UNDP-为实现东盟可持续发展目标建立透明和开放的公共采购系统（英文）-2021.5正文版.doc

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1、Resource GuideBUILDING TRANSPARENT ANDOPEN PUBLIC PROCUREMENT SYSTEMS FOR ACHIEVING THE SDGS IN ASEANUNDP is the leading United Nations organization fighting to end the injustice of poverty, inequality and climate change. Working with our broad network of experts and partners in 170 countries, we he

2、lp nations to build integrated, lasting solutions for people and planet.Learn more at undp.org or follow at UNDP.The findings, interpretations and views expressed in this publication are those of the author(s) and do not necessarily represent those of the United Nations, including UNDP, or the UN Me

3、mber States.Copyright UNDP 2021All rights reserved.RESOURCE GUIDEACKNOWLEDGEMENTSThis resource guide has been commissioned by the United Nations Development Programme, Bangkok Regional Hub (UNDP BRH).The development of this knowledge product was led by Nicholas Booth (Governance and Peacebuilding Te

4、am Leader) and Diana Torres (formerly Programme Manager, Transparency, Accountability and Anti-corruption), UNDP Bangkok Regional Hub.The lead author is Magda Theodate, Senior Consultant at UNDP. It has benefited from insightful contributions from Anga Timilsina (Global Programme Advisor on Anti-cor

5、ruption), Carsten Hansen (Procurement Adviser, UNDP), Shreya Basu (Deputy Director, Open Government Partnership (OGP), Petter Mathews (Executive Director, Infrastructure Transparency Initiative (CoST), Ivygail Ong (Programme Officer, Asia-Pacific, OGP), Liviana Zorzi (Transparency & Accountability P

6、roject Specialist, UNDP), Charlene Lui (Research Analyst, UNDP), Oleksandr Shatkovskyi (Consultant, Transparent Public Procurement in ASEAN, UNDP) and Kwanpadh Suddhi-Dhamakit (Project Manager, Promoting a Fair Business Environment in ASEAN, UNDP). The document was edited by Kamolwan Panyasevanamit

7、(Ling), Sapna Dubey and Andy Quan, editor. Pundaree Boonkerd designed the layout and graphics.DONOR PARTNERThis resource guide was made possible by the support of the UK Government, ASEAN Economic Reform Programme.3BUILDING TRANSPARENT AND OPEN PUBLIC PROCUREMENT SYSTEMS FOR ACHIEVING THE SDGS IN AS

8、EANTABLE OF CONTENTSIntroductionFive components of transparent and open public procurement ecosystemsTransparent and open public procurement institutionsCitizen participation, monitoring and reportingPrivate sector engagementCollaboration with oversight institutionsInclusive and fair environment for

9、 public procurementPriority areas of reform and actionReferences4INTRODUCTIONCorruption poses a significant threat to economies around the world. It weakens institutions, erodes public trust, undermines fair competition, and discourages investment. According to the United Nations Office on Drugs and

10、 Crime (UNODC), approximately 10 to 25 percent of all funds spent globally on procurement is lost to corruption. As a result, poor infrastructure development and insufficient service delivery to taxpayers and citizens prevail.The COVID-19 health crisis has also brought forth the vulnerability of the

11、 procurement function to corrupt practices when it lacks the necessary tools to ensure transparency, accountability, and integrity throughout the procurement cycle. Hence, this crossroads can be perceived as an opportunity for public procurement to build community resilience, catalyse economic devel

12、opment, and reinvent public and private partnerships towards the creation of public value. These values encourage a move away from restrictive processes to give way to open digital platforms based on transparency, fair and competitive contracting.Indeed, open and transparent public procurement syste

13、ms are a strategic tool, not only in preventing corruption but for achieving the Sustainable Development Goals (SDGs), as they are a prerequisite of delivering medical goods, water services, quality education infrastructure, access to justice and sustainable infrastructure. Successful experiences ar

14、ound the world demonstrate that open data, e- procurement, citizen engagement and collective action by the private sector can strengthen the integrity and efficiency of public spending.Responding to this positive trend, this resource guide builds on the UNDP guidebook, Tackling integrity risks in go

