2002年-世界发展银行全球_Republic_of_Kazakhstan___Country_Procurement_Assessment_Report_86页_500kb

Kazakhstan Country Procedure Assessment Report (CPAR) Summary (Volume I)

Core Content

This Country Procurement Assessment Report (CPAR) is the first comprehensive evaluation of the public procurement environment in the Republic of Kazakhstan, conducted by the World Bank in June 2000. The report analyzes the legal, institutional, and administrative framework governing public procurement, as well as the challenges and risks associated with the process.

Main Findings

1. Procurement Volume

• In 1998, the total value of public procurement in Kazakhstan was approximately KZT 477 billion (US$5.4 billion).
• The breakdown of procurement was:
  • 55% for goods
  • 40% for works
  • 5% for services
• Private sector procurement was estimated at US$1.5 billion, excluding informal imports of US$2 billion.

2. Public Procurement System

• The system is well defined and governed by the Law on State Procurement and related regulations.
• It is transparent but relatively new, leading to limited awareness among public officials and the private sector.
• Most contracts are awarded based on lowest price and technical acceptability.
• The risk level is medium, but perceptions of corruption suggest a medium-high overall risk.

3. Performance Under Bank Supported Operations

• The procurement performance under Bank-supported projects has been generally satisfactory.
• There were no misprocurement incidents, but procurement delays occurred, especially in IT procurement.
• International Competitive Bidding (ICB) is now widely accepted.

4. National Competitive Bidding (NCB)

• The current legal framework excludes foreign suppliers from NCB, making it incompatible with Bank standards.
• An amendment to the law and corresponding regulations is required to allow equal participation of foreign and domestic suppliers.

5. Public Sector Performance

• The performance of the public sector in procurement varies significantly.
• Key issues include:
  • Weak institutions and under-staffing
  • Inexperience of procurement staff
  • Budgetary constraints affecting supply contracts for hospitals and public services
  • Complex and inconsistent customs clearance and inequitable tax application
• These factors impede procurement efficiency and create trade barriers.

6. Anti-Corruption Measures

• The anti-corruption law and Presidential committee are positive steps, but enforcement remains weak.
• Corruption is perceived as widespread, especially in tax and customs administrations and local governments.
• It is considered a norm in some sectors, similar to other developing countries.

Recommendations and Action Plan

7. Legal Framework

• Harmonize the law and enabling regulations on other procurement methods.
• Amend the law to allow foreign participation in NCB.
• Introduce a formal complaint and appeal mechanism.
• Enact an independent arbitration law based on UNCITRAL or ICC rules.
• Establish suspension and debarment regulations.
• Waive bid security for low-value contracts (under US$25,000).

8. Institutional Strengthening

• Strengthen SAP through recruitment and training.
• Ensure adequate staffing of procurement functions in all ministries and agencies.
• Develop a comprehensive training strategy for procurement officials.
• Supplement capacity with national and international consultants.

9. Procurement and Contract Administration

• Ensure timely budget allocation for procurement.
• Adopt country-specific procurement documents.
• Define clear Terms of Reference for consultant assignments.
• Record tender opening minutes and ensure compliance.
• Brief tender commission members on procurement processes.
• Ensure clear evaluation criteria in tender documents.
• Award contracts based on predisclosed evaluation criteria.
• Develop contract management capacity.
• Implement record-keeping policies.
• Establish a phased monitoring system for public procurement.
• Define internal control and approval mechanisms.

10. Strategic Objectives

• Strengthen the legal and institutional framework for procurement.
• Enact an independent arbitration law.
• Strengthen SAP and procurement functions in ministries.
• Improve anti-corruption enforcement.
• Streamline customs clearance and tax code application.

11. Action Plan

• The action plan outlines responsibilities of the government and the Bank.
• Key activities are to be completed by December 2001.
• The focus is on legal and institutional strengthening.

12. Technical Assistance

• The implementation of the action plan will require technical assistance.
• The estimated cost is US$1.39 million.
• The Bank may provide funding and technical support upon request.

13. Supervision Approach

• The Bank will continue to supervise projects based on ECA Regional Procurement Guidelines and OD 11.04 and 11.10.
• A procurement specialist will be part of the project team throughout the project cycle.
• Ex-post reviews will be conducted on 1 in 5 contracts for high-risk agencies, 1 in 10 for average risk, and 1 in 20 for low-risk agencies.
• Focused review missions will be conducted for clusters of projects.

Key Information

• The procurement system is transparent but new and underdeveloped.
• Legal and institutional reforms are necessary to align with international standards.
• Customs and tax regimes significantly impact procurement efficiency and risk.
• Anti-corruption measures are in place but lack enforcement.
• Technical assistance and capacity building are critical for improving procurement practices.
• The action plan aims to strengthen the legal and institutional framework over a two-year period.

Conclusion

The CPAR identifies key challenges in Kazakhstan's public procurement system and outlines a comprehensive action plan to address them. The report emphasizes the need for legal reform, institutional strengthening, training, and improved administrative practices to ensure transparency, efficiency, and compliance with international standards. The Bank will continue to provide technical assistance and supervision to support these reforms.