1. NC Division of Purchase & Contract - E-Procurement / Education Outreach (last revision May 2006) COMPLIANCE REVIEW PROGRAM

2. Compliance Review Program Overview of Compliance Review Program Steps

3. 1. Compliance Review Notification Make courtesy phone call Email Announcement Letter Email Objectives, Scope and Methodology Email Compliance Review Questionnaire

4. 2. Off-Site Compliance Review Prep Steps Review Compliance Review Questionnaire Determine on-site focus based on questionnaire response Review E-Procurement transactions (if applicable) Confirm on-site start date and time

5. 3. On-Site Compliance Review Conduct Entrance Conference Review files/documentation Document review Conduct Exit Interview

6. 4. Off-Site Compliance Review Post Steps Compose Draft Letter and Compliance Review Report Obtain agency’s comments Obtain P&C management’s comments Render Final Letter and Compliance Review Report

7. Compliance Review Objectives, Scope and Methodology Why, oh why, are you coming to see me, and what are you going to do?

8. Objectives, Scope and Methodology (continued) Why: - delegation increase request - procurement card request - management request - scheduled review Objectives: - adherence to state purchasing rules and regs - exchange ideas - communicate training opportunities - develop working relationship

9. Objectives, Scope and Methodology (continued) Scope and Methodology: - review of purchasing organization / current policies, procedures, and processes - review of specific purchasing transactions - focus on areas of greatest risk Disclaimer: - Compliance Review limited in scope - will not disclose all exposures in purchasing practice

10. Compliance Review Questionnaire Why should I complete this thing, and why are you asking me so many questions???!!!

11. Compliance Review Questionnaire (continued) Gives upfront knowledge of agency’s current purchasing organization and practice which expedites the on-site compliance visit Reduces time spent on-site

12. Compliance Review Questionnaire (continued) Questions focus on following areas: - major changes since last Compliance Review - current staffing - professional development - policies, procedures, and processes - delegations and benchmarks - internal reviews and external audits - agency concerns or areas of special focus

13. Compliance Review Program Thanks for your time and attention, and thanks for helping to promote the purchasing profession. The End!