Checklist for monitoring all procurement within the procuring entities
This checklist is based on the LWF/ DWS Procurement manual, for Goods, consultancies and works. The
checklist will act as a monitoring tool within a procuring entity to ensure that procurement processes are
carried out according to the laid down procurement manual.
Checklist item Y/N/NA Date/NA Comments
Planning the Procurement
1 Has the requirements from the user
been received?
2 Are the funds available/firm
commitments to meet the procurement?
3 Has the requirements been incorporated
in the Procurement Plan?
4 Has the general procurement Notice
been issued?
5 If it is non-competitive procurement
(i.e. emergency procurement, restricted
procurement or single source
procurement) has the report been sent to
HO/CR?
6 If it is an emergence procurement,
retrospective approval was thought from
the CR?
7 Have the specifications/ BoQ/
Drawings/ ToR been defined?
8 Has the procurement methods been
defined?
9 If it is an International or a National
competitive tender were requirements to
apply margin of preference in favour of
local firm observed?
10 Has consideration been given to
whether any specific procurement
policies apply such as consideration of
donor’s policy?
Preparing the Documentation
11 Have prequalification documents and
tender notice been approved by the PC?
12 Have competitive tendering procedures
been followed?
13 If Non Competitive procurement has
been used have the reasons been
Prepared by: Ganesh Bahadur KC (internal auditor)
Checklist for monitoring all procurement within the procuring entities
documented?
14 Has the tender number been allocated
prior to advertising?
15 Does the tender document provide all
the information necessary to enable
potential tenderers to prepare
appropriate submissions?
16 Has the evaluation creteria been
developed and approved before issuing
invitations?
17 Is a clear distinction made between
mandatory and desirable criteria?
18 Has an evaluation matrix been prepared
using appropriately weighted evaluation
criteria determined in the tender
documentation prior to advertising?
Advertising and Inviting
19 Did the advertisement get approval of
the Procurement Officer?
20 Is the advertisement place in the
newspapers of national circulation and
foreign or international publications or
trade journals in the case of
international tendering?
21 Has a copy of the advert been sent to
HO?
22 Was a policy on late or incorrect form
of submission stated in the invitation?
23 Are enquires, questions and
clarifications about the tendering
documented passed onto potential
tenderers?
Tender Receipt and Opening
24 Are tenders received in a locked tender
box/secure place?
25 Are the tenders opened only after the
closing time?
26 Are the tenders opened in accordance
with the procedures specified in the
tender documents?
27 Are the tender details recorded on a
Tender Opening summary Sheet?
Prepared by: Ganesh Bahadur KC (internal auditor)
Checklist for monitoring all procurement within the procuring entities
28 Were the receipts issued for tenders?
29 Are the original tenders and summary
sheet kept securely?
Evaluation and Assessment
30 Are the officers evaluating the tenders
authorised to do so?
31 For goods, works and non consultancy
services, are the evaluations performed
by a panel of three or more people (odd
number)?
32 For consultancy services, are the
evaluations performed by a panel of
three or more people (odd number)?
33 Are the tenders evaluated in accordance
with the criteria set in tender document?
34 Are all tasks, calculations, deliberations
during evaluation documented?
35 Was the evaluation report reviewed by
the PMU for review?
36 Was the evaluation report approved by
the PMU?
37 Was the evaluation report approved by
the PC?
Negotiations
38 Was the Negotiation Committee
appointed?
39 Were the results clearly agreed upon by
both parties to the negotiations?
40 Were the negotiations adequately
recorded and signed by both parties?
41 Have the negotiations results been
approved?
42 Are unsuccessful tenders notified
accordingly?
Monitoring the Contract
43 Did the PC review the contract?
44 Has the contract been signed by
someone with appropriate authority?
Prepared by: Ganesh Bahadur KC (internal auditor)
Checklist for monitoring all procurement within the procuring entities
45 Was the contract properly witnessed?
46 Have the contract details been entered
into Contract Register?
47 Has the copy of the letter of award and
contract been sent to:
(i) HO?
(ii) The Technical Audit Unit or
management committee?
48 Have the necessary security Been
obtained from the insurance policies
certificates, etc. contractor?
49 Have the necessary security insurance
policies certificates, etc. been obtained
from the contractor?
50 Have the processes, data used and
conclusions of contract performance
been fully documented?
51 Has the end user been involved in the
review of contract performance?
Progress Payments and retentions
52 Are progress payments appropriately
approved?
53 Are progress payments backed up with
an evaluation of performance, stage of
completion etc?
54 Are progress payments paid on time?
55 Does the entity hold the appropriate
retention from payments in accordance
with the contract?
56 Has the performance security been
appropriate released when the
contractor has been paid all moneys
excluding retention?
57 Have retention moneys as specified in
the specific conditions of contracts,
been deducted from payments to the
contractor?
58 Were there any variations in the
contract?
59 If there were variations in the contract,
were they approved by the CR?
Prepared by: Ganesh Bahadur KC (internal auditor)
Checklist for monitoring all procurement within the procuring entities
Prepared by: Ganesh Bahadur KC (internal auditor)
