Amd 01 Atch J.3 Atch A Annex 5_ Data collection guide.doc
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- Attached to
- Capacity Building Assessment, Training and Development, and Related Short-Term Support Services Federal contract opportunity
- Solicitation number
- MCC-08-0111-RFP-42
- Issued by
- Millennium Challenge Corporation
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Attachment J.3 Atch A Annex 5 GOM Data Collection Guide
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MCC-08-0111-RFP-42, Amendment 01, Attachment J.3, Attachment A, Annex 5
Annex 5: Data collection guide
| Indicators |
| BLI sources |
| CPI sources |
Pillar I – Legislative and Regulatory Framework
Indicator 1:
Public procurement legislative and regulatory framework achieves the agreed standards and complies with applicable obligations
| Sub-indicator 1(a) - Scope of application and coverage of the legislative and regulatory framework |
| Public Procurement Act/Regulations |
ODPP
ODPP M&E unit PEs
Private sector associations
| Sub-indicator 1(b) - Procurement methods |
| Public Procurement Act/Regulations |
| ODPP M&E unit |
PEs (+sample of contracts)
| Sub-indicator 1(c) - Advertising rules and time limits |
| Public Procurement Act/Regulations |
| ODPP M&E unit (+monitoring reports) |
PEs (+sample of contracts) Private sector associations
| Sub-indicator 1(d) - Rules on participation and qualitative selection |
| Public Procurement Act/Regulations |
| ODPP M&E unit (+monitoring reports) |
National Construction Industry Council
PEs
Private sector associations
Anti-Corruption Bureau
| Sub-indicator 1(e) - Tender documentation and technical specifications |
| Public Procurement Act/Regulations |
SBDs ODPP M&E unit PEs Private sector associations
| Sub-indicator 1(f) - Tender evaluation and award criteria |
| Public Procurement Act/Regulations |
ODPP M&E unit (+monitoring reports) PEs (+sample of contracts)
Private sector associations
| Sub-indicator 1(g) - Submission, receipt and opening of tenders |
| Public Procurement Act/Regulations |
| ODPP M&E unit (+monitoring reports) |
PEs
Private associations
| Sub-indicator 1(h) – Complaints |
| Public Procurement Act/Regulations |
| ODPP M&E unit |
Standing Review Board PEs (MoA, MoE)
Private sector associations
Indicator 2:
Existence of Implementing Regulations and Documentation
| Sub-indicator 2(a) - Implementing regulation that provides defined processes and procedures not included in higher-level legislation |
| Public Procurement Act/Regulations |
Desk instructions ODPP Regulatory and Review Unit PEs
Private sector associations
| Sub-indicator 2(b) - Model tender documents for goods, works, and services |
| Public Procurement Act/Regulations |
Desk instructions ODPP M&E Unit PEs
SBDs
| Sub-indicator 2(c) - Procedures for pre-qualification |
| Public Procurement Act/Regulations |
| ODPP M&E Unit |
PEs (+sample of contracts)
| Sub-indicator 2d) - Procedures suitable for contracting for services or other requirements in which technical capacity is a key criterion |
| Public Procurement Act/Regulations |
Desk instructions ODPP M&E Unit
PEs (+sample of contracts)
| Sub-indicator 2(e) - User's guide or manual for contracting entities |
| Public Procurement Act/Regulations |
| ODPP Regulatory and Review Unit |
ODPP M&E Unit (+monitoring reports)
Desk instructions PEs
Sub-indicator 2(f) - General Conditions of Contracts (GCC) for public sector contracts covering goods, works and services consistent with national requirements and, when applicable, international requirements
| GCCs |
| ODPP M&E Unit (+monitoring reports) |
PEs
Pillar II – Institutional Framework and Management Capacity
Indicator 3:
The public procurement system is mainstreamed and well integrated into the public sector governance system
| Sub-indicator 3(a) - Procurement planning and data on costing are part of the budget formulation process and contribute to multiyear planning |
| Public Procurement Act/Regulations |
| ODPP M&E Unit (as they receive procurement plans + monitoring reports) |
PEs Ministry of Finance (Budget Section)
| Sub-indicator 3(b) - Budget law and financial procedures support timely procurement, contract execution, and payment |
| Public Finance Act |
Treasury Instructions Ministry of Finance (Budget Section)
Accountant General
PEs
Private sector representatives
| Sub-indicator 3(c) - No initiation of procurement actions without existing budget appropriations |
| Public Procurement Act/Regulations |
Public Finance Act
Treasury Instructions ODPP M&E Unit (+monitoring reports)
Ministry of Finance (Budget Section) Accountant General
PEs
| Sub-indicator 3(d) – Systematic completion reports are prepared for certification of budget execution and for reconciliation of delivery within budget programming |
| ODPP M&E Unit |
Ministry of Finance (Budget)
Accountant General
PEs (same as BLI)
Indicator 4:
The country has a functional normative/regulatory body
| Sub-indicator 4(a) - The status and basis for the normative/regulatory body is covered in the legislative and regulatory framework |
| Public Procurement Act/Regulations |
| ODPP Director |
NGOs
Sub-indicator 4(b) - The body has a defined set of responsibilities that include but are not limited to the following:
· providing advice to contracting entities;
· drafting amendments to the legislative and regulatory framework and implementing regulations;
· monitoring public procurement;
· providing procurement information;
