Department of General Services Contract Delegation Audit, 4/29/16 ...
Transcript of Department of General Services Contract Delegation Audit, 4/29/16 ...
State ofCali fornia California State Transportation Agency DEPARTMENT OF TRANSPORTATION
Memorandum Serious drought
Help save water
To ANGELA SHELL Chief Date April 29 2016 Division of Procurement and Contracts
File P3000-0426
~ -0~~~71
Froi ff WILLIAM E LEWIS Assistant Director Audits and Investigations
subject FINALAUDIT REPORT OF THE CALIFORNIA DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
Attached is Audits and Investigations (AampIs) final audit report of the California Department of General Services Contract Delegation Audit Your response has been included as part of our final report This report is intended for your information and department management
Please provide our office with status reports on the implementation of your audit finding dispositions 60- 180- and 360-day subsequent to the report date If all findings have not been corrected within 360 days please continue to provide status reports every 180 days until the audit findings are fully resolved As a matter of public record this report and the status reports will be posted on AampIs website
We thank you and your staff for their assistance provided during this audit Ifyou have any questions or need additional information please contact Zilan Chen Chief Internal Audits at (916) 323-7877 or me at (916) 323-7122
Attachment
Provide a safe sustainable integrated and efficient transportation system to enhance California seconomy and livability
ANGELA SHELL April 29 2016 Page 2 of2
c Dennis Miras Supervisor Office ofAudit Services Department of General Services Malcolm Dougherty Director Kome Ajise Chief Deputy Director Cristiana Rojas Deputy Director Administration Clark Paulsen Chief Division ofAccounting Janice Salais Acting Assistant Director Office of Business and Economic Opportunity Zilan Chen Chief Internal Audits Audits and Investigations Tracy Franco Assistant Division Chief Policy Protest and Communications Division of
Procurement and Contracts Lisa Kwong Chief Office of Commodity and Contract Payable Division ofAccounting Louise Lozoya Assistant Division Chief IT Goods and Services Division of Procurement
and Contracts Lindy Wilson Assistant Division Chief Non-IT Contracts Division of Procurement and
Contracts Douglas Gibson Audit Manager Audits and Investigations Sabrina McGlothin Policy Branch Chief Policy Protest and Communications Division of
Procurement and Contracts Nicole Felcher Audit Coordinator Office of Receivables Systems and Administration
Division ofAccounting
Provide a safe sustainable integratedand efficient lransportalion system to enhance California seconomy and livability
AunrT REPORT
The California Department of General
Services Contract Delegation Audit
P3000-0426
April 2016
Prepared By
Audits and Investigations
California Department of Transportation
Provide a safe suslainable inlegraled and ejficienl transporlation system to enhance California s economy and livability
TABLE OF CONTENTS
SUMMARY 1
OBJECTIVES SCOPE AND METHODOLOGY 1
BACKGROUND 2
CONCLUSION 2
VIEWS OF RESPONSIBLE OFFICIALS 2
FINDINGS AND RECOMMENDATIONS 3
FINDING 1 - Split Purchases of Small Dollar Value Contracts 3
FINDING 2 - Deficiencies in Contract Management 3
FINDING 3 - CAL-Card Control Weaknesses 7
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System 8
ATTACHMENT
Audit Response from Division of Procurement and Contract
Provide a safe sustainable integrated and efficient transportation system to enhance Californias economy and livability
SuMMARY OBJECTIVES ScoPE
METHODOLOGY BACKGROUND AND CONCLUSION
SUMMARY
Audits and Investigations (AampI) completed an audit of the California Department of Transportations (Caltrans) contract delegation as required by the California Department of General Services (DGS) Exemption Letter 120 dated June 18 2012 The purpose of the audit was to determine whether procedures for processing executing and managing contracts are adequate and in compliance with DGS requirements and state laws and regulations
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
OBJECTIVES SCOPE AND METHODOLOGY
We conducted the audit in accordance with the International Standards for the Professional Practice of Internal Auditing
The objectives of the audit were
bull To determine whether Caltrans contracting program complies with the legal requirements for exemption especially as to oversight of the universe of contracts awarded subject to exemption
bull To determine and document (or update) the middotsystems of internal controls over the contracting process
bull To determine whether Caltrans contracting system can reasonably be relied upon to provide adequate internal controls and produce contracts according to laws state policies and the best interest of the state
bull To determine the effectiveness of the internal controls through evaluation of a sample of contracts awarded since the last audit
The scope of this audit was from October 1 2013 to June 30 2015 The audit universe comprised 4024 contracts as listed on the Division ofProcurement and Contracts (DPAC) executed contract master list To achieve the audit objectives we selected samples from DPACs executed contract master list for each of the ten test categories per DGS audit guide We gathered information and documents needed from DPAC the Division of Accounting (DofA) and district staff The audit
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included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
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FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
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Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
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Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
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State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
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FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
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RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
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DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
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AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
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ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
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0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
ANGELA SHELL April 29 2016 Page 2 of2
c Dennis Miras Supervisor Office ofAudit Services Department of General Services Malcolm Dougherty Director Kome Ajise Chief Deputy Director Cristiana Rojas Deputy Director Administration Clark Paulsen Chief Division ofAccounting Janice Salais Acting Assistant Director Office of Business and Economic Opportunity Zilan Chen Chief Internal Audits Audits and Investigations Tracy Franco Assistant Division Chief Policy Protest and Communications Division of
