SOL-520-11-000011.pdf

Subject: Request for Proposal (RFP) No. SOL-520-11-000011

Program Name: SECURITY AND JUSTICE SECTOR REFORM PROJECT

Date of issuance: October 24, 2011

Questions due: November 9, 2011 at 10:00 a.m. Guatemala Time

To e-mail: sjsrp@usaid.gov

Answers to questions: November 18, 2011

Proposals due date & time: Wednesday, December 7, 2011 at 2:00 pm. Guatemala time

The United States Agency for International Development (USAID) El Salvador/Regional Office of Acquisition & Assistance and in conjunction with USAID/Guatemala, intends to award, subject to availability of funds, plans to award a contract to implement the Security and Justice Sector Reform Project.

You are invited to submit a proposal in accordance with the requirements of the RFP. This procurement shall be conducted through full and open competition, under which any type of organization (large or small commercial [for profit] firms, educational institutions, non-profit organizations) is eligible to compete. The procedures set forth in FAR Part 15 shall apply. The Government anticipates an award of a cost plus fixed fee contract for a period of performance of three years with a two years option period. Cost proposals shall be evaluated as a part of a Best Value determination for contract award.

In lieu of a pre-proposal conference, written questions and requests for clarifications may be submitted to sjsrp@usaid.gov no later than Wednesday November 9, 2011. The subject line of the e-mail should read: Request for Proposal (RFP) No. SOL-520-11-000011.

Offerors are encouraged to read the entire solicitation, which includes the closing date and time, all pertinent contract requirements, and the conditions and instructions required for submitting a proposal.

Proposals shall be delivered to the following addresses: sjsrp@usaid.gov or via Courier Service:

USAID/Guatemala Km. 6.5 Final Boulevard Los Próceres Santa Catarina Pinula Guatemala

Attention: Acquisition and Assistance Office

Issuance of this solicitation does not obligate the USAID to award a contract, nor will USAID pay any cost associated with the preparation or submission of proposals. Because USAID reserves the right to award a contract without discussions, initial proposals should represent an Offeror’s best proposal.

Thank you for your interest in USAID/Guatemala development programs.

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 OFFER15A. 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 BYCODE 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 137

SOL-520-11-000011

X

10/24/2011

Regional Office of Acquisition and Assistance (ROAA) USAID/El Salvador 3450 San Salvador Place Washington, DC 20521-3450

Acquisition and Assistance Office USAID/Guatemala 3190 Guatemala Place Washington DC 20521-3190

0 (zero)

2:00 pm 12/07/2011

David Brown 301 985-8840 sjsrp@usaid.gov

See Attached Table of Contents pages 1-3

X 1

X 4-7

X 8-11

X 21

X 24

X 25-32

X 33-36

X 37-51

X 52-74

X 75

X 76-86

X 87-100

X 108-137

SOL-520-11-000011 SECTION A

Table of Contents Page

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 COST RATES

B.7 COST REIMBURSABLE

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 BACKGROUND (See Attachment J.2)

C.2 SCOPE

C.3 OBJECTIVES

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 SJSR PROGRAM

SECTION E - INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

E.3 MONITORING AND EVALUATION PLAN

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

F.9 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS

F.10 USAID PROPERTY IN THE CUSTODY OF CONTRACTORS

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, ORIGIN AND NATIONALITY REQUIREMENTS (FEB 1997)

H.6 INSURANCE AND SERVICES

H.7 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES, (JUL 2007)

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 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 GUATEMALA

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

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

TECHNOLOGY ACCESIBILITY”

H.24 MANDATORY COMPLIANCE REVIEWS

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 752.225-71 LOCAL PROCUREMENT (FEB 1997)

I.6 52.203-8 CANCELATION, 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.8 8 52.204-10 REPORTING EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT

AWARDS (JUL 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

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

I.20 MENTOR REQUIREMENTS AND EVALUATION (JULY 2007)

I.21 AIDAR 752.7019 PARTICIPANT TRAINING (JAN 1999)

I.22 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 CONTRACT CLAUSES INCORPORATED BY REFERENCE

K.2 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)

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

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 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

