Helvetas programmes and projects imply a variety of collaborations at different levels. In programme management, Helvetas distinguishes between different types of collaborations and actors, in particular between.
The purpose of this document is to provide a guidance to Helvetas country offices and projects on how to address the main risks that are likely to happen in a procurement process conducted by Helvetas partners/contracted parties.
When conducting due diligence in the process of selecting a partner/contracted party, this document can also be used as a complementary checklist specifically for partner’s procurement processes and capacities.

Accountability
Checks and balances
Competition
Equality and inclusiveness
Four eyes principles
Impartiality and fairness
Independence
Objectivity
Professionalism
Transparency
Value for money

The initial phase of the process is the most important for this is when the partner is assessed in terms of its maturity for a fair and transparent procurement. The assessment referred to in this document is related to procurement and should complement a regular partner assessment and due diligence conducted by Helvetas.

Mapping of potential partners

Assessment of the partner’s procurement capacities

Selection of the partner and definition of the need for support

Defining requirements and deliverables

Contracting/Collaboration agreement

Sharing principles and values

Sensitization on fraud and corruption

This phase is about the procurement conducted by the partner and the role of Helvetas in this process.  It carries the highest risks in the entire collaboration, and the staff involved should be highly alerted during the entire process!

Risks

The partner selected or given by the donor does not have the right profile or the necessary capacity for implementing a project according to the acceptable standards.

Good practice

Conduct needs assessment before deciding to finance the project. Engage external consultants to assess the needs and/or the project proposal of the partner.

Risks

The cost estimations are not appropriate, and budget allocated for the project is either too high or too low.

Good practice

Include in the project budget all the necessary items based on acceptable standards and market prices.

Procurement notice

Selection of appropriate procurement method

Tender specifications

Request for tender dossier

Distribution of tender dossier

Receipt of offers

Registration of offers

Storage of offers

Tender evaluation committee (TEC)

Opening of offers

Validation of offers (assessment of eligibility)

Evaluation process

Selection of the supplier

Awarding a contract

Risks

Deadlines for complaints are too short, inhibiting applicants to submit their complaints timely..

Good practice

Monitor the complaints process through Helvetas staff or external experts. Pay attention to the appointment of members, qualification of members, timelines, handling of complaints, etc.

Risks

No monitoring from the side of the partner.

Good practice

Observe that the partner is monitoring project implementation properly and in line with the agreed rules. Pay attention to definition of roles and responsibilities, report templates, quality of reports, etc.

Risks

Acceptance of deliverables which are not according to the required standards.

Good practice

Monitor that the acceptance is done according to the agreed rules and quality standards. Engage Helvetas staff or external experts to monitor acceptance of deliverables, and/or undertake independent (third party) field visits.

Risks

Terms of reference and contract with the audit are not up to Helvetas expectations.

Good practice

Monitor implementation of the agreed rules regarding the review and approval of the Terms of reference, but also for following up on audit recommendations.

Risks

Project closure by the partner is not properly documented.

Good practice

Check that the entire documentation is available and properly filed by the partner. Depending on the roles, Helvetas shall archive its part of documentation.

The collaboration agreement from the initial phase lays the basis for all activities performed in this phase. The result phase is about reviewing the results of the partner by Helvetas. The users should refer to the earlier phases and steps to cross-reference the information to mitigate the risks.

Assessment of the activity

Review of the agreed documentation

Payment based on positive review of required documentation

External independent audit

Retender if needed or sanctions

Closure of project