Qualitative Procurement Assessment for MoIL-using MAPS-SLA

Note: Sector is to mean “Water sector specifically Irrigation”

Sub Description Criteria Guide to Fill the Response Response

Indicator
1 (a) The legal and (a)Is adequately recorded - Is there a complete record that
regulatory body and organized shows all the procurement legal,
of norms hierarchically (laws, regulatory and policy aspects of the
applicable to decrees, regulations, sector. Collect all relevant
the sector procedures) and documents including proclamation,
complies with precedence is clearly Directive, Circulars, guidance etc
the following established applicable to procurement in Roads
conditions and Water sectors and review
against each criterion.
- What are the main contents of the
procurement laws
- Is the procurement legal,
regulatory and polcy
- Identify the regulatory bodies in
the road and water sectors.
- Discuss with relevant staff in the
regulatory bodies and collect
information against the relevant
criteria in the sub indicator
- Collect regulations specific to the
PEs or to the sector
- Collect procedures and bidding
 documents applicable to the sector
- Is there any procurement
procedure of the sector not
covered by the country’s
procurement regulations/rules?
(e.g DB, EPC, BOOT, etc )
- Is there any procurement
procedure allowed specific to the
sector, as an exception from the
general procurement rules?
- Is there any rule/law of exclusion,
specific to the sector, that has an
impact on competition and
participation of the private sector
in public procurement in the
sector? (e.g Government to
Government contract, funding
facilitated by the Supplier to be
contracted for the specific work or
service etc)
- In which of the legislations is the
exclusion enacted, if it is not
included in the procurement
legislation, is it included in (e.g in
other legislation such as
environmental law, rules on
preferences, reservation schemes,
primary boycotts, or socially
responsible procurement
programs.)
- Are exclusions enacted in other
legislation subjected to controls
applicable to public procurement?
- In cases where there is no
 legislation on exclusion, is there
any initiative to address it either
through specialised legislation or
application of customized
procedures following main
principles of public procurement?
-
(b)It covers goods, works - Does the sector specific laws, -
and services, including decrees, regulations cover the
consulting services for all procurement of goods, works and
sector procurement using services, including consulting
public funds. services?
(c)It is applicable to all - Are the regulations, procedures -
public bodies and sub- and bidding documents that are
national governments and applicable for Federal Government
entities, in the sector, that also applicable to the regional
use public funds. governments and city
administrations

(d)Sector related PPPs, - Is there any practicerelated to -

including concessions, are procurement through PPP and
regulated. Concession?
- Is there any regulation for Sector
related PPPs and concessions?
- Is there sector specific
procurement procedure and
bidding documents developed for
PPS and concessions?
- How is the implementation of PPP
managed
- What are the typical Road and
Water Sector projects planned
through PPP
(e)Current laws, - Are the necessary sector specific -
 regulations, and policies regulations and bidding documents
are published and easily published in a web site?
accessible to the public at - Is there a well documented and up
no cost. to date procuement law, regulation
and polices
- How can the public access these
published documents

1(d) The legal (a)Establishes that  Do the legal framework allows 

framework participation of interested participation of private sectors
applicable to parties is fair and based from all eligible countries and has a
the sector on qualification and in provision on eligibility and
meets the accordance with rules on exclusion
following eligibility and exclusions. -
conditions: In this context, the term - Doesthe rules on participation
“supplier” encompasses allow the procuring entities to
all service providers apply the government’s current
including contractors, prevailing policies and aspirations
consulting firms, etc. based on future development
objectives and needs?
- Was there any circular that
discourage the participation of
grade-level contractors
-

(b)Ensures that there are - Does the legal framework provide -

no barriers to any restriction of segments of
participation in the public markets to certain groups of
procurement market. providers and mandatory
associations with domestic firms?
- Is the bid open to all
suppliers/bidders
- Are there SOE, SME that are
favored in the market as compared
 to the private in the Road and
Water Sector

(c)Where environmental,  Does the legal framework makes 

social and economic provisions for participation for
policies apply in the sustainable procurement?Do the
sector, ensure that these legal framework adequately
policies are clearly defined address the need for
in the legal and regulatory environmental and social
framework and are requirement in the procurement
motivated by the processing
environmental, social and - Are contracts adequately prepared
economic aspirations of to address the expected
the country. environmental and social impacts
of the projects in the Road and
Water Sector
- Is the SEE legal framework
adequately address the Road and
Sector issues
-

