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DGS Recommendations to the Governors Task Force on Contracting

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Title: DGS Recommendations to the Governors Task Force on Contracting


1
DGS Recommendations to the Governors Task Force
on Contracting Procurement Review
  • Report Overview

August 12, 2002
2
Agenda
  • Opening Remarks
  • Three Reform Themes
  • Recommendations
  • Conclusion

3
Goal of Recommendations
  • The DGS recommendations to the Task Force are
    designed to strengthen the contracting and
    procurement processes of the State of California,
    by improving the quality and openness of the
    process and by implementing a set of checks and
    balances to ensure its integrity.

4
Reform Themes
  • Ensuring High Quality
  • Open Process
  • System of Checks and Balances

5
Definition of Terms
  • Contracting Contracting Procurement
    throughout report
  • State Agency All entities engaged in state
    contracting (e.g., state agencies, departments,
    offices, commissions, boards, institutions,
    hospitals, training facilities, data centers, or
    other state entity)
  • Short Term implement immediately or up to one
    year
  • Long Term implementation takes a year or more

6
Ensuring High Quality
7
High Quality Quality Assurance
  • Problem Lack of consistent oversight for all
    contract areas
  • Recommendation 1 (short term) Broaden scope of
    Quality Assurance program to include CMAS, Master
    Agreement orders service contracts
  • Recommendation 2 (long term) Establish standards
    and conduct random audits of all types of
    contracts under DGS authority

8
High Quality Common Processes
  • Problem Multiple bodies of law lack of
    comprehensive source for policies procedures
    need for process alignment
  • Recommendation 3 (long term) Develop
    comprehensive uniform policies, procedures
    processes align contracting procurement laws

9
High Quality Training and Certification
  • Problem Lack of recognition of contracting as a
    strategic function lack of understanding that
    contracting is a profession no comprehensive
    training certification program
  • Recommendation 4 (short term) Immerse
    contracting personnel in training on rules
    governing use of contract methods instruments
  • Recommendation 5 (long term) Provide
    comprehensive training program for Contracting
    Officials leading to professional certification

10
High Quality Ethics and Integrity
  • Problem No uniform code of ethics for
    contracting personnel or vendors unclear
    reporting and oversight lack of meaningful
    sanctions
  • Recommendation 6 (short term) Establish
    standards of conduct for state contracting
    personnel and vendors, coupled with sanctions for
    those violating the standards

11
High Quality Contract Provisions
  • Problem Model contract terms and conditions
    perceived unduly restrictive
  • Recommendation 7 (short term) Confer with
    industry representatives and state stakeholders
    to improve contract provisions to protect the
    states interest and mitigate risks for all
    parties

12
High Quality Continuous Improvements
  • Problem Industry and state stakeholders not
    engaged in efforts for continuous improvement of
    the contracting process
  • Recommendation 8 (short term) Facilitate
    industry and state stakeholder participation in
    continuous improvement of contracting processes
    through establishment of advisory councils

13
Open Process
14
Open Process Tracking System
  • Problem No single point of data collection and
    process control for contracts
  • Recommendation 9 (short term) Implement
    structured tracking of contracts throughout the
    contract lifecycle (Contract Administration
    Tracking System)

15
Open Process Comprehensive System
  • Problem No rule-based visible system to process
    contracts
  • Recommendation 10 (long term) Continue
    implementation of a comprehensive eProcurement
    system
  • Public access to contracting opportunities
    reverse auctions/dynamic pricing
  • Link to online policies, procedures decision
    support system and online training
  • Pricing comparisons historical data
  • Rules-based approval routing for all transactions
    (or cannot be awarded)
  • Comprehensive data collection reporting

16
System of Checks and Balances
17
Checks BalancesFurther Legal Review
  • Problem Insufficient legal review of IT and
    high risk contracts
  • Recommendation 11 (short term) Further legal
    review of high risk transactions establish a
    common process for review

18
High Risk Criteria
  • Dollar Thresholds
  • Goods/IT Goods gt 500K
  • IT Services gt 200K
  • Non-IT Services gt 50K
  • Large Scale System Integration - ALL
  • History of protests or litigation
  • Public safety
  • Acquisition of unique or specially manufactured
    goods/services
  • Complex items
  • Deviates from standard processes/ terms (e.g.,
    advance payments, modification to
    warranty/indemnity/ liability verbiage)
  • High Profile
  • Potential conflicts of interest
  • Involves hazardous material
  • Federal Matching Funds

19
Checks BalancesFurther Legal Review, continued
  • Recommendation 12 (short term) State agencies
    will conduct initial review and apply high risk
    criteria and forward those to DGS for review and
    approval
  • Recommendation 13 (short term) DGS should
    develop and deliver the necessary training to
    state contracting officials on contract law,
    regulations review requirements and how to
    apply high risk criteria

20
Checks BalancesContract Templates
  • Problem Lack of model contract templates for
    various contract methods
  • Recommendation 14 (long term) Develop model
    contract templates with standard terms
    conditions (available electronically)

21
Checks Balances Responsible Official
  • Problem There is no single person responsible
    for all contracting at each state agency
  • Recommendation 15 (short term) State agencies
    shall designate a single official responsible for
    all contracting procurement within the agency

22
Checks BalancesSignature Authority
  • Problem No designation of specific individual
    signature authority or clearly defined
    accountability
  • Recommendation 16 (long term) Signature
    authority for contracting officials based on
    position held, experience, training
    certification

23
Conclusion
24
Conclusion
  • Recommendation 17 (8/20/02) Issue new Management
    Memo to follow expiration of Executive Order
    D-55-02
  • Recommendation 18 (short term) Continue
    provisions of Interim Guidelines, as amended, for
    up to an additional 90 days to allow time to
    begin implementing approved reforms
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