Department of Technology

Statewide Technology Procurement

Procurement Roles & Responsibilities

  1. Purpose:

This Procurement Roles & Responsibilitiesdocument provides guidelines that establish the roles and responsibilities of the California Department of Technology (CDT), Office of Statewide Project Delivery, Statewide Technology Procurement (STP) and the Agency/state entity framework of an Information Technology Acquisition. This document is intended to provide an awareness and understanding of the challenges and critical success factors needed to manage collaborative efforts between the Agency/state entity and STP as they progress through the PAL process for an IT procurement. There may be additional tasks that are not addressed in this document but may be needed, as each project is unique.

  1. Scope:

These guidelines only cover the roles and responsibilities of the STP and the Agency/state entity. It does not cover the other critical partners, project team and evaluation team roles and responsibilities. The project management plan, the evaluation and selection team procedures and the PAL process instructions address these specificroles and responsibilities.

The roles and responsibilities identified in this document are not intended to supersede the Project Approval Lifecycle (PAL) process (SIMM 19). It is the Agency/state entity’s responsibility to ensure that all stages of the PAL process are completed,approved, and all related documents are submitted to the critical partners, in accordance with the instructions and guidelines of the PAL process.

  1. Codes, Regulations, and Policies

Various codes, such as Public Contract Code (PCC) and Government Code (GC), provide authority and rules for State departments to follow. Some of the codes that provide the CDT with authority are as follows:

  • PCC 12100 et seq. – Authority for the acquisition of IT goods and services for State government
  • PCC 12102.2(g) – Includes the authority for the protest of requirements
  • PCC 12104 – Authority for Department of General Services (DGS) and CDT to set policies, procedures, and methods to be used when soliciting bids for IT procurements
  • PCC 12104(c) – Authority for CDT to review IT solicitations prior to release
  • PCC 12112 – Authority for a risk analysis for financial protection that is in the best interest of the State
  • PCC 12125 – Authority for the Alternative Protest Process
  • PCC 6611 – Authority for CDT to use a negotiation process
  • GC 15545 – Authority of the CDT for the establishment and enforcement of State IT policy in California State government which includes establishing and enforcing State IT policies regarding oversight of IT projects
  • GC 19130 – Authority for personal service contracts
  • GC 19131 – Authority for the notification to the State Personnel Board if a contract is to be awarded under the provisions of GC 19130(a)

Policy interprets code and further defines rules the State must follow. Policy can be found in the Statewide Administrative Manual (SAM), Statewide Information Management Manual (SIMM), and the State Contracting Manuals (SCM). The following are some of the policies the State must adhere to:

  • SIMM 19 – Project Approval Lifecycle (PAL)
  • SAM 4819.2 – IT definition
  • SAM 4819.41 – Procurement review and certification
  • SCM Volume 3 – IT procurement procedures
  1. Roles & Responsibilities

The following lists the roles and responsibilities of the STP and the Agency/state entity for the steps of an IT acquisition. Not all steps will apply to all procurements. The Agency/state entity procurement official and project manager should work closely with the STPProcurement Official to determine which steps apply to their specific procurement and adhere to the timelines. The Agency/state entity procurement official and project manager must participate in all steps of the procurement. If the PM is a hired consultant, STP requires a state representative/decision maker to work with STP in addition to the consultant.

The following entities may play a role and have responsibilities:

  • Agency/state entity core team (program, administration & procurement, project management, IT system support, information security, enterprise architecture, and budget office)
  • CDT Critical Partners (Office of Project Approval & Oversight, Statewide Technology Procurement, Digital Innovation Office, Statewide Data Center, Office of Information Security, Enterprise Architecture, and Department of Finance)

The Agency/state entity and STP are responsible for participating in all procurement meetings. It is the STPProcurement Official’s role and responsibility throughout the entire procurement process to:

  • Oversee the integrity of the procurement process, including evaluations;
  • Coordinate with the Agency/state entity all day-to-day tasks, as necessary;
  • Coordinate CDT Legal participation, if needed;
  • Identify procurement risks and issues as they impactthe project;
  • Delegate portions of his/her role in his/her absence; and
  • Serve as the primary point of contact between the biddersand the Agency/state entity

STAGE 1 – BUSINESS ANALYSIS

TECHNOLOGY LETTER 16-08

In accordance with Technology Letter 16-08, Stage 1 has been delegated back to the Agency/state entity’s Agency Information Officer (AIO). The Agency/state entity may request CDT Critical Partner participation, if needed.(See SIMM 19A preparation instructions).