(d)Details the eligibility - Does the legal framework in the -

requirements and sector makes provisions on
provides for exclusions for eligibility, breach on environmental
breach of environmental, and social laws for participation
social laws, criminal or for?
corrupt activities, - Are there are rules for the
administrative debarment application of common and
under the law subject to innovative procedures such as
due process or prohibition i. green procurement;
of commercial relations. ii. use of labor intensive methods
for employment generation;
iii. specific access to
disadvantaged groups in
 society that may limit the
participation of certain firms in
achieving these objectives etc.
- Is there any exclusion criteria
pertaining to the breach of
environmental, socio-economic
considerations? If so is the
exclusion clearly defined in the
legal and regulatory framework?
- Is there debarment procedure for
breach in environmental and social
laws including criminal and corrupt
practices
- Give cases of debarment
- Is there any case related to breach
of laws and corrupt practice
observed in the procurement
process in the Road and Water
sector handled by Ethiopian Anti-
Corruption commission
(e)Establishes rules for the - Identify SOEs that operate in the -
participation of state- Road and Water sectors, collect
owned enterprises that relevant documents and review
promote fair competition. including the establishment of the
SOEs
- Does the legal framework define
rules for the participation of state-
owned enterprises with an
objective to promote fair
competition
- What type of contracts is given
to SOE in the Road and water
sector and why.
-
 (f)Details the procedures - Does the legal framework establish -
that can be used to procedures that can be used to
determine a bidder’s determine a bidder’s eligibility and
eligibility and ability to ability to perform a specific
perform a specific contract?
contract. - Are the procedures for
selection of bidders in the Road
and Water sector included in
the legal framework
- Is the evaluation and qualification
criteria commensurate with the
size and value of the contract
- Is there a practice to introduce
restrictive criteria
1 (i) Contract I THINK IT IS IMPORTANT - -
management TO CONSIDER THIS SUB
INDICATOR
1(j) The legal (a)The legal framework - Does the legal framework allows or -
framework allows or mandates e- mandates e-Procurement solutions,
applicable to Procurement solutions, in in the sector, covering the public
the sector the sector, covering the procurement cycle?
meets the public procurement cycle, - To what extent the e-procurement
following whether entirely or solution cover the public
conditions partially. procurement cycle? If the coverage
is partial, which stages of the
procurement cycle are addressed?
- Is the government committed
to introduce e-procurement in
the Road and Water sector, if
there is not any at the time of
assessment?
-
(b)The legal framework - Get feedback of PEs, if they are
ensures the use of tools among the pilot
 and standards, in the Is there a free access to digital system
sector, that provide in the Road and Water sector
unrestricted and full -Is there a secured system to access all
access to the system, the information related to Road and
taking into consideration Water Sector
privacy, security of data
and authentication.
(c)The legal framework -Are the bidders informed at which
requires that interested stage of procurement is possible to use
parties be informed which electronics system
parts of the processes will -Do the contractors/firms have the
be managed option to submit part of their offer
electronically, in the through electronics system(e-mail etc)
sector. -Is there a legal ground to use
electronics means at any stage of the
procurement process
-How many contracts are processed
using electronics system
-What is the benefit and challenge of
using electronics system in the Road
and Water sector
1 (l) The legal and (a)Public procurement Collect specialized legislation in Road
regulatory body principles and/or the legal and Water sectors.
of norms framework apply across -Is there any special/unique legislation
covering the specialised legislation that are consistent with the legal
sector complies governing the framework
with the procurement by entities -Who has issued the legislation and
following operating in the sector as when
conditions: appropriate. -What is the impact of this special
legislation in the procurement
operation in the sector
(b)Public procurement -Is PPP part of the public procurement
principles and/or laws -Is there any PPP practice in the Road
apply to the selection and and Water sector
 contracting of public -What are the contract types including
private partnerships (PPP) size and value planned and
in the sector including implemented using PPP
concessions, as -How is the understanding of the Govt
appropriate. in the implementation of PPP in the
(c)Responsibilities for sector
developing policies and
supporting the
implementation of PPPs in
the sector including
concessions are clearly
assigned.
2 (a) Implementing (a)There are regulations Collect regulations, circulars etc
Regulations to applicable to the sector including guidelines for contractor’s
define that supplement and registration in Roads and Water sector
processes and detail the provision of the and review the documents against the
procedures in procurement law, and do listed criteria
the sector. not contradict the law. -Who has prepared the regulation and
when
-Is the issuance of the regulation
supported in the procurement law
(b)The regulations are  How can the regulations be 
clear, comprehensive and accessed
consolidated as a set of  Does the regulation consider the
regulations readily country context and the
available in a single construction industry(Road and
accessible place Water sector)
-Is the regulation sufficient enough to
cover all the procurement aspect in the
Road and Water sector

(c)Responsibility for  Who update the regulation and by 

maintenance of the when
regulations is clearly  Does the regulation captures
 established, and the current development in the Road
regulations are updated and Water sector
regularly. Is there any complain on the
application of the current regulation
and why
2(b) Model (a)There are model Collect and review the SBD used in the
procurement procurement documents sector. Check with PPPA, BoF in AACA,
documents for provided for use for a PEs
goods, works wide range of goods,
and services for works and services  Is the standard procurement
the sector including consulting documents comprise the
services procured by clause/template specified in the
public entities in the legal framework
sector. Are the templates and clauses perfectly
(b)At a minimum, there is crafted to address the procurement
a standard and mandatory requirement of the Road and Water
set of clauses or sector
templates, for the sector,  Is there a mechanism to
that reflect the legal periodically update the documents
framework. These clauses  Who is responsible to update the
can be used in documents documents
prepared for competitive How frequent is updating the
tendering/bidding. documents
(c)The documents are
kept up to date, with
responsibility for
preparation and updating
clearly assigned.

