towards programme implementation...towards programme implementation procurement & contract...
TRANSCRIPT
TOWARDS PROGRAMME IMPLEMENTATION Procurement & Contract Training – Jakarta day 3
BFM/FPC
January 2015
2
Agenda – day 3
Topics Presented
by
Time
schedule
Mini case studies on procurement process (1/2) EP
9:00 – 10:30
Coffee Break 10:30 – 10:45
Mini case studies on procurement process (2/2) EP 10:45 – 11:30
Tips revisited EP 11:30 – 12:30
Lunch 12:30 – 13:45
RFP case study – formal competitive bidding process
EP 13:45 – 15:45
Coffee Break 15:45 – 16:00
How to complete your IPA selection form LG 16:00 – 16:45
Wrap up LG 16:45 – 17:15
3
Mini Case Studies
4
Case Study 1
UNESCO FO is seeking an architect to design the specifications of a new Cultural
Resource Centre in the country, this project is under the Joint Programming of UN
Agencies.
FO is proposing this as an individual consultant contract, for the hiring of an architect
to draw the building specifications that will eventually be used for the tender of the
construction.
Funds available: USD 15,000.
Please discuss and advise.
Choose a spokesperson to present the case (5 min).
5
Case Study 2
In July 2014, UNESCO FO gave a contract to a local printer based on informal price
comparison for printing of 3000 books at the rate of USD 5 per book.
The work was done within a short time and in very good quality.
Now, six months later, the Ministry has requested FO to provide them with 8,000
more copies.
Due to the importance and high quality, the Programme Specialist in charge
requested the AO to be give the contract to the same printer.
Please discuss and advise.
Choose a spokesperson to present the case (5 min).
6
Case Study 3
UNESCO FO wishes to award a contract to a consultancy firm, to undertake
specific activities. The firm was selected through a competitive bidding process,
carried out formally by the SADC (Southern African Development Community).
UNESCO FO has already developed a TOR but is not sure which contract to use.
The total cost USD 72,000.
Please discuss and advise accordingly.
Choose a spokesperson to present the case (5 min).
7
Case Study 4
Under the framework of an approved FIT project, a reputable consultancy firm is
named in the project document as the preferred contractor for specified field
activities which include WHC rehabilitation works.
The Programme Specialist proposes to award a Contract for Services under waiver
condition ii. “no competitive market place…”
The estimated budget is USD 120,000
Please discuss and advice.
Choose a spokesperson to present the case (5 min).
8
Case Study 5
UNESCO FO is seeking the services of a specialized consultancy firm/institution
to evaluate an EXB project carried out from 2012 to 2013.
Estimated budget: USD 48,000
Please discuss and advise.
Choose a spokesperson to present the case (5 min).
9
Case Study 6
The UNESCO FO wishes to extend its local security contract (LTA) which has expired
end 2014. The extension will be based UNDP/LTA extension for an additional 12
months.
The estimated annual contract value is USD 160,000
Now, in Jan 2015, UNESCO FO has submitted the following documents to the CC for
its clearance.
New draft contract
Contract Committee submission form
UNDP/LTA extension
Please discuss and advise whether process applied is satisfactory.
Choose a spokesperson to present the case (5 min).
10
Case Study 7
As part of UNESCO Post-Conflict Post-Disaster Response, a proposal for
Humanitarian Information Project (submitted to Flash Appeal) has been approved.
A reputed international media development organization with local presence in the
country was identified in the project document as the key partner for the delivery of
the activities including a small equipment component. The project must be finished in
6 months time.
Funds available: USD 200,000.
Please discuss and advice on the procurement process to be followed.
Choose a spokesperson to present the case (5 min).
11
Case Study 8
UNESCO FO has issued in February this year based on competitive bidding a
Contract for Service of USD 80,000 to a local NGO. This time also the
programme Specialist wants to give another Contract for Services for the same
NGO from the same budget for different activities for USD 70,000.
Please discuss and advice on the procurement process to be followed.
Choose a spokesperson to present the case (5 min).
12
Case Study 9
UNESCO FO Office - in support to EXB project - requires to publish various
documents (reports, brochures etc).
Although all the needs are not all known yet the Programme Specialist has
budgeted USD 65,000 this year for related printing services.
Please discuss and advice on the procurement process to be followed.
Choose a spokesperson to present the case (5 min).
13
Case Study 10
A Field Office has awarded a contract to National Commission of country X for USD
55,000 to awareness raising campaign and organization of a regional workshop (incl.
Logistics, DSA, flight booking). The award of the contract is based on a waiver to
competitive bidding applying the waiver condition 10.2 art.5.3(i) « there is no
competitive market place ».
The National Commission was said to be the most suitable partner with knowledge of
UNESCO and previous experience, well positioned to coordinate such project
component. The condition “no competitive market place” was used for that purpose.
