Department of General Services Procurement Policies and Procedures Manual Checklist

Procurement Division Attachment 1

GSPD 13-005 (Rev.06/14)

Procurement Policies and Procedures Manual Checklist

Your department’s Procurement Policies and Procedures Manual (P&P Desktop Manual) must be written to the intended
audience, in other words, to your department’s procurement staff. DO NOT copy entire sections from the State Contracting
manual (SCM), as it is updated on a continuous basis. Replicating entire sections of the SCM with only minimal changes to the
verbiage (i.e. replacing “Department” with your department name or acronym) does not meet the intent of developing a
departmental procurement policies and procedures desktop manual as required for obtaining and maintaining purchasing
authority. The purpose of the P&P is to include: all relevant procurement laws, rules, and policies; step-by-step desktop
procedures for all types of procurements; and shall include references to the specific volume, chapter, and section of the
appropriate SCM. Please submit only one checklist for your department including responses for both Non-IT & IT P&P.
Policy – A written statement that clearly indicates the position and values of the Department/Department on a given subject. It contains rules and tells one what to do.
Procedures – A written set of instructions that describe the approval and recommended steps for a particular act or sequence of acts. It tells one how to perform a
set of tasks in relationship to the department’s policies on conducting business.
DESKTOP MANUAL GENERAL INFORMATION REQUIREMENTS
DGS USE
# Desktop Manual Component ONLY
Compliant
1. Yes
Title Page
No

Table of Contents
2. Yes
Numbering System – chapter, section, page numbers, and revision date. All pages must be numbered and include
No
the latest revision date.
Introduction to Manual
3.  purpose of manual Yes
 intended audience No
 Location of manual (intranet, hardcopy, etc.) and its availability to employees.

4. Manual Updates Yes

Identify how and when updates to the desktop manual will occur. No

5. Yes
Acronym list
No

Yes
6. P&P Language Written by Department to Intended Audience and Not a Replication of SCM
No

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant

Scope of Purchasing Authority and Exclusions

List approved purchasing authority categories, sub-categories, and dollar
Yes Yes
1. threshold limits per the Department’s current Purchasing Authority Approval
No No
letter and list exclusions from purchasing authority.
(SCM Vol. 2, Sect. 1.A2.0-3)

Procurements Exceeding Purchasing Authority Thresholds

Explain when a Purchase Estimate (STD. 66) is required, the process to
Yes Yes
2. complete the form, and what documents to submit and where, i.e. DGS/PD
No No
or CalTech, or submit a Purchasing Authority Increase Request to DGS/PD.
(SCM Vol. 2, Sects. 1.A2.4 & 2.C6.0-3)
Order Splitting
Explain the Department’s policy prohibiting splitting orders to evade the Yes Yes
3.
bidding or advertising requirements or circumvent the approved purchasing No No
authority thresholds. (SCM Vol. 2, Sect. 1.A2.5 & PCC 10329)

Procuring for Another Department(s) (Primary & Secondary)

If the Department (primary) is procuring for another department(s) Yes Yes
4.
(secondary), explain the procedures for the secondary department(s) to No No
request and coordinate procurements with the primary department.

Page 1 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Delegating Purchasing Authority Within the Department & Sub-
Delegations
Explain Department’s policy/criteria for determining staff assignments in the
Yes Yes
5. procurement unit and in other offices/units outside of the procurement unit
No No
that have sub-delegated purchasing authority. Identify staff positions, their
assigned purchasing categories (LPA, competitive, IT, non-IT), and their
dollar limits, etc. (SCM Vol. 2, Sect. 1.A3.0 & PCC 10333.a.4)
Signature Authority
List what positions (titles/classifications) are authorized to approve and sign Yes Yes
6.
procurement documents, the procurement categories authorized, and their No No
authorized dollar thresholds. (SCM Vol. 2, Sect. 1.A3.0)
Training Policy/Program
In accordance with the training policy requirement in Public Contract Code
Sect. 10333, describe the Department management’s philosophy regarding
procurement-related training opportunities for staff involved in the
procurement process.
a) Explain requirement that all staff involved in the procurement process
are trained at the appropriate levels for the types, categories, and dollar
thresholds of the procurements each staff conducts.
b) Describe procurement-related material the department requires its
procurement staff be familiar. Yes Yes
7.
c) Include requirement for all procurement staff to complete DGS/PD No No
California Procurement and Contracting Academy (Cal-PCA) Basic
Acquisitions Certification Program (BACP) training classes and any
other Cal-PCA acquisitions training classes available that would be
helpful to procurement staff.
d) Describe any internal and/or external training provided/required by the
department for procurement staff.
e) Include requirement for the Cal-Card Administrator and anyone issued
a Cal-Card to complete Cal-Card training.
(SCM Vol. 2, Ch. 1 & PCC 10333)
Controlling and Reviewing Purchasing Practices
Explain how department staff controls and reviews purchasing practices and
monitors the department’s progress in meeting and/or exceeding purchasing
Yes Yes
8. authority standards and continuous improvement of the department’s
No No
purchasing program. (e.g. review and approval of procurements,
documentation checklist, database (SCPRS) tracking and ethics training)
(SCM Vol. 2, Ch. 1, 2 & 4)
Internal Auditing of Purchasing Activities
Identify the departmental staff responsible to perform audits, frequency of
audits, focus of the audits, criteria to determine compliancy, and the Yes Yes
9.
corrective action plan. If the department doesn’t have auditing capabilities, No No
then specify entity responsible for auditing internal purchasing activities (e.g.
department). (PCC 10333.a.4; SCM Vol. 2, Ch.1)
Conflict of Interest/Incompatible Activities Policy & Statement and
Accepting Gifts and Gratuities
Explain policy requiring every staff person involved in the procurement
process, including those who prepare requisition requests, receive goods
and approve payment, to sign a COI/IA at least once during their tenure with
the department and to maintain copies of signed COI’s within the Yes Yes
10. procurement office. Department must either use the sample COI statement No No
provided in the SCM or develop their own that must reference and include
the language contained in GC 19990. The P&P must include a sample
statement and identify where COI is located (hardcopy or web link). (SCM
Vol. 2, Sects. 1. A3.0 & 2.A2.0-2)
Note: If the department develops their own COI, the statement must be submitted
to DGS/PD for approval.

