welcome to the dgs consolidated annual reports training brittney heth-tran, reports coordinator...
TRANSCRIPT
Welcome to the DGS Consolidated Annual Reports
Training
Brittney Heth-Tran, Reports CoordinatorFernando Basa, Assistant Reports Trainer
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Outline
• Objectives• Background
– Executive Orders & Statues– Certification– Data Reporting & Collection
• DVBE Program State Audit• FI$Cal• Forms & Cover Letter• Wrap-Up
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Objectives
• WHY ARE REPORTS REQUIRED
• WHICH REPORTS ARE REQUIRED
• HOW TO PREPARE EACH REPORT
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Executive Order and Statutes
• Governor’s executive orders to improve the SB & DVBE participation in state contracting
– Executive Order #D-43-01• 3% Participation Goal for DVBEs• An improvement plan is required if the participation goal was not
met• Military and Veterans Code (M&VC) § 999.5
– Executive Order #S-02-06• 25% Participation Goal for SB/MBs• An improvement plan is required if the participation goal was not
met
http://www.dgs.ca.gov/pd/Programs/OSDS/legislation.aspx
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Executive Order and Statutes Cont.
• Public Contract Code (PCC) §10111 requires:–DVBE and SB/MB Contracting Activity Report–DVBE & SB/MB Option and DVBE Incentive Report–Consulting Services Report–Ethnicity, Race, Gender and Sexual Orientation (ERGSO) Report
• Government Code Section 14838.1(f) requires:–Infrastructure Bond Activity Report
REPORTING IS REQUIRED
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Certification Types
DVBE SB SB/MB
CA disabled veteran owned and operated
business
Gross <$14 million average of 3 years
<100 employees average of 4 quarters
CA owned and operated
Gross <$3.5 million average of 3 years
<25 employees average of 4 quarters
CA owned and operated
1 yr. certification 1 yr. certification 2 yr. certification
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SUB-CATEGORIES
Certification Types
For more information about DVBE & SB/MB, please go to:
http://www.pd.dgs.ca.gov/smbus/default.htm
DVBE SB
DVBE/SBDVBE/MB SB/MB
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Data Reporting Methods
What database management system do you use?
State Contract and Procurement Registration System (SCPRS)
Access
Excel
Data collection methods are determined by department
Data collection methods MUST be consistent year to year
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Data Collection
Department, Board, Commission or Agency
Division/Branch
Office, Unit, Workgroup
OSDS Reports Coordinator
Department/Agency Reports Coordinator (YOU)
DGS Executive Office/ Governor’s Office
DVBE Program State Audit
• Award vs. Expenditure– Deemed Inconsistent Statewide by State Auditor
• Prime Contractor’s Certification of DVBE Subcontracting Form
• Maintaining Supporting Documentation– For Example: Contracting Activity Report (Form 810)
• List Contracts• Purchase Order Number• Activity Category• Total Amount• Prime & Subcontractor Amount• Certification Type
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FI$Cal
• Will your department be switching into FI$Cal?
• Which Wave?
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Consolidated Annual Report Includes
• Form 810: DVBE & SB/MB Contracting Activity Report– Improvement plans
• Form 810S: DVBE & SB/MB Option & DVBE Incentive Report
• Form 810A: Infrastructure Bond Report – Action Plan
• Form 810C: Consulting Services Report
• Form 810E: Ethnicity, Race, Gender and Sexual Orientation Report (ERGSO)
• Cover Letter
CONTRACTING ACTIVITY REPORT
( Form 810)
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Form 810 Contracting Activity Report
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Report all Contracts Except:
• Contracts or agreements with the federal government, any other state government,
the Prison Industry Authority, Interagency Agreements, Joint Powers Agreements,
• Contracts or agreements with any county, city, city and county, school or special
district (commonly referred to as local agencies).
• Contracts or agreements with the California State University or the University of
California or any of their respective campuses, concession contracts,
revenue/reimbursement contracts,
• Loans, local assistance/subvention agreements, or court-ordered settlements or cost.
