Finding 400375 (2023-001)

Significant Deficiency
Requirement
I
Questioned Costs
$1
Year
2023
Accepted
2024-06-07
Audit: 308414
Organization: Guam Community College (GU)

AI Summary

  • Core Issue: The College failed to follow required competitive bidding processes for a $34,608 procurement, lacking necessary documentation.
  • Impacted Requirements: Non-compliance with Guam procurement regulations, specifically regarding competitive sealed bidding and documentation for exceptions.
  • Recommended Follow-up: Ensure procurement staff adhere to laws and maintain proper documentation for all procurement methods used.

Finding Text

Finding No. 2023-001 Federal Agency: U.S. Department of Education Pass-through Entity: Office of the Governor of Guam ALN and Title: 84.425H COVID-19 – Education Stabilization Fund – Governors (Outlying Areas) Federal Award Number: Unknown Compliance Requirement: Procurement and Suspension and Debarment Questioned Cost: $34,608 Criteria: 2 Guam Administrative Rules and Regulations (G.A.R.R.) Division 4 §3109 (b) provides that every procurement shall be made by competitive sealed bidding, subject to certain exceptions including the following: 1. Small purchases method applies to procurements less than $25,000 for supplies and services and less than $100,000 for construction, and procurement requirements shall not be artificially divided so as to constitute a small purchase. For small purchases, no less than three positive written quotations from businesses shall be solicited, recorded and placed in the procurement file. 2. Sole source procurement is not permissible unless a requirement is available from only a single supplier. In cases of reasonable doubt, competition should be solicited. 3. Emergency procurement shall be made with such competition as is practicable under the circumstances, and the procurement agent must solicit at least three informal price quotations. Condition: For 1 (20%) of 5 samples tested, procurement of equipment and services under purchase order no. P2300905 costing approximately $34,608 did not go through competitive sealed bidding. The College lacked the required documentation for procuring the equipment and services other than the competitive sealed bidding method. No record is in file documenting which of the exception criteria supports the procurement method selected. Cause: The College procured the equipment and services through a Request for Quotation (RFQ) method after three unsuccessful sealed bid solicitations for the item since 2021. Effect: The College is not in compliance with applicable procurement compliance requirements.   Finding No. 2023-001, continued Federal Agency: U.S. Department of Education Pass-through Entity: Office of the Governor of Guam ALN and Title: 84.425H COVID-19 – Education Stabilization Fund – Governors (Outlying Areas) Federal Award Number: Unknown Compliance Requirement: Procurement and Suspension and Debarment Questioned Cost: $34,608 Recommendation: Responsible procurement personnel should enforce compliance with applicable procurement laws and regulations particularly to meet the documentation requirements for procurements made outside of the prescribed procurement method. Views of responsible officials: See Corrective Action Plan.

Corrective Action Plan

Finding No.: 2023-001 Views of responsible officials and planned corrective actions: GCC agrees with the finding, however, please note the Procurement Timeline below for the procurement of the AC unit servicing Rooms 902/903/904. The solicitation for this specific room was not an emergency in the beginning however, as multiple solicitations were issued for AC units to service these specific rooms it eventually became an urgent and emergency procurement. Due to Typhoon Mawar, GCC summer semester moved from commencing in early June 2023 to July 2023. These rooms stored simulator equipment, served as classrooms and faculty offices. Due to the time elapsed, it was now an emergency and GCC could not wait to add this AC unit to the next AC bid that was issued in late July 2023. It was in the best interest of the college to proceed going from an IFB to a RFQ. • GCC-FB-21-014 Removal and Replacement of 24 Air Conditioning Units in GCC (10.09.2021) – Although the HVAC unit for 902/903/904 was listed on this Bid as an alternative bid, only the Base Bid was awarded (i.e. Building 1000 AC units only) due to the total going above and beyond budget estimated. The cost of the individual unit could not be verified due to the proposal coming in at a lump sum (for both Base Bid and Alternative Bid Items). • GCC-FB-22-001 Removal and Replacement of 12 Units Campus Wide (10.29.2021) – A second bid attempt was conducted for AC units that were not awarded under GCC-FB-21-014 (Alternative Bid), which included the HVAC unit for 902/903/904. Despite going through the bid process and providing ample time for contractors to participate, no bids were received and an RFQ was issued. • GCC-RFQ-22-001 Removal and Replacement of 12 Units Campus Wide (12.01.2021) –A proposal which included the 7.5 ton unit was submitted; however, after the award was made to the vendor, the Manufacturer of the specified unit increased its price by approximately 17%, from $48,166.00 to $56,813.50. GCC denied the change due to the increase in price. • GCC-FB-23-010 Replacement of 23 AC Units Campus Wide (05.2023) – The college only received a response from one bidder that provided a bid for all, including the HVAC unit for 902/903/904. An evaluation by GCC was conducted and as a result no award was made because most of the AC units did not meet the specifications set forth in the bid. • Although the HVAC unit for 902/903/904 had preexisting conditions that prompted the college to list this as one of the priority units to be replaced in prior bid solicitations, GCC AC Mechanics were able to provide temporary repairs in order to sustain the units operation for the time being. However, despite repairs conducted, the unit had significant issues such as having severely corroded condenser fins, damaged fan motor and finally a seized compressor. It must be noted that this specified unit serves three (3) spaces; 902 (simulation room with expensive classroom equipment), 903 (Classroom space) and 904 (Faculty Office space). • It was around this time, before and after typhoon Mawar, that the unit had reach its end of life where several components of the HVAC system were beyond repair leaving the rooms without air conditioning, resulting in high humidity, wet surfaces/water damage to ceiling tiles and floors, etc. This rendered the room unusable and a potential hazard for mold growth and water damage. Given the urgency to replace unit due to damages that may result from the non-working AC GCC issued a RFQ to procure the 902/903/904 AC Unit as well as the 7.5 Ton for Room 5213. • GCC-RFQ-23-014 Removal and Replacement of 7.5 Ton HVAC Unit Servicing Rooms 902/903/9054 and Room 5213 (06.13.2023). Only one vendor submitted a proposal and quotation for this unit. An evaluation was conducted and it was determined that the vendor met the minimum requirements set forth in the RFQ. The price proposal for this unit is $34,608.40. GCC awarded the contract given the urgency to replace the specified unit. This procurement was issued in the best interest of the college to award from a IFB to a RFQ. The events detailed above are documented in the respective procurement files for each solicitation. Contact Person: Joleen M. Evangelista, Procurement & Inventory Administrator Expected Completion Date: GCC Materials Management Office will ensure compliance with Guam Procurement Rules and Regulations. Additionally, MMO will conduct refresher procurement trainings at least twice a year and update the SOP. The next training will be held in in Summer 2024.

Categories

Questioned Costs Procurement, Suspension & Debarment

Other Findings in this Audit

  • 400376 2023-002
    Significant Deficiency
  • 976817 2023-001
    Significant Deficiency
  • 976818 2023-002
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
84.063 Federal Pell Grant Program $3.90M
84.425 Education Stabilization Fund $3.41M
15.875 Economic, Social, and Political Development of the Territories $113,948
84.033 Federal Work-Study Program $74,798
84.007 Federal Supplemental Educational Opportunity Grants $63,645
84.002 Adult Education - Basic Grants to States $22,809
47.076 Education and Human Resources $15,446