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[null,null,null,null,null,null,"Supply Chain Management diagnostic assessment tool"]

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["SCM Element ","Category","Number","Legal Requirement","Criteria","Question ","Answer","Comments Section ","Score","Composite Score \"Level\"","Maturity level"]
["Governance "]
[null,"SCM Policy",1,"MFMA section 111 and SCM Reg 2 and 3","Updated SCM Policy and adopted by council. ","Is there an approved SCM Policy in place? ","Yes","2018/2019",3,{"$f":"AVERAGE(I8:I14)","v":2.8571428571428572},{"$f":"AVERAGE(J8:J100)","v":2.831261446886447},null,"Yes"]
[null,null,2,null,null,"Has the policy been reviewed and updated with the latest NT precripts and guidelines?  ","Yes","Yes - refer to amendments in Q2 report",3,null,null,null,"No"]
[null,"SCM SOP's and Process Maps",3,null,"The Municipality develped and documented SCM procedures for all segments.  ","Has the municipality developed process maps and standard operating procedures for the SCM Elements? ","Yes","Various SOP's in place. Refer to discussion in report",3,null,null,null,"Partial"]
[null,"SCM system of delegations and Sub-delegations",4,"MFMA section 79 and SCM Reg. 4 and 5","The System of Delegations in place, in line with section 79 of the MFMA, in recpect of delegated to a post, contains limitations and conditions and cryptic description of function.  ","Is there a system of delegtions and sub delegations in place? ","Partial","System of delegations are in place but not specific aligned with SCM TR 4 and 5. ",2]
[null,null,5,null,null,"Are the delegations issued in writing to the delagatee, and accepted formally in writing? ","Yes",null,3,null,null,null,null,null,"Yes","No","Partial",0]
[null,null,6,null,null,"When were the delegations and sub delegations last reviewed ","Yes","Applicable from 2016-2021",3]
[null,null,7,null,null,"Does the deleagtion reflect the financial values (maximum allowed value)?","Yes",null,3,null,null,null,null,null,"Please provide a reason for \"No or partial\""]
["SCM Institutionalisation and SCM Capacity ","SCM Unit",8,"SCM Reg 7","Sufficientlty capacitated unit in place and under the supervion of the of the CFO. ","Is there a Unit in place? ","Yes",null,3,{"$f":"AVERAGE(I15:I27)","v":2.7692307692307692},null,null,null,null,"Please provide a reason for \"No or partial\""]
[null,null,9,null,null,"Is the unit under the supervision of the CFO? ","Yes",null,3,null,null,null,null,null,null,null,0]
[null,null,10,null,null,"Is the unit centralised or decentralised?","Yes","Centralised",3]
[null,null,11,null,null,"Are there vacancies against the council approved structure? ","Yes","Two vacancies",3]
[null,null,12,null,null,"Does the unit give effect to all elements of SCM? ","Partial","There is a need for a governance related functionary to focus on matters such as performance, Risk management on a case-by-case basis, Contract management related to SCM and Consequence management.  This function is currently performed by SCM Manager.",2]
[null,"Declarations and conflict of interest",13,"SCM Reg. 46 and 47","Completion of declarations for conflict of interest ","Have the officials signed their code of conduct?","Yes",null,3]
[null,null,14,null,null,"Have the officials signed their declarations? ","Yes",null,3]
[null,null,15,null,null,"Are the declarations updated annually? ","Yes",null,3]
[null,null,16,null,null,"Are the decarations housed or kept at the HR division within the file of the employee? ","Yes",null,3]
[null,null,17,null,null,"Are declartions completed for all officials involved in the SCM process/value chain?","Yes",null,3]
[null,"SCM Capacitation and training",18,"MFMA S. 119 and SCM Reg. 8","SCM officials capacitated/trained to perform discharge their duties and responsibilities effectively, and compliant in terms NT MMC. ","Are SCM officials regularly trained? ","Yes","Training is conducted via PT workshops and SCM Unit also hold workshops with users on reforms",3]
[null,null,19,null,null,"Are the SCM officials compliant with NT MMC requirements?","Yes","SCM manager complies",3]
