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1
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Step
Develop Procurement Risk Assessment (PRA), based on project concept note Keep as a risk log to be regularly monitored and updated
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Responsible Party
Head of Programme and Operations Manager
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Template/Guideline
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Explanatory Notes
Ensure both Programme and Operations are aware of procurement challenges
The form of the PRA should be appropriate to the scale and nature of the project.
Assessment questions include, among others:
Do we know how to procure what the project needs for its successful delivery?
Is there a clear understanding of the procurement process and the particular need of this project?
Do we have the capacity (resources and ability) to procure what the project needs for its successful delivery?
What key risks can we identify from our answers to the previous questions?
What steps must we take to minimize the likelihood of the identified risks occurring and/or to minimize the damage caused should the identified risks occur?
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2
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Step
Approve a procurement plan
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Responsible Party
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Template/Guideline
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Explanatory Notes
Procurement plans are required for “standard or complex business needs”, a Head of BU has to approve all procurement plans by monitoring requisite report in QUANTUM. All procurement plans (Project and Operations) are established at the activity level in projects in Quantum. Consolidated plans can be viewed and analyzed in Quantum by running the applicable reports.
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3
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Step
Categorize the project as having “Complex Business Needs”
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Responsible Party
Business Unit Head
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Template/Guideline
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Explanatory Notes
Projects with "Complex Business Needs" are defined as being those that meet one or more of the following conditions: - Total project budget is above US$1 million (or their equivalent in the local currency of the programme country);
- Procurement accounts for more than 60% of the total project budget;
- The Business Unit's senior management considers the project to be of primary significance to its overall performance, in the current and/or subsequent years; and/or
- The nature of the project requires procurement activities that the BU does not have prior experience in, and requires significant quantities of any of the following “high risk” categories:
i. Drugs & Pharmaceuticals ii. Security Services iii. Laboratory Equipment & Medical Supplies iv. Medical kits (when specialized) v. Contraceptives vi. Elections Equipment vii. Consultancy Firm Services viii. Permanent Structures ix. Construction Services x. Technical Studies (when they are highly specialized and could impact downstream work).
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4
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Step
Inform PSU of project details
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Responsible Party
Business Unit Head
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Template/Guideline
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Explanatory Notes
Projects categorized as having Complex Business Needs require more rigorous procurement planning. In some instances it may be advisable for the Business Unit to contact the Office of Pocurement (OP) to obtain necessary assistance.
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5
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Step
Provide guidance to BU
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Responsible Party
Office of Procurement/Bureau for Management Services
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Template/Guideline
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Explanatory Notes
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6
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Step
Develop a detailed risk mitigation plan for all individual projects in this category using the Risk Assessment Matrix.
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Responsible Party
Programme Manager,
Operations Manager
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Template/Guideline
The risk assessment matrix is a tool, developed alongside the policies and the procedures that will allow the risks of a specific project to be identified. The template will be linked to the POPP screen for the initial rollout.
Risk Assessment Matrix
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Explanatory Notes
In particular the matrix has been designed to highlight:
- The specific risk that has been identified;
- The consequences of that risk occurring;
- The impact that the risk would have on the performance of the BU;
- The likelihood of the risk occurring;
- The sensitivity of the project to the risk; and
- Proposed solutions for mitigating the likelihood of the risk occurring, and/or the impact the risk would have should it occur.
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7
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Step
Ensure the implementation of mitigation plans.
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Responsible Party
Business Unit Head
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Template/Guideline
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Explanatory Notes
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8
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Step
Prepare a Procurement Plan using corporate web-based planning tool.
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Responsible Party
Programme/DRR/Operations Manager/ Head of Procurement
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Template/Guideline
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Explanatory Notes
In particular, Programmes should define key procurement requirements, while Operations should determine appropriate procurement methods.
Use the web-based planning tool for this step.
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9
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Step
Review Procurement Risk Matrix and Procurement Plan
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Responsible Party
Business Unit Head
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Template/Guideline
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Explanatory Notes
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10
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Step
Based on CO needs, provide guidance to the CO
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Responsible Party
Office of Procurement/Bureau for Management Services
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Template/Guideline
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Explanatory Notes
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11
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Step
Approve project for submission to Commitment Control (if necessary steps have been taken to comply with policy and procurement needs have been satisfactorily addressed).
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Responsible Party
Head of BU
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Template/Guideline
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Explanatory Notes
Use Finance Module of Quantum.
Regular updates of procurement plans may be necessary when:
1. New funds for the same project are received and programmed;
2. Budget revisions have to be made; or
3. Change or re-alignment of project activities are needed.
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12
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Step
Ensure that the BU’s “Consolidated Procurement Plan” shall be updated whenever new projects are approved, and/or when the procurement plans for already approved projects are modified.
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Responsible Party
DRR/OM/Head of Procurement
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Template/Guideline
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Explanatory Notes
The online tool provides real time access and updates.
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13
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Step
Hold programme / operations joint meetings on a regular basis as appropriate to monitor risks by going through questions of the Procurement Risk Assessment
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Responsible Party
Head of BU
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Template/Guideline
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Explanatory Notes
For high-risk procurement
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14
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Step
Contact the Office of Procurement for advice and guidance
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Responsible Party
Head of BU
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Template/Guideline
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Explanatory Notes
BUs are encouraged to inform the Office of Procurement when projects are categorized as “Complex Business Needs.”
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15
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Step
Provide tailored support
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Responsible Party
PSU/BMS
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Template/Guideline
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Explanatory Notes
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16
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Step
Review of Procurement Forecasting and Delivery for all projects categorized as “Complex Business Needs”.
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Responsible Party
Head of Programme and Operations Manager
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Template/Guideline
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Explanatory Notes
Office of Procurement /Bureau for Management Services codify case studies to enhance knowledge management on righ-risk and/or high volume procurement.
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English
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