· managing statistical databases;
· reporting on procurement to other parts of government;
· developing and supporting implementation of initiatives for improvements of the public procurement system; and
· providing implementing tools and documents to support training and capacity development of implementing staff
| Public Procurement Act/Regulations |
| ODPP M&E Unit |
ODPP Regulatory and Review Unit
ODPP Professional Development ODPP Director
PEs
| Sub-indicator 4(c) - The body’s organisation, funding, staffing, and level of independence and authority (formal power) to exercise its duties should be sufficient and consistent with the responsibilities |
| Public Procurement Act/Regulations |
| ODPP Director |
Sub-indicator 4(d) - The responsibilities should also provide for separation and clarity so as to avoid conflict of interest and direct involvement in the execution of procurement transactions. (Due to the nature of this sub-indicator, scoring is either a 3 or a 0)
| Public Procurement Act/Regulations |
| ODPP Regulatory and Review Unit |
Indicator 5:
Existence of institutional development capacity
| Sub-indicator 5(a) - The country has a system for collecting and disseminating procurement information, including tender invitations, requests for proposals, and contract award information |
| Public Procurement Act/Regulations |
ODPP M&E Unit ODPP M&E Unit (+website) Private sector associations
| Sub-indicator 5(b) - The country has systems and procedures for collecting and monitoring national procurement statistics |
| Public Procurement Act/Regulations |
ODPP M&E Unit ODPP M&E Unit
| Sub-indicator 5(c) - A sustainable strategy and training capacity exists to provide training, advice and assistance to develop the capacity of government and private sector participants to understand the rules and regulations and how they should be implemented |
| ODPP Professional Development Unit |
| ODPP Professional Development Unit |
Training institutions
Sub-indicator 5(d) - Quality control standards are disseminated and used to evaluate staff performance and address capacity development issues
ODPP Professional Development Unit
DHRMD
ODPP Professional Development Unit
DHRMD
PEs
Pillar III – Procurement Operations and Market Practices
Indicator 6:
The country’s procurement operations and practices are efficient
| Sub-indicator 6(a) - The level of procurement competence among government officials within the entity is consistent with their procurement responsibilities |
| Public Procurement Act/Regulations |
Desk instructions Job profiles
OPDD Professional Development Unit
DHRMD
D&T survey establishing levels of procurement officer PEs Donors (UNSAID, UNDP, World Bank) (same as BLI)
| Sub-indicator 6(b) - The procurement training and information programmes for government officials and for private sector participants are consistent with demand |
| ODPP Professional Development Unit |
Training institutions
PEs
Private sector associations
NGOs (same as BLI)
| Sub-indicator 6(c) - There are established norms for the safekeeping of records and documents related to the transactions and contract management |
| Public Procurement Act/Regulations |
Desk instructions
ODPP Review and Regulatory Unit Audit Act
Corrupt Practices Act
Access to Information Act ODPP M&E Unit PEs (+sample of contracts) Anti-Corruption Bureau
Sub-indicator 6(d) - There are provisions for delegating authority to others who have the capacity to exercise responsibilities
Public Procurement Act/Regulations Desk instructions ODPP M&E Unit NGOs
Indicator 7:
Functionality of the public procurement market
| Sub-indicator 7(a) - There are effective mechanisms for partnerships between the public and private sector |
| ODPP Director |
ODPP M&E Unit
Private sector associations
PEs Donors (same as BLI)
| Sub-indicator 7(b) - Private sector institutions are well organised and able to facilitate access to the market |
| ODPP Director |
ODPP M&E Unit
Private sector associations
Donors (same as BLI)
Sub-indicator 7(c) - There are no major systemic constraints (e.g. inadequate access to credit, contracting practices, etc.) inhibiting the private sector's capacity to access the procurement market
ODPP Director
Private sector institutions Donors (same as BLI)
Indicator 8:
Existence of contract administration and dispute resolution provisions
| Sub-indicator 8(a) - Procedures are clearly defined for undertaking contract administration responsibilities that include inspection and acceptance procedures, quality control procedures, and methods to review and issue contract amendments in a timely manner |
| Public Procurement Act/ Regulations |
Desk instructions
General Conditions of Contract
SBDs ODPP M&E Unit PEs
Private sector associations
| Sub-indicator 8(b) - Contracts include dispute resolution procedures that provide for an efficient and fair process to resolve disputes arising during the performance of the contract |
| Public Procurement Act/Regulations |
Arbitration Act
General Conditions of Contract ODPP M&E Unit Ministry of Justice
| Sub-indicator 8(c) - Procedures exist to enforce the outcome of the dispute resolution process |
| General Conditions of Contract |
Arbitration Act
Ministry of Justice Ministry of Justice ODPP M&E Unit
Pillar IV – Integrity and Transparency of the Public Procurement System
Indicator 9:
The country has effective control and audit systems
