世界银行-企业层面调查的公共采购证据：世界银行企业调查的全球统计数据和一个新的公共采购调查模块（英）-2023..docx

XGOVERNANCEEQUITABLEGROWTH.FINANCE&INSTITUTIONSINSIGHTP Zuofnv alnsoosQo=qndEvidenceonPublicProcurementfromFirm-LevelSurveysGlobalStatisticsfromtheWorldBankEnterpriseSurveysandaNovelPublicProcurementSurveyModuleWorldbankgroup©2023InternationalBankforReconstructionandDevelopment/TheWorldBank1818HStreetNWWashingtonDC20433Telephone:Internet:www.woridbank.orgThisworkisaproductofthestaffofTheWorldBankwithexternalcontributions.Thefindings,interpretations,andnclusionsexpressedinthisworkdonotnecessarilyreflecttheviewsofTheWorldBank,itsBoardofExecutiveDirectors,orthegovernmentstheyrepresent.TheWorldBankdoesnotguaranteetheaccuracy,mpleteness,orcurrencyofthedataincludedinthisworkanddoesnotassumeresponsibilityforanyerrors,omissions,ordiscrepanciesintheinformation,orliabilitywithrespecttotheuseoforfailuretousetheinformation,methods,processes,orconclusionssetforth.Theboundaries,colors,denominations,andotherinformationshownonanymapinthisworkdonotimplyanyjudgmentonthepartofTheWorldBankconcerningthelegalstatusofanyterritoryortheendorsementoracceptanceofsuchboundaries.NothinghereinshallconstituteorbenstruedornsideredtobealimitationuponorwaiveroftheprivilegesandimmunitiesofTheWorldBank,allofwhicharespecificallyreserved.RightsandPermissionsThematerialinthisworkissubjecttocopyright.BecauseTheWorldBankencouragesdisseminationofitsknowledge,thisworkmaybereproduced,inwholeorinpart,fornoncommercialpurposesaslongasfullattributiontothisworkisgiven.Attribution:Pleasecitethisbriefasfollows:WorldBank.2023.uEvidenceonpublicprocurementfromfirm-levelsurveysGlobalstatisticsfromtheWorldBankEnterpriseSurveysandanovelpublicprocurementsurveymodule”EquitableGrowth,Finance&InstitutionsInsight.Washington,DC:WorldBank.Anyqueriesonrightsandlicenses,includingsubsidiaryrights,shouldbeaddressedtoWorldBankPublications,TheWorldBankGroup,1818HStreetNW,Washington,DC20433,USA;fax:202-522-2625;e-mail:pubrightsworldbank.org.»>AcknowledgmentsThispaperisjointlypreparedbytheEFIGovernanceandtheEnterpriseSurveyUnit.SerenaCocciolo(Enomist,EPSPA),DomenicoViganola(Economist,DECEA),andRuggeroDoino(ResearchAnalyst,DIME3)authoredthispaperundertheguidanofAdenikeSherifatOyeyiola(PracticeManager,EGVPF),JorgeLuisRodriguezMeza(PracticeManager,DECEA),SnezanaMitrovic(Adviser,EGVPF),andTraceyLane(PracticeManager,EAWG2).ThepaperusestheWorldBankEnterpriseSurveysdata,inparticularthestandardsurveysandaprocurementmodulepilotedinCroatia,Poland,andRomaniainMay-June2021.TheprocurementmodulewasdevelopedjointlybytheWorldBankEnterpriseAnalysisUnitandtheWorldBankGovernanceGlobalPracticeinparticular,bySerenaCocciolo,DomenicoViganola,andSushmitaSamaddar-withvaluableinputsfromElenaCarmenCalin,FilipJolevski,NonaKaralashvili,andSilviaMuzi.ThepaperalsobenefitedfromtheinputsreceivedfromtheparticipantsoftheEnterpriseSurveyUnitseminarandfrompeerreviewersManjolaMalo(SeniorProcurementSpecialist,ELCRU),CarmenCalin(ProcurementSpecialist,EECRU),andArvindJain(SeniorEconomist,DECEA).»>ContentsExecutiveSummary81. Introduction92. WBESDataandSample123. DesignofFirm-LevelSurveystoGenerateEvidenceonPublicProcurement4. EvidenceonFirms,ParticipationinPublicProcurementJ.64.1. Whyfirm-levelsurveydataisimportant164.2. EvidencefromtheWBESJ_75. Evidenceonbarrierstoandchallengesofparticipationinpublicprocurementfromtheperspectiveoffirms5.1. WhyFirm-LevelSurveyDataisImportant255.2. EvidencefromtheWBES266. EvidenceontheExperienceofBiddersandSuppliers326.1. WhyFirm-LevelSurveyDataisImportant326.2. EvidencefromtheWBES337. Conclusions36References38Annex A: PublicProcurementModulefromtheEnterpriseSurveyQuestionnaireAnnex B: SurveyImplementationMethodology43Annex