Form 810 Contracting Activity Report Cont.
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Form 810 Contracting Activity Report
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• Fiscal Year: 2013-2014
• Office: Department of _________________
• Note: Your Department reports only awarded amounts
• Contract 1: $5,000 acquisition of non-IT goods, awarded to a SB firm
• Contract 2: $1,000 acquisition of non-IT goods, awarded to a DVBE contractor. The contract was paid by Cal-Card.
• Contract 3: $4,000 non-IT services awarded to a SB& DVBE firm
• Contract 4: $300,000 construction contract, awarded to a prime contractor which is not a certified SB/DVBE firm
• Contract 5: $100,000 construction contract, awarded to a non-DVBE prime contractor. The prime contractor subcontracted 10% of the total value of the contract to a DVBE & SB subcontractor
• Contract 6: $3,000 acquisition of IT services, awarded to a MB & DVBE firm
• Cal-Card: $10,000 Cal-Card purchases
Reporting Example:
Form 810 Contracting Activity Report Cont.
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FY___Department/Division/Office
I.Summary of SB/MB ParticipationII.Explain Why the Participation Goal Was Not AchievedIII.Plan to Enhance Contracting Opportunities for SB/MB
A. PolicyB. Collaborative EffortsC. Contracting Practices
IV.Planning and AdvocacyV.Monitor and Continuously Improve
Improvement Plan(s)
SB/DVBE OPTION & DVBE INCENTIVE
( Form 810S )
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Form 810S: SB/DVBE Option, Part 1
• A streamlined procurement process by contracting directly with a California-certified SB or DVBE for goods, services, and information technology after obtaining price quotes from at least two such business
• Public Work contracts:If the contract is $5,000.01 to $281,000
• All other contracts: If the contract is $5,000.01 to $249,999.99
Form 810 S SB/DVBE Option & DVBE Incentive Report
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Form 810S: DVBE Incentive, Part 2
• The DVBE Incentive regulations apply to all competitive solicitations for public works, services, goods, and information technology goods and services posted or released after October 09, 2007.
• Effective October 3, 2005; DVBE incentive, Senate Bill 115, and the
Military and Veterans Code section 999.5(a).
• Incentive range is 1%-5% based on historical DVBE participation levels for the contract type.
Example: Bidder A B Net Bid Price $100,000 $102,000 DVBE Participation None 5% Rank 1 2 Incentive Amount $0 $5,000 Adjusted Bid Amount $100,000 $97,000 New Rank 2 1
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Form 810 S SB/DVBE Option & DVBE Incentive Report
INFRASTRUCTURE BOND ACTS OF 2006
( Form 810A )
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Form 810A I-Bond Activity Report Cont.
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Form 810A I-Bond Activity Report
• The Highway Safety Traffic Reduction, Air Quality and Port Security
Bond Act.
• The Housing and Emergency Shelter Trust Fund Act.
• The Kindergarten-University Public Education Facilities Bond Act.
• The Disaster Preparedness and Flood Prevention Bond Act.
• The Safe Drinking Water, Water Quality and Supply, Flood Control,
River and Coastal Protection Bond Act.
Infrastructure Bond Acts of 2006
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Form 810A I-Bond Activity Report Cont.
Assembly Bill No. 761-Government Code 14838.1 (f)
• Establish a 25 percent small business participation goal in all contracts financed with the proceeds of the infrastructure related bond acts of 2006
• An Action Plan is required when the participation goal for I-Bond contracts is not met.
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Form 810A I-Bond Activity Report
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I-Bond SB Action Plan Outline
FY___Department/Division/Office
I.Summary of SB ParticipationII.Explain Why the Participation Goal Was Not AchievedIII.Plan to Enhance Contracting Opportunities
A. PolicyB. Collaborative EffortsC. Contracting Practices
IV.Planning and AdvocacyV.Monitor and Continuously Improve
Action Plan
CONSULTING SERVICES REPORT
( Form 810C )
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STD 810C: Consulting Services Reports
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Form 810C: Consulting Services Reports Cont.
