3.4 Procurement Subsection Objectives: Assess the soundness of procurement policies and procedures and degree of staff understanding and compliance Procurement policies, plans, and files; payment vouchers; financial manager, accountant, and staff questionnaires or interviews Resources: Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1 2 3 4 3.4 Procurement policies and Procurement policies and Procurement policies and Procurement policies and Procurement procedures are procedures are written and procedures are written and procedures are written and Not written Weak and require significant Adequate, but may require Good and regularly reviewed changes some minor changes or and revised as needed Written, but inadequate and updating (NUPAS 3.1) require substantial changes Adequate, but not usually Consistently followed followed Generally followed Supported by good Not followed procurement records Hindered by weak Supported by adequate procurement records procurement records Not supported by adequate Consistently monitored for procurement records Occasionally monitored for compliance Usually monitored for compliance compliance Not monitored for compliance Include guidance on codes of conduct; fair and open Include guidance on codes Include guidance on of Include guidance on codes of competition; ineligible goods, of conduct; fair and open conduct; fair and open conduct; fair and open services, and suppliers; competition; ineligible goods, competition; ineligible goods, competition; ineligible goods, sources; and allowable, services, and suppliers; services, and suppliers; services, and suppliers; sources; allocable, and reasonable sources; and allowable, sources; and allowable, and allowable, allocable, and costs allocable, and reasonable allocable, and reasonable reasonable costs costs costs Consistently in compliance Not in compliance with with donor requirements, Usually in compliance with Usually in compliance with requirements, including advance including advance approvals requirements, including donor requirements, approvals advance approvals including advance approvals Supported with regular Not supported with adequate training, including ethics Supported with occasional Supported with periodic training, including ethics training training training, including ethics training, including ethics training training
3.4 Procurement Subsection Objectives: Assess the soundness of procurement policies and procedures and degree of staff understanding and compliance Resources: Procurement policies, plans, and files; payment vouchers; financial manager, accountant, and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 3.4 Procurement (NUPAS 3.1) 1 2 3 4 Procurement policies and procedures are Not written Written, but inadequate and require substantial changes Not followed Not supported by adequate procurement records Not monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Not in compliance with requirements, including advance approvals Not supported with adequate training, including ethics training Procurement policies and procedures are written and Weak and require significant changes Adequate, but not usually followed Hindered by weak procurement records Occasionally monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Usually in compliance with requirements, including advance approvals Supported with occasional training, including ethics training Procurement policies and procedures are written and Adequate, but may require some minor changes or updating Generally followed Supported by adequate procurement records Usually monitored for compliance Include guidance on of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Usually in compliance with donor requirements, including advance approvals Supported with periodic training, including ethics training Procurement policies and procedures are written and Good and regularly reviewed and revised as needed Consistently followed Supported by good procurement records Consistently monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Consistently in compliance with donor requirements, including advance approvals Supported with regular training, including ethics training
ocawithfacilitatorsguidewithnupas7.27.2015.docx