Comprehensive Procurement Checklist

• Organization/Department Name

• Location
  Address

• Conducted on

  Date

• Prepared by

AUTHORITY & RESPONSIBILITY

• Is there statutory or ordinance authority for placing purchasing authority with one official or department?

  Yes

  No

  N/A

• Does the authorization extend to federally funded programs?

  Yes

  No

  N/A

• Does the authorization prohibit delegation of portions of the authority to other units in the government?

  Yes

  No

  N/A

• If not, what delegations of authority are currently in effect?

• Is there a written procurement statute, ordinance, or policy statement...

• • locating purchasing responsi-bility in a special position within the government independent of major using activities?

  Yes

  No

  N/A

• • describing the overall pur-chasing goals & objectives?

  Yes

  No

  N/A

• • specifying the authority of the purchasing department in all aspects of acquisition, contract administration, quality assurance, and surplus property transfer and disposal?

  Yes

  No

  N/A

• • specifically setting out all aspects of purchasing delegated to other departments, and the manner in which such activities are to be monitored & controlled by purchasing?

  Yes

  No

  N/A

• • providing that purchasing may promulgate implementing regulations?

  Yes

  No

  N/A

• • covering a code or standard of conduct governing the performance of purchasing officials and personnel as well as contractors or their agents?

  Yes

  No

  N/A

• Do the statutes, ordinances, or regulations prescribe dollar limits for each of the varying degrees of formality used in soliciting bids?

  Yes

  No

  N/A

• If so, list source, limits, and degree of formality

• Does purchasing have written policies & guidelines defining what factors are to be considered in determining the responsiveness of a bid as well as the contractor's capacity to perform?

  Yes

  No

  N/A

• Are these factors included in the invitation for bids so that the potential bidder knows what is required?

  Yes

  No

  N/A

• Does purchasing have written policies & guidelines governing the use in the bid specification of such clauses as...

• • Option for additional units above the specific quantity?

  Yes

  No

  N/A

• • Alternate prices, with & without trade-ins?

  Yes

  No

  N/A

• • Conditions under which all bids may be rejected in whole or in part?

  Yes

  No

  N/A

PLANNING & SCHEDULING ACQUISITIONS

• Is the purchasing department included in all top-level planning affecting future procurement practices or needs?

  Yes

  No

  N/A

• Does purchasing have written instructions governing itself or using departments and agencies...

• • to forecast future item needs?

  Yes

  No

  N/A

• • to provide past usage data?

  Yes

  No

  N/A

• Is the government's financial management information system structured to accumulate such data as quantities purchased, ordering frequencies, vendor performance, and unit prices per transaction?

  Yes

  No

  N/A

• Does the purchasing department use market research to secure economic information which may affect purchasing, such as...

• • current market conditions of items bought on long-term contracts?

  Yes

  No

  N/A

• • changes in local program needs?

  Yes

  No

  N/A

• • technical progress affecting supply or equipment production?

  Yes

  No

  N/A

• • seasonal requirements or fluctuating markets?

  Yes

  No

  N/A

• • transportation costs?

  Yes

  No

  N/A

• Are value analysis appraisals made annually for a stipulated percentage of items being procured?

  Yes

  No

  N/A

• If so, which of the following considerations are covered by the appraisals

• • new sources of supply?

  Yes

  No

  N/A

• • standardization of items?

  Yes

  No

  N/A

• • identification of new and better products?

  Yes

  No

  N/A

• • identification of alternative products, including aspects of price and quality?

  Yes

  No

  N/A

• • storing and handling, vendor stocking costs?

  Yes

  No

  N/A

• other? Specify

• Does purchasing review at least annually past usage and requirement forecasts to assess the potential for consolidating and/or reducing purchase requirements?

  Yes

  No

  N/A

• Does purchasing have an ongoing program to assess the appropriateness of the manner used to satisfy requirements?

  Yes

  No

  N/A

• Does the program involve the use of questionnaires or discussions with other government units as well as prospective suppliers?

  Yes

  No

  N/A

• Does purchasing use for satisfying requirements contracting methods such as...

• • definite quantity, definite period?

  Yes

  No

  N/A

• • minimum (guarantee) quantity, definite period?