L.2 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

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.6 COST PROPOSAL EVALUATION

M.7 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT AWARD

M.8 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED

ENTERPRISES

M.9 BEST VALUE

ATTACHMENT J.1 – REFERENCE DOCUMENTS – LINK TO ANNEXES 1 TO 13

ATTACHMENT J.2 – BACKGROUND INFORMATION

ATTACHMENT J.3 – IDENTIFICATION OF PRINCIPAL GEOGRAPHIC CODE NUMBERS

ATTACHMENT J.4 – LIST OF ACRONYMS

ATTACHMENT J.5 – USAID FORM 1420-17 CONTRACTOR BIOGRAPHICAL DATA SHEET

ATTACHMENT J.6 – SF LLL – DISCLOSURE OF LOBBYING ACTIVITIES

ATTACHMENT J.7 – MODEL SUBCONTRACTING PLAN

SOL-520-11-000011 SECTION B

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this Security and Justice Sector Reform Project (SJSRP) is to advance U.S.

Government (USG) and Government of Guatemala (GOG) priorities related to the implementation of the GOG’s 2009 Framework Law of the National Security System, the National Agreement for the Advancement of Security and Justice, five-year strategic plans of select civilian justice and security institutions, and the implementation and enforcement of security and justice legislation. Underfunded security forces and the failure to fully implement institutional reforms included in Guatemala’s 1996 Peace Accords have left police, prisons, and judicial systems weak and susceptible to corruption. This SJSRP will establish conditions for:

1) Greater state capacity to manage security and justice administration;

2) Greater state capacity to provide security and justice for citizens; and

3) Greater civil society oversight of public and private security services.

This Project will build upon results obtained in USAID-supported rule of law projects to date and will coordinate closely with other USAID and USG activities, particularly USAID’s Crime Prevention Project (CPP) and justice and security funded activities supported by the Narcotics Affairs Section (NAS). Activities will be aligned with USAID/Guatemala’s draft Country Development Cooperation Strategy (CDCS) which includes an emphasis on improving citizen security.

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.

The summary budget for the base period is as follows:

Direct Labor $__________ Other Direct Costs* $__________ Rapid Response Fund $1,200,000.00 Indirect Costs $__________ Subawards $ 750,000.00 Fixed Fee $__________ Total Estimated Cost plus Fixed Fee $__________

* Other Direct Costs include: xxxx

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:

Direct Labor $__________ Other Direct Costs* $__________ Rapid Response Fund $ 800,000.00 Indirect Costs $__________ Subawards $ 250,000.00 Fixed Fee $__________ Total Estimated Cost plus Fixed Fee $__________

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

Direct Labor $__________ Other Direct Costs* $__________ Rapid Response Fund $2,000,000.00 Indirect Costs $__________ Subawards Grants Fund $1,000,000.00 Fixed Fee $__________ Total Estimated Cost plus Fixed Fee $__________

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:

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

“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:

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined

Period:

(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 with the lower rates.

(3) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes 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:

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

(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 with the lower rates.

(6) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes 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-520-11-000001 SECTION D

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

SECURITY AND JUSTICE SECTOR REFORM PROJECT (SJSRP)

C.1 BACKGROUND

See information in Attachment J.2

C.2 SCOPE

The purpose of the SJSRP resulting contract will be to provide technical assistance and support for:

1) the implementation of security and justice reform outlined in the Framework Law of the National Security System, the National Agreement for the Advancement of Security and Justice, and GOG five-year strategies to include the Supreme Court, Attorney General’s Office, PNC, Police Reform Commission, NSC and INACIF ; 2) the implementation and enforcement of key legislation, including but not limited to: the Organic Law of the Public Ministry; the Law on Arms and Ammunitions; the Law of the Penitentiary System; recent reforms to the Code of Criminal Procedure; the Law on Private Security Services; the Organized Crime Law; the Law against Sexual Violence and Trafficking in Persons; the Law on Illegal Enrichment; the Seized Asset Law;

Constitutional Protection (amparo) reform, and the Femicide Law; and 3) the promotion of civic responsibility, which rejects the use of violence and advocates for democratic security. Support to security and justice sector institutions (SJSIs) in the implementation of approved legislation shall guide institutional strengthening efforts and improvements to inter-institutional coordination – both critical to administrative reforms.