Procurement and Contracts Lisa Kwong Chief Office of Commodity and Contract Payable Division ofAccounting Louise Lozoya Assistant Division Chief IT Goods and Services Division of Procurement
and Contracts Lindy Wilson Assistant Division Chief Non-IT Contracts Division of Procurement and
Contracts Douglas Gibson Audit Manager Audits and Investigations Sabrina McGlothin Policy Branch Chief Policy Protest and Communications Division of
Procurement and Contracts Nicole Felcher Audit Coordinator Office of Receivables Systems and Administration
Division ofAccounting
Provide a safe sustainable integratedand efficient lransportalion system to enhance California seconomy and livability
AunrT REPORT
The California Department of General
Services Contract Delegation Audit
P3000-0426
April 2016
Prepared By
Audits and Investigations
California Department of Transportation
Provide a safe suslainable inlegraled and ejficienl transporlation system to enhance California s economy and livability
TABLE OF CONTENTS
SUMMARY 1
OBJECTIVES SCOPE AND METHODOLOGY 1
BACKGROUND 2
CONCLUSION 2
VIEWS OF RESPONSIBLE OFFICIALS 2
FINDINGS AND RECOMMENDATIONS 3
FINDING 1 - Split Purchases of Small Dollar Value Contracts 3
FINDING 2 - Deficiencies in Contract Management 3
FINDING 3 - CAL-Card Control Weaknesses 7
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System 8
ATTACHMENT
Audit Response from Division of Procurement and Contract
Provide a safe sustainable integrated and efficient transportation system to enhance Californias economy and livability
SuMMARY OBJECTIVES ScoPE
METHODOLOGY BACKGROUND AND CONCLUSION
SUMMARY
Audits and Investigations (AampI) completed an audit of the California Department of Transportations (Caltrans) contract delegation as required by the California Department of General Services (DGS) Exemption Letter 120 dated June 18 2012 The purpose of the audit was to determine whether procedures for processing executing and managing contracts are adequate and in compliance with DGS requirements and state laws and regulations
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
OBJECTIVES SCOPE AND METHODOLOGY
We conducted the audit in accordance with the International Standards for the Professional Practice of Internal Auditing
The objectives of the audit were
bull To determine whether Caltrans contracting program complies with the legal requirements for exemption especially as to oversight of the universe of contracts awarded subject to exemption
bull To determine and document (or update) the middotsystems of internal controls over the contracting process
bull To determine whether Caltrans contracting system can reasonably be relied upon to provide adequate internal controls and produce contracts according to laws state policies and the best interest of the state
bull To determine the effectiveness of the internal controls through evaluation of a sample of contracts awarded since the last audit
The scope of this audit was from October 1 2013 to June 30 2015 The audit universe comprised 4024 contracts as listed on the Division ofProcurement and Contracts (DPAC) executed contract master list To achieve the audit objectives we selected samples from DPACs executed contract master list for each of the ten test categories per DGS audit guide We gathered information and documents needed from DPAC the Division of Accounting (DofA) and district staff The audit
1
included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
2
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
AunrT REPORT
The California Department of General
Services Contract Delegation Audit
P3000-0426
April 2016
Prepared By
Audits and Investigations
California Department of Transportation
Provide a safe suslainable inlegraled and ejficienl transporlation system to enhance California s economy and livability
TABLE OF CONTENTS
SUMMARY 1
OBJECTIVES SCOPE AND METHODOLOGY 1
BACKGROUND 2
CONCLUSION 2
VIEWS OF RESPONSIBLE OFFICIALS 2
FINDINGS AND RECOMMENDATIONS 3
FINDING 1 - Split Purchases of Small Dollar Value Contracts 3
FINDING 2 - Deficiencies in Contract Management 3
FINDING 3 - CAL-Card Control Weaknesses 7
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System 8
ATTACHMENT
Audit Response from Division of Procurement and Contract
Provide a safe sustainable integrated and efficient transportation system to enhance Californias economy and livability
SuMMARY OBJECTIVES ScoPE
METHODOLOGY BACKGROUND AND CONCLUSION
SUMMARY
Audits and Investigations (AampI) completed an audit of the California Department of Transportations (Caltrans) contract delegation as required by the California Department of General Services (DGS) Exemption Letter 120 dated June 18 2012 The purpose of the audit was to determine whether procedures for processing executing and managing contracts are adequate and in compliance with DGS requirements and state laws and regulations
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
OBJECTIVES SCOPE AND METHODOLOGY
We conducted the audit in accordance with the International Standards for the Professional Practice of Internal Auditing
The objectives of the audit were
bull To determine whether Caltrans contracting program complies with the legal requirements for exemption especially as to oversight of the universe of contracts awarded subject to exemption
bull To determine and document (or update) the middotsystems of internal controls over the contracting process
bull To determine whether Caltrans contracting system can reasonably be relied upon to provide adequate internal controls and produce contracts according to laws state policies and the best interest of the state
bull To determine the effectiveness of the internal controls through evaluation of a sample of contracts awarded since the last audit
The scope of this audit was from October 1 2013 to June 30 2015 The audit universe comprised 4024 contracts as listed on the Division ofProcurement and Contracts (DPAC) executed contract master list To achieve the audit objectives we selected samples from DPACs executed contract master list for each of the ten test categories per DGS audit guide We gathered information and documents needed from DPAC the Division of Accounting (DofA) and district staff The audit
1
included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
2
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
TABLE OF CONTENTS
SUMMARY 1
OBJECTIVES SCOPE AND METHODOLOGY 1
BACKGROUND 2
CONCLUSION 2
VIEWS OF RESPONSIBLE OFFICIALS 2
FINDINGS AND RECOMMENDATIONS 3
FINDING 1 - Split Purchases of Small Dollar Value Contracts 3
FINDING 2 - Deficiencies in Contract Management 3
FINDING 3 - CAL-Card Control Weaknesses 7
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System 8
ATTACHMENT
Audit Response from Division of Procurement and Contract
