Directive. BP Annex A - General Responsibilities and Accountabilities for Procurement Work. Bank Access to Information Policy Designation Public

Transcription

1 Directive BP Annex A - General Responsibilities and Accountabilities for Procurement Work Bank Access to Information Policy Designation Public Catalogue Number Issued Effective April 1, 2013 Retired August 12, 2016 Content Applicable to Issuer OPCS; Sponsor ;

2 Operational Manual BP 11.00, Annex A - General Responsibilities and Accountabilities for Procurement Work These procedures were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. BP Annex A January, The table below describes the general responsibilities and accountabilities for procurement work. It should be read in conjunction with Annex B Decision Authority Matrix. A. Operational Staff, Sector Units and Regional Management Regional Management Country Director (CD) Sector Manager (SM) Regional Management is accountable for: (a) ensuring that the Bank s fiduciary and service obligations related to procurement are discharged at the highest professional standards; (b) providing the resources (human and financial) to allow task teams to fully discharge these procurement responsibilities, with regard to both prior review and post review activities; and (c) following up on agreed regional actions, including staffing, related to procurement. CDs are accountable for ensuring that each operation is suitably funded to carry out the necessary procurement work. They are also responsible for: (a) issuing misprocurement letters; (b) ensuring that a policy dialogue with government in the area of public procurement is carried out; and (c) overseeing procurement-related Economic and Sector Work (ESW). SMs are accountable for ensuring that the task teams are adequately staffed and that the procurement supervision budgets they manage are spent as intended to carry out the necessary procurement work. They are also responsible for: (a) clearing the Project Appraisal Document (PAD), including final procurement arrangements, procurement planning and packaging, the project supervision plan, and the related procurement provisions of the loan agreement; (b) monitoring the implementation of actions agreed upon in back-tooffice reports, Aide Memoires, Procurement Post Reviews (PPRs), etc.; (c) clearing the draft Implementation Completion Report (ICR); and (d) soliciting the advice of the Regional Procurement Manager (RPM) as necessary. TTL TTLs are the main interlocutors in communicating the Bank s position to the borrower after consultation with and clearance from the

3 appropriate levels as per the Decision Authority Matrix in Annex B. TTLs have the primary overall responsibility to ensure that procurement is carried out according to Bank policies and procedures. They are, inter alia, responsible for: (a) ensuring that a designated Procurement Staff (PS) or Procurement Accredited Staff (PAS) is included in the task team from the early project preparation stages; (b) managing and coordinating all procurement work during the whole project cycle; (c) keeping line managers informed of progress or issues adversely affecting procurement in the projects under their responsibility; (d) ensuring that there are adequate resources earmarked for tasks such as procurement post reviews and field supervision missions; (e) reviewing or arranging for a technical expert to review the technical aspects of the project and its related contracts, including but not limited to TOR (except as indicated in Annex C), technical specifications and design, bills of quantities, etc.; (f) monitoring the execution and regular (at least annual) updating of the procurement plans, and ensuring proper publication, including updates; (g) ensuring the timely publication of the General Procurement Notices (GPNs) and Specific Procurement Notices (SPNs); (h) signing no objection letters in response to borrowers procurement recommendations on behalf of the Bank after obtaining the appropriate internal clearances; (i) (j) following up with the borrower on complaints, findings of procurement supervision missions, PPRs, IPRs, or any other audits and reviews; monitoring contract management issues and conducting physical inspection; and (k) maintaining and arranging for filing in the Bank s internal records system all project procurement-related documents, in particular communications with the borrower such as no objections, etc., and making sure that information is entered in a timely and appropriate manner in all procurement systems (e.g. Forms 384, complaints database, etc.). B. Procurement Staff Chief Procurement Policy Officer (CPPO) The CPPO is accountable for the overall oversight and appropriate discharge of the procurement function under Bank-financed projects, and the interpretation of the Bank procurement policies. The CPPO responsibilities include, inter alia: (a) chairing the Procurement Sector Board (PSB) and its Policy Committee; (b) participating in the joint Procurement / Financial Management Board and the Human Resources Committee of the PSB; (c) chairing the Operations Procurement Review Committee (OPRC) and special review meetings to review complex and nonstandardized matters; (d) making final decisions with regard to the interpretation of the Procurement and Consultant Guidelines, and this OP/BP 11.00,

