procurement risk assessment (final)...procurement risk assessment questionnaire is presented in...

Procurement Risk Assessment (Final)

Project number: 48358-001 August 2017

PRC: Shanxi Inclusive Agricultural Value Chain Development Project

Prepared by the project preparatory technical assistance consultants in coordination with the Shanxi Provincial Project Management Offoce for the Asian Development Bank

Shanxi Inclusive Agricultural Value Chain Development Project (RRP PRC 48358)

http://www.adb.org/Documents/RRPs/?id=48358-001-3

CURRENCY EQUIVALENTS (as of 29 August 2017)

Currency unit – yuan (CNY) CNY1.00 = $0.1511

$1.00 = CNY6.6183

ABBREVIATIONS

ADB – Asian Development Bank EMP – environment management plan ha – hectare IEE – initial environmental examination km – kilometer LIBOR – London interbank offered rate LID – low-impact development m3 – cubic meter mu – a Chinese unit of measurement (1 mu = 1/15 ha) O&M – operation and maintenance PAC – project agribusiness company or cooperative PAM – project administration manual PPMO – Shanxi Provincial Project Management Office PRC – People’s Republic of China SPG – Shanxi Provincial Government SPS – Safeguard Policy Statement

NOTE

In this report, “$” refers to United States dollars.

This procurement risk assessment is a document of the borrower. The views expressed herein do not necessarily represent those of the Asian Development Bank's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Procurement Risk Assessment

Project number: 48358-001 August 2017

People’s Republic of China: Shanxi Inclusive Agricultural Value Chain Development Project

TABLE OF CONTENTS

EXECUTIVE SUMMARY ........................................................................................................... 1

I. Introduction ......................................................................................................................... 1

II. Country Procurement Systems ........................................................................................... 1

III. Project Procurement Risk Assessment ............................................................................... 3

V. Project Specific Procurement Thresholds............................................................................ 7

VI. Procurement Plan ............................................................................................................. 8

VII. Conclusion .......................................................................................................................... 9

APPENDIX 1 ............................................................................................................................ 10

EXECUTIVE SUMMARY

1. Overall, the project procurement risk is moderate. The main weakness identified is that all 19 project agribusiness companies and cooperative (PACs) [project implementing units, (PIUs)] lack experience in the public procurement and projects financed by the Asian Development Bank (ADB). This risk will be mitigated through (i) support of procurement agency, which is authorized by the Government of the People’s Republic of China (PRC) for procurement under projects funded by international or bilateral development organizations such as ADB, for PACs, and (ii) capacity building for PACs by an individual procurement specialist to be engaged by ADB.

I. Introduction

2. This report contains findings and observations of a project procurement risk assessment for the Shanxi Inclusive Agricultural Value Chain Development Project. The project is aligned with the following impacts: (i) all rural residents falling below the PRC’s current poverty line and all poor counties lifted out of poverty, and poverty alleviation in all regions achieved; and (ii) rural–urban income disparity narrowed, and the proportion of the population in the middle-income class increased. The project outcome will be income generating opportunities from selected local specialty agricultural products increased. The project particularly aims at strengthening the value chains of local specialty agricultural products with untapped market potential in 17 counties in 6 municipalities. The assessment was prepared in accordance with the Guide on Assessing Procurement Risks and Determining Project Procurement Classification (the Guide).1 3. Preparatory activities included review of project documents; ADB’s ongoing procurement experiences in the PRC; a procurement capacity risk assessment using the project procurement risk assessment questionnaire provided in the Guide; in-depth discussions with the provincial Project Management Office (PPMO) established in Shanxi Provincial Department of Poverty Alleviation and Development (SPADO) of Shanxi Provincial Government (SPG), the executing agency (EA); 17 county Project Management Offices (CPMOs) established in the project county governments [project implementing agencies (IAs)], and 19 PACs (PIUs). The completed project procurement risk assessment questionnaire is presented in Appendix 1.

II. Country Procurement Systems

4. Currently, public procurements in the PRC are governed by two laws: the Tendering and Bidding Law and the Government Procurement Law. The Tendering and Bidding Law was approved by the People’s Congress and promulgated by the President on 30 August 1999. It became effective on 1 January 2000. On 12 December 2011, the State Council promulgated the Regulation on Implementation of the Law of the PRC on Tendering and Bidding that became effective on 1 February 2012. The Government Procurement Law was promulgated on 29 June 2002 and became effective 1 January 2003. It covers requirements for procurements of central and subcentral government-financed goods, civil works, and services. 5. The SPG has also developed various guidelines for implementing the Tendering and Bidding Law in different sectors, including the (i) Shanxi Province Building Projects Tendering and Bidding Management Guidelines (effective on 23 June 1995); (ii) Shanxi Province Water Resource Projects Tendering and Bidding Management Guidelines (1 February 2007); (iii) Shanxi Province Highway Projects Tendering and Bidding Management Guidelines (Trial, 2011); (iv) Communication Projects Tendering and Bidding Management Guidelines (effective on 1 July

1 ADB. 2014. Guide on Assessing Procurement Risks and Determining Project Procurement Classification. Manila.

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2014); (v) Shanxi Province Building and Infrastructure Projects Tendering and Bidding Implementation Rules (Trial 2001); etc. 6. The following issues of general procurement environment in the PRC tend to increase procurement risk for this project:

(i) Consulting services are not clearly addressed in the two national procurement laws; (ii) The national procurement laws are not clear for participation of state-owned

enterprises; also the laws are not clear in procurement procedure and method for using international financing organization loan or grant by private companies or cooperatives.

(iii) The laws and regulations do not require collection of nationwide statistics on procurement, and consolidated historical procurement data are not readily available to the public; and

(iv) Comprehensive training program is not available by executing agencies for procurement accreditation or professionalization in the PRC.

7. For the PRC, the country and sector procurement risk preliminary rated by ADB is medium.

PROJECT PROCUREMENT CLASSIFICATION

8. Project procurement classification was not conducted at the concept stage of the project. Based on analysis in Table 1, category B is proposed for the project.

Table 1: Project Procurement Classification

Characteristic Assessor’s Comments and Finding Summary

Is the Procurement Environment Risk for this project assessed as "High" based on the country and sector/agency risk assessments? A ccording to Figure 4 above?

No.

Are multiple (typically more than three) and/or diverse Executing Agencies (EAs) and/or Implementing Agencies (IAs) envisaged during project implementation? Do EAs/IAs lack prior experience in the Asian Development Bank (ADB) project implementation?

Yes, there are one EA that will supervise and guide procurement activities [Shanxi Provincial Government (SPG) represented by the Provincial Project Management Office (PPMO)], 17 IAs that will support and facilitate procurement activities [(project county governments represented by the county project management offices (CPMOs)), and 19 project implementing units (PIUs) that will be responsible for procurement [project agribusiness companies and cooperative (PACs)].

Yes, those PIUs lack prior experience in ADB project implementation while the PPMO and some of CPMOs have experience in ADB and/or the World Bank projects.

Are multiple contract packages and/or complex and high-value contracts expected (compare to recent donor projects in the developing member country (DMC)?

Yes, there will be multiple contract packages, but neither complex nor high-value contracts.

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Characteristic Assessor’s Comments and Finding Summary

Does the project plan to use innovative contracts (public–private partnership, Performance-based, Design and Build, operation and maintenance, etc.)?

No.

Are contracts distributed in more than three geographical locations?

Yes, the project will be implemented in 17 counties in Shanxi Province.

Are there significant ongoing contractual and/or procurement issues under the ADB- (or other donor) funded projects? Has mis-procurement been declared in the DMC?

No, there was no such issues under the recent ADB project.

No mis-procurement has been declared in the DMC.

Does the DMC have prolonged procurement lead times, experience implementation delays, or otherwise consistently fail to meet procurement timeframes?

No, procurement lead time tends to be shorter in the past ADB and World Bank projects which the EA was involved than other DMCs.

Do EA/IAs lack capacity to manage new and ongoing procurement? Have EA/IAs requested ADB for procurement support under previous projects?

Yes, PIUs (PACs) lack experience and capacity to manage public procurements. However, the EA that has capacity to manage procurement activities will guide and supervise PIUs’ procurement and IAs that are familiar with public procurement will support PIUs’ procurement.

Though the EA did not require procurement support under the previous ADB project, they will engage a procurement agency that is authorized by the Government of the People’s Republic of China and an individual procurement specialist to support procurement activities under the project particularly support and capacity building for PIUs’ procurement.

OVERALL PROJECT CATEGORIZATION RECOMMENDED:

B

Source: Asian Development Bank.

III. Project Procurement Risk Assessment

A. Overview

1. Organizational and Staff Capacity

9. The EA for the project is SPG; 17 project county governments are the IAs; and 19 PACs are PIUs. A project leading group has been established to provide overall policy guidance, facilitate inter-agency coordination, and resolve any institutional problems affecting project preparation and implementation. The PPMO established within the SPADO will be the leading agency responsible for overall project implementation and management. The PPMO will guide and supervise for all procurement activities under the project. The PPMO will also engage a procurement agency, which is authorized by the People’s Republic of China to support procurement of projects funded by international or foreign development agencies. In each project country government, a CPMO was established to support procurement of PAC(s) in the county.

