2003年-世界发展银行全球_Sri_Lanka___Country_Procurement_Assessment_Report_Volume_2_Discussion_and_Analysis_of_Findings_156页_706kb

报告摘要

SRI LANKA COUNTRY PROCEDURE ASSESSMENT REPORT (VOLUME II) - SUMMARY

Core Content

This report is part of a comprehensive assessment of the Public Procurement System in Sri Lanka, conducted by the World Bank in collaboration with the Government of Sri Lanka (GOSL) between April and November 2002. The assessment aimed to evaluate the effectiveness and transparency of the procurement system, and to identify areas for improvement. The report is structured into several sections, including the legal and regulatory framework, procurement procedures and practices, organization and resources, audit and anti-corruption measures, performance evaluation, and recommendations.

Main Points and Findings

1. Legal and Regulatory Framework

Legal Basis: Sri Lanka does not have a specific Public Procurement Law. Instead, procurement is governed by Financial Regulations (FR) and Guidelines, which are issued by the Ministry of Finance.
Constitutional Provisions: The Constitution allows the President to assign functions to the Minister of Finance, including the regulation of procurement procedures.
Regulations and Guidelines:
- The Financial Regulations were first issued in 1966 and later revised in 1992.
- The Guidelines on Government Tender Procedure were introduced in 1996, and further revised in 1997 and 2000.
- These guidelines aim to enhance transparency, ensure equal treatment, and reduce delays in procurement.
Judicial Recognition: The Supreme Court has recognized the Guidelines as having the force of law, particularly in the case SmithKline Beecham Biological S. A. and Another v. State Pharmaceutical Corporation of Sri Lanka.
Limitations: The Guidelines are easily amendable without parliamentary approval, which may lead to inconsistencies and potential abuse.

2. Procurement Procedures and Practices

The procurement process includes tender planning, estimate preparation, specification development, and various tendering methods.
Tender Documents are standardized with the use of Standard Bidding Documents (SBD) and General Conditions of Contract (GCC).
Electronic tendering is recommended as a modernization measure.
Debriefing of unsuccessful tenderers is a key practice to improve understanding and reduce complaints.
Tender evaluation is conducted by Tender Evaluation Committees (TEC), and contract awards are made based on technical and financial criteria.
Security deposits, performance security, and insurance are part of the procurement process to ensure accountability and financial safeguards.
Dispute resolution mechanisms are in place, including Bid Opening Committees and Appeal Boards.

3. Organization and Resources

The Procurement Support Bureau (PSB) plays a central role in overseeing procurement.
The Institute for Construction Training and Development (ICTAD) is involved in the preparation of tender documents and contract management.
The Ministry of Finance has initiated training programs and seminars to improve procurement practices.

4. Audit and Anti-Corruption Measures

The Auditor General's Department and the Bribery Commission are the main bodies responsible for audit and anti-corruption.
The Procurement Regulatory Agency (PRA) is not yet established, and Procurement Support Bureau is the main oversight body.
Blacklisting and debarment procedures are in place for contractors and suppliers who violate procurement rules.
Anti-bribery measures are not well-defined and require strengthening.

5. Public Sector Procurement Performance

The procurement system has been criticized for being complex, slow, and lacking transparency.
Delays in contract awards and non-payment of advances are common issues.
Performance monitoring and contract supervision are essential but not consistently implemented.
Record-keeping is a challenge, and data bases for procurement and contract administration are not well-maintained.

6. Donor-Financed Projects

The procurement procedures for foreign-funded projects are more structured and transparent than those for domestic projects.
Guidelines for foreign-assisted projects include special provisions such as equal treatment of local and foreign tenderers, mandatory ICTAD registration, and use of SBDs.
The World Bank and ADB have been involved in technical assistance and capacity building for procurement.

Key Recommendations

1. Major Recommendations

Enact a Public Procurement Law: To enhance transparency, accountability, and public confidence.
Strengthen the Procurement Support Bureau (PSB): To improve oversight, training, and policy implementation.
Introduce a Procurement Accreditation System: To professionalize the procurement process.
Standardize Tender and Contract Documents: To ensure consistency and clarity.
Revise Guidelines and SBDs: To remove ambiguities and inconsistencies.
Simplify Review and Approval Process: To speed up procurement and reduce delays.
Implement Electronic Tendering: To modernize and increase efficiency.
Develop a Procurement Training Master Plan: To build capacity and improve skills.
Enhance Technical and Performance Auditing: To ensure compliance and prevent malpractices.

2. Minor Recommendations

Revise Guidelines: To incorporate new provisions and exclude outdated ones.
Establish a Procurement Monitoring and Contractor Performance Database: To track performance and identify issues.
Improve Blacklisting Mechanisms: To enhance accountability and prevent repeat offenses.

3. General Recommendations

Strengthen the Bribery Commission and Auditor General's Department: To enhance anti-corruption and audit functions.
Conduct Seminars and Workshops: To increase awareness and improve understanding of procurement procedures.
Implement a Code of Conduct: For contractors, suppliers, and procurement officials to ensure ethical practices.

Action Plan

Long-term actions: Include the enactment of a Public Procurement Law, revising guidelines, and establishing the PRA.
Medium-term actions: Focus on training programs, capacity building, and strengthening the PSB.
Short-term actions: Involve seminars, workshops, and immediate implementation of recommendations.
Technical and Financial Assistance: A technical assistance grant of US$0.75 million has been proposed to support the implementation of the action plan.
Monitoring and Follow-up: A monitoring plan is recommended to track progress and ensure compliance.

Conclusion

The procurement system in Sri Lanka is governed by Financial Regulations and Guidelines, which have been recognized as having the force of law. While the system has some positive aspects, such as standardization of procedures, it suffers from inconsistencies, lack of transparency, and potential for abuse. The report recommends a comprehensive legal framework, improved oversight, and modernization measures to enhance the efficiency, fairness, and integrity of the procurement system.