[null,null,20,null,null,"Does the Municipality conduct training needs assessments and analysis and developed PDP's?","No","A formal structured training programme is lacking.",1]
["Demand Management","Demand Management ",21,"SCM Reg 10 and NT Cir. 62","Detemining whether the Municipality has a demand management and procurement planning process and procedure in place. ","Does the SCM Policy outline in detail the demand management and procurement planning process?","Partial","SCMP is expanded to address some of the demand management elements, but there is a need for a more detailed process to be recorded",2,{"$f":"AVERAGE(I28:I32)","v":2.4}]
[null,null,22,null,null,"Has the policy been aligned to NT Circular 62 requirements?","Yes","SOP also adopted",3]
[null,null,23,null,null,"Does the Municipality have a formalised demand management process or procedure? ","Partial","SCMP is expanded to address some of the demand management elements, but there is a need for a more detailed process to be recorded",2]
[null,null,24,null,null,"Does the line departments submit demand plans to SCM? ","Partial","emails are sent to the users, for them to sumbit the information needed. But at times the data and information contained in the Demand plans is not sufficient or complete to enable SCM unit to conduct its plans.",2]
[null,null,25,null,null,"Does the Municipality have procurement plans in place? ","Yes",null,3]
["Acquisition Management","Acquisition Management procedures",26,"SCM Regulation 12","SCM Policy aligned to the NT thresholds and applied consistently. ","Does the Municipal Policy make provision for range of procurement processes?","Yes",null,3,{"$f":"AVERAGE(I33:I53)","v":2.8571428571428572}]
[null,null,27,null,null,"Does the Municipality consistently and accordingly apply the ranges of procurement in the acquisition of goods and services? ","Yes",null,3]
[null,null,28,"SCM regulation 13",null,"Does the policy make provision for the pre-conditions for written quotations and bids?","Yes","Provides for pre-conditions. Refer to comments in report",3]
[null,null,29,"SCM regulation 14","Municipality maintains and updated list of accredited supplier database. ","Does the Municipality have its own list of accredited suppliers? ","Yes","Municipality makes use of Munsoft and the NT CSD.",3]
[null,null,30,null,null,"Does the Municipality integrates its list with NT CSD list? ","Yes",null,3]
[null,null,31,null,null,"Does the Municipality annually issue advertisements for updating of information on the database/list of accredited suppliers?","Yes",null,3]
[null,null,32,"SCM Reg. 16c and 17c","Municipality appropriately classifying and reporting accordingly and correctly. ","Does the municipality record and report reasons for not obtaining quotations to the CFO and MM","Yes","On case by case basis",3]
[null,null,33,"SCM Reg 18 and 22","Municipality adhere to advertisements procedures, timeframes and incorporated the latest NT requirements.","Are advertisements pubished in the commonly circulated news papers, notice boards, Website, ePortal, and iTender (CIDB)? ","Yes",null,3]
[null,"Bid Committee System",34,"SCM Reg 26,27,28 and 29","Functioning bid committees with appropriatly appointed members. ","Are the three committee's in place? ","Yes",null,3]
[null,null,35,null,null,"Have the members been appointed by the AO in writing? ","Yes",null,3]
[null,null,36,null,null,"Does the Municipality require members to sign declarations and conflict of interest? ","Yes",null,3]
[null,null,37,null,null,"Are the minutes of each meeting recorded and stored? ","Yes",null,3]
[null,"Banking Services",38,"SCM Reg. 30","Documented procedure for the appointment of banking services","Has the Municipality developed documented procedures for the appointment of banking services? ","Partial","Treated as a normal tender, and the Municipality uses the SCM regulations as the reference guide. ",2]
[null,null,39,null,null,"Are the bids advertised for a period of not less than 60 days? ","Yes",null,3]
[null,null,40,null,null,"Does the Municipality initaite the appointment process at least 9 Months prior to the end of the existing contract? ","Yes",null,3]