2 (c ) Standard (a)There are standard  Is the contract documents 

contract contract conditions for the complete including standard
conditions used most common types of condition of contract
in the sector contracts and their use is  Do the Clients enforce the
mandatory in the sector conditions of the contract during
contract management
 Is there a practice to use standards
condition of contract for all types of
contract and if not, why.
What is the source for the standard
condition of contracts
(b)The content of the  Is the standard condition of 
standard contract contract comparable with FIDIC
conditions used in the condition of contracts or similar
sector is generally other standards
consistent with  What is the stringent clause that
internationally accepted often challenge during contract
practice. administration
Is the standard condition of contract
considered various project delivery
methods(DBB, MCA, BOT, BOOT, EPC)
and suited to the Road and Water
Sector
(c)Standard contract  Do the procurement documents 
conditions are an integral such as BD comprise standard
part of the procurement condition of contract
documents and made Do all the bidders have access to the
available to participants in standard condition of contract at the
procurement proceedings. appropriate procurement stage
(d)Public entities in the  Is the national standard condition 
sector use the national used in the Road and Water
standard contract construction contracts
conditions, if applicable,  Is there a deviation to use
or standard contract international standard condition
conditions that surpass though there is national standard
the quality of the condition of contract
nationally provided Do the public entities have updated
standard documents. condition of contract
2 (d) User’s guide or (a)There is a Collect and review the user’s guide or
manual for comprehensive manual (if any) used in the sector.
procuring procurement manual Check with PPPA, BoF in AACA, PEs
entities in the detailing all procedures
sector for the correct
implementation of
procurement regulations
and laws in the sector.
(b)Responsibility for  Who updates the manual 
maintenance of the  How often the manual will be
manual is clearly updated
established, for the sector, Is there a separate procurement
and the manual is updated manual for the Road and Water sector
regularly
(c)A sector specific user’s  Is the sector specific procurement 
guide or manual, if any, is manual consistent with the general
consistent with the user’s procurement manual of the
guide or manuals provided country
within the procurement  Any special guidance in the sector
framework of the country. procurement manual and why such
provisions are included
 Does the manual address key
sector procurement challenges that
affect the completion of planned
procurement contracts
 Is there a clear procedure on
contract management for Road and
Water sub projects

3 (a) Existence of (a)The sector has a clear -Collect Road and Water sector
sectorial policies and well-articulated strategies, operational manual and
and strategies sectorial development review
that are clear strategy accompanied by  Is there both a medium and long
 and well- the related operational term sectorial development
articulated to documents, for the strategy
facilitate the medium and long term.  What is the core message of the
determination strategy
of sector  What approaches will be used in
procurement the strategy to support the Road
needs. and Water sector coverage in the
country
How procurement can help towards
achieving the sectorial strategy
(b)The principal types of  Is the sectorial strategy identified 
public procurement as principles governing public
well as their technical procurement
requirements or  Is the technical requirement in the
characteristics, are Road and Water sector clearly
identified in the sectorial stated in the sectorial strategy and
strategy or in the operational documents
applicable sector  How is this sectorial strategy
operational documents. streaming procurement in the Road
and Water Sector
Is there a sectorial strategy in the Road
and Water Sector
3 (b) Sustainable (a)The country has a currently, PPPA planned to develop SPP
Public policy/strategy in place to policy/strategy, check the progress of
Procurement implement SPP in support this initiative. Refer the core MAPS
(SPP) in the of broader national policy findings.
sector -Is there SPP requirement in the public
procurement procedure related to
Road and Water Sector
-What are the requirements for SPP
(b)The SPP  Is there SPP implementation plan 
implementation plan is  Who manages the SPP
based on an in-depth implementation plan
assessment of appropriate  How effective is the application of
 tools and systems that are SPP in the Road and Water Sector
in place to operationalize,  What is the additional time and
facilitate and monitor the budget resource requirement to
application of SPP implement SPP
(c)The legal and regulatory  Is there SPP provision in the legal 
framework allows for framework
sustainability (i.e.  At what stage is the SPP considered
economic, environmental, during the procurement process
and social criteria) to be  Is there SPP criteria in the bidding
incorporated at all stages documents
of the procurement cycle
(d)The legal provisions  Is the SPP criteria crafted to ensure 
require a well-balanced VFM in the legal framework
application of  What kind of aspects are covered in
sustainability criteria to the sustainability criteria
ensure value for money.  Is the criteria in accordance with
the capacity of the bidders or
impose more criteria that is not
applicable
3 (c ) Environmental (e)The country has a Collect the 10 years strategic plan and
and Socio- policy/strategy in place to other documents if any and review
economic implement its socio- against the criteria
development economic development  Is there a policy in place related to
aspirations aspirations, as defined environmental and socio-economic
herein, in support of  Does the socio-economic policy
broader national policy support the national policy
objectives objectives
(f)The implementation  Is there an implementation plan for 
plan for the socio- the socio-economic activities
economic initiatives is  What are the tools and systems
based on an in-depth used to prepare the
assessment and implementation plan
appropriate tools and
systems, clearly defined,
 are in place to
operationalize, facilitate
and monitor their
application
(g)The legal and  Does the ES legal framework allows 
regulatory framework the procuring entities to apply
permits the consideration sustainability criteria
of sustainability criteria in  What was the benefit of applying
public procurement the criteria in the procurement
process
(h)The legal provisions are  Is the ES legal provision related to 
consistent with primary SPP criteria consistent with the
objectives of public objective of public procurement
procurement and ensure  How far the ES team communicates
value for money. with procurement team in relation
to such criteria
3 (d) Public (a)clearly established. Identify and collect regional, sub
procurement- regional, continental and international
related agreements that are having impact on
obligations procurement in general and in the
deriving from Roads and water sector in particular.
binding COMESA agreement, Treaty for Africa
international, Continental Free Trade Area, UNCAC
regional and sub etc
regional (b)consistently adopted in  Is the agreement included in the 
agreements laws and regulations and country laws and procurement
relating to the reflected in procurement polices
sector are policies.  Are the obligations extracted from
the international/Regional/sub
regional agreement properly
considered the country context
4 (a) The legal and (a)Annual or multi-annual -Collect supportive documents and
regulatory procurement plans are review.
framework, prepared for the sector, to -Assess budget reporting processes and
financial facilitate the budget report on contract completions. As part
procedures, and planning and formulation of this, review the implementation of
systems for the process and to contribute the recently issued project
sector, provide to multi-year planning. administration proclamation in the
for the planning commission.
following:  Do you have sector strategies that
serve as a basis in Formulation of
annual or multi-annual budgets?
 Do the sector strategy determine
the multi-year planning, the
associated operating plans for each
fiscal period and the procurement
of goods, works and services
necessary to implement the plans?
 Do you prepare annual
procurement plans?
 Do you prepare multi-year
procurement plans? (if so for how
many years and how do you roll it
every year?
 How the annual and multi-year
procurement plans contribute to
the budget planning &
formulation?
 How do you get reliable cost data
to plan the annual and multi year
budget
 Do you update the procurement
plan as the budget gets
updated/revised?
(b)Budget funds for the  Are the budget/funds committed or 
 sector are committed or appropriated timely to cover the
appropriated in a timely entire contract commitments for
manner and cover the full the budget period? if there is a
amount of the contract (or practice of delay, how long it get
at least the amount delayed from the beginning of the
necessary to cover the budget year?
portion of the contract  How you cover if there is a shortfall
performed within the of budget?
budget period).  Have you had any experience that
you delayed or did not make
payments because funds were not
budgeted and timely released?