Provide a safe sustainable integrated and efficient transportation system to enhance Californias economy and livability
SuMMARY OBJECTIVES ScoPE
METHODOLOGY BACKGROUND AND CONCLUSION
SUMMARY
Audits and Investigations (AampI) completed an audit of the California Department of Transportations (Caltrans) contract delegation as required by the California Department of General Services (DGS) Exemption Letter 120 dated June 18 2012 The purpose of the audit was to determine whether procedures for processing executing and managing contracts are adequate and in compliance with DGS requirements and state laws and regulations
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
OBJECTIVES SCOPE AND METHODOLOGY
We conducted the audit in accordance with the International Standards for the Professional Practice of Internal Auditing
The objectives of the audit were
bull To determine whether Caltrans contracting program complies with the legal requirements for exemption especially as to oversight of the universe of contracts awarded subject to exemption
bull To determine and document (or update) the middotsystems of internal controls over the contracting process
bull To determine whether Caltrans contracting system can reasonably be relied upon to provide adequate internal controls and produce contracts according to laws state policies and the best interest of the state
bull To determine the effectiveness of the internal controls through evaluation of a sample of contracts awarded since the last audit
The scope of this audit was from October 1 2013 to June 30 2015 The audit universe comprised 4024 contracts as listed on the Division ofProcurement and Contracts (DPAC) executed contract master list To achieve the audit objectives we selected samples from DPACs executed contract master list for each of the ten test categories per DGS audit guide We gathered information and documents needed from DPAC the Division of Accounting (DofA) and district staff The audit
1
included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
2
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
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0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
SuMMARY OBJECTIVES ScoPE
METHODOLOGY BACKGROUND AND CONCLUSION
SUMMARY
Audits and Investigations (AampI) completed an audit of the California Department of Transportations (Caltrans) contract delegation as required by the California Department of General Services (DGS) Exemption Letter 120 dated June 18 2012 The purpose of the audit was to determine whether procedures for processing executing and managing contracts are adequate and in compliance with DGS requirements and state laws and regulations
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
OBJECTIVES SCOPE AND METHODOLOGY
We conducted the audit in accordance with the International Standards for the Professional Practice of Internal Auditing
The objectives of the audit were
bull To determine whether Caltrans contracting program complies with the legal requirements for exemption especially as to oversight of the universe of contracts awarded subject to exemption
bull To determine and document (or update) the middotsystems of internal controls over the contracting process
bull To determine whether Caltrans contracting system can reasonably be relied upon to provide adequate internal controls and produce contracts according to laws state policies and the best interest of the state
bull To determine the effectiveness of the internal controls through evaluation of a sample of contracts awarded since the last audit
The scope of this audit was from October 1 2013 to June 30 2015 The audit universe comprised 4024 contracts as listed on the Division ofProcurement and Contracts (DPAC) executed contract master list To achieve the audit objectives we selected samples from DPACs executed contract master list for each of the ten test categories per DGS audit guide We gathered information and documents needed from DPAC the Division of Accounting (DofA) and district staff The audit
1
included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
2
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
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0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
included general compliance and substantive tests of contracts awarded based on DOS audit guide We completed field work on February 5 2016 Changes after this date were not considered and accordingly our conclusion does not pertain to changes arising after February 5 2016
BACKGROUND
All state contracts are required to be approved by DOS with certain exceptions According to Government Code section 14616 the director of DOS may exempt any transaction from this legally-required approval DOS Office of Legal Services is responsible for recommending that the DOS director grants or denies such exemptions after reviewing the request to ensure that the requirements are met
On February 2 1992 DOS granted Caltrans an exemption by delegating authority to approve service contracts under $50000 Effective July 1 2013 the exemption level was set at $150000 Under its Exemption Letter 120 dated June 18 2012 DOS required two audits forthe period ofJuly 1 2012 to June 30 2016 to be conducted in accordance with the DOS Office ofAudit Services audit guide On June 30 2014 Caltrans issued the first audit report P4000-0390 under this exemption letter This is the second audit conducted and its report will be submitted to DOS Office ofAudit Services by April 30 2016
CONCLUSION
Our audit disclosed that Caltrans has policies and procedures to process execute and manage contracts however we identified the following findings
bull Split Purchases of Small Dollar Value Contracts bull Deficiencies in Contract Management bull CAL-Card Control Weaknesses bull Inaccurate Data Reporting in Contract Administration Tracking System
VIEWS OF RESPONSIBLE OFFICIALS
We requested and received a response to our findings from the Acting Chief Division of Procurement and Contracts who concurred with the findings Please see the attachment for the response
-~~~ cWWitniM E LEWIS CPA shy
Assistant Director Audits and Investigations
April 14 2016
2
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
FINDINGs AND REcoMMENDATIONs
FINDING 1- Split Purchases of Small Dollar Value Contracts
Our testing ofsmall dollar value contracts identified that out ofninety-three contracts tested eight could possibly be split services Split service contracts are contracts that are prepared by the same unit for the same service using the same contractor which exceed $499999 over a 12-month period In some instances these are contracts submitted on the same date
Public Contract Code section l 0329 states No person shall willfully split a single transaction into a series of transactions for the purpose of evading the bidding requirements of this article
State Contracting Manual section 503 states Services may not be split to avoid the need to advertise or obtain competitive bids In particular a series of related services that would normally be combined and bid as one job cannot be split into separate tasks steps phases locations or delivery times