STAGE 2 – ALTERNATIVES ANALYSIS

MARKET RESEACH/REQUEST FOR INFORMATION (RFI)

This is part of the acquisition planning phase.

The market research and/or RFI is used to survey the marketplace to understand what products or services may be available and to approximate the dollars that may be needed for the contract. The Agency/state entitymust conduct market research on a service or product to determine its commercial availability, the vendor community, the usual service and warranty terms, the standard terms and conditions for delivery of this service or product, typical current market prices and discount schedules, product reliability, and areas of risk in acquiring the service or product. See the Market Research Guidelines for more information:

Knowledge gained from the research will enable the Agency/state entity to prepare a complete and realistic Statement of Work (SOW) for bidders’ response. The knowledge gained from market research should also guide the Agency/state entity in development of a solicitation that include appropriate bid requirements and contract provisions. The research will give the State an understanding of what a likely solution to the business opportunity will be and what it should cost. This will lead to a more realistic and accurate evaluation of the proposals and ensure the SOW and solicitation terms and conditions are appropriate to the product(s) or service(s) to be acquired. Conducting market research also helps determine bidder participation, competition, if requirements can be met, and supports the use of the proper procurement vehicle.

Entities with roles involved in the RFI step:

  1. Agency/state entity core team
  2. CDT Critical Partners (including STP, if requested by the Agency/state entity)

The following tasks are typically the responsibility of the Agency/state entity; however, it will dependon who isconductingthe RFI:

  • Develop RFI
  • Provide a copy of the RFI to the STP Procurement Official for review, if required
  • Release RFI to vendor community for feedback
  • Receive vendor comments and forward to stakeholders and CDT critical partners for review and discussion
  • Analyze RFI responses
  • As a result of vendor feedback, Agency/state entity may conduct vendordiscussions
  • Document why vendorsuggested changes are or are not in the “best interest of the State”

STP responsibilities (as one of the critical partners):

  • During STP’s review of the Agency/state entity’s S2AA, review the RFI, results, Agency/state entity’s analysis, and provide feedback to the Agency/state entity

STAGE 3 – SOLUTION DEVELOPMENT

IT GENERAL PROVISIONS (GSPD-401IT_9-05-14)

In accordance with SAM Section 5230.1, the State’s General Provisions (GSPD-401IT)shall be used or incorporated by reference in all competitive solicitations in excess of $4,999.99.

No changes may be made to the IT General Provisions without prior approval from DGS or STP. Under rare occasions and under limited circumstances, the IT General Provisions associated with Reportable Projects (non-delegated), may be modified to meet project specific needs. The Agency/state entity may request changes to the IT General Provisions following STP’s process for approval. IT General Provisionmodifications are in addition to the supplemental language that may be added to the Statement of Work modifying certain sections of the IT General Provisions. All such modifications are to be approved by the California Department of Technology, Statewide Technology Procurement (STP) and Legal Services Division before any solicitation can be released.

PROCUREMENT TIMELINE

In order to allow the State and the bidders’ time to execute their respective tasks during the solicitation, the Agency/state entity should develop a schedule that includes STP review.It is strongly recommended that the Agency/state entity factor time into the project schedule for the following reviews:

  • STP’s review of a draft SOW, solution requirements and a draft solicitation
  • Agency/state entity’s review of STP’s comments/recommendations from the draft SOW, solution requirements and draft solicitation
  • Agency/state entity’s time to make the applicable revisions
  • Collaborative team working and discussion sessions to finalize theSOW and solicitation

It is STP’s experience that the solicitation and SOW documents, if developed without STP’s involvement/guidance, will require a great deal of additional time to finalize documentsin preparation for releasing on FI$CAL. The number of days for review depends on the complexity of the project. The Agency/state entity should allow a minimum of 30 days for initial collaborative review, discussions and finalizing the documents.