[null,null,41,null,null,"Does the Municipality notify the National Treasury and the CSD administrators of changes in the banking services? ","Yes","No new banker appointed. ",3]
[null,"Piggy Backing (Contracts secured by other organs of state)",42,"SCM Reg.32","Whether the Municipality has put control measures to mitigate against non compliance to laws and regulations","Has the Municipality developed procedures for section 32 \"Piggy backing\" procurement procedure? ","Yes","SOP adopted. Refer to discussion in report",3]
[null,"Deviation  from and ractification of minor breaches of procurement process. ",43,"SCM Reg. 36",null,"Has the Municipality developed/documented a procedure for Devaitions? ","Yes","SOP adopted. Refer to discussion in report",3]
[null,"Unsilicited Bidding Process",44,"SCM Reg 37",null,"Has the Municipality developed/documented a procedure for consideration of Unsolicited bids? ","Yes","SOP adopted. Refer to discussion in report",3]
[null,"Combating abuse of SCM System",45,"SCM Reg 38","Whether the Municipality has updated the SCM policy to align with Financial Misconduct regulation. ","Has the Municipality developed a prcodure and methodology to combat abuse of the SCM system? ","Partial","SCM Manager deals with matters on an ad hoc basis but there is a need for a more structured and recorded process.",2]
[null,null,46,null,null,"Has the Municipality aligned the SCM policy to the financial misconduct regulations? ","Partial","SCM Manager deals with matters on an ad hoc basis but there is a need for a more structured and recorded process.",2]
["Logistics Management","Logistics Management",47,"SCM reg 39","Efficient management of stores and logistics funtion. ","Does the Municipality have a formalised logistics procedure (Three way verification procedures)? ","Yes","Three way verificatoin to BIN system to ERP system. ",3,{"$f":"AVERAGE(I54:I56)","v":3}]
[null,null,48,null,null,"Are the Roles and responsibilities between the stores (receiving unit) and User departments for receiving and issuacne of goods? ","Yes",null,3]
[null,null,49,null,null,"Does the Municipality have stock levels control procedures which are integrated into the ERP system? ","Yes","Via the 3 quotes, score sheet, purchase order, CSD, Invoice and GRV's. ",3]
["Disposal management","Disposal Management",50,"SCM Reg 40","Documented procedures on how to identify items to be disposed and management of the disposal process.  ","Does the Municipality have a disposal management procedure for goods and classess of assets?","Yes",null,3,{"$f":"AVERAGE(I57:I59)","v":3}]
[null,null,51,null,null,"Has the Municipality incorporated aspects of Municipal Asset Transfer Regulations in its disposal management section?","Yes",null,3]
[null,null,52,null,null,"Is there a committee or established structure dealing with review and recommendation on item to be disposed/Alienated?","Yes","To organise the Dispoasal policy (for the Municipality to use as best practice)",3]
["Risk Management","Risk Management ",53,"SCM Reg 41","Identifification, analysis and mitigation of SCM risks. ","Are SCM risks managed on a case-by-case basis? ","Partial","SCM Manager conducts function in an ad hoc basis, but there is a need for a more structured approach",2,{"$f":"AVERAGE(I60:I62)","v":2.6666666666666665}]
[null,null,54,null,null,"Does the Internal Audit unit conduct SCM business reviews? ","Yes",null,3]
[null,null,55,null,null,"Does the Municipality maintain a list of SCM risks, and categorised in terms of impact and severity?  ","Yes","This function is performed by the risk management unit, the SCM unit provides its risks to the RMU",3]
["Performance Management","Performance Management",56,"SCM Reg.42","Documented internal performance and vendor performance management tools and procedures. ","Has the Municipality developed Internal SCM performance measurement system or processes? ","Yes","Checklists and SOP's are developed",3,{"$f":"AVERAGE(I63:I66)","v":3}]
[null,null,57,null,null,"Has the Municipality outlined the minimum required information and documentation (Business rules) for each transaction from requesting division to SCM and from SCM to expenditure, for the purpose creating and maintaining institutional memory and audit trail?  ","Yes","Checklists and SOP's are developed",3]
