EMERGENCY PURCHASES & CHARGING

PRACTICES

Overview of Emergency Purchases Overview of Emergency Charging Practices

Today’s Objective

Emergency Definition Per the State Contracting Manual (SCM), an emergency as defined by Public Contract Code (PCC) section 1102 is “a sudden, unexpected occurrence that poses a clear and imminent danger, requiring immediate action to prevent or mitigate the loss or impairment of life, health, property, or essential public services.”

Types of Emergencies An emergency is further divided into the following classifications which ultimately effects how the purchase activity will be processed: An emergency purchase not in response to a natural disaster.

Refer to SCM, Vol. 2 Section 2.B5.4

An emergency purchase in response to a natural disaster, i.e. fire, flood, earthquake. Refer to Caltrans DPAC Acquisitions Manual Section 9.2 seq. and SCM, Vol. 2, Section 2.B5.3

Not in Response to a Natural Disaster The following chart provides the emergency purchase process in response to an emergency situation other than a natural disaster.

If the purchase activity Then the buyer will proceed with the purchase

Is within a department’s authorized non-competitively bid (NCB) contract purchasing authority dollar threshold

• Documenting the circumstance of the emergency purchase. • Documenting names and quotations of suppliers contacted. • Issuing the purchase document, identifying the department’s

Purchasing Authority (PA) number in the PA number box on the purchase document.

Exceeds a department’s authorized NCB contract purchasing authority threshold.

• The DGS/PD contact reviews the circumstance and if approved, assigns the transaction an Authorization to Exceed Monetary Limits (Form 42) number.

• Contacting the DGS/PD immediately or within the next business day to provide the circumstance of the emergency.

• Documenting the circumstance of the emergency purchase. • Issuing the purchase document, leaving the PA number box

on the purchase document blank.

Responding to a Natural Disaster

If the purchase activity

Then the buyer will proceed with the purchase

Is within a department’s authorized non-competitively bid (NCB) contract purchasing authority dollar threshold

• Documenting the circumstance of the emergency purchase.

• Issuing the purchase document, identifying the department’s Purchasing Authority (PA) number in the PA number box on the purchase document.

Exceeds a department’s authorized NCB contract purchasing authority threshold.

• Documenting the circumstance of the emergency purchase.

• Issuing the purchase document, leaving the PA number box on the purchase document blank.

The following chart provides the process for executing an emergency purchase in response to a natural disaster when a response requires immediate action:

Purchases in Response to a Natural Disaster

Earthquakes, storms, floods, fires, and other natural disasters of a significant magnitude, which endanger the health and lives of the traveling public and damage or threaten State facilities, require immediate response from the Department. If warranted the Governor may declare a State of Emergency.

During the emergency and until the immediate needs are met, purchases are made by doing whatever is needed to acquire the materiel in order to respond to the emergency.

Purchases in Response to a Natural Disaster

PCC Section 10340(a)(1) allows for emergency purchases of Non-It goods without competitive bidding when the goods and services are necessary for the immediate preservation or protection of the public health, welfare, or safety.

Employees are still responsible to ensure that a post review does not reveal intentional disregard of statutes or non-compliance with the Department’s Conflict of Interest and Incompatible Activities Directive.

Competitive bids are always desirable, but not mandatory when time is of the essence and such efforts would impede emergency response.

Required Documentation Per the State Administrative Manual (SAM), Section 3511, documentation of the emergency purchase is required. Regardless of the classification of the emergency, departments must provide the following documented information to the Department of General Service/Procurement Division (DGS/PD): 1. Description of the emergency 2. Why the situation warranted the emergency purchase 3. The consequences of making the purchase through normal

procurement processes 4. Description of the goods and amount of the purchase 5. Names and quotations of suppliers contacted

Purchases Exceeding Delegated Monetary Limits

Occasionally, an emergency situation arises which requires an expeditious purchase (within hours or days) of non-contract materiel which exceeds the delegated purchase authority limit ($25,000).

The Department may request DGS/PD to issue a Form 42 authorization for Caltrans to exceed its delegated purchase authority limit. This process is initiated by contacting DPAC to discuss the identified need and obtain a tentative agreement.

Form 42- Authorization To obtain authorization, the requestor submits a Purchase Request with required approval signatures, cost coding information, the required supplier, and bid information.

The following information is needed for the authorization: At least two (2) written bids/quotes are required.

A file copy of the Small Business Certification, if awarded the bid.