Page 2 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Confidentiality Policy and Statement
The department must have a Confidentiality Policy and a Confidentiality
Statement to ensure department staff maintains confidentiality in all
procurement activities. Department must either use the sample
confidentiality policy & statement provided in the SCM or develop their own.
The P&P must include: policy requiring all procurement staff to maintain
confidentiality in all procurement activities and sign a Confidentiality
Statement for each procurement; a sample statement; where form is located
(web link); who needs to sign; and where completed statements are Yes Yes
11.
maintained. Confidentiality Statements should be maintained in each No No
individual procurement file. (SCM Vol. 2, Sects. 4.A1.3-5)
Note: The Confidentiality Policy & Statement should not be confused with the
Conflict of Interest/Incompatible Activities Policy & Statement, and should be
completed for each competitive solicitation by the buyer and all those involved with
that particular project, including the bidders. The signed Confidentiality Statements
should be maintained in each procurement file. The Conflict of
Interest/Incompatible Activities Statements need to be maintained in a central
location, preferably in the procurement office, for audit purposes.
Additional Pre-Procurement Reviews and Approval Requirements –
Procedures on how buyers obtain other approvals as may be required from:
PIA, DGS Surplus Property, DGS California Records & Information
Yes Yes
12. Management Manual (CalRIM), DGS/PD, DGS/OLS, DGS/RESD,
No No
DGS/OFAM (Fleet), DGS/OSP, CalTech STPD, CalTech Telecom,
Department of Conservation, State Personnel Board, Department of
Conservation etc. (SCM Vol. 2, Ch. 2 & 4)
Ethics & Conflicts
Department personnel involved in procurement activities are either directly
or indirectly spending public funds and are subject to public scrutiny.
Explain how the department ensures that personnel involved in procurement
activities:
• Act responsibly.
• Conduct business honestly.
• Avoid wasteful and impractical purchasing practices. Yes Yes
13.
• Avoid real or perceived conflicts when conducting business on the No No
State's behalf.
• Advise departmental personnel of expected standards of ethical and
moral behavior during any procurement activities involving their
participation.
Click here to access the Fair Political Practices Commission's web page for
additional information.
(SCM Vol. 2, Sects., 1.A4.3 & 2.A1.1)
Separation of Duties
Explain the department’s policy to maintain sufficient separation of duties in
order to reduce the risk of error or fraud in the department's purchasing
program. Key duties and responsibilities should be segregated to separate
the responsibilities for: conducting procurements; approving purchase Yes Yes
14.
documents; acknowledging and receiving goods and services; approving No No
invoices; and preparing payments.
Note: No one person should control more than one of the key aspects of
procurement activities listed above.
(SCM Vol. 2, Sect., 1.A4.4)
Gift of Public Funds
Explain your agency’s understanding and compliance, prohibitions, etc. (CA Yes Yes
15.
State Constitution, Article 16, Section 6; SCM Vol. 2, Ch. 2 Section 2.A2.3; No No
and Governor’s Memo dated 2/18/11)
Acquisition Request Process
Explain the department’s requisition process for centralized and
decentralized purchases including: sample of requisition document and Yes Yes
16.
procedures on completing the form; levels of approval; and required support No No
documentation (i.e. justification, reviews/approvals, funding, specifications,
SOW, etc.)

Page 3 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Conducting Procurement Activities
Does the P&P manual provide detailed instructions on how to conduct a
purchasing activity for the requested or approved dollar threshold?
Procedures must reflect dollar thresholds of each category requested or Yes Yes
17. approved. No No
Tip – Look at each purchasing authority type/category. Organize the information, use
a flow chart to establish the sequence of work and integrate SCM requirements to
support the procedure.
Classifying the Purchase
Explain importance of properly classifying purchases, how to determine Yes Yes
18.
main purpose of purchase, Non-IT vs. IT, Goods vs. Services. No No
(SCM Vol. 2 Sects. 2.B1.0–8)
Procurement Planning, Buyer Review, and Internal/External Reviews
Procedures for buyer to review/approve requisition documents and conduct Yes Yes
19.
the procurement, approval criteria, internal reviews, process for in-house No No
legal review, required external reviews, etc. (SCM Vol. 2, Ch. 2, Sect. B)
Determining the Appropriate Procurement Approach
Procedure and what factors are to be considered in determining the Yes Yes
20.
appropriate procurement approach: PIA; SB/DVBE Option; Competitive, No No
Non-Competitive; Informal/Formal; LPA ; etc. (SCM Vol. 2, Sect. 2.B2.3)
Specification Development
For the procurement of goods departments must have policies and
procedures to develop a technical specification clearly detailing the
necessary qualities and functions of the goods without being restrictive to
competition. The DGS/PD Engineering Services is available to assist Yes Yes
21.
departments in providing technical knowledge and assistance in planning No No
efforts and specification preparation. Include links below in your P&P.
DGS/PD Engineering Services web page
sample solicitation Specification Checklist
(SCM Vol. 2, Sect. 2B2.4)
Contracted Personal Services
Explain what to consider and justifcation for contracting for personal
services, include required notification and approval of the State Personnel Yes Yes
22.
Board and/or Represented Employee Organizations. No No
(SCM Vol. 2, Sects. 2.B3.3 & 2.C5.2; SCM Vol. 3, Sect. 2.B4.3; GC 19130
(a) (b) (c); 19131; 19132; 19135. BB P-01-14 dated 1/28/14 & MM 14-01)
Blanket Purchase Orders
Explain department’s policy and procedures for issuing a blanket purchase
order including: the department must document why it is in the State’s best
Yes Yes
23. interest to execute a blanket purchase.; in no case may a blanket purchase
No No
exceed $4,999.99 per transaction, unless the blanket purchase is issued
under an LPA; and copies orders placed against the blanket purchase
document must be kept in the procurement file. (SCM Vol. 2, Sect. 2.B3.5)
Shipping Charges & Transportation Management Unit (TMU)
Explain policy and procedures: types of shipping methods; preferred
method; and when to contact TMU to determine freight costs. Requirement Yes Yes
24.
for freight bill audit and TMU audit stamp. Add TMU contact information: No No
Address; Phone number; Fax, Email, and web link. (SCM Vol. 2, Sects.
2.B3.6, 8.5.0-2 & 9.A6.1; SAM 1200 et seq.,3851, 3852 & 8422.1)
Term Purchases
Explain Department’s policy on establishing Term Purchases. Include
criteria for a term purchase: a specified time period – not to exceed 36 Yes Yes
25.
months; a specified list of products and quantities; and routinely acquired No No
items. Also include solicitation requirements and specific language to be
included in solicitations. (SCM Vol. 2, Sect. 2.B3.7)
Non-Discrimination Ineligibility and Exception
Explain department policy to determine contractor eligibility before award;
contractors that do not meet the provisions of GC 12990 are not eligible to Yes Yes
26.
contract with the State for non-IT goods; include link in P&P to find ineligible No No
contractors in the California Regulatory Notice Register link. Please also
state the exception to GC 12990 when using Cal-Card and the department
Page 4 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
is to monitor the use of this exemption and adhere to the restrictions on
these purchases. (SCM Vol. 2, Sect. 2.B3.10-11; & GC 12990)
Darfur Contracting Act
Explain requirements of the Act, policy requiring suppliers to certify, applies
to all Non-IT acquisitions regardless of procurement approach, method, or Yes Yes
27.
solicitation format except for LPA’s, etc. The P&P must include a sample No No
certification and identify where document is located (hardcopy or web link)
and file documentation. (SCM Vol. 2, Sect. 2.B3.12 & PCC 10475–10481)
Loss Leader
Required statement to be included in all solicitations and list excluded Yes Yes
28.
acquisitions. (SCM Vol. 2, Sects. 2.B3.13 –14; SCM Vol. 3, Sects. 2.B4.10– No No
11; PCC 10302(b)(1)&(4) and 12104.5(b)(1)&(3); B&P Code 17030)
Mission Critical Certification for DGS
Yes Yes
29. Required certification for all work, documents, or contracts to be initiated by
No No
or reviewed by DGS. (SCM Vol. 2, Sect. 2.B3.15; SCM Vol. 3, Sect.2.B4.14)
Iran Contracting Act
Policy requiring buyers to check list of ineligible vendors during bid
evaluation, applies to all acquisitions of $1,000,000 or more regardless of
Yes Yes
30. procurement approach, method, or solicitation format except for LPA’s. P&P
No No
must include a sample of document used for suppliers to satisfy certification
requirements, etc. (SCM Vol. 2, Sect. 2.B3.16; SCM Vol. 3, Sect. 2.B4.15;
& PCC 2200-2208)
Tax Delinquents Prohibition Policy
Include language prohibiting tax delinquent persons or companies from
bidding. Add the following links for verification: Yes Yes
31.
https://www.ftb.ca.gov/aboutFTB/Delinquent_Taxpayers.shtml No No
http://www.boe.ca.gov/cgi-bin/deliq.cgi
(PCC 10295.4 and SCM Vol. 2, Sect. 2.B3.18)
Statement of Work (SOW)
Department policy and procedures for developing a SOW, SOW is Yes Yes
32.
documentation of the details of the work to be performed, what to include in No No
the SOW, etc. (SCM Vol. 2, Sect. 2.B4.0-1)
Emergency Purchases
Define emergency, define processes for emergency in response to natural
disaster vs. other than natural disaster, describe process when Department Yes Yes
33.
doesn’t need to contact DGS and when they do, if purchase is within/not No No
within NCB contract purchasing authority, Form 42, required file
documentation, etc. (SCM Vol. 2 Sects. 2.B5.0-5; PCC 1102 & 10340(a)(1))
Office of Fleet and Asset Management (OFAM)
Explain procedures for the purchase of mobile equipment (vehicles), Yes Yes
34.
obtaining OFAM approval, and equipment excluded from OFAM oversight. No No
(SCM Vol. 2, Sects. 2.C1.0-4 & GC 13332.09)
Surplus Property Program
Yes Yes
35. Explain program, available products, required reports, etc. (SCM Vol. 2,
No No
Sects. 2.C2.0-4; MM 11-01)
Prison Industry Authority (PIA) Procurement Procedures
Explain program requirements, available products, exemption process, Yes Yes
36.
ordering procedures; use of Cal-Card, etc. (SCM Vol. 2, Sects. 2.C3.0-7; & No No
PC 2807)
Community Rehabilitation Program (CRP) Procurements
Explain CRP, these purchases exempt from advertising requirements,
Yes Yes
37. competitive bidding, dollar threshold limits, and NCB requirements, and
No No
pricing must be documented as Fair and Reasonable. (SCM Vol. 2, Sect.
2.C4.0 & WIC 19404)
Documenting Decisions
Explain procedure on what to document and how in each procurement from Yes Yes
38.
identifying the need to purchase through the completed purchase No No
transaction. (SCM Vol. 2, Sects. 2.D1.0-4)

