
Joint Public Procurement and Innovation
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This in-depth research investigates innovation in public procurement from three different perspectives. First, leading academics and practitioners assess the purchase of innovation, with a particular focus on urban public contracting in smart cities involving meta-infrastructures, public-private partnership arrangements and smart contracts. A second line of inquiry looks for ways to encourage innovative suppliers. Here, the collected authors draw on emerging lessons from the US and Europe, to explore both the costs and the benefits of spurring innovation through procurement.
A third perspective looks to various innovations in the procurement process itself, with a focus on the effects of joint and cross-border procurement in the EU and US landscapes. The chapters review new technologies and platforms, the increasingly automated means of selecting suppliers, and the related efficiencies that "big data" can bring to public procurement.
Expanding on research in the editors' prior volume, Integrity and Efficiency in Sustainable Public Contracts: Balancing Corruption Concerns in Public Procurement Internationally (Bruylant 2014), this volume builds on a series of academic conferences and exchanges to address these issues from sophisticated academic, institutional and practical perspectives, and to point the way to future research on the contractual models that are emerging from new procurement technologies.
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Content
- Intro
- Titre
- Dans la même collection
- Copyright
- Foreword
- Acknowledgements
- Authors and editors
- Table of contents
- Introduction. - The Promise and Perils of Innovation in Cross-Border Procurement
- 1. Innovation in Procurement: Its Meanings, and How It Is Addressed in this Book
- 1.1. Purchase of innovation
- 1.2. Innovation in Procurement
- 1.3. Innovation in the Procurement Process
- 2. Innovation Through Cross-Border Procurement: Key Constraints
- 2.1. First Constraint: A Friendly Environment
- 2.2. Second Constraint: The Context
- 2.3. Third Constraint: The Centralized Procurement Agencies
- 2.4. Fourth Constraint: Language Barriers and Limited Procurement Professionals
- 3. Conclusion
- Part I - Crossborder Procurement and Innovation
- Chapter 1 - Process Innovation Under the New Public Procurement Directives
- 1. Introduction
- 2. Joint Cross-Border Public Procurement
- 2.1. Joint cross-border procurement using a CPB
- 2.2. Joint cross-border procurement between contracting authorities from different Member States
- 2.3. Joint cross-border procurement: the policy dimension
- 3. Cooperative procurement
- 3.1. CPBs and process innovation in public procurement
- 3.2. Current state of play
- 3.3. The systemic relevance of CPBs
- 3.4. The Commission's policy on cooperative procurement
- 4. The digitisation of public procurement
- 4.1. The phases of the transition to e-procurement
- 4.2. Exceptions to the use of electronic communications
- 4.3. The procurement of works and e-procurement
- 4.4. Interoperability of digital solutions across the Single Market and adjustments to technological development
- 4.5. Security levels and electronic signature
- 4.6. E-procurement: A tool to re-engineer the public procurement process
- 5. The European Single Procurement Document (ESPD)
- 5.1. The ESPD and the "winner only" principle
- 5.2. The ESPD and the Single Market dimension
- 5.3. The ESPD as a driver for the introduction of the 'once-only' principle
- 5.4. Initial implementation of the ESPD
- 6. Conclusions
- Chapter 2 - Cooperative Purchasing: A US Perspective
- 1. Introduction to cooperative purchasing
- 1.1. Fair and Open Competition, Transparency, and Accountability
- 1.2. The Case for Cooperative Purchasing
- 2. The Legal Basis
- 2.1. ABA Model Procurement Code
- 2.2. A State Example: Minnesota Law
- 3. Common Types of Cooperatives
- 3.1. Formal Cooperatives
- 3.2. Piggybacking
- 3.3. Third-Party Aggregators
- 4. From Types to Characteristics
- 4.1. Formality as a factor
- 4.2. Piggy-backing as a factor
- 4.3. Third-Party Aggregation as a Factor
- 5. A Sample of U.S. Federal and State Cooperatives
- 5.1. Federal Cooperative Purchasing Program and State Equivalents
- 5.2. Federal - State Equivalents
- 5.3. NASPO ValuePoint
- 5.4. Minnesota Multistate Contracting Alliance for Pharmacy (MMCAP Infuse)
