Amd 01 Atch J.3 Atch B Annex 2 Cap dev.doc

MCC-08-0111-RFP-42, Amendment 01, Attachment J.3, Attachment B, Annex 2

Annex 2: Capacity Development Strategies Worksheet

Baseline/target

Timeframe

Pillar I: Legislative and Regulatory framework

b. Continue training and sensitisation of private sector and PEs on use of SBDs

c. Develop SBDs for routine services

d. Undertake review of need for Regulations targeting local level PEs

e. Establish helpdesk for PEs

a. Detailed guidelines developed and disseminated to PEs

b. Training and sensitisation for private sector and PEs delivered

c. SBDs for routine services developed

d. Review conducted and strategy for handling problems related to SBDs at local level developed

e. Helpdesk for PEs established Outcome Indicator

· % of procurements carried out using the appropriate SBDs Baseline

· <10% of procurements carried out use appropriate SBDs (estimate) Target

· 90% of all procurements use appropriate SBDs

a. ODPP RAR

b. ODPP PD

c. ODPP RAR

d. ODPP ME

e. ODPP RAR

a. –

b. –

c. –

d. –

e. –

a. High (qw)

b. High

c. High (qw)

d. Medium

e. Medium

ii. Many procuring entities do not have a copy of the Regulations and Desk Instructions

a. Upload Regulations to the ODPP website for free download

b. Continue sensitisation campaign for PEs on the Regulations and Desk Instructions

a. Regulations can be downloaded free of charge from the ODPP website

b. Sensitisation campaign implemented Outcome Indicator

· % of PEs that have copies of the Regulations according to Institution Compliance Assessment

· %of PEs that have copies of the Desk Instructions according to Institution Compliance Assessment Baseline

· <50% of PEs have copies of the Regulations (estimate)

· <50% of PEs have copies of the Desk Instructions (estimate) Target

· 95% of PEs in the Institution Compliance Assessment have copies of the Regulations

· 95% of PEs in the Institution Compliance Assessment have copies of the Desk Instructions

a. ODPP PRO

b. ODPP PD

a. –

b. –

a. High (qw)

b. High

b. Create simple guidelines on how to develop technical specifications

c. Develop standard specifications for common user items

d. Establish a helpdesk for staff developing technical specifications

e. Monitor and follow-up on the status on technical specifications

a. Training on how to develop technical specifications delivered

b. Simple guidelines developed

c. Standard specifications for common user items developed

d. Helpdesk established

e. Monitoring and follow-up ongoing

Outcome indicator

· % of procurements carried out include adequate technical specifications according to Institution Compliance Assessment Baseline

· <5% of procurements carried out include adequate technical specifications (estimate) Target

· 50% of procurements carried out include adequate technical specifications

a. ODPP PD

b. ODPP RAR

c. ODPP RAR

d. ODPP PD

e. ODPP ME

a. –

b. –

c. –

d. –

e. –

a. High

b. High (qw)

c. High (qw)

d. Medium

e. Medium (qw)

iv. Evaluation criteria are often poorly specified

a. Conduct training targeting (i) technical staff in PE user departments; (ii) procurement officers; and (iii) staff at specialised advisory institutions on how to develop appropriate evaluation criteria

b. Create simple guidelines on how to develop how to develop appropriate evaluation criteria

c. Monitor and follow-up on the use of relevant evaluation criteria

a. Training on how to develop evaluation criteria delivered

b. Simple guidelines developed

c. Monitoring and follow-up ongoing

Outcome indicator

· % of procurements carried out include adequate evaluation criteria according to Institution Compliance Assessment Baseline

· <50% of procurements carried out include adequate evaluation criteria (estimate) Target

· 95% of procurements carried out include adequate evaluation criteria

a. ODPP PD

b. ODPP RAR

c. ODPP ME

a. –

b. –

c. –

a. High

b. High (qw)

c. Medium

b. Review of tender periods in Standard Bidding Documents

a. Monitoring ongoing

b. Review conducted and tender periods revised Outcome indicator

· % of procurement cases in Institution Compliance Assessment applying correct procurement method Baseline

