Public Procurement Capacity Development Guide
Public ProcurementCapacity DevelopmentGuide Engaging StakeholdersEstablishing a Capacity BaselineIdentifying Capacity Assets and GapsDeveloping a Capacity PlanMeasuring CapacityIntegrating OECD-DAC MAPSProcurement Capacity Development CentreCapacity Development GroupBureau for Development PolicyOctober 2010
CONTENTSACRONYMS AND ABBREVIATIONS . 3SECTION I:INTRODUCTION. 41. Overview of the UNDP Procurement Capacity Assessment Guide . 42. The UNDP approach to supporting procurement capacity development . 43. Procurement and Capacity Development . 54. Procurement Capacity Assessments. 65. The UNDP Capacity Assessment Methodology . 6SECTION II: ENGAGE STAKEHOLDERS ON PROCUREMENT CAPACITY DEVELOPMENT . 8SECTION III: ASSESS CAPACITY ASSETS AND NEEDS . 101. The capacity assessment process – Stage 1: Mobilize and design . 102. The capacity assessment process – Stage 2: Conduct the assessment . 173. The capacity assessment process – Stage 3: Summarize and interpret results . 18SECTION IV: FORMULATE A PROCUREMENT CAPACITY DEVELOPMENT RESPONSE . 211. Define a procurement capacity development response . 212. Transform into a coherent and implementable plan . 22SECTION V: OPERATIONAL GUIDELINES . 241. Assessing the capacity of a national public procurement system using the OECD- DACMethodology for Assessment of Procurement Systems (MAPS) . 242. Assessing the procurement capacity of a sector or organisation. 253. Lessons learned . 27SECTION VI: FREQUENTLY ASKED QUESTIONS . 29ANNEX 1:SAMPLE TERMS OF REFERENCE FOR A SCOPING MISSION . 33ANNEX 2:SAMPLE DATA COLLECTION WORKSHEET . 35ANNEX 3:SAMPLE INTERVIEW GUIDE AND CASE FILE REVIEW CHECKLIST . 36ANNEX 4:CAPACITY DEVELOPMENT RESPONSE WORKSHEET . 37ANNEX 5:QUALITATIVE ASSESSEMENT OF COMPLIANCE BY MAPS SUB-INDICATOR . 38ANNEX 6:SAMPLE FRAMEWORK FOR PROCUREMENT ASSESSMENT AT THE ORGANISATION ENTRYPOINT . 45ANNEX 7:CAPACITY DEVELOPMENT MEASUREMENT FRAMEWORK – EXAMPLE RESULTSFRAMEWORK FOR PUBLIC PROCUREMENT . 52ANNEX 8:EXAMPLE OF INTEGRATED CAPACITY DIAGNOSTIC TOOL – PUBLIC PROCUREMENT . 53ANNEX 9:USEFUL LINKS AND DOCUMENTS . 662Public Procurement Capacity Development Guide
ACRONYMS AND ine IndicatorCapacity DevelopmentCompliance and Performance IndicatorsDevelopment Assistance CommitteeMethodology for Assessment of National Procurement SystemsOrganisation for Economic Co-operation and DevelopmentPublic Financial ManagementUnited Nations Development ProgrammeUnited Nations Procurement Capacity Development CentreAcknowledgementsThe UNDP Procurement Capacity Assessment Guide was developed through a process of learning,application and iteration by Kirsten Ejlskov Jensen. Technical reviewers/contributors were JenniferColville, Nigel Coulson, Rasmus Jeppesen, Kerry Kassow, Chitose Noguchi, John Patterson and MiaSichelkow. The Guide draws particularly on the UNDP Capacity Assessment Methodology User’s Guide,and the UNDP Practice Note on Capacity Assessment, but also draws on other UNDP, UN system andpartner organisation capacity assessment documents, case studies and reviews as referred, in particularthe UNDG Capacity Assessment Methodology. The Guide has been developed in collaboration with theOECD-DAC Task Force for Procurement.Contact information:See www.unpcdc.orgCopyright @2010United Nations Development Programmeth304 East 45 StreetNew York, NY 10017 USA3Public Procurement Capacity Development Guide
SECTION I:1.INTRODUCTIONOverview of the UNDP Procurement Capacity Development GuideThe UNDP Procurement Capacity Development Guide (hereafter ‘the Capacity Development Guide’) gives adetailed step-by-step guide to conducting a procurement capacity assessment using the UNDP CapacityAssessment Methodology. The Capacity Development Guide is an adaptation of the UNDP Capacity1Assessment Methodology User’s Guide and is meant to be used in conjunction with the UNDP Practice Noteson Capacity Development, Capacity Assessment and Measuring Capacity which provide explanations of the2terms and concepts referenced here. It is intended to provide a step-by-step guide for those mobilising,designing or conducting a procurement capacity assessment at the national or sub-national level includinggovernment officials, UNDP country offices, development partners, consultants and capacity developmentadvisors.This introductory section covers the key role that a procurement capacity assessment plays within the UNDPapproach to supporting procurement capacity development. It also introduces the UNDP capacity assessmentframework, the capacity assessment process and the capacity development results framework. The followingthree sections respectively provide instructions for engaging stakeholders, conducting a procurement capacityassessment and for formulating a procurement capacity development response or strategy. Section V offersguidelines for adapting the UNDP Capacity Assessment Framework for specific procurement related contextsand the final section includes answers to some Frequently Asked questions. The Annexes provide additionalresources and examples.2.The UNDP approach to supporting capacity developmentUNDP defines capacity development as: the process through which individuals, organisations andsocieties