(c)A feedback mechanism  What is your reporting mechanism 
reporting on budget on budget execution, in particular
execution is in place, on completion of major contracts?
especially regarding the  What is the means to control
completion of major budget execution/expenditure
contracts in the sector.  Is there a follow up on the
recommendation based on the
submitted financial report

 What is the means to control

budget execution/expenditure

4 (b) The legal and (a)No solicitation of  Does the law prevent not to initiate 
regulatory tenders/proposals takes procurement without certification
framework, place in the sector on the availability of funds? If
financial without certification of which law?
procedures, and the availability of funds.  Who is authorizing solicitation of
systems tender? How do the authorizing
applicable to body get certification on availability
the sector of funds?
ensure that:  Discuss with the relevant officials
 the tender process, whether
budget availability is confirmed
before issuing tender.
 What is the evidence to ensure the
availability of funds to execute
contracts
(b)The national  What are the procedures for 
regulations/procedures processing of invoices, an
for processing of invoices authorization of payments? Are
and authorisation of they publicly available?
payments are followed in  What process do you follow to
the sector, are publicly make payments to invoices? Please
available and clear to make the documents for some
potential bidders payments available.
 Is there a procedure in the national
regulation for processing submitted
paymentsAre the payment
procedures clear to the potential
bidders?
 Was there any effort made to make
the payment procedures clear to
the bidders?
 Was there a delay in effecting
invoices/payments and related
complaints from the bidder
5 (a) Status and legal Review the legal and regulatory
basis for the framework against development and
normative validation of technical standards in the
functions two sectors. Review reports and discuss
entrusted to the with sector experts if the technical
sector agencies. norms respond to the needs of the
country, what is missing etc and if it
doesn’t affect transparency and
competition in the sector
(a)The legal and  Which institution (s) is (are) 
regulatory framework responsible for development and
specifies the normative validation of technical standards in
function of development the sector?
and validation of technical
 How technical standards are
standards in the sector
developed in the sector
 Does the legal and regulatory
framework includes provision on
how to develop technical standards
 What kind of technical standards
are available in the sector
 If there is more than one regulatory
institution, does the legal
framework clearly assign the
normative/regulatory function
without gaps and overlaps? If not
what gaps and overlaps have you
observed?
 What is the degree of coordination
between the regulatory
authorities?
 If there is more than one regulatory
institution, what are the technical
standards developed by each
institution?
(b)The technical norms  Do the technical norms respond to 
respond to the needs of the need of the country?
the country.
 If not, what are the gaps that need
to be addressed by the technical
norms
 Is the technical standard developed
 for the Road and Water sector
satisfies the national requirement
 What is the means to check the
quality of the technical
standards/norms.
 Are the norms updated and who?
(c)The use of the technical  What is your opinion on the effect 
norms does not affect of technical norms on competition
competitivity and and transparency?
transparency.
 What is the impact of using
technical standards/norms in the
procurement process
 Does the standards preclude the
participation of both international
and domestic bidders
6 (a) Definition, (a)Procuring entities are  In which of the law is your entity 
responsibilities, clearly defined. specified as a procuring entity?
and formal
 Are the entities properly defined in
powers of
the legal framework
procuring
entities in the (b)Responsibilities and  Does the legal and regulatory 
sector. The legal competencies of procuring framework clearly define the
framework entities are clearly procuring entity’s responsibility and
applicable to defined. authority of procurement?
the sector  Is the legal framework clearly
provides for the stipulates the roles and
following responsibilities of the procuring
entities
 What level of competency is
required to meet by the procuring
entities
(c)Procuring entities are  Is there a provision in the legal and 
required to establish a regulatory framework that require
designated, specialised the procuring entity to establish a
procurement function designated, specialized
with the necessary procurement function that include
management structure, awarding and executing contracts;
capacity, and capability acceptance of contractual
obligations and initiating payments
etc?
 Is there a clear procurement
structure in the procuring entity
 What is the hierarchy in the
procurement management
 Is there a capable and full-fledged
procurement unit
 How is the procurement unit of the
procuring entity organized: its
structure, staffing, capacity, and
capability of the staffs?
(d)Decision making  Is there a provision in the legal and 
authority is delegated to regulatory framework that require
the lowest competent to delegate decision making
levels consistent with the authority to procurement staff and
risks associated and the other government officials to
monetary sums involved. exercise responsibilities in the
procurement process ?
 Is the provisions for delegating
authorities consistent with the risks
associated and the monetary sums
involved?
 Is there a proper capacity
identification when assigning
 responsibilities
 What is the limit of monetary sums
and risks used as a basis to assign
responsibility
(e) Accountability for  Is there provision that clearly 
decisions is precisely specify the accountability for
defined. decision?
 Internal audit staffing, professional
composition, its functioning,
familiarity of the internal auditors
to the sector
 Who takes the lead in passing
decisions
 Is there an accountability system
for every decisions made
 How applicable is the
accountability provisions
6 (b) Centralized (a)The country/sector has  Is there a centralized procurement 
procurement considered the benefits of arrangement in the sector
body establishing a centralised  Is the benefit form such
procurement function in arrangement compared with other
charge of consolidated options
procurement, framework  `Is central procurement for FA,
agreements, or specialized consolidated procurement and
procurement for the specialized procurement
sector recognized in the public
procurement
(b) In case a centralised  
procurement body exists,  Is the legal and regulatory
the legal and regulatory framework properly
framework provides for prepared to address the legal
the following: status, responsibilities
 • Legal status, funding, including decision making
responsibilities, and powers
decision-making powers  Is the legal status, funding,
are clearly defined. responsibilities and
• Accountability for accountability precisely
decisions is precisely defined.
defined.  Do the head of body
• The body and the head bestowed with high level
of the body have a high rank in the government
level and authoritative structure
standing in government
(c)The centralised  Is there a structured organizational 
procurement body’s arrangement for central
internal organization and procurement
staffing are sufficient and  Is the structure fit enough to
consistent with its handle all the responsibilities
responsibilities.  Is there a sufficient staffing with
the required qualification and
experience
 Is there staff turnover and reason
for staff turnover
7 (a) Publication of (a)Information on  Do you disclose or publish 
public procurement, in the procurement information on
procurement sector, is easily accessible website or other media that
information in in media of wide has wide circulation?
the sector circulation and availability.  Is the procurement information
supported by Information is relevant, helpful and complete for all
information timely and complete and interested parties
technology. The helpful to interested  Is there an adequate
sector uses an parties to understand the information on the
information procurement processes procurement process through a
system that and requirements and to wide circulated media
meets the monitor outcomes, results  Is there a means to monitor
following and performance. outcomes, results and
requirements performance through the use
of proper media
 Is the published information
relevant and timely?
 Is the published information
relevant for monitoring
outcomes, results and
performance?