Page 5 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Americans with Disabilities Act/Reasonable Accommodation
Explain department’s policy and procedures that ensure that all programs,
Yes Yes
39. activities, and services, including the procurement process, are available to
No No
all persons including those with disabilities. Identify your department’s ADA
Coordinator. (ADA and SCM Vol. 2, Ch. 3)
Small Business Procurement and Contracting Act and DVBE
Participation
Explain your department’s policies ensuring commitment to complying with
Small Business Procurement and Contract Act and DVBE Participation
Yes Yes
40. Program requirements, contracting with SB/DVBE’s, and meeting annual
No No
participation goals. Define the goals and the available procurement
approaches to achieve goals. (PCC 10333.a.3; PCC 10115; GC 14835 et.
seq.; M&VC 999 et. seq.; CCR, Title 2, Sect. 1896.60 et. seq.; and SCM
Vol. 2 & 3, Ch. 1 & 3)
SB/DVBE Advocate
Identify the SB/DVBE Advocate and how to contact them, Describe their Yes Yes
41.
roles and responsibilities, and how they will be involved in the department’s No No
procurement process. (GC 14846, MVC 999.12; SCM Vol. 2, Ch. 3)
SB/DVBE Option
Explain provisions, dollar thresholds, establishing mailing lists, department’s
Yes Yes
42. commitment to utilizing the option, advertising requirement is eliminated
No No
when using the SB/DVBE Option, etc. (GC 14838.5, SCM Vol. 2, Sects.
3.2.4 & 4.B5.0-3)
Verification of SB/DVBE Certification Status
Explain policy and procedures for verification prior to award regardless of Yes Yes
43.
procurement approach. Include web link to SB/DVBE Services web page. No No
(SCM Vol. 2, Sect. 3.2.5)
Commercially Useful Function (CUF)
Explain policy and procedures on determining CUF in all procurements with
SB/DVBE participation and requirement for Bidder Declaration and DVBE Yes Yes
44.
Declaration (STD. 843) to be included in solicitations, with exceptions, and No No
completed by bidders. (GC 14837; M&VC 999; and SCM Vol. 2, Sects.
3.2.6-7 & 3.5.8-9)
DVBE Program Requirements and Incentive – Explain the department’s
policies and procedures to comply with DVBE Program Requirements,
how to apply incentive to competitive procurements with DVBE Yes Yes
45.
participation, how to calculate the incentive, and how to document No No
procurement file. (CCR, Title 2, Division 2, Ch. 3, sections 1896.98,
1896.99, and 1896.99.120; and SCM Vol. 2, Sects. 3.5.0 – 3.5.13)
Waiving the DVBE Participation/Incentive Requirement
Explain that the department understands that if at your discretion you waive
Yes Yes
46. the requirement, your 3% annual goal still applies, requirement to complete
No No
the DVBE Incentive Waiver and approval by executive officer. (SCM Vol. 2,
Ch. 3)
SB and Non-SB Subcontractor Preference – Explain your department’s
policy and procedures to apply preference to competitive procurements with
SB participation, exceptions, preference amount and maximum amount, Yes Yes
47.
how to calculate preference, use of Bidder Declaration, and how to No No
document procurement file. (GC 14838(b) and 14838(f) and SCM Vol. 2,
Ch.3)
TACPA Preference Program
Policy and procedures to apply preference to competitive solicitations more
Yes Yes
48. than $100,000, preference amount and maximum preference,
No No
documentation and required approvals. (SCM Vol. 2, Sects. 3.9.0-7; GC
4530-4535)

