeframe for response after a complaint is presented (10 working days), and some citizens have expressed concerns that the Institute is not responding within the legally established timeframe. Under its previous transparency activity, USAID/El Salvador worked closely with the Institute since its inception, providing facilities and equipment for its organization and operations until a budget was provided, as well as technical assistance, training, mentorship. The Institute needs assistance to streamline procedures and improve its existing case management systems to maintain public confidence.

The government ethics law was originally approved in April 2006, as a preventive measure to combat corruption. It promotes ethical behavior in public employees, and penalizes those that violate the principles and prohibitions included in the law. However, the original law had a soft approach and failed to provide its implementing Agency, the Government Ethics Tribunal (the

Tribunal)

, with sufficient enforcement capacities to sanction violations. The Tribunal is www.iaip.gob.sv

Academia, professional, media, private sector and unions.

These obstacles delayed implementation of the law as there was no opportunity for the citizens to present complaints, and complicated the new commissioners’ work, who once appointed had to deal with the challenge of organizing the new institution and manage complaints from citizens. The Institute was finally assigned with a budget around December of 2013, and is now working from its own facilities.

9 The law is considered by the Center of Law and Democracy’s Global Right to Information Rating (RTI Index) one of the best legislations of its kind in the world due to its maximum publicity premise that establishes that all information hold by public officials is public, except for some exceptions clearly established in the law. In case of controversy, the law also establishes that the maximum publicity premise prevails.

“Sigue uso de Sala Contencioso para frenar LAIP”, El Diario de Hoy, 12/08/2014, Page 10.

“Asamblea Legislativa desacata dos órdenes del Instituto de Acceso a la Información”, El Faro.net, 08/30/2013, Link: http://www.elfaro.net/es/201308/noticias/13129/ www.teg.gob.sv file://AES2K3FPSSANS10.wha.state.sbu/public/democracy.pub/Democpub/2.%20New%20Transparency%20_2014-2019_MaZelaya/www.iaip.gob.sv http://www.elfaro.net/es/201308/noticias/13129/ http://www.teg.gob.sv/ composed of five members appointed by GOES institutions and manages its GOES assigned budget independently. After five years of implementation, the first Tribunal administration proposed a series of reforms to improve the original law; those reforms were approved by the

Legislative Assembly in late 2011, abolishing the 2006 legislation and creating a new law that entered into effect in January 2012.

The new and enhanced government ethics law provides the Tribunal with investigative capacities, establishes clearer prohibitions, and imposes stronger monetary sanctions, among other improvements. However, as was the case with the Institute of Access to Public Information, late appointments of the second group of members of the Tribunal delayed implementation of the law.

It was not until August 2012 that the second Tribunal’s President was appointed by the Legislative

Assembly. A positive aspect to highlight is that the Tribunal was provided with more budgetary resources to implement the new legislation (from $1.4 million in 2012 to approximately $2.4 million per year).

Ethics commissions are essential for a successful implementation of the ethics law. These commissions are appointed in every GOES institution; their main attributions are the dissemination of the ethics law among public employees, receipt of ethics complaints, and referral of the complaints to the Tribunal for investigation. As of 2009, the Tribunal reported that ethics commissions existed in 90% of GOES entities. However, the 2013 mid-term evaluation of the then ongoing transparency activity revealed that the institutionalization of the commissions outside of San Salvador was fragile, and that they were not operational at the municipal level.

Illustrative Activities:

Enhance the Institute’s and Tribunals’ efforts to support information officers and ethics commissions, respectively, with continuing training and best practices sharing.

Provide technical assistance to the Institute and the Tribunal to improve their internal procedures and operations to review appeals, and investigate complaints received from citizens to increase compliance with timeframes established in the regulations.

Provide technical assistance to the Institute and the Tribunal to establish protocols and document emblematic cases that establish precedents on information sharing or ethics violations.

Arrange conferences/workshops at the local and/or national level for the Institute and

Tribunal to engage with CSOs and public employees to increase awareness on access to information and ethics regulations.

Assist the Institute and the Tribunal to establish an open government policy, allowing monitoring of their resolutions by CSOs.

Support coordination between transparency regulatory agencies and other GOES institutions with roles in the area of transparency and anti-corruption such as the

Secretariat for Citizen Participation, Transparency and Anti-corruption; the Attorney

General’s Anti-corruption Office; and the Court of Accounts to discuss policy implementation and increase effectiveness of this area.

Expected Results:

The Legislative Assembly, the Public Ministry (composed by the Attorney General, the Public Defender, and the

Ombudsman), the Supreme Court of Justice, the Court of Accounts, and the Presidency.

