Attachment to ASL 97-12

Procurement Services Guide

Table of Contents

     

Business Services Officer (BSO) Divisional Assignments

To find out the name and phone number of the Business Services Officer (BSO) assigned to your division please call the Procurement Unit’s general information number at 322-4353 or ATSS 8-492-4353.

Address:
Air Resources Board
1001 I Street, 20th Floor
Sacramento, CA 958914
Attn: (BSO assigned to your division)
 

Agency Billing Codes

Organizational Identification

Billing Code

Chairman’s Office/Executive Office
64100
Legal Office
64140
Office of Air Quality & Transportation Planning
64770
Office of Environmental Technology Certification
64450
Compliance Division
64200
Research Division
64300
Stationary Source Division
64400
Monitoring and Laboratory Division
64500
Mobile Source Control Division
64600
Technical Support Division
64700
Administrative Services Division
64800
Mobile Source Operations Division
64900
 

Business Management Branch
Request Routing Directory

Request
Form
First Line Review
Second Line Review
All products not otherwise listed
Form 5
Procurement Unit
Building Alterations
Form 5
Space Acquisition & Building Management Unit
DGS Charge Card
Form 5
Space Acquisition & Building Management Unit
EDP Products
Form 5
TSD, Office Systems Management Section
Procurement Unit
Equipment
EO-5
Accounting Office
Procurement Unit
Filing Cabinets
Form 5
Records Management Section
Procurement Unit
Modular furniture& components
Form 5
Space Acquisition & Building Management Unit
Procurement Unit
Petty Cash Reimbursement
Std. 439
Procurement Unit
Photo ID Card
ID Card
Application
Space Acquisition & Building Management Unit
Publications & Subscriptions
Form 5
Research Department Library
Procurement Unit
Services > $1,000.00
Form 5
Contracts Unit
Services > $1,000.00
ASD 15
Contracts Unit
Standard State supplies
Form 5
Supply Unit
Telephone - Cellular
Form 5 or EO-5
Procurement Unit
TSD, Office Systems Management Section
Telephone - Products
Form 5
TSD, Office Systems Management Section
Procurement Unit
Telephone - Services
Form 5
TSD, Office Systems Management Section
ASD 15:
EO-5:
ASD Transmittal
Equipment Request
Form 5:
Form Std. 439:
Intra-Office Requisition
Disbursement Voucher
 

Chapter 1 - Getting Started

1.1

Identification of Product Needed

 

The first step in initiating a purchase request is to determine exactly what is needed. For most products this equates to determining the size, type, color, quantity and quality of the product. In many cases the compatibility of the product with other products may also need to be considered.

   

1.2

Selecting a Vendor

 

Once it has been determined what product is needed, the next step is to identify a vendor and receive a cost estimate. The State has several mechanisms in place for selecting a vendor. A requester may select to purchase from a State pre-approved vendor (see Chapter 2), competitively bid and purchase from the bidder who is deemed the lowest cost, most responsive and responsible to the bid requirements (see Chapter 3), or in rare instances request sole source approval to purchase from a single vendor (see Chapter 4).

Keep in mind that the type of product ordered, the dollar amount, and the vendor used, are all factors that effect how the request is processed.

   

1.3

Responsibility of Order Originator

 
Staff and managers are responsible for considering and acting in the best interest of the State when using State funds to purchase. It is incumbent upon Managers to ensure that State funds are spent prudently and only for items that are essential for the performance of official State business.
   

Chapter 2 - State Pre-Approved Vendors

   
State pre-approved vendors include State Agencies, sheltered workshops, vendors identified on State contracts/price schedules, and vendors and products identified under the California Multiple Award Schedule (CMAS).

Neither competitive bidding nor sole source approval is required to purchase from a state pre-approved vendor.

   

2.1

State Agencies

   
 
The following state agencies produce and sell products:
  1. State Printing Plant - provides printing services to all state agencies. The types of products available through the State Printing Plant include business cards, letterhead, brochures, and publications.
  2. Prison Industry Authority (PIA) - specializes in office furniture products. The type of products available from PIA include traditional office furniture (e.g. chairs, desks, bookcases, credenzas, file cabinets, etc.) and modular furniture.

In order to purchase products from an outside vendor, that are otherwise available through the PIA, a state agency a waiver from the respective agency must be obtained.