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Each PAC is responsible for its own procurement of goods and works. In addition, an individual procurement specialist will be engaged to support the PPMO’s supervision, monitoring and reporting of procurement activities and capacity building for PACs.

2. Information Management

10. The PPMO have designated personnel and sufficient space and equipment for information management, including record keeping.

3. Procurement Practices

11. The following differences in procurement practices were noted between ADB and PRC: (i) Minimum advertising period is only 20 days for domestic procurements in PRC,

against 42 days for international competitive bidding (ICB) and 30 days for national competitive bidding (NCB) required by ADB; and

(ii) Bid securities are often remitted by cash, which is the most preferred option for most procuring entities in the PRC.

12. Consultant recruitment procedures are not clearly addressed in the PRC’s domestic procurement laws and regulations. Most consultant selection committee (CSC) members are selected by public resources trading center. However, it is likely that some of selected CSC members may not be unfamiliar with the ADB and project requirements for engagement of consulting services, which might cause delays or mistakes in the engagement. 13. The PPMO has agreed to adhere to ADB’s requirements for procurement of works and goods, and consultant recruitments for this project.

4. Effectiveness

14. From responses to the questionnaire, it appears that adequate controls are in place: (i) Shanxi Provincial Audit Department (SPAD) is involved in monitoring and reporting of the project implementation; (ii) there is a formal non-judicial mechanism to deal with complaints associated with domestic procurement under the PRC’s Bidding Law. Hence, an additional control required for procurement management under the project will be ADB’s administration to ensure the project compliance with ADB procurement procedures.

5. Accountability Measures

15. The PPMO will supervise all procurement activities, ensure compliance of the procurement process with regulations, and ensure that information disclosure requirements are followed. The engaged procurement agency will organize all procurement documents, and records all bid opening and evaluation processes. The SPAD’s annual audit will cover all procurement-related transactions, as necessary. General public, private sectors, and peoples’ organizations can submit complaints to the PPMO, IAs, and/or PIUs. 16. Accountability is strengthened by provisions of the PRC’s laws and regulations on sanctions against anticorruption for both bidders and government staff. Moreover, Article 44 of the Tendering and Bidding Law and Article 62 of the Government Procurement Law provide ethical standards for procurement personnel.

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B. Strengths

17. A procurement specialist of the project preparatory technical assistance (PPTA) consultant team had provided the PPMO, IAs and PACs key staff with training on ADB’s procurement and consultant recruitment procedures. At project start-up and during project implementation, a procurement consultant will continue such training. The procurement consultant and a procurement agency will provide the PPMO, IAs and PACs with professional services and technical assistances, and ensure that procurements and consultant recruitments for the project will fulfill ADB’s requirements. 18. The PPMO will have the chief responsibility for control and oversight of procurement activities. Other related governmental authorities will also supervise procurement process to prevent corruption. Finance, construction, and other departments/bureaus may supervise public opening and evaluation processes. The Shanxi Provincial Finance Department and separate municipal and/or county finance bureaus will review and approve invoicing and payment against contracts. 19. The PRC’s laws and regulations related to procurement provide procurement-related sanctions for both bidders and government staff. To complement these legal requirements, the PPMOs will ensure all procurement-related work is checked every year by the related responsible governmental department in terms of ethical behavior. 20. The CPMOs will support PACs’ procurement activities and report to the PPMO during the project implementation. The PPMO and the CPMOs have committed to fulfilling ADB’s requirements for all procurements and consultant recruitments for the project.

C. Weaknesses

21. All 19 PACs (PIUs) lack experience in the public procurement and projects financed by the ADB. As the PACs are scattered in 17 project counties across with the province, the PPMO’s supervision to ensure their compliance with ADB’s procurement procedures will be a challenge.

D. Procurement Risk Assessment and Management Plan

22. The Project Procurement Risk Assessment and Management Plan in Table 2 has been prepared based on the procurement risk assessment questionnaire in Appendix 1, following the Guide.

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Table 2: Project Procurement Risk Assessment and Management Plan

SL No. Risk

Risk Assessment Mitigation Measures or Risk Management Plan Impact Likelihood Risk

A.2,

A.3

The PACs have insufficient qualified staff to efficiently undertake procurements under the project.

Average Likely Average Mitigation:

- The Individual national procurement specialist shall be engaged in the project, and will provide staff of the PACs and CPMOs with training on procurements and consultant recruitments at project start-up.

- A procurement consultant of the project management support consultant team will continue such training.

- The procurement agency will help them conduct procurement and consultant recruitment under the project.

- ADB to require the following:

Prior Review: all ICB contracts, first NCB contract (works), first NCB and SHP contract (goods and non-consulting services), recruitment of consultants through QCBS, CQS and IC; and

Post Review: subsequent NCB for goods and works, Shopping (works, goods and non-consulting services).

A.2

A.3

A.8

A.9

A.12-17

The PACs and CPMOs have insufficient qualified staff to efficiently undertake procurements, and have not procurement department/unit, including a permanent office that performs the function of a Secretariat for the Procurement Unit

Average or High

Likely Average Mitigation:

- The individual procurement consultant to provide on-the-job training and guidance during bid document preparation (technical and financial aspects) and bid evaluation, and in addressing ADB’s comments.

- The procurement agency will help them to conduct procurements.

- ADB will continue to give guidance and instructions to the PPMO/PACs.

B.3-6,7

C.1

C.2

C.5

The PACs do not promote non-discriminatory participation and transparent tender processes,

High or Average

Unlikely Average Mitigation:

- PPMO and PACs have promised to follow relevant ADB procedures and requirements.

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SL No. Risk

Risk Assessment Mitigation Measures or Risk Management Plan Impact Likelihood Risk

C.7

C.8

C.9

C.14-18

E.5

E.6

or other non-compliance with ADB’s procurement guidelines.

- With help from the individual procurement consultant and the procurement agency, the PPMO will prepare manuals for procurements and consultant recruitments which fulfill ADB’s requirements for non-discriminatory participation and transparent bidding processes at project start-up.

- The individual procurement consultant and project management support consultant team will provide training on procurement and consultant recruitment at project start-up and during project implementation.

- The procurement agency will help them to conduct procurements

- ADB will continue to give guidance and instructions to them.

Monitoring:

- ADB will closely monitor the procurement and consultant recruitment activities.

Overall AVERAGE

High risk has only been identified on the PACs project implementing activities, especially on procurements of works or goods. There are not consultant recruitment requirements for all the PACs.

However, the PPMO who will be assisted by the counties IAs, individual consultants, and the procurement agency to conduct the project implementation and procurement management.

For only some items, average risks have been identified. However, these risks are mostly due to unfamiliarity with ADB’s procedures and requirements. With proper mitigation measures, such as trainings and employing a procurement agency and Individual procurement specialists, these risks can be mitigated.

For other items, risk is low.


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IV. Project Specific Procurement Thresholds

A. Procurement Method and Supervision Thresholds

23. The applicable thresholds are in Table 3.

Table 3: Procurement Method Thresholds

Procurement of Goods and Works

Method Threshold Comments

International Competitive Bidding (ICB) for Works

$40,000,000 and above Invitation for bids, bidding documents, and bid evaluation and recommendation for contract awards will be subject to the Asian Development Bank’s (ADB) prior review.

ICB for Goods $5,000,000 and above The first ICB procurement for goods should be submitted to ADB for prior review and approval. Subsequent ICB procurement documents will be subject to post-review.

National Competitive Bidding (NCB) for Works

Between $100,000 and $39,999,999

The first NCB procurement documents for works should be submitted for prior ADB review and approval. Subsequent NCB procurement documents will be subject to post-review.

NCB for Goods Between $100,000 and $4,999,999

The first NCB procurement documents for goods should be submitted for prior ADB review and approval. Subsequent NCB procurement documents will be subject to post-review.

Shopping for Works Below $100,000 Post-review

Shopping for Goods Below $100,000 Post-review

Consulting Services

Method Comments

Quality-and cost-based selection

$200,000 and above. For the two contracts for (i) advisory services on agriculture value chain development, and (ii) advisory services on piloting the inclusive business mechanism. Six submissions required for prior review and approval by the Asian Development Bank: Submission 0 (budget, terms of reference), Submission 1 (short-list, draft request for proposal), Submission 2 (evaluation of technical proposals), Submission 3 (evaluation of financial proposals and overall ranking), Submission 4 (draft negotiated contract), and Submission 5 (signed contract).


V. Procurement Plan

24. Scope of procurement. Works and goods will be for construction or purchasing are based on the PAC’s subproject design and investment. Consulting services will be for project implementation and procurement management, external resettlement monitoring and evaluation, environmental supervision, financial and disbursement management, etc. 25. Packaging. The project has a total of 40 contract packages, including 3 international competitive bidding packages, 34 national competitive bidding packages, 1 shopping package, and 2 consulting services packages. A summary of the contract packages is provided below. The draft procurement plan is included in the project administration manual.

