STATE OF ARIZONA
Introduction
This self-assessment checklist is designed to simplify your agency’s compliance with procurement code, applicable state and federal laws, executive orders, and any delegation agreements, if applicable.
Agency management and end-users may also use this checklist as a tool to meet the complex demands of the procurement process or as a guide to implementing procurement controls.
This ICQ is offered for use by the state of Arizona, but can be modified to the reader’s specific circumstances.
Instructions:
1. Each question is to assess the current situation and business practices of your agency’s procurement office. Please ensure that you answer each question accurately.
2. A no answer to a question may require an action on your part. Please correct any issue as soon as you can. Detail the specific action that you took to keep your agency compliant. Keep this record to show appropriate authorities Officer that you took quick action to fix any non-compliance issue.
3. Criteria 6.0 entitled, Solicitations and Contracts, are worksheets for reviewing individual solicitations and contracts. Randomly choose a minimum of five current solicitations or contracts from your agency and use the appropriate worksheet to determine your compliance with state procurement rules and regulations. You may reproduce the worksheets as needed.
4. When all the required actions are complete, please submit a copy of this checklist to appropriate authorities for review.
5. Review this checklist regularly to recheck the issues covered and to ensure your agency’s continued compliance.
|A. |Purchasing Organization: |Yes |No |N/A |Comments |
|1. |Does your procurement office have a mission statement? | | | | |
|2. |Does your procurement office have an organizational chart? | | | | |
|3. |Is your organizational chart accurate and does it show current | | | | |
| |employee designation? | | | | |
|4. |Are the employees listed on your organizational chart assigned | | | | |
| |full-time procurement and contracting duties? | | | | |
|B. |Purchasing Policies and Procedures Manual: |Yes |No |N/A |Comments |
|1. |Does your agency have a purchasing policies and procedures manual? | | | | |
|2. |Is your agency’s policies and procedures manual current and in compliance | | | | |
| |with the procurement code, applicable executive orders and other | | | | |
| |authoritative guidance? | | | | |
| |Does your agency’s manual provide comprehensive instructions on the | | | | |
| |following? | | | | |
|3. |Description of the purchasing cycle | | | | |
|4. |Roles and delegation assignments of procurement | | | | |
| |personnel | | | | |
|4.a |Maintenance of segregation of duties within roles and assignments that | | | | |
| |minimizes the risk for fraud, waste and abuse | | | | |
|5. |Agency-specific Instructions on how to process purchase requisitions and | | | | |
| |purchase orders | | | | |
|6. |Instructions on how to use your agency’s procurement system | | | | |
|7. |Instructions on how to prepare specifications and scopes of work | | | | |
|8. |Instructions on how to process sole source, limited competition, and | | | | |
| |emergency procurements | | | | |
|9. |Instructions on how to conduct solicitations (e.g., IFB, RFP, RFQ) | | | | |
|10. |Instructions on contract administration and procurement file management | | | | |
|11. |Instructions on cooperative and set-aside purchasing | | | | |
|12. |Instructions on submitting agency procurement reports (e.g., changes in | | | | |
| |delegated personnel, small-minority, women-owned business, set-aside program,| | | | |
| |compliance with Legal Workers Act, etc.) | | | | |
|13. |Instructions on how to process intergovernmental agreements (IGA) and | | | | |
| |inter-agency service agreements (ISA) | | | | |
|14. |If applicable, instructions on how to use procurement, purchasing or payment | | | | |
| |Cards | | | | |
|15. |Instructions on how to dispose of your agency’s surplus property | | | | |
|16. |Procurement ethics | | | | |
|17. |Are your employees complying with your agency’s established purchasing policy| | | | |
| |and procedures manual? | | | | |
|C. |Agency Reporting Requirements: |Yes |No |N/A |Comments |
|1. |Is your annual list of all your agency’s delegated procurement | | | | |
| |personnel current and accurate? | | | | |
|2. |Are you reporting any changes in your agency’s procurement personnel | | | | |
| |delegation to the central purchasing authority within the agreed upon | | | | |
| |time frame? | | | | |
|3. |Are your quarterly sole source, emergency, and competition | | | | |
| |impracticable procurement reports to the central purchasing authority | | | | |
