Management Response and Action Plan Internal Audit of Contracting and Procurement Practices

Government Of Canada

Sujets

• management
• managers

Informations

• Publié par: Awlau
• Nombre de lectures: 26
• Langue: English

Extrait

Management Response and Action Plan
Internal Audit of Contracting and Procurement Practices
May 2005

Transportation Safety Board of Canada (TSB) management accepts the findings of this audit and generally agrees with the recommendations
made by auditors. The detailed management response and action plan is described in the following table.

Recommendation Response Action Office of Primary Timeline
Interest

1. The Director of Corporate
Management agrees on the The Chief, Finance and Chief, Finance and Implementation of the
Services should ensure that
importance of the Administration, will develop a Administration new procedures by
roles and responsibilities
Procurement Specialist being set of procedures that will be December 1, 2005.
are understood by those
involved in the early planning posted on the Intranet to
with contracting
stages of procurement in highlight the roles and
responsibilities and that the
order to enhance the TSB s responsibilities of employees
Procurement Specialist be
ability to be compliant with with contracting responsibilities
involved in the planning
Treasury Board Contracting and of the Procurement
stages of procurement once
Policy. Specialist. A one-page
the Responsibility Centre
summary chart of roles and
Manager identifies a need
responsibilities will also be
to contract services. This
developed as a quick reference
control regime will enhance
tool.
TSB’s ability to be

compliant with Treasury

Board Contracting
Policy and with the
Financial Administration Act
(FAA).


2. The Director of Corporate
Verification by management The Chief, Finance and Chief, Finance and Implementation of the
Services should ensure that
revealed that all contracts Administration, will develop a Administration new procedures by
funds have been committed
were effectively committed in set of procedures that clearly October 1, 2005.
on all requests for contracts
the departmental financial state the requirement to confirm
prior to preparing contracts
system. However, contract commitment of funds under
for signature to sustain
files did not reflect these Section 32 of the FAA on the
compliance with Section 32
commitments of funds. Request for Contract form.
of the FAA through tools

1Recommendation Response Action Office of Primary Timeline
Interest
such as contract requisition The Request for Contract In addition, a checklist will be Use of the new checklist
forms and supporting form currently in use includes created for the Procurement to start by July 1, 2005.
procedures. space to record the Specialist to ensure that all
commitment of funds under required documentation is

Section 32 of the FAA. obtained and placed on
contract files. This checklist will
Management agrees with the be attached to each contract
recommendation that file.
commitment documentation
should be on the contract
files.

3. The Director of Corporate
Management agrees that The Chief, Finance and Chief, Finance and Implementation of the
Services should ensure that
better record-keeping is Administration, will develop a Administration new procedures by
fairness and due regard for
required. set of procedures that clearly October 1, 2005.
economy is occurring on all
state the requirement for good
contracts to reflect the
record-keeping in contract files.
intentions of the Treasury

Board Contracting Policy
In addition, a checklist will be Use of the new checklist
through documented
created for the Procurement to start by July 1, 2005.
procurement procedures
Specialist to ensure that all
and appropriate training.
required documentation is
obtained and placed on
contract files. This checklist will
be attached to each contract
file.

See item 5 for the response on
training aspects.


4. The Director of Corporate
Management agrees that The Chief, Finance and Chief, Finance and Implementation of the
Services should ensure that
contracting procedures need Administration, will develop a Administration new procedures by
TSB expenditure and
to be properly documented. set of procedures that clearly December 1, 2005.
contracting procedures
define roles and
reflecting Treasury Board
responsibilities, record-keeping
Contracting Policy and FAA
requirements, forms to be used
implementation
and monitoring practices.
2Recommendation Response Action Office of Primary Timeline
Interest
requirements be These procedures will be
documented. posted on the Intranet.

5. The Director of Corporate
Management had identified Treasury Board Secretariat has Chief, Finance and Enrollment of all
Services should continue
the need for increased developed a Professional Administration specialists in the
current efforts related to
training prior to the start of Development and Certification Professional
training on contracting and
the audit and had taken steps Program for Procurement and Development and
Treasury Board Contracting
in that regard. Management Materiel Management Certification Program by
Policy to ensure that those
agrees with the Specialists. All employees in October 1, 2005.
with contracting
recommendation to continue the Materiel Management Unit
responsibilities receive an
to provide increased training will be required to enroll in this
adequate level of training to
to employees who have program through the Canada
sustain compliance with the
contracting responsibilities. School of Public Service.
Treasury Board Contracting

Policy and FAA
Financial delegation training Financial delegation training At least one training
requirements for the
has been provided to all and basic procurement training session on financial
expenditure process.
delegated managers and will continue to be provided to delegations and one
employees over the past 18 managers and selected training session on

months. Basic procurement employees. A minimum of one procurement will be
training was offered in March training session on financial provided before March 1,
2005 to all managers and delegations and one training 2006.
project leaders. About half of session on procurement will be
the managers have been provided each year. More
trained on procurement to frequent sessions may be
date. provided as required.

6. The Director of Corporate
Management agrees with the The Procurement Specialist will Procurement Use of the new
Services should ensure that
recommendation to develop a develop a formal amendment Specialist amendment template to
an amendment template be
formal amendment template. template for review and start by July 1, 2005.
developed that sustains
approval by the Director of
compliance to the Treasury
Corporate Services.
Board Contracting Policy
requirements for contracts
and amendments to
adequately protect the TSB
and the vendor.

3Recommendation Response Action Office of Primary Timeline
Interest

7. The Director of Corporate
Management agrees with the The quarterly proactive Chief, Finance and The first expanded
Services should consider
recommendation to disclosure report on contracting Administration quarterly report will be
the development of a
implement a reporting will be expanded to capture completed by July 15,
reporting mechanism and
mechanism to ensure that all additional information. This 2005, with subsequent
an appropriate reporting
contracting is in compliance report will be reviewed and reports done every three
schedule to monitor
with Treasury Board Policy. approved by the Chief, Finance months thereafter.
compliance and to provide
However, given the small and Administration, as well as
management with a level of
volume of contracting activity, by the Director, Corporate
assurance that compliance
management believes that Services.
to Treasury Board
reporting and monitoring
Contracting Policy is
should be kept simple.
occurring.

The Material Management The Chief, Finance and

Unit currently produces a Administration, will also conduct
quarterly contracting report to occasional reviews of contract
comply with the Treasury files to ensure compliance with
Board policy on proactive departmental procedures.
disclosure. This report is
reviewed and approved by
the Director, Corporate
Services.

4