To obtain a waiver, a written justification must be provided to the ASD Procurement Unit. The Procurement Unit will prepare the information and submit it to the respective agency. If the Agency agrees to issue a waiver, the purchase will be made in accordance with standard State guidelines.

   

2.2

Sheltered Workshops

   
 
The State is authorized to make purchases from rehabilitative or sheltered workshops without seeking competition. The prices paid must, however, be competitive with comparable products offered in the marketplace
   

2.3

State Contract Vendors

   
 

On behalf of all State agencies, the Department of General Services enters into agreements which make available products and services for a specified sum and under specific terms and conditions. If the product to be purchased is available from a state contract, the product must be procured from that respective source. The following are examples of products available through state contracts:

Acoustical Panels
File Cabinets, Steel, Conventional
Batteries, Storage & Electrolyte
Filters
Bookcases, Steel, Office
Footwear, Gloves, Goggles
Chairs & Tables, Folding, Steel
Gasses
Clocks, Wall
Glassware
Desks, Steel, Office, Conventional
Telephone Equipment
Dictating/Transcribing Equipment
Tires, Passenger and Light Truck
Electrical Hardware
Tools, Hand
Extinguishers, FireTypewriters
   

2.4

California Multiple Award Schedule

   
 
The California Multiple Award Schedule (CMAS) is a list of federally approved manufacturers/vendors that offers products and/or services at an established cost under contract with the State. In order to purchase under CMAS, both the vendor and product must be listed. To view the CMAS list, contact the ASD, Procurement Unit or look for it on the Internet at: www.pd.dgs.ca.gov/cmas/default.htm.

Note: If ordering from CMAS, list the CMAS number and the expiration date on the request document.

   

Chapter 3 - Competitive Bid Process

   

3.1

Prohibition Against Limiting Bidding

   
 
Public Contract Code Section 10318 makes it illegal for any agency or employee to draft or cause to be drafted specifications in such a manner as to limit the bidding directly or indirectly to any one specific concern, or any specific brand, thing, or service without a sole source justification.
   

3.2

Dollar Guidelines

   
 
The ARB is committed to a program of active competition in purchasing products. The following guidelines apply to all orders, except orders placed with a state pre-approved vendor (see Chapter 2):

If the requested product/s are $999.99 or less only one bid is required and it may be obtained through an informal bid process.

Note: If the requested product/s are $1,000.00 or more and only one vendor is able to produce the desired product, a sole source justification must be provided (see Chapter 4).

If the requested product/s are more than $1,000.00 but less than $2,500.00 two bids are required and they may be obtained through an informal bid process.

If the requested product/s are more than $2,500.00 but less than $15,000.00 three bids are required and they may be obtained through an informal bid process.

If the requested products are more than $15,000.00 the order will be forwarded to Department of General Services (DGS) for review and processing unless the vendor is a State Pre-Approved Vendor as per Chapter 2.

   

3.3

Informal Bid Process

   
 
In an informal bid process, bids may be solicited and received either verbally over the telephone, or in writing through fax/mail. The individual requesting bids should record the date, the vendors name, the name of the individual providing the quote, and the bid amount.
   

3.4

Formal Bid Process

   
 
In a formal bid process, sealed bids are received and read at a specified time. Formal bid process are usually carried out by the Department of General Services and take approximately five to seven months to complete (see Chapter 6).
   

Chapter 4 - Sole Source Process

   

4.1

Definition - Sole Source

   
 
A procurement (or contract) of goods (or services) where only a single business enterprise is afforded the opportunity to offer the State a price for the specified goods is considered a sole source.
   

4.2

Executive Order

   
 
Current State policy requires that procurement of goods be awarded through the use of a competitive process except under specific circumstances as set forth by law, or as determined to be in the best interest of the state. Executive Order W-103-94, issued in August 1994, reinforces this policy and requires that any and all "sole source" procurement entered into by the State of California shall, without exception, have the express written approval of the Cabinet-level Agency Secretary with jurisdiction over the procurement, as well as the Department of General Services.

Management Memo 94-16 provided cabinet level Agency Secretaries (Cal/ EPA) the authority to grant approval for certain specified categories of sole source procurement without reviewing individual transactions. In accordance with that memo, the Agency Secretary has granted certain categorical exemptions of commodities purchased under delegated purchase programs from his review. This exemption includes commodities purchased under ARB’s delegated authority (see Chapter 5).