The solicitation Key Action Dates are driven by the various factors of theproject and the unique aspects of eachprocurement. The Agency/state entity shall work with STP Procurement Official to determine the appropriate Key Actions Dates for the project.

Entities with roles involved in the Procurement Timeline step:

  1. Agency/state entity
  2. CDT Critical Partners

Agency/state entity responsibilities:

  • Provide their proposed procurement timeline to STP Procurement Official and other critical partnersfor review and approval

STP responsibilities (as one of the critical partners):

  • Consult with the Agency/state entity to develop a realistic timeline for their procurement
  • Approve the Agency/state entity’s proposed timeline

STATEMENT OF WORK DEVELOPMENT

The Statement of Work (SOW) is a formal document that captures the contractual obligations between the State and Contractor. It defines a contractor’s work activities to be performed, deliverables to be completed, and the timeline adhered to in the performance of specified work for the State.

The SOW is the most essential document in any solicitation and/or contract. The SOWincludes, but is not limited to, traceability to the detailed solution requirements, contractor requirements/responsibilities, payment milestones, and standard regulatory terms and conditions. The SOW is read, interpreted, and used by both technical and non-technical personnel with diverse backgrounds. Therefore, the investment of time and effort to write a conciseand complete SOW that can be easilyunderstood by both technical and non-technical personnel will:

  • Enable the contractor to clearly understand the requirements and the needs of the State;
  • Allow the bidder to more accurately cost out their proposal and submit higher quality technical proposals;
  • Provide a baseline for the development of other parts of the solicitation document(s), particularly the bidder/key staff qualification requirements, evaluation criteria and proposal instructions;
  • Minimize the need for contract change orders during project implementation, which can increase the cost and delay project completion;
  • Allow both the State and the contractor to assess performance; and
  • Help to reduce claims and disputes under the contract.

The SOW should be written to protect the State and the contractor by identifying and documenting the details of the work to be performed. See SIMM 180, Statement of Work Guidelines, for developing the SOW.

Entities with roles involved in the Statement of WorkDevelopment step:

  1. Agency/state entity

2.CDT Critical Partners

Agency/state entity responsibilities:

  • Develop a Statement of Work utilizing the Statement of Work Guidelines (SIMM 180) to ensure that the project objective or purpose is identified and will be met
  • SOW taskstie to the deliverables
  • Solution requirements tie back to the SOW
  • SOW tasks and/or deliverables tie to payment milestones in the cost worksheets
  • Schedule and facilitate working sessions with stakeholders and/or STP, as necessary
  • Review and incorporate STP and other Critical Partner feedback

STP responsibilities (as one of the critical partners):

  • Review and provide feedback
  • If required, attend working sessions with the Agency/state entity

RISK ASSESSMENT

Agency/state entities are required to evaluate risks and the need for financial protection as part of the procurement. See the Risk Criteria Guidelines in SCM Volume 3, Chapter 2.B6.10 and Chapter 4.B2.13 for more information.

Entities with roles involved in the Risk Assessment step:

  1. Agency/state entity

2.CDT Critical Partners

Agency/state entity responsibilities:

  • Discuss the result of the risk assessment and project’s criticality rating with the STP Procurement Official and Project Approval & Oversight to determine how it will be incorporated in the solicitation with the applicable financial protection(s)

STP responsibilities (as one of the critical partners):

  • Review the risk assessment
  • Discuss the result of the risk assessment and project’s criticality rating with the Agency/state entity and Project Approval & Oversight to determine how the solicitation will incorporatethe applicable financial protection(s) e.g. bonds, withholds, progress payments, etc.

