Office of Information Technology
Enterprise IT Contracting
Process Guide
DBITS Contracts
November 11, 2015
Contents
Section 1 Purpose of the Document
1.1Background
1.2Project Characteristics Supported by DBITS Contract
1.3Document Organization
Section 2 Identify DBITS Opportunity
2.1Define IT Project Resource Needs
2.2Conduct IT Project Review
2.3Plan IT Procurement
2.4Conduct Outreach on Candidate DBITS Projects
Section 3 Develop SOW Solicitation
3.1Document Detailed Requirements
3.2Conduct Requirements Review
Section 4 Issue SOW Solicitation
4.1Finalize Solicitation Documents
4.2Conduct Solicitation
Section 5 Evaluate and Select Pre-qualified Contractor
5.1Receive SOW Solicitation Responses
5.2Conduct Evaluation
Appendix A DBITS Technology Categories
Appendix B EITC Procurement Analyst Assignments
Appendix C IT Procurement Planning
C.1IT Procurement Planning Form
Appendix D Statement of Work Solicitation
D.1SOW Solicitation Template
Section 1Purpose of the Document
The purpose of this document is to identifytheprocesses that support lifecycle activities related to the Office of Information Technology’s(OIT) Deliverables-based Information Technology Services (DBITS) contract for IT project services.
1.1Background
The Deliverable Based IT Services (DBITS) contract providesa procurement mechanism for state agencies to acquire deliverables-based information technology services.
The Department of Administrative Services, Office of Information Technologyestablished pre-qualified pools of Contractors,based on Technology Categories, eligible to respond to a State Agency’s Statement of Work (SOW) Solicitation. SOW Solicitationsare distributed to the appropriate pool of pre-qualified Contractorsby the Office of Information Technology through its Enterprise IT Contracting group for the following Technology Categories:
- Information Technology Assessment, Planning, and Solicitation Assistance
- Project Management
- Application Development and Maintenance Transition Planning
- Independent Verification and Validation (IV&V)/Quality Assurance (QA)
- Technology Upgrade/Migration and Transformation
- Business Intelligence and Data Warehouse
A detailed description of the types of activities and services delivered in each of these technology categories is provided in Appendix A.
1.2Project Characteristics Supported by DBITS Contract
DBITS contracts are intended to deliver services for a defined scope of work that best fits within one of the Technology Categories listed above.Use of the DBITS contract willbe typically limited to those projects that satisfy the following criteria
- Generally applicable to small- to medium-size projects where a Solicitation Statement of Work is typically up to $5 million.
- Well-defined scope of work where the key deliverables and full functionality of the project can be produced within one Technology Category.
- Structure of the project is such that the defined scope of work is not purposely limited to avoid exceeding threshold for a DBITS contract.
- The scope of work is project-based, with defined start and end dates, defined deliverables, and does not encompass operations activities.
- The project scope of work is limited to services, and does not include provisioning of technology hardware or software.
- The scope of work does not include a managed service.
- The scope of work is truly deliverable-based and is not staff augmentation services packaged as deliverable-based work.
1.3Document Organization
This document describeslifecycle activities from identifying and planning for a DBITS opportunity through issuance of a SOW Solicitation and is organized across the following sections.
- Section 2: Identify DBITS opportunity
- Section 3: Develop SOW Solicitation
- Section 4: Issue SOW Solicitation
- Section 5: Evaluate and Select Pre-qualified Contractor
- Appendix A: DBITS Technology Categories
- Appendix B: IT Procurement Planning
- Appendix C: Statement of Work Solicitation
Section 2Identify DBITS Opportunity
2.1Define IT Project Resource Needs
IT procurement analysts within the Enterprise IT Contracting (EITC) section are assigned to an Agency according to its line of business (LOB). EITC procurement analysts conduct ongoing outreach with their assigned agencies to determine current and future needs procurement needs. A list of EITC procurement analyst assignments is provided in Appendix B.
In addition to this outreach, the State’s IT planning function is managed by the Strategy and Investment Management section within OIT. In the Application Lifecycle and Projects System (ALPS), a State Agency describes its planned resources to support an IT project and identifies the budget requirements for the project. The determination of the method of obtaining the resource(s), if approved, is the responsibility of OIT. OIT may determine the resource is available through its enterprise services or through a sourcing strategy developed within the EITC section.
2.2Conduct IT Project Review
Within the context of an Agency defining its project requirements and OIT identifying whether a DBITS opportunity most closely addresses some or all of the project requirements, the following processes apply.
