Probity checklist

Template instructions
 You can adapt this template to suit the nature of your project. For example, if you’re
planning a simple procurement you won’t need all the listed documents.

Planning

Action Record
Project initiation documents  Business case.
 Procurement Plan.
Budget approval  Signed financial authority.

Probity auditor  Independent auditor

This will depend on the size and complexity of your probity plan.
procurement.  Interim and final reports.

Procurement team  Project Charter.

Check procurement team members’ credentials and assign
roles and responsibilities.
Team members approve the project requirements, evaluation
criteria and weightings. They should be familiar with the
Procurement Plan.
Protecting confidential information  Protocol to protect
Establish protocols to ensure that confidential and confidential information
commercially sensitive information is protected. (could be included in the
Project Charter).
Set up confidentiality procedures, so that confidential
information is only available to those who need it.
Brief all staff associated with the tender about these
procedures.
Conflict of Interest Declarations and Confidentiality  Signed Declarations.
Agreements  Management plan for any
Ensure that everyone involved in the project signs these identified conflict of
documents. interest.
Set up policies to deal with conflicts of interest at the outset,
rather than attempting to manage any issues part way
through a purchasing process.
Manage any identified conflicts of interest.

Appropriate procurement method  Procurement method

Ensure the proposed procurement method (eg closed tender contained in the
or open multi-stage tender) complies with your procurement Procurement Plan.
policy and the Mandatory Rules for Procurement. If not,
identify reasons for an exception to the policy and Rules and
obtain approval from an independent senior manager.
Evaluation criteria  Evaluation criteria and
Check that the evaluation criteria and weightings have been weightings contained in
signed off by the procurement team and included in the the Procurement Plan.
tender documents.
Timeframe  GETS advertisement.
Ensure you have allowed a reasonable time for suppliers to  Newspaper or industry.
respond.
Check the publishing deadlines (eg for newspaper
advertisements) to ensure the advertisement will appear in
time.
Risk register  Risk register
Establish a risk register for the procurement and overall
project management

Probity plan  Probity plan.

Develop a probity plan and have it approved.

Physical security  Document register.

Set up physical security procedures, eg, document register,
data room.

Review probity at completion of Planning milestone 

Check that all of the requirements of the Probity Plan have
been met.

Approach to market

Action Record
RFx  RFx document.
Write the RFx, including performance measures and  Approval to proceed.
targets, and advice about how the RFx will be evaluated.
Clearly set out all legal issues, intellectual property
restrictions and so on.
Have the RFx peer reviewed and gain approval to
proceed to market.
Approach to market  Copy of GETS web page,
Ensure that the tender advertising process is adequate media ad, or e-mails/letters
for the specific project demonstrating approach to
market.
Publish RFx (open tender) or distribute RFx (closed
tender).
Supplier briefings  Invitations.
Provide plenty of notice to all interested suppliers.  Meeting notes.
Record what was said at the meetings. Make this  Q&As.
available to all interested suppliers.
If there are any alterations or corrections to the tender
documents, ensure that all bidders have access to the
same information, allowing them the same time and
opportunity to re-submit their bids.
Supplier questions  Supplier questions log.
Log each question and answer.  Copy of GETS web page
Show evidence of the publication of Q&As. demonstrating publication
of Q&As (open process) or
Note where commercially sensitive information has been
e-mails to suppliers (closed
protected with a description of the information. process).
Ensure that all tenderers have access to the same
information. Ensure that any clarification of additional
detail must be provided to all suppliers.
Managing tenders  Tender box procedure.
Set up a procedure for opening the tender box.  Tender log.
Establish a system to record tender receipts – witnessed.  Copy of each tender
Ensure no tenders are opened before the closing date. received.
Acknowledge the receipt of tenders.  E-mails/Letters to suppliers
acknowledging receipt of
Ensure that all tenderers’ information is secure at all
tenders.
times.
Review probity at completion of Approach to Market 
milestone
Check that all of the requirements of the Probity Plan
have been met.

Evaluation

Action Record
Conditions of tender  Tender log.
Check that each tender meets the rules of the RFx  Minutes of evaluations
process (eg delivered on time). against mandatory
Check that each tender meets mandatory conditions or conditions/preconditions.
preconditions.
Ensure that all suppliers have access to information
about any change, and have equal opportunity to change
their bids.
Conflicts of interest  Updated signed
Ask each person to review their Conflict of Interest Declarations.
Declaration in relation to the suppliers that have  Management plan for any
tendered. identified conflict of
Manage any conflicts of interest arising. interest.

Evaluation  Document evaluation

Check that all tenders have been treated in the same process including
way, that criteria have been applied uniformly and that interviews, supplier
the evaluation panel’s recommendation is justifiable. presentations, site visits,
due diligence etc.
Document the reasons for the choice of the preferred
tenderer, and make sure these reasons are clear and  Evaluation panel minutes.
defensible.

Due diligence  Document the results of

Perform due diligence of short listed tenderers, possibly due diligence / referee
including corporate information including ownership, checks
litigation, director’s profiles, financial security and past
history.
Referee checking procedures should be substantially the
same for all suppliers, and confidentiality assured

Review probity at completion of Evaluation milestone 

Check that all of the requirements of the Probity
Plan have been met.
 Recommendation, negotiation and contract

Action Record
Recommendation  Evaluation panel
An independent person reviews the evaluation panel’s recommendation.
recommendation and either accepts or rejects it.  Approval of panel
Obtain approval to proceed to contract before starting recommendation.
negotiations. Clarify authorised limits for negotiation. Review the  Conflict of Interest
delegated financial authority if the price is higher than the Declaration by person
original budget. accepting/rejecting panel
recommendation.
Negotiations  Negotiation minutes.
Document points for negotiation, negotiation discussions, agreed  Signed contract.
points, outstanding issues and negotiation completion. Ensure
the contract reflects the negotiated agreement.
Communication and debriefs  Letters to unsuccessful
All suppliers notified of the result, as soon as possible. suppliers offering a
debrief.
Unsuccessful tenderers are debriefed, if they request it.
 Post award notice on
The successful tender should be accepted, subject to contract.
GETS.
 Note of debrief with each
supplier.
Documentation and Records management  Comprehensive files and
Ensure all decisions and actions are documented. records.
Prepare files and store records of the procurement securely.
Probity debrief  Probity review.
Complete a probity review when the process is completed.
Prepare a signed, written final report describing the agency’s
performance.