| |timely and accurate? | | | | |
|4. |Are you submitting timely and accurate annual preferred business | | | | |
| |reports, if applicable, to the central purchasing authority | | | | |
|5. |Are you submitting copies of any procurement protest, claims, | | | | |
| |decisions and agency reports to the central purchasing authority on a | | | | |
| |timely basis? | | | | |
|6. |If applicable, is your agency setting aside the appropriate amount of | | | | |
| |new purchases to set-aside contractors? | | | | |
|7. |Are you randomly verifying employment records of your agency’s | | | | |
| |contractors and subcontractors? | | | | |
|D. |Procurement Personnel Training & Delegation: |Yes |No |N/A |Comments |
|1. |Does your agency provide in-house procurement training and mentoring | | | | |
| |program for newly-hired procurement personnel? | | | | |
|2. |Did your procurement personnel undergo recent procurement training | | | | |
| |with the state or other procurement organizations? | | | | |
|3. |Are your agency’s procurement personnel certified by the by the | | | | |
| |central purchasing or by a public procurement organization (NIGP, ISM,| | | | |
| |etc)? | | | | |
|4. |Are your agency’s delegated procurement personnel taking the required | | | | |
| |amount of procurement training each year? | | | | |
|5. |Did your agency chief procurement officer sub-delegate procurement | | | | |
| |authority to your agency’s procurement personnel in writing? | | | | |
|6. |Does your agency sub-delegation include specific activities, | | | | |
| |functions, and limitations? | | | | |
|7. |Were your procurement personnel adequately trained prior to being | | | | |
| |granted procurement delegation by your agency chief procurement | | | | |
| |officer? | | | | |
|8. |Does your office have a succession plan for replacing retired or | | | | |
| |outgoing procurement personnel? | | | | |
|E. |Procurement Internal Controls: |Yes |No |N/A |Comments |
|1. |Does your agency send its procurement staff through regular ethics training | | | | |
| |classes? | | | | |
|2. |Does your agency promote zero tolerance for acceptance of vendor gratuities? | | | | |
|3. |Are any of your procurement personnel or staff employed in secondary work | | | | |
| |that potentially conflicts with their ability to perform their procurement | | | | |
| |function? | | | | |
|4. |Are you ensuring that your evaluation committee members are unbiased and | | | | |
| |ethical? | | | | |
|5. |Does your agency have internal systems of control to guard against fraud and | | | | |
| |inappropriate purchases by employees? | | | | |
|6. |Are there adequate checks-and-balances in the purchase order approval and | | | | |
| |authorization process? | | | | |
|7. |Are your procurement functions segregated from receiving and accounts | | | | |
| |payables functions? | | | | |
|8. |Are responsibilities divided between different employees so one individual | | | | |
| |does not control all aspects of a transaction? | | | | |
|9. |Is your procurement office adequately safeguarding your confidential | | | | |
| |information? | | | | |
|10. |Are you keeping your contract files safe from tampering by unauthorized | | | | |
| |personnel? | | | | |
|11. |Do you have procedures in place to safeguard your contract files during file | | | | |
| |reviews or when the public accesses your records? | | | | |
|12. |Are you regularly monitoring and testing your procurement office’s internal | | | | |
| |controls to determine whether they continue to be adequate and are still | | | | |
| |functioning as intended? | | | | |
|13. |Does your office regularly monitor your agency’s P-card purchases? | | | | |
|14. |Does your agency maintain adequate contract records to facilitate auditing by| | | | |
| |the state? ( | | | | |
|15. |Does your agency have a fraud and abuse hotline? | | | | |
|16. |Is your agency’s purchasing system (if any) tied to the central financial | | | | |
| |system? | | | | |
|17. |Other than the central financial system, does your agency have any system of | | | | |
| |collecting financial data on your contracts? | | | | |
|18. |Does your internal auditor conduct regular audits on your agency? | | | | |
|19. |Were there any finance or purchasing-related audits or reviews conducted on | | | | |
| |your agency within the past two years? | | | | |
|20. |Did your agency management comply with the recommendations and corrective | | | | |
| |actions in the audit report? | | | | |
The following criteria are used for each representative solicitation or contract. This section may be reproduced as needed.
