annexa government procurementpolicyboard ...(apyar)on procurement related transactions compliance on...

ANNEXAGOVERNMENT PROCUREMENT POLICYBOARD

Agency Procurement Compliance and Performance Indicator (APCPI) Self-Assessment Form

Name of Agency: ENERGYREGULATORYCOMMISSION 2015Date of Self Assessment: _

Name of Evaluator: _Position: \

No. Assessment Conditions Agency Score APCPI Rating"Comments/Findings to the Supporting Information/Documentation

Indicators and Sublndicators (Not to be Included in the EvaluationPILLAR I. COMPLIANCE WITH LEGISLATIVE AND REGULATORY FRAMEWORKIndicator 1. Competitive Bidding as Default Procurement Method

1(a) Percentage of public bidding contracts in terms of

54.50% 0.00 PMRsamount of total procurement

2(b) Percentage of public bidding contracts in terms of

3.83% 0.00 PMRsvolume of total procurement

Indicator 2. limited Use of Alternative Methods of Procurement

3(a) Percentage of Shopping contracts in terms of amount of 8.71% 0.00 PMRstotal procurement

4(b) Percentage of Negotiated Procurement in terms of


5(c) Percentage of Direct Contracting in terms of amount of

19.67% 0.00 PMRstotal procurement

6(d) Percentage of Repeat Order contracts in terms of


7(e) Percentage of Limited Source contracts in terms of

0.00% 3.00 PMRsamount of total procurement(f) Preparation of Annual Procurement Plan for Common-

8Use Supplies and Equipment (APP-CSE)and Procurement of

Compliant 3.00 APP, APP-C5E,PMRCommon-Use Supplies and Equipment from theProcurement Service

Indicator 3. Competitiveness of the Bidding Process

9(a) Average number of entities who acquired bidding 1.50 0.00 Agency records and/or PhilGEPSrecordsdocuments

10 (b) Average number of bidders who submitted bids 1.44 0.00 Abstract of Bids or other agency records

11 (c) Average number of bidders who passed eligibility stage 1.06 1.00 Abstract of Bids or other agency records

12 (d) Sufficient period to prepare bidsFully

3.00 Agency records and/or PhilGEPSrecordsCompliant

Average I 1.08PILLAR II. AGENCY INSTITUTIDNAL FRAMEWORK AND MANAGEMENT CAPACITYIndicator 4. Presence of Procurement Organizations

FullyVerify copy of Order creating BAC;

13 (a) Creation of Bids and Awards Committee(s) 3.00 Organizational Chart; and Certification ofCompliant

Training

FullyVerify copy of Order creating BAC

14 (b) Creation of a BACSecretariat or Procurement Unit 3.00 Secretariat; Organizational Chart; andCompliant

Certification of Trainina

Indicator 5. Procurement Planning and Implementation

15 (a) APP is prepared for all types of procurement Compliant 3.00 Copy of APP and its supplements (if any)

Indicator 6. Use of Philippine Government Electronic Procurement SYstem (PhilGEPSI

16(a) Percentage of bid opportunities posted by the Phil-GEPs-

96.08% 3.00 Agency records and/or PhilGEPSrecordsregistered Agency

17(b) Percentage of contract award information posted by the

100.00% 3.00 Agency records and/or PhilGEPSrecordsPhil-GEPs-re istered Aaencv(c) Percentage of contract awards procured through

18 alternative methods posted by the Phil-GEPs-registered 65.52% 2.00 Agency records and/or PhilGEPSrecordsAzencv

Indicator 7. System for Disseminating and Monitoring Procurement Information

19 (a) Presence of website that provides up-to-date FullyIdentify specific procurement-related

3.00 portion in the agency website and specificprocurement information easily accessible at no cost Compliant

website links(b) Preparation of Procurement Monitoring Reports using

Fully Copy of PMR and received copy that it20 the prescribed format, prompt submission to GPPB,and 3.00

Iposting in agency websiteCompliant was submitted to GPPB

Average II 2.88PILLAR /II. PROCUREMENT OPERA TlONS AND MARKET PRACTICESIndicator 8. Efficiency of Procurement Processes21 (a) Percentage of total amount of contracts awarded against