The basic premise of the SJSR contract is that the underfunding of security and sector institutions, lack of technical expertise, a lack of prioritized and coordinated actions among the security actors, and the increasing presence of violence and organized crime both within and outside of Guatemala are inextricably linked to high levels of violence and impunity, corruption and weak state presence in strategic areas of the country. Activities under the resulting contract shall establish the conditions for achievement of the three lower level results:

1) Greater state capacity to manage security and justice administration;

2) Greater state capacity to provide security and justice for citizens; and

3) Greater civil society oversight of public and private security and justice services.

Project activities shall help build confidence in the GOG, provide the opportunity to improve relations between communities and local government in key areas, and respond to local dynamics.

Activities shall be well-coordinated with the GOG and relevant USG-funded programs.

USAID expects that significant resources under SJSRP will be devoted to security institutions such as the PNC and NSC. To assist in strengthening GOG security and justice sector institutions, the SJSRP shall support training and technical assistance at the central level and in select geographic areas. To promote and reinforce reform efforts, the SJSRP shall support the design of social marketing tools and provide sub-grants to civil society organizations to advocate for and oversee security and justice legislation and the implementation and enforcement of that legislation.

Support to civil society may include administrative and financial institutional strengthening. Civil society will also be a critical partner in ensuring transparency and accountability of public institutions.

Contractor Relationship with USAID, USG and the GOG The resulting contractor will be under the direct supervision of USAID/Guatemala and will be accountable for the results set forth in this contract. USAID will work with the resulting contractor to ensure that activities are aligned and complement other USG interventions in the security and justice sector. The resulting contractor will maintain relationships with the GOG through the relevant International Cooperation Offices or their equivalents in the Judiciary, the Public Ministry, and other SJSIs. The political situation may be fluid and it will be important that the resulting contractor maintain flexibility to respond to windows of opportunity.

Geographic Focus Assistance will be provided to national level institutions; however, the resulting contractor should also be prepared to support the implementation of select polices and pilot projects related to security and justice sector reform in key geographic areas where there are synergies with other USG or donor supported programs. All proposed geographic areas must be approved by the Contracting Officer’s Technical Representative (COTR) for USAID/Guatemala.

Illustrative Geographic Areas Areas under the jurisdiction of 24-hour courts to include: Guatemala City, Villa Nueva, Mixco, Escuintla, Chimaltenango and Sacatepéquez. Additional 24-hour courts may be established by the GOG in the short/medium term, and USAID expects that the SJSRP will provide technical assistance for the new courts, if necessary.

USAID is supporting a geographically focused “Feed the Future (FtF)” effort, a Presidential Initiative, in the Western Highlands. This area includes the departments of Huehuetenango, Quiché, San Marcos, Totonicapán, and Quetzaltenango. The SJSRP may be requested to support discrete interventions in select FtF municipalities in these departments.

Rural and border areas where effective public services are needed to counteract the influence of criminal organizations, such as Cobán in the department of Alta Verapaz; Tecun Uman, El Carmen and Malacatán in the department of San Marcos; and select areas of Petén. USAID’s environmental program works in Petén and the SJSRP may provide follow on support for the prosecution of environmental crimes.

If appropriate, the SJSRP may be requested to support discrete interventions areas where USAID is implementing the Crime Prevention Project. These include the municipalities of Chiquimula:

San José La Arada, San Juan La Ermita, San Jacinto, and Esquipulas in the department of Chiquimula; Tactic and Tamahú in the department of Alta Verapaz; and Palencia and Guatemala City in the department of Guatemala.

Violence against Women In Guatemala, women's political participation is low and barriers to their participation still exist.

Violence against women is a widespread problem. However, as a result of the international attention given to femicide and the approval of the Law against Femicide and Other Forms of Violence against Women in 2008, this issue has been “mainstreamed” into the process of judicial reform and access to justice. Increasingly, violence against women is treated as a criminal rather than as a private family matter.

Gender Gender equality is a USG-wide priority, and USAID has and will continue to take a lead role in that effort. USAID/Guatemala considers increased women’s participation to be an important issue for police reform and community based policing. The resulting contractor shall abide and support USAID principles of gender equity and equal opportunity in all activities included in this RFP, as appropriate, following Automated Directive System (ADS) 201 to ensure gender integration. Therefore, SJSRP shall ensure adequate examination of the role and status of women as officers in the national police and in the interface between the police and community leadership, the latter predominately female. Police forces will benefit from training in gender equity and proper treatment of female victims of violence and evidence collection.