|F. |Solicitations and Contracts: |
|Invitation for Bids (IFB) |
| | |
|Solicitation or Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.1. |Invitation for Bids (IFB): |Yes |No |N/A |Comments |
|1. |Is there a procurement request on file? | | | | |
|2. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|3. |Was there adequate notice of the IFB in a newspaper? | | | | |
|4. |Was the offer opened publicly at the same time and place designated in the | | | | |
| |solicitation? | | | | |
|5. |Are the evaluation factors set forth in the solicitation? | | | | |
|6. |Were the evaluation criteria and bid requirements fair and appropriate to the| | | | |
| |solicitation | | | | |
|7. |Does the solicitation include instructions to offerors, specifications and | | | | |
| |terms and conditions? | | | | |
| |Do the IFB special instructions and special terms and conditions include the | | | | |
| |following provisions? | | | | |
|8. |Federal Immigration Laws, compliance by state contractors | | | | |
|9. |IT 508 Compliance (that section of the Rehabilitation Act that requires | | | | |
| |recipients of Federal funds to make electronic and information technology | | | | |
| |accessible to people with disabilities) | | | | |
|10. |Offshore performance of work prohibited | | | | |
|11. |Compliance Requirements relating to E-verify. | | | | |
|12. |Was the appropriate insurance module used in the solicitation? | | | | |
|13. |Did the bid generate a sufficient number of qualified bidders? | | | | |
|14. |Is there an evaluator’s conflict of interest state on file? | | | | |
|15. |Is there a responsibility determination on file? | | | | |
|16. |Was the contract awarded to the lowest responsible and responsive offeror | | | | |
| |whose offer conforms in all material respects to the requirements or criteria| | | | |
| |in the solicitation? | | | | |
|17. |Is there a record showing the basis for determining the successful offeror on| | | | |
| |file? | | | | |
|18. |Were all offerors notified of the award? | | | | |
| |Contract Administration | | | | |
|19. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|20. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
|21. |Is there a valid and current Certificate of Insurance on file? | | | | |
|22. |Are the amounts on the Certificate of Insurance consistent with the contract | | | | |
| |requirements? | | | | |
|23. |For multi-term contracts, are there written determinations of extension on | | | | |
| |your contract files? | | | | |
|Request for Proposals (RFP) |
| | |
|Solicitation or Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.2. |Request for Proposals (RFP): |Yes |No |N/A |Comments |
|1. |Is there a procurement request on file? | | | | |
|2. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|3. |Was there a determination to issue an RFP on file? | | | | |
|4. |Was there adequate notice of the RFP in a newspaper? | | | | |
|5. |Was the offer opened publicly at the time and place designated in the | | | | |
| |solicitation? | | | | |
|6. |Are the evaluation factors set forth in the solicitation? | | | | |
|7. |Were the evaluation criteria fair and appropriate to the solicitation? | | | | |
|8. |Does the solicitation include instructions to offerors, Specifications and | | | | |
| |Terms and Conditions? | | | | |
| |Do the RFP special Instructions and special terms and conditions include the | | | | |
| |following provisions? | | | | |
|9. |Federal Immigration Laws, compliance by state contractors | | | | |
|10. |IT 508 Compliance (that section of the Rehabilitation Act that requires | | | | |
| |recipients of Federal funds to make electronic and information technology | | | | |
| |accessible to people with disabilities) | | | | |
|11. |Offshore performance of work prohibited | | | | |
|12. |Compliance with E-verify requirements | | | | |
|13. |Was the appropriate insurance module used in the solicitation? | | | | |
|14. |Did the RFP generate a sufficient number of qualified offerors? | | | | |
|15. |Is there an evaluator’s conflict of interest statement on file? | | | | |
|16. |Were the offers evaluated based on the evaluation criteria contained in the | | | | |
| |RFP? | | | | |
|17. |Was the contract awarded to the lowest responsible offeror whose offer is | | | | |
| |determined to be most advantageous to the state based on the evaluation | | | | |
| |factors set forth in the RFP? | | | | |
|18. |Is there a written determination explaining the basis for the award on file? | | | | |
|19. |Were all offerors notified of the award? | | | | |
| | | | | | |
| | | | | | |
| |Contract Administration | | | | |
|20. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|21. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
|22. |Is there a valid and current Certificate of Insurance on file? | | | | |
|23. |Are the amounts on the Certificate of Insurance consistent with the contract | | | | |
| |requirements? | | | | |
|24. |For multi-term contracts, are there written determinations of extension on | | | | |
| |your contract files? | | | | |
|Request for Quotations (RFQ) |
| | |
|Solicitation or Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.3. |Request for Quotations (RFQ): |Yes |No |N/A |Comments |
|1. |Is there a Procurement Request on file? | | | | |
|2. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|3. |Is there any evidence that this was artificially divided or fragmented so as | | | | |
| |to circumvent thresholds or limits related to statute or policy? | | | | |
|4. |Was this restricted to small businesses? | | | | |