29.73% 0.00APP (including Supplemental

total amount of approved APPs amendments if anvl and PMRs

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GOVERNMENT PROCUREMENT POLICYBOARDAgency Procurement Compliance and Performance Indicator (APCPI) Self-Assessment Form


Name of Evaluator: _

Position:

No. Assessment Conditions Agency Score APCPI Rating'Comments/Findings to the Supporting Information/Documentation

Indicators and Sublndicators (Not to be Included in the Evaluation(b) Percentage of total number of contracts awarded against APP(inciuding Supplemental amendments,

22 total number of procurement activities done through public 50.00% 0.00 if any)and PMRsbtddlna(c) Percentage of failed biddings and total number of 50.00% 0.00

APP (including Supplemental23 I procurement activities conducted Amendments if anvl and PMRs

Indicator 9. Compliance with Procurement Timeframes(a) Percentage of contracts awarded within prescribed

24 procurement time frames to procure goods as indicated in 100.00% 3.00 PMRsAnnex "C" ofthe IRR(b) Percentage of contracts awarded within prescribed

25 procurement time frames to procure infrastructure projects n/a n/a PMRsas indicated in Annex "C" of the IRR(c) Percentage of contracts awarded within prescribed

26 procurement time frames to procure consulting services as 100.00% 3.00 PMRsindicated in Annex "C" of the IRR

Indicator 10. Capacity Building for Government Personnel and Private Sector Participants

27 (a) There is a system within the procuring entity to evaluate Fully3.00

Ask BACSecretariat Head, verify Officethe performance of procurement personnel Compliant Orders on training of Procurement Staff

28 (b) Percentage of participation of procurement staff in Between 91.00Ask for copies of Office Orders, training

3.00 modules, list of participants, schedules ofannual procurement training 100%

actual trainlnz conducted

29(c) Agency has actvities to inform and update entities on

Compliant 3.00Ask for copies of documentation of

public procurement activities for bidders

Indicator 11. Management of Procurement and Contract Management Records

Verify actual procurement records andtime it took to retrieve records (should be

30 (a) The BACSecretariat has a system for keeping and Fully3.00

no more than two hours)maintaining procurement records Compliant Refer to Section 4.1 of User's Manual for

list of procurement-related documents forrecord-keeping and maintenance.

Verify actual contract management31 (b) Implementing Unit has and is implementing a system for Fully

3.00records and time it took to retrieve

keeping and maintaining contract management records Compliant records should be no more than twohours

Indicator 12. Contract Management Procedures

(a) Agency has well defined procedures and standards forPartially

Verify copies of written procedures for32 quality control, acceptance and inspection, supervision of 1.00 quality control, acceptance and

works and evaluation of contractors' performanceCompliant

inspection; CPESevaluation formsz

(b) Agency complies with the thresholds prescribed forPartially

Specific procurement contract with33 amendment to order, variation orders, advance payment, 1.00 amendment to order, variation order or

and sllonaee in nubliclv bid contracts.Compliant

with neaatlve sllooaee

On or beforeAsk Finance or Accounting Head of Agency

34 (c) TImely payment of procurement contracts30 days

3.00 for average period for the release ofpayments for procurement contracts

Average III 2.00PILLAR IV. INTEGRITY AND TRANSPARENCY OF AGENCY PROCUREMENT SYSTEMIndicator 13. Observer Participation in Public Bidding

Verify copies of Invitation Letters to CSOs

35(a) Observers are invited to all stages of every public bidding

Compliant 3.00and professional associations and COA

activity (list and average number of CSOsand PAsinvited shall be noted. I

36 I (b) Attendance of Observers in public bidding activities 0.00% 0.00 PMRs and Abstract of Bids

Indicator 14. Internal and External Audit of Procurement Activities

(a) Creation and operation of internal audit unit asVerify copy of Order or show actual

37 prescribed by DBM (Circular Letter No. 2008-5, April 14, Not Compliant 0.00organizational chart showing IAU, auidt

