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Scheme Guidelines
Agency Accreditation Scheme for
Procurement
Scheme Guidelines
Contact: Accreditation Department of Finance, Services and Innovation [email protected]
Last updated: 10 October 2016
Version: 2.0
Scheme Guidelines
Table of Contents
1 Scheme Overview 1
1.1 Introduction 1
1.2 Scheme Aims and Objectives 1
1.3 Scheme Benefits to Agencies 1
1.4 Levels of Accreditation 2
1.5 Assessment Criteria 2
1.6 Scored Items 3
1.7 Accreditation Level Calculation 4
1.8 Maximum Contract Value 4
1.9 Scope of Agency Accreditation 6
2 Accreditation Assessment Process 7
2.1 Agency Responsibilities during Assessment Process 8
2.2 Accreditation Assessment Status Report Meetings 8
2.3 Assessment Stage 1: Planning 8
2.4 Assessment Stage 2: Assessment of Criteria 11
2.5 Assessment Stage 3: Development of Assessment Report 12
2.6 Assessment Stage 4: Board Decision 13
2.7 Feedback following accreditation assessment 13
2.8 Subsequent Accreditations 14
2.9 Assessment of NSW Procurement 15
3 Contracts Established by Accredited Agencies 16
3.1 Government Contracts 16
3.2 Use of External Resources to Undertake Procurement 17
3.3 Procurement Processes Undertaken by Accredited Agencies
on Behalf of Other Entities 17
4 Responsibilities of Accreditation 18
4.1 Accreditation Reviews 18
4.2 Accreditation Reports 18
5 Board Reports 20
Scheme Guidelines
SCHEDULE OF DOCUMENT AMENDMENTS
Revision Number
Date Update Description
1.10 7 November 2012 Document Original - first publication
1.11 27 May 2013 Minor Changes
1.2 September 2015 Updated to single agency accreditation scheme
2.0 10 October, 2016 Included 2.9 Assessment of NSW Procurement
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1 Scheme Overview
1.1 Introduction
Under the Agency Accreditation Scheme for Procurement (the Scheme) agencies are able
to undertake different levels of procurement based on their assessed procurement
capability. Accredited agencies are able to obtain goods and services not available under
whole-of-government contract and construction up to their maximum contract value.
Only agencies accredited to Level 3 may have lead buyer status for a category where the
agency establishes and manages whole-of-government contracts.
Accredited agencies must use whole-of-government contracts where required by the
Procurement Board.
1.2 Scheme Objectives
The Scheme objectives are to:
Assure agency capability and capacity to deliver value for money, efficiency and
effectiveness through government procurement
Reduce costs and manage risks though effective aggregation and improved
procurement capability
Promote best practice procurement and provide a framework for continuous
improvement
Provide visibility of procurement activity and capability centrally and within agencies
1.3 Scheme Benefits to Agencies
Procure agency-specific goods, services and construction up to a maximum contract
value
Adopt an established tool (the Procurement Management Plan) for procurement
planning and capability development
Map current procurement maturity and identify specific steps to improve
Reduce risks and increase savings over time through continuous improvement of
people, processes and systems
Increased flexibility for higher levels of accreditation and lead buyer status
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1.4 Levels of Accreditation
Based on assessed procurement capability, agencies may receive one of three levels of
accreditation.
Level 1 - Basic
Level 2 - Advanced
Level 3 - Leading
Level 1 – Basic accredited agencies have a maximum contract value of at least $1 million for goods and services, and up to $5 million for construction.
Level 2 – Advanced accredited agencies have a maximum contract value up to $30 million.
There is no dollar limit to the maximum contract value Level 3 Leading accredited agencies may receive. The maximum contract value is determined by the agency’s spend profile.
Accredited agencies receive a maximum contract value. The maximum contract value is
determined by the agency’s calculated accreditation level and the spend profile. Refer to
section 1.8 Maximum Contract Value for more detail.
“Contract value” for the purpose of the scheme means the estimated total annual value of a
period or panel period contract or arrangement and for other contracts means the total
estimated value. A period contract means a standing offer to supply agreement.