Please discuss the justification of the waiver in light of condition applied and tips given
to strengthen waiver justification – see section Tips – annex 4 and 5. Please as also
explain the due diligence applied in DUO for granting of a waiver.
Choose a spokesperson to present the case (5 min).
14
Case Study
RFP process
15
Case study on RFP process
On 15 August 2014 a call for proposal was announced for 2 weeks by UNESCO Field
Office. See handout, Annex 1, which was sent to shortlisted Bidders.
A total of seven proposals were received by UNESCO Field Office which were opened
and assessed by an evaluation committee. All proposals were technically and
financially assessed. See handout, minutes of the meeting, Annex 2.
The proposal submitted by “Bidder 1” received the highest scoring and therefore the
evaluation team has recommended to the DIR/FO to award the Contract to them
(value of contract: USD 143,099).
The UNESCO Office has confirmed that all proposals were assessed according to the
procedure outlined in the Administrative Manual AM 10.2A “Procurement Guide”.
Please re-assess the case documentation, confirm your findings and explain what has
been done well and what (if anything) could have been done better?
16
How to complete
your IPA selection Form
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IPA Case study: How to complete your Selection form
Checklist Implementation Partners
(AM Item 7.5) YES/NO
Is the implementation partner a not-for-profit organisation? Please justify under selection criteria n° 3 below.
YES
Are all the programmatic deliverables foreseen in the implementation partner agreement directly related to achieve project results? Please estimate the percentage of funds managed by the partner under the following headings:
- capacity building 10% - infrastructure and works 40% - equipment 35% - mission costs 5% - personnel costs % - others (specify ) PSC 13%
YES
Has the partner been involved in the initial design and planning of the overall programme/project/activity? Please elaborate in the selection criteria n° 9 below.
YES
Does the partner contribute in kind or cash to the implementation of the programme/project/activity? Please elaborate under selection criteria n° 10 below.
NO
Does the partner take co-responsibility for the achievement of programme/project/activity result(s)? Please elaborate under selection criteria n° 11 below.
NO
SELECTION FORM OF AN IMPLEMENTATION PARTNER (Form AM 7-9)
Procurement activities (AM Item 10.2)
YES/NO
Infrastructure and equipment components are very high; no PSC allowed under IPAs
They should contribute to the project execution The partner is executing the project and therefore should be responsible for its achievement
18
Brief description of the programme/project/activity to be implemented
Title of programme/project/activity
Brief description of project (please attach project document), including source of financing, partners involved and relevant budget breakdown.
For an extrabudgetary activity, please indicate whether the funding source has given any indications with regard to the choice of implementation partners and include the justification for the choice.
The cooperation with the partner has been mentioned in the original pro/doc as well as in the additional pro/doc for additional funding.
If the programme/project/activity is financed in a programme country by a trust fund contributed by a third party, attach a copy of the third party’s written concurrence to implementation by the government of the programme country or a governmental entity.
Total amount of funds to be implemented by the implementation partner for the entire period of the project and budget code(s) the funds will be taken from (in case of several codes, please provide a breakdown of the distribution of funds).
$180,000
Given that an implementing partner should provide added value by being involved in the conceptualization, design and planning of the project/activity, the selection of the partners should ideally be done before the signature of the agreement/project document with the funding source based on the selection criteria
stipulated in manual item 7.5 para. 5.4.
IPA Case study: How to complete your Selection form
19
Justification of the choice of an implementation partner (Comparison criteria)
Criteria Justification/documentation
1. What process has lead to the selection of the implementation partner? (cross what applies and provide justification and related documentation):
Comparison among at least three potential partners;
Unique potential partner given the specificities of the project activities;
Other methodologies.
The proposed partner is well situated due to
their experience in this domain of activity.
2. Is the estimated implementation cost breakdown proposed by the partner in line with prevailing market trends and reasonable to UNESCO, whilst providing best value for money?
The breakdown submitted should be sufficiently detailed in order to provide assurance regarding the reasonableness of the cost. Please justify your proposed estimation.
Implementation breakdown is well presented and specify all required details.
x
Detailed explanation regarding the selection process in all three boxes should be provided
Justification should be provided how this
estimation was considered as reasonable
IPA Case study: How to complete your Selection form
20
Choice of an implementation partner (Assessing the legal status of the partner)
Criteria Justification/documentation 3. Please indicate the organizational/legal status of the proposed implementation partner (such a governmental entity, IGO, NGO, university, research institute, other …). Note: The proposed implementation partner must be a not-for-profit entity.