Division ofProcurement and Contracts (DPAC) staff explained that these contracts were approved because the services were provided at different locations or involved different scopes of work however this is contrary to State Contracting Manual section 503 that precludes locations or separating tasks so that the scope of work is different
Split purchases circumvent procurement regulations and mcrease the risk of misuse and misapplication
RECOMMENDATION
We recommend that DPAC implements appropriate oversight and monitors to prevent the splitting of small dollar value service contracts
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division ofProcurement and Contracts concurs with the finding and recommendation Please see the attachment for details of the response and action plan
FINDING 2 - Deficiencies in Contract Management
DPAC establishes policies and procedures with respect to contract management and provides guidance in the form ofhandbooks manuals instructions and training to enable contract managers to fulfill their responsibilities Contract managers are responsible for ensuring their contracts are managed properly according to laws regulations and contract provisions This audit included testing of contract management activities and our audit identified the following deficiencies
3
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
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0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
Invoices not Adequately Detailed Five out of twenty selected delegated contracts tested had insufficient details on the vendor invoices such as missing contract numbers and dates of services performed
Contract Managers Handbook March 2007 section 433 requires contract managers to review invoices for all required information and that all invoices should contain [c]ontract number [and] [i]nvoice period specified with beginning and ending dates
Acceptance of invoices with insufficient details increases Caltrans risk of paying contractors for services and products not received or are outside the contract terms
Services Performed Prior to Contract Execution Our testing of payments in accordance with agreements found that out of fifty-five contracts five incurred billings for services that were performed prior to contract execution The services were not for emergency work and totaled $271018
State Contracting Manual Volume 1 section 409 (A) prohibits the start of services before receipt of approval The section also states that payment for services may not be made until the contract is approved State Contracting Manual Volume 1 section 409 (C) states The law does not permit consultants to start work before formal contract approval except in an emergency The Contract Managers Handbook section 33 also requires contract execution before work can commence
Authorization to begin work or to perform services starts after a contract is executed Services performed prior to contract execution are considered unauthorized and are not bound by contract provisions The deficiencies appeared to be caused by lack of monitoring by the contract managers
Uncompleted ContractContractor Evaluation Form During our testing of contract compliance contract managers for seven contracts did not complete the required form STD 4 ContractContractor Evaluation Lack of awareness from the contract managers of their roles and responsibilities may have caused the incompletion of the contract documents
State Contracting Manual Volume 1 section 3022 (A-C) states Each contractor providing consultant services of$5000 or more shall be advised in writing on the standard contract that the performance will be evaluated One ContractContractor Evaluation form STD 4 must be prepared within 60 days of the completion of the contract The evaluations shall remain on file by the agency for a period of36 months State Contracting Manual Volume 1 section 904 (A) (6amp17) requires contract managers to complete the STD 4 form for contracts of$5000 or more
4
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
Unsubmitted Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only Form Our tests on compliance with SmallMicro Business (SB) and Disabled Veteran Business Enterprise (DVBE) requirements disclosed that of eighteen tested contracts that were executed after July 1 2014 seventeen of the contractors did not submit form ADM-3059 Report of Utilization of SmallMicro Business and Disabled Veteran Business Enterprise State Funded Contracts Only as required This form requires the reporting of DVBE information within 60 days of the final payment of a contract
California Government Code section 14841 requires contractors to report the awarding department the actual percentage of SB and DVBE participation that was achieved
Military and Veterans Code section 9995 (d) states Upon completion of an awarded contract an awarding department shall require the prime contractor that entered into a subcontract with a disabled veteran business enterprise to certify to the awarding department all of the following (1) The total amount the prime contractor received under the contract (2) The name and address of the disabled veteran business enterprise that participated in the performance of the contract (3) The amount each disabled veteran business enterprise received from the prime contractor (4) That all payments under the contract have been made to the disabled veteran business enterprise An awarding department shall keep that certification on file
The California Department of General Services (DGS) Bulletin P-19-14 issued August 4 2014 and effective July 1 2014 mandates awarding departments to require prime contractors to certify that each DVBE subcontractor received payment for their participation upon completion of a contract This statute also mandates awarding departments to maintain these records
DPAC staff informed us that the requirement to submit the ADM-3059 form is communicated in DPACs contract manager training boilerplates letters forms and check lists however contract managers did not monitor to ensure the completion and submission of form ADM-3059
Safeguarding Confidential Information During our review of information security procedures we found social security numbers on invoices and other supporting documents on three of the sixty-five contracts tested Contract managers submitted the invoices and supporting documents to the Division of Accounting for payment without redacting this confidential information
California Government Code section 6253 (a) states Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law
California Government Code section 6254 ( c) states This chapter does not require the disclosure ofany of the following records (p]ersonnel or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy
5
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