1.5 Assessment Criteria
Agencies are assessed against five assessment criteria which are weighted as follows:
Criteria Weighting
Strategy 15%
Governance, Control & Policy 15%
Procurement Process 30%
Information Management & Reporting 15%
Organisation & Capability 25%
Total 100%
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1.6 Scored Items
The five criteria are broken up into 20 scored items. In the accreditation assessment, each
scored item receives a score between zero and four. The Scoring Guide (contained within
the Assessment Tool) details what an agency must demonstrate in order to achieve a
score of one, two, three or four for each scored item.
Criteria Scored Items
Strategy Procurement Function Strategy Procurement Management PlanPerformance against function strategyPerformance against management plan
Governance, Control & Policy
Procurement Governance Structure / Delegations Procurement RiskPolicy and Procedures
Procurement Process
Business Case Spend Analysis Demand / Needs / Specifications Availability / Adoption of Procurement Tools and SystemsSupplier Market Analysis Sourcing Strategy Tendering / Evaluation / Negotiation / Contract AwardProject and Contract Management Supplier Relationship Management Benefits Realisation and Continuous Improvement
Information Management & Reporting
4.1 Information Management and Reporting
Organisation & Capability
Level of Capability and Resourcing Procurement Organisation Design
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1.7 Accreditation Level Calculation
An agency’s accreditation level is calculated on the basis of their assessment scores. Two
factors are taken into account; (i) the agency’s percentage score, and (ii) the agency’s
range of scores.
Minimum Percentage Score
Score Range Requirements
Calculated Accreditation Level
26% 1
60% No scores less than 2
2C
67% 2B
74% 2A
80% No scores less than 3
3C
87% 3B
94% 3A
1.7.1 Minimum Percentage Score
An agency’s percentage score is calculated by applying the criteria weightings. In order to
achieve a given accreditation level (third column above) the agency must meet the
corresponding minimum weighted percentage score (first column above). For example, in
order to achieve accreditation level 3C a percentage score of 80 or above is required.
1.7.2 Score Range Requirements
A low score for any scored item represents a risk area. Low scores are therefore taken
into account in calculating the accreditation level. In order to achieve a given accreditation
level (third column above) the agency must meet the corresponding minimum scoring
requirements (second column). For example, in order to achieve accreditation level 3C,
there can be no scores of zero, one or two. In other words, all 20 scored items need to
have received a score of three or four out of four.
1.8 Maximum Contract Value
The Maximum Contract Value is the dollar value to which accredited agencies can
undertake their own agency specific procurement without reference to DFSI.
Goods and Services
The Assessment Tool will calculate a Maximum Contract Value.
The Maximum Contract Value will be determined by
Accreditation Level, and
Spend profile (by using highest value agency-specific contract)
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Accreditation Level Maximum Contract Value
1
$1,000,000 for goods and services and up to $5,000,000 for
construction
2C
Lesser of: $10,000,000 or 110% HCCX
2B
Lesser of: $20,000,000 or 110% HCCX
2A
Lesser of: $30,000,000 or 110% HCCX
3C
Where HCC≤$30m: HCC + (1/3 of 50% HCC)
Where HCC>$30m: $30m + 1/3 delta to 150% HCC
3B
Where HCC≤$30m: HCC + (2/3 of 50% HCC)
Where HCC>$30m: $30m + 2/3 delta to 150% HCC
3A
150% HCC
HCC = Highest current agency-specific contract value. Does not include spend under whole-of-
government contracts. Does not include contracts sourced using resources bought in by the entity
(e.g. contractors or consultants)
HCCX = Highest current agency-specific contract value where the contract has been sourced by
the agency. Does not include spend under whole-of-government contracts. Does not include
agency-specific contracts established by DFSI or other providers. Does not include contracts
sourced using resources bought in by the entity (e.g. contractors or consultants).
Construction
Maximum Contract Value will be based on the value of the highest contract submitted for
assessment.
Subsequent accreditations
The person(s) completing the assessment may recommend to the Board that the agency’s
Maximum Contract Value be increased by up to 10 per cent.
Section 2.8 outlines the process for subsequent accreditations (i.e. re-accreditation).
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1.9 Scope of agency accreditation
The scope of accreditation assessments within a NSW Government cluster is a matter for
consideration by the Secretary.
A NSW Government cluster may undergo one accreditation assessment where it has a centralised
procurement function or where it is implementing a centralised procurement function. Alternatively,
where a NSW Government cluster has independently operating procurement functions, it may elect
to undertake separate accreditation assessments and hold separate accreditations.