· No data Target

· Correct procurement method used in 95% of cases

a. ODPP ME

b. ODPP RAR

a. –

b. –

a. High (qw)

b. High (qw)

b. Provide sensitisation training for procurement officers on the complaint review framework

a. Instructions issued

b. Sensitisation training delivered Outcome indicator

· % of PEs in Institution Compliance Assessment aware of procedures for review Baseline

· <25% of PEs are aware of procedures for review (estimate) Target

· 95% of PEs aware of procedures for review

a. ODPP PD

b. ODPP PD

a. –

b. –

a. High (qw)

b. High

vii. Many procuring entities have experienced political interference in the procurement process

a. Sensitisation of leaders of PEs, politicians and parliamentary committees on good practice in procurement

b. Engage in dialogue with audit function and other relevant stakeholders about how to strengthen compliance and enforce sanctions for non-compliance

c. Engage in dialogue with Anti-Corruption Bureau about how to strengthen independence to procurement officers

d. Develop and provide guidelines for procurement officers on how to deal with political interference

a. Sensitisation materials and workshop conducted

b. Dialogue established and plan developed

c. Dialogue established and plan developed

d. Guidelines developed and issued Outcome indicator

· % of PEs reporting to have experienced political interference according to Institution Compliance Assessment Baseline

· 50% of PEs report political interference

Target

· <25% of PEs report political interference

a. ODPP PD

b. ODPP RAR

c. ODPP PD

d. ODPP PD

a. -

b. NAO

c. ACB

d. ACB

a. Medium

b. Medium

c. Medium

d. High (qw)

Pillar II: Institutional framework and management capacity

· Improved score in BLI sub-indicator 3(a)

Baseline

· Score 0 in 2007

Target

· Score 3 in 2009

b. Sensitisation of leaders of PEs, MoF and politicians on value and advantages of procurement planning

c. Establish dialogue with the Ministry of Finance on the cash-flow mechanism

a. Training of PEs delivered

b. Sensitisation material and workshops conducted

c. Dialogue established Outcome indicator

· % of PEs with procurement plans

Baseline

· <10% of PEs have procurement plans (estimate) Target

· 95% of PEs have procurement plans

a. ODPP PD

b. ODPP PD

c. ODPP Director

a. –

b. –

c. Ministry of Finance

a. High

b. High

c. High

b. Initiate monitoring of the use of exceptions to competitive tendering including “emergency procurement”

c. Establish dialogue with the Ministry of Finance on the cash-flow mechanism

a. Guidelines issued

b. System for monitoring the area in place, and monitoring ongoing

c. Dialogue established Outcome indicator

· % of procurements not in accordance with procurement plans Baseline

· No data Target

· 75% of all procurements carried out are in accordance with previously defined procurement plans

a. ODPP PD

b. ODPP ME

c. ODPP Director

a. –

b. –

c. Ministry of Finance

a. High (qw)

b. Medium (qw)

c. High

b. Initiate monitoring of completion rates

a. Dialogue established and mechanism developed

b. Monitoring of completion established Outcome indicator

· Score in BLI sub-indicator 3(d)

Baseline

· Score 0 in 2007

Target

· Score 3 in 2009

a. ODPP Director

b. ODPP ME

a. Ministry of Economic Planning and Development

b. –

a. Low

b. Low (qw)

b. Ensure existing staff performance appraisal mechanism is operational

c. Identify ODPP “learning manager” to upscale focus on learning

a. Vacancy profiles reviewed and vacancies re-advertised

b. Performance appraisal mechanism is fully operational

c. Learning manager has been appointed Outcome indicator

· % of established ODPP positions that are vacant Baseline

· Approx. 50% of ODPP posts are vacant Target

· <10% of ODPP posts are vacant

a. ODPP Director

b. ODPP Director

c. ODPP Director

a. –

b. –

c. –

a. High (qw)

b. Medium

c. Medium

· Level of phasing out of ODPP prior review function Baseline

· ODPP prior review for procurements over established thresholds

Target

· ODPP prior review function fully replaced by post facto review function

b. ODPP PD

c. ODPP RAR

a. High (qw)

vii. The system in place for dissemination and collection of procurement information is not operational

a. Review mechanism

b. Develop guidelines on how to upload procurement

c. Continue awareness training for PEs on requirements and how to upload information to the ODPP webpage

d. Initiate regular review of Quarterly Procurement Reports for consistency with uploaded information

a. Review conducted and improved functionality introduced

b. Guidelines developed and disseminated to all PEs

c. Training conducted for all PEs

d. Review of Quarterly Procurement Reports systematically taking place Outcome indicator