Page 6 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
State Agency Buy Recycled Campaign (SABRC) Program
Explain program requirements including: Recycled Content Product
purchasing; Recycled preference; Non-compliant trash bag manufacturer
ineligibility for State contracts; supplier certification of recycled content
(PCRC CIWMB Form 74); and recycled tire preference. (SCM Vol. 2, Sects. Yes Yes
49. 3.10.0-9; PCC 12200-12217) No No
http://www.calrecycle.ca.gov/BuyRecycled/StateAgency/Buying.htm
[email protected]
CalRecycle’s website
Environmentally Preferred Purchasing (EPP) – Explain EPP program
requirements, policy to commit to compliance, required commodities to be
purchased, EPP Best Practices, add links to the DGS Buying Green website
and the Buying Green Guide for Buyers website, and describe the
department’s commitment to purchase products that meet the Federal Yes Yes
50. Energy Management Program recommended standards, etc. (SCM Vol. 2, No No
Sects. 3.11.0-3; PCC 12400-12404; EO B-18-12)
http://www.dgs.ca.gov/buyinggreen/Home.aspx
http://www.dgs.ca.gov/buyinggreen/Home/BuyersMain.aspx
Infrastructure-Related Bond Act of 2006
Yes Yes
51. If your department awards infrastructure contracts with proceeds from the I-
No No
Bonds. (SCM Vol. 2, Sects. 3.12.0-9 & GC 14838.1)
Developing Supplier Resources
Explain policy and procedures to broaden supplier base, increase
Yes Yes
52. competition, and solicit SB/DVBE suppliers whenever possible by
No No
establishing supplier mailing lists, using Request for Interest (RFI), etc.
(SCM Vol. 2, Sects. 4.A2.0-4)
Advertising Requirements - California State Contracts Register (CSCR)
State the CSCR advertising requirements, dollar thresholds for Non-IT & IT,
Yes Yes
53. exemptions and exemption process, advertising requirement is eliminated
No No
when using the SB/DVBE Option, required file documentation, etc. (SCM
Vol. 2, 4.A3.1 & SCM Vol. 3, 4.A2.1; GC 14825, 14827.2 & 14838.5(a)).
Informal vs. Formal Solicitations
Yes Yes
54. Define Informal and Formal, types of solicitation documents used, dollar
No No
thresholds, etc. (SCM Vols. 2 & 3, Sect. 4.B1.0)
Phone Quotes
Explain policies and procedures for conducting a phone quote including use
Yes Yes
55. of a ‘script’, referring bidders to PD web page for Bidder’s Instructions and
No No
General Provisions, documenting the quote using the Bid/Quote Worksheet,
location of documents, etc. (SCM Vols. 2 & 3, Sect. 4.B1.1)
Competitive Written Solicitations
Policies and procedures for using written solicitations including: written
solicitation formats (RFQ, IFB, RFP); when you may/must use; advertising
requirement; distribution methods; sample solicitations; supplier signature
requirements; solicitations should be clear and concise; avoid restrictive Yes Yes
56.
requirements; required language; common elements of a written solicitation; No No
faxed bid response language; preference program requirements; solicitation
addenda procedure requirements; documenting results; etc. The P&P must
include sample solicitations and identify where they are located (hardcopy
and web link). (SCM Vols. 2 & 3, Ch. 4 Sect. B)
Obtaining Seller’s Permit – Explain policy requiring seller’s permit for all
purchases of goods, and procedures for buyers to always verify that the
seller’s permit is active by going to the Board of Equalization website
Yes Yes
57. provided at the link below and print the validation page to include in the
No No
procurement file documentation.
https://efile.boe.ca.gov/boewebservices/verification.jsp
(SCM Vol. 2, Sect. 4.B6.3; Vol. 3, Sect. 4.B8.6; PCC 10295.1)

Page 7 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Bidder Instructions & General Provisions
Policy requiring use in all solicitations and add current revision dates for
Bidders Instructions (11/09/11) and General Provisions for Non-IT,
(06/08/2010) and IT (11/27/13). Include the required provisions in
solicitations under $5,000.00 if the GP’s are not used. Bidder Instructions
Yes Yes
58. are required in all competitive solicitations except for IT solicitations over
No No
$1,000,000. Include website link for these documents in the P&P:
https://www.dgs.ca.gov/pd/Resources/ModelLanguage.aspx
Note: IT Special Provisions have been incorporated into the IT General
Provisions (Rev. 11/27/13).
(SCM Vol. 2 Sections 4.B6.0-2 and SCM Vol. 3 Sections 4.B8.0-4)
Fair and Reasonable Pricing Procedures – Explain policy and procedures
on purchases under $5,000, techniques buyers use to determine fair and
reasonable pricing and how to document fair and reasonable. Also add the
following language on Fair and Reasonable: GC 14838.5 (c) states: “if the Yes Yes
59.
estimated value of a transaction is under $5,000.00, a state agency shall No No
obtain at least two price quotations from responsible suppliers whenever
there is reason to believe a response from a single source is not a fair and
reasonable price.” (SCM Vols. 2 & 3, Sects. 4.C1.0 & 4.C2.0)
Supplier Evaluation and Selection
Explain policy and procedures: Evaluator’s Responsibility; Confidentiality;
Evaluation Documentation; Evaluation and Selection Team Procedures; Yes Yes
60.
evaluation documents (Bid/Quote Worksheet, Evaluation & Selection Report No No
(ESR, etc.); public record availability; bid response/award availability; etc.
(SCM Vols. 2 & 3, Ch. 4 Sect. D Topic 1)
Determining Responsive Bid and Responsible Bidder
Explain policy and procedures: define responsive and responsible; how to Yes Yes
61.
determine effective competition; options to take if competition is not No No
achieved; and file documentation. (SCM Vols. 2 & 3, Ch. 4 Sect. D Topic 2)
Award to Other than Low Bidder
Explain policy and procedures in determining low bidder’s non-compliancy;
Yes Yes
62. informal vs. formal solicitation documentation and process; documenting file
No No
in sufficient detail; does not apply to SB/DVBE awards due to
preference/incentive. (SCM Vols. 2 & 3, Ch. 4 Sect. D Topic 2)
Material/Immaterial Deviations
Explain policy and procedures: “requirement or condition” vs. “desirable
Yes Yes
63. attribute or condition”; “material” vs.” immaterial” deviations; determining
No No
responsiveness; Deviation Worksheet; and file documentation. (SCM Vols.
2 & 3, Ch. 4, Sect. D, Topic 4)
Evaluation and Award
Explain policy and procedures: bid submission; fax bids; Procurement
Summary; Bid/Quote Worksheet; Evaluation & Selection Report; Intent to
Yes Yes
64. Award; Notice of Intent to Award; awarding tie bids; IT Value Effective
No No
methodology; two-envelope evaluation; Cost Proposal Certificate; and file
documentation. (SCM Vol. 2, Sect. 4.D5.0-5 & SCM Vol. 3, 4.D5.0-5 &
4.D6.0-3)
Non-Competitively Bid (NCB) & Special Category Request NCB (SCR)
Contracts
Cite NCB legal authority per PCC 10301 & 10302. Explain the policies and
procedures for conducting NCB purchases: these types of contracts should
be used only when fully justified; establish mailing lists using a variety of
means to locate potential suppliers; state your department’s NCB Delegated Yes Yes
65.
Amount per your current Purchasing Authority Approval Letter; NCB’s above No No
this amount need either DGS/PD or CalTech approval; and purchases
exempt from NCB process. SCR’s have no delegated authority; all SCR’s
need DGS/PD approval. Include sample of the NCB Contract Justification
(GSPD-09-007). (PCC 10301, 10302, & 12102; and SCM Vols. 2 & 3,
Chapter 5)