obtain, strengthen and maintain the capabilities to set and achieve their own developmentobjectives over time. Capacity Development helps strengthen institutions to perform better and moreconsistently over time and to respond to and manage shocks and changes.There are a number of complimentary definitions of capacity development, the OECD DAC definition that hasbeen accepted by the UNDG is; The process whereby people, organizations and society as a whole unleash,strengthen, create, adapt and maintain capacity over time.It is not a one-off intervention but an iterative process of design-application-learning-adjustment. UNDPcaptures this in a five-step process cycle (see Figure 1). These steps broadly coincide with the steps of aplanning or programming cycle. Approaching capacity development through this process lens makes for arigorous and systematic way of supporting it, without using a blueprint and improves the consistency,coherence and impact of efforts. It also helps promote a common frame of reference for a programmaticresponse to capacity development including for procurement.1The Capacity Assessment Methodology User’s Guide (UNDP, 2008) gives a detailed step-by-step guide to conducting acapacity assessment using the UNDP Capacity Assessment Methodology which consists of the UNDP Capacity AssessmentFramework, a three-step process and supporting tools.2The Practice Note on Capacity Development (UNDP, 2008) introduces the UNDP approach to supporting capacitydevelopment and the basic principles underlying it, as well as the five steps of the capacity development process. ThePractice Note on Capacity Assessment (UNDP, 2008) focuses on two steps of the capacity development process: to assesscapacity assets and needs and to formulate a capacity development response. It explains the concept of capacityassessments, introduces the UNDP Capacity Assessment Methodology and how it can be used, and addresses operationalimplications. The Measuring Capacity Position Paper presents a framework for defining, capturing and communicatingcapacity development results. All three documents, and many other relevant documents are available fromwww.capacity.undp.org4Public Procurement Capacity Development Guide
The five steps of the UNDP capacity development process are:1.2.3.4.5.Engage stakeholders on capacity development;Assess capacity assets and needs;Formulate a capacity development response;Implement a capacity development response;Evaluate capacity development.Figure 1 The UNDP capacity development processStep 1:Engagestakeholderson capacitydevelopmentStep ocessStep 4:Implement acapacitydevelopmentresponse3.Step 2:Assesscapacityassets andneedsStep 3:Formulate acapacitydevelopmentresponseProcurement and Capacity DevelopmentProcurement is the overall process of acquiring goods, civil works and services which includes all functionsfrom the identification of needs, selection and solicitation of sources, preparation and award of contract, andall phases of contract administration through to the end of a services’ contract or the useful life of an asset.Public Procurement is procurement falling under the jurisdiction of a Government or other public sectororganisation.In recent years it has been increasingly recognised that strengthening and using national procurement systemsis a key factor in scaling up for more effective aid. The Paris Declaration and the Accra Agenda for Action havereaffirmed commitments to carry out diagnostics, develop sustainable reforms and monitor implementation,as well as commit sufficient resources to support and sustain medium and long-term procurement reforms andcapacity development.However, the benefits of strengthened national public procurement are not restricted to arguments relating toaid delivery. Public procurement of goods, services and works accounts for a significant amount of nationalexpenditures (domestically generated as well as received from ODA). Globally, public procurement isestimated at about 15% of the world’s GDP, but in some developing countries, it may account for as much as70%. This is particularly the case in Least Developed Countries (LDCs) and post conflict countries, whereunderdeveloped private sectors require public sectors to play a major role in the delivery of services and theprovision of much needed economic infrastructure.5Public Procurement Capacity Development Guide
Improved public procurement capacity also impacts on economic and social results. When the fundamentalprocurement principles of open competition and transparency are combined with operational efficiency,reduced corruption and increased professionalism, the result is greater value for money and increased publicservice delivery. Public procurement is also a stimulus for growth in the domestic and/or regional privatesector as the government is one of the main investors in the private sector and thus hugely influences the waythat business processes evolve within the country.4.Procurement Capacity AssessmentsEffective support of the procurement capacity development process begins with identifying what keycapacities already exist and what additional capacities may be needed to reach objectives. A capacityassessment is an analysis of desired