Public Procurement Law and Reform in Developing Countries: International Best Practices and Lessons Learned

1 - Cover [Seite 1]
2 - List of Abbreviations [Seite 18]
3 - Introduction [Seite 20]
3.1 - 1. Background [Seite 20]
3.2 - 2. Problem Statement [Seite 22]
3.3 - 3. Literature Review [Seite 29]
3.4 - 4. Research Methodology [Seite 36]
3.4.1 - a. General Remarks [Seite 36]
3.4.2 - b. Field Research in Namibia [Seite 43]
3.5 - 5. General Outline [Seite 45]
4 - PART I: The Nature and the Regulation of Public Procurement [Seite 50]
4.1 - Chapter 1: The Nature of Public Procurement and its general Regulation [Seite 52]
4.1.1 - 1. Introduction [Seite 52]
4.1.2 - 2. Principles of Public Procurement [Seite 53]
4.1.3 - 3. Pillars of Public Procurement Systems [Seite 56]
4.1.4 - 4. Stages of Public Procurement Procedures [Seite 57]
4.1.5 - 5. Procurement Methods [Seite 59]
4.1.6 - 6. E-Procurement [Seite 63]
4.1.7 - 7. Organisational Structure and Workforce [Seite 66]
4.1.8 - 8. Review Procedures [Seite 67]
4.2 - Chapter 2: Transparency and the Problem of Corruption [Seite 70]
4.2.1 - 1. Introduction [Seite 70]
4.2.2 - 2. Corruption and possible Effects [Seite 71]
4.2.3 - 3. Transparency Requirements in Public Procurement [Seite 72]
4.2.4 - 4. Additional Instruments to ensure Transparency [Seite 77]
4.2.5 - 5. Compromising Efficiency? [Seite 79]
4.3 - Chapter 3: Secondary Objectives [Seite 82]
4.3.1 - 1. Introduction [Seite 82]
4.3.2 - 2. Types of Socio-Economic Objectives [Seite 85]
4.3.2.1 - a. Preferential Procurement [Seite 86]
4.3.2.2 - b. Inclusion of Criteria increasing Social Welfare [Seite 92]
4.3.2.3 - c. Preferential Procurement from different Viewpoints: Protectionism vs. Liberalisation [Seite 94]
4.3.3 - 3. Environmental Procurement [Seite 100]
4.4 - Chapter 4: Summary of Findings [Seite 106]
5 - PART II: International and National Public Procurement Regulations [Seite 110]
5.1 - Chapter 1: The WTO Government Procurement Agreement [Seite 112]
5.1.1 - 1. Introduction [Seite 112]
5.1.2 - 2. The Essentials of the GPA [Seite 114]
5.1.2.1 - a. Background [Seite 114]
5.1.2.1.1 - i. Principles, Objectives and Scope [Seite 114]
5.1.2.1.2 - ii. Review of the Agreement [Seite 114]
5.1.2.1.3 - iii. Terminology [Seite 116]
5.1.2.2 - b. Objectives and Principles [Seite 117]
5.1.2.3 - c. Scope and Coverage of the GPA [Seite 122]
5.1.2.3.1 - i. Scope and Coverage [Seite 122]
5.1.2.3.2 - ii. General Exceptions [Seite 124]
5.1.3 - 3. Procedures [Seite 125]
5.1.3.1 - a. Procurement Methods and Procedures [Seite 125]
5.1.3.2 - b. Tender Specification, Award Criteria and Evaluation Methods [Seite 128]
5.1.3.2.1 - i. Qualification Criteria [Seite 128]
5.1.3.2.2 - ii. Description of the Subject Matter [Seite 129]
5.1.3.2.3 - iii. Evaluation Criteria [Seite 131]
5.1.3.2.4 - iv. Method of Evaluation [Seite 131]
5.1.4 - 4. Institutions: The Committee on Government Procurement [Seite 132]
5.1.5 - 5. The Treatment of Developing and Least-developed Countries [Seite 132]