Agencies may apply for partial accreditation for different categories of procurement (using the
taxonomy approved by the Board in March 2013), such as for construction procurement.
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2 Accreditation Assessment Process
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2.1 Agency Responsibilities during Assessment Process
To facilitate the accreditation assessment process, agencies are required to:
Present an overview of the agency at the kick-off meeting
Provide documents listed in the Document Request List
Nominate Category Managers
Complete the Procurement Management Plan
Nominate staff to participate in interviews
Attend weekly status meetings throughout the accreditation process
Provide additional requested documentation, if any
Provide feedback on the draft report
2.2 Accreditation Assessment Status Report Meetings
During the Assessment Process the assessor conducts weekly Accreditation Assessment
Status Report Meetings and prior to each meeting circulates an Accreditation Assessment
Status Report for discussion at the meeting.
2.3 Assessment Stage 1: Planning
2.3.1 Application for Accreditation Assessment
The agency completes and submits an Application for Accreditation Assessment to the
Chairperson of the NSW Procurement Board. The Application for Accreditation
Assessment details the scope of the accreditation assessment and any subsequent
accreditation.
2.3.2 Planning Meeting
A planning meeting is held between DFSI and the applicant agency. The Planning Meeting
Agenda includes the following items.
Scheme overview
Document Handover (refer to 2.3.7)
Interviews (refer to 2.3.8)
Capability assessment (refer to 2.3.5)
Engaging the assessment team (refer to 2.3.4)
Risk Assessment (refer to 2.3.2(a))
Applicability of scored items (refer to 2.3.2(b))
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(a) Risk Assessment: Agency Accreditation Assessments
At the Planning Meeting, DFSI and the agency discuss the Risk Assessment: Agency
Accreditation Assessments. This document:
Identifies and rates risks which may occur in the accreditation assessment process;
Details mitigation strategies for each risk; and
Details the action to be taken should a risk occur.
(b) Applicability of scored items
Where the applicant considers that a scored item should not apply to the agency, the
reasons are to be provided to DFSI. The Executive Director NSW Procurement (or
delegate) may grant an exception from the accreditation assessment criteria by deciding
that certain scored items should not apply to the applicant.
2.3.3 Approval to Commence Accreditation Assessment
DFSI will obtain approval to commence the accreditation assessment.
2.3.4 Engaging an Assessment Team
DFSI is responsible for arranging the assessment team on behalf of the Procurement
Board. DFSI undertakes a request for quotation process to engage the assessment team
for each accreditation assessment.
(a) Prequalification Scheme
Assessments of agencies seeking accreditation for the first time will be conducted by
external consultants prequalified under specialty 4) k) Agency Procurement Assessment of
the Prequalification Scheme: Performance and Management Services. See section 2.8 for
subsequent assessments.
(b) Guidelines for engaging the assessment team
In selecting the assessment team, DFSI applies two guidelines to avoid any perceived
conflict of interest which may be seen to compromise the independence of the assessment.
Guideline 1: Preparing for accreditation assessment
An agency may engage a consultant or consultancy firm to identify and address gaps in
preparation for accreditation assessment. Such preparation work will be at the agency’s
expense. A consultant or consultancy firm engaged to prepare an agency for accreditation
assessment will not be able to undertake the accreditation assessment of that agency.
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(c) Proposal to engage assessment team
Prior to awarding the contract to the assessment team, DFSI will send the applicant
agency a letter of proposal to engage the assessment team. The proposal letter requests
the applicant agency to:
Formally accept the payment arrangements for the assessment team; and
Raise a purchase order for the proposed total fee for the engagement.
DFSI will award the contract to undertake the accreditation assessment to the assessment
team.
(d) Payment arrangements
Assessment teams will invoice DFSI who will pay the Assessment Team for services
provided. At the end of the engagement, the applicant processes payment to DFSI for the
total amount paid to the assessor.
2.3.5 Capability Assessment
The applicant’s procurement capability will be assessed by the assessment team. The
Capability Assessment Matrix maps the capabilities of its procurement staff (i.e. those in
the central procurement function and those performing category manager roles)
2.3.6 Kick-off Meeting
The kick-off meeting is a meeting between DFSI, the applicant and the assessment team.