4 including annexes; (e) defining the work program and priorities of the Procurement Policy & Services Group (OPCPR) to support the PSB and monitoring its delivery; (f) ensuring the appropriate update of the Bank Standard Bidding Documents (SBDs) and templates, as well as their harmonization with the Master Procurement Documents prepared with other multilateral development banks (MDBs); (g) leading policy-making initiatives and updates to the procurement policies for consideration by the Policy Committee and eventual submission of policy changes for approval by the Bank s Board of Executive Directors; (h) leading the harmonization process and dialogue with development partners and international organizations (MDBs, Organization for Economic Cooperation and Development/Development Assistance Committee (OECD/DAC) and United Nations agencies); and (i) leading the dialogue on procurement matters with the business community and professional associations, including, inter alia, representative organizations of the private sector. Regional Procurement Manager (RPM) RPMs serve as recognized authorities on operational procurement and are members of the OPRC. They advise regional management on the application of procurement policy and how to address systemic and related operational issues across sectors/sub-sectors in their regions. RPMs supervise regional procurement staff and oversee the organization and delivery of procurement services at the regional level. They make sure that appropriate fiduciary and quality controls are in place, and monitor consistency in the application of procurement policies when making procurement decisions. The RPM responsibilities include, inter alia: (a) ensuring that each project is assigned a PS or, in consultation with the SMs, a PAS with skills compatible with the nature and complexity of the procurement work involved; (b) reviewing draft procurement sections in project documents (procurement arrangements, Procurement Plan, and project supervision plan) and legal agreements drafted by PS/PAS as required; (c) setting up adequate arrangements to provide quality assurance and monitor procurement work in the regions to report to the Regional Vice President (RVP) and the CPPO any issues affecting regional performance and to propose adequate solutions for addressing problems with procurement work in the regions; (d) reviewing all contracts above the mandatory RPM thresholds set up in Annex D; ensuring timely response and resolution of procurement complaints; (e) following up on INT reports findings and recommendations; (f) acting as a focal point/ spokesperson on general procurement issues with borrowers and external constituencies; chairing debriefing meetings with the complaining bidders and consultants; (g) providing quality assurance on procurement diagnostic and/or ESW at the country level, and following up on country reform and capacity development actions; (h) hiring and selecting regional procurement staff, guiding/mentoring procurement staff and procurement-accredited staff, and assisting

5 (i) (j) procurement staff in their career development, including on-the-job training; contributing to the design of professional and operational training and development activities in procurement and overseeing delivery of training of the borrowers staff and outreach to the private sector in the region; overseeing the procurement accreditation process in their region; (k) leading procurement initiatives at the regional level to establish a framework and approach to knowledge dissemination and/or development of knowledge products, including tools and methodologies; and (l) managing partnership initiatives with regional development banks and other international financial organizations, and bi-lateral donors. PS and PAS Procurement Analyst (PA) PSs and PASs are the task team members who are accountable for all procurement activities related to the preparation and supervision of the project they are assigned to during the whole project cycle. They are, inter alia, responsible for: (a) providing quality professional input to the procurement activities mandated by the preparation and supervision of Bank-financed projects; (b) drafting procurement-related sections of the project documents, loan agreements, minutes of the negotiations, Aide Memoires, supervision reports, follow-up letters to the borrowers, ICRs, etc.; (c) advising the TTL and task teams on procurement operational and capacity building work, and handling procurement complaints (including recording them in the complaints database); (d) participating in loan negotiations and in project s preparation and supervision missions; (e) carrying out a wide range of the Bank s fiduciary responsibilities, including prior and post reviews, related to procurement; (f) seeking advice and obtaining clearance needed from RPMs and other procurement authorities within the Bank; (g) liaising with concerned parties, especially with INT in regard to red flags or investigations, Loan Department (LOA) and financial management staff with regard to general quality and coordination of operational work and ESW; (h) keeping the TTLs and the RPMs informed of any issues related to procurement that may arise in the operations assigned to them; (i) (j) acting as main interlocutors of the borrower with regard to project procurement-related matters, and providing advice and conducting training of borrowers staff as needed; and conducting outreach activities for the community of bidders and consultants. In addition, PSs are also responsible for contributing to the evaluation of the borrower s national procurement systems, including risk assessments and proposals for improvements to strengthen the legal and institutional frameworks and the capacity of the borrower. PAs are accountable for providing operational procurement expertise in consultation with senior procurement staff at all stages of the project cycle. Key responsibilities include, inter alia:

6 (a) carrying out preliminary reviews, and, when accredited, reviews up to their level of accreditation; (b) analyzing a variety of procurement issues and documents, such as bidding documents, request for proposals, and evaluation reports; (c) participating in project preparation and supervision missions; (d) carrying out post procurement reviews; (e) checking the quality of Forms 384 and entries into the complaint database; (f) participating in negotiations and project discussions, and contributing to the review of Procurement Plans, implementation schedules, procurement supervision plans, the development of procurement monitoring systems, as well as to the preparing procurement inputs to a range of documents and reports; and (g) participating in capacity assessments of implementing agencies and in-county procurement assessments by researching procurement laws and practices, collecting and analyzing data, etc. OPCPR LEGPR Under the leadership of the CPPO, OPCPR is responsible for the formulation and updating of procurement policies. Its tasks, inter alia, include: (a) drafting guidance notes and instructions to procurement and operational staff, and developing tools and templates; (b) developing and updating SBDs and Standard Request for Proposals (SRFP); (c) providing support and advice to the regions with the goal of ensuring consistency in the application of procurement policies and procedures across the regions; (d) developing training materials, preparing and delivering procurement training programs for Bank staff; (e) developing and implementing computerized system solutions to support procurement processes and monitor the quality of procurement data entry and reporting; (f) monitoring the implementation of initiatives such as the piloting program for the Use of Country Systems (UCS); (g) collecting and disseminating best practices; and (h) acting as RPM for global programs funded under Recipient- Executed Trust Funds. LEGPR, led by the LEGPrA, is responsible for: (a) representing the Legal Vice Presidency on the OPRC; (b) advising the procurement network and other sector networks on legal procurement issues in operational activities; (c) advising on misprocurement cases when requested by the RPM and/or the country lawyer, clearing responses to complaints, and attending debriefings for complaints that raise legal issues; (d) assisting RPMs in country institutional work by reviewing and providing comments on national procurement laws and regulations; (e) advising on the legal provisions of SBDs and SRFP to ensure legal consistency with the procurement policy of the Bank; and

7 (f) maintaining a dialogue with the legal procurement community, professional associations and international organizations on legal aspects of Bank procurement policy and international procurement standards. C. Committees The table below identifies the responsibilities and accountabilities of procurement committees. 1. OPRC The OPRC is constituted of three Principals: the CPPO (the chair), the LEGPrA, and the RPM of the region concerned by the case. The OPRC is responsible for: (a) reviewing and clearing recommendations as indicated in the Instructions on Operational Procurement Review Committee Process and Requirements; and (b) reviewing, at the request of the RPM and acceptance by the Chair, particularly complex or sensitive procurement matters, including those raising policy interpretation issues or of a controversial or innovative nature, regardless of the value of the contract. 2. Procurement Sector Board (PSB) The PSB, chaired by the CPPO, is responsible, inter-alia, for establishing and maintaining high professional standards for the procurement function in the Bank. It is the focal forum to debate strategic, policy, technical, procedural, and financial aspects of the procurement function in the Bank and human resources. The PSB (i) provides professional leadership on procurement policy and operational issues inside and outside the Bank; (ii) promotes efficient procurement as an integral part and parcel of economic and sector dialogue with borrowers; and (iii) maintains a voice within the institution. The PSB has a Bankwide strategic role with regard to: (i) articulating the mission of the procurement function, setting priorities, and recommending budget trade-off for the procurement function Bank-wide; (ii) assisting development and monitoring implementation of the procurement strategy; (iii) proposing/approving procurement function-wide initiatives and studies, regulations in new areas (e.g. privatization), the preparation of user manuals, etc.; (iv) providing the necessary input to OPCPR work program proposals and priority tasks; and (v) promoting the coordination of the Bank procurement strategy with objectives and business needs of thematic networks and other core services families. The PSB is responsible for the development of a staffing and career development strategy for procurement staff by: (i) assessing and improving professional skills and matching them with demand; (ii) establishing recruitment and promotion criteria; (iii) mentoring, coaching, and providing on-the-job training; (iv) identifying network-wide learning needs, guiding the development of a training strategy for continuing education and skills development, and evaluating its effectiveness; and (v) assisting in the preparation of training materials and the delivery of courses. The PSB is responsible for approving the accreditation of PASs at the recommendation of RPMs BP Procurement Help Feedback Site Map Publishing Guidelines IFC MIGA IDA ICSID WB External Site