Services · Foundational

Procurement Compliance Review and Documentation Toolkit

PRM05

Provides checklists and templates to review procurement files, verify compliance with thresholds and documentation requirements, and identify exceptions for follow-up.

What changes

Better procurement file quality, reduced unsupported procurement decisions and improved readiness for donor or internal audits.

What you get

Procurement file compliance review checklist PRM007
Procurement compliance exception log and follow-up tracker PRM008
Procurement compliance review summary report template PRM009

What has to come first

PRM01Procurement Policy and Governance Manual Module Recommended

The procurement governance module sets the thresholds, delegations and documentation requirements the review checks against
PRM02Supplier Sourcing, Tendering and Evaluation Procedures Recommended

The sourcing, tendering and evaluation procedures define the procurement records the review verifies

Who is involved

From the National Society's side. This is what the engagement asks of your people.

Your own staff work alongside the adviser throughout, so this is a commitment of their time as well as the Centre's. Ask in the request and you are given the day estimate per role before anything is signed.

Role	What they do
HNS Finance Director	Owns procurement compliance and the review cycle
HNS procurement or logistics lead	Provides procurement files for review
Internal audit or compliance focal point	Runs or oversees the file reviews, where constituted
Budget holders and programme managers	Act on exceptions raised against their procurements
HNS Board or Audit and Risk Committee	Oversight of recurring exceptions, where constituted
GFDC delivery team	Drafts the toolkit and advises

How it is measured

Indicator	Target	Evidence
Compliance review toolkit approved and issued	Within 8 weeks of kick-off	Approval minutes or signed toolkit
Procurement files reviewed against the checklist on a defined cycle	At least one review cycle completed each period over a sample of procurement files	Completed review checklists on file
Exceptions logged and followed up to closure	Each exception assigned an owner and due date; majority closed within the agreed time	Exception log and follow-up tracker
Procurement file completeness improving between cycles	Measurable reduction in incomplete or unsupported files period on period	Period-on-period review summary reports

Tools

3 of 3 ready to download.

PRM007 Procurement file compliance review checklist Template DOCX
PRM008 Procurement compliance exception log and follow-up tracker Template DOCX
PRM009 Procurement compliance review summary report template Template DOCX

Standards

COSO Internal Control - Integrated Framework
HNS procurement policy and financial regulations
IFRC integrity and fraud and corruption prevention policies
IFRC procurement and supply chain standards

Describe the problem, not the service

You do not need to know which of the 124 to ask for.

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