Page 8 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Limit to Brand (LTB)
Explain the policies and procedures for conducting LTB purchases:
determining the need to acquire a specific brand or trade name, Yes Yes
66.
department’s LTB delegated amount, all LTB’s above delegated amount No No
need DGS/PD approval; Limit to Brand Statement (GSPD-08-001), etc.
(PCC 10301,10302, 12102(b); and SCM Vol. 2 & 3, Ch.4, Sect. C, Topic 3)
Exempt Contracts Procedures – based on statute or policy
Procedures should include how to:
 Conduct a purchase that is exempt from competitive bidding and/or
NCB justification processing when the transaction is exempt by statue
or policy
Yes Yes
67.  Develop the solicitation and obtain the price quote from the supplier
No No
 Provide sufficient detail in the procurement file to identify the rationale
to exempt the purchase from competitive bidding or advertising by
stating specific statute or policy.
 Document procurement file identifying how the purchase cost
reasonableness was established. (SCM Vol.2 & 3, Ch. 5 Topic 6 & 7)
Leveraged Procurement Agreements Procurements
Procedures for each type of LPA should include but not limited to the
following areas:
 Review contract, user instructions and supplements on BidSync
 Use of LPA’s not exempt from procurement policies and laws
 Contact State Contract Administrator with questions
 Mandatory vs. Non-Mandatory use
 SB/DVBE Off-ramp policy
 Minimum/Maximum order quantities and dollar amounts
 Requesting exemptions from LPA delegated dollar thresholds
 Appropriate documents to obtain pricing (RFO) & execute orders (STD.
65 or 213) Yes Yes
68.
 No protest language in LPA solicitations No No
 Obtaining multiple offers including SB/DVBE (if required) and
documenting less than 3 offers.
 Verify contract pricing (BidSync, CMAS, GSA, etc.) to support the
pricing offered
 Best Value – Criteria included in solicitation used to assess supplier
offers and determine Best Value
 Where copies of LPA’s are maintained in the department
 Validation of SB and/or DVBE status and validating participation
 Administrative fees for use of LPA’s
The P&P must include sample solicitations and identify where they are
located (hardcopy and web link). (SCM Vol. 2, Chapter 6)
Protests and Post Award Disputes
Explain the process for a Protest of Proposed Award, the Alternative Protest
Yes Yes
69. Process, and a Post-Award Dispute. Add requirements for competitive
No No
solicitation language to be included, protest language not included in LPA
transactions, etc. (SCM Vol. 2, Chapters 6 & 7)
Purchase Document Procedures
Explain your department’s procedures to complete and execute purchase
documents including:
 Which purchase documents to use and when (STD. 65, 213, etc.)
 Instructions on how to properly complete purchase documents
 Explain the purchase document numbering system and who assigns
numbers
Yes Yes
70.  CAL-Card transactions
No No
 CALPIA Orders
 Avoid price bundling
 Consider transportation terms and costs (TMU)
 Amending or cancelling a purchase document
 Explain routing for both internal and external signatures/approvals and
where a current signature authority list can be obtained and provide the
list within the P&P. (SCM Vol. 2, Ch. 8)
Page 9 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
State Contract and Procurement Registration System (SCPRS)
 Who is responsible for registering document
 Explain policy on whether department buyers are to register all
Yes Yes
71. purchase documents regardless of value or only those over $5,000.00
No No
 How to register, eProcurement website link
 Requirement for registration # to be entered on purchase documents
prior to issuing to supplier. (SCM Vol. 2, Sects. 8.1.0–6)
State Sales Tax and Maintenance Sales Tax
Policy on paying sales tax on purchases to include: The State does not pay
federal taxes on purchases, only state sales tax and/or use tax; taxes are
assessed based upon where the products are physically received; use the
Yes Yes
72. latest California Sales and Use Tax rate chart by county found on the Board
No No
of Equalization’s web site Board of Equalization; and for information
regarding maintenance sales tax, refer to Regulation 1502 of the Sales and
Use Tax Regulations of the Business Taxes Law Guide, or contact the
Board of Equalization. (SCM Vol. 2, Sects. 9.A1.5-6)
Payee Data Record (STD. 204)
Explain policy including: regardless of the procurement approach
(competitive, NCB, LPA, etc.), a Payee Data Record (STD.204) must be
obtained from a supplier prior to executing a purchase document whenever
a department engages in an activity leading to a payment to an entity other
Yes Yes
73. than a government entity; the completed STD.204 must be provided to the
No No
department’s accounting office or business services unit and must be
attached to the purchase document; it is the buyer’s responsibility when
obtaining a copy of a supplier’s LPA contract to ensure a completed
STD.204 is included or the buyer must obtain a completed STD.204 from
the supplier. (SCM Vol. 2, Sects. 9.A4.0-2; SAM 8112.3 & 8422.190)
Payment of Invoices
Explain the department’s policy including: remind suppliers of the
importance of submitting accurate and correct invoices; department must
not pay for anything that is not in the purchase document (pallets, shipping,
Yes Yes
74. travel costs, etc.); components of an accurate invoice; Tracking payment
No No
timeliness (Prompt Payment Act); prompt payment discounts; completing
the Invoice Dispute Notification (STD. 209); and a reminder to maintain a
separation of duties. (SCM Vol. 2, Sects. 9.A5.0-5 & CCR, Title II, Sect.
1895.8)
Prompt Payment Act
Explain policy and procedures in compliance with the Prompt Payment Act:
include date stamping invoices upon receipt; disputing incorrect invoices
Yes Yes
75. within 15 days after receipt; use of the Invoice Dispute Notification (STD.
No No
209); automatic authorization and payment of Late Payment penalties; and
Late Payment Penalty reporting. (SCM Vol. 2 Sect. 1.A3.0 & 9.B20-1, Ch.
12 & GC 927)
Cal-Card Program
Identify the Cal-Card Coordinator, their roles and responsibilities, DGS/PD
on-line training required for the Coordinator and all staff issued a Cal-Card,
and how the department ensures that cardholders adhere to purchasing
authority requirements. Include: Payment mechanism only; Splitting
purchases; what Cal-Card can be used for and what it can’t be used for; Yes Yes
76.
Staff roles and responsibilities; Executing purchases valued $2,500 and No No
over and purchases less than $2,500; required purchase and supporting
documents; and file documentation. Include the link below for information
about the program and on-line training.
Cal-Card Training: http://www.dgs.ca.gov/pd/Programs/CALCard.aspx
(SCM Vol. 2, Ch. 9, Sect. B)