(b)The country’s (or  What procurement information 

sector’s) information do you publish?( e.g SBD, bid
system is fully utilized by advertisement, award, contract
sector entities, provides data, performance of
up-to-date information contractors
and is easily accessible to
all interested parties at no
cost
(c)There is an integrated  Is there a centralized online portal 
information system that provides up to date
(centralised online portal) information
that provides up-to-date  Can all the information accessed
information and is easily free of cost
accessible to all interested  What is the type of documents and
parties at no cost information available in the online
portal
 Is there a system to regularly
update the information
(d) The information  Does the information system 
system provides for the provides up-to-date
publication of:* information>
• Procurement plans;  is it easily accessible to all
• Information related to interested parties at no cost?
specific procurements, as  Does the information system
a minimum: provides for publication of :-
Advertisements or notices  Procurement plans;
of procurement  Information related to specific
opportunities, contract procurements, as a minimum:
awards including Advertisements or notices of
procurement method and procurement opportunities,
amendments, information contract awards including
on contract procurement method and
implementation including amendments,
payments, appeals
decisions;
• Linkages to rules and
regulations and other
information that is
relevant to promote
competition and
transparency
(e)In support of the - Do you publish more -
concept of open comprehensive information at
contracting, in the sector, each phase of the procurement
more comprehensive process such as:
information is published - Full set of bidding documents
on the centralized online With all amendments, if any ?
portal, in each phase of - Evaluation reports?
the procurement process - Full contract documents
including the full set of including technical
procurement documents, specification?
evaluation reports, full - Contract implementation
contract documents details?
including technical - information on contract
specification and implementation including
implementation details (in payments, appeals decisions;
accordance with legal and - Linkages to rules and
regulatory framework). regulations and other
information that is relevant to
 promote competition and
transparency
-
(f)Information, from the  Do you use open data format, 
sector, is published in an that use identifiers and
open and structured classifications, in publishing
machine-readable format, procurement information?
using identifiers and
classifications (open data
format)
(g)Responsibility for the  How is the responsibility for the 
management and management and operation of
operation of the sector the sector information system
information system is defined?
clearly defined.
7 (b) Use of e- (a)E-procurement is Discuss with the relevant officials
Procurement in widely used or regarding use of E-procurement in
the sector progressively Road and Water sectors. Collect
implemented in the sector information against each indicator
at all levels of government including e-GP report (if any). Observe
(b)Sector officials have the the extent of use of e-GP in PEs where
capacity to plan, develop it is already implemented. (USE THE
and manage e- FOLLOWING CORE MAPS ASSESSMENT
Procurement systems, as QUESTIONS WITH THE CONTEXT OF
required (e.g., by a THE SECTOR)
national road map or  Do the procuring entity’s
general framework). officials have the capacity to
(c)Procurement staff in plan, develop and manage e-
the sector is adequately procurement?
skilled and equipped to  Who are the officials, what is
reliably and efficiently use the capacity they have and how
e-Procurement systems is it demonstrated?
(d)Suppliers in the sector  Do you have e-procurement
(including micro, small system?
 and medium-sized - If you have an e-procurement
enterprises) participate in system, are procurement
a public procurement staff adequately skilled and
market increasingly efficiently use e-procurement
dominated by digital systems?
technology. - If you have an e-procurement
(e)If e-Procurement has system, what challenge do
not yet been introduced, you face in using e-
the sector has adopted an procurement?
e-Procurement roadmap
based on an e-
Procurement readiness
assessment
7 (c ) Strategies to (a)A system is in operation Discuss with the relevant officials on
manage in the sector for collecting the availability of system for managing
procurement data on the procurement procurement data. Analyze the system
data in the of goods, works and to see performance against each of the
sector. services including criterion. . (USE THE FOLLOWING CORE
consulting services MAPS ASSESSMENT QUESTIONS WITH
supported by e- A CONTEXT OF THE SECTOR)
Procurement or other
information technology  Is there a system (e-
(b)The system manages procurement or other
data for the entire Information Technology) in
procurement process, in operation, in the sector, that
the sector, and allows for collects data on procurement
analysis of trends, levels of goods, works and services,
of participation, efficiency including consulting services?
and economy of If yes, please provide the
procurement and address or account reference.
compliance with  If there is an e-procurement
requirements system, does the system
(c)The reliability of the manage data for the entire
information is high procurement process in the
 (verified by audits). sector?
(d)Analysis of information  Does the system allow for
is routinely carried out, in analysis of trends?
the sector, published and o Levels of participation?
fed back into the system.* o Efficiency and economy
of procurement?
o Compliance with
requirement?
 How reliable is the information
generated from the system?
 Has it been audited? If yes, by
whom and when and what
were the audit findings?
 Please provide a copy of the
audit report?
 If there is an e-procurement
system and manages the date,
is analysis of information
routinely carried out? Are the
results published?
 Is it used by the management
to improve the system?
 Please provide details on how,
and examples/evidences, if
available.