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Table 4: Breakdown of Number of Packages

General Description Estimated Value

(Cumulative $'000) Estimated Number

of Contracts Procurement

Method

Works (more than 1 million) 31,484,000 11 NCB

(Less than 1 million) 1,607,900 3 NCB

Subtotal—Works: 33,091,900 14

Goods (more than 1 million) 41,113,500 15 NCB

17,968,800 3 ICB

(Less than 1 million) 4,882,500 5 NCB

52,800 1 SHP

Subtotal—Goods: 64,017,600 24

Consultant Services

Advisory services on agriculture value chain development

1,000,000 1 QCBS

Advisory services on piloting inclusive business mechanism

1,250,000 1 QCBS

Subtotal—Consulting Services:

2,250,000 2

Overall Total: 99,359,500 40

ICB = international competitive bidding, NCB = national competitive bidding, QCBS = quality- and cost-based selection, SHP = shopping. Source: Asian Development Bank estimates.

26. Advance action and retroactive financing. All advance contracting will be undertaken in conformity with ADB’s Procurement Guidelines (2015, as amended from time to time) and ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time). The issuance of invitations to bid (for procurement) or the issuance of the invitations for expression of interest (for consulting services) under advance contracting will be subject to ADB’s approval. The executing agency, SPG, had been advised that approval of advance contracting does not commit ADB to finance the project. Retroactive financing will be limited to $2,250,000 of eligible expenditures for Consulting Services incurred under the Project before the loan effective date, but not earlier than 12 months before the loan agreement is signed.

VI. Conclusion

27. The PPMO, which has recent experience with ADB-funded projects, will guide and supervisor PACs’ procurements of works and goods, and carry out consultant recruitment for the project. The CPMOs will support PACs’ procurement activities and report to the PPMO. Overall, the project procurement risk is moderate. The main weakness identified is that all 19 PACs (PIUs) lack experience in the public procurement and projects financed by the ADB. This risk will be mitigated through (i) support of procurement agency and (ii) capacity building for PACs by an individual procurement specialist to be engaged by ADB.

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APPENDIX 1: Project Procurement Risk Assessment Questionnaire

Participants:

PPMO = Shanxi Provincial Project Management Office under the Shanxi Provincial Poverty Alleviation and Development Office (PPMO)

Implementing Agencies2 (Municipality/County): (1) Changzhi/Qin County, (2) Datong/Guangling County, (3) Datong/Datong County, (4) Jinzhong/Taigu County, (5) Jinzhong/Heshun County, (6) Linfen/Fenxi County, (7) Linfen/Fushan County, (8) Linfen/Quwo County, (9) Linfen/Xiangning County, (10) Linfen/Yaodu District, (11) Lvliang/Liulin County, (12) Lvliang/Shilou County, (13)Yuncheng/Ruicheng County, (14) Yuncheng/Xinjiang County, (15) Yuncheng/Yanhu District, (16) Yuncheng/Yuanqu County, (17) Yuncheng/Jishan County.

Project Agribusiness Companies and Cooperative: (1) Shanxi Qinzhouhuang Millet Group Co., Ltd. (QZHM); (2) Guangling Kitano Edible Fungus Industrial Development Co., Ltd. (GLKT); (3) Shanxi Phoenix Wine Industry Co., Ltd. (PHNX); (4) Shanxi Juxin Weiye Agricultural and Science & Technology Development Co., Ltd. (JXWY); (5) Heshun County Lvhe Ecological Agriculture & Livestock Development Co. Ltd. (HSLH); (6) Fenxi Hongchang Breeding Co., Ltd. (FXHC); (7) Fushan Guhuan Husbandry Sci. & Tech. Co., Ltd. (FSGH); (8) Quwo Lvheng Agricultural Development Co., Ltd. (QWLH); (9) Shanxi Qierkang Elaeagnus Biological Products Co. (QIEK); (10) Linfen Zhongde Farming Technology Development Co., Ltd. (LFZD); (11) Liulin Fuzhongyuan Agricultural Development Co., Ltd. (LFZY); (12) Shilou Shude Jujube industry Co., Ltd. (SLSD); (13) Shanxi Tianzhirun Date Processing Co., Ltd. (TZRD); (14) Xinjiang Hefeng Grain Planting Technology Cooperatives (XJHF); (15) Shanxi Xinjiang Vegetable Industry Development Co., Ltd. (XJVI); (16) Shanxi Kaisheng Fertilizers Group Co., Ltd. (KSFC); (17) Yuncheng Xinke Taifang Vegetable Trading Co., Ltd. (XKTF); (18) Shanxi Shanlihong Food Co., Ltd. (SLHC); (19) Shanxi Jinglong Group Jinghua Livestock and Poultry Products Development Co., Ltd. (JLJH).

2 Only Lvliang Municipal Project Management Office (MPMO) under Lvliang Poverty Alleviation Office and Fenxi County Project Management Office (CPMO) under county Poverty Alleviation Bureau submitted their questionnaire. Other IAs did not provide any feedback.

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Annex 1-1: Executing Agency Capacity Assessment Questionnaire —Shanxi Provincial Project Management Office (PPMO) under the Shanxi Poverty

Alleviation and Development Office

Risk Ratings Extremely High High Average Low

I. Specific Assessment and Ratings

Name of Agency

Shanxi Provincial Project Management Office under Shanxi Provincial Poverty Alleviation and Development Office (PPMO)

Position or Title Section Chief, Senior engineer

Question Answer/Finding Risk

A. Organizational and Staff Capacity

A.1. How many years experience does the head of the procurement department/unit have in a direct procurement role?

above 20 years of the respondent

Low

A.2. How many staff in the procurement department/unit are:

2 persons, belong to the Section of construction

Average i. Full Time? 2

ii. Part Time? /

iii. Seconded? /

A.3. Does the procurement staff have English language proficiency?

poor Average

A.4. Are the number and qualifications of the staff sufficient to undertake the additional procurement that will be required under the proposed project?

Yes Low

A.5. Does the unit have adequate facilities, such as PCs, internet connections, photocopy facilities, printers, etc., to undertake the planned procurement?

Yes Low

A.6. Does the agency have a procurement training program?

Yes Low

A.7. Does the agency have a Procurement Committee that is independent from the head of the agency?

No Low

A.8. Does the agency have a procurement department/unit, including a permanent office that performs the function of a Secretariat for the Procurement Unit, and which serves as the main support unit of the Procurement Committee?

No, the procurement unit belongs to the Section of Construction Average

A.9. If yes, what type of procurement does it undertake?

Works, Goods and Services

A.10. At what level does the department/unit report (to the head of agency, deputy etc.)?

PPMO Director Low

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A.11. Do the procurement positions in the agency have job descriptions, which outline specific roles, minimum technical requirements and career routes?

Yes Low

A.12. Is there a procurement process manual for goods and works?

Yes

Low

A.13. If there is a manual, is it up to date and does it cover foreign-assisted projects?

No up to date It covers foreign-assisted project

A.14. Is there a procurement process manual for consulting services?

Yes


No up to date It covers foreign-assisted project

A.16. Are there standard documents in use, such as Standard Procurement Documents/Forms, and have they been approved for use on ADB funded projects?

Yes

A.17. Does the TOR follow a standard format such as background, tasks, inputs, objectives and outputs?

Yes

A.18. Who drafts the procurement specifications?

purchasing director

Low

A.19. Who approves the procurement specifications?

purchasing director

A.20. Who drafts the bidding documents? purchasing director

A.21. Who manages the sale of the bidding documents?

purchasing director

A.22. Who identifies the need for consulting services requirements?

purchasing director

Average A.23. Who drafts the terms of reference (TOR)? purchasing director

A.24. Who prepares the request for proposals (RFPs)?

purchasing director

B. Information Management

B.1. Is there a referencing system for procurement files?

Yes Low

B.2. Are there adequate resources allocated to record keeping infrastructure, which includes the record keeping system, space, equipment and personnel to administer the procurement records management functions within the agency?

Yes Low

B.3. For what period are records kept? 15 years Low

B.4. Are copies of bids or proposals retained with the evaluation?

Yes Low

B.5. Are copies of the original advertisements retained with the pre-contract papers?

Yes Low

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B.6. Is there a single contract file with a copy of the contract and all subsequent contractual correspondence?

Yes Low

B.7. Are copies of invoices included with the contract papers?

No Average

C. Procurement Practices

Goods and Works

C.1. Has the agency undertaken foreign-assisted procurement of goods or works recently (last 12 months, or last 36 months)? (If yes, please indicate the names of the development partner/s and the Project/s.)

Yes, ADB-financed Comprehensive Agricultural Development Project and Shanxi Integrated Agricultural Development Project

Average

C.2. If the above answer is yes, what were the major challenges?

Nothing particular

C.3. Is there a systematic process to identify procurement requirements (for a period of one year or more)

No Average

C.4. Is there a minimum period for preparation of bids and if yes how long?

15 days Low

C.5. Are all queries from bidders replied to in writing?

Yes

C.6. Does the bidding document state the date and time of bid opening?