Public Contract Code 10335.5
"Consulting services contract," means services that do all of the following:
Consulting Services Contracts are those that are defined for services of an advisory nature.
The final product is a transmittal of information in either written or verbal form.
The product may be answers to questions, the design of systems or plans, workshops, seminars, retreats or conferences.
All “Consulting Services Contracts” must be reported unless excluded.
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Form 810C: Consulting Services Reports Cont.
• Contracts between a state agency or department and the federal government.
• Contracts with local agencies to subvene federal funds for which no matching State funds are required.
• Contracts to develop, maintain, administer or use licensing or proficiency examinations.
• Architectural and Engineering (A&E) services subject to provisions of Chapter 10 (commencing with 4525) of Division 5 of Title 1 of the Government Code.
Do Not Report The Following:
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Form 810C: Consulting Services Reports Cont.
• E – Entered Into – Report each reportable contract awarded or entered into during the reporting period.
• A – Amended – Report each reportable amendment during the reporting period.
Per PCC 10111, reportable amendments are only changes to:– The completion date of the contract– The contract price (if more than 3% of the original contract price)– The contract purpose or the contractor’s duties (an explanation is required
for significant changes)
• C – Completed – Report Each Contract in which work ended in the reporting period.
E Entered $BID
TYP ECode
LOW BIDY / N
A Amended $BID
TYP ECode
LOW BIDY / N
C Completed $BID
TYP ECode
LOW BIDY / N
Line # 0 -$ 0 -$ 0 -$
REPORT CODES & AMOUNTS
Type an X to mark your entries
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• 1: RFP – Request for Proposal• 2: IFB – Invitation for Bid• 3: NCB – Non-Competitive Bid• 4: CMAS – California Multiple Award Schedules• 5: MSA – Master Service Agreements• 6: Emergency• 7: Other
Bid Type Codes
Form 810C: Consulting Services Reports Cont.
E Entered $BID
TYP ECode
LOW BIDY / N
A Amended $BID
TYP ECode
LOW BIDY / N
C Completed $BID
TYP ECode
LOW BIDY / N
Line # 0 -$ 0 -$ 0 -$
REPORT CODES & AMOUNTSEnter the number assigned to the Bid Type. If Code 3 is entered, please
provide details in the Explanation Section.
Enter Y If Lowest Bid was accepted.
Enter N if Lowest Bid was not accepted.
If N entered, please provide details in the Explanation Section
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• Contract Signed: Enter the date the contract was signed and approved by the authorized approving official.
• Work Started: Enter the date work performance began on the contract or the beginning of the contract term.
• Work Completed: Enter the date contract work performance was completed or the expiration date of the contract.
• Amended: If the amendment changes the contract time for performance and/or dollar amount, enter the date that the amendment will be effective or the beginning of the extended term.
• Remember to only enter Contract Signed, Work Started, Work Completed, or Amended if it occurs in the current fiscal year.
Contractor Info. & Contract Action Dates
Form 810C: Consulting Services Reports Cont.
SIGNEDWORK
STARTEDWORK
AMENDEDWORK
COMP LETED
0
# of BIDS
CONTRACTORS NAME
CONTRACTORID Number (Last 4 digits of FEIN
or SS #)
CONTRACT PURPOSE & BENEFICIARY
CONTRACT ACTION DATES
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Example:•Contract 1: Contact was signed on 08/07/2013 for $15,000. Work started on 08/26/2013. There were 2 bids submitted. The lowest bid was accepted. The bid type was RFP. The purpose of the contract was to help the Executive branch with the Strategic Planning.•Contract 2: Contract was signed on 05/10/2013 for $25,000. Work started on 05/12/2013 and was completed on 05/01/2014. There were 8 bids submitted. The lowest bid was not accepted. The bid type was MSA. The purpose of the contract was to provide Legal Services to the Procurement Division.•Contract 3: Contact was signed on 04/02/2013 for $20,000. Work started on 04/10/2013. Contact amount was amended on 09/20/2013 and increased by $5,000. There was 1 bid submitted. The bid type was NCB. The purpose of the contract was to consult and analyze the HR unit.•Contract 4: Contract was signed on 12/01/2013 for $30,000. Work started 01/01/2014. On 03/01/2014 contract was amended and increased by $7,000. The contract was completed on 06/01/2014. There were 15 bids submitted. The lowest bid was accepted and the bid type was MSA. The purpose of the contract was to assess the Data Network for the IT Branch.