The status of the proposed partner organization is NGO
4. Please indicate whether the proposed implementation partner has official relations with UNESCO. Please specify.
NO
5. For governments or governmental entities, please indicate whether the programme/project/activity is in a sector of activity where the government concerned has concluded with the Organization a self-benefitting funds-in-trust arrangement.
NA
6. For NGOs, foundations and similar institutions not having official relations with UNESCO please indicate: That their purposes, function and operation are non-governmental and non-profit-making in character (verify by cross checking against their statutes; if necessary, request assistance from LA); That they are endowed with legal status under national law (check against the instrument of their legal recognition; if necessary, request assistance from LA); That they have been active for at least two years (verify their last activity report).
All three conditions should be met
x
x
x
IPA Case study: How to complete your Selection form
21
Assessing the technical and managerial capacities of the partner 7. Please indicate why the proposed implementation partner is well suited to implement the project (due to, inter alia, its mandate and technical expertise, professional skills and integrity, and ability to access the intended beneficiaries and relevant networks). If the proposed implementation partner has previously implemented activities under contract with UNESCO, please provide, if available, a result based evaluation.
The proposed partner is well
situated in this domain of activity.
8. How does the proposed implementation partner add value to the activity to be implemented? Does the partner have the skills and competencies that complement those of UNESCO?
By raising awareness of the importance of the related project activities.
9. Has the Partner been involved in the conception of the activity to be implemented in partnership with UNESCO? Please justify.
YES
10. Is the proposed implementation partner ready to contribute – in terms of financial or human resources, or contributions in kind - to the project implementation? If yes, how?
NO
11. Will the proposed implementation partner be responsible for achieving project results? If so, what results?
YES
12. Overall, does the implementation partner have the capacity to manage the volume of funds foreseen under the implementation agreement? Please justify your response.
YES, taking into account the capacity of the partner to manage projects.
Detailed info regarding the partner's ability to implement the project should be provided
Detailed info regarding the partner's ability to implement the project should be provided
Details should be provided
The partner should contribute to the project execution. In cash, kind or by providing various support elements i.e. premises, local staff, logistics, etc.
Details should be provided
Justification should be provided
IPA Case study: How to complete your Selection form
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Assessing the technical and managerial capacities of the partner
13. Will the proposed implementation partner be responsible for reporting on the achieved outcomes?
YES
14. What makes the proposed implementation partner “unique” for the implementation of the activity in question? Could the proposed implementation partner easily be replaced by another?
YES
15. Have the risks (notably for UNESCO’s reputation, credibility and visibility) in working with the proposed implementing partner been thoroughly assessed? Please justify your response.
YES
16. Has the partner’s credibility and previous performance been checked, for instance with other UN agencies, the EC or national agencies? Please provide justification.
YES
17. Has the National Commission in the partner’s home country been informed of the proposed implementation agreement? Has the National Commission provided any observations?
YES
Details on what kind of reports will be prepared, periodicity, etc.
Statement should be documented
How?
How?
Provide written evidence
IPA Case study: How to complete your Selection form
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Organizational and financial structure of the proposed implementation partner
Criteria Justification/documentation
18. Please provide the overall organizational structure, and decision making mechanisms of the partner.
The partner is organized as an NGO.
19. Please provide the internal and external financial control and audit procedures of the partner, including if audited financial statements are available. Where the latter is available, please indicate: a.financial year(s) the audit report covers; b.name of the external auditor; c.procedures for their appointment.
Not available
20. Please provide information on the overall staff resources, number and profiles of relevant staff with assigned responsibilities.
At HQ: In location of activity to be implemented:
21. Does the partner posses logistical infrastructure and equipment?
YES
22. Current annual operational expenditure (does not include programme expenditure).
USD
23. Current annual programme expenditure. USD
Details and documentation should be provided for all paras 18 to 26.
IPA Case study: How to complete your Selection form
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Organizational and financial structure of the proposed implementation partner
24. Bank account(s) USD account number and bank name: Local currency account number and bank name: Euro Bank
25. Current assets USD
26. Current liabilities USD
27. Procurement procedures - in case the Partner will be requested to purchase equipment for the implementation of the project it has to be ensured that the process used is in line with UNESCO standard requirements and based on “best value for money”. Your answer should cover briefly their bidding procedures and threshold levels. If this is not the case, the procurement of equipment has to be done by UNESCO.
The partner is being requested to
purchase equipment.
28. The percentage of the procurement or equipment component should not exceed 33% of the total budget of the Implementation Partners Agreement. Under exceptional circumstances the Sector’s Assistant Directors – General, Directors of Bureaux or Heads of Fields Offices may approve the signature of Implementation Partners Agreements which include more then 33% of procurement or equipment component. If this is your case please provide written detailed justification hereafter.
Yes
Is the procurement in line with our requirements ? Elaborate.
Provide justification as requested.
IPA Case study: How to complete your Selection form