Chapter 12 - Reporting Requirements

Chapter 12
REPORTING REQUIREMENTS
PAM Revision 3 - September 2005

Table of Contents

Overview
Introduction
Contents
Section A - Purchasing Authority Reports
Overview
Introduction
Contents
Topic 1 - Purchasing Authority Activity Reporting
12.A1.0 Reporting
12.A1.1 Due dates
12.A1.2 How to report
12.A1.3 Where to submit
12.A1.4 Summary Report
12.A1.5 Non-reportable transactions
Topic 2 - Data Center Interagency Agreement Quarterly Report
12.A2.0 Data center inter-agency quarterly report
12.A2.1 Due dates
12.A2.2 Where to submit
Topic 3 - Non-Competitively Bid (NCB) Contract Quarterly Reporting
12.A3.0 NCB contract quarterly reporting
12.A3.1 Due dates
12.A3.2 How to report
12.A3.3 What to report
12.A3.4 Reporting no activity
12.A3.5 Non-reportable transactions
12.A3.6 Required actions
Topic 4 - Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report
12.A4.0 Reporting requirement
12.A4.1 Due dates
12.A4.2 Reporting no activity
12.A4.3 How to report
Section B - Additional Acquisition Reporting Requirements
Overview
Introduction
Contents
Topic 1 - Ethnicity, Race, Gender and Minority, Women, DVBE Reporting
12.B1.0 Reporting suspended
12.B1.1 Reporting requirement
12.B1.2 Data collection
12.B1.3 How to report
12.B1.4 Due date
Topic 2 - Contracting Activity Report (STD.810)
12.B2.0 SB, microbusiness and DVBE participation
12.B2.1 Contracting activity report
12.B2.2 Improvement plan outline
12.B2.3 Due dates
12.B2.4 How to report
Topic 3 - Contract Award Report
12.B3.0 Requirement
12.B3.1 How to report
Topic 4 - Report of Independent Contractor(s
12.B4.0 Reporting on independent contractors
12.B4.1 How to report
12.B4.2 Questions
12.B4.3 Additional information
Topic 5 - Consulting Services Contract Report
12.B5.0 Reporting consulting services
12.B5.1 Definition
12.B5.2 Due date
12.B5.3 How to report
Topic 6 - Late Payment Penalty Report
12.B6.0 Report requirements
12.B6.1 How to report
Topic 7 - State Agency Recycled Campaign Procurement Report
12.B7.0 Suspended reporting
12.B7.1 Report requirements
12.B7.2 Due date
12.B7.3 How to report
Topic 8 - Calendar of Reports
12.B8.0 Calendar of reports

Overview

This chapter provides a review of reporting requirements applicable to a department's purchasing authority program as well as any other reports impacting the acquisition process. Also included in this chapter is access to a calendar of reports associated with State purchasing to assist departments with reporting requirements and submittal dates.

This chapter contains the following sections:

Section A - Purchasing Authority Reporting Requirements
Section B - Additional Acquisition Reporting Requirements

Section A - Purchasing Authority Reports

Overview

This section consists of the reporting requirements specific to a department's purchasing authority program.

This chapter contains the following topics:

Topic 1 - Purchasing Authority Activity Reporting
Topic 2 - Data Center Interagency Agreement Quarterly Report
Topic 3 - Non-Competitively Bid (NCB) Contract Quarterly Reporting
Topic 4 - Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report

Topic 1 - Purchasing Authority Activity Reporting

12.A1.0  Reporting

Departments must report to DGS/PD all transactions including amended and cancelled transactions executed under its purchasing authority. The categories of authority for transactions that must be reported are identified in Chapter 1 - Purchasing Authority and may include but are not limited to:

• Purchasing Authority Purchase Orders (STD.65)
• Standard Agreements for IT Goods and Services Only (STD.213) with a completed Agreement Summary (STD.215) as the cover document.

Some transactions are reported directly to DGS/PD upon execution and, therefore, departments should not report those transactions as directed in this section. Submission of these transactions as directed in this section will result in duplication of DGS administrative fee charges to the department. These transactions include:

• Transactions entered directly into the Procurement Information Network (PIN).
• Transactions entered directly into the CalBuy System.
• Transactions executed electronically as allowed by the individual LPA, if the LPA specifically states that hard copy reporting is not required.

12.A1.1  Due dates

Departments must submit a copy of each executed purchase document, regardless of the form used, no less frequently than monthly, by the tenth of the month following the reporting period. Departments may submit transactions more often than monthly if the department so chooses.

