Attachment C_Questionnaire on Host Country Agency Contracting Capability.pdf

USAID/West Africa

ATTACHMENT C

QUESTIONNAIRE ON ASSESSMENT

OF HOST COUNTRY AGENCY CONTRACTING CAPABILITY

INSTRUCTIONS

The following questionnaire is to be accomplished for each Host Country Implementing Agency (HCIA) by Financial Analysts or duly authorized representatives of USAID. All questions should be analyzed by placing a checkmark under the column for Yes or No. If the answer is No, please indicate your comments. The overall rating represents the best judgments of those making the assessment after all evidence has been considered.

The overall rating (see Legend below) will be used as the basis for determining the host country contracting level for each HCIA by using the following table:

Rating Host Country Contracting Level

Satisfactory $25,001 up to $250,000 Limited up to $ 25,000-Small Value Procurement only.

Unsatisfactory AID-direct contracting only.

Host Country Contracting Levels:

Legend:

1. Satisfactory: $25,001 up to $250,000

Organization has no significant weakness in any factor evaluated.

Shortcomings when viewed as a whole are not so significant that overall rating must logically be established as limited.

2. Limited up to $ 25,000

Organization has no significant weaknesses in crucial factors such as contractor selection and administration, internal control of accounting capability. Minor weaknesses in less crucial factors, when viewed as a whole are not as significant that overall rating must logically be established as unsatisfactory.

In the event the host country wishes to contract out up to $25,000, the Small Value Procurement Method using the equivalent of USAID Purchase Orders may be applied. The host country contracting rules will not apply to host country contracts estimated to cost $25,000 or less.

3. Unsatisfactory:

Organization has serious weaknesses in one or more crucial factors.

Or weaknesses, when viewed as a whole, combine to create serious doubt regarding capability.

QUESTIONNAIRE

A. Organization: YES NO IF NO, COMMENT

1. Is the Host Country Implementing Agency's (HCIA) organization clearly defined? ____ ___ ______________

2. Are organizational diagrams available? ____ ___ ______________

3. Are the lines of authorities and responsibilities accurately reflected in these diagrams? ____ ___ ______________

4. Is the supervisory and decision making responsibility and authority within management level clearly assigned? ____ ___ ______________

4. Are staff functions and responsibilities clearly delineated and divided respectively? ____ ___ ______________

5. Are staffing changes/turnover extensive? ____ ___ ______________

7. Are the procurement (contracting) staff members qualified in terms of educational, professional, and training experience?

(Job responsibilities relevant in relation to their qualification and experience) ____ ___ ______________

8. Is the number of procurement staff adequate? ____ ___ ______________

Overall, is the organizational set-up satisfactory? ____ ___ ______________

YES NO IF NO, COMMENT

B. Operating Procedures

1. Does the HCIA function well in terms of responding to or meeting reporting schedules and deadlines? ____ ___ ______________

2. Does the HCIA comply well with the following:

a. Local procurement (contracting) rules and regulations? ____ ___ ______________

b. AID host country contracting rules and regulations? ____ ___ ______________

3. Are the procurement procedures & policies documented in order to standardize procedures and for easy reference? ____ ___ ______________

4. Are flowcharts available to illustrate the decision making processes? Do these charts reflect the flow of documents and sequence of procedures to be followed in solicitation, negotiation, award, monitoring and payment of contracts? ____ ___ ______________

5. (Perform a sample test of completed procurement actions)

-Based on this, are the completed procurement actions in compliance with the above policies and procedures? ____ ___ _____________

6. Is there an effective disputes and claims settlement process? ____ ___ _____________

Overall, are the operating procedures satisfactory? ____ ___ ______________

C. Accounting and Recordkeeping Policies and Procedures

1. Is the accounting manual effectively meeting USAID requirements?

(Is it up-to-date and is being followed?) ____ ___ ______________

2. Are the procedures on storage, maintenance and retrieval of records adequate? ____ ___ ______________

D. Internal Control System

1. Is the segregation of duties adequate in the following functions:

a. Accounting? ____ ___ ______________

b. Procurement (Contracting)? ____ ___ ______________

c. Collections? ____ ___ ______________

d. Reporting (USAID)? ____ ___ ______________

e. Voucher payment? ____ ___ ______________

2. Is the current internal control system on the management of funds effective? (Cash advances, disbursement/liquidation, etc.) ____ ___ ______________