Page 10 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Receiving, Inspection, Acceptance Testing and Acceptance or
Rejection
Procedures for taking possession of purchased goods and accepting
service deliverables including: receiving; inspection; acceptance and/or
rejecting stock; following up on open purchase documents; substitution of
Yes Yes
77. goods; supplier performance evaluations; asset management; and reporting
No No
lost, stolen, or destroyed property. Include the processes for completion of
the Stock Received Report (STD. 106), Returned Stock Report (STD. 108),
Supplier Performance Report (web link or sample), Property Survey Report
(STD. 152); and the Contract Evaluation Report (STD. 4).
(SCM Vol. 2, Ch. 10; SAM 3520. 3861, 8422.20, 8602, 8643, 8651, 20080)
Official Procurement File Procedures
Policy/procedure on proper documentation of all procurement files, location
of files, access to files, documentation requirements including File
Documentation Checklists maintained in each procurement file, identify
exceptions from file requirements (i.e. If the STD.204 is not in the file where
is it located), sample checklists located in P&P & web link. Checklists need
to include but are not limited to:
a. All correspondence, written, electronic, and record of verbal
b. Department specific procurement documents
c. Purchase Request/Requisition and Justification
d. All required approval documents
e. PIA Waiver
f. DVBE Waiver
g. Conflict of Interest/Incompatible Activities Statements
h. Confidentiality Statements
i. Copy of Request for Information (RFI)
j. Exemption by Statute or DGS Policy Documentation
k. Approved NCB/LTB Justification
l. Solicitation (RFO, RFQ, IFB, RFP, etc.) and all Addenda
m. All Solicitation Attachments (Cost Worksheets, Technical
Specifications, SOW, General Provisions, Bidder Instructions, etc.)
n. List of solicited suppliers and contact information
o. Documentation of supplier non-response
p. All Solicitation Responses
q. Fair & Reasonable Evaluation Yes Yes
78. r. Phone Quote Worksheet No No
s. Bid/Quote Worksheet
t. Evaluation and Selection documents
u. Documentation of award to other than low bidder
v. Award/Purchase/Contract documents (STD. 65, 213, 215, etc.),
Attachments and Amendments
w. Protest documents
x. Payee Data Record (STD 204)
y. Seller’s Permit, BOE Validation, and SOS Corporate Qualification
Verification
z. PCRC Cert
aa. Copy of CSCR add
bb. Certificate of Compliance with State IT Policies
cc. DMCP justification
dd. Darfur Certification
ee. Bidder Declaration, DVBE Declaration
ff. SB/DVBE Certifications
gg. SB Preference and DVBE Incentive calculation documentation
hh. CUF Certification
ii. Copy of LPA cover page and price pages
jj. Copy of entire LPA (as required)
kk. SCPRS registration
ll. Copy of Notice of Contract Award (STD. 16)
mm. Copy of Stock Received Report (STD. 106)
nn. Copy of Stock Returned Report (STD. 108)
oo. Procurement Summary, Evaluation & Selection Report (ESR), etc.