· % of procurement plans, procurement notices and contract awards on ODPP website

Baseline

· < 5% of procurement plans, procurement notices and contract awards on website Target

· 95% of procurement plans, procurement notices and contract awards on website

a. ODPP PRP

b. ODPP PD

c. ODPP PD

d. ODPP ME

a. High (qw)

b. High (qw)

c. High (qw)

d. High

b. Undertake staff development and/or recruitment to acquire competencies

c. Establish system for aggregation and analysis of data

a. Review complete

b. Data aggregation and analysis competencies acquired

c. System for aggregation and analysis of data established Outcome indicator

· Data from Institution Compliance Assessment and Quarterly Procurement Reports aggregated, analysed and disseminated Baseline

· No data being aggregated, analysed and disseminated Target

· All data aggregated, analysed and disseminated

ODPP ME

ODPP ME

ODPP ME

a. –

b. –

c. – High (qw)

High (qw) High (qw)

ix. There are no quality control standards or system for monitoring procurement performance in place

a. Undertake a study on good practice in procurement performance with a view to developing a policy and mechanism for procurement performance management

· Performance Management Policy in place with implementation plan Baseline

· No policy for performance management

Target

· Performance Management Policy in place with implementation plan

· Number of procurement officers covered by performance management system

Baseline

· No procurement officers covered Target

· 95% of procurement officer covered

Pillar III: Procurement operations and market practices

b. Conduct outreach activities targeting PEs

a. Training and sensitisation delivered

b. Outreach activities undertaken

Outcome indicator

· See Pillar I, item i, iii, iv, v and vi.

Baseline

· See Pillar I, item i, iii, iv, v and vi.

Target

· See Pillar I, item i, iii, iv, v and vi.

a. ODPP PD

b. ODPP PD

a. –

b. –

a. High

b. High

b. Continue collaboration with educational institutions and adjust curricula based on feedback

a. Additional training activities delivered

b. Collaboration ongoing and curricula regularly adjusted

Outcome indicator

· Score in BLI sub-indicator 6(b) Baseline

· Score of 0 in BLI sub-indicator 6(b) Target

· Score of 2 in BLI sub-indicator 6(b)

a. ODPP PD

b. ODPP PD

a. –

b. MIM, SDI, Polytechnic, etc.

a. High

b. High

b. Disseminate job descriptions for procurement officers and instructions on the recruitment process to all PEs

a. Clear definition of responsibilities between ODPP and DHRMD established

b. Job descriptions disseminated to all PEs Outcome indicator

· Number of procurement positions established at PE level

· % of established positions filled

Baseline

· 76 procurement positions established at PE level

· <10% of established positions filled (estimate)

Target

· 400 procurement positions established at PE level

· 80% of established positions filled

a. ODPP PD

b. ODPP PD

a. DHRMD; OPC; Treasury

b. –

a. High

b. High (qw)

b. Establish formalised dialogue between ODPP, DHRMD, OPC and the Treasury with a view to defining a joint future strategy for the development of a procurement career path

c. Conduct public information campaign with a view to improving the image of the public procurement profession

a. Adequate long-term procurement training options have been established

b. Joint strategy for the development of a procurement career path is in place

c. Public information campaign has been conducted Outcome indicator

· See Pillar III, item iii.

Baseline

· See Pillar III, item iii.