Step / Role / Process Description- Submit IT Project in ALPS
- Conduct Enterprise Review
- Is the project scope consistent with the Technology Categories available throughDBITS?
- Does the project resource table include an in scope/potentially in scope labor resource?
- Resource Management Review
•If the IT project is not approved to proceed, no further action is required.
•If the IT project is approved to proceed, and has been flagged as a DBITS opportunity, the following steps apply.
EITC confirms whether a component of the IT project can be addressed within the DBITS Technology Categories.
If yes,
•EITC provides guidance to the Agency, regarding the SOW solicitation process.
If no,
•EITC confers with the Agency to determine alternate sourcing strategy.
- Review IT Project Decision
Notification will address procurement method, as applicable.
If an Agency does not agree with the OIT determination for DBITS utilization, it may want to consider contacting EITC to discuss potential procurementapproach alternatives, otherwise the Agency will receive or be provided access to the SOW Solicitation template.
2.3Plan IT Procurement
Following the enterprise review, and in some cases, in conjunction with that review, a State Agency will complete an IT Pre-Procurement Information Form once it is determined that one or more of the project’s detailed planned value items will be subject to a procurement event.
The form will provide additional information to facilitate EITC’s review of the project’s resource requirements and enable the EITC procurement analyst to determine potential sourcing strategies.
2.4Conduct Outreach on Candidate DBITS Projects
If the result of an EITC review of an Agency’s IT Planned Procurement determines that the project might be eligible to use a DBITS contract, the EITC Procurement Analyst will meet with the Agency to gain a greater understanding of the project and will provide guidance on how to proceed.
To assist agencies in developing theirrequirements for DBITS or other contracting methods, OIT has created an SOW Solicitation template. This template is a resource for Agency staff to document their specifications, and provide EITC Procurement Analysts with key pieces of information necessary to validate the procurement method and issue the solicitation to Pre-qualified Contractors.
Section 3Develop SOW Solicitation
3.1DocumentDetailed Requirements
To assist agencies in developing theirrequirements for DBITS or other contracting methods, OITcreated an SOW Solicitation template. This template is a resource for Agency staff to document their specifications, and provide EITC Procurement Analysts with key pieces of information necessary to validate the procurement method and issue the solicitation to Pre-qualified Contractors.
Depending upon the type of Technology Category that is needed, the SOW Solicitation Template may lack some technical detail. For example, solicitation assistance (Information Technology Assessment, Planning, and Solicitation Assistance) will require a Pre-qualified Contractor to facilitate the development of a full set of requirements that in turn will be the basis of a future solicitation. Therefore, the SOW Solicitation for this service will be limited to the scope of services needed to produce a Statement of Work for the project.
3.2Conduct Requirements Review
The Agency works with EITC to refine and finalize the SOW Solicitation. Through this process, EITC will evaluate the scope, complexity, and impact of the project. Under certain circumstances, a process that might otherwisebe supported by an Agencymay be managed at an enterprise level within OIT. A description of review process is described below.
Step / Role / Process Description- Draft SOW Solicitation and Evaluation Criteria
- Submit SOW Solicitation Package
•that DBITS procurement is part of an approved project in ALPS
•a planned budget for the SOW Solicitation
- Review SOW Solicitation
SIM, Other OIT Business Units
Agency / Process of EITC assigning a Procurement Analyst to conduct an initial review of the SOW Solicitation to ensure it is complete, responsive to solicitation requirements based on the Technology Category, and will support a competitive process.
After an initial review, the EITC Procurement Analyst determines if there are material deficiencies with the SOW Solicitation.
If yes,
•The SOW Solicitation is returned to the Agency.
•The EITC Procurement Analyst schedules a meeting with the Agency to address the deficiencies.
If no,
•The EITC Procurement Analyst validates the procurement method is suitable for the scope of work.
If the scope of work is suitable for a DBITS engagement,
•The EITC Procurement Analyst identifies any areas within the SOW Solicitation that may require clarification, refinement, or other minor treatment prior to issuance.
•If the Agency has not already designated their preference, the EITC Procurement Analyst determines whether an MBE opportunity exists.
•The EITC Procurement Analyst evaluates solicitation details to determine if there are material changes from the approved project or project resources (detail planned value items) in ALPS. If there is a question in the Agency’s project/procurement approach the Analyst confers with SIM to determine if other OIT Business Units should be consulted to determine areas of impact. For example, the Project Success Center (PSC) may be consulted to determine if a level of engagement is required due to the level of project risk or complexity.