5.1.5.1 - a. The 1994 Agreement [Seite 132]
5.1.5.2 - b. The revised Agreement [Seite 136]
5.1.6 - 6. Transparency [Seite 138]
5.1.6.1 - a. General Transparency Provisions [Seite 138]
5.1.6.2 - b. Procurement Planning [Seite 142]
5.1.7 - 7. Secondary Objectives [Seite 143]
5.1.7.1 - a. The 1994 Agreement [Seite 143]
5.1.7.2 - b. The revised Agreement [Seite 152]
5.1.7.3 - c. Rules of Origin and Offsets [Seite 155]
5.1.8 - 8. Enforcement [Seite 156]
5.1.8.1 - a. Introduction [Seite 156]
5.1.8.2 - b. Challenging Breaches of the Agreement [Seite 157]
5.1.8.3 - c. Domestic Review Procedures [Seite 159]
5.1.9 - 9. The Reluctance of Developing Countries to seek GPA Accession [Seite 161]
5.1.9.1 - a. The 1994 GPA [Seite 161]
5.1.9.2 - b. The revised GPA [Seite 168]
5.1.10 - 10. Conclusion [Seite 170]
5.2 - Chapter 2: UNCITRAL Model Law on Procurement [Seite 174]
5.2.1 - 1. Introduction [Seite 174]
5.2.2 - 2. About UNCITRAL [Seite 175]
5.2.3 - 3. The Essentials of the UNCITRAL Model Law on Procurement [Seite 177]
5.2.3.1 - a. Background [Seite 177]
5.2.3.2 - b. Objectives and Principles [Seite 179]
5.2.3.3 - c. Scope and Coverage [Seite 181]
5.2.4 - 4. Tender Procedures [Seite 181]
5.2.4.1 - a. Procurement Methods and Procedures [Seite 181]
5.2.4.2 - b. Tender Specification, Award Criteria and Evaluation Methods [Seite 185]
5.2.4.2.1 - i. Qualification Criteria [Seite 185]
5.2.4.2.2 - ii. Description of the Subject Matter [Seite 187]
5.2.4.2.3 - iii. Evaluation Criteria [Seite 187]
5.2.4.2.4 - iv. Method of Evaluation [Seite 190]
5.2.4.2.5 - v. Rejection of Abnormally Low Submissions [Seite 191]
5.2.5 - 5. Institutions and Staff Regulations [Seite 191]
5.2.6 - 6. Transparency [Seite 191]
5.2.7 - 7. Secondary Objectives [Seite 193]
5.2.7.1 - a. The Scope of Application of Secondary Objectives [Seite 193]
5.2.7.2 - b. The Principle of Non-Discrimination [Seite 196]
5.2.8 - 8. Review Procedures [Seite 199]
5.2.9 - 9. Conclusion [Seite 201]
5.3 - Chapter 3: COMESA Procurement Reform - The Example of Mauritius [Seite 206]
5.3.1 - 1. Introduction [Seite 206]
5.3.2 - 2. COMESA Procurement Reform Project [Seite 207]
5.3.2.1 - a. Background [Seite 207]
5.3.2.2 - b. Laws and Regulations [Seite 209]
5.3.2.2.1 - i. COMESA Procurement Directive (2003) [Seite 209]
5.3.2.2.2 - ii. COMESA Procurement Regulations [Seite 209]
5.3.2.3 - c. Objectives and Principles [Seite 209]
5.3.2.4 - d. Scope and Coverage [Seite 211]
5.3.2.5 - e. Institutions and Staff [Seite 212]
5.3.2.6 - f. Procedures [Seite 214]
5.3.2.7 - i. Procurement Methods and Procedures [Seite 214]
5.3.2.7.1 - ii. Tender Specification, Award Criteria and EvaluationMethods [Seite 217]
5.3.2.8 - g. Transparency [Seite 218]
5.3.2.9 - h. Secondary Objectives [Seite 219]
5.3.2.10 - i. Review Procedures [Seite 220]
5.3.2.11 - j. Procurement Planning [Seite 221]
5.3.2.12 - k. Contract Administration [Seite 221]
5.3.2.13 - l. Provisions for the Implementation of Reform [Seite 221]
5.3.3 - 3. Interim Conclusion [Seite 222]
5.3.4 - 4. Mauritian Procurement Law [Seite 223]
