Download - Biennial Meeting
![Page 1: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/1.jpg)
Ethics & Integrity in Ethics & Integrity in ProcurementProcurement
Asha AyoungAsha Ayoung
Lead Procurement Specialist, OPCPRLead Procurement Specialist, OPCPR
![Page 2: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/2.jpg)
Overview (Part I)Overview (Part I)Bank Funded ProjectsBank Funded Projects
• WB Procurement Policy – Risk Based Approach – Compliance Reviews (No-Objections, Post
Reviews, Independent Reviews)– Misprocurement
• Anti-Corruption Guidelines• GAC Strategy & Implementation Plan • Revision of Sanctions Regime
• Debarment (1st Set of Debarred firms from WB in 1999 – 343 Firms and Individuals Debarred)
• Establishment of INT in 2001• Collaboration of Procurement with INTVP
![Page 3: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/3.jpg)
Overview (Part II)Overview (Part II)Country LevelCountry Level
• WB works with Member Countries, Private Sector and Civil Society to tackle corruption.
• More specifically in Public Procurement Systems, WB helps strengthen governance address corruption through projects and programs that support reforms by promoting– Competition, – Transparency, – Equity, – Accountability and Controls
![Page 4: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/4.jpg)
Safeguards in Safeguards in Bank Funded ProjectsBank Funded Projects
• Procurement Policy– Updated WB Guidelines
• Definition of eligibility expanded• Fraud and corruption (F&C) defined
– Revisions to Guidance Notes• Revisions to Guidance Notes• Prior review thresholds• Handling of allegations of F&C• New Templates
![Page 5: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/5.jpg)
Safeguards in Safeguards in Bank Funded ProjectsBank Funded Projects
• Risk Based Aproaches – Assessments based on risks identied at
project desing and monitored throughout the life of the project
• Procurement Capacity Development – Training/Certfication Programs– Handling of F&C
![Page 6: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/6.jpg)
Safeguards in Safeguards in Bank Funded ProjectsBank Funded Projects
• Anti-Corruption Guidelines– Make explicit the responsibility of the
Borrower to prevent and report corruption to the Bank
• GAC Strategy – Deepen Support to countries to
strengthen governance– Combat corruption in World Bank Projects– Work with development partners in
sharing experiences and addressing global issues
![Page 7: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/7.jpg)
• Use of Risk Identification Worksheet for all Projects (MRIL)
• From July 2008 all projects now subject to risk Review process which includes corruption risks
• Risk based Procurement Assessment – Risk Assessment drives the level at which
any project is reviewed and approved
Risk Based ApproachRisk Based Approach
![Page 8: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/8.jpg)
Risk Assessment, Tracking and Risk Assessment, Tracking and Examination System (RATES)Examination System (RATES)
• Risk-based capacity assessment tool based on Country, Project characteristics– Identify & track risk profile of Bank-
financed operations– Identify project rocurement risk– Separate F&C Risk– Risk mitigation actions – Monitors progress towards
strengthening borrower capacity
![Page 9: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/9.jpg)
Post Reviews Post Reviews and Templatesand Templates
• Revised instructions– Procurement Post Reviews– Independent Procurement Reviews
(IPRs)
• Centralized template for PPR– Harmonized PPR Risk Rating System in
Operations Portal– Single Repository for Collecting PPR– Enable Bank wide Monitoring and
Reporting
![Page 10: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/10.jpg)
Two-Tier Sanctions Process Two-Tier Sanctions Process
Integrity Vice Presidency (INTVP)
Evaluation and Suspension Officer
Sanctions Board
InvestigationInvestigation
• Evaluates evidenceEvaluates evidence• May temporarily suspend May temporarily suspend companies companies • Recommends a sanction Recommends a sanction (becomes effective if respondent (becomes effective if respondent does not contest)does not contest)• Four (4) EOsFour (4) EOs
1st Tier1st Tier
2nd Tier2nd Tier
• Comprised of Bank staff (3) and Comprised of Bank staff (3) and external members (4)external members (4)• Decides a case only if respondent Decides a case only if respondent contestscontests• Evaluates evidence and decides Evaluates evidence and decides whether to impose a sanction (not whether to impose a sanction (not bound by EO recommendation)bound by EO recommendation)• May hold a hearingMay hold a hearing
![Page 11: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/11.jpg)
Institutional IntegrityInstitutional Integrity
• Volcker Report recommended changes to INT’s Operations– Preventive Services Unit
• Dissemination of Lessons learned• Advice to Project Teams• Technical support to client anticorruption
functions
– Participation in key operational committees of the Bank
• Continued investigations and sanctioning of Firms and Individuals– 343 so far
• Voluntary Disclosure Program
![Page 12: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/12.jpg)
Collaboration with INTCollaboration with INT
• Protocol on handling Allegations of F&C– Staff obligations– Regional and INT obligations
• Handling red flags – Developing online Red Flag Toolkit– Guidance Note
![Page 13: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/13.jpg)
Principles to Enhance Integrity in Principles to Enhance Integrity in
Public Procurement SystemsPublic Procurement Systems
• Legislative and Regulatory Framework– The laws, regulations and implementing
rules are: • Clear and consistent• Easily available to potential suppliers and
contractors • Promote competition, transparency equity and
accountability
![Page 14: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/14.jpg)
Principles to Enhance Integrity in Principles to Enhance Integrity in
Public Procurement SystemsPublic Procurement Systems
• Institutional Framework and Management Capacity– Ensure Central Institutions have the
capacity to oversee public procurement, handle complaints, carry out compliance reviews
– Eliminate conflict of interest situations
![Page 15: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/15.jpg)
Principles to Enhance Integrity in Principles to Enhance Integrity in
Public Procurement SystemsPublic Procurement Systems
• Procurement Operations and Market Capacity– Promote Professionalism in
implementing agencies so that they are effective and competent.
– A private sector that is well organized and have access to the market
![Page 16: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/16.jpg)
Principles to Enhance Integrity in Principles to Enhance Integrity in Public Procurement SystemsPublic Procurement Systems
• Integrity and Transparency of the System– Strengthen Control and audit systems so
that they are effective– Efficient and independent appeals
mechanisms– Access to information
• Civil Society/Private Sector Involvement– Countries should empower civil society
organizations, media, and the wider public to scrutinize public procurement
![Page 17: Biennial Meeting](https://reader036.vdocuments.net/reader036/viewer/2022062322/568149db550346895db6ff57/html5/thumbnails/17.jpg)
ChallengesChallenges
Successful combatting of fraud and corruption will require :
– Bank’s Side: Assessing corruption risks in projects upstream, actively investigating allegations of F&C, Strengthening project
oversight and supervision – Borrower’s Side: Strengthening Country
Systems by building capable, transparent and accountable insitutions
– Expanding partnerships with Government/Private Sector/Civil Society/ Development partners