The Institute is able to consolidate its role as the implementing institution of the access to public information law by reaching at least 50% of information officers with continuing training and awareness activities in the base period (3 years).

o Option Period (two years): The Institute is able to consolidate its role by reaching at least an additional 25% of information officers per year.

The Institute is able to strengthen links with civil society by implementing at least five transparency and accountability mechanisms that allow citizens to monitor access to public information in the base period (3 years).

o Option Period (two years): The Institute is able to strengthen links with civil society by implementing at least two additional mechanisms per year.

The Tribunal improves its investigation unit’s capacities through the establishment of precedent-based training programs, protocols and procedures by the end of the base period.

The Tribunal is able to consolidate its role as the implementing institution of the ethics law by reaching at least 50% of ethics commissions with continuing experience-based training, awareness activities, and materials for distribution among public employees in the base period (3 years).

o Option Period (two years): The Tribunal is able to consolidate its role as the implementing institution of the law by reaching at least an additional 25% of ethics commissions per year.

The Tribunal implements at least three transparency and accountability mechanisms to allow citizens to monitor the implementation of the government ethics law in the base period (3 years) such as public accountability sessions, transparency website, and statistic releases.

o Option Period (two years): The Tribunal is able to implement at least one additional mechanism per year.

Component B: Central government’s transparency increased.

(Linked to Output 2.1 of the Strategic Framework)

Closing spaces for corruption in GOES institutions requires strong political will and the operationalization of transparency regulations. USAID/ El Salvador will support a select group of central GOES institutions to increase compliance with the access to public information law and implement open government policies and transparency and accountability mechanisms.

Under this component, a representative group of at least five institutions will be selected to receive assistance to implement effective mechanisms to increase transparency, improve accountability, and reduce opportunities for corruption. The group of beneficiaries may include institutions that belong to the Executive Branch as well as those that are independent from other branches of the

GOES, such as the Court of Accounts.

Transparency mechanisms may include regulations, procedures, consultative tools, oversight tools, integrity pacts, citizen observatories, and other measures taken with the objective of increasing transparency of decision making process. Accountability mechanisms may include transparency websites, public accountability reports, citizen review boards, etc.

USAID/El Salvador will prioritize institutions where corruption could negatively affect a large portion of Salvadorans, i.e. institutions that manage a considerable portion of the GOES budget and/or provide basic services to large groups of Salvadorans, such as the Ministry of Education or

Health. The contractor should propose an illustrative set of institutions in their proposal, and

USAID/El Salvador will make the final decision after award. The Vice-Ministry of

Transportation in the Ministry of Public Works, must be one of the beneficiary institutions, as it is a USG partner under Goal #4 of the Partnership for Growth initiative

In addition to increasing compliance with the access to information law, the contractor will provide assistance to implement transparency and citizen participation mechanisms in those selected institutions as laid out in the central GOES’ commitments under the Open Government

Partnership initiative (OGP) or identified through initial diagnostics conducted by the activity.

USAID encourages coordination with the Secretary for Citizen Participation, Transparency and

Anti-corruption to develop intervention strategies, set priorities, and disseminate best practices.

When applicable, assistance should also address recommendations of the Human Rights Treaties on the need for the GOES to improve data availability to inform policies targeted at vulnerable populations

(disabled, rural, indigenous, children, women, and LGBTI), as well as other commitments under international treaties such as the United Nations Convention against

Corruption and the OAS’ Inter-American Convention Against Corruption.

Strengthen select GOES’ Access to Public Information Offices with limited equipment, exchange opportunities, awareness materials design, web-based tools, and records management training.

Develop action plans for Access to Public Information Offices to improve compliance with access to information law requirements.

Conduct internal management assessments to detect openings for corruption and provide assistance to implement recommendations.

Review Access to Public Information Offices’ internal procedures to improve access to information to citizens and increase transparency in the use of public resources.

Support beneficiary institutions to establish transparency and citizen participation mechanisms in compliance with the OGP and other international treaties such as the

Inter-American Convention against Corruption and the United Nations Anti-corruption

Convention, when applicable.

Assist select GOES institutions in implementing management and/or information systems for record and information management that facilitate transparency.