The Kick-Off Meeting is coordinated and chaired by DFSI.
DFSI:
Outlines the roles and responsibilities of DFSI, the applicant agency and
assessment team during the assessment.
Guideline 2: Recent work with the agency
Where a consultant or consultancy firm has:
in the last six months completed a review of an agency’s procurement function, or
has or in the last six months has had staff working in an agency’s procurement
function,
the consultant or consultancy firm will be disqualified from undertaking the accreditation
assessment of the agency.
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The applicant presents:
Background on the applicant agency including its service delivery obligations and
how procurement contributes to these
Structure of the agency, where procurement sits and how it interacts with the
business
An overview of the categories, value and complexity of procurement activities
undertaken by the applicant, including the degree to which it is agency-specific or
whole-of-government contract related
Key benefits expected from accreditation
The agency’s Procurement Management Plan
The assessment team:
Discusses the Document Request List
Develops a detailed accreditation timetable
2.3.7 Document Handover
The applicant submits documents to the assessor in accordance with the Document
Request List including:
Procurement Management Plan for the procurement function being assessed; and
6 procurement project files. The procurement projects may have been undertaken
using resources bought-in by the entity (e.g. contractors or consultants)
2.3.8 Nominating interviewees
The applicant nominates interviewees by completing the Interviewee Nomination Form and
submitting the completed form to the assessment team. The Interviewee Nomination Form
includes minimum interview requirements. The agency is to arrange interviews between
the assessor and each interviewee.
2.4 Assessment Stage 2: Assessment of Criteria
After reviewing documentation and systems and conducting interviews, the assessor:
Completes the Capability Assessment Matrix
Completes the Category Manager Matrix
Inputs scores / data into the Assessment Tool
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2.4.1 Capability Assessment Matrix
The applicant’s mapping of procurement capability will be validated by the assessment
team and used in the assessment of Criterion 5 Organisation & Capability.
2.4.2 Category Manager Matrix
For agencies seeking Level 1 – Basic accreditation the assessor completes the Category
Manager Matrix for the top 3 categories by spend and/or risk.
For agencies seeking Level 2 – Advanced accreditation the assessor completes the
Category Manager Matrix for the top 5 categories by spend and/or risk.
For agencies seeking Level 3 – Leading accreditation the assessor completes the
Category Manager Matrix for all categories.
The agency nominates category managers in the Interviewee Nomination Form. Where an
agency has not implemented a category management model, the responsibility for the
requirements may be shared by various people. The assessor completes the Category
Manager Matrix in consultation with the category manager and other relevant agency
stakeholders. For each category of spend the applicant should provide a brief explanation
of how it is managed. If this is included in the procurement management plan, this should
be referenced. The 1 to 4 rating scale will be used to determine the degree to which the
category manager meets the stated requirements.
The completed Category Manager Matrix will be used in the assessment of Criterion 5
Organisation & Capability
2.4.3 Assessment Tool
In Assessment Stage 2, the Assessor completes the green primary input tabs of the
Assessment Tool. The primary inputs are the score, rationale and improvement areas for
each scored item.
2.5 Assessment Stage 3: Development of Assessment Report
2.5.1 First Draft Assessment Report
The First Draft Assessment Report is developed by completing the Assessment Report tab
of the Assessment Tool. In order to complete the first draft assessment report the assessor
inputs the following secondary inputs into the Assessment Tool:
Recommended Accreditation Level
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Rationale for Recommended Accreditation Level where recommended level differs
from the calculated level
Any special conditions of accreditation
Any recommendation that the agency should be a lead buyer for any category
Improvement Plan
2.5.2 Presentation to Agency Executive
The Assessor presents its draft findings to agency executive officers. This should include
the person to whom the agency Chief Procurement Officer reports and the Secretary of the
cluster. Discussions with the agency executive may inform the content of the Final Draft
Assessment Report.
2.5.3 Feedback on First Draft Assessment Report
The Assessor submits the First Draft Assessment Report to the applicant agency and
DFSI for comment.
2.5.4 Final Draft Assessment Report
Where the assessor agrees with comments on the First Draft Assessment Report, the
assessor amends the inputs (primary or secondary) into the Assessment Tool to create the
Final Draft Assessment Report. The agency seeks their cluster Secretary’s endorsement
of the Final Draft Assessment Report. The Secretary’s endorsement of the report is sent to
the Chair of the Board.