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0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
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Course Sessions
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
State Administrative Manual Management Memo MM 08-11 Safeguarding Against and Responding to a Breach of Security Involving Personal Information states in part The purpose of this Management Memo (Memo) is to announce a new policy requirement and procedural directive related to a state agency s response to a breach of security involving personal information It also serves to reinforce state agency responsibilities under existing law and state policy for safeguarding personal information collected used maintained andor held in custodianship in conjunction with the administration of state programs and services and to clarify existing security incident management policies and procedures
Without proper safeguarding of personal information there is an increased risk for information to be compromised upon third party review
Improper contract management and submittals of the required forms and information in accordance with the state requirements may place Caltrans at risk and increases legal liability In addition contract compliance deficiencies may result in loss of Caltrans contract delegation authority from DGS
RECOMMENDATION
We recommend that contract managers ensure that their contracts are managed properly according to laws regulations and contract provisions by ensuring
1 Invoices submitted by contractors include required details 2 Contract work begins after the contract execution date 3 The completion of the required form STD 4 and the completion and submittal of form
ADM-3059 by the contractor for contracts executed on or after July 1 2014 4 The safeguarding of confidential and personal information
We recommend that DPAC
1 Send out formal reminders to contract managers regarding their responsibilities for ensuring proper management of contracts This correspondence should include ensuring that invoices submitted by contractors include required details such as contract numbers dates of services and that contract work begins after the contract execution date
2 Consider conducting refresher training for contract managers if appropriate 3 Require contract managers to retain completed forms ADM-3059 and STD 4 on file 4 Establish written procedures to reduce the risk of exposure of confidential and personal
information
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
6
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
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Coune Codbull Coune Sualon NbrDcrtDtlon Cours 8hrl Dm Coune End Data Sualon -ubull 121sectli JQ21 CantractMBjjjjAer)WorlshgD 111182014 11n82D14 lltomolllll 121sectli m CantractManagarsWorshgp 121tilfl014 1211132014 lltomolllll 121sectli m CantractManagar)Worlshop 121tl92014 124gt92014 lltomolllll 121sectli QOO CantractManagar)Worlshop 121112014 121112014 lltomolllll 121sectsect 2Qg2 CantractManagersWorkshoo 0112112015 01212015 ~ 101684 - 0006 Contract Managara Workshop 0111412015 011142015 Complete 121sectli J2llllZ CanrgilMgnggpr)Worlshgp 12f1Ql2014 1W012Q14 lltomolllll 121sectli JQ2sect CantractMgnagpr)Worlshgp Q2tM2Q16 022412Q18 lltomolllll 121sectli Jll2l CantractManagprsWorshgp 012012916 0112Ql2Q18 lltomolllll 121sectli Ql1Q CantractManagar)Worlshop01202Q18 01202018 ~ 1QsectM QQ11 CanblctManagersWorkshop021tl32016 024gt32016 ~ 101884 0012 CantractManaga(aWorkshop 031612018 0311612016 Complete 101684 - 0013 Contract Managara Workshop 0812412016 0812412016 Active
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
FINDING 3- CAL-Card Control Weaknesses
CAL-Card is an alternative payment method used in the procurement of authorized goods and services CAL-Card holders and managers are responsible for using CAL-Cards within procurement and contracting guidelines and obtaining and providing approval prior to purchase DP AC is responsible for setting policy and providing guidance and training to CAL-Card holders and managers We tested 137 CAL-Card transactions and identified the following deficiencies in CAL-Card purchases
bull CAL-Card holders did not always prepare Purchase Orders (CPO) timely Twenty-six CPOs were not prepared within five working days from the date of the purchases DPAC Acquisitions Manual section 1232 (D) requires CPOs to be prepared prior to making the purchase Unless an emergency has occurred a CPO should be prepared within five working days From discussion with CAL-Card holders we learned that sometimes the type of duties they perform such as working in the field all day often forces them to batch the CPOs together and complete them monthly
bull Twelve CPOs were approved 30 days after the purchases by CAL-Card managers California Government Code section 13403 (a) (3) requires government agencies to have internal accounting and administrative controls that include a system of authorization and recordkeeping procedures adequate to provide effective accounting control over assets liabilities revenues and expenditures DPAC Acquisitions Manual section 123 2 (C) requires an approval before making any purchase Discussion with cardholders indicated that day-to-day operations occasionally do not allow the approvers the opportunity to approve CPOs before or immediately after purchases CAL-Card managers sometimes approve the transactions verbally or approvals are obtained by completing form ADM-1415 Purchase Request prior to the purchase while CPOs are prepared and approved at a later date
bull Nine CPOs did not have approvers signatures or approval dates DPAC Acquisitions Manual section 1237 (B) (1) requires signatures and dates by the requestor and the approver of the product or service to be purchased At times CAL-Card managers may not have adequate trainings or awareness of the importance ofcompleting the CPOs
Delays in preparing and approving CPOs or CPOs not properly signed and dated could result in inappropriate or unauthorized purchases loss of state assets and revocation of Cal trans delegated CAL-Card authority
Audits and Investigations biennial CAL-Card audit report P3000-0425 issued on June 30 2015 identified similar weaknesses DPAC has been working to address these weaknesses and anticipates continued improvements in the CAL-Card program
7
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
RECOMMENDATION
We recommend that DPAC
1 Continue with the steps taken in its action plan response to audit P3000-0425 to improve the CAL-Card program
2 Continue to communicate with the districts and program staff through E-Blasts Compliance Reviews training website tools and monthly meetings
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
FINDING 4 - Inaccurate Data Reporting in Contract Administration Tracking System
The Contract Administration Tracking System (CATS) is the database used by DP AC to record and monitor contracts During the testing of 65 contract files we identified 26 contracts with 31 errors as follows