2008)reports, action plans and IAUrecommendations

(b) Agency Action on Prior Year's Audit RecommendationsAbove 90-

Verify COA Annual Audit Report on Action38 100% 3.00

(APYAR)on procurement related transactionscompliance

on Prior Year's Audit Recommendations

Indicator 15. Capacity to Handle Procurement Related Complaints

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GOVERNMENT PROCUREMENT POLICYBOARDAgency Procurement Compliance and Performance Indicator (APCPI) Self-Assessment Form


Name of Evaluator: _Position:

No. Assessment Conditions Agency Score APCPI Rating·Comments/Findings to the Supporting Information/Documentation

Indicators and Sublndicators (Not to be Included in the EvaluationVerify copies of BACresolutions on

(a) The Procuring Entity has an efficient procurementPartially

Motion for Reconsiderations, Protests and39 complaints system and has the capacity to comply with 1.00 Complaints; Office Orders adopting

procedural requirementsCompliant

mesures to address procurement-relatedcornolalnts

Indicator 16. Anti-Corruption Programs Related to Procurement40 (a) Agency has a specific anti-corruption program/s related Substantially

2.00Verify documentation of anti-corruption

to procurement Compliant lorozrernIAverage IV •••GRAND TOTAL (Avarege I + Average II + Average III + Average IV / 4l ••

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• APCPI Rating is based on the APCPI Rating System found in Annex C of the User's Guide. Please use this rating system for the self-assessment. After completing the assessment,identify those Indicators with ratings of between a ta 2 and formulate a procurement capacity development plan called the APCPI Action Plan based on the attached format andsubmit to GPPBfor monitoring .

• For sub-indicators that are not applicable to your specific agency, please write the word Not Applicable in the second column and do not put a rating

Summary of APCPIScores by Pillar

APCPI Pillars Ideal Rating Agency Rating

Pillar I: Compliance with Legislative and Regulatory3.0000 1.08Framework

Pillar II: Agency Insitutional Framework and Management3.0000 2.88Caoacitv

Pillar III: Procurement Operations and Market Practices 3.0000 2.00

Pillar IV. Integrity and Transparency of Agency Procurement3.0000 1.50Svstems

Total (Pillar I+Piliar II+Pillar 111+PillarlVl/4 3.0000 1.86

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ANNEX BGOVERNMENT PROCUREMENT POLICY BOARD

CONSOLIDATED PROCUREMENT MONITORING REPORT(Pagel 0/2)

Name of Agency: ENERGYREGUlATORYCOMMISSION201S Period Covered: ~

6/7/2016

Total Number of Total No. of Total No. ofTotal No. of

No. of BidNo. of

Total Amount of No. of Contracts Total Amount of No. of FailedEntities who Bidders who

Bidders who Contract

Approved APPProcurement

Awarded Contracts Awarded Biddings passed EligibilityOpportunities

Activities Acquired Bid Docs Submitted Bids Posted at PhilGEPSAward Posted

Stage at PhilGEPS

Column 1 Column 2 Column 3 Column 4. Column 5 Column 6 Column 7 Column 8 Column 9 Column 10 Column 11

1. Public Biddin.-1.1. Goods 39 652 432.08 9 8 23 224 644.72 1 14 13 13 14 81.2. Works 0.00 0 0 0.00 0 0 0 0 0 01.3. Consultine: services 70 296 000.00 9 1 4480 000.00 8 13 13 6 12 1

Sub-Total 109 948 432.08 18 9 27704644.72 9 27 26 19 26 92. Alternative Modes

., 'de " .ilL

2.1.1 Shocninz 52.1 b above 50K 2613 390.10 18 18 2492118.38 ... .. ' ., ", 8 82.1.2 Shooplng (Others) 2585219.00 142 140 1936453.34 .,.'2.2. Direct Contracting 31 050 000.00 4 4 10 000 000.00 .2.3. Reoeat Order 0.00 0 0 0.00 " "

'., " "..,2.4. Limited Source Biddine: 0.00 0 0 0.00 . . i . 0 02.5.1 Ne~otiation Common-Use Supplies) 8457790.02 3 3 4115021.68 1 .w.2.5.2 Nee:otiation TFB53.1 11 200 000.00 5 1 450000.00 .- 5 12.5.3 Nee:otiation SVP53.9 above 50K 2542895.31 10 10 1563283.34 ., ,i. , -i.. ,

