Quality Assurance and Risk Management
"I especially appreciated your comments (…) that an ombudsman needs to be seen as part of the solution and not as public executioners."
– J. Paul Dubé, Taxpayer's Ombudsman, in a note to the Procurement Ombudsman
Within the Office of the Procurement Ombudsman, the Quality Assurance and Risk Management (QARM) team divides its activities into two broad areas:
- Quality assurance and risk management; and
- Continuous improvement.
During the year, the QARM team established a Quality Assurance Framework which provides a foundation for ensuring that the Office's work is carried out in accordance with applicable legislative and regulatory requirements, professional standards and Office policies. The Framework is intended to help the Office balance the management of key risks through key control steps while ensuring flexibility and discretion. Monitoring the implementation of the Framework and refining Quality Assurance policies and procedures will be an area of focus for the QARM team in the coming year.
The QARM team supports the other business units by conducting quality control reviews at key points in their work (e.g. plans, reports, communication materials); conducting environmental scanning, including research and studies, on developments in the field of procurement; and carrying out continuous improvement activities.
The environmental scan is one of our key information-sharing activities. There are many sources of information that we analyse as part of this exercise. We gather feedback on the federal procurement system through various means such as our Outreach Program, inquiries and complaints made to this Office, the Ombudsman's appearances before committees of Parliament, as well as meetings and consultations with departments and suppliers. Written materials are also important sources of information, so we include a range of media (magazines, research papers, audit reports, newspapers) in our scan. The information is analysed, and the results of the scan are used as input to the Office's planning processes, to identify potential topics for procurement practices reviews, to enhance the knowledge of our staff, and as input to the organizational learning plan.
As a result of our environmental scanning exercise, the areas of concern or interest that emerged from stakeholders included the following:
- There are many methods of supply for buying the same or similar services, and it is not clear to departments when to use one method over the others.
- Bid solicitation documents are complex and difficult for suppliers to understand.
- Mandatory requirements in bid solicitation documents are often excessive or unnecessarily restrictive.
- Suppliers want increased access to low dollar value procurement.
- Parliamentarians have told us that sole sourcing contracts under $25,000 is a critical issue and they question how those decisions are justified and who audits that reason.
- Strengthening procurement through greater rigour in supplier selection and contract management.
- Business managers and procurement officers should be knowledgeable to limit inconsistent interpretation of the rules and handling of the files.
- Business managers and procurement officers should be empowered to make decisions to assume some risk.
QARM undertook two studies as a result of the environmental scanning results: (1) "A Management Approach to Vendor Performance"; and (2) another study drawing attention to the risks associated with contracts under $25,000 where bids do not have to be solicited under the Government Contract Regulations. The first study has been completed, while the second one is still in progress. Detailed information on these studies can be found in the Practice Reviews section of this Annual Report, and the complete reports will be published on OPO's Web site.
A key element of our continuous improvement activities is the lessons learned process. This year, the QARM team gathered lessons learned from the Office's first year of carrying out procurement practices reviews. The observations and suggestions from staff were compiled and analysed, and the results were brought to the management committee for both information and action. The results of the analysis were also returned to the Procurement Practices Review team so that its policies and procedures could be adjusted to improve the quality of its outputs. In the coming year, we will focus on lessons learned in other areas of our work.
The QARM team is dedicated to ensuring integrity and professionalism in all aspects of the Office's work. By instituting high measures for quality assurance, listening to and addressing concerns brought to our attention, and undertaking continuous improvement activities, QARM helps to ensure that the Office demonstrates respect for all stakeholders, including the Canadian public.
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