Form 810C Consulting Services Reporting
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ETHNICITY, RACE, GENDER & SEXUAL ORIENTATION (ERGSO)
( Form 810E )
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Form 810E: ERGSO Report
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• Public Contract Code Section 10111 requires State agencies to report the participation levels in contracts “by race, ethnicity, and gender of the owner, and whether the business is a lesbian, gay, bisexual, or transgender owned business”.
• This is to the extent that the information has been voluntarily reported to the awarding department.
• Submit one consolidated report for your department.
• Report the total value, in whole dollar amounts, of all Voluntary Statistical Data Sheets (VSDS) you received from vendors during the reporting period.
Form 810E: ERGSO Report Cont.
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• Remember, the decision of whether to fill out and return the VSDS is voluntary with the contractor, not with us.
• The awarding department is required to send the VSDS forms to the contractor, and retain them if the contractor sends them back.
• The department then must compile the data and report it back to the DGS annually.
• If no Voluntary Statistical Data Sheet(s) were received, then include a report that states there is nothing to report.
Voluntary Statistical Data Sheet (VSDS)
Form 810E: ERGSO Report Cont.
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Voluntary Statistical Data Sheet (VSDS) FormForm 810E: ERGSO Report Cont.
$2,000
VOLUNTARY STATISTICAL DATA SHEET Information to be used for reporting purposes only
Public Contract Code 10111 requires state agencies to capture information on ethnicity, race and gender (ERG) of business owners on all awarded contracts and procurements to the extent that the information has been voluntarily reported to the department. The awarding department is prohibited from using this data to discriminate or provide a preference in the solicitation or acceptance of bids, quotes, or estimates for goods, services, construction and/or information technology. This information shall not be collected until after the contract award is made. The completion of this form is strictly voluntary. The data you provide on this form should best describe the ownership of your business. Ownership of a business should be determined as follows:
For a business that is an sole proprietorship, partnership, corporation, or joint venture at least 51 percent is owned by one or more individuals in a classification designated below or, in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or more individuals in a designated classification, or
For other business entities, the owner is the person controlling management and daily operations and who “owns” the business.
For purposes of this report, respond only if the business has its home office in the United States and which is not a branch or subsidiary of a foreign corporation, firm, or other business. Ethnicity/Minority Classification As defined in Public Contract Code Section 2051 (c) Asian-Indian – a person whose origins are from India, Pakistan, or Bangladesh. Black – a person having origins in any of the Black racial groups of Africa. Hispanic – a person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish or Portuguese culture or origin regardless of race. Native American – an American Indian, Eskimo, Aleut, or Native Hawaiian. Pacific Asian – a person whose origins are from Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, or the United States Trust Territories of the Pacific including the Northern Marianas Other – Any other group of natural persons identified as minorities in the respective project specifications of an awarding department or participating local agency.
Race Classification As defined by the Office of Management and Budget, Federal Register Notice, October 30, 1997, at http://www.whitehouse.gov/omb/fedref/1997standards.html
American Indian or Alaska Native Asian
Black or African American Native Hawaiian or Other Pacific Islander
Other White Gender Classification
Female Male Sexual Orientation Classification As defined by Public Contract Code 10111(f)
Lesbian Bisexual
Gay Transgender
ITEMS BELOW TO BE COMPLETED BY STATE AGENCY/DEPARTMENT ONLY Goods Services Construction
Total Contract Purchase: ________________ Contract Award Date: ________________
DGS VSDS (Rev 12/12)
7/8/14
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Form 810E: ERGSO Report Cont.