Yes Low

C.7. Is the opening of bids done in public? Yes

Low C.8. Can late bids be accepted? No

C.9. Can bids be rejected at bid opening? Yes

C.10. Are minutes of the bid opening taken? Yes

Average C.11. Who may have a copy of the minutes? anyone

C.12. Are the minutes free of charge? Yes

C.13. Who undertakes the evaluation of bids (individual(s), permanent committee, ad-hoc committee)?

ad-hoc committee Average

C.14. What are the qualifications of the evaluators with respect to procurement and the goods and/or works under evaluation?

the expert of Experts Database based on China Tendering & Bidding Law

Average

C.15. Is the decision of the evaluators final or is the evaluation subject to additional approvals?

final decision Low

C.16. Using at least three real examples, how long does it normally take from the issuance of the invitation for bids up to contact effectiveness?

20 days above Average

C.17. Are there processes in place for the collection and clearance of cargo through ports of entry?

No Average

C.18. Are there established goods receiving procedures?

Yes Low

C.19. Are all goods that are received recorded as assets or inventory in a register?

Inventory Low

C.20. Is the agency/procurement department familiar with letters of credit?

No Average

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C.21. Does the procurement department register and track warranty and latent defects liability periods?

Yes Low

Consulting Services

C.22. Has the agency undertaken foreign- assisted procurement of consulting services recently (last 12 months, or last 36 months)? (If yes, please indicate the names of the development partner/s and the Project/s.)

Yes, ADB-financed Shanxi Integrated Agricultural Development Project

Average


Compliance with ADB’s procedures related to consultant services engagement

C.24. Are assignments and requests for expressions of interest (EOIs) advertised?

Yes Low

C.25. Is a consultants’ selection committee formed with appropriate individuals, and what is its composition (if any)?

No High

C.26. What criteria is used to evaluate EOIs? No response (does not understand the question)

High

C.27. Historically, what is the most common method used (QCBS, QBS, etc.) to select consultants?

do not have similar experience to select consultants.

High

C.28. Do firms have to pay for the RFP

document?？ same as above High

C.29. Does the proposal evaluation criteria follow a pre-determined structure and is it detailed in the RFP?

same as above High

C.30. Are pre-proposal visits and meetings arranged?

same as above

High C.31. Are minutes prepared and circulated after pre-proposal meetings?

same as above

C.32. To whom are the minutes distributed?

C.33. Are all queries from consultants answered/addressed in writing?

same as above High

C.34. Are the technical and financial proposals required to be in separate envelopes?

same as above High

C.35. Are proposal securities required? same as above High

C.36. Are technical proposals opened in public? same as above High C.37. Are minutes of the technical opening

distributed? same as above

C.38. Do the financial proposals remain sealed until technical evaluation is completed?

same as above

High C.39. Who determines the final technical ranking and how?

same as above

C.40. Are the technical scores sent to all firms? same as above

C.41. Are the financial proposal opened in public?

same as above High

C.42. Are minutes of the financial opening distributed?

same as above

15

C.43. How is the financial evaluation completed?

same as above High

C.44. Are face to face contract negotiations held?

same as above High

C.45. How long after financial evaluation is negotiation held with the selected firm?

same as above High

C.46. What is the usual basis for negotiation? same as above High

C.47. Are minutes of negotiation taken and signed?

same as above High

C.48. How long after negotiation is the contract signed?

same as above High

C.49. Is there an evaluation system for measuring the outputs of consultants?

same as above High

Payments

C.50. Are advance payments made Yes Low

C.51. What is the standard period for payment included in contracts?

No response

Low C.52. On average, how long is it between receiving a firm’s invoice and making payment?

A long time

C.53. When late payment is made, are the beneficiaries paid interest?

sometime

D. EFFECTIVENESS

D.1. Is contractual performance systematically monitored and reported?

Yes Low

D.2. Does the agency monitor and track its contractual payment obligations?

Yes Low

D.3. Is a complaints resolution mechanism described in national procurement documents?

Yes Low

D.4. Is there a formal non-judicial mechanism for dealing with complaints?

Yes Low

D.5. Are procurement decisions and disputes supported by written narratives such as minutes of evaluation, minutes of negotiation, notices of default/withheld payment?

Yes Low

E. Accountability measures

E.1. Is there a standard statement of ethics and are those involved in procurement required to formally commit to it?

Yes Low

E.2. Are those involved with procurement required to declare any potential conflict of interest and remove themselves from the procurement process?

Yes Low

E.3. Is the commencement of procurement dependent on external approvals (formal or de-facto) that are outside of the budgeting process?

Yes Low

E.4. Who approves procurement transactions, and do they have procurement experience and qualifications?

Purchasing director Yes he does.

Low

16

E.5. Which of the following actions require approvals outside the procurement unit or the evaluation committee, as the case may be, and who grants the approval?

Low

a) Bidding document, invitation to pre-qualify or RFP

Purchasing Unit chief

b) Advertisement of an invitation for bids, pre-qualification or call for EOIs

Purchasing director

c) Evaluation reports Bid Evaluation Committee

d) Notice of award Purchaser

e) Invitation to consultants to negotiate Purchaser

f) Contracts Purchaser

E.6. Is the same official responsible for: (i) authorizing procurement transactions, procurement invitations, documents, evaluations and contracts; (ii) authorizing payments; (iii) recording procurement transactions and events; and (iv) the custody of assets?

Yes Low

E.7. Is there a written auditable trail of procurement decisions attributable to individuals and committees?

Yes Low

II. General Ratings

Criterion Risk

A. Organizational and Staff Capacity Average

B. Information Management Low

C. Procurement Practices Average, but on consulting services is high.

D. Effectiveness Low

E. Accountability Measures Low

OVERALL RISK RATING Average

17

Annex 1-2: Executing Agency Capacity Assessment Questionnaire — Lvliang Municipal Project Management Office (MPMO) under Lvliang Poverty

Alleviation Office



Name of Agency Lvliang Municipal Project Management Office under Lvliang Poverty Alleviation Office (MPMO)

Position or Title Section Chief, Engineer




10 Low


2 persons

Average i. Full Time? /

ii. Part Time? 2

iii. Seconded? /


poor Average


Yes Low


Yes Low


Yes Low


No Average


Yes Low


Works, Goods and Services


to the head of EA Low

18


Yes Low


Yes

Low


No


Yes


No


Yes


Yes


purchasing director

Low


purchasing director

A.20. Who drafts the bidding documents? Procurement Agent


Procurement Agent


purchasing director

Average A.23. Who drafts the terms of reference (TOR)? purchasing director


purchasing director



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low

19


No Average


Goods and Works


Yes, WB financed water saving & irrigation project

Average


Do not adapt to the WB program


No Average


15 days Low


Yes


Yes Low



C.9. Can bids be rejected at bid opening? No


Low C.11. Who may have a copy of the minutes? Bid evaluation committee, procurement agent, bidders





the expert of Experts Database based on China Tendering & Bidding Law

Average


final decision Low


20 days above Average


No response Average


Yes Low


as inventory Low


No Average

20


Yes Low

Consulting Services


Yes High


Domestic and international coordination


Yes, as the Invitation for Bids Low


No High

C.26. What criteria is used to evaluate EOIs? Do not know High


Do not know High


document?？ Do not know High


Do not know High


Do not know


Do not know

C.32. To whom are the minutes distributed? Do not know


Do not know High


Do not know High

C.35. Are proposal securities required? Do not know High

C.36. Are technical proposals opened in public? Do not know High C.37. Are minutes of the technical opening

distributed? Do not know


Do not know


Do not know

C.40. Are the technical scores sent to all firms? Do not know


Do not know

High C.42. Are minutes of the financial opening distributed?

Do not know


Do not know High

21


Do not know High


Do not know High

C.46. What is the usual basis for negotiation? Do not know High


Do not know High


Do not know High


Do not know High

Payments



Except the quality security, other payment shall be finished before the contract completed.


A long time


sometime

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


Yes Low



Low

E.5. Which of the following actions require approvals outside the procurement unit or the

Low

22

evaluation committee, as the case may be, and who grants the approval?

(a) Bidding document, invitation to pre-qualify or RFP

Purchasing Unit chief

(b) Advertisement of an invitation for bids, pre-qualification or call for EOIs

Purchasing director

(c) Evaluation reports Bid Evaluation Committee

(d) Notice of award Purchaser

(e) Invitation to consultants to negotiate Purchaser

(f) Contracts Purchaser


Yes Low


Yes Low

II. General Ratings

Criterion Risk


B. Information Management Average

C. Procurement Practices Average, but on consulting services is high.




23

Annex 1-3: Executing Agency Capacity Assessment Questionnaire — Fenxi County Project Management Office (CPMO) under County Poverty Alleviation

Bureau



Name of Agency CPMO - Fenxi County Project Management Office under county Poverty Alleviation Bureau

Position or Title Name (Wang Wenbing)




5 years Average


Average i. Full Time? /

ii. Part Time?

iii. Seconded? /


General Low


Yes Low


Yes Low


No Average


No Low


Yes, the procurement unit is belong to the government

Average


Equipment, train and third party services


to the head of county Low

24


No Low


Yes

Low


Yes


Yes


Yes


Yes


Yes


County poverty alleviation bureau

Average


County finance bureau

A.20. Who drafts the bidding documents? Third-party service unit


Third-party service unit


County government procurement center

Average A.23. Who drafts the terms of reference (TOR)? County poverty alleviation bureau


County poverty alleviation bureau



No High


Yes Low



Yes Low


Yes Low


No High

25


No Average


Goods and Works


No

Average


No response


Yes Low


No High


No


Yes Low





Low C.11. Who may have a copy of the minutes? Relevant unit





professional Average


final decision Low


No response High


No Average


No High


as assets Low


No Average


Yes Low

26

Consulting Services


No High


No


No High


No High

C.26. What criteria is used to evaluate EOIs? No High


No High


document?？ No High


No response High


No response


No response

C.32. To whom are the minutes distributed? No response


No response High


No response High

C.35. Are proposal securities required? No response High

C.36. Are technical proposals opened in public? No response

High C.37. Are minutes of the technical opening distributed?

