Information Technology
Release and Permit
Guide
Office of Information Technology
Investment and Governance Division
Acquisition Management
February 2005
Table of Contents
Introduction 3
General Instructions 3
Common Requirements 3
Data Definitions 4
Procurement Authorities 5
Bid Contract 5
Controlling Board 6
Direct 7
Master Maintenance 8
Ohio Revised Code 9
State Term Schedule – IT Procurements 10
State Term Schedule – Maximum Limit of $50,000 or $75,000 (by agency) 11
State Term Schedule - >$50,000 <$500,000; or >$75,000 <$500,000 (by agency) 12
State Term Schedule >$500,000 13
Reasons for Rejecting/Returning Release & Permit Requests 14
Introduction
The information contained in this document is provided to assist state agencies in creating and processing their Information Technology (IT) requests for a Release and Permit. This document describes the information required for each Release and Permit request submitted to the Office of Information Technology (OIT), Investment and Governance Division (IGD) and Acquisition Management (AM).
General Instructions
Acquisition Management staff, and potentially third party OIT staff (e.g., Telecommunications, Enterprise Architecture, etc.) review agency Release and Permit requests for adherence to IT Planning projects and the state-wide IT enterprise direction for architecture, infrastructure and networking.
In reviewing the enclosed charts, agencies will notice common information is required for each Release and Permit. We have provided a list of the “Common Requirements” on page 4.
Release and Permit requirements vary depending on:
- The item to be procured (i.e. hardware, software, services,);
- The dollar amount of the request; and
- The procurement authority.
Acquisition Management is committed to a six (6) business day turn around. This time frame is dependent on the agency and the vendor providing the appropriate information.
Common Requirements
Regardless of the item to be purchased, the purchasing authority or the dollar amount, the data listed below must be included in all Release and Permit requests:
· Vendor Name and Federal Tax ID Number.
· Description of the item or service to be acquired.
· Justification describing why the item or service is required.
· Indication if the vendor is a minority business enterprise (MBE) or EDGE supplier.
· Vendor’s itemized quote.
· IT Plan Reference
Data Definitions
To provide clarity the following definitions apply to the IT Release and Permit requests.
Vendor Name & Tax ID # – The name and federal tax identification number of the vendor to receive the purchase order.
Vendor Quote/Itemized Cost – A cost itemization of the goods or services to be acquired. The quote must be on the vendor’s letterhead and include a total cost. State Term Schedule vendor quotes/cost itemizations can not contain additional terms or conditions.
Justification for Purchase – A detailed explanation of the reason an agency needs to make this purchase.
IT Plan Reference (IT Project Name) – The project identifier from the requesting agency’s IT Plan that corresponds with this Release and Permit request.
Statement of Work (SOW) – A detailed explanation of the services the vendor is to provide (i.e. deliverables, acceptance process, payment, etc.) The SOW does not contain any terms or conditions and is often found as an attachment/exhibit to a Personal Services Agreement
Personal Services Agreement – A contract between the agency and the vendor containing general terms and conditions governing the engagement. A Statement of Work (SOW) is attached detailing the work to be accomplished.
Competitive Process – The competitive process the agency used in selecting the vendor (i.e. three or more quotes, MBE set-aside, etc.)
Sole Source – A detailed explanation of why this vendor, product, or service is the only procurement option.
License Agreement – Software license provided by the vendor. License must be negotiated to incorporate Ohio terms and conditions. A maintenance agreement should be included as part of the license or in addition to the license agreement.
Vendor Selection Justification – Justification for why this vendor was selected for this procurement (i.e. lowest quote, most qualified candidate, etc.)
Procurement Authorities
The tables on the following pages contain the requirements for hardware, software and services for IT procurements based on the type of procurement authority to be used.
Bid Contract
A bid contract is the result of an Invitation to Bid or an OIT issued Request for Proposal. The contract may be for a specific agency or it may be available for multiple agencies to use. Current Bid Term contracts exist for desktops, laptops and servers.
BID CONTRACT(no dollar limit)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote/
Itemized Cost / R / R / R / R
Purchase Justification / R / R / R / R
IT Plan Reference No. / R / R / R / R
Statement of Work / R
Personal Services Agreement
Legend: R – Supporting information is submitted with the agency request.
Note: Very large Bid Contract purchases often include an additional discount. The vendor must provide the agency the Bid Contract listing, and a quote offering the discount. Both must accompany the agency’s request.
Controlling Board
These requests may involve an agency issued competitive process (i.e. RFP) pre-approved by OIT or a waiver of competitive bid for a sole source procurement.
A two step process is required for Controlling Board requests that are not sole source (e.g., agency releases a RFP on their own and seeks Controlling Board approval for the apparent winner). Agencies must obtain approval from OIT prior to releasing their RFP (Permission to go to CB ‘Controlling Board’). The RFP will be posted on the State Procurement website by OIT. Once the agency selects a vendor, the agency will submit a second request (Proceed with CB) for a Release and Permit containing the dollar amount, vendor name, purchase justification, select criteria, etc. This two (2) step process provides the Controlling Board assurance that the Release and Permits are not being issued “after the fact”. Agencies must permit a sufficient amount of time for review.
CONTROLLING BOARD(no dollar limit)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote / Itemized Cost / R / R / R / R
Purchase Justification / R / R / R / R
Competitive Process or Sole Source / R / R / R / R
Vendor Selection Justification / R / R / R / R
IT Plan Reference No. / R / R / R / R
Statement of Work / Vendor Proposal / R / R / R / R
License Agreement / R
Personal Services Agreement / R
Legend: R – Supporting information is submitted with the agency request.