If the VSDS is completely filled out by the business owner, these 4 numbers should be equal
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COVER LETTER
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Cover Letter
Cover Letter -- All reporting entities are required to submit a cover letter with their consolidated reports. It must explain:
– What State organizational entities are included in the report (particularly any boards, commissions, conservancies, campuses, laboratories, etc.)? Identify any entities that report independently but are related to an agency or department.
– Any anomalies in either the total amount of contract dollars reported or SB/MB or DVBE participation must be addressed.
– Review of all prior year Improvement Plan items enacted and it’s effect on current participation goals.
Cover Letter Cont.
FISCAL YEAR
Total Contract $
SB/MB $ SB/MB % DVBE $ DVBE %
FY 2013-14 $239,000,000 $75,000,000 31.38% $25,000,000 10.46%
FY 2012-13 $409,000,000 $112,000,000 27.38% $26,000,000 6.35%
FY 2011-12 $316,000,000 $77,000,000 24.36% $7,000,000 2.21%
Trend Decreasing Decreasing Increasing Increasing Increasing
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• The cover letter must discuss SB/MB and DVBE participation trends over the last three years (including the current fiscal year being reported) and whether the participation trend was improving or declining.
New Reporting Requirement FY 14-15
• Prime Contractor’s Certification of DVBE Subcontracting Form
• State Department’s DVBE Subcontracting Report
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OBJECTIVES REVIEW• WHY ARE REPORTS REQUIRED
– Executive Order #D-43-01: Military and Veterans Code §999.5– Executive Order #S-02-06: Government Code §14838– Public Contract Code §10111– I-Bonds: Assembly Bill No. 761: Government Code §14838.1 (f)
• WHICH REPORTS ARE REQUIRED FY 13-14– Form 810: Contracting Activity Report (Improvement plans )– Form 810S: SB/DVBE Option & DVBE Incentive Report– Form 810A: Infrastructure Bond Report (Action Plan)– Form 810C: Consulting Services Report– Form 810E: Ethnicity, Race, Gender & Sexual Orientation Report
• WHICH ADDITIONAL REPORTS ARE REQUIRED FY 14-15– State Department’s DVBE Subcontracting Report
• HOW TO PREPARE EACH REPORT– Sign and date ALL reports, even if “Nothing to report”– Include a cover letter! Submit to DGS by August 1st
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Due Date: By August 1st
Department of General ServicesProcurement DivisionOffice of Small Business & DVBE ServicesAttn: Reports Coordinator707 3rd Street, Room 1-400, IMS Z-1. MS 210West Sacramento, CA 95605
*The CAR may be submitted as a Portable Document Format (PDF) scanned with signatures to [email protected]
• Submit the Consolidated Annual Report to:
Reporting Required!
• All Agencies/Departments Must Report
• If an Agency/Department does not think they should report then they must show the specific statute in the code of regulations demonstrating they are exempt.
• Failure to submit the CAR will lead to being published on the “Did Not Report List” and may affect your Agency/Department’s Delegated Purchasing Authority.
• Agency Secretaries and Department Directors may receive a visit from DGS regarding participation levels not meeting goal.
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• http://www.dgs.ca.gov/pd/Home.aspx• Purchasing authority requirements: DGS/PD’s Purchasing
Authority Management Section at: [email protected] • State Contracting Manual, Vol. 1: DGS Office of Legal
Services, attorney assigned to your department.• State Contracting Manual, Vol. 2 & 3: DGS/PD’s Office of
Policy, Procedures, and Legislation (OPPL) at: [email protected]
• California Procurement & Contracting Academy (Cal-PCA) Toll Free - 800.559.5529 Local - 916.375.4400
• Department’s Assigned SB/DVBE Advocate
Contracting Methods Information
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Diana Alfaro, OSDS Certification Manager [email protected]
(916) 375-4919
Brittney Heth-Tran, Reports [email protected]
(916) 375-4937
Contact Information
For reports requirements, forms, and instructions, please go to:
http://www.dgs.ca.gov/pd/Programs/OSDS/ContractReporting.aspx
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Thank you for completing your class evaluation!