5.3.4.1 - a. Background [Seite 223]
5.3.4.2 - b. The Framework [Seite 224]
5.3.4.3 - i. Laws and Regulations [Seite 224]
5.3.4.3.1 - ii. Objectives and Principles [Seite 225]
5.3.4.3.1.1 - iii. Scope and Coverage [Seite 225]
5.3.4.3.1.1.1 - c.I nstitutions and Staff [Seite 227]
5.3.4.4 - d. Procedures [Seite 231]
5.3.4.5 - i. Procurement Methods and Procedures [Seite 231]
5.3.4.5.1 - ii. Tender Specification, Award Criteria andEvaluation Methods [Seite 237]
5.3.4.5.1.1 - iii. Procurement Planning [Seite 239]
5.3.4.5.2 - iv. Contract Administration [Seite 240]
5.3.4.6 - e. Transparency [Seite 240]
5.3.4.7 - f. Secondary Objectives [Seite 244]
5.3.4.8 - g. Review Procedures [Seite 246]
5.3.5 - 5. Conclusion [Seite 249]
5.4 - Chapter 4: Public Procurement Law in South Africa [Seite 252]
5.4.1 - 1. Introduction [Seite 252]
5.4.2 - 2. The Framework [Seite 255]
5.4.2.1 - a. Laws and Policies regarding Public Procurement [Seite 255]
5.4.2.2 - b. Objectives and Principles [Seite 262]
5.4.2.3 - i. Merging Procurement and Financial Management [Seite 262]
5.4.2.3.1 - ii. Redressing the Imbalances of the Past [Seite 263]
5.4.2.4 - c. Scope and Coverage [Seite 265]
5.4.3 - 3. Institutions and Staff [Seite 267]
5.4.4 - 4. Basics of the Supply Chain Management System [Seite 272]
5.4.4.1 - a. Procurement Methods [Seite 272]
5.4.4.2 - b. Tender Specifications, Award Criteria andEvaluation Methods [Seite 274]
5.4.4.3 - i. Uniformity [Seite 277]
5.4.4.3.1 - ii. Electronic Procurement [Seite 278]
5.4.5 - 5. Transparency and Strategies to Combat Corruption [Seite 279]
5.4.5.1 - a. Specific Procurement-related Transparency Provisions [Seite 279]
5.4.5.2 - b. Non-Procurement Specific Regulations [Seite 284]
5.4.6 - 6. Secondary Objectives [Seite 290]
5.4.6.1 - a. The Preferential Procurement Policy Framework Act andRegulations [Seite 290]
5.4.6.2 - b. Targeted Procurement [Seite 294]
5.4.6.3 - c. Pros and Cons of the South African PreferentialProcurement System [Seite 295]
5.4.6.4 - d. South African Preferential Procurement in theInternational Context [Seite 305]
5.4.7 - 7. Review Procedures [Seite 307]
5.4.7.1 - a. Administrative Review [Seite 307]
5.4.7.2 - b. Non-Judicial External Review [Seite 309]
5.4.7.3 - c. Judicial Review [Seite 311]
5.4.7.4 - d. The main Principles of Public Procurement in South AfricanCase Law [Seite 318]
5.4.7.5 - e. Problems in the South African Public Procurement ReviewMechanisms [Seite 320]
5.4.8 - 8. Conclusion [Seite 322]
5.5 - Chapter 5: Best Practices in Public Procurement [Seite 328]
5.5.1 - 1. Introduction [Seite 328]
5.5.2 - 2. Best Practices in Public Procurement Legal Systems [Seite 331]
5.5.2.1 - a. Objectives [Seite 331]
5.5.2.1.1 - b.I nstitutional and Organisational Form [Seite 332]
5.5.2.2 - c. Workforce [Seite 334]
5.5.2.3 - d. Scope [Seite 335]
5.5.2.4 - e. Procedures and Methods [Seite 336]
5.5.2.5 - i. Procurement Planning [Seite 336]
5.5.2.5.1 - ii. Pre-bidding Phase [Seite 337]
5.5.2.5.1.1 - iii. Bidding Phase [Seite 340]