[null,null,58,null,null,"Does the SCM Manager compile SCM impementation reports quaterly for review and approval by CFO and MM respectively?","Yes","May be considered for use as best-practice",3]
[null,null,59,null,null,"Has the Municipality created and institutionalised vendor performance measurement tools/templates, that are intergrated onto the ERP platform?","Yes","SCM unit and LED",3]
["Governance: Tax Matters","Tax matters",60,"SCM Reg 43","Institutioanlised procedures to prevent award to companies who's tax matters are not in order. ","Has the Municipality developed and documented prcocesses and procedures to prevent awards to companies who's taxes are not in order? ","Yes",null,3,{"$f":"AVERAGE(I67:I71)","v":3}]
[null,null,61,null,null,"Has the municipality developed procedures to deal with suppliers that have made arrangements with SARS to pay outstanding taxes?","Yes",null,3]
[null,null,62,null,null,"Has the municipality aligned its bidding documents (MBD 2) to the latest NT MBD 2 document, to take into account the SARS Pin system?  ","Yes",null,3]
[null,null,63,null,null,"Has the Municipality standardised in its bidding documents the time of validity of the supplier's tax matters in order to make an award. ","Yes",null,3]
[null,null,64,null,null,"Does the Municipality apply firm prices when evaluating and adjudicating bids? ","Yes",null,3]
["Governance: Prohibition of awards to persons in the service of the state. ","Prohibition of Awards to persons in the servcie of the state.  ",65,"SCM Reg. 44","Institutionalised processes and procedures to detect and prevent awards to companies with persons in the service of the state.  ","Does the Municipality conduct varify the status of the companies directors and shareholders on CSD prior an award? ","Yes",null,3,{"$f":"AVERAGE(I72:I77)","v":3}]
[null,null,66,null,null,"Does the Municipality conduct varify the status of the companies directors and shareholders on its Database and on internal HR prior an award? ","Yes","Make use of third party systems (searchworks system). ",3]
[null,null,67,null,null,"Does the Municipality create a list of companies highlighted by the AGSA via its Audit procedures, with directors and sareholders in the services of the state?","Yes",null,3]
[null,null,68,null,null,"Does the Municipality follow-up and update its list, to prevent recurrent awards?  ","No",null,3]
[null,null,69,null,null,"Does the municipality record and report all awards made to companies with persons in the service of the state to the council for condonement of the expenditure?","No",null,3]
[null,null,70,null,null,"Does the municipality record and report all awards made to companies with persons in the service of the state in the AFS?","No",null,3]
["Governance: Awards to Close family members","Awarding of contracts (quotations and bids) to close family members",71,"SCM Reg. 45","Institutionalised processes and procedures to detect and record all transactions involving awards to close family members. ","Does the Municipality conduct verification of the status of the companies directors and shareholders on CSD prior an award? ","Yes",null,3,{"$f":"AVERAGE(I78:I81)","v":3}]
[null,null,72,null,null,"Does the Municipality conduct varify the status of the companies directors and shareholders on its Database and on internal HR prior an award? ","Yes",null,3]
[null,null,73,null,null,"Does the Municipality record and report all awards above R 2000 with close famility members to the Council? ","Yes",null,3]
[null,null,74,null,null,"Does the Municipality record and report all awards above R 2000 with close famility members on the AFS.  ","Yes",null,3]
["Governance: Gifts, rewards, inducements, favours and sponsorships","Acceptance of gifts and Gift Policy",75,"SCM Reg. 47 and 48","Institutionalised processes and procedures to detect and record all gifts, rewards, sponsorships and other inducements.  ","Does the Municipality have a gift Policy in Place? ","Yes","Incorporated in the SCMP and register in place",3,{"$f":"AVERAGE(I82:I85)","v":2.75}]
