ARCHIVED - Horizontal Internal Audit of Contracting for Professional, Technical and Temporary Help Services in Small Departments and Agencies

To assess the extent of compliance with Treasury Board and Public Works and Government Services Canada (PWGSC) contracting regulations and related policies.

• SDAs comply with the relevant Treasury Board and PWGSC regulations and related policies.

To assess the extent to which management of contracting activities and processes are sound and conducted with due regard to efficiency, thereby ensuring that the government is receiving good value for money spent.

• Adequate management practices and controls related to contracting have been put in place.
• Management receives sufficient information in order to adequately monitor overall contracting activities.
• Management practices and controls are regularly reviewed, and management takes advantage of lessons learned.

To identify and promote best practices and innovative approaches in the procurement of professional and technical services within the SDA community.

• Managers effectively monitor and manage the procurement process.

1.  Those providing the oversight and challenge function for contracting activity should be at an appropriate level of management to ensure their challenge is respected and adhered to. Additionally, those responsible for this oversight should be aware of the importance of their challenge function and should document their agreement with the contracting decisions made. This may be best accomplished by creating a checklist of key oversight elements.

Medium

SDAs are or will be implementing a formal challenge function as oversight for contracting activity.

SDAs will ensure that this challenge function includes formalized procedures outlining key oversight elements for the contract approval process

Implementation is expected by January 31, 2010.

2.  SDAs should ensure that there is appropriate documentation on file to justify sole source contracting.

High

SDAs will ensure that sole source contracting is justified with appropriate supporting documentation.

3.  SDAs should ensure that individuals involved in the contracting process understand contracting policy requirements and have access to the tools they need to do their work.

High

SDAs are or will be establishing internal contracting policies, including appropriate tools and training.

SDAs will ensure that individuals are aware of these policies and make these accessible on their intranet sites.

Implementation is expected by March 31, 2010.

4.  Training and guidance for contracting staff should be provided so that standing offers are used appropriately and effectively.

Medium

SDAs are beginning to ensure that contracting staff receive the required training and that ongoing training renewal work plans are in place.

5. SDAs should consider a formal process for ensuring contracting files contain all the appropriate documentation to support the contracting activities undertaken. This could be accomplished by the use of a checklist reminding contracting officers what key requirements must be considered for inclusion in each file.

High

SDAs will improve current checklists or will establish quality assurance checklists to ensure that contracting files contain all appropriate documentation.

Implementation is expected by March 31, 2010.