bull Nine errors involved incorrect contract execution dates As an example one contract had an execution date ofFebruary 17 2015 which was reported in CATS as February 13 2015
bull Eight errors were for incorrect contract term dates For instance the contract term of one contract was from May 5 2015 to May 4 2016 but was reported in CATS as December 31 2014 to February 28 2016
bull Thirteen errors involved incorrect category codes We noted public works contracts that were incorrectly categorized as commercial services contracts and consultant services contracts in CATS
Additionally while reviewing the entire universe of contracts we identified 14 Master Service Agreements and Income Agreements that were competitively bid but incorrectly recorded as having zero dollar amount in CATS
California Government Code section 13401 (b) (1) states Each state agency must maintain effective systems of internal accounting and administrative control as an integral part of its management practices
California Government Code section 13403 (b) (6) states The elements of a satisfactory system of internal accounting and administrative control shall include but are not limited to the following An effective system of internal review
State Contracting Manual Volume 1 105 (A) states Proper classification of acquisitions is necessary as a first step in determining which solicitation process is appropriate for the contract and what elements are required to be in the contract
8
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
DP AC staff stated these deficiencies were caused by staff not revising data in CATS while processing contracts Inaccuracies in CA TS can result in incorrect management reports
We noted similar findings in our prior audit reports on contract delegation dated June 30 2010 (P4000-0375) April 27 2012 (P4000-0380) and June 30 2014 (P4000-0390)
RECOMMENDATION
We recommend that DPAC
1 Correct the incorrect data identified in CA TS and implement procedures to ensure data accuracy
2 Ensure staff review data input to CATS including revisions for accuracy and correctness
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE
The Division of Procurement and Contracts concurs with the finding and recommendations Please see the attachment for details of the response and action plan
9
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
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4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
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STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
AunrTTEAM
Zilan Chen Chief Internal Audits
Douglas Gibson Audit Manager
Fifie King Auditor
Emilio Flores Auditor
Jose Camacho Auditor
Derek Pixley Auditor
10
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
Enter any lnformalon you have and dick Search Leave ftelda blank for a list of all values
Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
SHslon Status
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
ATTACHMENT
DIVISION OF PROCUREMENT AND CONTRACTS RESPONSE TO THE DRAFT AUDIT REPORT
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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07U518 12 1003 11USMT000304-1 OOV5001eoDOOOe 02J5009900 07U5200005518
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
Enter any lnformalon you have and dick Search Leave ftelda blank for a list of all values
Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
State o f Cali fornia Cali fornia State Transportation Agency DEPARTMENT OF TRANSPORTATION
Me1norandum Serious drought Help Save Water
To WILLIAM E LEWIS ASSISTANT DIRECTOR AUDITS AND INVESTIGATIONS
Date
File
April 28 2016
P3000-0426
From ANGELA SHELL Chief Division of Procurement and Contracts
Subject RESPONSE TO DRAFf REPORT - DEPARTMENT OF GENERAL SERVICES CONTRACT DELEGATION AUDIT
The Division of Procurement and Contracts (DPAC) has attached the draft audit response for the Depaiiment of General Services Contract Delegation Audit DPAC has successfully implemented changes to satisfy recommendations 11 22 and 42 We will continue to make process improvements for the remaining recommendations
Ifyou have any questions regarding the response please contact Sabrina McGlothin at (916) 227-6071
Attachments (1) P3000-0426 Draft Audit Response (2) Finding 11 - File Maker Pro Tracking System Screenshot (3) Finding 22 - In-person Contract Manager Workshop LMS Course Description (4) Finding 22- Contract Manager Workshop Course Sessions (5) Finding 42 - Revised Contract Officers Checklist
c Lindy Wilson Assistant Division Chief Non IT Contracts Division of Procurement and Contracts
Louise Lozoya Assistant Division Chief IT Goods and Services Non-IT Procurement and CAL-Card Division of Procurement and Contracts
Tracy Franco Acting Assistant Division Chief Policy Communications and Material Management Division of Procurement and Contracts
Michelle Thompson Acting Office Chief Policy Protest and Communications Division of Procurement and Contracts
Sab1ina McGlothin Branch Chief Policy Division ofProcurement and Contracts
Provide a safe sustainable integraLed and efficie11t transportatio11 system to enhance California seco110 111y and livabilitymiddotmiddot
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
SHslon Status
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
Audit Name DGS Contract Delegation Audit Audit No P3000-0426
Audits and Investigations (AampI) - Response to Draft Report
Auditee Division of Procurement and Contracts (DPAC)
Audit Report Finding 1
Finding 1 ndash Split Purchases of Small Dollar Value Contracts
AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion
Date Staff Responsible AampI Analysis
11
We recommend that DPAC implements appropriate
oversight and monitors to prevent the splitting of small
dollar value service contracts
DPAC implemented a new tracking system
through File Maker Pro to monitor and prevent the
splitting of small dollar acquisitions Analysts
review and compare both U5 Agreements
(contracts under five-thousand dollars) and CAL-
Card transactions simultaneously in the tracking
system to identify possible split services
Categories compared include Vendor district
service type agreement term and service location
Complete Rajit Sharma
Audit Report Finding 2
Finding 2 ndash Deficiencies in Contract Management
21
Send out formal reminders to contract managers regarding
their responsibilities for ensuring proper management of
contracts This correspondence should include ensuring
that invoices submitted by contractors include required
details such as contract numbers dates of services and that
contract work begins after the contract execution date
In addition to providing annual Contract Manager
Training and periodic Contract Manager
Workshops DPAC will develop a process to
remind contract managers of their responsibilities
to ensure proper management of contracts and
proper invoice submittal
9302016 Kimberly Fox