Page 11 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS

DGS USE ONLY DGS USE ONLY
Non-IT IT
# Desktop Manual Component Page(s)
Non-IT
Page(s)
IT
Compliant Compliant
Contract Administration
Explain policies and procedures for post-award activities including: contract
administrator roles and responsibilities; post-award buyer involvement; post-
Yes Yes
79. award orientations; monitoring the performance of the contract; completion
No No
of the Contractor Evaluation report (STD. 4); maintaining ethical standards;
proper documentation; record retention; and establishing procurement files.
(SCM Vol. 2, Chapters 2 & 11; SAM 3504)
Reporting Requirements
Policy on what reports are required, report due dates, and where to submit.
If applicable:
 Purchasing Authority Activity Reporting
 Data Center Interagency Agreement Quarterly Report
 Annual Contracting Activity Report (STD. 810) Yes Yes
80.
 Late Payment Penalty Reporting No No
 Contract Award Report (STD. 16)
 Report of Independent Contractors (DE 542)
 State Agency Buy Recycled Campaign (SABRC) Report
(SCM Vol. 2, Ch. 12; PCC 10111 & 12200-12217; MVC 999; GC 927 7
19130; 2 CCR 8117.5; & UIC 1088.8)

In addition to all the above requirements which apply to both non-IT and IT procurements, the requirements below need to
be included in your P&P Desktop manual for IT procurements only.
DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS IT ONLY
DGS USE ONLY
# Desktop Manual Component Page(s) Compliant

Defining an IT Procurement
Yes
1. Explain differences and give examples of: IT Goods, IT Supplies, IT Goods Not Considered Supplies,
No
and IT Services. (SCM Vol. 3, Section B, Topic 2, SAM 4819.2)
Leasing Equipment
Policy and procedures for department to perform a lease vs. purchase cost analysis; factors to be Yes
2.
considered; Lease Versus Purchase Analysis form; Purchase Option Credits; lease purchases via GS No
$Mart or Lease $Mart; etc. (SCM Vol. 3, Sects. 2.B4.4–7; SAM 3700 et seq.)
Desktop Mobile Computing Policy and Coordinator
Procedure on how the department will comply with the Desktop Mobile Computing policy,
Yes
3. allowed/excluded purchases, identify DMCP Coordinator and their roles & responsibilities, and
No
procurement file documentation requirements. (BL 04-26, SAM 4800, 4989–4989.8, 4819.2–4819.42;
& SCM Vol. 3, Sects. 2.B7.0-2)
Certificate of Compliance with State IT Policy
Explain policy and procedures for compliancy with this requirement including: when is a Certification of
Compliance required (IT purchase over $100,000); when the certification will be authorized and by
Yes
4. who; the signed certificate will be retained in the procurement file; how the buyer will document the
No
procurement file when the IT expenditure is exempt from SAM 4819 – specifically how the exclusions
identified in SAM 4819.32 will be supported in the procurement file. (SAM 4819.2, 4819.32; and SCM
Vol. 3, Sects. 2.C6.0–2

Page 12 of 13
Department of General Services Procurement Policies and Procedures Manual Checklist
Procurement Division Attachment 1
GSPD 13-005 (Rev.06/14)
In addition to all the above requirements which apply to both non-IT and IT procurements, the requirements below need to
be included in your P&P Desktop manual for IT procurements only.

DESKTOP MANUAL POLICY & PROCEDURE REQUIREMENTS IT ONLY

DGS USE ONLY
# Desktop Manual Component Page(s) Compliant

Procurement Activity Review and Approvals

Identifies when and how to obtain approvals (both departmental and/or outside the department) prior
to conduction the procurement activity.
Procedure should include:
 What information will be required to be submitted to the procurement office to justify and support
the IT expenditure
 Initial buyer review of purchase requisition to ensure it includes: all approvals/signatures; is in
compliance with equipment standards; has justifcation to support procurement; any special
requirements are met; has funding authority; addresses any budgetary and timing constraints; has
all external reviews/waivers/approvals; project coordination with all department program areas; and Yes
5.
in-house legal participation as needed. No
 How buyers obtain other approvals as may be required: CalTech; Project Approval; Feasibility
Study Reports (FSR); Special Project Report (SPR); Post Implementation Evaluation Report
(PIER); Telecommunications approval; Voice and Data Services; Personal Communications
Devices (PCD); etc.
 IT Project Authority: If the department has been granted, or is requesting, IT purchasing authority,
explain the difference between CalTech IT project authority vs. DGS/PD IT purchasing authority
and state the CalTech IT Project Authority level.
(SCM Vol. 3, Sects. 2.C3.0–7 & 2.C4.0-7; GC 11545; SAM 4500 et seq., 4800 et seq., 4989, 5200,
6700-6780; and SIMM)

Page 13 of 13