5.5.2.5.2 - iv. Award Phase [Seite 340]
5.5.2.6 - v. Contract Management [Seite 341]
5.5.2.7 - f. Secondary Objectives [Seite 342]
5.5.2.8 - g. Transparency [Seite 343]
5.5.2.9 - h. Review Mechanisms [Seite 344]
5.5.3 - 3. Lessons Learned from Mauritius [Seite 345]
5.5.4 - 4. Lessons Learned from South Africa [Seite 348]
6 - PART III: Namibia as a Case Study: Public Procurement Law and Reform [Seite 352]
6.1 - Chapter 1: The Namibian Public Procurement Law [Seite 354]
6.1.1 - 1. Introduction [Seite 354]
6.1.2 - 2. The Framework [Seite 356]
6.1.2.1 - a. Laws and Policies regarding Public Procurement on different Levels of Government Structure [Seite 356]
6.1.2.2 - b. Public Procurement-related Development Policies in Namibia: Affirmative Action [Seite 358]
6.1.2.2.1 - i. Introduction [Seite 358]
6.1.2.2.2 - ii. Affirmative Action (Employment) Act [Seite 360]
6.1.2.3 - c. Objectives and Principles [Seite 361]
6.1.2.4 - d. Scope and Coverage [Seite 361]
6.1.2.5 - e. Institutions and Staff [Seite 369]
6.1.3 - 3. Basics of the Public Procurement system [Seite 374]
6.1.3.1 - a. Procurement Methods [Seite 374]
6.1.3.2 - b. Procurement Planning and Contract Management [Seite 378]
6.1.3.3 - c. Tender Specification, Award Criteria and Evaluation Methods [Seite 380]
6.1.3.3.1 - i. Contents of Tender Documents [Seite 380]
6.1.3.3.2 - ii. Evaluation of Tenders [Seite 383]
6.1.4 - 4. Transparency and Strategies to Counteract Corruption [Seite 391]
6.1.4.1 - a. Specific Procurement-related Transparency Provisions [Seite 391]
6.1.4.2 - b. Non-Procurement specific Regulations [Seite 395]
6.1.5 - 5. Secondary Objectives [Seite 402]
6.1.5.1 - a. Price Preference Policy [Seite 402]
6.1.5.2 - b. Other Socio-Economic Objectives [Seite 404]
6.1.5.3 - c. TIPEEG Tenders [Seite 407]
6.1.5.4 - d. Interim Conclusion [Seite 408]
6.1.6 - 6. Chinese Construction Companies in the Namibian Public Procurement System [Seite 410]
6.1.7 - 7. Review Procedures [Seite 421]
6.1.7.1 - a. Introduction [Seite 421]
6.1.7.2 - b. Administrative Review [Seite 421]
6.1.7.3 - c. Non-Judicial External Review [Seite 423]
6.1.7.4 - d. Judicial Review [Seite 426]
6.1.8 - 8. The main Principles of Public Procurement in Namibian Case Law [Seite 428]
6.1.8.1 - a. Procedural Issues [Seite 428]
6.1.8.2 - b. The Principle of Legality [Seite 431]
6.1.8.3 - c. The Requirement to provide Reasons under Article 18 [Seite 439]
6.1.8.4 - d. CSC Neckartal Dam Joint Venture v The Tender Board of Namibia & Others [Seite 440]
6.1.8.4.1 - i. Background [Seite 440]
6.1.8.4.2 - ii. The Court Decision [Seite 444]
6.1.8.5 - e. Interim Interdicts and the Matter of Urgency [Seite 446]
6.1.8.6 - f. Summary of Case Law [Seite 451]
6.1.8.7 - g. Interim Conclusion [Seite 452]
6.1.9 - 9. Conclusion [Seite 454]
6.2 - Chapter 2: Reform of Public Procurement Law [Seite 458]
6.2.1 - 1. Introduction [Seite 458]
6.2.2 - 2. The Reform [Seite 460]
6.2.2.1 - a. Reform Drivers [Seite 460]
6.2.2.2 - b. Reform Hindrances [Seite 461]