No response


Yes


No response

C.40. Are the technical scores sent to all firms? No response


No response High


No response


No response High


No response High


No response High

27

C.46. What is the usual basis for negotiation? No response High


No response High


No response High


No response High

Payments

C.50. Are advance payments made No response High


No response

High C.52. On average, how long is it between receiving a firm’s invoice and making payment?

No response


No response

D. EFFECTIVENESS


Yes Low


No response High


No response High


No response High


No response High



Yes Low


Yes Low


Yes Low


County government procurement center

Low


High


No response

28


No response

(c) Evaluation reports No response

(d) Notice of award No response

(e) Invitation to consultants to negotiate No response

(f) Contracts No response


No response High


No response High

II. General Ratings

Criterion Risk



C. Procurement Practices High, especially on consulting services and payment

D. Effectiveness High

E. Accountability Measures High

OVERALL RISK RATING High

29

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (01) Shanxi Qinzhouhuang Millet Group Co., Ltd. (QZHM)



Name of Agency Shanxi Qinzhouhuang Millet Group Co., Ltd. (QZHM)

Position or Title Mr. Li Renyu




5 years Average


No response

Low i. Full Time? Yes

ii. Part Time? /

iii. Seconded? /


poor High


Yes


Yes Low


/ Average


Yes Low


Yes

Low


bidding


To the general manager Low

A.11. Do the procurement positions in the agency have job descriptions, which outline

Yes Low

30

specific roles, minimum technical requirements and career routes?


No

High


No


No


No


Entrusted agency have


/


Entrusted agency

High


Entrusted agency

A.20. Who drafts the bidding documents? Engaged professional agency


Engaged professional agency



Low A.23. Who drafts the terms of reference (TOR)? Engaged professional agency





No response High


Yes Low

B.3. For what period are records kept? According to the regulation Low


Yes Low


Yes Low


Yes Low


Yes Low

31


Goods and Works


No

High


/


/ High


/ Average


Yes


Yes Low

C.7. Is the opening of bids done in public? No

High C.8. Can late bids be accepted? No



Average C.11. Who may have a copy of the minutes? Deputy General manager or above

C.12. Are the minutes free of charge? /


permanent committee Low


Professional qualification Low


Yes Low


No response High


No response High


Yes Low


Yes Average


Yes Low


Yes Low

Consulting Services

32


Yes Average


/


/ High


Professional persons Low

C.26. What criteria is used to evaluate EOIs? / High


/ High


document?？ / High


Yes Low


Yes

Average C.31. Are minutes prepared and circulated after pre-proposal meetings?

Yes

C.32. To whom are the minutes distributed? Related technical persons


Yes Low


Yes Low

C.35. Are proposal securities required? / High

C.36. Are technical proposals opened in public? / High C.37. Are minutes of the technical opening

distributed? /


/


No response



No response


No response


No response High


No response High


No response High

C.46. What is the usual basis for negotiation? / High

33


/ High


/ High


/ High

Payments



/


/


No

D. EFFECTIVENESS


Yes Low


Yes Low


/ High


/ High


/ High



Yes Low


/ High


/ High


No response High


Low a) Bidding document, invitation to pre-

qualify or RFP Professional agency


Professional agency

34

c) Evaluation reports Professional agency

d) Notice of award Professional agency

e) Invitation to consultants to negotiate Professional agency

f) Contracts Professional agency


Yes Low


Yes Low

II. General Ratings

Criterion Risk

A. Organizational and Staff Capacity High


C. Procurement Practices High.




35

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (02) Guangling Kitano Edible Fungus Industrial Development Co., Ltd. (GLKT)



Name of Agency Guangling Kitano Edible Fungus Industrial Development Co., Ltd. (GLKT)

Position or Title No response




10 years Low


2 persons

Low a) Full Time? 1

b) Part Time? 1

c) Seconded? /


poor Average


Yes Low


Yes Low


Yes Low


No Average


Yes

Low


Shopping


to the head of unit Low


Yes Low

36



Yes

Low


Yes


Yes


Yes


No


Yes


Technical department

Low


Vice president of producing and technology superior

A.20. Who drafts the bidding documents? Supply unit


Supply unit



Low A.23. Who drafts the terms of reference (TOR)? Vice president


Technology supervisor



Yes Low


Yes Low

B.3. For what period are records kept? 5 years Average


Yes Low


Yes Low


No High


No High

37


Goods and Works


No

Average


No response


No Average


No High


No


Yes Low


Low C.8. Can late bids be accepted? Yes


C.10. Are minutes of the bid opening taken? No

High C.11. Who may have a copy of the minutes? No response

C.12. Are the minutes free of charge? No response


Individual Average


Experts with relevant qualification

Low


Additional Low


No response High


No response High


Yes Low


Assets Low


No Average


Yes Low

Consulting Services

38


No High


No response


No response Low


No High

C.26. What criteria is used to evaluate EOIs? No response High


No response High


document?？ No response High


No response High


Yes


Yes

C.32. To whom are the minutes distributed? Suppliers who have interesting


Yes Low


Yes Low

C.35. Are proposal securities required? No Low

C.36. Are technical proposals opened in public? Yes Low C.37. Are minutes of the technical opening

distributed? Yes


No



C.40. Are the technical scores sent to all firms? No


Yes

Low C.42. Are minutes of the financial opening distributed?

Yes


Quality and technical indicator High


Yes Low


2 weeks Low

C.46. What is the usual basis for negotiation? Technical Low

39


Yes Low


2 weeks Low


No Average

Payments

C.50. Are advance payments made No response Average


Advance payment, arrivals payment and acceptance payment


1 month


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


No Average


No High



No Average


Yes Low


Yes Low


General manager Low


High


No response

40


No response

c) Evaluation reports No response

d) Notice of award No response

e) Invitation to consultants to negotiate No response

f) Contracts No response


No response High


No response High

II. General Ratings

Criterion Risk

A. Organizational and Staff Capacity Low


C. Procurement Practices Average, but in consultant selection is high.




41

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (03) Shanxi Phoenix Wine Industry Co., Ltd. (PHNX)



Name of Agency Shanxi Phoenix Wine Industry Co., Ltd. (PHNX)

Position or Title Manager




15 years Low


5 persons

Low d) Full Time? Y

e) Part Time? /

f) Seconded? /


General Average


Yes Low


Yes Low


Yes Low


Yes Low


Yes

Low


Packaging material




No Average

42



Yes

High


No


No


No response


No


No


General manager

Low


Board of director

A.20. Who drafts the bidding documents? Procurement manager


Procurement manager


No response

High A.23. Who drafts the terms of reference (TOR)? No response


No response



No response High


Yes Low

B.3. For what period are records kept? Yes Low


No High


No High


Yes Low


Yes Low

43


Goods and Works


No

Average


No response


Yes Low


No Low


Yes


Yes Low


High C.8. Can late bids be accepted? Yes


C.10. Are minutes of the bid opening taken? No

Average C.11. Who may have a copy of the minutes? No response

C.12. Are the minutes free of charge? No


Manager and board of director Average


No response Average


additional approvals Average


30 days Low


No response High


No response High


No response High


No response High


No response High

Consulting Services

44


No response High


No response


No response High


No response High



No response High




No response High


No response


No response



No response High


No response High


C.36. Are technical proposals opened in public? No response High C.37. Are minutes of the technical opening

distributed? No response


No response


No response



No response


No response


No response High


No response High


No response High


45


No response High


No response High


No response High

Payments



No response


1 month


No

D. EFFECTIVENESS


No response High


Yes Low


No response High


No High


Yes Low



No Average


Yes Low


Yes Low


General manager, board of director

Low


Low a) Bidding document, invitation to pre-

qualify or RFP Yes


Yes

46

c) Evaluation reports Yes

d) Notice of award Yes

e) Invitation to consultants to negotiate Yes

f) Contracts Yes


No High


No High

II. General Ratings

Criterion Risk


B. Information Management High

C. Procurement Practices High


E. Accountability Measures Average


47

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (04) Shanxi Juxin Weiye Agricultural and Science & Technology Development Co., Ltd.