It will be essential to integrate gender analyses at all stages of the project and to ensure gender sensitivity on the implementing team. Mainstreaming gender does not mean setting aside Project activities for women. It means understanding that gender refers to women and men, their roles and responsibilities in their communities, and identifying barriers to equity. Annex VI contains a series of recommendations in the area of gender equality that the Contractor may consider to incorporate to their proposals.

Guiding Principles Support to SJSIs in the implementation and enforcement of approved legislation shall guide institutional strengthening efforts and improvements to inter-institutional coordination.

The resulting contractor shall work closely with the SJSRP Contracting Officer’s Technical

Representative (COTR) to ensure that there is synergy and complementarities with other USAID and USG programs.

The resulting contractor shall work closely with the COTR and Mission to determine which geographic regions have enabling security conditions permitting the commencement of activities. Citizen security efforts must be an ‘all of society’ effort with effective cooperation between governments, civil society, the private sector and the international community.

Implementation must maintain flexibility and the ability to respond quickly to rapidly changing circumstances or developments. New directions or project activities must be approved by the Contracting Officer.

All efforts shall result in the development and/or strengthening of Guatemalan organizations and governmental entities to ensure they have the technical and administrative capacity to assume implementation responsibility.

Assistance must focus on building partnerships with the Guatemala Government to achieve high-impact, sustainable, properly sequenced capabilities defined by national and regional strategies. The resulting contractor shall work closely with relevant governmental agencies at all levels to ensure there is adequate GOG commitment and that the GOG provides input for targets and indicators.

Women’s empowerment and gender equality should be taken into consideration under each lower level result.

The resulting contractor shall ensure that activities are designed with sustainability in mind so that the GOG and other non-governmental organizations will be able to continue the work beyond the life of the project. In accordance with USAID/Forward, the resulting contractor shall provide administrative and financial strengthening to governmental entities and/or non-governmental organizations to position them to receive direct funds in the future.

C.3 OBJECTIVES

C.3.1 Objectives and Required Results

USAID/Guatemala plans to implement the SJSRP using funds from Guatemala’s yet to be approved CDCS Development Objective 1 (DO 1), which is “Greater State Capacity to Provide Security and Justice for its Citizens.” USAID/Guatemala uses the Inter-American Commission on Human Rights (IACHR) definition of security. The IACHR has indicated that:

Security has always been one of the States’ main functions. Undoubtedly, as authoritarian States transitioned into democratic States, the concept of security evolved.

In the past, the concept of security meant maintaining order, as an expression of the power and supremacy of the State. Today, democratic States are espousing law enforcement models that encourage citizen participation and that are premised on the principle that the protection of citizens by law enforcement must be respectful of the institution, the laws and basic rights. Thus, from the standpoint of human rights, when we speak of security today, we are not just talking about fighting crime; instead we are talking about how to create an environment conducive to peaceful coexistence. And so, the concept of security must place greater emphasis on activities to prevent and control the factors that generate violence and insecurity, rather than purely repressive or reactive behaviors to consummated acts. 1

The SJSRP resulting contractor shall obtain the three Lower Level Results (LLRs) below that contribute to USAID’s draft CDCS Intermediate Result (IR) 1.1, which is “Improved citizen safety” and specifically Sub IR 1.1.1, which is “Strengthened Reform of the Security and Justice Sector”.

LLR 1 Greater state capacity to manage security and justice administration LLR 2 Greater state capacity to provide security and justice for citizens LLR 3 Greater civil society oversight of public and private security services

The USAID, Department of Defense, and Department of State Joint Paper on Security Sector Reform indicates that USAID’s primary role in the Security Sector is to support programs aimed at building civilian capacity to manage, oversee and provide security and justice,2 hence the three LLRs above.

USAID has identified five sub LLRs that fall under the three LLRs above. These five sub-LLRs are necessary but insufficient to achieving the three LLRs of managing, providing and overseeing security and justice. USAID chose the five sub-LLRs after extensive consultations with the GOG, civil society and other donors. The sub-LLRs are considered areas in which USAID has a comparative strength relative to other USG agencies and/or is an area which is not currently receiving sufficient support. The Contractor shall include activities under each sub- LLR that relate to the challenges listed above and lead to improved GOG inter-institutional coordination. The Communications and Rapid Response Fund shall support all LLRs and sub-

1 http://www.cidh.oas.org/countryrep/Seguridad.eng/CitizenSecurity.II.htm 2 See “Security Sector Reform”, February 2009, page 3 http://www.usaid.gov/our_work/democracy_and_governance/publications/pdfs/SSR_JS_Mar2009.pdf

LLRs. LLRs and corresponding sub-LLRs should be implemented in an integrated and complementary manner.