- 5.5. Common Characteristics and Ranges
- 6. Deciding to Participate in Cooperative Purchasing
- 6.1. Moving forward with cooperative purchasing
- 6.1.1. Quantity and pricing considerations
- 6.1.2. Meeting fair and open competition requirements
- 6.1.3. Legal compliance
- 6.1.4. Equality and sustainability - A case for balance
- 6.2. Keys to success
- 6.3. Additional considerations
- 7. Conclusion
- Chapter 3 - European Joint Cross-border Procurement and Innovation
- 1. The Challenges for Cross-border Procurement
- 2. The European Administrative Cooperation among Public Administrations
- 3. Cooperation Agreements involving Contracting Authorities from Different Member States
- 4. The European Territorial Cooperation Grouping and other Joint Entities
- 5. The Different models of Cross-border Joint Procurement: Joint award or Use of Offered Centralised Purchasing Activities
- 6. Innovative Joint Cross-border Procurement Strategies through Framework Agreements
- 7. The Execution Phase of Joint Cross-border Contracts
- 8. Lessons Learned from Transatlantic Experiences
- Chapter 4 - The Relevance of Promoting Collaborative and Joint Cross Border Procurement for Buying Innovative Solutions
- 1. Introduction
- 2. The Public Procurement of Innovative Solutions as Public Strategy: The Importance of 'Demanding' Innovation by the Public Sector
- 3. Origin and Development of the Idea of Using Public Procurement as an Instrument for Fostering Innovation in the EU
- 3.1. Innovation in EU soft law. Key milestones and the promotion thereof with the approval of the Europe 2020 strategy
- 3.2. The strengthening of the CPI through Directive 2014/24/EU
- 4. What are we talking about when we talk about 'Joint Public Procurement'?
- 5. Directive 2014/24/EU and the Increasing Opportunities for Joint Cross-Border Public Procurement?
- 6. Collaborative or Joint Cross-Border Public Procurement for Boosting Innovative Solutions
- 6.1. Introduction: new strategic approach to innovation
- 6.2. Spurring institutional channels in order to achieve information, exchange experiences and provide support (economic, legal, etc.)
- 6.3. Elements for success of the PPI, particularly within the framework of joint international procurement
- 6.3.1. Technological and market surveillance, as instruments for identifying and effectively planning purchase needs
- 6.3.2. The preparation of 'early demand maps'
- 6.3.3. Preliminary market consultations
- 6.3.4. The support of multidisciplinary technical groups
- 7. Innovative SMEs: The Need to Accommodate Them in Joint Cross-Border Public Procurement Procedures
- 8. Analysis of Cases
- 8.1. The DECIPHER Project
- 8.2. The PAPIRUS Project
- 9. Conclusions
- Part II - Smart Cities and Procurement
- Chapter 5 - Smartness and the Cities
- 1. Smartness and the city
- 2. Smartness: Some implications
- 3. Smartness and public administration: A fresh start
- 4. Smartness and public procurements
- Chapter 6 - Public Contracts and Smart Cities
- 1. Introduction
- 2. Transformations Induced in Urban Functioning by the Evolution Towards 'Smart Cities'
- 2.1. Transformation of the urban infrastructure
- 2.2. Digitalization and data
- 2.3. Changes in governance
- 3. (Already partially observed) consequences upon contractual procedures and regimes
- 3.1. Digitalization of procedures and overwhelming presence of data
- 3.2. Concern for sustainable development
- 3.3. Innovation as a central issue
- 4. (Probable) long-run consequences on categories of contracts
- 4.1. More parties assembled
- 4.2. More (functionally) global contracts
- 4.3. Longer terms
- Chapter 7 - Procurement and Smart Cities: Exploring Examples on Both Sides of the Atlantic
- 1. Introduction
- 2. Public Policy as Main Driver for Smart Cities' Innovation
- 2.1. First steps - Operational changes
- 2.2. Building on public needs
- 2.3. Smart cities require combined operation of traditional services and e-services
- 3. Smart Cities Need Innovative Procurement Techniques
- 3.1. Needs assessments
- 3.2. Procurement design
- 4. Going Beyond Public Procurement Contracts: Smart Public-Private Collaboration
- 5. Contracts for Smart Cities Need to Find Smart Financing
- 6. Special Clauses for Contracts in Smart Cities
- 6.1. Data collection
- 6.2. Data release policy
- 6.3. Data protection
- 7. Designing Contracts for Smart Cities
- 7.1. Global contracts for smart cities
- 7.2. Specific clauses on technical adaptation are needed
