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Checklist And Guidelines For Evaluating Local Procurement Systems

opportunities for impro,ement in local government purchasing

? g United States GeneralAccounting Office

Part 2

/3-.-.

PSAD-78.95 AUGUST, 1978

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Contents

Page

FOREWORD

i

NATIONAL INSTITUTE OF GOVERNMENTAL PURCHASING

ENDORSEMENT

ii

CHECKLIST FOR EVALUATING PROCUREMENT OF SUPPLIES,

MATERIALS, EQUIPMENT, AND SERVICES BY LOCAL

GOVERNMENTS

1

Authority and responsibility

1

Planning and scheduling acquisitions

3

Competition

6

Standardization and specifications

8

Inspection and testing

9

Property management

9

Professional development

ii

Cooperative purchasing

ii

Audit and evaluation

12

GUIDELINES FOR AUDIT OF PURCHASING FUNCTIONS IN

LOCAL GOVERNMENTS

13

Introduction

13

Special instructions

13

Detailed audit steps

14

APPENDIX

Table of quantitative and qualitative

indicators arrayed as to type of assessment 35 involved

II

Basic procurement principles

37

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FOREWORD

Studies by our Office disclosed a need to give State and local governments guidance in evaluating and improving their purchasing systems. We have responded to this need by developing a checklist and an audit guide.

The checklist and the audit guide were developed from a study of the purchasing systems in five local governments. We are publishing them separately to facilitate their use as an independent evaluation tool.

Throughout our study, we received the cooperation and assistance of many officials of local government and the procurement community. Their contribution to our work is greatly appreciated. A letter of endorsement from the National Institute of Governmental Purchasing follows this foreword.

The guide and checklist are practical and flexible and can be used together or separately. We believe that significant system improvements, cost savings, and increased public confidence in government can result from their use.

-)

Comptroller General .,-, of the United States

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NIGP

NATIONAL INSTITUTE OF GOVERNMENTAL PURCHASING INCORPORATED

1001 .CONNECTICUT AVENUE

WASHINGTON, D. C. 20036

( 2 0 2 ) 331-1357

LEWIS E. SPANGLER Executive Vice President

OFFICERS AND DIRECTORS HERBERT C. DAMRON, CPPO, President

Director of Purchasing The $1. Louis Community College District St. Louis, Missouri WILLIAM B. WHITSON, CPPO. Vice President Purchalin Agent Nashvilre-II)avidson County Nashville Tennessee JAMES P ARNOLD, CPPO, V ce Presidenl City Purchasing Agent City of Chicago, llUnois STANLEY D. ZEMANSKY, CPPO. Treasurer City Purchasing Agent City of Sellimors. Maryland

SOLON A. BENNETT, CPPO

Director. Department of Purchases and Stores

City of Austin. Texas

G. A. SERGER

Assistant Deputy Minister, Commercial Supply

Department of Supply end Services

Government of Canada

Ottawa. Ontario, Canada

JOHN BERGER, CPPO

Director of Purcheael

Metropolitan Dlde County

MLsmi, Florid=

JOSEPH O. CATHCART

Director, MunicLgal Services

City of Lea Vegas. Nevada

TOM CRITCHLEY

Prel}dlnt. Institute of Purchasing

and Su ply of Great Britain

London, ~nglend

"ROBERT G. EDGERTON. CPPO

Director, Property and Supply Department

Luserhe County

Wilkes-Barre. Pennl;ylvanla

"HOMER A. FOERSTER, CPPO

Executive Director

Texas State Board of Control

Austin, Tex/I

,

JOSEPH C. GAVIN, CFPO

Purchsser Of Supplies

City end County of San Francisco

San Francisco. Callfornll

ROBERT P. GRAHAM.

Commilaioner

?

Federal Supply Service

General Services Adm~niltration

Wesffmgton, D.C.

CHARLES W. HINTZE, CPPO

Director of Admin;ltretive Servicel

Metropolitan Sewerage District

of the County of Milwaukee, Wisconsin

"THOMAS C. IAIA, CPPO

SuPervllor of Purchases end Storel

City School District

Rochelter. New York

? DOUGLAS G JUDO, CPPO

Commissioner

Department of Purchasing and Supply

Corporation of the City of Toronto

Toronto, Ontario, Canada

? DONALD F. KRUEGER, CPPO

Director of Purchasing

City of Tampa. Fief=de

RAYMOND L MOORE

Director. Division of Purchasing

Stlte of Missouri

Jefferson City, Missouri

T. ASHBY NEWSY

Purchasing Agent

Virginia Department of Highways

end Transporlation

Richmond, Virginia

? T. GORDON SANDRIDGE, CPPO

Director of Logistical Services

Richmond Public School=

Richmond, Virrglinla

JOSEPH J. WARNAS. CPPO

Purchasing Director

Madcopa County

Phoenix. Arizona

WARREN K. WRIGHT

Deputy Director, Office of Central Services

Prince George's County

Upper Marlboro. Maryland

?Pill President

February 24, 1978

Hen. Elmer B. Staats Comptroller General of the United States General Accounting Office 441G Street, N. W. Washington, D. C. 20548

Dear Mr. Staats:

We appreciate very much the opportunity to participate with you and the members of your staff in your recent review of the purchasing systems of one county government and four city governments. We also appreciate your giving us the opportunity to participate in the development of the checklist and review guide which emanated from that review. We truly believe that the report of the study and the documents which grew out of the study i t s e l f will prove to be welcome aids to the administrators of the State and local governments.

Since its founding in 1944, the National Institute of Governmental Purchasing, Inc. (NIGP) has supported all efforts which we bel'ieve would assist in elevating the standards of public purchasing organizations. We have sought to facilitate the interchange of professional information and ideas, and we have strived to further professionalize the field by offering training courses and a certification program.

On behalf of NIGP, I urge all State and local administrators to carefully review this document, giving particular attention to the checklist for identifying weaknesses in purchasing systems, and to the companion review guide for assessing the consequencesof the weaknesses identified. I stress that this checklist and guide should not be used as a means of harrassing people, but rather should be used as a tool for more effective management.

THIRTY-THIRD ANNUAL CONFERENCEAND PRODUCTSEXPOSITION- - "MOREVALUE FOR THE TAX DOLLAR"

SHERATON CENTRE, TORONTO, ONTARIO, CANADA, OCTOBER 14-18, 1978

Founded in 1944 An international profelsional society dedicated to raisins the s~ndordl of public purchasins and mater;als management.

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Hon. Elmer B. Staats February 24, 1978 Page 2 Although the document contains language and concepts that may be new to State and local governments, i t can play an important role in the quest f o r greater professionalism in State and local government purchasing. We must keep our minds open to information that might be of assistance in upgrading the effectiveness, e f f i c i e n c y and economy of our e n t i t i e s ' purchasing operations. Now, as always, we must continue to s t r i v e toward our goal of "MORE VALUE FOR THE TAX DOLLAR." Sincerely,

LES:SBG/lar

GAO note: Since receiving this letter from the NIGP, we added some "Basic Procurement Principles" as appendix II to part II of our report. NIGP has raised some concern about the specificity of some of these principles. While we believe the principles are sound, they are intended to be used as guidance and are not mandatory. They may have to be adjusted to fit the unique characteristics of a given local government.

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PROCUREMENT CHECKLIST

An Aid to State and Local Governments In the Evaluation of

The Purchasing Function

This checklist may be used to identify areas of weakness in the governmental purchasing system. It should be answered by knowledgeable purchasing officials.

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