[null,null,76,null,null,"Has the Municipality developed a gift register to record and report all gifts received by staff members? ","Yes",null,3]
[null,null,77,null,null,"Does the Municipality Municipality send notifications and reminders to all employees on an onging basis to report gifts, sponsorships, rewards and other inducements? ","Yes","When the officials are appointed, the HR department does orientation on requirements of acceptance of gifts, coupled with its do's and don’t's.",3]
[null,null,78,null,null,"Does the Municipality condcuct regular awarness sessions and campaings with staff, in sensitising officials of procedures to be followed when receiving gifts? ","Partial","Conducted during reporting stages, but no formal awareness campaign ",2]
["Governance: Objections and Complaints ","Objections and complaints ",79,"SCM reg 49 and 50","Institutionalised processes and procedures to handle objections, Complaints and Queries on bidding process. ","Does the Municipality have a formalised procedure to deal with Objections and complaints regarding the bid awards? ","Yes","Municipality deals with the objections and complaints as and when they are logged. ",3,{"$f":"AVERAGE(I86:I87)","v":3}]
[null,null,80,null,null,"Has the municipality appointed a delagated authority to handle objections and complaints?","Yes","A committee was appointed via the SCMP 50",3]
["Contract Management","Contract Management and Administartion ",81,"SCM Reg. 39","Documented processes and procedures, coupled with roles and responsibilities in terms of contract management and administartion. ","Has the Municipality incorporated contract management and administartion in its policy?","Yes","Incorporated in SCMP and SOP in place.",3,{"$f":"AVERAGE(I88:I91)","v":2.25}]
[null,null,82,null,null,"Does the Municipality documented and institutionalised contract management processes and procedures?","Partial","The function is curently managed by Legal and the user departments. Capacity is required in SCM unit to conduct SCM related administration functions",2]
[null,null,83,null,null,"Has the Municipality outlined the roles and responsibilties pertaining to contract management between user department (project management), legal (enforcement of contract terms) and SCM (administration of performance aspect the contract)?","Partial","SOP in place but does not adequately deals with the clarification of roles and responsibilities required.",2]
[null,null,84,null,null,"Has the municipality documented procedures to handle non-performance on contracts (linking to perfromance management system?","Partial","Applies GCC and PPR requirements.  Formal SOP will be beneficial",2]
["Infrastructure and Construction Procurement","Model Policy for Infrastructure Procurement (SIPDM)",85,"SCM Reg 3(2)(a)","Infrastruture model policy customised and adopted for implementation. ","Has the Municipality drafted and adopted a Model Policy for infrastructure procurement? ","Yes",null,3,{"$f":"AVERAGE(I92:I96)","v":3}]
[null,null,86,null,null,"Has the Municipality customised the control framework? ","Yes",null,3]
[null,null,87,null,null,"Has the delegations been aligned to the control framework and gateway system? ","Yes",null,3]
[null,null,88,null,null,"Has the agency agreements been aligned to the SIPDM requirements? ","Yes",null,3]
[null,null,89,null,null,"Has the internal resources (people and systems) been adjusted to give effect to the SIPDM requirements?","Yes",null,3,null,null,null,null,"Yes"]
["ERP Systems and Technology - ICT","Data Governance and structures",90,"SCM Reg. 39","Use of financial systems and data governance","Does the ERP system have SCM Module? ","Partial","Limited application due to ineffeciencies in the Munsoft system",2,{"$f":"AVERAGE(I97:I100)","v":2.75},null,null,null,"No"]
[null,null,91,null,null,"Does the Municipality transact (generate requisitions, order, GRN's,etc. on the system)?","Yes",null,3,null,null,null,null,"Partial"]
[null,null,92,null,null,"Does the Municipality have defined data governance structures for data input?","Yes",null,3]
[null,null,93,null,null,"Has the Municipality provided training to data capturers on the impotance of data and data capturing?","Yes",null,3]