12.A1.2  How to report

Departments must ensure that submitted transactions are:

• Batched separately by type of purchasing authority, non-IT and IT
• Batched separately by category of transaction
• Clear, legible, and complete in every detail

Note:
Customer departments that have entered into standard agreements for consolidated data center services with the Department of Technology Services (previously known as TDC and HHSDC) are not to submit copies of the standard agreement to DGS/PD. It is the responsibility of the data center to report these transactions in accordance with the data centers delegation granted by DGS/PD.

12.A1.3  Where to submit

Departments will submit transactions executed under their purchasing authority:

By IMS to:
Z-1
DGS/Procurement Division
Attn: Data Entry Unit - Second Floor
707 Third Street, Second Floor North
West Sacramento, CA 95605

By Mail to:
Department of General Services
Procurement Division
Data Entry Unit - Second Floor North
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand-Delivered to:
DGS/Procurement Division
Data Entry Unit
707 Third Street, Second Floor North
West Sacramento, CA 95605

12.A1.4  Summary Report

The option of using the Summary Report is no longer available. If a department is currently using the Summary Report and discontinuation of its use will adversely impact the department, the department should contact the PAMS to discuss an extension of time for its use.

Exception:
Consolidated Data Centers (Department of Technology Services previously known as TDC and HHSDC) that conduct activities under Data Center Agreement Purchasing Authority (DIA) will continue to report their transactions using the summary report unique to the data center purchasing authority granted by DGS/PD. Refer to Section A, Topic 2 of this chapter

12.A1.5  Non-reportable transactions

The following procurement activities are not under DGS/PD-approved purchasing authority and should not be reported:

• Non-IT services that were not executed as an LPA order.
• Individual memberships.
• Organizational memberships in non-IT organizations.
• Opportunity purchases executed by District Agricultural Associations (DAA).
• CAL-Card transactions for non-LPA purchases valued less than $5,000 that were executed without issuing a purchase document.
• Transactions executed using a Sub-Purchase Order (STD.40A), including those executed using a STD.65 when the STD.65 is used in lieu of the STD.40A.

Topic 2 - Data Center Interagency Agreement Quarterly Report

12.A2.0  Data center inter-agency quarterly report

The Department of Technology Services (previously known as TDC and HHSDC) that conducts state data center activities under a DIA purchasing authority must submit the Data Center Interagency Agreement Quarterly Report on a quarterly basis by fiscal year, by the tenth of the month following the reporting period as follows:

Click here to access:
the DIA Quarterly Report in Word format
the DIA Quarterly Report in PDF format

12.A2.1  Due dates

DIA quarterly reporting periods and the related submission dates are as follows:

Note:
When the report submission due date falls on a weekend or on a state-recognized holiday, reports will be due on the first next working day following the weekend or holiday.

12.A2.2  Where to submit

The consolidated data center must submit a DIA quarterly report regardless of whether or not the department executed reportable transactions. Reports must be complete and legible and must be submitted as follows:

By IMS to:
Z-1
DGS/Procurement Division
Purchasing Authority Management Section
Attn: DIA Quarterly Report
707 Third Street Second Floor South
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Purchasing Authority Management Section, Second Floor South
Attn: DIA Quarterly Report
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand-Delivered to:
DGS/Procurement Division
Purchasing Authority Management Section
Attn: DIA Quarterly Report
707 Third Street, Second Floor South
West Sacramento, CA 95605

Topic 3 - Non-Competitively Bid (NCB) Contract Quarterly Reporting

12.A3.0  NCB contract quarterly reporting

Departments granted purchasing authority for NCB contracting (non-IT and/or IT) are required to complete and submit an NCB Contract Quarterly Report reporting all NCB purchase documents valued at $25,000.00 and under executed during the reporting period.

Click here to access:
the Non-Competitively Bid Contract Quarterly Report in Word format
the Non-Competitively Bid Contract Quarterly Report in PDF format

Note:
NCB contract quarterly reporting is separate and in addition to the purchasing authority activity reporting discussed in Topic 1 of this chapter.

12.A3.1  Due dates

NCB quarterly reporting periods and the related submission dates are as follows:

Note:
When the report submission due date falls on a weekend or on a state-recognized holiday, reports will be due on the first next working day following the weekend or holiday.

