"A" = Actual Control "P" = Proposed Control
| CONTROLS | ||||||||||||||||||||||||||||||||
| C-1 | C-2 | C-3 | C-4 | C-5 | C-6 | C-7 | C-8 | C-9 | C-10 | C-11 | C-12 | C-13 | C-14 | C-15 | C-16 | C-17 | C-18 | C-19 | C-20 | C-21 | C-22 | C-23 | C-24 | C-25 | C-26 | C-27 | C-28 | C-29 | C-30 | C-31 | ||
| THREATS | The City has taken advantage of government discount programs which individual vendors offer, but has no agreement. | Each department follows its own procedures for the approvals of requisitions before they reach the Purchasing Division. | Leases of computer equipment are awarded through a competitive process. | ISD and Purchasing Division staff closely examine all incoming data processing items. | ISD has procedures for hardware/software purchases that were established July 1990, and revised since then. | The competitive requirements of the Purchasing Ordinance generally eliminates favoritism. | All items on the Supported Products List are industry standard machines and can be upgraded per manufacturer specifications. | Registration cards are delivered to departments with the equipment. It is the responsibility of the departments to register their equipment. | Warehouse procedures are followed by ISD staff when DP items are verified against the PO and when the DP items arrive. | The storeroom is a secured area and ISD has procedures which limit access. Also, a site of inventory of the storeroom is conducted. | The City labels (City ID sticker) and tracks (annual inventory) through the fixed assets systems all items of value. | The newest version of software are ordered unless an older version is specified by a requestor. | The City has not standardized software to date. However, some standardization will be considered. | Departments evaluate their needs, determine what is necessary to accomplish certain tasks and purchase software. | The City of San Jose's General Services Department/Purchasing Division does do competitive bidding whenever the specifications allow. | The FMS system has security levels built in which allows only authorized departmental personnel to approve requisitions. | When vendors feel they did not receive fair treatment, they are always ready to voice their dissatisfaction. | The General Services Department/Purchasing Division is always reviewing vendors' bids for trends. | The lease of equipment is approved by the budget office and the decision is based on which is the best method at the time. | The FMS system has a vendor performance module that should be on line by December 1991. | The City's Purchasing Division has a centralized receiving section that inspects most material and supplies. | The General Services Department/Purchasing Division has established a manual consisting of rules and regulations. | The General Services Department/Purchasing Division adheres to the City of San Jose's Municipal Code and City Charter. | Purchasing Division has favorable pricing agreements with manufacturers and receives large volume discounts. | There is no favoritism in awarding purchase agreements because the City's purchasing awards are made to the lowest bidder. | The City's centralized receiving section receives all items within forty-eight (48) hours of receipt. | Items received are delivered to department within 3 days. | ISD items are received into their stores once a week. | All items are checked in to the centralized receiving section and every item is signed for when delivered. | The Finance Department/Accounts Payable Division monitor all invoices for cash discounts. | Wang/VAX compatibility is tested through the evaluation of hardware components. | |
| T-1 | Competitive bidding is not availed of. | |||||||||||||||||||||||||||||||
| T-2 | The City does not take advantage of State contracts (for hardware), which may have lower prices and beneficial contract features. | A | ||||||||||||||||||||||||||||||
| T-3 | The City does not take advanatge of State contracts (for software), which may have lower prices and beneficial contract features. | |||||||||||||||||||||||||||||||
| T-4 | Unauthorized person approves requisition. | A | ||||||||||||||||||||||||||||||
| T-5 | Person with a conflict of interest is involved in approval process of requisitions/POs. | |||||||||||||||||||||||||||||||
| T-6 | City is perceived by vendors to be unfair in awarding contracts. | |||||||||||||||||||||||||||||||
| T-7 | City does not uncover kickbacks, bribes, collusion and other illegal practices of bidders. | |||||||||||||||||||||||||||||||
| T-8 | City does not investigate complaints or reports regarding bidder irregularities. | |||||||||||||||||||||||||||||||
| T-9 | The competitive process is circumvented through the use of rental, lease/purchase contracts. | A | ||||||||||||||||||||||||||||||
| T-10 | Vendor does not perform or delays performance. | |||||||||||||||||||||||||||||||
| T-11 | City accepts wrong or defective merchandise. | A | ||||||||||||||||||||||||||||||
| T-12 | Purchasing does not follow its established policies and procedures. | |||||||||||||||||||||||||||||||
| T-13 | ISD does not follow its established policies and procedures. | A | ||||||||||||||||||||||||||||||
| T-14 | Purchasing does not follow the CAM procedures. | |||||||||||||||||||||||||||||||
| T-15 | Purchasing does not adhere to the Municipal Code provisions. | |||||||||||||||||||||||||||||||
| T-16 | Items purchased are overpriced because the choices for vendor and/or items are limited. | A | ||||||||||||||||||||||||||||||
| T-17 | Items purchased are overpriced because the microcomputers bought have to be compatible to the Wang equipment, etc. | A | ||||||||||||||||||||||||||||||
| T-18 | The microcomputers might not be needed to be compatible with the ISD computers and the computers bought were required to have unnecessary accessories. | A | ||||||||||||||||||||||||||||||
| T-19 | Favoritism in awarding purchase agreements. | A | ||||||||||||||||||||||||||||||
| T-20 | Equipment bought not easily upgradeable, hence becomes functionally obsolete within unreasonable time. | A | ||||||||||||||||||||||||||||||
| T-21 | Slow process in receiving/delivery by City employees. | |||||||||||||||||||||||||||||||
| T-22 | City does not avail of product warranties. | A | ||||||||||||||||||||||||||||||
| T-23 | Loss of inventory at warehouse. | A | A | |||||||||||||||||||||||||||||
| T-24 | Loss of computer components at department - no inventory control. | A | ||||||||||||||||||||||||||||||
| T-25 | Payments not timely to take advantage of cash discounts. | |||||||||||||||||||||||||||||||
| T-26 | Slow payments discourage vendors to offer liberal pricing to the City. | |||||||||||||||||||||||||||||||
| T-27 | The City buys old versions of software whereas new versions are already available. | A | ||||||||||||||||||||||||||||||
| T-28 | The City buys too many varieties of software within certain categories (spreadsheets, word processors, etc.) creating unnecessary training time especially for interdepartment transfers of employees. | A | ||||||||||||||||||||||||||||||
| T-29 | The City buys too many varieties of software, creating interdepartmental and intradepartmental compatibility problems. | A | ||||||||||||||||||||||||||||||
| T-30 | Employees steal software after it is delivered to department - no inventory control. | |||||||||||||||||||||||||||||||
| T-31 | Department buys unnecessary software. | A |