6.2.2.3 - c. The first Steps of a Public Procurement Reform [Seite 464]
6.2.2.4 - d. Legal Drafting [Seite 467]
6.2.2.5 - e. Implementation [Seite 467]
6.2.3 - 3. Organisational Issues [Seite 472]
6.2.3.1 - a. Regulated Process vs. Managerial Task [Seite 472]
6.2.3.2 - b. Decentralised vs. Centralised Approach [Seite 473]
6.2.3.3 - c. Institutional Capacity [Seite 475]
6.2.3.4 - d. Human Resources [Seite 476]
6.2.4 - 4. Procedures and Methods [Seite 478]
6.2.5 - 5. Transparency [Seite 480]
6.2.6 - 6. Secondary Objectives [Seite 482]
6.2.6.1 - a. Inclusion of Secondary Objectives into Public Procurement Law [Seite 482]
6.2.6.2 - b. Inclusion of Environmental Criteria [Seite 485]
6.2.7 - 7. Review Procedures [Seite 486]
6.2.8 - 8. Other Important Considerations [Seite 488]
6.2.8.1 - a. Procurement Planning [Seite 488]
6.2.8.2 - b. Contract Management [Seite 489]
6.2.8.3 - c. E-Procurement [Seite 489]
6.2.9 - 9. Conclusion [Seite 491]
6.3 - Chapter 3: Procurement Reform in Namibia [Seite 496]
6.3.1 - 1. Introduction [Seite 496]
6.3.2 - 2. The Reform Project [Seite 498]
6.3.2.1 - a. Outline of the Reform Process [Seite 498]
6.3.2.2 - b. Reform Drivers [Seite 501]
6.3.2.3 - c. Stakeholders Involvement [Seite 504]
6.3.2.4 - d. Influence of International and Foreign Law [Seite 505]
6.3.2.5 - e. Reform Hindrances [Seite 508]
6.3.3 - 3. Essential Aspects and Recommendations for a new Public Procurement Law [Seite 511]
6.3.3.1 - a. Scope [Seite 511]
6.3.3.2 - b. Objectives and Principles [Seite 513]
6.3.3.3 - c. Organisational Issues [Seite 514]
6.3.3.3.1 - i. Institutions [Seite 514]
6.3.3.3.2 - ii. Human Resources [Seite 520]
6.3.3.4 - d. Methods and Procedures [Seite 522]
6.3.3.5 - e. Transparency [Seite 524]
6.3.3.6 - f. Secondary Objectives [Seite 528]
6.3.3.7 - g. E-Procurement [Seite 531]
6.3.3.8 - h. Procurement Planning [Seite 533]
6.3.3.8.1 - i. Contract Management [Seite 534]
6.3.3.9 - j. Review System [Seite 535]
6.3.4 - 4. Learning from Mistakes - an Attempt to make the Reform a Success [Seite 538]
6.3.4.1 - a. Changes with regard to the Scope [Seite 539]
6.3.4.2 - b. Institutional and Organisational Structure [Seite 541]
6.3.4.3 - c. Review Mechanisms [Seite 543]
6.3.4.4 - d. Interim conclusion [Seite 544]
6.3.5 - 5. Conclusion [Seite 544]
6.4 - Chapter 4: Lessons Learned and Conclusion [Seite 550]
6.4.1 - 1. Conclusion [Seite 550]
6.4.2 - 2. Lessons Learned [Seite 555]
7 - References [Seite 560]
8 - Bibliography [Seite 560]
9 - List of Legislation [Seite 582]
9.1 - Namibia [Seite 582]
9.2 - South Africa [Seite 583]
9.3 - Mauritius [Seite 584]
9.4 - Others [Seite 584]
10 - List of International Legal Instruments [Seite 586]
11 - List of Cases [Seite 588]
11.1 - Namibia [Seite 588]
11.2 - South Africa [Seite 589]
11.3 - WTO Disputes [Seite 591]
12 - Annexes [Seite 592]
12.1 - Annex 1: List of Interview Partners [Seite 592]
12.2 - Annex 2: List of Sample Questions [Seite 594]
12.3 - Annex 3: Essential Aspects of Public Procurement Reform Processes [Seite 596]
12.4 - Index [Seite 600]