C: DefinitionofKeyVariablesandEmpiricalAnalysisAnnex D: AdditionalAnalysisandRobustnessChecks48Annex E: SampleDescription67Annex F: InstitutionalBackgroundforCroatia,Poland,andHRomaniaFiguresFigure1.CountrieswithOneorMultipleWBESWave13Figure2.SurveyDesignDecisions15Figure3.Country-LevelParticipationRatesinPublicProcurement18Figure4.ParticipationRatesinPublicProcurementAcrossRegions18Figure5.Country-LevelGapsinParticipationRatesinPublicProcurementbetweenSMEsandLargerFirms20Figure6.Country-LevelTrendsinParticipationRatesinPublicProcurement21Figure7.RegionalTrendsinParticipationRatesinPublicProcurement22Figure8.PerceptionofObstacles(Croatia)27Figure9.PerceptionofObstacles(Poland)27Figure10.PerceptionofObstacles(Romania)28Figure11.MainAdministrativeObstaclebeforeContractSignature29Figure12.MainReasonforLackofTrustintheProcess29Figure13.MainGeographicalBarriertoSecuringaGovernmentContract30Figure14.BiggestChallengeExpectedWhenWorkingUnderaGovernmentContract30Figure15.Country-LevelRateofFirmsExpectedtoGiveGiftstoSecureaGovernmentContract34Figure16.RateofFirmsExpectedtoGiveGiftstoSecureaGovernmentContractAcrossRegions»>TablesTable1:ShareofCountrieswithPublicProcurementLawRequirementforAwardstoSMEs23Table2:TrendsinParticipationRatesinPublicProcurementbetween2013and2018,byFirmType(Kenya)Table 3: ShareofFirmsthatReceivedanyGovernmentContractsUnderAffirmativePlatform,byFirmType(Kenya)Table 4: ExperienceofBriberyandLackofTrustintheProcess242431»>AbbreviationsWBESWorldBankEnterpriseSurveyeGPE-GovernmentProcurementGPPGreenPublicProcurementGPPDGlobalPublicProcurementDatabasePPAPublicProcurementAuthoritySMEsSmallandMedium-sizedEnterprisesEAPEastAsiaandthePacificECAEuropeandCentralAsiaLACLatinAmericaandtheCaribbeanMENAMiddleEastandNorthAfricaSASouthAsiaSSASub-SaharanAfrica»>ExecutiveSummaryPublicprocurementisattheintersectionbetweenthepublicandtheprivatesectors.Ononehand,relyingontheprivatesectorfortheprovisionofcertaingoodsandservicescanenhanceefficiency;ontheotherpublicprocurementcanbeastrategictooltosustainfirms'growthbothintheshortandinthelongterm.Policymakersandpractitionersareincreasinglypayingattentiontothepotentialcatalyticroleofpublicprocurementtopromoteenomicgrowthandinclusiveandsustainabledevelopment,forexamplethroughparticipationofSMEsandwomen-ownedfirmsinthismarket.Tosustainevidence-basedpoliciesinpublicprocurement,firm-levelsurveydatacanbeavaluablesourceofinformationonpublicprocurementmarket.Inparticular,itcancapturedimensionssuchasviewsandperceptionsoffirmsthatcannotbeobservedfrome-governmentprocurementdata,itallowstostudyfirmsthatneverenteredthepublicprocurementmarket,anditprovidesdataforcountriesthathavenotadoptedaneGPsystemyet.First,thispaperprovidesguidanceonhowtodesignahigh-qualityfirm-levelsurveytostudypublicprocurementfromtheperspectiveoffirms.Thefirstsetofdecisionsisonthetargetpopulation:whetherallfirmsintheprivatesectorshouldbeinvitedtoparticipateinthesurvey,oronlyfirmswithsomepreviousexperienceinpublicprocurement.Thesecondsetofdecisionsisonthesamplingdesign,whichiscriticaltoensurethatthe(weighted)statisticsfromthefirm-levelsurveydata,suchasthepercentageoffirmsparticipatinginpublicprocurement,areaccurateestimatesoftherealconditionsoftheprivatesector.Thethirdsetofdecisionsisonthemodeofdatacollection,whichshouldbeinformedbythespecificcountrycontextandthecostimplications.Second,thispaperpresentssomeofthestatisticsandstylizedfactsthatcanbegeneratedonpublicprocurementfromtheexistingWorldBankEnterpriseSurveysdata,coveringmorethan150countriesworldwide.Theparticipationrateofprivatefirmsinpublicprocurementis18percent,andsmallfirmsare12percentagepointslesslikelytoparticipateinpublicprocurementthanlargerfirms.Globally,21percentoffirmsthatsecuredorattemptedtosecureatleastonegovernmentcontractinthe12monthspriortotheinterviewstatethatfirmssimilartotheirstypicallymakeinformalpaymentsorgivegiftstosecuregovernmentntracts.AprocurementquestionnairemodulepilotedinCroatia,Poland,andRomaniaintheperiodMay-June2021showsthat,intheseuntries,administrativebarriersbeforentractsignaturearethebiggestobstacletoattemptingtosecureagovernmentntract,inparticulartheamountofeffortrequiredforbidpreparationandthelengthoftheprocessafterbidsubmission.Togetherwithlegislativeandinstitutionalreviews,andtheanalysisoftransactionalprocurementdata,firm-levelsurveydatacanbeusedtoidentifyweaknessesofapublicprocurementsystemandinformreformefforts.TheWorldBankEnterpriseSurveysmicrodataarepubliclyavailableforresearchandanalyticalstudies,andtheWorldBankiscontinuingexpandingitsefforttogenerateglobaldataonpublicprocurement.»>IntroductionPublicprocurementisasizeableeconomicactivity,andthereisincreasingattentiononhowitcanstrategicallycontributetoequitableandsustainableeconomicgrowth.Governmentprocurementspendingrepresentsaround15percentofglobalGDP(WorldBankt2022b,1suggestingthatimprovingtheefficiency,effectiveness,andintegrityofpublicprocurementcangeneratesizeablesavingsandcreateadditionalfiscalspace.Beyondfiscalsavings,policymakersandpractitionersareincreasinglypayingattentiontothepotentialcatalyticroleofpublicprocurementtopromoteeconomicgrowthandinclusiveandsustainabledevelopment(WorldBank,2022b:WorIdBank,2023a).Bynature,publicprocurementisattheintersectionbetweenthepublicandtheprivatesector,andthereforeitcanbeastrategictooltosustainfirms'growth.Forexample,inBraZil2FerTaFinan,andSZerman(2015)demonstratethatpublicprocurementcanbeanengineforfirmgrowthbothintheshortandinthelongterm. "Public procurement" refers to government spending on goods, services, and works. The procurement and contracting cycle refers to the sequence of related activities, from needs assessment, through mpetition and award, to payment and ntract management, as well as any subsequent monitoring or auditing (OECD. 2021). Similar results are found by CaDoeIIetti. Giuffrida, and ROViQatti (2022) in the context of Italy. Firms that win government contracts are more likely to stay in the market than marginal losers after the award. This boost is associated with improvements in their credit position and earning substitution, and it lasts longer than the contract duration. Ferraz. Finan, and SZerman (2015) show that firms winning at least one government contract increase firm employee growth in that quarter, and in the future, are more likely to participate and win auctions and expand their business in new markets.Despiteagrowingacademicliterature,thereisstilllimitedevidenonthelinkbetweenpublicprocurementandfirms,whichthispapercontributestoaddressintwoways.First,thispaperdescribeshowfirm-levelsurveydatacanbeusedtogenerateevidenceonfirms,participationinpublicprocurement,andontheperceivedbarriersandchallengeswhenoperatinginthismarket.Withtheincreasinglywidespreadadoptionofe-governmentprocurement(eGP), The World Bank GIObal PUbIiC ProCUremenlDatabaSe (GPPD) provides information on eGP adoption and level of maturity of the eGP system across countries globally. As of 2020,159 countries (74 percent) were reported to have an eGP system, although with varying maturities and functionalities.anincreasingamountofadministrativedataisavailableonprocurementtransactions,andthesedatasourcesaretypicallyusedforresearchandfordata-drivenpublicprocurementdiagnostics.However,bydesign,transactionaldatacannotcapturedimensionssuchasviewsandperceptionsoffirms,anditcannotbeusedtocharacterizefirmsthatneverenteredthepublicprocurementmarket.Firm-levelsurveyscanbeavaluablecomplementarydatasourceforpublicprocurementdiagnostics, WOlId