12.A3.2  How to report

Departments must submit an NCB Contract Quarterly Report regardless of whether the department executed reportable transactions, quarterly by fiscal year, by the tenth of the month following the reporting period. Reports must be complete and legible and must be submitted as follows:

By IMS to:
Z-1
DGS/Procurement Division
Purchasing Authority Management Section
Attn: NCB Contract Quarterly Reporting
707 Third Street Second Floor South
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Purchasing Authority Management Section, Second Floor South
Attn: NCB Contract Quarterly Reporting
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand-Delivered to:
DGS/Procurement Division
Purchasing Authority Management Section
707 Third Street, Second Floor South
West Sacramento, CA 95605

12.A3.3  What to report

A complete NCB contract quarterly report includes:

• NCB Contract Quarterly Report document.
• Copy of the purchase document (STD.65 or Standard Agreement for IT goods and services STD.213) for each reported transaction.
• Copy of the approved NCB Contract Justification for each respective purchase document.

12.A3.4  Reporting no activity

Departments are required to submit an NCB contract quarterly report even though there has not been any NCB activity during a given reporting period. In those cases, departments check the appropriate box located in the upper right hand corner of the NCB contract quarterly report under "Reporting Period" identifying: "No NCB transactions processed during this reporting period."

12.A3.5  Non-reportable transactions

Departments must not report the following types of transactions on the NCB Contract Quarterly Report:

• Transactions valued at less than $5,000.00 unless awarded as an NCB.
• Leveraged Procurement Agreements orders unless awarded as an NCB and executed under the department's purchasing authority:
  • CMAS
  • Master Agreements, including Western States Contracting Alliance
  • Statewide contracts
  • State Price Schedules
• Emergency Purchases (Form 42) authorized by DGS/PD.
• For departments with purchasing authority exceeding $25,000, NCB contracts approved by DGS/PD and executed by the department.
• Transactions(s) for non-IT services.
• Purchase Estimates (STD.66) submitted to DGS/PD for processing.
• Purchase documents issued by DGS/PD on a department's behalf.
• Transaction(s) $100.00 and under.
• Prison Industry Authority (PIA) orders.
• Community Rehabilitation Program (CRP) orders.
• Opportunity Purchases (District Agricultural Associations only).

12.A3.6  Required actions

Departments with NCB contract approval authority must:

• Submit NCB contract quarterly reports in a timely fashion.
• Completely and adequately justify NCB contract.
• Obtain required approvals for NCB contracts.
• Execute NCB purchase documents only within the department's NCB contract approval and purchasing authorities.

Warning:
Departments that fail to adhere to these reporting requirements could jeopardize their NCB contract approval authority, including reduction or revocation of the department's NCB contract approval purchasing authority.

Topic 4 - Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report

12.A4.0  Reporting requirement

In accordance with GCC section 14977.5 the following departments are required to participate in the DGS/PD prescription drug bulk purchasing program:

• Corrections and Rehabilitation
• Developmental Services
• Mental Health and,
• Any department that elects to participate in the prescription drug bulk purchasing program.

Those departments participating in the bulk purchasing program are also required to report information on prescription drugs purchased outside of the bulk purchasing program. The information being reported will assist the DGS/PD in assuring that the drug needs of the participating departments are continually being met.

Click here to access:
the Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report in Word format
the Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report in PDF format

12.A4.1  Due dates

Quarterly reporting periods and the related submission dates for the Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program reports are as follows:

Note:
When the report submission due date falls on a weekend or on a state-recognized holiday, reports will be due on the first next working day following the weekend or holiday.

12.A4.2  Reporting no activity

Participating departments are required to submit a quarterly report on prescription drug purchases made outside of the bulk purchasing program even though there has not been any activity during a given reporting period.

In those cases, participating departments check the appropriate box located in the upper right hand corner of the quarterly report under "Reporting Period" identifying: "No applicable transactions processed during this reporting period."

12.A4.3  How to report

Departments must submit a Prescription Drugs Purchased Outside of the Prescription Drug bulk Purchasing Program Quarterly Report regardless of whether the department executed reportable transactions, quarterly by fiscal year, by the tenth of the month following the reporting period. Reports must be complete and legible and must be submitted as follows:

Click here to access:
the Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report in Word format
the Prescription Drugs Purchased Outside of the Prescription Drug Bulk Purchasing Program Quarterly Report in PDF format

By IMS to:
Z-1
DGS/Procurement Division
Purchasing Authority Management Section
Attn: Prescription Drug Quarterly Reporting
707 Third Street Second Floor South
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Purchasing Authority Management Section, Second Floor South
Attn: Prescription Drug Quarterly Reporting
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand-Delivered to:
DGS/Procurement Division
Purchasing Authority Management Section
707 Third Street, Second Floor South
West Sacramento, CA 95605

Section B - Additional Acquisition Reporting Requirements

Overview

The section provides a review of other reporting requirements applicable to a department's acquisition process.