2.6 Assessment Stage 4: Board Decision
2.6.1 Board Paper
DFSI will prepare a Board paper recommending that the Board grant accreditation to the
agency based on the Final Draft Assessment Report. The assessor may be asked to
contribute to the paper. E.g. on key issues in the assessment process. Generally, it will be
recommended that the Board grant accreditation for a period of three years.
2.7 Feedback following accreditation assessment
Agencies may complete the Agency Feedback Form to provide feedback on:
the performance of the consultant which undertook their accreditation assessment
the accreditation assessment process
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Assessors (Consultants) which have completed an accreditation assessment of an agency
may complete the Assessor Feedback Form to provide feedback on the assessment
process, methodology and Assessment Tool. Completed feedback forms are to be
provided to DFSI.
2.8 Subsequent accreditations
This section applies where an agency is seeking accreditation for a second or subsequent
time, including where it is expanding the scope of its original accreditation.
The Procurement Leadership Group has endorsed a process for reaccreditation which
articulates which criteria are required to be assessed and which are at the discretion of the
applicant agency.
(a) Where an agency is seeking to maintain its accreditation level
In the case of a level 1 accredited agency, the assessment may be undertaken by an
independent external consultant selected from the prequalification scheme in 2.3.4 or a
senior procurement officer employed by an accredited agency (other than the agency under
review).
In the case of a level 2 or 3 accredited agency, the assessment may be undertaken by an
independent external consultant selected from the prequalification scheme in 2.3.4 or a
team of at least three senior procurement officers employed by an accredited agency (other
than the agency under review).
The person(s) completing the assessment may recommend to the Board that the agency’s
Maximum Contract Value be increased by up to 10 per cent.
Where an agency is seeking to maintain its pre-existing level of accreditation (as opposed
to seeking an increase in the level or its scope) the person(s) completing the assessment
may recommend to the Board that the resulting grant of accreditation be extended up to five
years.
(b) Where an agency is seeking to increase its accreditation level
Consistent with the process outlined in 2.8(a).
The person(s) completing the assessment may recommend to the Board that the agency’s
Maximum Contract Value be increased by up to 10 per cent.
(c) Where an agency is seeking to increase the scope of its accreditation
Assessments of agencies seeking increase the scope of its accreditation will be conducted
by external consultants prequalified under the Prequalification Scheme: Performance and
Management Services (4f) Agency Procurement Assessment.
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2.9 Assessment of NSW Procurement
To manage any conflict of interest (perceived or real) it is recommended that a Chief
Procurement Officer of a Level 3 accredited agency will form part of the NSW Procurement
assessment project team.
Responsibilities of the nominated Chief Procurement Officer will include but not limited to:
A place on the Tender Evaluation Team
Review weekly status updates/attend fortnightly update meetings
Provide feedback on draft report
Endorse final report
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3 Contracts Established by Accredited Agencies
3.1 Government Contracts
3.1.1 Procurement Valued Below the Maximum Contract Value
Accredited agencies may undertake agency-specific goods and services procurement,
where no relevant whole-of-government contract exists, up to their maximum contract
value, without reference to DFSI.
Where an agency considers that a procurement project valued below its maximum contract
value to be of such a nature as to warrant consideration of DFSI, it can refer the matter to
DFSI. Where an agency does not have the expertise to undertake a procurement project
valued below its maximum contract value, it can refer the request to DFSI to take the
appropriate action.
3.1.2 Procurement Valued Above the Maximum Contract Value
Accredited agencies must refer their strategies for procurements valued above their
maximum contract value to DFSI for concurrence.
3.1.3 Provision of Contract Details to other Agencies
Details of all agency specific contracts must be disclosed on the Contracts Register
(hosted on the eTendering website https://tenders.nsw.gov.au). Accredited agencies
either:
Publish contract terms and conditions in full on the internet; or
Where the full terms and conditions are not available online, the agency must
provide the full terms and conditions to any public sector service agency upon
request.
3.1.4 Exemptions for Unique Statutory Procurement
An agency head may apply to the Board to have certain agency-specific statutory
procurement exempt from the coverage of the Scheme.