The Contractor will be expected to describe its approach and propose activities to achieve the three LLRs and sub-LLRs below. When appropriate, the Contractor shall prioritize actions and include a timeline. The Contractor shall also describe the objective of the activity, the type of training, training length, and number of participants.

The Contractor shall propose additional impact and progress indicators based on its technical approach and ensure that results contribute to the overall project objectives yet do not inhibit the contract’s flexibility to respond to opportunities that may arise during implementation. The Contractor shall conduct a baseline survey at the beginning of the project upon which targets would be established for program areas where there is no existing information. Because the political and security situation is fluid, USAID will use the quarterly reviews to regularly review progress toward overall project indicators and how they are contributing to the desired results.

Under each sub-LLR, USAID has included required and illustrative indicators. The Contractor shall use the illustrative indicators or propose alternate indicators to measure achievement of results under the contract; however, the list should be concise and clearly and efficiently measure the impact of the SJSR. Required indicators must be included. The resulting contractor will be required to disaggregate information by gender, ethnic group, region, sector, etc., as appropriate to help USAID measure and analyze impact.

LLR 1. Greater state capacity to manage security and justice administration:

The lack of sound management practices is a characteristic of police forces that are not governed by democratic principles and professional ethics.3 This deficiency, among others, limits the ability of the police to respond to high crime rates and gain public trust.4 Adequate management is necessary for officers to ensure that security forces operate in a manner that is consistent with democratic practices5 and that agents have the institutional and logistical support to be motivated, trained, and well equipped to perform their mandate. Sound management is also indispensible to administrative and financial accountability. USAID has a comparative advantage in addressing management issues, which are primarily a public administration challenge. Sub LLRs 1-3 below will address this area.

Sub LLR 1.1. Establish an Adequate Career System for the Police: Under this sub LLR, the resulting contractor shall strengthen human resources and employee benefits systems to include but not be limited to: career development, continuing education, incentives and benefits packages for employees of SJSIs and their families. Benefits are those related to health care, child care, counseling, and housing provided by the employer, labor associations or foundations. This

3 See “ A field Guide for USAID Democracy and Governance Officers> Assistance to Civilian Law Enforcement in Developing Countries”, January 2011 http://www.usaid.gov/our_work/democracy_and_governance/publications/pdfs/AFieldGuideforUSAIDDemocracyG overnance%20Officers.pdf page 24-25 4 Idem 5 See “Promoting Security Sector Reform in Fragile States”, April 2005.

http://www.usaid.gov/our_work/democracy_and_governance/publications/pdfs/SSR_in_Fragile%20States_508c.pdf page 8 and 17 sub LLR may build upon previous USAID-supported activities that have focused on career advancement for judges and administrators and have promoted the reform of recruitment, selection and promotion systems in the judicial branch. Lesson learned shall be applied to the other SJSIs, especially the PNC. The Contractor shall address increasing participation of women police officers in the PNC.

Illustrative Activities:

Assist in the creation/improvement of benefits for police, such as access to credit, housing, health services, childcare and pension plans.

Assist in the creation/improvement of counseling services for police in the areas of mental health, retirement, grievances, and legal and administrative proceedings.

Leverage private sector funds to expand benefits/services in collaboration with police labor associations, unions or other employees of the SJSIs.

Assist in the improvement of recruitment, promotion, performance, evaluation and other career-related key activities.

Assist in the design and implementation of continuing education and mentoring programs in SJSIs.

USAID/Guatemala has proposed the following performance indicators under its CDCS, upon which the resulting contractor will be required to report.

Required Indicator:

Percentage of PNC officers enrolled in an improved human resources and benefits system (disaggregated by gender and age).

o Target for base period: 15% of the PNC officers are enrolled in an improved human resources and benefits system.

o Target for option period: 30% of the PNC officers (cumulative) are enrolled in an improved human resources and benefits system.

Illustrative Indicators:

Percentage of new appointments and/or promotions in the PNC in accordance with objective, merit-based criteria.