   

4.3

Criteria

   
 
Sole source may be permissible only in the following situations:
  1. In an emergency, for the immediate preservation of public health, welfare, safety, or protection of State property. (Does not require Secretary’s review)
  2. When business needs do not allow sufficient time for competitive bidding. When the claim is made a Sole Source Vendor/Product for or Agency Secretary approval may be required dependent on the dollar amount.
  3. When a particular brand or source is required for equipment repair.
  4. When the items are proprietary. If requesting to sole source based on this criteria, a copy of a letter from the respective vendor that certifies that the product is proprietary and/or that the vendor is the sole representative for parts and service of the product must be attached to the request. In addition, a Sole Source Vendor/Product Form or Agency Secretary approval may be required.
   

4.4

Sole Source Vendor/Product Form

   
 
In those non-emergency instances listed above, where three bids cannot be secured, the individual requesting to purchase must prepare a Sole Source Vendor/Product form and submit it to the Procurement Unit with a completed request order.

Note: If the item being requested is $15,000.00 or more, a memo drafted from the ARB Chairman to the Agency Secretary requesting signature approval to proceed with a sole source purchase must be prepared and approved before the request can be sent to DGS for review and processing.

   

4.5

Agency Secretary Memo

   
 
All requests must be developed in the standard issue memo format, addressed to the Secretary of Cal/EPA from the ARB Chairman, and have a signature approval and date line at the end of the memo. Contact your assigned BSO for assistance with the format. Requests must include the following information:
  1. The proposed contractor’s name.
  2. Information regarding the unique performance factors of the product specified that warrant a sole source purchase.
  3. A justification that describes why the unique performance factors are required.
  4. The basis for the sole source exemption request. This information should be sufficient to answer the questions:
    • Is the proposed vendor the only source, and if so, how has this been verified?
    • Is the request based on being in the "best interest of the state", and if so why; and
    • What are the potential consequences if the request is denied?
  5. A listing of other products which have been examined and the reasons why these products were rejected, including the vendor’s name, address, telephone number, and individuals which have been contacted.
  6. All requests must be submitted to the ASD Procurement Office for processing. Requests must have division chief signature approval, either on the appropriate request document (i.e. Form 5 or EO-5), or its cover memo.
   

Chapter 5 - ARB Delegated Authority

   
 
The Department of General Services (DGS) has granted to the ARB delegated authority to process purchase requests up to $15,000.00. The ARB may purchase products in excess of $15,000.00 without DGS approval if:
  1. The vendor is another State Agency (e.g. the California State Printing Plant, PIA, etc.).
  2. The product and vendor are identified on an approved State contracts list.
  3. The product and vendor are identified under a CMAS contract.

Requests to purchase products in excess of $15,000.00 must be sent to DGS for review and processing.

Note: Splitting of orders to circumvent DGS review and processing is prohibited.

   

Chapter 6 - DGS Review and Time Lines

   

6.1

DGS Review

   
 
Any request to purchase a product/s that exceeds $15,000.00 and that is not included under ARB’s delegated authority must be submitted to the DGS for processing. Such requests must be prepared and submitted to the ASD, Procurement Unit according to ASD, Procurement Service Guidelines. Upon receipt of the request, the ASD, Procurement Unit will prepare and format it in accordance with DGS guidelines and forward it to DGS for processing.
   

6.2

DGS Processing Time Lines

   
 
The DGS follows a formal bidding process to purchase products. The following are the steps and approximate time lines for processing the request once it leave the ASD, Procurement Office.
  1. DGS receives and logs the request. Time: approximately 2 weeks.
  2. Request assigned to DGS Buyer for review (if order is not complete it will be returned).
    Time: Approximately 2 to 3 weeks.
  3. Specifications, if any, are sent to DGS, Specifications Unit for review and approval (if specifications are incomplete the order will be returned). Time: approximately 1 to 2 months.
  4. Approved specifications returned to DGS Buyer.
  5. A DGS Buyer draft bid package and mails it to potential bidders. Bidders allowed 30 days to respond.
    Time: Approximately 1 to 2 months.
  6. DGS Buyer reviews bids and awards to appropriate vendor. Time: approximately 1 to 2 months.
  7. Purchase order issued.