- 8. Conclusion
- Chapter 8 - From Works Contracts to Collaborative Contracts: The Challenges of Building Information Modeling (BIM) in public procurement
- 1. Introduction
- 2. Collaborative and integrated processes in public works contracts
- 3. Construction procurements and contracts models in different legal systems
- 4. Collaborative Contracts: Relational Project Delivery Arrangements (RPDAs)
- 4.1. Multi-party and Poly-party contracts
- 4.2. Early Involvement of Key Participants
- 4.3. Goals validation and global optimization
- 4.4. Shared risk and rewarding
- 4.5. Decision making in Relational Projects Delivery Arrangements
- 4.6. Liability among Contract Parties
- 4.7. Teamwork and New Project Delivery Phases
- 4.8. Building Information Modeling challenges
- 5. Integrated Project Delivery and Culture of Collaboration
- 5.1. A Focus on the European Experience on Collaboration
- 6. Comparison among different Contract Procedures in the Private Sector and challenges for their application in Public Procurement
- 7. Conclusions
- Part III - Encouraging Innovation
- Chapter 9 - Public Procurement as a Strategy for the Development of Innovation Policy
- 1. The European reform of public procurement's main objectives
- 2. The European public procurement reform's areas
- 3. Public Procurement as a Strategy
- 4. Public Procurement as a tool to promote innovation
- Chapter 10 - State Aid and Procurement for Research, Development and Innovation
- 1. Introduction
- 2. Conceptual Background - Instruments for State Intervention on Public Markets
- 3. Public Procurement for Innovation
- 3.1. From classical procurement to strategic procurement
- 3.2. The legal provisions
- 3.3. The Innovation partnership
- 3.4. The concepts of PCP and PPI
- 3.4.1. Pre-Commercial Procurement (PCP)
- 3.4.2. Public Procurement for Innovation
- 4. State Aid for R&D&I
- 5. Public Procurement for Innovation vs State Aid for Innovation
- 6. Final Considerations
- Chapter 11 - The U.S. Small Business Innovation Research (SBIR) Program: A Comparative Assessment
- 1. Introduction
- 2. The SBIR Program: Description
- 2.1. Governing Statutes and Policies
- 2.2. Description of SBIR Phases I, II, and III
- 3. Measuring SBIR Program Success
- 4. European Union (EU) Innovation Program
- 5. Defining Features of SBIR Contracts
- 5.1. Award Preferences
- 5.2. Data Rights
- 5.3 Competition
- 6. Conclusion and Recommendations
- Chapter 12 - Innovation Partnerships: Purpose, Scope of Application and Key Elements of a New Instrument of Strategic Procurement
- 1. Innovation Partnership as a Specific Instrument of Strategic Procurement
- 1.1. Scope of application
- 1.1.1. Solutions available on the market do not meet the procurement need
- 1.1.2. Connection of the innovation to the subject-matter of the contract
- 1.2. Degree of Innovation
- 1.2.1. Development and purchase of innovations
- 2. Distinguishing Innovation Partnerships From Other Procedures Which Also Promote Innovation
- 2.1. Key elements of the award procedure
- 2.1.1. Submission of requests to participate
- 3. Negotiation
- 4. Performance of the Innovation Partnership
- 5. Outlook: Made for 'Big Innovation'
- Part IV - Innovation in the Procurement Process
- Chapter 13 - Innovation in the Evaluation of Public Procurement Systems
- 1. Introduction
- 1.1. Background, the creation and evolution of the MAPS
- 2. The revision process of the MAPS
- 3. The New Methodology for Assessing Procurement Systems (MAPS 2018)
- 3.1. Pillar I - Legal, Regulatory and Policy Framework
- 3.2. Pillar II - Institutional Framework and Management Capacity
- 3.3. Pillar III - Procurement Operations and Market Practices
- 3.4. Pillar IV - Accountability, Integrity and Transparency of the Public Procurement System
- 4. The governance structure of the New MAPS
- 4.1. MAPS Partners
- 4.2. MAPS Network
- 4.3. Steering Committee
- 4.4. Technical Advisory Group
- 4.5. The MAPS Secretariat
- 4.6. Objective 1: Promotion of the tool/MAPS
- 4.7. Objective 2: Quality control/assurance of assessments and of assessors
- 4.8. Objective 3: Impact studies around the use of MAPS, including collection of statistics/data
- 4.9. Objective 4: Maintenance of the tool (future improvements)
- 4.10. Objective 5: Training for officials and assessors
- 5. Conclusion
- Chapter 14 - The Pursuit of Streamlined Purchasing: Commercial Items, E-Portals, and Amazon
- 1. Introduction
- 2. Procurement Reform and Commercial Items