8 (a) Training, advice (a)Substantive permanent Check availability of training programs,

and assistance training programmes of capacity strategy documents, helpdesk
in the sector. suitable quality and in the sector and assess the
There are content for the needs of environment against the criteria in the
systems in the procurement staff in sub indicator. . (USE THE FOLLOWING
place, in the the sector CORE MAPS ASSESSMENT QUESTIONS
sector, that (b)Routine evaluation and WITH A CONTEXT OF THE SECTOR)
provide for periodic adjustment of  Are there a permanent
training programmes procurement training programs
based on feedback and of suitable quality for the needs
need of the need of the procurement
(c)Advisory service or help staff? Please let us know what
desk function to resolve training programs are available,
questions by procuring frequency, quality and other
entities, suppliers, and the details.
public  Is there a practice of routine
(d)A capacity evaluation and periodic
development strategy that adjustment of training
is well integrated with programmes based on
other measures aimed at feedback and need? Please cite
developing the capacities some of the experience.
of key actors involved in  Are the trainings provided by
public procurement, in the qualified experts? Are relevant
sector staffs invited for training?
(e)The environment  Is there routine advisory
surrounding individuals service (help desk) to resolve
and organizations that questions asked by:
supports the sound o procuring entities,
practices and behaviours o suppliers and
learned the public
 Do you have capacity
development strategy that is
well integrated with other
measures aimed at developing
the capacities of key actors
involved in public procurement,
in the sector?
 Does the capacity building
system requires individuals to
receive consistent knowledge
and signals that promote the
desired practices, values and
 behaviours at three levels: (a)
individual; (b) organisational;
and (c) surrounding
environment.

8 (b) Monitoring (a)The sector has Is there a performance measurement

performance to established and system established for the sector? If so,
improve sector consistently applies a is it applied consistently?
outputs and performance
outcomes measurement system that
focuses on both
quantitative and
qualitative aspects
(b)The information is used Is result of the performance
to support strategic policy measurement used to support strategic
making on procurement in policy making on procurement in the
the sector sector?
(c)Strategic plans, Do you have strategic plan intended to
including results improve sector system performance?
framework, are in place
and used to improve
sector system
performance
(d)Responsibilities for Who is the responsible entity for
performance performance measurement in the
measurement in the sector? Is this responsibility clearly
sector are clearly defined. defined by law?
9 (a) Planning in the (a)Needs analysis and Discuss with the PEs and collect
sector market research guide a evidences and analyze against the
proactive identification of criteria. (USE THE FOLLOWING CORE
optimal procurement MAPS ASSESSMENT QUESTIONS WITH
strategies in the sector A CONTEXT OF THE SECTOR)
(b)The requirements and  Do you carry out need
desired outcomes of analysis and a market
 contracts, in the sector, research?
are clearly defined  Do you develop an optimal
(c)Sustainability criteria, if procurement strategy, in
any, are used in a the sector, based on the
balanced manner, in the need analysis and a market
sector, and in accordance research?
with national priorities, to  Do you clearly define at the
ensure value for money planning stage the
requirements and desired
outcomes of contracts?
 Is there law on
sustainability criteria in
procurement?
 Are sustainability criteria, if
any, used in a balanced
manner and in accordance
with national priorities, to
ensure value for money?

9 (b) Selection and (a)Multi-stage procedures Discuss procurement performance with