The entire DGS processing time takes approximately 5-7 months.

   

Chapter 7 - Initiating a Purchase Request

   

7.1

Parts vs. Labor

   
 
If a request is for both a product and a service, the total dollar amounts of the respective items are used to determine whether the request will be processed as a procurement of goods or a contract for services. For example, a request to purchase and install a part is processed by the Procurement Unit if the cost of the part (product) exceeds the cost of installation (service). It is important to make this determination prior to submitting a request because the requirements of processing differ greatly depending on whether or not it is considered a procurement or a contract. If you require assistance, please contact the Business Service Officer assigned to your division.
   

7.2

Purchase Request Documents

   
 
Dependent on the type of product being ordered, either an Intra Office Requisition or an Equipment Request form (examples: 7-3 and 7-4, respectively) must be completed to initiate the request.

A.

Intra Office Requisition (Form 5)

 
An Intra Office Requisition (Form 5) is the standard document used to initiate most purchase requests. The only time a Form 5 is not used to initiate a purchase request is if the product being purchased is deemed to be major equipment, in which case an Equipment Order Request would be required.
   
B.
Equipment Order Request (EO-5)
 

An Equipment Order Request form (EO-5) is the document used to initiate a request to purchase equipment. Equipment is defined as meeting all of the following criteria:

  1. The dollar value per product totals $500.00 or more.
  2. The useful life of the product is at least four (4) years.
  3. The product is used in the performance of State business.
  4. The product can stand-alone.
   

7.3

Form Completion Instructions

   
 
If ordering products form more than one vendor, a separate Form 5 or EO-5, must be completed for each vendor. The following information must be included on each form.
  1. The address where the products are to be delivered, and the name of the person requesting them.
  2. The agency billing code and the quantity of product/s being requested.
  3. A complete description of the products including size, color/finish, part and/or model number. Attach any other pertinent specifications, drawings or samples.
    Note: If requesting replacement parts or products that must be compatible with existing equipment, include the brand and model, and ARB bar code of the existing equipment.
  4. The estimated price per unit if known.
  5. Under justification list the reason/s for ordering the products. The justification is to be succinct but must provide sufficient information to allow Procurement and Accounting staff to respond to questions from control agencies who audit the final payments.
  6. The vendors name, address, phone number and contact person if available. If the products are unusual, providing the names of additional vendors will help expedite the order.
    Note: If ordering from
    CMAS, list the CMAS number and the expiration date.
   

7.4

The signature and title of the person authorizing the purchase.

   
 
The Form 5 must be signed by a Branch Chief or above, or by someone with delegated authority to sign.

The EO-5 must be signed by a Section or Branch Manager and a Division Chief.

   

Chapter 8 - Special Items

   

8.1

Anything With Wheels

   
 
If ordering an automobile, generator, dynamometer, hoist, jack, lift, trailer or almost anything with wheels, or almost anything that deals with wheels, the purchase will require the Office of Fleet Administration (OFA) approval. Contact your assigned BSO for assistance in determining whether your proposed purchase requires OFA approval. The following information must be provided by the requestor:
  1. Equipment Request form complete with appropriate signatures and information (see Chapter 7)
  2. Specifications - two copies
  3. Literature from the vendor - two copies
  4. Suggested vendors - three or more
  5. Sole source justification (if fewer than three vendors) - two copies. Dependent on the dollar amount, either a sole source vendor/Product Form or an Agency Secretary approval may be required (see Chapter 4).
  6. Justification that includes: The name of the program, division, section, etc. that will use the item; a description of the item; an explanation regarding why the item is needed; and, the impact of not receiving the item should the request be denied.
   

8.2

Cellular Phones and Pagers

   
 
In addition to the standard information required on a Form 5 or EO-5 (i.e., quantity, item description, model, estimated cost, vendor, ship-to address, etc.), requests for a phone and/or a pager must include the name of the person/persons to whom the instrument will be assigned and a justification for why it is needed (see ASL 97-11, Cellular Phone and Pager Use Guidelines, for details) - Link Expired.

If ordering a cellular phone other alternatives that were considered must be included with the justification along with an explanation as to why a cellular telephone constitutes the most cost-effective alternative to meet the operational requirements. In addition, requests to obtain and use a cellular phone require Division or Office Chief signature approval.