capacities against existing capacities, which generates an understanding ofcapacity assets, gaps and needs that can serve as input for formulating a capacity development response orstrategy. The capacity response should address those capacities that are a priority to strengthen and optimisesexisting capacities that are already strong and well founded. It sets the baseline for continuous monitoring andevaluation of progress against relevant indicators and helps create a solid foundation for long-term planning,implementation and sustainable results in public procurement.Procurement capacity assessments can be conducted as a response to a variety of different triggers. Oftenthey are conducted as a response to a felt and expressed need for procurement capacity development, forexample, at the level of the government as a whole, a specific sector, or a procuring entity (ministry, district ormunicipality). Such assessments are conducted to determine or clarify what types of capacity need to beaddressed and how. If a capacity assessment was not conducted during formulation of a procurement capacitydevelopment strategy or reform programme it can be initiated during the implementation and/or as part of anevaluation process.In the context of any of these situations, a capacity assessment can serve a variety of purposes. It can providethe starting point for formulating a capacity development response; measure progress from earlier diagnosticexercises and confirm and adjust direction; act as a catalyst for action; confirm priorities for action; buildpolitical support for an agenda; offer a platform for dialogue among stakeholders; and provide insight intooperational hurdles in order to unblock a programme or project.5.The UNDP Capacity Assessment MethodologyUNDP has developed a methodology that provides a structure for discussion about the scale, scope andprocess of a capacity assessment exercise and about the capacity development agenda more generally. Itconsists of:The UNDP Capacity Assessment FrameworkA process for conducting a capacity assessmentSupporting tools5.1The UNDP Capacity Assessment FrameworkThe UNDP Capacity Assessment Framework has three dimensions:Points of entry: UNDP recognises that capacity resides on different levels; 1) the enabling environment; 2)the organisational; and 3) the individual. Each of these levels can be the point of entry for a capacityassessment. However, in most cases an assessment focused on one of these points of entry will also needto take into consideration capacity issues at the other points of entry. For example an assessment lookingat the national public procurement system may be primarily focused at the enabling environment, butwould need to zoom in to look at capacity in organisations such as the national public procurementoversight body and/or procuring entities. Likewise, an assessment of the capacity of an organisation toundertake procurement will in most cases need to consider some issues at the enabling environment levelsuch as public procurement policy and legislation. The Framework does not specifically address capacitiesat the individual level which are the purview of organisations.6Public Procurement Capacity Development Guide
Core issues: These are the four capacity issues that UNDP’s empirical evidence suggest to be the mostcommonly encountered across sectors, including procurement, and levels of capacity: 1) institutionalarrangements; 2) leadership; 3) knowledge; and 4) accountability. Not every assessment needs to cover allfour, but a capacity assessment team should at least consider all of them as it defines the scope of anassessment. They can be amended based on the needs of the client and the situation. Institutionalarrangements for public procurement could include; a) an integrated procurement plan developed inresponse to the national budget and a results framework; b) where all expressions of interest, bidsubmissions, evaluations, negotiations, decisions and final contracts are publicly available and accessibleover the internet and other media; c) working in partnership to strengthen procurement in line ministries;d) proactively engaging with potential bidders to maximize competition, value for money and quality; e)simplifying business processes such as downloadable standard bidding documents; and f) increasingaccountability by enabling civil society to monitor, bid opening, procurement contracts and the goodsservices and infrastructure procured.Functional and technical capacities: These are the capacities necessary for the successful creation andmanagement of policies, legislations, strategies and/or programmes. They will be adapted depending onthe scope of each assessment.5.2The process for conducting a procurement capacity assessmentUNDP suggests following a three-stage process to conduct a procurement capacity assessment. The activitiesin each stage aim at deepening engagement of national partners and promoting dialogue among keystakeholders around the capacity assessment process.Mobilise and design: Engaged stakeholders and a clear design are key to a successful capacity assessment.The design is driven by three guiding questions: 1) capacity for why? 2) capacity for whom? and 3)3capacity for