22 Consider conducting refresher training for contract
managers if appropriate
Contract Manager Training is an eLearning module
that is available to all Caltrans staff on the DPAC
Intranet website - Contract Mangers are required to
complete Contract Manager Training on an annual
basis per DD-112 and an email reminder is sent to
Contract Managers to re-take the course each year
if they will continue managing contracts
Additionally the Non-IT Service Contracts office
provides an informal Contract Manager Workshop
upon request which allows for question and
answer sessions between Contract Managers and
DPAC staff
Complete Kimberly Fox
23 Require contract managers to retain completed forms ADMshy
3059 and STD 4 on file
Contract Managers are required to retain
completed forms ADM-3059 and STD 4 on file
notification of the requirement is provided in the
annual Contract Manager Training and contract
boilerplates DPAC will revise the Contract
Manager Instructions which are sent to the
contract manager after contract execution to
include the requirement to retain the completed
forms
7312016 Sabrina McGlothin
24 Establish written procedures to reduce the risk of exposure
of confidential and personal information
DPAC will develop written procedures consistent
with State Administrative Manual Management
Memo MM 08-11 to safeguard and prevent
exposure of confidential and personal information
8312016 Sabrina McGlothin
Audit Report Finding 3
Finding 3 ndash CAL-Card Control Weaknesses
31 Continue with the steps taken in its action plan response to
audit P3000-0425 to improve the CAL-Card program
DPAC will continue to analyze design develop
implement and evaluate processes and
improvements along with ensuring compliance
with all applicable laws and regulations prior to
using the CAL-Card as a payment mechanism
04262016 This is an
ongoing process Mari Jo Snider
32
Continue to communicate with the districts and program
staff through E-Blasts Compliance Reviews training
website tools and monthly meetings
DPAC will continue to communicate to the
districts and program staff through E-Blasts
Compliance Reviews training website tools and
monthly meetings concerning using the CAL-Card
as payment mechanism in accordance with one of
the approved acquisition methods
04262016 This is an
ongoing process Mari Jo Snider
Audit Report Finding 4
Finding 4 ndash Inaccurate Data Reporting in Contract Administration Tracking System
41 Correct the incorrect data identified in CATS and
implement procedures to ensure data accuracy
Staff will correct CATS entries Staff have been
provided with a list of proper CATS Categories
and we will develop a CATS training module to be
included in our upcoming contracting training
tracks
12312016 Phillip Rodriguez
42 Ensure staff review data input to CATS including
revisions for accuracy and correctness
The Contract Officers checklist has been updated
to verify for CATS printouts and to ensure
accuracy of data
Complete Phillip Rodriguez
1 of 1 4282016
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
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Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
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htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
Of FileMaker Pro - [AampE _WBS_v01_20121213 (ESPN21))
Ei1 File Edit View Insert Format Records Scripts Window Help
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- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
Enter any lnformalon you have and dick Search Leave ftelda blank for a list of all values
Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
SHslon Status
Cbullbullbull Senaitive
Search Claar Basic Search tI Save Search Criteria
Search Results ew All First bull 1-13 ct 13 bull L
Coune Codbull Coune Sualon NbrDcrtDtlon Cours 8hrl Dm Coune End Data Sualon -ubull 121sectli JQ21 CantractMBjjjjAer)WorlshgD 111182014 11n82D14 lltomolllll 121sectli m CantractManagarsWorshgp 121tilfl014 1211132014 lltomolllll 121sectli m CantractManagar)Worlshop 121tl92014 124gt92014 lltomolllll 121sectli QOO CantractManagar)Worlshop 121112014 121112014 lltomolllll 121sectsect 2Qg2 CantractManagersWorkshoo 0112112015 01212015 ~ 101684 - 0006 Contract Managara Workshop 0111412015 011142015 Complete 121sectli J2llllZ CanrgilMgnggpr)Worlshgp 12f1Ql2014 1W012Q14 lltomolllll 121sectli JQ2sect CantractMgnagpr)Worlshgp Q2tM2Q16 022412Q18 lltomolllll 121sectli Jll2l CantractManagprsWorshgp 012012916 0112Ql2Q18 lltomolllll 121sectli Ql1Q CantractManagar)Worlshop01202Q18 01202018 ~ 1QsectM QQ11 CanblctManagersWorkshop021tl32016 024gt32016 ~ 101884 0012 CantractManaga(aWorkshop 031612018 0311612016 Complete 101684 - 0013 Contract Managara Workshop 0812412016 0812412016 Active
Find an Existing Value IAdd a New Value
htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
- - - --
4f2El2016 Course Catalog
Home AddtoFawrlM Sign out Favorites Main Menu Self Service Leaming and DIMloprnent Course catalog
Course Description Detail
Courae Code 101684 DPAC Contract Managers Workahop (Classroom)
Typa Non-Mandated Hilltorical G Number
Duration 40 Cost
CourH Ctegorx and Su~~ ~ministra1ion --- PfOcuramentamp Contracts
Pnregiana Couraee
Pnregiana Accompllshmente
CourH Contact ConclTJI JN PhonePhonbullTJIbull
Contact Perwn IROBIN M ROOT BusinBSS 9181227~129 I Coune DeveloperOwner j DENNIS M SIEBERT Business 9181227~032 I Contact Peraon IMONICA J GONSALVES Busineaa 9161227~01e I
DeecrWlon Alli reEquipment Attendees should dress comfortably and plan for fluctuating room lllmperaturas I
DascrlpUon
This workshop will provide attendees an overview of the entire non-IT service contract process from the lnlUal request through conlract execuUon and follow-up Topics in dude but are not limited lo 1 Contract timelines 2 Emergency Contracts 3 Witting a Scope ofWork 4 Preparing a Bid Proposal ADM-1412) 5 Small and Micro Business (SB and MB) 6 Submitting a Service Contract Request ADM-0360) 7 The Contract Manage~s Role and Responsibilities 8 Disputes and Termlnalon and 9 Resources -01sctalmerbull Attending this course does not replace the mandatory online Conlract Manager Training which all Contract Managers must complata p~or le managing a conlract To become certified visit trtlpadmindolcagovpionline_111lining__2014page01htm
Leaming Objectives To provide Caltrans Contract Managers with comprehensive information on the anUre non-IT service conlract process
Leaming OUlalma
Benefi1s of this workstlop include 1 By understanding the contracting process Contract Managers wlll ba batter prepared le submit a complata package raducing the time needed to 9X9Cule a contract 2 Participants can discuss spaclftc conlract quasUons with a DPAC Contract Oftlcer 3 Applying Iha principles learned will result in higher performance standards and better managed conlracts and 4 A properly managed contractw111 result In fewer conlractcr disputes
Other Course Notes Workshops will be acheduled statewide
Target Audience Caltrans employeea who have conlract management rasponalblllllas