SOLICITATIONDEVELOPMENT

The completion of the detailed solution requirements and the SOW componentsfrom Stage 2 and Stage 3, part A are key to developing the solicitation. It is crucial to understand that the SOW and solution requirements feed into the solicitation and are interdependent with one another. For example:

  • The bidder/key staff qualification requirements need to align withthe Contractor and key staff’s work/roles/responsibilities outlined in the SOW
  • Thekey staffs’ classifications and deliverablesfrom the SOW need to align with the cost worksheets
  • The evaluation methodology of the solicitation has to delineate between bidders and align with the objective/intent of the solution

Solicitation development requires realistic timelines and should include collaborative communication among the critical partners to ensuresuccessfully completionof the project within the timeframes required.

Entities with roles involved in the Solicitation:

  1. Agency/state entity

2.CDT Critical Partners

Agency/state entity responsibilities:

  • Utilize STP’ssolicitation template and follow the instructions for completing Part 1 and Part 2 of the template
  • Develop the contents of the solicitation elements e.g. SOW, detailed requirements, contractor deliverables, bidder/key staff qualifications, bidder/key staff reference forms, cost worksheets, evaluation criteria, etc.
  • Proof format, content, and relevance for a comprehensive and detailed solicitation
  • Utilizea version control method
  • Use the most current State policies, procedures and bidding requirements, i.e. DVBE forms, instructions and General Provisions, when developing the solicitation
  • Ensure consistent terminology throughout the solicitation (i.e., stages or phases; cost work sheets or cost spreadsheets, etc.)
  • Ensure the forms used are consistent with applicable requirements throughout the solicitation
  • Ensure the cost section contains clear instructions on completing the cost worksheets and represents the contract payment structure i.e. deliverable based with payment milestone, revenue based, or time andmaterials
  • Ensure the evaluation section clearly outlinestheevaluation and scoring criteria, possible points for all of the evaluated components of the solicitation i.e. pass/fail, mandatory/desirable requirements, etc.
  • Ensure the bidder’s library, if applicable, includes at a minimum applicable links to resource information for the project
  • Schedule and facilitate working sessions with stakeholders, as necessary
  • Review and incorporate STP and other Critical Partner feedback

STP responsibilities (as one of the critical partners):

  • Review solicitation and provide feedback
  • Assist in ensuring the solicitation aligns with the approved project documents
  • Provide guidance and assistancewith the solicitation, at the Agency/state entity’s request
  • Attend working sessions with the Agency/state entity
  • If needed, provide Agency/state entity with example language applicable tospecific project requirement(s)/business needs
  • Approve the final draft of the pre-solicitation

RELEASE OF PRE-SOLICITATION

The purpose of the pre-solicitation process is to vet adraft solicitation and its requirements tothe vendor community prior to formally advertising the solicitation. The objective is to ensure that the requirements of the solicitation are (1) clear, concise and nonrestrictive so that vendors can respond, and (2) the vendor feedback allows the State to make the appropriate modifications in order topromotecompetition, ensure the solicitation includes the appropriate provisions, requirements, cost model etc., and the vendors and State have a mutual understandingof the State’s expectation to attain the best value contractor and a strong contract. If an incomplete pre-solicitation is released, the resulting feedback will also be incomplete. It is imperative that the pre-solicitation is a complete draft version of the final solicitation, which allow vendors to understandall the needs and requirements of the projectin order for them to provide valuable feedback.The pre-solicitation may also reduce the number of addenda.

Entities with roles involved in the release of pre-solicitation step:

  1. Agency/state entity
  2. CDT Critical Partners

Agency/state entity responsibilities:

  • Establish the appropriate amount of time for advertising
  • Review and analyze vendorfeedback
  • Schedule and facilitate stakeholder meetings to discuss vendorfeedback
  • Determine if revisions to the solicitation are required based on vendor feedback and make the appropriate changes prior to releasing the final solicitation
  • Verify and document, why changes are or are not in the “best interest of the State”
  • Discuss with CDT Critical Partners any potential impact to the timelines and project/procurement risks as a result of changes
  • Develop the evaluationplan in accordance with solicitation i.e. solution requirements, SOW, and the evaluation criteria and submit to STP
  • Review and incorporate STPand other Critical Partner feedback

STP responsibilities (as one of the critical partners):