Direct
These procurements are less than $50,000 or $75,000 in the aggregate (depending on the agency) per vendor per fiscal year. Agencies are responsible for monitoring the dollar amounts spent per vendor. Most agencies have internal procedures for direct procurement. OIT strongly encourage agencies to seek competition whenever possible. (i.e., three quotes)
DIRECT PURCHASE(maximum of $50,000 or $75,000 depending upon the agency*)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote / Itemized Cost / R / R / R / R
Purchase Justification / R / R / R / R
IT Plan Reference No. / R / R / R / R
Competitive Process or Sole Source / A / A / A / A
Vendor Selection Justification / A / A / A / A
Statement of Work / Vendor Proposal / A / A
License Agreement / A
Personal Services Agreement / A
Legend: R – Supporting information is submitted with the agency request.
A – Follow existing agency procedures.
* Maximum Amounts State Agencies: $50,000
State Institutions: $75,000 (DMH, MRDD, DRC, DYS)
Master Maintenance
Using the authority granted by the Controlling Board, OIT negotiates master maintenance agreements with various hardware and software vendors to provide maintenance to state agencies. This procurement authority enables agencies to obtain maintenance without negotiating separate terms and conditions. Master Maintenance Agreements exist with the majority of the hardware and software vendors (e.g., IBM, Unisys, etc.).
MASTER MAINTENANCE AGREEMENT(no dollar limit)
Information / Hardware / Software / Personal
Services
Vendor Name & Tax ID No. / R / R
Vendor Quote/
Itemized Cost / R / R
Purchase Justification / R / R
Vendor Selection Justification / R / R
IT Plan Reference No. / R / R
Statement of Work / Vendor Proposal
Legend: R – Supporting information is submitted with the agency request.
Ohio Revised Code
Various entities are authorized by the Ohio Revised Code to provide supplies and services to state agencies. For IT procurements these organizations include: Ohio Industries for the Handicapped (e.g., data entry services) and Ohio colleges and universities (e.g., GIS data).
OHIO REVISED CODE(no dollar limit)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote/
Itemized Cost / R / R / R
Purchase Justification / R / R / R
Vendor Selection Justification
Competitive Process or Sole Source
IT Plan Reference No. / R / R / R / R
Statement of Work / Vendor Proposal / R
License Agreement
Personal Services Agreement
Legend: R – Supporting information is submitted with the agency request.
State Term Schedule – IT Procurements
Release and Permit requests which are to be issued using the State Term Schedule require various levels of documentation depending upon the dollar amount of the request.
Acquisition Management will contact the agency when a vendor quote or cost itemization includes items not listed on the State Term Schedule. The agency, in conjunction with the Acquisition Management staff, will determine if the request can be processed with only the validated items or if it must be returned to the submitting agency for resolution.
Agency State Term Schedule acquisitions are not to exceed $500,000. However, there may be instances when it is acceptable to exceed this limit. Once an agency determines that their procurement request for a State Term Schedule purchase will exceed $500,000, the agency should contact Acquisition Management to schedule a pre-acquisition review meeting. The pre-acquisition review meeting must take place prior to the agency submitting their Release and Permit request. Agencies should allow sufficient time for reviewing the information and scheduling the pre-acquisition review meeting. Release and Permit requests referencing the State Term Schedule and costing $500,000 or more will be returned if a pre-acquisition review meeting has not taken place.
State Term Schedule – Maximum Limit of $50,000 or $75,000 (by agency)
The authority to negotiate State Term Schedules is granted to OIT by the Controlling Board. “Manufacturers” and vendors holding a federal General Services Agency (GSA) contract are eligible to negotiate a State Term Schedule. A competitive process should be completed as appropriate per agency specific guidelines for a procurement of this dollar amount. Depending on the cost of the procurement, the requirements for this procurement authority will vary.
STATE TERM SCHEDULE PURCHASES(limited to a maximum of $50,000 or $75,000 depending upon the agency*)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote/
Itemized Cost / R / R / R / R
Purchase Justification / R / R / R / R
IT Plan Reference Number / R / R / R / R
Vendor Selection Justification / A / A / A / A
Competitive Process or Sole Source / A / A / A / A
Statement of Work / Vendor Proposal / A / A
Legend: R – Supporting information is submitted with the agency request.
A – Follow existing agency procedures.
* Maximum Amounts State Agencies: $50,000
State Institutions: $75,000 (DMH, MRDD, DRC, DYS)
State Term Schedule - >$50,000 <$500,000; or >$75,000 <$500,000 (by agency)
The authority to negotiate State Term Schedules is granted to OIT by the Controlling Board. “Manufacturers” and vendors holding a GSA contract are eligible to negotiate a State Term Schedule. A competitive process for selection of a vendor by the agency is required before the Release & Permit is submitted for review and approval. Depending on the cost of the procurement, the requirements for this procurement authority will vary.
STATE TERM SCHEDULE(>$50,000 <$500,000; or >$75,000 <$500,000 depending upon the agency*)
Information / Hardware / Software / Personal
Services / Maintenance
Vendor Name & Tax ID No. / R / R / R / R
Vendor Quote/
Itemized Cost / R / R / R / R
Purchase Justification / R / R / R / R
IT Plan Reference Number / R / R / R / R
Vendor Selection Justification / R / R / R / R
Competitive Process or Sole Source / R / R / R / R
Statement of Work / Vendor Proposal / R / R
Legend: R – Supporting information is submitted with the agency request.