contracting in are used in complex PEs against each criterion, collect
the sector procurements to ensure evidence and analyze. (USE THE
that only qualified and FOLLOWING CORE MAPS ASSESSMENT
eligible participants are QUESTIONS WITH A CONTEXT OF THE
included in the SECTOR)
competitive process  Are multi-stage procedures
(b)Clear and integrated used in complex procurements
procurement documents, to ensure that only qualified
standardised where and eligible participants are
possible and included in the competitive
proportionate to the process?
need, are used to  Do you have standard bidding
encourage broad documents proportional to the
participation from need? Is it different from the
potential competitors one published by PPA?
(c)Procurement methods  Do you choose procurement
are chosen, documented, methods in accordance with
and justified in accordance the purpose and in compliance
with the purpose and in with the legal framework?
compliance with the legal  Do you justify and document
framework the choice?
(d)Procedures for bid  Are procedures for bid
submission, receipt and submission, receipt and
opening are clearly opening clearly described in the
described in the procurement documents?
procurement documents  Are these procedures complied
and complied with. This with?
means, for instance,  Are bidders or their
allowing bidders or their representatives allowed to
representatives to attend attend bid openings as
bid openings, and allowing prescribed?
civil society to monitor bid  Are civil societies allowed to
submission, receipt and monitor bid submission, receipt
opening, as prescribed and opening?
(e)Throughout the bid  Is confidentiality ensured
evaluation and award throughout the bid evaluation
process, confidentiality is and award process?
ensured  Was there any breach of
(f)Appropriate techniques confidentiality?
are applied, to determine  Do the procurement
best value for money documents include criteria to
based on the criteria achieve value for money?
stated in the procurement  What techniques do you apply
documents and to award to achieve value for money?
the contract  Are the contracts awards
(g)Contract awards are announced/published?
announced as prescribed.  Do contract clauses include
(h)Contract clauses sustainability considerations,
 include sustainability where appropriate?
considerations, where  Do the contract conditions
appropriate. include clauses that provide
(i)Contract clauses provide incentives for exceeding
incentives for exceeding defined performance levels and
defined performance disincentives for poor
levels and disincentives performance?
for poor performance  How do you ensure
wherever appropriate transparency in the selection
(j)The selection and award and award process?
process is carried out
effectively, efficiently and
in a transparent way
9 (c ) Contract (a) Contracts are
management implemented in a timely
practice in the manner
sector
(b)Inspection, quality  How do you carry out 
control, supervision of Inspection, quality control,
work and final acceptance supervision of work and final
of products is carried out acceptance of GOODS, SERVICE
AND WORKS?
 Are the required quality
delivered or was there
incidence of quality problem?
(c)Invoices are examined,  Does the time payment defined 
and payments are in the contract comply with the
processed as stipulated in international good standards?
the contract.  What process do you follow to
approve invoices for payment?
 Do you examine invoices?
 Are payments processed as
stipulated in the contract?
 Are payment provisions used in
 the contract in compliance with
the law?
(d)Contract amendments  How do you prepare contract 
are reviewed, issued and amendments?
published in a timely  What is the process to approve
manner. the contract amendments?
 Are they prepare and issued
timely?
 Are they published?
(e)Procurement statistics  Are procurement statistics 
are available, and a available and a system is in
system is in place to place to measure and improve
measure and improve procurement practices?
procurement practices
(f)Opportunities for direct  Do you provide opportunities 
involvement of relevant for the civil society to
external stakeholders in participate in planning phase;
public procurement are bid/proposal
utilised  In which if the following stages
do you provide opportunity for
participation of civil societies:-
 Planning
 Bid opening
 Evaluation & contract
award
 Contract
implementation