A Justification containing the following: Why the normal purchasing process cannot be used Time factors involved Impact on Caltrans or public safety if not approved If the need is a result of a departmental process, what action has been

taken to prevent future similar occurrences? The county, route, and post mile if the purchase is for “highway”

purposes.

Cal-Card for Emergencies Cal-Cardholders may acquire non-IT goods and IT goods valued less than

$5,000. Refer to Caltrans DPAC Acquisitions Manual Section 12.4.3. Cal-Card emergency purchases must have the appropriate documentation

in the procurement file including an Acquisition Exemption Request (AER) Form ADM 3058 signed by the Division Chief and any other approval documentation required.

Keep in mind, the CAL-Card is an alternative payment method used in the

procurement process of authorized goods and services and is subject to the procurement guidelines outlined in the Caltrans DPAC Acquisitions Manual Chapter 9 and SCM, Vol. 2, Section 2, Topic 5.

Cal-Card for Emergencies Emergency During Business Hours- Contact the Cal-Card unit at (916)

227-6054 between 6:30am to 5:30pm if the commodities you are purchasing is over the $5,000 limit.

Emergency Services must be handled with a Confirmation of Verbal

Agreement (CVA) and processed in accordance with the estimated dollar amount as specified in the Emergency Contract Guidelines on DPAC’s Intranet site: http://dpac.onramp.dot.ca.gov/downloads/dpac/files/EmergKGuide.pdf

Cal-Card for Emergencies- After Business Hours

The cardholder’s manager or above can contact any of the following DPAC managers to temporarily raise the cardholder’s daily limit after business hours. Procurement or Cal-Card Branch Chief (SSMI) Procurement and Cal-Card Office Chief (SSM II) Assistant Division Chief (SSM III) Division Chief

Current names for these positions are on the DPAC Intranet Site’s Organization Chart: http://dpac.onramp.dot.ca.gov/downloads/dpac/files/dpaccontacts.pdf This process is only to be used for an emergency

Procurement Resources Caltrans DPAC Acquisition Manual-

http://dpac.onramp.dot.ca.gov/downloads/dpac/files/dpac-acq-manual.pdf

Caltrans DPAC Emergency Contract Guidelines- http://dpac.onramp.dot.ca.gov/downloads/dpac/files/EmergKGuide.pdf

State Administrative Manual (Purchases, Chapter 3500)-

http://sam.dgs.ca.gov/TOC/3500.aspx State Contracting Manual-

http://www.dgs.ca.gov/ols/Resources/StateContractManual.aspx

DGS Emergency Acquisitions Guide- http://www.documents.dgs.ca.gov/pd/eProcurement/DGSEmerg

encyAcquisitionsGuide.pdf

Questions?

Emergency Charging Practices IMMS work orders associated with Major Damage will require an

IMMS Project Code. This provides a way to track and report costs to receive reimbursement from FEMA Public Assistance or Federal Highway Emergency Relief program.

IMMS Project Codes are created by HQ IMMS at the request of

the District IMMS Coordinators or HQ Maintenance staff for specific events or incidents.

For Cal OES Mission Task work, both IMMS and EFIS Reporting

Codes are based on the Mission Task number provided on the Cal OES Mission Task.

Emergency Charging Practices In order to qualify for FEMA, FMAG, or other reimbursement, it is

very important to use specific post mile range on work orders.

Timely completion of work orders is very important.

Reimbursement is subject to time constraints based on the incident period. Work beyond the incident period is not reimbursable.

Emergency Charging Practices For employees charging in Staff Central, HQ Maintenance will submit a

request to Data Management to establish an EFIS Reporting Code. For Cal OES Mission Task work, the EFIS Reporting Code is

created using the same format as the IMMS Mission Task project code.

HQ Maintenance will notify affected staff of the newly established

EFIS Reporting Code.

Instructions for Major Damage Charging-http://onramp.dot.ca.gov/hq/maint/orway/ha23/misc/imms_guide.htm

Maintenance Headquarters Contacts HQ IMMS Eric Uyeno, Office Chief (916) 263-5581 IMMS Coordinator List-

http://onramp.dot.ca.gov/hq/maint/imms/index.htm HQ Office of Roadway, Major Damage and Director’s Orders Gerald Kracher, Major Damage Engineer (916) 654-3523 Office of Budgets and Planning Carmen Buenaventura, Branch Chief (916) 653-1990 Melodie Hass, Office Chief (916)-653-0220 After Business Hours (916) 533-3170 David Prizmich, Asst. Div. Chief (916)654-1744 After Business Hours (916) 825-7607

Questions?