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3.1.5 Purchasing by Eligible Customers
Where an accredited agency establishes / manages a whole-of-government contract the
accredited agency may need to ensure that the deliverables can be purchased by eligible
customers.
Where an accredited agency is responsible for a whole-of-government contract which is
catalogued in NSWBuy - eCatalogues, the accredited agency must ensure that catalogue
information on NSWBuy - eCatalogues is created and maintained. This may involve:
The accredited agency creating / maintaining the catalogue in NSWBuy -
eCatalogues;
The accredited agency ensuring suppliers maintain the catalogue information on
NSWBuy – eCatalogues and /or
The accredited agency ensuring that DFSI has sufficient information to create /
maintain the catalogue in NSWBuy - eCatalogues.
3.2 Use of External Resources to Undertake Procurement
Where an accredited agency engages external resources to undertake procurement on
behalf of the accredited agency, the accredited agency is responsible for the procurement
process and its outcomes.
3.3 Procurement Processes Undertaken by Accredited Agencies on
Behalf of Other Entities
Where an accredited agency undertakes procurement on behalf of another entity, the
accredited agency is responsible for the procurement process. The other entity is
responsible for compliance with all procurement laws and policies.
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4 Responsibilities of Accreditation
Accredited agencies have the following responsibilities.
To use whole-of-government contracts where available
To make their agency-specific contracts available to other agencies
To participate in Accreditation Reviews (see section 4.1 below)
To submit Accreditation Reports (see section 4.2 below)
4.1 Accreditation Reviews
All agencies have obligations under Board Direction 2013-01 to test compliance with
procurement laws and policies, including establishing an audit plan. Additionally, the
Procurement Board may initiate Accreditation Reviews, which focus on:
Compliance with NSW Government Procurement Policy
Particular accreditation assessment criteria or scored items - for example, updated
Scoring Guide requirements or re-assessment:
o Updated Scoring Guide requirements - where the Scoring Guide
requirements for a particular scored item have been updated since the
assessment of an agency, that agency may be reviewed against the
updated scored item,
o Reassessment – where an agency has rectified improvement areas, the
agency may request a re-assessment of particular scored items.
Areas of high risk, complexity or value:
o For example, the Board may highlight contract management as a key risk
area and request DFSI to coordinate reviews of accredited agencies
contract management operations.
Accreditation Reviews are conducted by DFSI, independent external consultants engaged
by DFSI or senior procurement officers from level 3 accredited agencies. Accreditation
Reviews take approximately 2 weeks. Based on the outcomes of Accreditation Reviews
the Board may decide to vary an agency’s level of accreditation.
4.2 Accreditation Reports
Accredited agencies must submit the following reports to DFSI annually:
Improvement Plan Progress Report
Program of Works Report (PoWR)
Procurement Management Plan & Report (PMP&R)
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Confirmation of Compliance with Obligations
If an agency publishes procurement plan information on the eTendering website consistent
with Board Direction 2013-06, the agency is not required to separately provide PoWR and
PMP&R to DFSI.
4.2.1 Improvement Plan Progress Report
As part of the accreditation assessment report, the assessor will provide an improvement
plan. Accredited agencies must provide progress in implementing the recommended
improvements. An agency which completes its improvement plan is entitled to have its
Maximum Contract Value increased by 25 per cent. This may be approved by the
Procurement Board Chair.
4.2.2 Program of Works Report
The Program of Works Report is a high-level snapshot of:
All procurement projects underway to establish a contract; and
All contracts awarded in the period.
4.2.3 Procurement Management Plan & Report (PMP&R)
The PMP&R combines planning for the coming year and a report on progress in achieving
the activities planned in the prior year’s plan.
4.2.4 Confirmation of Compliance with Obligations
Accredited agencies must annually confirm that they have:
Submitted a PMP&R;
Used whole-of-government contracts in all relevant instances; and
Made the agency-specific contracts they have entered into available to DFSI and
other government agencies.
Has tested compliance with the Procurement Policy Framework
4.2.5 Reporting Due Dates
All reports are currently required prior to 31 August for the prior financial year ended 30
June.
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5 Board Reports
The Board may receive reports / submissions from DFSI on:
management reports with visibility of:
o Completed, current and planned assessments
o Accreditation Reviews
Proposed significant changes to the Scheme for approval.