.,. 10 102.5.4 Negotiation Others 2610650.00 50 50 2570921.10 -

Sub-Total 61 059 944.43 232 226 23 127797.84 ,. < 1- •• .. .-., - 23 193. Foreie:n Funded Procurement·· .......... " "t- ." ,'cr i· ...3.1. Publiclv-Bid 0.00 0 0 0.00

""i'F"'" I,· '••. ,*, '0

3.2. Alternative Modes 0.00 0 0 0.00 . .. . • $f, ,•• ,' F

Sub-Total 0.00 0 0 0.00 .... . " "i ji . '", . .-4. Others sneclfv: 0.00 0 0 0.00 'i ". -"' .•

TOTAL 171 008 376.51 2S0 235 50 832 442.56 " . ifi . 'T

- Should include foreign-funded publicly-bid projects per procurement type-- All procurement using Foreign Funds excluding National Competitive Bidding (NCB)contracts; conversion to peso will be at BSPrates at the time the bids/quotations were submitted

0.655172414

ANNEX BGOVERNMENT PROCUREMENT POLICY BOARD

CONSOLIDATED PROCUREMENT MONITORING REPORT(Page 2 of 2)

Name of Agency: ENERGY REGULATORY COMMISSION 2015 Period Covered: CY

Total No. OfTotal No. of contracts Ave. No. of Days for Approval

Ave. No.of Days to No. of Contracts

Contracts thatwith amendments to of Resolution/Issuance of

No. of Contracts with No. of Contracts with Resolve Requests for Awarded within

incurred negativeorder or variation orders Notice of Award

Observers Attending COA Observers Attending Reconsiderations I prescribed

slippage Protests timeframes

Column 12 Column 13 Column 14 Column 15 Column 16 Column 17 Column 18

1. Public Biddin.-1.1. Goods 0 0 0 0 0 2 81.2. Works 0 0 0 0 0 0 01.3. Consulting Services 0 0 0 0 0 0 1

Sub-Total 0 0 N A 0 0 1 92. Alternative Modes .

2.1.1 Shoooin.i52.1 b above 50K2.1.2 Shoo Din' Others2.2. Direct Contracting2.3. Reoeat Order .. ' , .,. ..2.4. limited Source Biddimz --2.S.1 Neaotiatlcn Common-Use Suonlies .'. ~,. ..•

2.5.2 Neactiatlcn TFB 53.11 .1,--; .. ~-.'

2.5.3 Nezotlation SVP 53.9 above 50K -2.5.4 Neeotiation Others ," .....

Sub-Total .". ... .... '" ."

3. Forehm Funded Procurement·· - . ' . .

3.1. Publiclv-Bid . .~" ., -. -3.2. Alternative Modes .. '"

Sub-Total "

4. Others soecifv: .... , . .

TOTAL ' - '.- .

- Should include foreign-f~y-bid projects per procurement type

-- All pr7ent using Foreign Funps excluding National Competitive Bidding (NCB) contracts; conversion to peso will be at BSP rates at the time the bids/quotations were submitted

REPARED BY: RECOMMENDING APPROVAL'A-----F~CISCO JOSE l'VI LA, JR

rf1611AC Chairmai~

OP VERbA ~ /C Vice Chairman y

~SHARON O.MONTANER2016 BAC Member

~PROVEDBY: ~.~ ~.JOSE VICENTE B. SA~, 'Chairman/CEO, ERy

~G.ARBALATE, JR.2016 BAC Member

~G~,JR.2016 BAC Member

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Agency ScoreSub-indicator 1a 54.50%

Sub-indicator 1b 3.83%

Sub-indicator 2a 8.71%

Sub-indicator 2b 17.11%

Sub-indicator 2c 19.67%

Sub-indicator 2d 0.00%

Sub-indicator 2e 0.00%

Sub-indicator 3a 1.50

Sub-indicator 3b 1.44

Sub-indicator 3c 1.06

Sub-indicator 6a 96.08%Sub-indicator 6b 100.00%Sub-indicator 6c 8.41%


Sub-indicator 8b 50.00%Sub-indicator 8c 50.00%


Sub-indicator 9b #DIV/O!Sub-indicator 9c 100.00%Sub-indicator 13b 100.00%

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ANNEX cAPCPI Revised Scoring and Rating System