  Yes

  No

  N/A

• • estimated (indefinite) quantity, definite period?

  Yes

  No

  N/A

• • estimated (indefinite) quantity, indefinite period (until canceled by either party)?

  Yes

  No

  N/A

• Has the decision to use a particular form of contracting for satisfying specific requirements been reassessed during the last year?

  Yes

  No

  N/A

• Does purchasing make lease v. purchase comparisons in acquiring equipment, such as vehicles?

  Yes

  No

  N/A

• Does purchasing evaluate whether it is more economical to make the item or perform the service in-house v. contracting out?

  Yes

  No

  N/A

• Does purchasing...

• • monitor frequency & volume of purchases of the same or similar items to see whether a term contract might be cheaper?

  Yes

  No

  N/A

• • monitor different departments' purchase requests for the same or similar items to see whether con¬solidation may achieve economies?

  Yes

  No

  N/A

• • have written procedures to govern how such potential is to be identified?

  Yes

  No

  N/A

• • require that requisitions or purchase requests be signed by responsible department officials?

  Yes

  No

  N/A

COMPETITION

• Does a statute, ordinance, or regulation require purchasing to use competitive procedures for acquiring supplies, materials, equipment, and services other than professional?

  Yes

  No

  N/A

• Does purchasing..

• • participate in contracting for professional services?

  Yes

  No

  N/A

• • prescribe procedures followed in such contracting?

  Yes

  No

  N/A

• • review the procurements made for compliance with such procedures?

  Yes

  No

  N/A

• In securing formal bids for contract purchases, does purchasing...

• • prepare or have the authority for review & approval of bid invitations?

  Yes

  No

  N/A

• • maintain & update a list of prospective bidders?

  Yes

  No

  N/A

• • have written criteria governing the addition, deletion, and reinstatement of bidders and vendors, and the potential of bidders to perform under the terms and conditions of the proposed procurement?

  Yes

  No

  N/A

• • have written procedures governing the receipt, control, opening & evaluation of bids?

  Yes

  No

  N/A

• • have authority to determine which bids have the terms & conditions of the invitation?

  Yes

  No

  N/A

• • maintain a record (such as a bid history record) to help purchasing identify collusive bidding practices?

  Yes

  No

  N/A

• Is there a provision governing procurement when formal bidding is not required?

  Yes

  No

  N/A

• Are written records required for all informal negotiations except inprest fund purchases?

  Yes

  No

  N/A

• Is the number of vendors required to be contacted under various conditions specified?

  Yes

  No

  N/A

• Is there a policy stipulating the conditions under which blanket purchase orders may be used?

  Yes

  No

  N/A

• Is there a provision defining the special procedures to be followed when competitive procedures are not used...

• • in emergencies?

  Yes

  No

  N/A

• • where there is no responsible competition, or one source; where patents or proprietary rights exist; or where stand-ardization/interchangeability is advantageous?

  Yes

  No

  N/A

• • when items are to be acquired solely for testing?

  Yes

  No

  N/A

• Are there statutes, regulations, or policies affecting open competition, such as "local purchase" requirements?

  Yes

  No

  N/A

• Is there a formal program for identifying suppliers not previously solicited?

  Yes

  No

  N/A

• Is there a requirement to document the results of the program periodically?

  Yes

  No

  N/A

STANDARDIZATION & SPECIFICATIONS

• Does purchasing standardize items commonly used by two or more departments or agencies?

  Yes

  No

  N/A

• Is there a central stockroom from which all departments & agencies are required to draw supplies & equipment?

  Yes

  No

  N/A

• Is there a catalog of items available from the stockroom?

  Yes

  No

  N/A

• Does purchasing require written justification for item acquisition outside the stockroom standard?

  Yes

  No

  N/A

• Where specifications are prepared for special items or services by departments & agencies, does purchasing have the power to review, modify, and approve them?

  Yes

  No

  N/A

• Are brand names avoided or expressly stated to be only descriptive (identifying salient features) and not restrictive?

  Yes

  No

  N/A

• Are performance specifications rather than prescriptive specifications used?

  Yes

  No

  N/A

• Does purchasing consider using commercial standards, or specifications developed by the Federal, State, or other local government units and found acceptable, in lieu of developing its own specif i-cations?