This chapter contains the following topics:

Topic 1 - Ethnicity, Race, Gender and Minority, Women, DVBE Reporting
Topic 2 - Contracting Activity Report (STD.810)
Topic 3 - Contract Award Report
Topic 4 - Report of Independent Contractor(s)
Topic 5 - Consulting Services Contract Report
Topic 6 - Late Payment Penalty Report
Topic 7 - State Agency Recycled Campaign Procurement Report
Topic 8 - Calendar of Reports

Topic 1 - Ethnicity, Race, Gender and Minority, Women, DVBE Reporting

12.B1.0  Reporting suspended

This report is suspended from department reporting until January 2008 as a result of AB 79 (Chapter 408, Statutes of 2004).

12.B1.1  Reporting requirement

PCC section 10116 requires departments to capture information regarding the level of participation of business enterprises by race, ethnicity, and gender of owner in the categories of goods, services, construction and all contracts.

12.B1.2  Data collection

The Voluntary Statistical Data Sheet (VSDS) was developed to assist departments in data collection regarding the ethnicity, race and gender of business owners companies that have been awarded State contracts. The completion of the questionnaire is strictly on a voluntary basis. To encourage participation, departments will enclose a self-addressed envelope as an incentive for business owners to complete and return the questionnaire. The information collected from the VSDS is used to complete the Ethnicity, Race, Gender, and Minority, Women, DVBE (ERGMWDVBE) Business Ownership Report.

Click here to access the Voluntary Statistical Data Sheet.

12.B1.3  How to report

The results collected from the VSDS data is compiled by departments to prepare the Ethnicity, Race, Gender, and Minority, Women, DVBE Business Ownership (ERGMWDVBE) Report.

Click here to access the ERGMWDVBE Business Ownership report.

12.B1.4  Due date

The ERGMWDVBE Business Ownership Report must be submitted to the Governor and the Legislature no later than January 1st of each fiscal year.

Topic 2 - Contracting Activity Report (STD.810)

12.B2.0  SB, microbusiness and DVBE participation

As discussed in Chapter 3, Socioeconomic and Environmental Programs, departments are required to place a fair share of State purchasing and contracts with SB, DVBE and microbusinesses (MB). GC Section 14840 and Military and Veteran Code Section 999.7 require that departments report annually on the progress of these activities.

12.B2.1  Contracting activity report

DGS/PD Small Business and DVBE Services Branch is the centralized point to complete and distribute to the Legislature and the Department of Veteran Affairs the Contracting Activity Report (STD.810) on an annual basis providing statistical information on departments' small business, microbusiness and DVBE contracting activities for each fiscal year.

Click here to access the STD.810 report.

12.B2.2  Improvement plan outline

When a department does not meet the required state contracting participation goal(s) for SB (at least 25%) and/or DVBE (at least 3%), an Improvement Plan must be developed and submitted with the annual Contracting Activity Report (STD.810). The DVBE and/or SB improvement plan(s) must be submitted with the annual Contracting Activity Report. A DVBE improvement plan must be submitted with the annual DVBE Participation Report.

Click here to access the Improvement Plan Outline.

12.B2.3  Due dates

Departments are required to complete and file with the DGS Report Coordinator and other required entities a completed STD.810 twice during the fiscal year, a mid-year report and an annual report.

Click here to access the Legislative Report Due Dates, Distribution Forms and Instructions web page.

12.B2.4  How to report

Departments will submit these reports to the DGS Report Coordinator as follows:

By IMS:
Z-1
DGS/Procurement Division
Small Business and DVBE Services Branch
Attn: STD. 810 Report Coordinator
707 Third Street, First Floor, Room 400
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Small Business and DVBE Services Branch, First Floor, Room 400
Attn: STD. 810 Report Coordinator
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand Delivered to:
DGS/Procurement Division
Small Business and DVBE Services Branch
Attn: STD. 810 Report Coordinator
707 Third Street, First Floor, Room 400
West Sacramento, CA 95605

Topic 3 - Contract Award Report

12.B3.0  Requirement

In accordance with the CCR Title 2, Division 4, Chapter 5, section 8117.5, all departments will notify the Department of Fair Employment and Housing (DFEH) of any contract award in excess of $5,000.00. This requirement shall be met by completing a Contract Award Report (STD.16) for all non-IT and IT goods and services purchase documents issued under any purchasing category (competitive, NCB, LPA, etc.).

Click here to access the STD.16.