|5. |Does the RFQ include a statement that only a small business shall be awarded | | | | |
| |a contract? | | | | |
|6. |Does the RFQ include Uniform Terms & Conditions by text or reference? | | | | |
|7. |Was the RFQ distributed to a minimum of three small businesses? | | | | |
|8. |Is there an evaluator’s conflict of interest statement on file (if | | | | |
| |applicable)? | | | | |
|9. |Is there a written basis for the award on file? | | | | |
| |Contract Administration | | | | |
|10. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|11. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
|12. |Is there a valid and current Certificate of Insurance on file (if | | | | |
| |applicable)? | | | | |
|13. |Are the amounts on the Certificate of Insurance consistent with the contract | | | | |
| |requirements? | | | | |
|14. |For multi-term contracts, are there written determinations of extension on | | | | |
| |your contract files? | | | | |
|Sole Source Procurement |
| | |
|Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.4. |Sole Source Procurement: |Yes |No |N/A |Comments |
|1. |Is there a procurement request on file? | | | | |
| |Does the procurement request include the following? | | | | |
|2. |Description of the procurement need and the reason why there is only a single| | | | |
| |source available | | | | |
|3. |Name of the proposed supplier | | | | |
|4. |Duration and estimated total dollar value of the proposed procurement | | | | |
|5. |Documentation that the price is fair and reasonable | | | | |
|6. |Description of the efforts made to seek other sources | | | | |
|7. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|8. |Is there a written determination that there is only one source for the | | | | |
| |required material or service? | | | | |
|9. |Was there no reasonable alternative source available? | | | | |
|10. |Was the sole source procurement request posted in the State Procurement | | | | |
| |Office website for five working days? | | | | |
|11. |Was the sole source procurement approved and did the procurement officer | | | | |
| |negotiate a contract that was advantageous to the state? | | | | |
| |Contract Administration | | | | |
|12. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|13. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
|Emergency Procurement |
| | |
|Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.5. |Emergency Procurement: |Yes |No |N/A |Comments |
|1. |Is there a procurement request on file? | | | | |
| |Does the procurement request include the following? | | | | |
|2. |Description of need and reason for the emergency | | | | |
|3. |Name of the supplier | | | | |
|4. |Duration and estimated total dollar value of the procurement | | | | |
|5. |Documentation that the price is fair and reasonable | | | | |
|6. |Was there a written approval by the delegated agency chief procurement | | | | |
| |officer or by the State Procurement Administrator for this emergency | | | | |
| |procurement? | | | | |
|7. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|8. |Was the emergency procurement limited only to the actions necessary to | | | | |
| |address the emergency? | | | | |
|9. |Given the circumstances, was maximum competition employed to protect the | | | | |
| |interest of the State? | | | | |
| |Contract Administration | | | | |
|10. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|11. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
|Competition Impracticable Procurement |
| | |
|Contract Number: | |
| | |
|Contract Title or Description: | |
| | |
|Contract Estimated Amount: | |
| | |
|Name of Procurement Officer: | |
|F.6. |Competition Impracticable Procurement: |Yes |No |N/A |Comments |
|1. |Is there a procurement request on file? | | | | |
| |Does the procurement request include the following? | | | | |
|2. |An explanation of the competition impracticable need and the unusual or | | | | |
| |unique situation that makes competitive bidding impracticable, unnecessary, | | | | |
| |or contrary to public interest | | | | |
|3. |A definition of the proposed procurement process to be utilized and an | | | | |
| |explanation of how this process will foster as much competition as is | | | | |
| |practicable | | | | |
|4. |An explanation of why the proposed procurement process is advantageous to the| | | | |
| |state | | | | |
|5. |The scope, duration, and estimated total dollar value of the procurement | | | | |
| |need. | | | | |
|6. |Did your agency include as much competition as was feasible and negotiated a | | | | |
| |suitable agreement while pursuing an impracticable situation? | | | | |
|7. |Was there a written approval by the delegated agency chief procurement | | | | |
| |officer or by the State Procurement Administrator for this procurement? | | | | |
|8. |Was this procurement performed by an authorized procurement officer within | | | | |
| |his/her delegated authority? | | | | |
|9. |When this procurement was approved, did your agency negotiate a contract that| | | | |
| |was advantageous to the state? | | | | |
|10. |Did your agency include the state’s uniform terms and conditions in this | | | | |
| |contract? | | | | |
| |Contract Administration | | | | |
|11. |Are your contract files and records complete and available for public | | | | |
| |inspection? | | | | |
|12. |Does your file contain each contractor’s name, amount and type of contract, | | | | |
| |listing of materials and services purchased? | | | | |
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