Percentage of officials given formal annual performance reviews.

Sub LLR 1.2. Strengthen Financial Management Systems for SJSIs: Under this component, the resulting contractor shall promote the adoption or the improvement of financial management systems in key SJSIs. These systems must be in line with the Ministry of Finance6 and other recognized standards on quality of expenditures, financial planning, transparency and efficiency.

6 The European Union has announced that they will support the Ministry of Finance in doing a fiscal reform that includes elements such as overseeing the quality of expenditures.

Assist in the decentralization of financial management, planning and execution in SJSIs using Ministry of Finance standards or, in their absence, using other recognized standards of financial management in the SJSIs.

Procure hardware and software for adequate financial management.

Provide training to financial managers and staff responsible for decentralized financial management units.

Assist in developing a maintenance plan for purchased financial equipment.

Number of SJSIs’ financial and/or accounting systems that receive ISO 9000 certification for quality management systems and that are in line with the Ministry of Finance standards.

o Target for base period: 3.

o Target for the option period: 6 (cumulative).

Sub LLR 1. 3. Improve Management and Administration of SJSIs:

The resulting contractor shall promote the adoption or the improvement of management and administrative services and tools in key SJSIs. These services may include but not be limited to:

maintenance of services (i.e., communications software and hardware, vehicles, databases), information technology, inventories, internal audit, and internal inspectorates.

Assist in streamlining processes and establishing protocols.

Assist in the improvement of PNC maintenance programs for vehicles, communications technology, and property inventory.

Number of SJSIs management/administrative systems (i.e. human resources, acquisition, logistics, file management, maintenance) that receive ISO 9000 certification.

o Target for base period: 6.

o Target for the option period: 12 (cumulative).

Illustrative Indicators:

Number of SJSI employees who report that there are published regulations, procedures and internal policies that are being applied and are widely available.

Percentage of time that high level officials (i.e. judges) spend on administrative details (should decrease).

LLR 2. Greater state capacity to provide security and justice for citizens:

The administrative capacity to manage security and justice services will have little impact if the technical, specialized competence to deliver security and services to citizens is deficient. Therefore, this Contract will provide technical services to build upon or expand existing models to improve performance and institutionalize reforms undertaken in the security and justice sector. Reforms include but are not limited to correct implementation or reforms to key legislation, such as the CPP, the Organized Crime Law, the Law against Femicide and other Forms of Violence against Women, the Seized Asset Law, the Illicit Enrichment Law and Constitutional Protection Law (amparo) reform.

Follow-on interventions to USAID’s Rule of Law programs should be proposed under Sub LLR 2.1, but for the sake of clarity in this SOW they will be mentioned separately under C.3.3 Follow on Rule of Law Activities. Technical assistance to the Police Reform Commission will also be included under this LLR if it is not of an administrative nature.

Sub LLR 2.1. Improve performance, efficiency and accountability of SJSIs:

Under this Sub LLR, the resulting contractor shall promote the adoption or the improvement of working methodologies, quality control standards, performance monitoring, inter-institutional coordination, planning and provision, and implementation/enforcement of key SJSI legislation.

These activities may include but not be limited to: training and professionalization of staff, threat analyses, case management, negotiation and resolution of conflicts, criminal investigation, criminal analysis, prosecution of serious crimes, victims’ assistance, witness protection, oversight of private security services, and other areas which respond to SJSI needs and are listed in their strategic plans or are related to the implementation and enforcement of key legislation described above. The Contractor shall review security and justice legislation and the roles of the various institutions listed below in implementing/enforcing laws. The implementation of laws shall guide technical assistance and coordination among SJSIs below.

Illustrative Activities

MP

Support the improvement and expansion of services under the MP Analysis Unit.

Provide training and technical assistance to MP offices in charge of prosecuting serious crime.

Support the creation of a permanent training program for strategic prosecution of crime in the MP Training Unit.

Support restructuring of MP Public Attention Office (Spanish acronym OAP) for more effective case screening and distribution.

NSC

Provide training, technical assistance (of an administrative nature) and equipment for the creation and implementation of a National Institute of Strategic Security Studies.

Provide training, technical assistance (of an administrative nature) and equipment for the creation and implementation of the Office of the National Security System Inspector General.

PNC

Provide training, technical assistance and equipment for a more efficient PNC planning and institutional development office.

