State ofCali fornia California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Serious drought

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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

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

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

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

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

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

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

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

Ratum to Search

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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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SHslon Status

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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

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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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

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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

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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SHslon Status

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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

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

Ratum to Search

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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=------~

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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

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

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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 ~

SHslon Status

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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

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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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

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

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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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

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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

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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

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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Find an Existing Value IAdd a New Value

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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 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

Ratum to Search

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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

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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Find an Existing Value IAdd a New Value

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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

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

Ratum to Search

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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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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

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141112018

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311rl2ot6 22e2015

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31112018

1112016 3112018 11712015 12312018

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512820111

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M1trg8rat Chun MlcNtl W_ WH~ J111nltorill Conamplructlon Oflke Errvlronrnenllll Wltlll S-edrll Hllldl s kM PacHloltNn Frlll Onltnflo UC ___ Marle Her T1n1 0hnelI Acld Mfllnarend OHROfllce Arnerlcln MlchMI OOonnou MlctMI McP1~ Monltlhl -t control VietII Mainlenanoa PMer PMt Comrol MlchMIO~I Ch8d~er Monitlfyel-M ffltct 1t6$E Phlledelphllll T~Alerm

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MlcfltlJa ValdH lliurbull l uot HR tr~ 24 1 Lbull lhfop Wyent Coopbullrt1tNbull Emma Albert J11nn WMa 011nArbYlllnt oolnll Bal otAMllr111 Joa v Sam EaouanaZI SaMcH lARTMC Randlo cllornla Nadlnt Wood MlchMIO~I

MflrlHMOl~on

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No

No

No

No No

No No No

No

No No

No No

No No

No

No

No No No No

Yoo No

No No No No

YM No No

No

No No

No No

No No No No

No No

YM

No v No No No

No No No

No No

No No

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3nt toOOl1NIOI 312018 313Hnt bOla 3Bl2018

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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

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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 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