Bank (2022a) provides detailed guidance on using procurement transactions data.especiallyforcountriesthathavenotadoptedaneGPsystemyet,andwheredatacollectionofadministrativedatafrompaperrecordswouldrepresentacostlyendeavor.Thispaperprovidesguidancetoteamsinterestedinusingfirmlevelsurveydatatogenerateevidenceonpublicprocurementfromtheperspectiveoffirms.Thisevidence,whencomplementedbylegislativeandinstitutionalreviews,andbytheanalysisoftransactionalprocurementdata,canbeusedtoidentifyweaknessesofapublicprocurementsystemandinformreformefforts. A comprehensive methodology for assessing public procurement systems (MAPS) has already been developed and implemented in more than 45 countries, and WorICl Bank，2022a) provides a framework for the application of data analytics in public procurement. Using firm-level survey data to analyze public procurement should be considered as complementary to these existing approaches, and it is intended to contribute to expanding the evidence base for procurement reforms.Publicprocurementdiagnosticsbasedonfirm-levelsurveydatacanbeusedaspartofstandalonepublicprocurementassessments,MAPSassessments,orcoreWorldBankdiagnostics. For example, the Croatia Country Economic Memorandum 2022 (WOrid BanK 2023b) and the "Supporting the Efficiency of the Romanian Public Procurement System" project (World Bank, 2022c) use firm-level survey with a focus on public procurement.Second,thispaperusestheWorldBankEnterpriseSurveys(WBES)datatodemonstratetheevidencethatcanbegeneratedfromfirm-levelsurveydataonpublicprocurement.Indoingso,italsoprovidesnovelglobalstatisticsandstylizedfactsonthelinkbetweenpublicprocurementandfirms.TheEnterpriseSurveyscollectawiderangeofinformationthroughinterviewswithformalfirmsin151countries, The Enterprise Surveys focus on firms registered in the country, regardless wtether the ownership is national or international.includingonparticipationinpublicprocurementfor150countries, All 159 firms interviewed in Guinea-Bissau did not respond to the question about their participation in public prurement.makingitpossibletoinvestigateafewcharacteristicsofthepublicprocurementmarketacrossalargesampleofcountries. Further details on the Enterprise Surveys are provided in Annex B.1.ThispaperusestheWBESdatatoprovideanoverviewoffirms'participationinpublicprocurementatthegloballevel,exploringdifferencesinparticipationratesbetweendifferenttypesoffirms(e.g.,smallversuslargefirms)andsectors,andthedriversofparticipation.Additionally,itexploitsanewprocurementmodulepilotedinCroatia,Poland,andRomaniain2021. The module was developed jointly by the World Bank Enterprise Survey Unit and Ihe World Bank Governance Global Practice, in particular, by Serena Cocciolo, Domenico Viganola1 and Sushmrta Samaddar, with inputs from Elena Carmen Calin. Filip Jolevski1 and Nona Karalashvili. The opportunity of piloting this new procurement module in Croatia, Poland, and Romania emerged from the ongoing engagements with government counterparts in the area of public procurement, and the timing of the implementation of the COVID-19 Enterprise Surveys. In particular, at the time of launching the first round of the COVID-19 Enterprise Surveys in May 2020, the World Bank was working on a public procurement assessment in Croatia, a public procurement assessment in Romania, and the preparation of a public procurement focused RAS in Poland. The data for Croatia was used in the Croatia Country Economic Memorandum 2022 (WOrId Bank. 2023b).Thisdataisusedtodemonstratehowfirm-lev