15、vernment contracts (2017), which provides a methodology for governmentsRESOURCE GUIDEto assess normative gaps and loopholes that can lead to corruption in government contracts.Through this new Resource Guide, UNDP promotes a multi-stakeholder approach wherein governments, citizens, and the private s

16、ector work together to strengthen transparency and openness in public procurement systems.Recent literature on procurement, in both the public and private sectors, have recognized that its efficiency depends on the “highly interconnected network of co-existing elements: stakeholders, business impera

17、tives, suppliers, third-party partners, data (internal), intelligence (external), enabling tools and systems”. This is contrary to the historically common practice wherein the procurement function tried to increase impact and maturity by addressing these elements in a one-off rather than an integrat

18、ed manner. Moreover, few organizations took the time to be reflective and see how inter-related procurement is as a business function.Hence, this publication advocates for a systems approach in which all relevant stakeholders (public officials, citizens and the private sector) collaborate to improve

19、 the procurement ecosystem; its structures therewith, internal and external impacts, and resources. In doing so, the paper recommends five interlocking pieces for ensuring transparent and open public procurement systems. Upon execution, these strategic enablers can pool savings from procurement and

20、optimize public funds for sustainable development.The five enablers are:1. Transparent and open public procurement institutions.2. Citizen participation, monitoring and reporting through procurement cycle.5BUILDING TRANSPARENT AND OPEN PUBLIC PROCUREMENT SYSTEMS FOR ACHIEVING THE SDGS IN ASEAN3. Pri

21、vate sector engagement and promotion of responsible business conduct and business integrity.4. Collaboration with oversight institutions in the prevention and identification of red flags.5. Inclusive and fair environment for public procurement to be accessible by small and medium enterprises, busine

22、sses owned by women, persons with disabilities, and other traditionally underrepresented groups.The guide is structured around the five enablers and presents relevant examples where they have been applied with good results. These strategies can also benefit from innovation and new technologies as a

23、cross-cutting enabler for open and transparent government procurement to accelerate transformation towards sustainable development.Since transparency in government operations is multi-dimensional, in turn, these strategies will illuminate the connections between transparency in government contracts

24、and achieving enhanced governance results.6FIVECOMPONENTSOFTRANSPARENTAND OPENPUBLICPROCUREMENTECOSYSTEMSBUILDING TRANSPARENT AND OPEN PUBLIC PROCUREMENT SYSTEMS FOR ACHIEVING THE SDGS IN ASEANTRANSPARENT AND OPEN PUBLIC PROCUREMENT INSTITUTIONSWhen government creates a transparent and open contract

25、ing system, it can win trust, increase the value for money of public contracts, reduce corruption risks, and encourage the growth of higher and efficient competition for small and medium-sized enterprises. Such a system also entails disclosure of timely and useful information throughout the procurem

26、ent cycle to allow for the monitoring of public funds expenditure, capturing data to inform procurement planning and management, and increasing competition among bidders.A transparent and open system consists of three dimensions: First, the government must establish relevant institutional arrangemen

27、ts to plan, develop, manage and enforce its contracts, while also creating a cadre of procurement professionals to lead the charge; second, clear legal frameworks are necessary to secure key principles for the functionality of a national public procurement system, namely to optimise efficiency and v

28、alue for money in the delivery of public services while respecting the principles of non- discrimination, equal treatment, transparency and proportionality; and third, a transparent, publicly accessible monitoring system is required to allow the public to scrutinize, identify red flags (signals corr

29、uption risks or inefficiency), and determine where public funds have been spent compared to official allocations.Furthermore, governments should collaborate with civil society to determine a collaborative approach to implementing open data and designconcrete steps to enhance overall transparency in

30、government contracting. The following international examples of early adopters of open contracting may offer insightful lessons for those just beginning the journey. For instance, Ukraines Prozorro e-procurement portal where “everyone sees everything”, and Georgias open-source procurement monitoring

31、 and analytics portal, are among the most transparent in Europe. Asia also has its front runners, such as the Korea ON -line E-Procurement System (KONEPS) in the Republic of Korea and the Philippine Government Electronic Procurement System (PS-PhilGEPS).UNDPs collaboration with CoST (the Infrastruct