The public transportation system represents a clear case where a public service dominated by political party interests has led to a poor service and high levels of insecurity and impunity. The PFG initiative recognizes that an integral approach that includes law enforcement and institutional strengthening should be implemented to get improvements in this area. For additional information on the assistance provided by the previous transparency activity to the Vice-Ministry of Transportation (VMT) and achievements consult the Joint Country Plan and narratives of the six-month scorecards corresponding to Goal # 4 at the PFG website:

http://sansalvador.usembassy.gov/partnership-growth.html http://www.opengovpartnership.org/country/el-salvador/action-plan

Those recommendations can be found in the Country Profile of El Salvador at the UN Human Rights System website.

http://sansalvador.usembassy.gov/partnership-growth.html

Support beneficiary institutions to implement mechanisms that allow citizens to report corruption or abuses in the use of public resources.

Develop information technology systems to improve filing and information readiness in formats that facilitate citizen oversight.

Improved response to access to information law requests in at least three central government institutions during the base period (3 years).

o Option Period (two years): Improved procedures to respond to access to information requests in at least one additional central government institution per year.

Implementation of at least two transparency, accountability and/or anti-corruption mechanisms at each beneficiary institution during the base period (3 years).

o Option Period (two years): Implementation of two additional mechanisms per year at each beneficiary institution.

Component C: Professionalization of Central GOES public servants enhanced.

(Link to Output 1.1 of the Strategic Framework)

One critical aspect to allow a more transparent and efficient administration of public resources is a professional civil service. Civil service reform that includes merit-based recruitment and evaluation systems is essential to modernize and shield public servants against patronage and corruption. Another key element to increase professionalization of public service and reduce opportunities for corruption is ensuring public servants’ adherence to ethical standards.

Since 2012, USAID has provided assistance to the GOES to draft a bill for a new civil service law developed through public consultations

. This process was led by the Executive Branch’s former Undersecretary of Governance and Modernization, and was also supported by the Spanish

Cooperation Agency and the United Nations Development Program (UNDP). After months of consultations with stakeholders (civil society, public employees, private sector, union labors, and academia), the draft bill was finalized in November 2013 and endorsed by the International Labor

Organization (ILO). However, the Executive Branch has not submitted the bill to the Legislative

Assembly for approval, citing the need for additional consultations given that there is still strong opposition from some labor unions, and arguing that the electoral processes of 2014 and 2015 limited the chances of a positive outcome at the Assembly.

As part of PFG efforts, USAID will continue partnering with the GOES to promote a civil service reform process through the provision of assistance to: 1) the Technical Secretariat of the President, to continue leading the process by increasing awareness on the need for a civil service reform among public employees, political actors, and labor unions; and 2) the Legislative Assembly, The Vice-Ministry of Transportation must be included in the first group of institutions to assist during the base period.

The current framework that regulates the public service, enacted in 1961, does not respond to a modern administration or to the transparency reforms.

Known as the Ley de la Función Pública http://www.aecid.org.sv/wp-content/uploads/2013/11/PLFP-VF2111131.pdf?82a9e7

Agencia Española de Cooperación Internacional para el Desarrollo (AECID).

http://www.aecid.org.sv/wp-content/uploads/2013/11/PLFP-VF2111131.pdf?82a9e7 during the review and discussion of the bill, once it reaches that stage. In parallel with advocacy efforts, the GOES’ Technical Secretary has requested assistance to start implementing key aspects of the civil service reform, piloting initiatives such as merit-based recruitment and evaluation systems for specific GOES institutions or GOES projects, and setting the basis for the creation of a training center for public employees, as established in the draft bill, including funding for some training initiatives.

In addition to the promotion of a civil service reform, USAID will also advance professionalization of public service by supporting the implementation of the Government Ethics

Law, strengthening Ethics Commissions in at least five GOES institutions targeted under

Component 2.

Assist the GOES in the design and implementation of an awareness campaign to advocate for the passage of the reform addressed to public employees and the general population.

Assist the GOES in the creation of a training center and continuing education programs for public employees.

Assist the GOES in piloting merit-based recruitment, evaluation, and promotion systems in targeted GOES institutions.

Facilitate exchanges and alliances with regional institutions and actors that specialize in civil service reform processes.

Provide technical assistance to the Legislative Commission in charge of reviewing the bill, once submitted to the Legislative Assembly.

Develop action plans for Ethics Commissions to improve compliance with ethics regulations in targeted institutions.

Design procedures for Ethics Commissions in targeted institutions to improve submission of cases and improve linkages with the Government Ethics Tribunal.

Civil service reform advocated through at least nine GOES-led advocacy actions implemented by the end of the base period.

o Option Period (two years): Civil service reform advocated through at least three additional advocacy actions per year.

o Option Period (two years): If a new civil service law is approved, provide support for the creation of the new implementing agency or…