  Yes

  No

  N/A

• Does purchasing use qualified product lists or lists of acceptable brands as an alternative to developing its own specifications?

  Yes

  No

  N/A

• Are there written criteria covering procedures for placing and removing products and brands from these lists?

  Yes

  No

  N/A

INSPECTION & TESTING

• Does purchasing have the authority to establish and oversee a program of inspection of deliveries to insure that items delivered meet specifications?

  Yes

  No

  N/A

• Are there written instructions governing receipt & inspection of deliveries?

  Yes

  No

  N/A

• Does purchasing routinely monitor the inspection program?

  Yes

  No

  N/A

• Has there been a determination as to...

• • The items to be tested to determine compliance with specifications?

  Yes

  No

  N/A

• • The frequency of the testing?

  Yes

  No

  N/A

• • Those who should do the testing?

  Yes

  No

  N/A

• Are there written procedures covering the handling of user and/or contractor complaints?

  Yes

  No

  N/A

PROPERLY MANAGEMENT

• Does purchasing participate in the inventory procedures of the government to insure that...

• • expendable property is properly controlled?

  Yes

  No

  N/A

• • nonexpendable property is:<br>- identified?<br>- assigned for accountability to specific units of government?

  Yes

  No

  N/A

• • periodic inventories of expendable and nonexpendable property are taken?

  Yes

  No

  N/A

• Does purchasing secure a copy of the inventory documents for all units of government so that it may identify equipment which may be available to reduce or eliminate purchase of additional items?

  Yes

  No

  N/A

• Is purchasing assigned the authority to supervise the surplus and scrap programs?

  Yes

  No

  N/A

• Are spot checks made and records kept of equipment utilization?

  Yes

  No

  N/A

• Does purchasing have written procedures for...

• • timely identification and reporting of surplus & scrap items to purchasing?

  Yes

  No

  N/A

• • notifying other departments & agencies of available usable surplus?

  Yes

  No

  N/A

• • disposing of unneeded or unusable items?

  Yes

  No

  N/A

PROFESSIONAL DEVELOPMENT

• Does the local government encourage the purchasing officials and technical staff...

• • to keep current with procurement trends (e. g., affiliate with professional purchasing associations)?

  Yes

  No

  N/A

• • to secure formal training and education as a supplement to their job-acquired knowledge?

  Yes

  No

  N/A

• Does the local government provide support for (1) & (2) above by providing funding?

  Yes

  No

  N/A

COOPERATIVE PURCHASING

• If there are no statutory prohibitions, does purchasing...

• • enter into joint or cooperative purchasing agreements with other local government?

  Yes

  No

  N/A

• • purchase from State contracts?

  Yes

  No

  N/A

• • have a program for continually searching for ways to increase potential savings through increased use of cooperative pur-chasing arrangements?

  Yes

  No

  N/A

• Where cooperative purchasing is used, does purchasing have a program for evaluating any additional costs involved to determine whether the total costs may be higher than costs of buying separately?

  Yes

  No

  N/A

AUDIT & EVALUATION

• Is there an internal or external audit of the procurement system to evaluate the effectiveness or economy with which it is making purchases?

  Yes

  No

  N/A

• Are annual performance goals, both quantitative and qualitative, established for the purchasing unit?

  Yes

  No

  N/A

• Does purchasing report periodi-cally on its performance?

  Yes

  No

  N/A

• Is management required to measure the purchasing organization's performance?

  Yes

  No

  N/A

• If so, is this periodically accomplished and documented?

  Yes

  No

  N/A

• Which of the following indices are maintained or otherwise available to monitor purchasing activities:

• • purchasing cost (includes cost of central stores operation) per $1,000 of procurement?

  Yes

  No

  N/A

• • purchasing cost per purchase order issued?

  Yes

  No

  N/A

• • cost of central stores per $1,000 of stores procurement?

  Yes

  No

  N/A

• • user complaints?

  Yes

  No

  N/A

• • out-of-stock condition?

  Yes

  No

  N/A

• • dollar value of inventory?

  Yes

  No

  N/A

• • emergency purchases?

  Yes

  No

  N/A

• other? Specify

Completion

• Comments/Recommendations

• Prepared by: Full Name and Signature

  Sign