(JXWY)



Name of Agency Shanxi Juxin Weiye Agricultural and Sci & Tech Development Co., Ltd. (JXWY)

Position or Title Vice president




Yes Low


5 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


poor Average


Yes Low


Yes Low


No Average


No Average


No Average


No response




Yes Low

48



Yes

Average


No


No


No


No


No


No response

High


No response

A.20. Who drafts the bidding documents? agent


No response


Vice president



No response



No Average


No Average

B.3. For what period are records kept? No Average


Yes Low


No Average


No High


No High

49


Goods and Works


No

Average


No response


No High


No High


No


No High


High C.8. Can late bids be accepted? No response

C.9. Can bids be rejected at bid opening? No response

C.10. Are minutes of the bid opening taken? No response




No response High


No response High


No response High


No response High


No response High


No response High


Assets Low


No response High


No response High

50

Consulting Services


No response High


No response


No response High


No response High



No response High




No response High


No response


No response



No response High


No response High




No response


No response


No response



No response High


No response


No response High


No response High


No response High

51



No response High


No response High


No response High

Payments



No response


No response


No response

D. EFFECTIVENESS


No response High


No response High


No response High


No response High


No response High



No response High


No response High


No response High


No response High


No response

High


No response

52


No response






No response High


No response High

II. General Ratings

Criterion Risk







53

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (05) Heshun County Lvhe Ecological Agriculture & Livestock Development Co. Ltd.

(HSLH)



Name of Agency Heshun County Lvhe Ecological Agriculture & Livestock Development Co. Ltd. (HSLH)

Position or Title Director




10 years Low


2 人

Average 1) Full Time? √

2) Part Time?

3) Seconded?


Poor Average


Yes Low


Yes Low


Yes Low


No Average


No

Average


/


board of directors Low

54


Yes Low


No

High


/


No


/


No


Yes


Department of purchasing

Average


Board of directors

A.20. Who drafts the bidding documents? Office


Office


Technical Department

High A.23. Who drafts the terms of reference (TOR)? Office


Office



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low

55


Yes Low


Goods and Works


No

High


/


Yes Low


Yes, 30 days Low


Yes


Yes Low





Average C.11. Who may have a copy of the minutes? Director



Ad-hoc Low


Personal who has relevant special skill

Low


Yes Low


No response High


No High


No response High


Assets Low


Yes Low


Yes Low

56

Consulting Services


No High


/


No High


No High

C.26. What criteria is used to evaluate EOIs? / High


Actual experience High


document?？ Yes Low


Yes Low


Yes

Low C.31. Are minutes prepared and circulated after pre-proposal meetings?

Yes

C.32. To whom are the minutes distributed? Director manager


No High


Yes Low

C.35. Are proposal securities required? Yes Low

C.36. Are technical proposals opened in public? Yes

Low C.37. Are minutes of the technical opening distributed?

Yes


Yes

Average C.39. Who determines the final technical ranking and how?

CSC



No Average


Yes


CSC Low


Yes Low


15 working days Low

57

C.46. What is the usual basis for negotiation? Qualification certificate High


Yes Low


7 working days Low


No High

Payments

C.50. Are advance payments made No High


After acceptance of goods

Average C.52. On average, how long is it between receiving a firm’s invoice and making payment?

3 days


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


No response High


No response High


Yes Low



Yes Low


Yes Low


No response High


General manager Low


No response

High


No response

58


No response






No response High


No response High

II. General Ratings

Criterion Risk



C. Procurement Practices Average, for Consulting Services is high

D. Effectiveness Average



59

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (06) Fenxi Hongchang Breeding Co., Ltd. (FXHC)



Name of Agency Fenxi Hongchang Breeding Co., Ltd. (FXHC)

Position or Title Name: Fu Zhenjun




7-8 years Low


About 800 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


poor Average


Yes Low


Yes Low


No Average


No Average


No

Average


No


No High


No High

60



No

High


No


No


No


No


No


No

High


No

A.20. Who drafts the bidding documents? Entrust professional persons or institution


No


General Manager

Average A.23. Who drafts the terms of reference (TOR)? According to General Manager’s instruction


According to General Manager’s instruction



No Average


50% Average

B.3. For what period are records kept? No idea High


Yes Low


No High


No High


No response High

61


Goods and Works


No

Average


No


No High


No High


No


Yes Low


Average C.8. Can late bids be accepted? No covered

C.9. Can bids be rejected at bid opening? No covered

C.10. Are minutes of the bid opening taken? No covered

High C.11. Who may have a copy of the minutes? No covered

C.12. Are the minutes free of charge? No covered


No covered High


No covered High


No covered High


No covered High


No covered High


No covered High


No covered High


No covered High


No covered High

62

Consulting Services


No High


No


No High


No High



No High


document?？ No High


No High


No


No

C.32. To whom are the minutes distributed? No


No High


No High

C.35. Are proposal securities required? No High

C.36. Are technical proposals opened in public? No


No


No


No



No High


No


No High


No High


No High

63

C.46. What is the usual basis for negotiation? No covered High


No covered High


No covered High


No covered High

Payments

C.50. Are advance payments made No covered High


No covered


No covered


No covered

D. EFFECTIVENESS


No covered High


No covered High


No covered High


No covered High


No covered High



No covered High


No covered High


No covered High


General manager High


High


No covered

64


No covered

c) Evaluation reports No covered

d) Notice of award No covered

e) Invitation to consultants to negotiate No covered

f) Contracts No covered


No covered High


No covered High

II. General Ratings

Criterion Risk







65

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (07) Fushan Guhuan Husbandry Science & Technology Co., Ltd. (FSGH)



Name of Agency Fushan Guhuan Husbandry Sci. & Tech. Co., Ltd. (FSGH)





15 years Low


3 persons

Low i. Full Time? 1

ii. Part Time? 2

iii. Seconded? /


poor Average


Yes Low


Yes Low


Yes Low


No Average


No

High


No response




Yes Low

66



No

Average


No response


Yes


No


No


Yes


Low


Board of director

A.20. Who drafts the bidding documents? Purchasing Department


Head of unit


Deputy of unit

Low A.23. Who drafts the terms of reference (TOR)? Deputy of unit


Deputy of unit



Yes Low


No Average

B.3. For what period are records kept? No response High


Yes Low


Yes Low


Yes Low


Yes Low

67


Goods and Works


No

Average


No response


Yes Low


3 months Average


Yes


Yes Low








ad-hoc committee Low


Professional class Low


Final Low


No response High


No response High


No response High


inventory Average


Yes Low


Yes Low

68

Consulting Services


No response High


No response


Yes Low


No response High



No response High




Yes Low


Yes


Yes



Yes Low


Yes Low




Yes


Yes

Low C.39. Who determines the final technical ranking and how?

Evaluation committee

C.40. Are the technical scores sent to all firms? Yes


Yes Low


Yes


No response Average


Yes Low


Yes, 10 days Low

69



No response High


10 days Low


Yes Low

Payments



No response


10 working days


No

D. EFFECTIVENESS


Yes Low


Yes Low


No response High


No response High


No response



Yes Low


Yes Low


Yes Low


Board of director Low


Low


Yes

70


Yes




f) Contracts Average


Yes Low


Yes Low

II. General Ratings

Criterion Risk







71

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (08) Quwo Lvheng Agricultural Development Co., Ltd. (QWLH)



Name of Agency Quwo Lvheng Agricultural Development Co., Ltd. (QWLH)





3 years High


3 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


poor Average


Lack of ability Average


Yes Low


Yes Low


Yes Low


Yes

Low


material




Yes Low

72



Yes

Average


No


No


No


Yes


Yes


General manager

Low


Board of director

A.20. Who drafts the bidding documents? General manager


Procurement department


Procurement department

Low A.23. Who drafts the terms of reference (TOR)? General manager


General manager



Yes Low


Yes Low



Yes Low


Yes Low


No High


Yes Low

73


Goods and Works


No

Average


No response


Yes Low


3 days Low


Yes


Yes Low





Average C.11. Who may have a copy of the minutes? General manager





Experts with relevant qualification

Low


No Average


30 days Low


Yes Low


No Average


inventory Average


Yes Low


Yes Low

Consulting Services

74


No High


No response


Yes Low


No High



Not clear High




Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? General manager


Yes Low


Yes Low



distributed? Yes


Yes





Yes


Yes


Evaluation committee Low


Yes Low


Yes Low

C.46. What is the usual basis for negotiation? Public and fair Low

75


Yes Low


3 days Low


No Average

Payments



1 week


1 week


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


No Average


Legal person High


High a) Bidding document, invitation to pre-

qualify or RFP No response


No response

76


d) Notice of award Project manager




Yes Low


Yes Low

II. General Ratings

Criterion Risk







77

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (9) Shanxi Qierkang Elaeagnus Biological Products Co. (QIEK)



Name of Agency Shanxi Qierkang Elaeagnus Biological Products Co. (QIEK)

Position or Title Deputy general manager




13 years Low


3 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


general Low


Yes Low


Yes Low


No Average


No Average


No

Average


Self procurement


General manager Low


Yes Low

78



Yes

Average


No


No


No


Yes, but no for ADB loan


No


General manager

Low


Board of director

A.20. Who drafts the bidding documents? purchasing and contract department


Third party institution


Producing department

Average A.23. Who drafts the terms of reference (TOR)? Producing department


Producing department



No Average


Yes Low



Yes Low


Yes Low


Yes Low


No Average

79


Goods and Works


No

Average


No response


No Low


No Average


No response


Yes Low


High C.8. Can late bids be accepted? Yes



Low C.11. Who may have a copy of the minutes? Bidding committee





Professional person Low


additional approvals Low


No response High


Yes Low


No Average


inventory Low


No Average


Yes Low

80

Consulting Services


No High


No response


No Low


Yes, finance and lawyer Low



Resources data base High


document?？ No Low


Yes Low


Yes


No

C.32. To whom are the minutes distributed? No


Yes Low


Yes Low



Average C.37. Are minutes of the technical opening distributed?

