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State Procurement Board Assurance Program

Document 1: Assurance Report

Assurance over Mandatory Requirements of State Procurement Board Policies and Guidelines

(Insert public authority name)

(InsertDate of Report)

[Note: The following template is provided for the benefit of the Lead Reviewer. It is expected that the relevant professional standards and judgement is applied at all times during the review process.]

Document 1: Assurance Report Template Page 1 of 5Issue Date: March2015

Version xxReview Date: March2017

1Executive Summary

1.1Objective

The objective of this review is to evaluate and report on the compliance of public authorities with their obligations under theState Procurement Act 2004reflected in the mandated requirements in the Policies and Guidelines published by the Board as the “State Procurement Board Assurance Program Document 2:Mandated Requirements in Board Policies and Guidelines”.

The scope of this review includes all ______’s (name of public authority) procurement activities subject to the State Procurement Act 2004 for the 12 month period ______to ______.

1.2 Background

This review forms part of the 201X-201XState Procurement Board Assurance Program (Assurance Program) cycle being undertaken by the State Procurement Board (Board) and was conducted in accordance with the Assurance ProgramGuideline dated XXXX 201X. The Assurance Program requires onsite evaluations of the compliance of public authorities with the mandated requirements of Board policies and guidelines. This evaluation is required to determine whether procurement occurs in compliance with the State Procurement Act and Board requirements.

The scope and objective of the review are set out in Appendix A. Fieldwork was conducted based on themandated requirements of Board policies and guidelines published by the Board as at XXXX (insert date that Lead Reviewer downloaded document). We have utilised the XXXX’s (insert public authority name) contract register and other documentation for the period XX to XX to select the sample of procurements for testing (refer Appendix 2).

1.3Summary of Results

There were XXX exceptions relating to the compliance of public authorities with the mandated requirements of Board policies and guidelines.

A summary of the results of the review is provided in the table below:

Policy / Guideline / Number of Mandatory Requirements
(to be confirmed at initiation of Review) / Number of Mandatory Requirements that could not be tested[1] / Number of Mandatory Requirements not complied with (Exceptions)
Simple Procurement Guideline / x / x / x
Industry Participation Guideline / x / x / x
International Obligations Policy / x / x / x
Standard Tender and Contract Documents / x / x / x
Panel Contracts Guideline / x / x / x
Market Approaches Guideline / x / x / x
Use of Established Government Facilities / x / x / x
Acquisition Planning (>$220,000) / x / x / x
Supplier Selection (>$220,000) / x / x / x
Contract Management (>$220,000) / x / x / x
Contract Register Policy / x / x / x
Probity and Ethical Procurement Guideline / x / x / x
Supplier Complaints Policy / x / x / x
Disposal Guideline / x / x / x

The details of the exceptions identified are presented in Section 2 of this report. The exceptions identified were discussed at a closing meeting held with XXX, PPG and XXX (the Lead Reviewer) on XX XX 201X. At this meeting, the exceptions identified during the Assurance Review were confirmed and an action plan was agreed to address them as presented in Section 2 of the report.

We are satisfied that the action plans agreed with XXX management are appropriate and will address the exceptions within an acceptable period. We have also obtained written confirmation that the Principal Officer of XXX has reviewed this report, endorsed the findings and action plan, and has approved the issuing of this report.

______

Director, Procurement Policy and Governance

Date: ______

Document 1: Assurance Report Template Page 1 of 5Issue Date: March 2015

Version 1.0Review Date: March 2017

2.Action Plan

[Note: Refer to Attachment 3 in the “State Procurement Board Assurance Program Guideline” for the requirements of the Lead Reviewer’s working papers. This table is designed to focus on the exceptions found (if any) and the public authorities response to any exceptions found.]

The Lead Reviewer’s findings from this Assurance Review are documented in the following table. For each exception, the management of the public authority have provided detailed feedback and an action plan. This action plan was discussed and confirmed with the public authority and PPG at a closing meeting held on XXXX.

Lead Reviewer Findings / Management Action Plan / Management Explanation why an Exception is not a Recurring Issue
Mandatory Requirement / Exceptions identified / Identified Root Cause of Exception / Isolated or Recurring Issue / Management Action to address Root Cause of exception / Responsible Official / Planned Completion Date
Note 1 / Note 2 / Note 3 / I / R
Note 4 / Note 5 / Note 6 / Note 7

Explanatory Notes

Note 1:Only include the mandatory requirements where an exception was identified in the testing.

Note 2:Insert sufficient information that the reader of the report can understand the nature and extent of the exception. This will include the number of exceptions per sample tested.

If an exception is identified that relates to an issue already reported in one of the reports provided to the Lead Reviewer the public authority prior to the review, and the management action plan for that issue is still in progress, then the exception does not require a management response. Instead, the exception should be cross-referenced to the relevant report or PPG register.

Note 3: Insert management’s determination of the root cause of the exception.

Although PPG will ultimately review and determine if the root cause and management action(s) documented adequately address the exceptions identified, the Lead Reviewer is touse their professional judgement to ensure that the information provided by management is consistent and reasonable when capturing management’s responses in the report.

Note 4: If more than one instance of the exception is noted in the sample tested, and management believe it is not a recurring issue, then they must provide a detailed justification for this conclusion in this column. This finding should be consistent with the root cause identified by management and the management action(s).

Note 5: Insert agreed management action(s) to address the action plan.

Note 6: Insert position / name of executive manager responsible for resolution of the issue.

Note 7: Insert agreed date for completion of the Action. Note that for breaches of mandatory requirements, a resolution date within a maximum of 6 months is expected.

Document 1: Assurance Report Template Page 1 of 5Issue Date: March 2015

Version 1.0Review Date: March 2017

[1] Refer Note 1 under Explanatory Notes section