唤醒心中的巨人
Government Direct Purchas
Corruption Prevention Department Independent Commission Against Corruption
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C ONTENTS
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Introduction 1 Departmental Control 1 Control Mechanism
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Instructions 3 Procedures 4 Procurement Practices 4 Purchasing Card
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Quotations 5
Segregation of duties
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Specifications 6 Invitation to quote 6 Receipt of quotations 6 Opening of quotations 7 Acceptance of offer
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Notification 7 Conflict of Interest
7 Management of Suppliers Lists 8 Supervisory Accountability中国仙居
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ii冷水泡脚
Waiver of Competitive Process 9 Electronic Purchasing
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不兼容是什么意思Payments 10 Management and Control
10 Departmental audits 10 Management information 11 Reporting irregularities 11 Ur Feedback 11 Keeping of Records 11 Compliance Checks
11 Code of Conduct for Contractors 12 Help Desk 12 Staff Training 12 Further advice
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G OVERNMENT D IRECT P URCHASES
Introduction
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From time to time, the Independent Commission Against Corruption procuted or recommended disciplinary action against government officers for abu of duty in purchasing goods and rvices under the Direct Purcha Authority (DPA). The Corruption Prevention Department has reviewed the direct purcha procedures and practices in a number of departments and the findings showed that there is in general inadequate control and monitoring in direct procurement activities.
This guide is intended to supplement the Stores and Procurement Regulations (SPR) and the relevant circulars, which stipulate the regulatory framework for purchas (over specified financial limits) by open tender and procurement of goods and rvices up to the departmental DPA limit.
Departmental
Control
Under the SPR, the responsibility for managing DPA activities lies with the departments themlves. For this purpo, the SPR require the Controlling Officer (i.e. the head of department) to appoint a Departmental Stores Manager (DSM) to assist him in supervising stores and procurement matters.
In general, the Controlling Officer should appoint a Senior Suppliers Officer or an officer of the equivalent rank as the DSM. Under the SPR, the DSM is the overall in charge of the department’s store and procurement activities. His responsibilities include managing the stores, ensuring that the procurement procedures stipulated in the SPR are followed, maintaining the departmental suppliers lists and authorizing any addition or deletion of suppliers on the lists.
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The SPR also stipulates that if the Department has a Supplies Officer on its establishment, the officer should be designated as the Authorizing Officer, otherwi the Department should designate an officer of equivalent rank, e.g. an Executive Officer I, to assist the DSM. In particular, it is the duty of the Authorizing Officer to ensure that the laid down procurement procedures are fully complied with.
For large Departments or where the Department’s procurement function is decentralized, the Control
ling Officer may appoint additional DSMs and Authorizing Officers at district and ction levels as necessary.
The span of control in departmental direct purchas should come from the Controlling Officer through the DSM, who should act as:
• the staff officer to advi the Controlling Officer whether the existing control mechanism in place is adequate in controlling procurement activities; • the compliance and audit officer to carry out audits to ensure that the SPR and other controlling measures are implemented; and • the Procurement Officer for high value purchas where appropriate. Control Mechanism
To this end, the DSM should:
• design a fair, open and effective procurement system
with sufficient checks and balance, which should be promulgated in departmental instructions; • ensure the procurement process is fully documented
to provide audit trail;
• subject the procurement system to effective compliance checking; and
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• regularly review the procurement system with a view
to improving its cost effectiveness and control.
Instructions
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To supplement the SPR which are intended for general control purpos, Departments should lay down departmental instructions tailored to their own specific needs. The departmental instructions should cover:
• raising of requisitions;
• the procedures for inviting, receiving, opening and evaluating quotations;
• proper documentation;
• requirements for procurement staff to avoid and
declare conflict of interest; • the levels of approving authority for:
¾ approving quotation invitations;
¾ approving the quotation exerci when sufficient
number of suppliers cannot be identified for bidding; ¾ acceptance of quotation offers; and ¾ acceptance of a higher offer;
• prohibition of order splitting;
• procedures for handling emergency purchas and waiver of competitive bidding (i.e. single quotation); • management of lists of suppliers/contractors; • a mechanism to collect ur feedback; • compliance checks; • departmental audit/review;
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