- 3. Federal Purchase Cards and Lessons Learned
- 4. Commercial Item Purchases - The Next Steps
- 5. Amazon.gov
- 6. Streamlined Procurements - Lessons Learned
- 6.1. Purchase cards
- 6.2. Framework agreements
- 6.3. Bid protests
- 7. Conclusion
- Chapter 15 - Preliminary Market Consultations in Innovative Procurement: A Principled Approach and Incentives for Anticompetitive Behaviors
- 1. Fundamentals
- 1.1. Introduction
- 1.2. Concept
- 1.3. Primary and secondary goals of PMC. Expansion of the figure
- 2. Regulation
- 2.1. Precedents
- 2.2. Directive 2014/24, on public procurement
- 2.3. Transposition to national laws
- 2.3.1. Spain
- 2.3.2. United Kingdom
- 2.3.3. France
- 2.4. Full regulation may not be the best option
- 3. Some Features of the Public Market Consultation
- 3.1. The PMC as a process
- 3.2. Formats
- 3.3. Advisor
- 4. Principles of Public Procurement in PMC: Non-discrimination, Transparency and Competition
- 4.1. Principle of non-discrimination
- 4.2. Principle of transparency
- 4.3. Principle of competition
- 4.3.1. Information asymmetries
- 4.3.2. Incentives for competing in PMC
- 4.3.3. Incentives for colluding in PMC
- 4.3.4. Risk for competition from the PMC design
- 4.3.5. Risk for competition from the consulted firms
- 4.3.6. Incentives for an autonomous competition in PMC
- 4.3.7. Position of the Spanish Competition Authority
- 5. Prior Involvement of Tenderers in PMC
- 5.1. Fabricom and Article 41 of Directive 2014/24
- 5.2. Direct and indirect participation in the previous PMC
- 5.3. Scope and limits of the exclusion
- 5.3.1. Right of defence and right to appeal
- 5.3.2. Exclusion
- Chapter 16 - On the Non-tariff Barriers Obstructing Free Trade in the Transatlantic Defense Procurement Market
- 1. Introduction
- 2. Defense Procurement in the United States
- 2.1. History
- 2.2. Constitutional features
- 2.2.1. Built-in gridlock
- 2.2.2. A strong legislature
- 2.2.3. The centrality of defense
- 2.3. Law
- 2.3.1. Internal federal procurement laws
- 2.3.2. External federal procurement laws
- 3. Defense Procurement in the European Union
- 3.1. History
- 3.1.1. The Treaty of Westphalia
- 3.1.2. Cold War
- 3.1.3. Post-Cold War
- 3.2. Constitutional features
- 3.2.1. Protectionism and fragmentation
- 3.2.2. Common security and defense policy
- 3.2.3. Separateness of defense
- 3.3. Law
- 3.3.1. Internal laws
- 3.3.2. External laws
- 4. Toward a Free Market in Defense
- 4.1. Comparisons
- 4.2. Mutual benefits from removing non-tariff barriers
- 4.3. Economics
- 4.4. Capabilities
- 4.4.1. Politico-military
- 5. Strategies for Removing, Mitigating, and Avoiding Non-Tariff Barriers
- 5.1. The long-term strategy for removing non-tariff barriers: harmonization via reciprocal defense agreements
- 5.2. Medium-term strategies for mitigating non-tariff barriers
- 5.2.1. Addressing public relations
- 5.2.2. Debunking the trade imbalance
- 5.2.3. Reforming export control regimes
- 5.2.4. Consolidation versus specialization
- 5.3. A near-term strategy for avoiding non-tariff barriers: the U.S. foreign military sales program as a model for collaborative procurement
- 5.3.1. The U.S. foreign military sales program
- 5.3.2. Collaborative procurement in the EU
- 5.3.3. FMS as a model for collaborative procurement
- 6. Conclusion
- Chapter 17 - Electronic Means as an Approach to Public Purchasing
- 1. Introduction: Electronic Tools for the Public Procurement Cycle Management
- 2. Innovation through e-Procurement in the 'Pre-Awarding Phase'
- 3. Innovation through e-Procurement in the 'Awarding Phase'
- 3.1. The electronic platform in public procurement
- 3.2. The European Single Procurement Document - ESPD
- 3.3. E-Submission
- 3.4. E-Award
- 3.5. Electronic Auctions
- 3.6. Electronic catalogues
- 3.7. The Dynamic Purchasing System: future perspective on their use
- 4. The Management of Public Contracts through Electronic Means and the e-Invoice
- 5. Conclusions
- Chapter 18 - A Qualitative Step from e-Communication to e-Procurement: the Estonian e-Procurement Model
- 1. Introduction
- 2. Background and Recent Developments
- 2.1. Time-line of developing e-procurement in Estonia
- 2.2. Characteristics of the Estonian e-Procurement Register
- 2.3. Comprehensive e-procurement environment
- 3. Legal Challenges and Possibilities Attributed to Electronic Procurement
- 3.1. Does the e-procurement system support the primary goals of the EU public procurement policy?