Overall, is the internal control system satisfactory? ____ ___ ______________

E. Contractor Selection and Contract Preparation (includes construction contracts).

1. Is the HCIA effectively handling the following processes:

a. Advertising? ____ ___ ______________

b. Prequalification? ____ ___ ______________

c. Preparation of Requests for

Technical Proposals (RFTP), Requests for Proposals (RFP) or Invitation for Bids, (IFB), etc.? ____ ___ ______________

d. Review and analysis of technical and/or cost proposals? ____ ___ ______________

e. Review of bids, analysis & award? ____ ___ ______________

f. Negotiating and preparing draft and final contracts? ____ ___ ______________

g. Securing AID approval of draft contract? ____ ___ ______________

h. Determining the Method of Payment ____ ___ ______________

2. Is the HCIA capable of handling international competitive bidding? ____ ___ ______________

Overall, are the contractor selection and contract preparation procedures satisfactory? ____ ___ ______________

F. Contract Administration and Monitoring

1. Are the contract records and files adequately maintained?

(Complete and current contract records and files, including all relevant records, documents and reports? ____ ___ ______________

2. Is the HCIA capable of providing logistical support to foreign contractors, in the following areas:

a. Housing? ____ ___ ______________

b. Office space? ____ ___ ______________

c. Customs clearance? ____ ___ ______________

3. Is the HCIA effectively carrying out the following payment processes:

a) Implementing controls to prevent duplicate or erroneous payments? ____ ___ ______________

b) Ensuring payments are made in accordance with contracts and/or any USAID stipulations in the Project Implementation Letter

(PIL)? ____ ___ ______________

c) Determining the accuracy and reasonableness of quantities, prices, and amounts shown on vouchers? ____ ___ ______________

d) Properly matching invoices against valid commitments and receiving documents? ____ ___ ______________

e) Ensuring payments are properly authorized and approved? ____ ___ ______________

f) Resolving USAID's disallowances on vouchers recommended for payment or liquidation of advances? ____ ___ ______________

4. Is the HCIA effectively reviewing requests for and use of cash advances by contractors? ____ ___ ______________

5. Is the process of procurement of supplies and equipment effectively supervised? (Assures adherence to specifications, delivery dates, inspection and installation requirements). ____ ___ ______________

6. Is there effective monitoring of participant training services? ____ ___ ______________

7. Are the site visits adequate?

(Schedules and arranges periodical visits to contractors' office work sites to observe on-going activities). ____ ___ ______________

8. Are contract audits by host country or independent audit firms adequate?

(Ensures HC Audits or arranges for independent audits of contract and takes corrective action where required). ____ ___ ______________

9. Are the monitoring of contract close out or termination processes adequate and effective?

(Oversees orderly termination of contracts, including submission of all required reports and certification). ____ ___ ______________

10.Is the HCIA effectively administering and monitoring the contract - from the point of view of:

a) the Project Office? ____ ___ ______________

b) the Contractors? ____ ___ ______________

Overall, are the contract administration and monitoring procedures satisfactory? ___ ___ ______________

SUMMARY RATING SHEET FOR HCIA CONTRACTING CAPABILITY

REVIEW AND ASSESSMENT

STANDARDS SATISFACTORY LIMITED UNSATISFACTORY

A. ORGANIZATION ____________ __________ _______________

B. OPERATING PROCEURES ____________ __________ _______________

C. ACCOUNTING & RECORD-

KEEPING POLICIES &

PROCEDURES ____________ __________ _______________

D. INTERNAL CONTROL

SYSTEM ____________ __________ ________________

E. CONTRACTOR SELECTION &

CONTRACT PREPARATION ____________ __________ ________________

F. CONTRACT ADMINISTRATION

AND MONITORING ____________ __________ ________________

If USAID does not accept the report because of deficiencies in the work or noncompliance with the scope of work, the contractor shall perform any additional work necessary as agreed with USAID/West Africa at no additional cost to USAID/West Africa.

Overall Rating: Based on this Assessment, I/We feel that the overall contracting capability is:

/ / Satisfactory

/ / Limited

/ / Unsatisfactory

Date