Trung Son Hydropower Company
Consolidated Compliance Checklist
Disclaimer:
These checklists are provided only as a practical reference point for good procurement and supervision practice.
Appropriate reference to those World Bank and Government of Vietnam documents should be made throughout the project cycle. In the event of any conflict between those documents and these checklists the World Bank and Government of Vietnam documents shall always prevail.
Instructions:
1. These Internal Compliance Checklists are for use both by Managers involved in the detailed technical and financial aspects of preparing and processing bid packages, and by Bid Package Captains (BPCs) responsible for expediting packages and ensuring their overall integrity.
2. Checklists are designed to make all participants in bid processing aware of potential corrupt activities both within TSHPCo and among bidders.
3. Managers involved in the technical and financial aspects of a bid will use the individual Process Checklists to both:
a. Prevent potential for corruption by following good procedure in preparing Bidding Documents, Bid Evaluation Reports, Contracts, Contract Claims and Change Orders; and,
b. Detect potential corruption in bidding outcomes.
4. BPCs will use their Consolidated Checklist both to check that the Process Checklists in 3. above have been properly completed, and to prevent and detect potential corruption in administrative processes like issue of Bidding Documents or Receipt of Bids.
5. As a bid package goes through its various stages, only one checklist needs to be completed at each stage. Before starting a stage, Managers and/or BPCs should review the relevant checklists in advance to ensure that its individual items are considered as processing through each stage is done. Completion of the checklist at the end of a stage should therefore be relatively simple and quick.
6. On completing a stage, the lead Manager should review each item in the Process Checklist and write their initials to indicate compliance in the checkbox provided, adding explanatory notes if necessary. If he does not agree with a checklist item, he should not initial it and detailed explanation should be given in the notes.
7. The BPC should then check all items have been initialed, review any explanatory notes and follow up as necessary, write his initials in the Consolidated Checklist to confirm satisfactory completion of the individual Process Checklist, and add further explanatory notes on the Consolidated Checklist if necessary. If he does not agree with a checklist item, he should not initial it and detailed explanation should be given in the notes.
8. For any administrative stages, the BPC is solely responsible for checking compliance and writing his initials against the individual items on the Consolidated Checklist.
9. The BPC may review the Bidding Documents, Bid Evaluation Reports, Contracts, Contract Claims and Change Orders if he wishes to fully understand particular checklist item(s) in a Process Checklist. He must not however take part in preparing such documents.
10. In most cases, a checklist need only be completed once at the end of the particular stage of the project cycle. In the case of construction supervision however, it is suggested that checklists 4.1 and 4.2 be completed quarterly.
11. Primary responsibility for the integrity of Bidding Documents, Bid Evaluation Reports, Contracts, Contract Claims and Change Orders and the processes and procedures associated with them rests with the Managers preparing them. Many of these documents require prior or post review and no objection by the World Bank. The Checklists are meant to help avoid problems in such reviews, not to duplicate them.
12. The BPC is responsible for ensuring proper use of the checklists as an integral part of TSHPCo’s Anti-Corruption system.
13. The Bid Package Captain is also responsible for maintaining adequate records and archiving of these checklists.