No


Yes


Yes, evaluation committee



Yes Average


No


By committee Low


Yes Low


immediately Low

81

C.46. What is the usual basis for negotiation? Control the least bid price High


No High


2-3 weeks Low


No High

Payments

C.50. Are advance payments made Yes Average


Not necessarily


Not necessarily


No

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


No Low


General manager Low


Average


No need

82


No need

c) Evaluation reports No need

d) Notice of award No need

e) Invitation to consultants to negotiate No need

f) Contracts Contract department


Yes Low


Yes Low

II. General Ratings

Criterion Risk







83

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (10) Linfen Zhongde Farming Technology Development Co., Ltd. (LFZD)



Name of Agency Linfen Zhongde Farming Technology Development Co., Ltd. (LFZD)

Position or Title Procurement manager




19 years Low


2 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


General Average


Yes Low


Yes Low


Yes Low


Yes Low


Yes

Low


Tangible goods purchasing and intangible service procurement




Yes Low

84



Yes

Low


Will be covered the foreign financed project


Yes


Will be covered the foreign financed project


Yes


Yes


Procurement manager

Low


Chairman of Board of director

A.20. Who drafts the bidding documents? Procurement Agent


Procurement Agent


Linfen Zhongde Farming Technology Development Co.

Low A.23. Who drafts the terms of reference (TOR)? Procurement manager


Procurement manager



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Yes Low

85


Goods and Works


No

Average


No response


Yes Low


25 days Low


Yes


Yes Low


Average C.8. Can late bids be accepted? No



Low C.11. Who may have a copy of the minutes? Bidders, ADB and relevant supervisory units



Ad-hoc committee Low


Experts selected from governmental database

Low


Additional approvals Low


Works: 110 days Goods: 110 days Services: 105 days

Low


Yes Low


Yes Low


Assets Low


Yes Low


Yes Low

86

Consulting Services


No High


No response


Yes Low


Yes Low

C.26. What criteria is used to evaluate EOIs? Standard in written Low


QCBS Low




Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? Construction unit, Consulting company, and supervision unit


Yes Low


Yes Low



distributed? Yes


Yes


Evaluation committee, by comprehensive score method



Yes


Yes


Evaluation committee Low


Yes Low

87


One week Low

C.46. What is the usual basis for negotiation? Qualification, quality and cost Low


Yes Low


20 days Low


Yes Low

Payments



According to the payment schedule


1 week


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Chairman of Board of directors Yes

Low


No response Low

88


No response


No response




f) Contracts Chairman of Board of directors


No Average


Yes Low

II. General Ratings

Criterion Risk



C. Procurement Practices Low



OVERALL RISK RATING Low

89

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (11) Liulin Fuzhongyuan Agricultural Development Co., Ltd. (LFZY)



Name of Agency Liulin Fuzhongyuan Livestock Breeding Cooperative (LFZY)

Position or Title Office director




6 years Average


3 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


Basic communication capacity Low


Yes Low


Yes Low


Yes Low


Yes Low


Yes

Low


Equipment, material


Chairman of Board Low


Yes Low

90



No

High


No response


No


No response


No


No response


Logistics department

Average


No response

A.20. Who drafts the bidding documents? office


office


office

Low A.23. Who drafts the terms of reference (TOR)? office


office



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Yes Low

91


Goods and Works


No

Average


No response


No response Average


1 month Low


Yes


Yes Low





Low C.11. Who may have a copy of the minutes? No response





No response Average


additional approvals Average


No response High


No response High


Yes Low


inventory High


Yes Average


Yes Low

92

Consulting Services


No High


No response


No response High


Yes, by logistical, office, general manager and project department person

Low



No response High




Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? Project management and other departments


Yes Low


Yes Low



distributed? Yes


Yes


No response



Yes


Yes


No response High


Yes Low

93


0.5 month Low

C.46. What is the usual basis for negotiation? Public and fair Average


Yes Low


10 days Low


Yes Low

Payments



No response


2 days


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


No Low


General manager Low


High

94


No response


No response




f) Contracts Yes


Yes Low


Yes Low

II. General Ratings

Criterion Risk



C. Procurement Practices Average.




95

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (12) Shilou Shude Jujube Industry Co., Ltd. (SLSD)



Name of Agency Shilou Shude Jujube industry Co., Ltd. (SLSD)

Position or Title Financial personnel




8 years Low


200 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


Do not understand High


Yes Low


Yes Low


Yes Low


Yes Low


No

Average


No




No Average

96



No

Average


No


No


No


No


Yes


purchasing director

High


purchasing director

A.20. Who drafts the bidding documents? Financial personnel


Financial personnel


Financial personnel

High A.23. Who drafts the terms of reference (TOR)? Financial personnel


Financial personnel



No High


Yes Low



No High


No High


No High


No High

97


Goods and Works


No

High


No


No High


No High


No


No High





Average C.11. Who may have a copy of the minutes? Chief of the unit





No Average


Chief of the unit High


No response High


No Low


No High


Assets Low


No Average


Yes Low

98

Consulting Services


No High


No


No High


Yes, financial and technical persons

Low

C.26. What criteria is used to evaluate EOIs? Price and quality Low


No High




No High


Yes


Yes

C.32. To whom are the minutes distributed? Everyone on meeting


Yes Low


Yes Low




Yes


Yes


Chief of technical department



No High


No


No response High


Yes Low


15 days Average

99

C.46. What is the usual basis for negotiation? Price, quality and after-services Average


No High


15 days Low


No Average

Payments

C.50. Are advance payments made 3 months Average


7 days


7 days


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


No High


No High


No High



No Average


No Average


Yes Low


Chief of unit Low


Low


Yes

100


Yes




f) Contracts Yes


No Low


Yes Low

II. General Ratings

Criterion Risk







101

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (13) Shanxi Tianzhirun Date Processing Co., Ltd. (TZRD)



Name of Agency Shanxi Tianzhirun Date Processing Co., Ltd. (TZRD)





15 years Low


3 persons


ii. Part Time? /

iii. Seconded? /


Normal Low


Yes Low


Yes Low


Yes Low


No Low


Yes

Low


bidding




Yes Low

102



Yes

High


No


No


No response


No


No


Head of unit

Low


Head of unit

A.20. Who drafts the bidding documents? purchasing department and office


Office


Head of unit

Low A.23. Who drafts the terms of reference (TOR)? purchasing department and office


office



No Average


Yes Low

B.3. For what period are records kept? Permanent Low


Yes Low


Yes Low


Yes Low


Yes Low

103


Goods and Works


No

Average


No response


Yes Low


No response Low


Yes


Yes Low





Low C.11. Who may have a copy of the minutes? /





/ Average


Additional approval Average


No response Average


No response Average


Yes Low


as inventory Average


Yes Low


Yes Low

104

Consulting Services


No Average



Yes Low


No High



Temporary hired High




Yes Low


No


No

C.32. To whom are the minutes distributed?


Yes Low


Yes Low




Yes


Yes


Professional organizations



Yes Low


Yes


By evaluation meeting Low


Yes Low


7 working days Low

105



No High


3 working days Low


yes Low

Payments

C.50. Are advance payments made No Low


According to the working period


Within one month


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Purchasing director. Yes he does.

Low


Low


Yes. Third party with relevant qualification

106


No response

(c) Evaluation reports No response

(d) Notice of award Yes, the head of PAC

(e) Invitation to consultants to negotiate No response

(f) Contracts Yes, the head of PAC


Yes Low


Yes Low

II. General Ratings

Criterion Risk



C. Procurement Practices Average




107

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (14) Xinjiang Hefeng Grain Planting Technology Cooperatives (XJHF)



Name of Agency Xinjiang Hefeng Grain Planting Technology Cooperatives (XJHF)

Position or Title Legal Person




8 years Low


2 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


poor Average


Yes Low


Yes Low


Yes Low


Yes Low


Yes

Average


Negotiation within shareholders




Yes Low

108



No

High


No response


No response


No response


No response


No response


No response

High


No response

A.20. Who drafts the bidding documents? No response


No response


No response



No response



No response Average


Yes Low



Yes Low


Yes Low


Yes Low


Yes Low

109


Goods and Works


No

Average


No response


No response High


No response High


No response


Yes Low





Low C.11. Who may have a copy of the minutes? public





Professional technical person Low


Final decision Low


No response High


No response High


No response High


as assets Low


Yes Low


Yes Low

110

Consulting Services


No High


No response


No response High


No response High



No response High




Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? Who participate the meeting


Yes Low


Yes Low

C.35. Are proposal securities required? No response Low



Yes


Yes


No response



No response High


No response


No response High


Yes Average


No response High

111



No response High


No response High


No response High

Payments



No response


No response


No response

D. EFFECTIVENESS


No response High


No response High


No response High


No response High


No response High



No response High


No response High


No response High


No response High


High


No response

112


No response






No response High


No response High

II. General Ratings

Criterion Risk







113

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (15) Shanxi Xinjiang Vegetable Industry Development Co., Ltd. (XJVI)