Note: It is ARB policy to purchase cellular phones and pagers rather than lease. Any request to lease rather than purchase must be accompanied by a justification regarding why it is necessary to lease and demonstrate the reasonableness of cost.

   

8.3

Photocopy Machines

   
 
If ordering a photocopy machine you must complete an Equipment Request form (EO-5).

Note: Photocopy machines ordered must be included on the DGS approved list. Contact the ASD, Procurement Unit for a copy of the list. If the photocopy machine being ordered is not on the DGS approved list, a waiver must be obtained from DGS.

   

8.4

Publications and Subscriptions

   
 
If ordering a publication the following information must be included on the Form 5.
  1. The title of the publication.
  2. The author.
  3. The publication order number, if applicable (ISBN number).
  4. Indicate if pre-payment is required.
  5. The vendor, where available, including the address.

If ordering a subscription the following information must be included on the Form 5.

  1. The full title of the publication.
  2. Subscription period (i.e., 3 months, 6 months, 1 year or more).
  3. Indicate if request is for renewal of current subscription and attach renewal notice, if applicable.
  4. Indicate who in your division will actually receive the subscription.

After obtaining appropriate signatures, forward the original copy of the Form 5 to the ARB’s Sacramento Library with any brochure or renewal notices attached. Retain one copy for your pending file.

   

Chapter 9 - Expedite Orders

   
 
Orders which require expeditious handling will be processed ahead of other orders, and will be processed in accordance with standard state guidelines. In order to efficiently process expedited orders and ensure that expedite orders do not arbitrarily delay orders not so identified, the following information must be provided with the request.
  1. A justification regarding why it is necessary to expedite, and how it will impact on program requirements.
  2. The date by which the order must be filled
  3. The consequences if the order is not filled by the requested date.

Note: Orders marked expedite that do not have the above information attached will be processed in accordance with standard office procedures, in order of date received.

   

Chapter 10 - End User Responsibility

   

10.1

Notification

   
 
NotificationAfter a purchase document has been signed and forwarded to the vendor and/or DGS, but prior to the product being shipped, the requester will receive a copy of it. The requestor should review the paperwork to determine if the order was placed correctly. If there are any problems or questions regarding the order the requestor should contact the Business Service Officer assigned to this/her Division immediately.
   

10.2

Invoices

   
 
Immediately upon receipt of an invoice, the requestor/end user must "approve payment" by signing and dating the original invoice, and forward it (with envelopes attached) to the ASD, Accounting Section.

Note: The Prompt Payment Act requires State departments to pay interest penalties on any invoice that is not paid within 30 days of the date of the invoice

   

10.3

Expediting Payment

   
 
When in doubt about processes for expediting payments staff are encouraged to contact the Accounting Section for clarification on the appropriate paperwork.
   

Chapter 11 - Petty Cash

   

11.1

Purchase Criteria

   
 
Petty cash funds are available for reimbursement of purchases that meet all of the following criteria:
  1. The product purchased was necessary to conduct State business
  2. The product purchased did not exceed $50.00 per purchase (excluding sales tax)
   

11.2

Reimbursement Procedures

   
 
To receive reimbursement for purchases that meet all the criteria listed above, a Disbursement Voucher Form, STD. 439, (see example below) must be completed and signed by Branch Chief level or above. The original purchase receipt must be attached to the Form. The form and receipt must be submitted to the custodian of the petty cash fund. The ASD, Procurement Unit acts as custodian for those divisions not otherwise assigned a custodian. Forms are available through the ASD, Supply Unit.
   

Chapter 12 - Storeroom Supplies

   

12.1

Ordering

   
 
The ASD, Business Services Section maintains an inventory of standard state office supplies in its storeroom.

To order supplies from the storeroom, an Intra Office Requisition (Form 5) must be completed and the following information provided.

  1. The date the order is being submitted.
  2. The name of the person to whom the items are to be delivered.
  3. The requestors unit/section name, signature and title.
  4. The signature and title of the person approving the order (usually the requestor’s immediate supervisor). Without an approving signature the Supply Office cannot fill the order.
   

12.2

Receipt of Supplies

   
 
Supplies will be delivered with a copy of the Form 5

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