Poor/Not Compliant (0) Acceptable (1) Satisfactory (2)Very Satlsfactoryl Compliant

No. Assessment Conditions (3)

0 1 2 3PILLAR I. COMPLIANCE WITH LEGISLAnVE ANO REGULATORY FRAMEWORKIndicator 1. Competitive Bidding as Default Procurement Method

1 Ifa Percentage of cubllc bidding contracts in terms of amount of total procurement 0.70 0.81 0.91

2 IIb Percentage of eubllc blddlna contracts in terms of volume of total orocurement 0.20 0.40 0.50

Indicator 2. Alternative Methods of Procurement3 a Percentage of Shop pine: contracts in terms of amount of total orocurement 0.06 0.05 0.03

4 b Percentaae of Negotiated Procurement in terms of amount of total procurement 0.12 0.08 0.03

5 c Percentaee of Direct Contractlnz in terms of amount of total procurement 0.04 0.03 0.01

6 d Percentage of Repeat Order contracts in terms of amount of total procurement 0.04 0.03 0.01

7 e Percentage of Limited Source contracts in terms of amount of total procurement 0.04 0.03 0.01(f) Preparation of Annual Procurement Plan for Common-Use Supplies and Equipment (APP-

8 CSE) and Procurement of Common-Use Supplies and Equipment from the Procurement Not Compliant Compliant

Service

Indicator 3. Competitiveness of the Blddinr Process9 1 (a Average number of entities who acquired bidding documents 3 4.00 6.0010 Itb Average number of bidders who submitted bids 2 3.00 5.0011 c Averaee number of bidders who passed eli ibilitv staee 1 2.00 3.0012 d Sufficient period to orecare bids Not Com liant Partial! Compliant Substantially Com liant Fullv Compliant

PILLAR II. AGENCY INSnTUTIONAL FRAMEWORK ANO MANAGEMENT CAPACITYIndicator 4. Presence of Procurement Orzantzatlcns

13 a Creation of Bids and Awards Committees BACs Not Compliant Partiall Compliant Substantiallv Compliant Fully Compliant14 b Creation of a BACSecretariat or Procurement Unit Not Compliant Partiall Compliant Substantlatlv Compliant Fullv Comoliant

Indicator 5. Procurement Planning and 1m lementation15 a APP is crenared for all tvoes of procurement Not Compliant Compliant

Indicator 6. Use of Philippine Government Electronic Procurement System PhilGEPs16 a Percentage of bid oooottunltles posted bv the Phil-6EPs-rep"istered Aeencv 0.71 0.81 0.91

17 (bJ Percentage of contract award Information posted by the Phil-GEPs-registered Agency 0.20 0.51 0.80

18(c) Percentage of contract awards procured through alternative methods posted by the Phil-

0.20 0.51 0.80GEPs-re istered Aeencv

Indicator 7. System for Olssemlnatinr and Monitoring Procurement Information

19(a) Presence of website that provides up-to-date procurement information easily accessible

Not Compliant Partially Compliant Substantially Compliant Fully Compliantat no cost

20(b) Preparation of Procurement Monitoring Reports using the prescribed format, prompt

Not Compliant Partially Compliant Substantially Compliant Fully Compliantsubmission to GPPB and eostina in aeencv website

PILLAR 111.PROCUREMENT OPERAnONS AND MARKET PRAcnCESIndicator 8. Efficiencv of Procurement Processes

21(aJ Percentage of total amount of procurement awarded against total amount of approved 1.00 0.40 0.61 0.80APPs

22(bJ Percentage of total number of contracts awarded against total number of procurement

0.90 0.93 0.95activities done through oublic bidding

23 (c) Percentage of failed biddings and total number of procurement activities conducted 0.10 0.08 0.05