Support curriculum development and administrative planning for the Police Academy.

Support internal mechanisms, including financial administration, that promote accountability within the PNC with a focus on ethics.

Promote gender equality in the PNC with a focus on recruiting more female police officers.

Promote gender sensitive approaches among PNC, especially for addressing domestic violence.

OJ

Support the improvement and expansion of services under the Judicial School.

Provide training for justices of the peace.

Promote successful models of alternative dispute resolution in indigenous communities as well as participatory models that contribute to local security solutions in focused geographic areas.

Sponsor oral trial competitions for law students across the country to create demand for curriculum change.

IDDP

Support the IDPP in management and in select technical areas to guarantee quality services for gender-based violence.

Coordination Promote coordination mechanisms, streamlining and efficiencies among SJSIs.

Improve communication procedures between INACIF and the PM so that INACIF becomes a more responsive and useful resource to the PM in the prosecution of crime.

Required indicator:

Increase in citizen satisfaction with services delivery in select SJSIs.

o Target for base period: 10% increase over baseline.

o Target for option period: 20% increase over the base period level.

Illustrative Indicators:

Number of sessions convened by the Congressional Security Affairs Commission as contemplated under article 33 of the Framework Law of the National Security System.

Percentage of new staff given entry-level training.

Change in performance of incoming police officers as a result of improvements to curriculum/teaching methods.

Number of staff trained in criminal investigation procedures.

Number of investigations resolved by the PNC Inspector General.

LAPOP Survey Crime Victimization Rate

Homicide rate in areas in which USAID Guatemala supports security and justice programs

Percent increase in degree of implementation/enforcement of key SJS legislation and police reform.

Percent increase in confidence levels among public in select SJSIs in target areas.

Unit in charge of PNC Academy curriculum established, and has reviewed 25% of the existing curriculum

LLR 3. Greater civil society oversight of public and private security and justice services:

The accountability of security forces to civilian authority is a well-established democratic principle, which requires that civilian authorities and civil society be capable of overseeing security forces. This calls for adequate legislation that reinforces democratic reform.

Sub LLR 3.1: Strengthen civil society advocacy and oversight for increased accountability and transparency:

The resulting contractor shall engage urban and rural populations to promote understanding of security and justice sector reform and encourage advocates for reform. In addition to the oversight component, the Contractor should consider innovative ways to promote a culture of citizenship to counter the escalating violence, promote public service and build social capital.

The resulting contractor may provide training and technical assistance to neighborhood associations that administer private security services to increase their knowledge and demand for security and justice services that are responsive, trained, efficient, accessible and accountable.

The resulting contractor may provide sub-grants for NGOs to advocate for SJS legislation and oversee implementation of the existing legal framework.

Illustrative Activities

Provide sub-grants to CSOs to advocate for the improvement and implementation of agreements and laws related to security, including the National Agreement of the Advancement of Security and Justice and the Framework Law of the National Security System, the Seized Asset Law, the Organized Crime Law, the Illicit Enrichment Law, and the Freedom of Information Law among other others.

Prove sub-grants for innovative culture of citizenship programs to reduce violence and target root societal causes.

Support the development of ethical standards of service for private security companies.

Strengthen administrative and financial capacity of NGOs, neighborhood associations, and other related groups or organizations so they can adequately carry out sectoral work.

Percent increase in number of neighborhoods associations using selection or oversight mechanisms for private security companies..

o Target for base period: 15% over baseline o Target for option period: 30% (cumulative)

Illustrative Indicators:

Percent increase in preferences by neighborhood associations for democratic means of improving citizen security, i.e. shift from non-democratic anti-crime approaches such as closing of public streets, over-reliance on private security services, disengagement from the PNC, advocacy for small arms proliferation, and opposition to an increase in taxes for public security into positive attitudes toward democratic, citizen security such as engagement with PNC and local governments.

Percent increase in number of neighborhoods associations using selection or oversight mechanisms for private security companies as well as other democratic security measures.

Percent increase in GOG budget (tax base) dedicated to security and justice. Number of prioritized security and justice sector laws and policies approved and/or effectively implemented.

Percent increase in interpersonal trust (LAPOP)

Output indicator for all three LLRs as applicable:

Indicator: SJSIs personnel that received USG training.

This indicator is based on the definition contained in the handbook “Governing Justly and Democratically,…