•The EITC Procurement Analyst determines the level of solicitation support to be delivered by OIT. For more complex projects, or where an enterprise opportunity exists, the EITC Procurement Analyst may manage more of the steps following the issuance of the Solicitation Statement of Work.
If the scope of work is not suitable for a DBITS engagement,
•The EITC Procurement Analyst recommends an alternative approach to the Agency and coordinates with the Agency to develop the appropriate solicitation instrument.
•The EITC Procurement Analyst notifies SIM Analyst to update planning database (ALPS, R&P, or other planning and authorization repository).
Section 4Issue SOW Solicitation
4.1Finalize Solicitation Documents
At this point the SOW Solicitation document will be complete and ready to post upon approval from the Agency. The EITC Procurement Analyst forwards the final solicitation document to the Agency for a final review.
The Agency will complete a final review and communicate back to OIT when they have received all internal approvals necessary to post the solicitation.
4.2Conduct Solicitation
EITC is responsible for the issuance of the SOW Solicitation on the State Procurement website. EITC will also coordinate receipt and posting of inquiries submitted by Pre-Qualified Contractors. EITC is available to provide guidance and assistance with finalizing inquiry responses. Coordination of presentations or interviews, between the Agency andresponding Pre-qualified Contractors, is generally the responsibility of the Agency, unless it is determined that EITC will manage those processes.
Additionally, unless otherwise specified, the Agency is responsible for the SOW Solicitation response evaluation process using Agency established criteria documented in the SOW Solicitation.
EITC will recommend award to the successful Respondent among the Pre-qualified Contractors as part of the Release and Permit review and approval based on concurrence with the Agency’s evaluation results and supporting recommendation. In most cases and unless a function of IV&V has been determined to be required by Project Success Center, a single pre-qualified Contractor will be selected to perform the work contained in each SOW Solicitation.
Step / Role / Process Description- Issue SOW Solicitation
The EITC Procurement Analyst posts the SOW Solicitation to the State’s Procurement Website (procurement.ohio.gov), specifying in a cover letter the applicable Technology Category/Categories and the Pre-qualified Contractors within that/thoseCategory/Categories.
The SOW Solicitation response period will vary based on the scope of work, however, generally agencies should plan for a 2-4 week process.
- Receive SOW Solicitation
- Receive and Respond to Pre-qualified Contractor Inquiries
- Schedule Pre-qualified Contractor Presentations and Interview
- Submit SOW Solicitation Responses
Section 5Evaluate and Select Pre-qualified Contractor
5.1Receive SOW Solicitation Responses
After the response period ends, unless it is determined to be managed within OIT, the Pre-qualified Contractor responsesare submitted directly to the State Agency by Pre-qualified Contractors.The agency’s contact person to receive responses will be identified in the SOW Solicitation.
5.2Conduct Evaluation
Using the documented evaluation criteria, the Agency will conduct an evaluation of SOW Solicitation responses. The Agency will ensure all SOW Solicitation mandatory requirements are met by the proposed Pre-qualified Contractor and will document and summarize the scoring of all Pre-qualified Contractors submitting a response.
The Agency will submit a Release and Permit that supplies recommended Pre-qualified Contractor information and documents the evaluation criteria and scoring of the solicitation responses. Within Release and Permit, the Agency will attach a summary of the evaluation scoring based on criteria established by the Agency.
Step / Role / Process Description- Evaluate SOW Solicitation Responses
If none of the offers is deemed to be satisfactory, the Agency will work with EITC to determine if an amendment to the SOW Solicitation is needed or to determine an alternate procurement approach.
- Submit Release and Permit Request and Process PO
For supporting documentation, the Agency attaches a summary of the evaluation scoring and a list of the Pre-qualified Contractors with their scores to their Release and Permit Requests submitting proposals.
If any changes to the project budget or material changes occur to the scope of work as a result of the SOW Solicitation, the Agency must update those changes in ALPS. Agencies must also describe these types of changes within their Release and Permit request.
- Review Release and Permit Request and Select Pre-qualified Contractor
The EITC Procurement Analyst determines if the documentation sufficiently supports the selection of the recommended Pre-qualified Contractor.
If yes,
EITC selectstherecommended Pre-qualified Contractor to perform the SOW Solicitation, execute the Solicitation SOW and post information to the State’s Procurement Website after final approval of the Release and Permit.
If no,
EITC confers with the Agency to address and reconcile gaps.
- Notify Unsuccessful Pre-qualified Contractors
- Conduct SOW Initiation/Kick-Off Meeting
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