Schadud Sbullbulllan8 CuslDmlza Ftld iGJ ill Fnt bullbull~ sectmlon Admln N1g
0013 08124116 0812416 Sacramenlo ~DILLA CHRISTIANELIZABETH 0812316 50 9
Ratum to Search
htlpsJistalJcclpassdotcagovps~scinx1EMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
Enter any lnformalon you have and dick Search Leave ftelda blank for a list of all values
Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
SHslon Status
Cbullbullbull Senaitive
Search Claar Basic Search tI Save Search Criteria
Search Results ew All First bull 1-13 ct 13 bull L
Coune Codbull Coune Sualon NbrDcrtDtlon Cours 8hrl Dm Coune End Data Sualon -ubull 121sectli JQ21 CantractMBjjjjAer)WorlshgD 111182014 11n82D14 lltomolllll 121sectli m CantractManagarsWorshgp 121tilfl014 1211132014 lltomolllll 121sectli m CantractManagar)Worlshop 121tl92014 124gt92014 lltomolllll 121sectli QOO CantractManagar)Worlshop 121112014 121112014 lltomolllll 121sectsect 2Qg2 CantractManagersWorkshoo 0112112015 01212015 ~ 101684 - 0006 Contract Managara Workshop 0111412015 011142015 Complete 121sectli J2llllZ CanrgilMgnggpr)Worlshgp 12f1Ql2014 1W012Q14 lltomolllll 121sectli JQ2sect CantractMgnagpr)Worlshgp Q2tM2Q16 022412Q18 lltomolllll 121sectli Jll2l CantractManagprsWorshgp 012012916 0112Ql2Q18 lltomolllll 121sectli Ql1Q CantractManagar)Worlshop01202Q18 01202018 ~ 1QsectM QQ11 CanblctManagersWorkshop021tl32016 024gt32016 ~ 101884 0012 CantractManaga(aWorkshop 031612018 0311612016 Complete 101684 - 0013 Contract Managara Workshop 0812412016 0812412016 Active
Find an Existing Value IAdd a New Value
htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
4f2El2016 Course Session Table
Favorites Main Menu sa Up HRMS Product R8ated Entaprise Leaming Course Session Table Home AddtoFawrlM Sign out
Course Sessions
Enter any lnformalon you have and dick Search Leave ftelda blank for a list of all values
Find an Existing Value Add a New Value
Limit the number of resulw to (up to 300) ~ Course Code begins with ~sect1594=------~
Course SHion Nbr begins with bull L ~ DHcriplion begins with Course start Date i==========~ Course End Date ~
SHslon Status
Cbullbullbull Senaitive
Search Claar Basic Search tI Save Search Criteria
Search Results ew All First bull 1-13 ct 13 bull L
Coune Codbull Coune Sualon NbrDcrtDtlon Cours 8hrl Dm Coune End Data Sualon -ubull 121sectli JQ21 CantractMBjjjjAer)WorlshgD 111182014 11n82D14 lltomolllll 121sectli m CantractManagarsWorshgp 121tilfl014 1211132014 lltomolllll 121sectli m CantractManagar)Worlshop 121tl92014 124gt92014 lltomolllll 121sectli QOO CantractManagar)Worlshop 121112014 121112014 lltomolllll 121sectsect 2Qg2 CantractManagersWorkshoo 0112112015 01212015 ~ 101684 - 0006 Contract Managara Workshop 0111412015 011142015 Complete 121sectli J2llllZ CanrgilMgnggpr)Worlshgp 12f1Ql2014 1W012Q14 lltomolllll 121sectli JQ2sect CantractMgnagpr)Worlshgp Q2tM2Q16 022412Q18 lltomolllll 121sectli Jll2l CantractManagprsWorshgp 012012916 0112Ql2Q18 lltomolllll 121sectli Ql1Q CantractManagar)Worlshop01202Q18 01202018 ~ 1QsectM QQ11 CanblctManagersWorkshop021tl32016 024gt32016 ~ 101884 0012 CantractManaga(aWorkshop 031612018 0311612016 Complete 101684 - 0013 Contract Managara Workshop 0812412016 0812412016 Active
Find an Existing Value IAdd a New Value
htlpsJistalJcclpassdotcagovps~scpodEMPLOYEEIHRMScADMINISTER_TRAINING_(GBL)COURSE_SESSN_TBL1GBLFolderPath=PORTAL_ROO 11
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
STATE OF CALIFORNIA
CONTRACT OFFICERrsquoS CHECKLIST ANALYST SECOND PEER REVIEW (Rev 032016)
I hereby certify that I have reviewed the documents listed below
CONTRACT OFFICER NAME
CONTRACT OFFICER SIGNATURE
ANALYST NAME
PEER REVIEWER NAME
CONTRACT NO
DATE
Retain Copy in Contract File
Yes No NA AT A MINIMUM REVIEW THE CONTRACTIFBRFP FOR THE FOLLOWING
CATS Screens (DEF CON PRI FUND and APP required (SML GOALS amp SUB if applicable)
AMS Advantage CT finalized
Acquisition Exemption Request (AER) form obtained with authorized signatures (Required on contracts over $25000000) Mission Critical Statement obtained with contract officer signature (required for contracts under $25000000 that require DGS signature)
Conflict of Interest (Required on all contracts over $10000000)
Agreement Summary (STD 215) - 2 Copies __ Encumbrance Correct Funding info District Unit Project Special
Designation Object Code __ Attach (if applicable)
_ Cal eProcure Advertisement _ No Goals Waiver _ 3 Year Justification _ Justification amp Questionnaire for janitorial services _ DGS Late Justification
__ Public Works Contracts are exempt from GC 19130 If procuring a Public Works Contract write ldquoThis is a Public Works Contract which is exempt per 2 CCR sect 54759rdquo
__ Justification for contracting out under GC 19130 Be specific to the contract service
Standard Agreement (STD 213) Exhibit A B D amp E __ Correct boilerplate used __ Start and End Dates match STD 215 amp Exhibit A __ Dollar amount matches Bid Sheet STD 215 amp Exhibit B __ Words spelled correctly __ Pagesattachments numbered correctly and match face sheet __ Attachments properly labeled and attached to contract __ Correct Exemption cited on face sheet __ Correct contract number amp contractor name on each page of contract
Payee Data Record (STD 204)
Payment Bond (Public Works over $25000 without Task Order) __ Include Surety Verification from AMBESTcom
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement
Certificate of Insurance __ Must Include Additional Insured Endorsement __ Must Include Actual Waiver of Subrogation Document __ Include Surety Verification ndash AMBESTcom
ORIM approval required on Hazardous Agreements
Secretary of State (SOS) Corporation status verification required Copy of SOS verification must be included in the contract file
Contractors State License Board (verification required)
Small Business Micro Business andor Disabled Veteran Business Enterprise (SBMBDVBE) certification (printed copy of DGS certification page)
SB Preference DVBE Incentive applied (as applicable)
Motor Carrier Permit (verification required)
BOE and FTB Verification (SCM 332)
DOT AB906 Union Submission e-mail copy (GC19130)
DIR Registration (public works contracts)
PWC 100 Submittal e-mail copy (public works contracts)
Contract log sheet complete
Contractorrsquos signature and changes are initialed
Pre-bid Site Inspection Sheet
Copy of Contract Award Letter (appropriate Kform 2 Letter)
SCPRS Printout
VSDS Sheet attached (ADM-3023)
Contract Manager Certification
Contract Manager Approval
CT Legal Review
Std 4 Review (for Consulting Contracts)
Solicitation Copy
Addendum Answers Incorporated into 213 (as applicable)
Bid Evaluation Worksheet
For Sole Source Agreements (ie Emergency Sheltered Workshops) the following Documents are required
CCCrsquos
Darfur (required)
Cost Breakdown (Sheltered Workshop) required to be maintained in the file only (do not attach to contract)
Sheltered Workshop License (verification required)
Confirmation of Verbal Agreement