Target

· See Pillar III, item iii.

a. ODPP PD

b. ODPP PD

c. ODPP PD

a. Educational institutions

b. DHRMD; OPC; Treasury

c. ODPP PRO

a. High

b. High

c. High

b. Develop a simple supplier guideline on how to handle SBDs in the bidding process

c. Scale up existing SME initiative led by ODPP

a. Private sector workshops delivered

b. Supplier guideline produced and disseminated

c. Four meetings held in the SME forum Outcome indicator

· Score in BLI sub-indicator 6(b) Baseline

· Score of 0 in BLI sub-indicator 6(b) Target

· Score of 3 in BLI sub-indicator 6(b)

a. ODPP PD

b. ODPP PD

c. ODPP Director

a. –

b. –

c. SMEs; Private sector associations

a. High

b. High (qw)

c. Medium

· % of procurement functions in Institution Compliance Assessment placed at an adequate level in the organisational hierarchy Baseline

· Few PEs have a separate procurement function Target

· 90% of procurement functions are placed at an adequate level in the organisational hierarchy

· Phasing out of the CGS

Baseline

· CGS existing but not operational Target

· CGS activities phased out and staff reemployed

Outcome indicator

· Score in BLI sub-indicator 7(a) Baseline

· Score of 1 in BLI sub-indicator 7(a) Target

· Score of 2 in BLI sub-indicator 7(a)

a. ODPP Director

b. ODPP Director

a. Private sector ass; OPC; representatives of main PEs

b. Various stakeholders

a. Low

b. Medium

b. Develop a simple supplier guideline on how to handle SBDs in the bidding process

c. Continue SME forum initiated by ODPP

a. Workshops delivered

b. Supplier guideline developed and disseminated

c. Formalised dialogue established and strategy developed

d. Four meetings held in the SME forum

Outcome indicator

· Score in BLI sub-indicator 7(b) and 7(c)

Baseline

· Score of 2 in BLI sub-indicator 7(b)

· Score of 1 in BLI sub-indicator 7(c) Target

· Score of 3 in BLI sub-indicator 7(b)

· Score of 2 in BLI sub-indicator 7(c)

a. ODPP PD

b. ODPP PD

c. ODPP Director

d. ODPP Director

a. –

b. –

c. Private sector ass; OPC; representatives of main PEs

d. Various stakeholders

a. High

b. Medium

c. Low

d. Medium

b. Issue instructions to PEs on how to properly file records

c. Provide follow-up training to procurement officers at PE level

d. Initiate monitoring and follow-up on record keeping practices

a. Dialogue established

b. Instructions issued

c. Procurement officers trained in good record keeping practices

d. Monitoring of compliance ongoing Outcome indicator

· % of PEs in Institution Compliance Assessment using adequate filing systems

Baseline

· <5% of PEs have proper filing systems (estimate) Target

· 50% of PEs have proper filing systems

a. ODPP RAR

b. ODPP PD

c. ODPP PD

d. ODPP ME

a. Ministry of Finance; Accountant General

b. –

c. –

d. –

a. High (qw)

b. High (qw)

c. High

d. High (qw)

b. Develop guideline for PEs on contract execution

c. Include contract execution as Key Performance Indicator in performance management system (see also Pillar II, item ix)

a. Training delivered

b. Guideline developed

c. Key Performance Indicator on contract execution established Outcome indicator

· Score in CPI sub-indicator 8(a) Baseline

· Score of 1 in 2007 Target

· Score of 2 in 2009

a. ODPP PD

b. ODPP PD

c. ODPP Director

a. –

b. –

c. –

a. Medium

b. Low (qw)

c. Low

Pillar IV: Integrity and transparency of the procurement system

b. Establish a coordinated strategy for short-term training on procurement for auditors

c. Initiate dialogue with Malawi College of Accountants (MCA) to consider possibilities for adding procurement related topics to the training curriculum

a. Formalised dialogue established and desired procurement proficiency defined

b. Strategy for short-term training developed and training delivered

c. Procurement related topics integrated in the auditor education as agreed in the dialogue Outcome indicator

· % of auditors having undertaken short-term procurement training

Baseline

· 0% of auditors have undertaken procurement training

Target

· 50% of auditors have undertaken short-term procurement training

a. ODPP PD

b. ODPP PD

c. ODPP PD

a. NAO

IAU

b. NAO

IAU

c. NAO

IAU

MCA

a. High

b. High

c. High

· Percentage of audit recommendations being enforced

Baseline

· Very few audit recommendations are enforced

Target

· 50% of all audit recommendations are enforced

· Number of PEs with an Internal Audit Committee

Baseline

· Only 6-7 PEs have established Internal Audit Committees

Target

· At least 30 PEs have established Internal Audit Committees

b. Establish hotline for bidders within ODPP

c. Issue instructions for PEs on how to handle complaints

d. Provide sensitisation training for procurement officers on the complaint review framework

a. Sensitisation and awareness campaign targeting bidders completed

b. Hotline established

c. Instructions issued

d. Sensitisation training delivered Outcome indicator

· Number of written complaints received at PE level according to Institution Compliance Assessment Baseline