- 3.2. Does the e-procurement system support secondary EU public procurement policy goals?
- 3.3. Does the e-procurement system support the objective of effective review proceedings?
- 4. Conclusions
- Chapter 19 - An Overview of Innovative Procurement in Eastern Europe
- 1. Introduction
- 2. The Role of Public Procurement as a Driver of Innovation
- 3. Demand-Driven Approaches to Public Procurement in the EU Policy Framework
- 4. The Challenges in Transposition of EU Procurement Regulations in Eastern Europe
- 5. A Case Study on PPI in Eastern Europe: Lessons Learned from the PPI2Innovate Project
- Chapter 20 - The New Asian Development Bank Procurement Policy and Regulations: Promoting Innovation in Public Procurement in Asia?
- 1. Introduction
- 2. Asian Development Bank and Asia: Its Past, Present and Future
- 3. ADB's Milestones in Procurement Reforms, 1960s to 2017
- 4. ADB at 50: Innovations in Public Procurement
- 4.1. Quality-based procurement principles
- 4.1.1. Quality
- 4.1.2. Value for Money (VFM) as a core procurement principle
- 4.2. Procurement risk framework
- 4.3. New practices
- 4.3.1. Contract management
- 4.3.2. Abnormally low bids
- 4.4. Specialized areas
- 4.4.1. Fragile, conflict-affected and emergency situations
- 4.4.2. E-procurement
- 4.4.3. Public-private partnerships
- 4.4.4. High-level technology
- 4.5. Strategic procurement planning
- 4.5.1. Procurement review
- 4.5.2. Alternative procurement arrangements
- 4.6. Procurement methods
- 4.6.1. Consulting services and non-consulting administered by ADB borrowers
- 4.6.2. Framework agreements for consulting services
- 4.7. Bidding procedures
- 4.8. Complaints, compliance and eligibility
- 4.8.1. State-owned enterprises (SOEs)
- 5. Moving Forward: ADB Strategy 2030 Achieving a Prosperous, Inclusive, Resilient and Sustainable Asia and the Pacific
- 6. Conclusion
- Chapter 21 - Innovation in Public Procurements in the Egyptian PPP Legislation (With reference to PPP Legislation in Dubai and Kuwait)
- 1. Introduction
- 2. New Award Procedures in PPP Legislation in Egypt, Kuwait and Dubai: Concepts
- 3. Award Procedures in PPP Legislation in Egypt, Kuwait and Dubai: Innovations
- 3.1. Profile of innovation in award procedures in the Egyptian PPP legislation
- 3.2. Award evaluation in the Egyptian PPP legislation
- 3.3. PPP legislation in Dubai
- 3.4. Direct contracting in Dubai PPP legislation
- 3.5. The PPP legislative and regulatory frameworks in Kuwait
- 3.6. Terms for qualifications
- 3.7. Evaluation of offers
- 3.8. Submission of one proposal
- 3.9. Review proceedings
- 3.10. Innovation in PPP award procedures to encourage Foreign Direct Investments (FDI) in Arab Countries
- 3.11. How innovation in award procedures in PPP in Arab countries can improve socio-economic developments
- 4. Conclusions
- Chapter 22 - Autonomy and Innovation in Italian Regional Procurement: the Sicilian Case
- 1. Regional Contracts and Competition from a European Perspective
- 2. The Coexistence of a National Legislation with the System of Regional Competencies in Public Procurement in Italy: The Sicilian Case
- 3. The Aggregation of Public Procurement in Sicily
- 4. Final Considerations
- Chapter 23 - Innovation in the Public Procurement Process in Armenia: A Strategy for EU Integration
- 1. Introduction
- 2. Public Procurement System of Armenia in the context of Eurasian Economic Union
- 2.1. Public Procurement System of Soviet Armenia
- 2.2. Innovations in Public Procurement System of Post-Soviet Armenia
- 3. Capacity for Innovation in Armenian Procurement Processes through Strategic Application of Organizational Models
- 3.1. Trials for establishment of a partially centralized procurement system
- 3.2. Possibilities for joint cross-border innovation and the EU-Armenia enhanced partnership and cooperation agreement
- 4. What Armenia Can Learn from other Post-Soviet Union Countries
- 4.1. Innovations in Georgia's public procurement system
- 4.2. Georgia's successful example for EU integration
- 5. Conclusions
- Detailed Table of contents
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