(g)The records are Are the records complete and accurate,

complete and accurate, and easily accessible in a single file?
and easily accessible in a Please show sample files.
single file.
9 (d) Efficiency of (a) Efficiency of  What tools do you apply for 
application of application of the tools for attaining socio-economic
 tools that attaining socio-economic development objectives? Are
support development objectives the tools efficient?
achievement of (b) The fiduciary risks
socio-economic associated with
development application of socio-
aspirations economic development
relative to the tools are identified and
sector mitigated by measures
that ensure the principles
of transparency,
competition and value for
money
9 (e ) Protection of (a) Level of efforts in the
the sector for protection of
environment in the environment
the sector (b) The fiduciary risks
associated with execution
of measures for
protection of the
environment are
identified and mitigated in
a way that ensures
transparency, competition
and value for money
(VfM)
10 (a) Dialogue and (a) The sector encourages  Have you engaged an open 
partnership open dialogue with the dialogue with the private sector?
between public private sector. Several  What mechanisms have you
and private established and formal established to engage open
sector mechanisms are available dialogue with the private sector
for open dialogue through (e.g through association), in cases
associations or other where changes to the sector’s
means, including a procurement is formulated?
transparent and  Did you follow the applicable ethics
 consultative process when and integrity rules of the
formulating changes to government in engaging dialogue
the sector procurement with the private sector?
system. The dialogue
follows the applicable
ethics and integrity rules
of the government
(b) The sector has Do you have any program that aim in
programmes to help build building capacity of private campanies,
capacity among private including for small businesses and
companies, including for training to help new entries into the
small businesses and public procurement marketplace
training to help new
entries into the public
procurement marketplace
10 (b) Private sector’s (a)The private sector is • Is the private sector competitive, •
organization competitive, well well-organized, willing and able to
and access to organized, willing and able participate in the competition for
the public to participate in the public procurement contracts? If
procurement competition for public not, what are the main challenges?
market. procurement contracts in
the sector
(b)There are no major • Are there major systemic •
systemic constraints constraints inhibiting private sector
inhibiting private sector access to the public procurement
access to the sector market?
procurement market
10 (c ) Functionality (a)Existing data allows • Is there an existing data that allow •
and the level of determination, and determination, and categorization
competition in categorization if if applicable, of the principal
works contracts applicable, of the principal contractors in the sector, in a
awarded in the contractors in the sector, manner that is sufficiently precise?
sector. in a manner that is
sufficiently precise
(b)National and • Do National and international •
international contractors contractors qualify, in sufficient
qualify, in sufficient numbers, in terms of turnover,
numbers, in terms of equipment and personnel, to
turnover, equipment and ensure effective competition and
personnel, to ensure the best value for money to meet
effective competition and the needs of procurement of works
the best value for money in the sector?
to meet the needs of • Is there a qualification gap of
procurement of works in national contractors, as compared
the sector to international contractors? Please
mention some of the drawbacks?
• Is there any risk of collusive
practice?
(c)Horizontal SPP
objectives are converted
into bid evaluation criteria
that facilitate equity in the
treatment of bidders and
that ensure predictability
and transparency in the
bidding process
(d)Unit prices in the bids  Is there official reference prices 
for construction works published by the appropriate
conform to the official competent national agencies? If
reference prices published yes:
by the appropriate  Is the unit price in the bids for
competent national construction works conform to the
agencies and are in line official reference prices published
with the objectives by the appropriate competent
defined in horizontal national agencies and are in line
procurement policies with the objectives defined in
horizontal procurement policies?
 Is the award price higher or
 abnormally low as compared to the
market price?
 Is there any risk of bid rigging?
(e)Major systemic  Is there any initiative/study that 
obstacles limiting access has identified the major systemic
of the national private obstacles which limit access of the
sector to construction national private sector to
works contracts are construction works contracts?
identified and appropriate  If so, what are the identified
measures are defined to systemic obstacles that limit access
remove them of the national private sector to
construction works contracts?
 Is there an appropriate measures
defined to remove systemic
obstacle?
 Do you have any suggestion as a
remedy for the systemic obstacle?
(f)Major systemic  Is there any initiative/study that 
obstacles limiting access has identified the major systemic
of international private obstacles which limit access of the
sector to construction international private sector to
works contracts are construction works contracts?
identified and appropriate  If so, what are the identified
measures are defined to systemic obstacles that limit access
remove them of the international private sector
to construction works contracts?
 Is there an appropriate measures
defined to remove systemic
obstacle?
 Do you have any suggestion as a
remedy for the systemic obstacle?
10 (d) Functionality (a)Existing data allows Is there an existing data that allow
and the level of determination of the determination of the principal national
competition in principal national suppliers in the sector, in a manner that
goods contracts suppliers operating in the is sufficiently precise?
awarded in the sector, in a manner that is
sector. sufficiently precise
(b)National and • Do National and international •
International suppliers suppliers with the financial capacity
with the financial capacity (turnover, access to financing,
(turnover, access to guarantees, etc.), qualify, in
financing, guarantees, sufficient numbers, to guarantee
etc), are in sufficient effective competition and the best
numbers, to guarantee (VfM) to meet the needs for
effective competition and procurement of goods in the
the best (VfM) to meet sector?
the needs for
procurement of goods in
the sector
(c)Horizontal SPP
objectives are converted
into bid evaluation criteria
that facilitate equity in the
treatment of bidders and
that ensure predictability
and transparency in the
bidding process
(d)Bid prices for goods  Is there official reference prices 
conform to the official published by the appropriate
reference prices published competent national agencies? If
by the appropriate yes:
competent national  Is the unit price in the bids for
agencies and are in line goods conform to the official
with the objectives reference prices published by the
defined in secondary appropriate competent national
procurement policies agencies and are in line with the
objectives defined in horizontal
procurement policies?
  Is the award bid price higher or
abnormally low as compared to the
market price?
 Is there any risk of bid rigging?
(e)Major systemic  Is there any initiative/study that 
obstacles limiting access has identified the major systemic
of the national and obstacles which limit access of the
international private national and international private
sector to the goods supply sector to the goods market?
market are identified and  If so, what are the identified
appropriate measures are systemic obstacles that limit access
defined to stop them of the national and international
private sector to the goods supply
market?
 Is there an appropriate measures
defined to remove systemic
obstacle?
 Do you have any suggestion as a
remedy for the systemic obstacle?
10 (e ) Functionality (a)Existing data allows Is there an existing data that allow
and level of determination of the determination of the national
competition in national consultants consultants operating in the sector, in a
the consulting operating in the sector, in manner that is sufficiently precise?
services a manner that is
contracts sufficiently precise
awarded in the
sector
(b)National and • Do National and international •
International consultants consultants with the requisite
with the requisite qualifications (personnel with
qualifications (personnel experience and expertise)qualify, in
with experience and sufficient numbers, to guarantee
expertise), are in sufficient effective competition and the best
numbers, to guarantee value for money to meet the needs
effective competition and for consulting service in the sector?
the best (VfM) to meet • Is there a qualification gap of
the needs for consulting national consultants, as compared
services in the sector to international consultants? Please
mention some of the drawbacks?
• Is there any risk of collusive
practice?

(c)Horizontal SPP
objectives are converted
into evaluation criteria for
offers that facilitate equity
in the treatment of
candidates and that
ensure predictability and
transparency in the
consultants’ recruitment
process
(d)Consultants’  Is there a practice of estimating the 
recruitment rates conform cost of consultants’ recruitment
to cost estimates and are rate before floating bid for
in line with the objectives consultancy service?
defined in horizontal  Is the consultants’ recruitment rate
procurement policies consultants’ recruitment rate
conform to the cost estimate and
are in line with the objectives
defined in horizontal procurement
policies?
 Is the award price higher or
abnormally low as compared to the
cost estimate?
 Is there any risk of bid rigging?
(e)Major systemic  Is there any initiative/study that 
obstacles limiting access has identified the major systemic
of the national and obstacles which limit access of the
international private national and international private
sector to the consulting sector to the consulting service
services market are market?
identified and appropriate  If so, what are the identified
measures have been systemic obstacles that limit access
defined to stop them. of the national and international
private sector to the consulting
service market consulting service
market?
 Is there an appropriate measures
defined to stop the systemic
obstacle?
 Do you have any suggestion as a
remedy for the systemic obstacle?

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