32、ure Transparency Initiative), through the “FairBiz”1 Project, has also led to better monitoring of infrastructure projects. The initiative works with local stakeholders to increase the completeness and accuracy of government - disclosed infrastructure project/ contract information at various stages

33、of the project cycle. Within Southeast Asia, CoST currently has active programmes in Thailand and Indonesia. In Thailand, a recent legal reform has been fundamental in consolidating a culture of transparency. In 2019, the Government issued a public announcement on institutionalized disclosure of inf

34、rastructure project information in line with CoST data standards. Although disclosure was not yet mandated for all1 FairBiz (2018-2021) is the UNDPs programme for Promoting a Fair Business Environment in ASEAN, funded by the UK Government.8public infrastructure projects, but only to the projects sel

35、ected to integrate CoST, it is a step towards adopting an internationally recognized disclosure standard in all public infrastructure projects in Thailand. As a result, in 2020, the Thai Ministry of Finance announced a cost saving of US$ 360 million as a result of the deterrent effect of the CoST ap

36、proach.The open contracting movement is also making inroads in Southeast Asia. In Indonesia, for example, the City of Bandung was one of the first in the country to publish procurement planning, tender and award data, according to an open contracting data standard developed in conjunction with the W

37、orld Bank.In the Indonesia Open Government Partnership National Action Plan 20182020, open contracting is defined as an initiative to assist public procurement transparency in addition to the broader objective of making progress on the SDGs.In the Philippines Open Government Partnership (PH-OGP) Nat

38、ional Action Plan (NAP) 2019 2021, the Procurement Services-Philippine Government Electronic Procurement System (PS-PhilGEPS) via PhilGEPS portal has committed to working with civil society and government stakeholders to identify contracting data to be subjected to mandatory publication. This would

39、utilize the Open Contracting Data Standards to publish data in Annual Procurement Plans, Bid Notices, E-bidding, etc. in addition to the information initially identified by the stakeholders. Indeed, this would enhance service delivery by enabling public monitoring and audit of public procurement.Non

40、etheless, the full and effective implementation of standardized open public procurement data remains a work in progress for the region. When it comes to publishing relevant documents (i.e. procurement plans, tender documents and award notices), Southeast Asia still lags behind other regions.22 Curre

41、ntly, only three countries in Southeast Asia have laws on freedom of information: Indonesia, the Philippines and Thailand.RESOURCE GUIDEIn reviewing successful open contracting models in other regions, some aspects could be advanced in ASEAN countries, including: Developing and ensuring the enforcem

42、ent of open data laws where all procurement and contract performance information (to a large extent via a special contract repository database) is made public by default, rather than requiring that citizens actively request for access (Slovakia) Publishing data that is machine readable, searchable b

43、y various categories, and can be disaggregated. This allows the use of artificial intelligence to detect both positive (cost savings) and negative (corrupt practices) patterns (Nepal) Raising citizens awareness of their right to information, to hold officials accountable for their compliance with di

44、sclosure requirements intended to increase procurement transparency (India).The World Banks 2017 study on Benchmarking Public Procurement highlights a reluctance to adopt full disclosure and a lack of transparent procurement information as factors which not only affect country rankings on various in

45、ternational indices, such as the Corruption Perceptions Index, but also undermine trade, investment and growth.9BUILDING TRANSPARENT AND OPEN PUBLIC PROCUREMENT SYSTEMS FOR ACHIEVING THE SDGS IN ASEANCITIZEN PARTICIPATION, MONITORING AND REPORTINGThe news is full of examples of the mismanagement of

46、public funds, even in the worlds most developed economies.3 Despite the cacophony of voices and information on social media, such media platforms can raise awareness and mobilize public voices to demand accountability, even if in an unsystematic manner. Throughout the COVID-19 pandemic, the impact o

47、f corruption is visible across procurement processes. The procurement of medicines and supplies in health systems have been one of the areas most vulnerable to corruption, but it is not the only one.A lack of transparency in government contracting is a long-standing challenge in Southeast Asia. It stymies development and undermines citizens trust in government. On