| Sub-indicator 9(a) - A legal framework, organisation, policy, and procedures for internal and external control and audit of public procurement operations are in place to provide a functioning control framework |
| Public Procurement Act/Regulations |
Audit Act
Internal Audit manual (or alternative instructions) ODPP M&E Unit
National Audit Office
Ministry of Finance (Internal Auditor)
PEs
| Sub-indicator 9(b) - Enforcement and follow-up on findings and recommendations of the control framework provide an environment that fosters compliance |
| ODPP M&E Unit |
National Audit Office
Ministry of Finance (Internal Auditor)
PEs (same as BLI)
| Sub-indicator 9(c) - The internal control system provides timely information on compliance to enable management action |
| Ministry of Finance (Internal Auditor) |
Internal Audit Manual (or alternative instructions) (same as BLI)
| Sub-indicator 9(d) - The internal control systems are sufficiently defined to allow performance audits to be conducted |
| Internal Audit Manual (or alternative instructions) |
| Ministry of Finance (Internal Auditor) |
| Sub-indicator 9(e) - Auditors are sufficiently informed about procurement requirements and control systems to conduct quality audits that contribute to compliance |
| ODPP Professional Development Unit |
National Audit Office
Ministry of Finance (Internal Auditor) ODPP Professional Development Unit
National Audit Office
Ministry of Finance (Internal Auditor)
PEs
Training institutions
Indicator 10:
Efficiency of appeals mechanism
| Sub-indicator 10(a) - Decisions are deliberated on the basis of available information, and the final decision can be reviewed and ruled upon by a body (or authority) with enforcement capacity under the law |
| Public Procurement Act/Regulations |
Desk instructions Standing Review Board
PEs
Private sector associations
| Sub-indicator 10(b) - The complaint review system has the capacity to handle complaints efficiently and a means to enforce the remedy imposed |
| Public Procurement Act/Regulations |
Desk instructions Standing Review Board PEs Private sector associations
| Sub-indicator 10(c) - The system operates in a fair manner, with outcomes of decisions balanced and justified on the basis of available information |
| Public Procurement Act/Regulations |
Desk instructions Standing Review Board NGOs Private sector associations
| Sub-indicator 10(d) - Decisions are published and made available to all interested parties and to the public |
| Public Procurement Act/Regulations |
Desk instructions
Access to Information Act Standing Review Board PEs NGOs
Sub-indicator 10(e) – The system ensures that the complaint review body has full authority and independence for resolution of complaints
Public Procurement Act/Regulations
Desk instructions Standing Review Board Private sector associations NGOs
Indicator 11:
Degree of access to information
Sub-indicator 11(a) - Information is published and distributed through available media with support from information technology when feasible
Public Procurement Act/Regulations
Desk instructions Access to Information Act ODPP M&E Unit
Private sector associations NGOs
Indicator 12:
The country has ethics and anticorruption measures in place
| Sub-indicator 12(a) - The legal and regulatory framework for procurement, including tender and contract documents, includes provisions addressing corruption, fraud, conflict of interest, and unethical behaviour and sets out (either directly or by reference to other laws) the actions that can be taken with regard to such behaviour |
| Public Procurement Act/Regulations |
Desk instructions SBDs
General Conditions of Contract N/A (see indicator 12(c))
| Sub-indicator 12(b) - The legal system defines responsibilities, accountabilities, and penalties for individuals and firms found to have engaged in fraudulent or corrupt practices |
| Public Procurement Act/Regulations |
Desk instructions
SBDs Corrupt Practices Act N/A (see indicator 12(c))
| Sub-indicator 12(c) – Evidence of enforcement of rulings and penalties exists |
| ODPP M&E Unit |
Anti-Corruption Bureau (+statistics)
NGOs Private sector associations (same as BLI)
| Sub-indicator 12(d) - Special measures exist to prevent and detect fraud and corruption in public procurement |
| Anti-Corruption Bureau |
| Anti-Corruption Bureau |
NGOs
Sub-indicator 12(e) – Stakeholders (private sector, civil society, and ultimate beneficiaries of procurement/end-users) support the creation of a procurement market known for its integrity and ethical behaviours
ODPP Director
Anti-Corruption Bureau
Private sector associations NGOs
| Sub-indicator 12(f) - The country should have in place a secure mechanism for reporting fraudulent, corrupt, or unethical behaviour |
| Public Procurement Act/Regulations |
Desk instructions Anti-Corruption Bureau ODPP Director Anti-Corruption Bureau PEs
Private sector associations
| Sub-indicator 12(g) - Existence of Codes of Conduct/Codes of Ethics for participants that are involved in aspects of the public financial management systems that also provide for disclosure for those in decision making positions |
| Codes of Conduct/Codes of Ethics for public officials |
| DHRMD |
ODPP Director
Anti-Corruption Bureau
Additional indicators
| The procurement process – and particularly the needs identification phase – is free of political interference |
| Public Procurement Act/Regulations |
Desk instructions ODPP Director
PEs
Private sector associations
NGOs
Donors
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