Name of Agency Shanxi Xinjiang Vegetable Industry Development Co., Ltd. (XJVI)





25 years Low


8 persons


ii. Part Time? /

iii. Seconded? /


general Low


Yes Low


Yes Low


Yes Low


Yes Low


No

Average


No


to the Chairman of the board of directors

Low


Yes Low

114



Yes

High


No


Yes


No


No


Yes


Chief of Purchasing Department

Low



A.20. Who drafts the bidding documents? Market manager


Market manager



Average A.23. Who drafts the terms of reference (TOR)? Chairman of the board of directors





Yes Low


Yes Low

B.3. For what period are records kept? Long time Low


Yes Low


Yes Low


Yes Low


Yes Low

115


Goods and Works


No

Average


/


Yes Low


15 days Low


Yes


Yes Low





Low C.11. Who may have a copy of the minutes? bidders





Integrity and honest and loyal to the enterprise, through a variety of procurement skills for cost reduction and priority principle, the total cost of unity and cooperation, innovation, seek progress, strong adaptability

Low


Yes Low


No response High


No Average


Yes Low


As assets Low


Yes Low

116


Yes Low

Consulting Services


No High


No response


Yes Low


No High



No response High




Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? /


Part of them Average


Yes Low



distributed? Yes


Yes


No response



Yes


Yes


No response High

117


Yes Low


15 days Low



Yes Low


15 days Low


Yes Low

Payments



Confirmed by two parties


10 days


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


Yes Low



Low

E.5. Which of the following actions require approvals outside the procurement unit or the

Low

118

evaluation committee, as the case may be, and who grants the approval?


No


No

c) Evaluation reports No

d) Notice of award No

e) Invitation to consultants to negotiate No

f) Contracts No


Yes Low


Yes Low

II. General Ratings

Criterion Risk







119

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (16) Shanxi Kaisheng Fertilizers Group Co., Ltd. (KSFC)



Name of Agency Shanxi Kaisheng Fertilizers Group Co., Ltd. (KSFC)

Position or Title Project Manager




18 years Low


5 persons


ii. Part Time? /

iii. Seconded? /


poor Average


Yes Low


Yes Low


Yes Low


No response Low


No, the unit in charge of procurement

Average


No response


to the General Manager Low


Yes Low

120



Yes

Low


No


Yes


Yes


Yes


Yes


purchasing department

Low


General manager

A.20. Who drafts the bidding documents? Project manager


General manager


Project manager

Low A.23. Who drafts the terms of reference (TOR)? Project manager


Project manager



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Yes Low

121


Goods and Works


No

High


/


Yes Average


3-5 days Low


Yes


Yes Low





Average C.11. Who may have a copy of the minutes? Awarded bidder





Engineer qualification Low


General manager Low


1- for works, 15-20 days 2-for goods, 10-15 days

Low


/ Average


/ Average


No response Average


Yes Low


Yes Low

122

Consulting Services


No High


/


No High


No High



/ High


document?？ Yes Average


Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? Relevant persons


Yes Low


Yes Low




Yes


Yes


Project manager



Yes Low


Yes


Yes Low


Yes Low


Immediately Low

123

C.46. What is the usual basis for negotiation? Technical and prices Low


Yes Low


Immediately Low


No Average

Payments

C.50. Are advance payments made / Low


One year


One year


Immediately conduct communication with the beneficiaries

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


No Low


Yes Low



Yes Low


No Low


Yes Low


General Manager Low


Low


By public resource trading center

124


By public resource trading center

(c) Evaluation reports By public resource trading center

(d) Notice of award By public resource trading center

(e) Invitation to consultants to negotiate /

(f) Contracts /


No Low


Yes Low

II. General Ratings

Criterion Risk







125

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (17) Yuncheng Xinke Taifang Vegetable Trading Co., Ltd. (XKTF)



Name of Agency Yuncheng Xinke Taifang Vegetable Trading Co., Ltd. (XKTF)

Position or Title Administration Department Manager




10 years Low


4 persons


ii. Part Time? /

iii. Seconded? /


Basic skilled Low


Yes Low


Yes Low


Yes Low


No Low


Yes

Average


No response




Yes Low

126



No

High


No response


No


No response


No


No


General manager

Low


General manager

A.20. Who drafts the bidding documents? purchasing manager


purchasing department


purchasing manager

Average A.23. Who drafts the terms of reference (TOR)? purchasing manager


purchasing manager



Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


Yes Low

127


Goods and Works


No

High


No response


No response High


No response High


No response


No response High

C.7. Is the opening of bids done in public? No response

High C.8. Can late bids be accepted? No response

C.9. Can bids be rejected at bid opening? No response

C.10. Are minutes of the bid opening taken? No response




No response High


No response High


No response High


No response High


No response High


No response High


No response High


No response High


No response High

128

Consulting Services


No response High


No response


No response High


No response High



No response High




No response High


No response


No response



No response High


No response High




No response


No response


No response



No response High


No response


No response High


No response High


No response High

129



No response High


No response High


No response High

Payments



No response


No response


No response

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


Yes Low


General manager; Yes. Low


No needed

Average


130


(c) Evaluation reports

(d) Notice of award

(e) Invitation to consultants to negotiate

(f) Contracts


No response Average


No response Average

II. General Ratings

Criterion Risk







131

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (18) Shanxi Shanlihong Food Co., Ltd. (SLHC)



Name of Agency Shanxi Shanlihong Food Co., Ltd. (SLHC)

Position or Title The finance director




10 years Low


5 persons


ii. Part Time? /

iii. Seconded? /


general Low


Yes Low


Yes Low


Yes Low


No Low


No

Average


/


The chief of unit Low


No Average

132



No

Average


No


No


No


No


Yes


General engineer

Low


General engineer

A.20. Who drafts the bidding documents? Project manager


Project manager


Project manager

Low A.23. Who drafts the terms of reference (TOR)? Project manager


No response



No Average


No Average

B.3. For what period are records kept? Yes Average


Yes Low


Yes Low


Yes Low


Yes Low

133


Goods and Works


No

High


No


No Average


Yes Low


Yes


Yes Low





Low C.11. Who may have a copy of the minutes? Project manager





According to the requirements Low


No need Low


Yes Low


No Average


No Average


As assets Low


Yes Low


Yes Low

134

Consulting Services


No High


No


No High


No High

C.26. What criteria is used to evaluate EOIs? According to requirements High


/ High


document?？ Yes Average


Yes Low


Yes


Yes

C.32. To whom are the minutes distributed? Participate meeting persons


Yes Low


Yes Low




Yes


Yes





Yes Low


Yes


Yes Low


Yes Low


Subject to the time schedule Low

135

C.46. What is the usual basis for negotiation? In general Low


No High


15 days Average


No Average

Payments

C.50. Are advance payments made / Low


One year


One year


Immediately conduct communication with the beneficiaries

D. EFFECTIVENESS


No Average


Yes Low


No Average


No Average


No High



No Average


No High


No Average


Project manager Low


Low


Project manager

136


Yes

(c) Evaluation reports /

(d) Notice of award /

(e) Invitation to consultants to negotiate /

(f) Contracts /


Yes Low


Yes Low

II. General Ratings

Criterion Risk




D. Effectiveness Average



137

Annex 2: Procurement Capacity Assessment Questionnaire by 19 PACs — (19) Shanxi Jinglong Group Jinghua Livestock and Poultry Products Development Co.,

Ltd. (JLJH)



Name of Agency Shanxi Jinglong Group Jinghua Livestock and Poultry Products Development Co., Ltd. (JLJH)

Position or Title Finance Director




21 years Low


6 persons

Low i. Full Time? Y

ii. Part Time? /

iii. Seconded? /


No response Average


Yes Low


Yes Low


Yes Low


Yes Low


Yes Average


No response



138


Yes Low


Yes

Average


No


No response


No response


Yes


Yes


purchasing director

Low


General manager

A.20. Who drafts the bidding documents? purchasing director


Purchasing department clerk


Purchasing department clerk

Low A.23. Who drafts the terms of reference (TOR)? purchasing director


purchasing director



Yes Low


Yes Low

B.3. For what period are records kept? 12 months High


Yes Low


Yes Low


No response Average

139


No response Average


Goods and Works


No

Average


No response


Yes Low


3 days Low


Yes


Yes Low










Experts Average


No response High


No response High


Yes Low


No response High


No response High


Yes Low


Yes Low

140

Consulting Services


No High


No response


Yes Low


No response High



No response High




Yes Low


Yes


Yes



Yes Low


Yes Low




Yes


Yes


Yes



Yes Low


Yes


No response High


Yes Low


No response High

141

C.46. What is the usual basis for negotiation? Public and fair Average


Yes Low


3 days Low


No response High

Payments



7 days


7 days


Yes

D. EFFECTIVENESS


Yes Low


Yes Low


Yes Low


Yes Low


Yes Low



Yes Low


Yes Low


No Low


General manager Low


High


No response

142


No response






No response High


No response High

II. General Ratings

Criterion Risk





