THE CALIFORNIA STATE UNIVERSITY
Subject: Delegations of Authority
OFFICE OF THE UNIVERSITY AUDITOR
Location:
Audit #: 01XX
Preparer: JM Date: June 8, 2001
Reviewer:
Date:
DELEGATIONS OF AUTHORITY
Request for Documents
We would appreciate having the following information available for us at the start of our review of
Delegations of Authority, especially items D22 and D23 from which we will immediately select our
samples and request corresponding documents. This review encompasses several functions, including
procurement, real property leasing, certain property transactions, and motor vehicle inspections and
use, which will necessitate coordination with several areas. It is not necessary for you to make copies
of these documents. We will make any necessary copies while at the campus. Please number the
requested documents to correspond with the applicable numbered item in this request. Based on prior
audits, we have found that an advance request for information reduces our time on the campus.
D1.
A campus telephone directory.
D2.
A procurement function organization chart, including the names and working titles of all
employees, corresponding job descriptions, and any functional flow charts.
D3.
All studies, reviews, audits, customer satisfaction surveys, or reports concerning the procurement
function that have been prepared/received within the last two years. In addition, procurement
department goals for FY 99-00 and FY 00-01, including corresponding goal accomplishments.
D4.
All written campus policy statements and procedures manuals pertaining to the procurement
function, including, but not limited to:
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Personal property procurement, including attainment of recycling goals
Procurement of services, including use of service orders and CSCR advertising
Information technology resources (ITR) procurement
Independent contractors/consulting agreements
Sourcing options and alternatives
Bidding requirements and exceptions
Procurement cards
Low value purchases and direct payments
Vendor protests, disputes and complaint handling
Maintenance of vendor and contractor files
Attainment of disabled veteran business enterprise participation goals
Preferences for small businesses, target areas, and enterprise zones
Use of community rehabilitation programs/workshops and the Prison Industry Authority
DoA-docreq.revised
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THE CALIFORNIA STATE UNIVERSITY
Subject: Delegations of Authority
OFFICE OF THE UNIVERSITY AUDITOR
Location:
Audit #: 01XX
Preparer: JM Date: June 8, 2001
Reviewer:
Date:
D5.
A list, which includes the names and titles, of all employees who have delegated authority to
approve/execute various purchasing and contracting (including information technology
resources) documents and dollar level approval authority. In addition, copies of any
corresponding written/formalized delegations.
D6.
A list of campus units that may have been delegated the authority for any purchasing or
contracting activities, including the use of procurement cards, low value purchases, direct
payments, etc. In addition, copies of any corresponding written/formalized delegations and
specific written policies and procedures.
D7.
A list of all purchase transactions sent to the Chancellor’s Office for review and approval during
FY 00-01.
D8.
A list of all emergency purchase transactions during FY 00-01.
D9.
A list of all sole source purchase transactions during FY 00-01.
D10.
A list of all procurement cardholders, including purchase limits and approving officials, and any
analyses of card usage.
D11.
A list of all vendor protests, disputes and complaints filed during FY 00-01.
D12.
A list of all vendors excluded from bidding during FY 00-01, including the date they were
excluded and the date reinstated.
D13.
The most recent annual Disabled Veteran Business Enterprise (DVBE) activity report with the
supporting documentation used in its preparation.
D14.
The most recent quarterly report sent to the Office of Small and Minority Business (OSMB)
concerning the number and amount of contracts and purchase orders awarded to small businesses
with the supporting documentation used in its preparation.
D15.
A list of all vendors and contractors granted Target Area Preference Act and/or Enterprises Zone
Act preferences during FY 00-01.
D16.
A list of all procurements from a public or private nonprofit CA corporation operating a
community rehabilitation program or workshop serving persons with disabilities during FY 00-01
with the supporting documentation to show that they were qualified under the provisions of the
Welfare and Institutions Code §19403.
DoA-docreq.revised
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THE CALIFORNIA STATE UNIVERSITY
Subject: Delegations of Authority
OFFICE OF THE UNIVERSITY AUDITOR
Location:
Audit #: 01XX
Preparer: JM Date: June 8, 2001
Reviewer:
Date:
D17.
