Examples of procurement compliance checklists

Filed under - Public procurement

Published on 11 March 2010 as a U4 Helpdesk Q&A

Query

Would you have any idea if companies or agencies use procurement compliance checklists to report possible irregularities, suspicious cases or difficulties in the procurement process? Could you name any examples and how such lists are designed?

Purpose

In order to improve our internal procurement system, we are currently considering asking our procurement officers at HQ and in our country offices to fill out a compliance checklist. The idea is to get feedback from them on a regular basis about possible irregularities, suspicious cases or difficulties in the procurement process. Next to this function as reporting tool, the checklist should also serve as compliance tool: the procurement officer declares that all cases that are not reported in the checklist are to be considered as 'regular', for which he/she takes the responsibility.

Content

1. Designing a procurement a compliance checklist
2. Examples of procurement compliance checklists
3. References

Summary

Due to the volume, number and complexity of the transactions involved, procurement is one of the government activities most vulnerable to corruption. Procurement compliance checklists constitute an important element of corruption risk management strategies in procurement processes, both in terms of prevention and detection of fraud and corruption. They can guide procurement staff through the process of transparent and effective procurement and help detect and report irregularities.

Compliance checklists reflect good practice in procurement processes by providing a set of indicators to assess adherence to the agency’s procurement rules and regulations. They are often structured around the major phases of the procurement cycle and typically cover the various risks associated with each phase of the contracting process, using red flags and “blinking” indicators. For successful implementation of such compliance tool, checklists should be designed in a participatory manner, be user-friendly and easy to apply and supported by regular training and awareness raising activities.

Author(s): Marie Chêne, Transparency International, mchene@transparency.org
Reviewed by: Robin Hodess Ph.D., Transparency International, rhodess@transparency.org
Publication date: 11 March 2010
Number: 236

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Country / Territory - International   
Region - Global   
Language(s) - English   
Topic - Accountability   |   Public procurement   |   Tools   

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