· Surveyed PEs receive <5 written complaints per year (estimate) Target

· PEs on average receive at least 10 written complaints per year

a. ODPP PD

b. ODPP PD

c. ODPP PD

d. ODPP PD

a. –

b. –

c. –

d. –

a. High

b. Medium

c. High (qw)

d. Medium

b. Provide training for procurement officers in applying the mechanism

a. Mechanism for collection and publication complaint decisions made at PE and Review Committee level has been established

b. Training for procurement officers in applying the mechanism delivered Outcome indicator

· % of complaint decisions published

Baseline

· 0% of complaint decisions are published

Target

· 70% of complaint decisions are published

a. ODPP RAR

b. ODPP PD

a. –

b. –

a. Low

b. Low

b. Clearly assign the responsibility of ensuring complete procurement information on the ODPP website

c. Include maintenance of the ODPP webpage (including uploading key information) as a Key Performance Indicator in the assessment of the responsible staff member

a. The responsibility of maintaining the ODPP webpage has been clearly assigned

b. The responsibility is included as a key indicator in the performance assessment for the responsible staff member Outcome indicator

· Level of completeness of procurement information available from the ODPP webpage

Baseline

· The ODPP webpage is not updated regularly

· Key procurement documents are not available

Target

· The ODPP webpage is updated monthly

· All relevant key procurement documents are accessible and downloadable to the public from the ODPP webpage

a. ODPP Director

b. ODPP Director

a. –

b. –

a. High (qw)

b. High (qw)

b. Conduct sensitisation workshops for civil society organisations and media with a view to strengthening procurement awareness

a. Procurement awareness campaign conducted

b. Sensitisation workshops conducted for civil society and media Outcome indicator

· Number of NGOs involved in monitoring of procurement related issues

Baseline

· 1-2 NGOs are involved in monitoring of procurement related issues

Target

· At least 5 NGOs are involved in monitoring of procurement related issues

a. ODPP PRO

b. ODPP PD

a. Medium

b. Medium

· A clear strategy for the enforcement of ruling and penalties with regards to corruption in procurement has been elaborated and agreed by the ACB and the ODPP

Baseline

· No strategy in place

Target

· Detailed strategy with activities, milestones and timeframes developed

b. Phase out the corruption reporting mechanism administered by ODPP

a. Dialogue initiated and secure reporting mechanism established

b. ODPP mechanism for reporting of corruption in procurement phased out Outcome indicator

· Number of cases of corruption reported through the reporting mechanism

Baseline

· An average of 30 yearly cases of corruption in procurement are reported through the reporting system (estimate)

Target

· At least 100 yearly cases of corruption in procurement are reported through the reporting system

a. ODPP Director

b. ODPP Director

ACB

ODPP PRO

a. High

b. High

b. Establish cooperation between ODPP, DHRMD, ACB and MoF for the purpose of ensuring that the Code of Conduct includes provisions for those involved in public financial management/ procurement and that accountabilities and consequences are clearly defined

a. Standards of Ethics disseminated to all PEs and other stakeholders to the procurement system

b. Provision for those involved in public financial management/ procurement exist, and accountabilities and consequences are clearly defined Outcome indicator

· Score in BLI assessment 12(g)

· Score in CPI assessment 12(g) Baseline

· Score 1 in the 2009 BLI assessment of sub-indicator 12(g)

· Score 0 in the 2009 CPI assessment of sub-indicator 12(g)

Target

· Score 3 in the 2009 BLI assessment of sub-indicator 12(g)

· Score 2 in the 2009 CPI assessment of sub-indicator 12(g)

a. ODPP PD

b. ODPP Director

ODPP PRO

ODPP PRO; DHRMD; ACB; OPC; MoF High (qw)

Low

Low

Low

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