A list of all procurements from the Prison Industry Authority (PIA) during FY 00-01 and a list of
any waiver received from the PIA.
D18.
The contract checklist used by the campus, if any.
D19.
The most recent four quarterly reports of contracts awarded sent to the Department of Fair
Employment and Housing.
D20.
The most recent annual report sent to the CA Integrated Waste Management Board (CIWMB)
concerning the campus recycling acquisition activity with the supporting documentation.
D21.
A list of all ITR procurements during FY 00-01.
D22.
Printouts and an electronic file (that can be imported into MicroSoft Excel spreadsheet) of all
FY 00-01 purchasing documents within the following dollar stratifications. We would like the
printouts in two formats for each type of document. One sort would be in chronological order
and the other sort would be by vendor. Both sorts should be within the following dollar
stratifications. All individually listed documents within each dollar stratification should, at a
minimum, list the document number, date, vendor name, vendor number and amount, and the
campus account charged. Also, please provide a total document count and details of any coding
scheme used to distinguish various types of purchases..
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Purchase Orders:
* Under $10,000
* $10,000 - $24,999
* $25,001 - $249,999
* $250,000 +
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Service Contracts: **
* Under $50,000
* $50,000 - $249,999
* $250,000 +
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Service Orders:
* Just list: no dollar stratification needed
** Please identify/highlight all consultant contracts on the contracts lists
DoA-docreq.revised
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THE CALIFORNIA STATE UNIVERSITY
Subject: Delegations of Authority
OFFICE OF THE UNIVERSITY AUDITOR
Location:
Audit #: 01XX
Preparer: JM Date: June 8, 2001
Reviewer:
Date:
D23.
A listing of all motor vehicles currently owned or leased by the campus, specifying whether
owned or leased, ID and/or tag numbers, model year, year purchased, description, location,
vehicle type (i.e., passenger vehicle, truck, scooter, street sweeper, forklift, tractor, riding mower,
etc.) and cost.
D24.
All written campus policy statements and procedures manuals pertaining to Motor Vehicle
Inspections. In addition, a copy of the written assignment/delegation of the inspection function
to a specific individual on campus.
D25.
All written campus policy statements and procedures concerning the use of university vehicles,
including:
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Copies of any required vehicle use authorization forms.
Operator inspection checklists.
Operator certifications and/or monthly usage logs.
A list of employees authorized to operate university vehicles.
Records of the most recent employee DMV checks.
Records of employee attendance at CSU-approved defensive driver training.
D26.
Copies of any audit reports/management letters issued by other audit agencies related to the
purchasing, inspection or repair of motor vehicles within the past two years.
D27.
Copies of all agreements/leases with auxiliary organizations currently in effect.
D28.
Copies of all long-term property leases currently in effect.
D29.
A copy of any written delegation(s) of authority concerning leases.
D30.
A listing of all leases sent to the Chancellor’s Office for approval during FY 00-01.
D31.
The written campus policy statement and procedures concerning the short-term rental of space to
off-campus groups and a schedule of space rental rates currently in effect.
D32.
A listing of all short-term rentals of space to off-campus groups during FY 00-01.
D33.
The written campus policy statement and procedures concerning the acquisition and granting of
easements and rights-of-way and the quitclaim of the right, title and interest of the CSU in
easements and rights-of-way owned by the CSU.
DoA-docreq.revised
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THE CALIFORNIA STATE UNIVERSITY
Subject: Delegations of Authority
OFFICE OF THE UNIVERSITY AUDITOR
Location:
Audit #: 01XX
Preparer: JM Date: June 8, 2001
Reviewer:
Date:
D34.
A listing of all easements, rights-of-way and quitclaims entered into since January 1, 2000.
D35.
A listing of all sales, exchanges or disposals of campus personal property (including vehicles)
since January 1, 2000.
D36.
A listing of all leases of State-owned land.
D37.
A listing of all off-campus space leased for campus use during FY 00-01.
DoA-docreq.revised
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