Indicator 9: Compliance with Procurement Timeframes

24(aJ Percentage of contracts awarded within the prescribed period to procure goods as

0.90 0.96 1.00indicated in Annex "C' of the IRR

25(b) Percentage of contracts awarded within the prescribed period to procure infrastructure

0.90 0.96 1.00rolects as indicated in Annex "C" of the IRR

26(c) Percentage of contracts awarded within the prescribed period to procure consulting

0.90 0.96 1.00services as indicated in Annex "C' of the IRR

Indicator 10. Capacity BuildiOil for Government Personnel and Private Sector Participants

27 (a) There is a system within the procuring entity to evaluate the performance ofNot Compliant Partially Compliant Substantially Compliant Fully Compliant

rocurement personnel

28 (b) Percentage of participation of procurement staff in annual procurement training less than 60.00% TrainedBetween 60.00-75.99% Between 76.00-90.99%

Between 91.00-100%Trained Trained

29 c Aeencv has actvities to inform and update entities on public procurement Not Compliant Com liant

Indicator 11. Management of Procurement and Contract Management Records

30 (aJ The BACSecretariat has a system for keeping and maintaining procurement records Not Compliant Partially Compliant Substantially Compliant Fully Compliant

31(bJ Implementing Units has and is implementing a system for keeping and maintaining

Not Compliant Partially Compliant Substantially Compliant Fully Compliantcontract management records

Indicator 12. Contract Management Procedures

32(a) Agency has well defined procedures and standards for quality control, acceptance and

Not Compliant Partially Compliant Substantially Compliant Fully Compliantinspection, supervision of works and evaluation of contractors' performance

33(bJ Agency complies with the thresholds prescribed for amendment to order, variation

Not Compliant Partially Compliant Substantially Compliant Fully Compliantorders advance payment and succeee in oublidv bid contracts.

34 c Timelv payment of procurement contracts After 45 days Between 38-45 davs Between 31-37 days On or before 30 days

PILLAR IV. INTEGRITY AND TRANSPARENCY OF AGENCY PROCUREMENT SYSTEMSIndicator 13. Observer Participation In Public Biddinl

35 l(a Observers are invited to all stases of everv oubHc blddtna activrtv Not Compliant Com Iiant

36 (b) Attendance of Observers in public bidding activities 0.70 0.80 0.90

Indicator 14. Internal and External Audit of Procurement Activities

37(a) Creation and operation of internal audit unit as prescribed by DBM (Circular letter No.

Not Compliant Partially Compliant Substantially Compliant Fully Compliant2008·5 Aoril14 2008\

38(b) Agency Action on Prior Year's Audit Recommendations (APYARJon procurement related

Below 60% complianceBetween 61-70.99% Between 71-89.99%

Above 90-100% compliancetransactions compliance compliance

Indicator 15. Capacity to Handle Procurement Related Complaints

39 [a] The Procuring Entity has an efficient procurement complaints system and has theNot Compliant Partially Compliant Substantially Compliant Fully Compliantcapacity to comclv with procedural requirements

Indicator 16. Anti·CorruDtlon ProRrams Related to Procurement40 [Ia Azencv has a specific anti-corruption erceram s related to orocurement Not Comoliant Partiallv Comoliant Substantial! Comoliant Fullv Comoliant

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Annex D

PROCUREMENT CAPACITY DEVELOPMENT ACTION PLAN TEMPLATE

Name of Agency: ENERGY REGULATORY COMMISSION Period: _

Indicators Kev Area for Development Proposed Actions to Address Kev Areas ResDonsible Entitv Timetable Resources Needed

14(a) & 14(b) Operation of Internal Audit Conduct of regular audit Internal Audit Unit Within 2016 -Training, additional staff

16(a) ARTA policy related to procurement Develop policy and programs PIS-PO Within 2016 -Training, additional staff

Procurement Planning Conduct of procurement planning and review BAC, FAS Within 2016 -Tralnlng, additional staff

-Permanent staff with OBM

Procurement Unit Creation of permanent BAC Secretariat Unit HOPE Within 2016 approval, provision of office space,

equipment

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annexa government procurementpolicyboard ...(apyar)on procurement related transactions compliance on...

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