12.B3.1  How to report

Each completed report will be mailed within 10 days of contract award as follows:

Office of Compliance
Department of Fair Employment and Housing
2218 Kausen Drive
Elk Grove, CA 95758

A copy of the completed form will be retained in the department's procurement file.

Topic 4 - Report of Independent Contractor(s)

12.B4.0  Reporting on independent contractors

California's Unemployment Insurance Code section 1088.8 requires businesses and government entities to report specified information to the Employment Development Department (EDD) on independent contractors. The information gathered as a result of this report assists EDD in locating parents delinquent in child support obligations.

Click here to access the Report of Independent Contractors (DE 542).

12.B4.1  How to report

Departments must report to EDD within twenty (20) days of either making payments totaling $600 or more OR entering into a contract for $600 or more with an independent contractor in any calendar year, whichever occurs first.

Reports must be submitted as follows:

Employment Development Department
P.O. Box 997350 MIC 99
Sacramento, CA 95899-7350

12.B4.2  Questions

Departments with questions regarding independent contractor determinations should contact either their department's human resources section or EDD for assistance. Departments should also review GC section 19130(c) for compliance.

12.B4.3  Additional information

Click here for additional information located on EDD's web page.

Topic 5 - Consulting Services Contract Report

12.B5.0  Reporting consulting services

PCC section 10359 requires departments to report on an annual basis all consulting services contracts that have been entered into, amended or completed during each fiscal year.

Click here to access the Consulting Services Contract Report.

12.B5.1  Definition

PCC section 10335.5 defines "Consulting Service Contracts" as services of an advisory nature, where 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 for which paid expertise is retained by contract.

12.B5.2  Due date

The Consulting Services Contract Report providing statistics for prior year activity must be submitted to the following entities by mid-September of each year.

• DGS
• Legislative Analyst
• Department of Finance
• Auditor General
• Joint Legislative Budget Committee
• Joint Legislative Audit Committee
• Senate Appropriations Committee
• Assembly Appropriations Committee

Click here to access the Legislative Report Due Dates, Distribution Forms and Instructions web page.

12.B5.3  How to report

The completed report for DGS will be submitted to the attention of:

By IMS to:
Z-1
DGS/Procurement Division
Small Business and DVBE Services Branch
Attn: Report Coordinator
707 Third Street, First Floor, Room 400
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Small Business and DVBE Services Branch, First Floor, Room 400
Attn: Report Coordinator
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand Delivered to:
DGS/Procurement Division
Small Business and DVBE Services Branch
Attn: Report Coordinator
707 Third Street, First Floor, Room 400
West Sacramento, CA 95605

Topic 6 - Late Payment Penalty Report

12.B6.0  Report requirements

The Prompt Payment Act, GC Section 927 et. seq. requires departments to submit an annual report to the DGS Director on late payment penalties that were paid during the preceding fiscal year.

Click here to access the Prompt Payment Program web page.

12.B6.1  How to report

The Late Payment Penalty Report is due by September 30th as follows:

By IMS to:
Z-1
DGS/Procurement Division
Prompt Payment Program
707 Third Street Second Floor South
West Sacramento, CA 95605

By Mail to:
DGS/Procurement Division
Prompt Payment Program, Second Floor South
P.O. Box 989052
West Sacramento, CA 95798-9052

Hand Delivered to:
DGS/Procurement Division
Prompt Payment Program
707 Third Street, Second Floor South
West Sacramento, CA 95605

Click here to access the Late Payment Penalty Report.

Topic 7 - State Agency Recycled Campaign Procurement Report

12.B7.0  Suspended reporting

This report is suspended from department reporting until January 2008 as a result of AB 79 (Chapter 408, Statutes of 2004).

12.B7.1  Report requirements

Departments are required by PCC sections 12200-12320 to report purchases annually to the California Integrated Waste Management Board (CIWMB) identifying total dollar amounts of all products purchased in each of the 12 reportable categories and the total amount spent on recycled-content products (RCP) in each reportable category.

12.B7.2  Due date

Reports are due to CIWMB as follows:

12.B7.3  How to report

To assist departments with tracking reportable product purchases, the CIWMB has developed a Procurement Report Worksheet. It is available in the SABRC Training Manual.

Reports must be submitted as follows:

SABRC Assigned staff (found on reverse of form)
CIWMB, MS 12
P.O. Box 4025
Sacramento, CA 95812-4025

Click here to access the worksheet and the SABRC Training Manual.

Topic 8 - Calendar of Reports

12.B8.0  Calendar of reports

Click here to access the Calendar of Reports.

Chapter 12 - September 2005 - PAM Revision 3