what? . These questions will be discussed in more detail in Section III;Conduct the capacity assessment: During the capacity assessment data and information are collected ondesired and existing capacity. This data and information can be gathered by a variety of means, includingself-assessment, interviews and focus groups;Summarise and interpret results: The comparison of desired capacities against existing capacitiesdetermines the level of effort required to bridge the gap between them and provides the basis for theformulation of a capacity development response.5.3Supporting toolsA number of supporting tools are available as resources for a procurement capacity assessment. These includesample terms of reference for scoping missions, data collection worksheets, interview guides etc. These areattached as annexes.3The phrasing of the questions in this way has proved to be appealing and intuitive to people working on capacitydevelopment.7Public Procurement Capacity Development Guide
SECTION II:ENGAGE STAKEHOLDERS ON PROCUREMENT CAPACITY DEVELOPMENTThis section focuses on Step 1 of the capacity development process: ‘Engage Stakeholders on CapacityDevelopment’. Active stakeholder engagement is important at every stage of the capacity development cycle.Procurement capacity development involves a wide range of stakeholders that have different levels of interestand influence on capacity development. These will vary from situation to situation but may include: nationalinstitutions such as the public procurement oversight organisation; ministry of finance; civil servicecommission; anti-corruption commission; audit commission; training and education institutions; political,social and economic leaders; procuring entities (ministries, districts, municipalities); individual procurementstaff and other officials engaged in the procurement process (accountants, engineers, project managers etc);professional procurement institutes; the business community; civil society organisations; citizens; the media;donors and development partners.These stakeholders will play different roles at different stages of the procurement capacity developmentprocess and these will be discussed in more detail in the following sections on Assessing Capacity Assets andNeeds, and Formulating a Procurement Capacity Development Response. However, it is recommended that asystematic approach
Assessment Methodology. The Capacity Development Guide is an adaptation of the UNDP Capacity Assessment Methodology Users Guide1 and is meant to be used in conjunction with the UNDP Practice Notes on Capacity Development, Capacity Assessment
Strategic Procurement for Innovation Vassilis Tsanidis Dr.Jur f. National Expert on Innovation Procurement in the EU A. STRATEGIC PROCUREMENT –2 Innovation Procurement Green/Circular Procurement Social Procurement . 10-11-2020 2 EU Public Procurement Directives (2014/24 , 2014/25)
Procurement For GoJ purposes, Public Sector Procurement is the acquisition of goods, services and works, by any method, using public funds, and executed by the Procuring Entity or on its behalf. Procurement Contract A contract between the Procuring Entity and a Broker/Insure resulting from procurement proceedings. Procurement Officer A person with the authority to conduct procurement .
Procurement Procedures Procurement 2.4 Procurement authority 38 2.5 Modification of individual procurement authority 38 2.5.1 Delegation of procurement authority 38 2.5.2 Delegation of procurement authority to UNFPA officers at headquarters 38 2.5.3 Delegation of procurement authority to field office managers 41
2014 Virginia Public Procurement Act 3 The Virginia Public Procurement Act A Guide for Local Officials Preface The purpose of this publication is to give an over-view of the Virginia Public Procurement Act and its application to local public bodies, to identify sources of procurement information, and to provide sample
The public procurement process is represented by a set of rules, policies and procedures that specify how government procurement activities are supposed to be carried out (Azeem 2007). In Zimbabwe, the Procurement Act summarises procurement regulations and processes that are detailed in the Procurement Regulations (Zimbabwe Government 2002).
Transport Stock Chaser Personnel Carrier Burden Carrier BSC BUV BBC 4-wheel Cushion Walkie Reach StackerWalkie Reach Stacker 5,500lb capacity 4,500lb capacity 6,500lb capacity 6,500lb capacity 10,000lb towing capacity 4,400 - 5,500lb capacity 600lb capacity 1,000lb capacity . MAY 2014
the decisions made during the procurement process. Improvement in the quality of procurement decision-making and support may Increase Efficiency and educe Procurement Timer Allow quality to be planned early in the procurement cycle, ensuring a fit-for-purpose procurement process and reducing the likelihood of project delays. reduce risk
Established 2013 Yes Yes SP/ATI: Section 508 Standards Guide (posted to the ATI Procurement website) SP: EIT Procurement Plan . 1.2 Yes Request the Chancellor’s Office provide a list of PeopleSoft procurement codes that fit the EIT categories. . CSU ATI Procurement Community of Practice Monthly ATI Ad Hoc Procurement Sub Committee Bi-Weekly
