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Department of TechnologyStatewide Technology Procurement

Procurement Roles & Responsibilities

A. Purpose: This Procurement Roles & Responsibilities document 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.

B. 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 specific roles 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.

C. 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

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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

D. 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 STP Procurement 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 STP Procurement 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 impact the project; Delegate portions of his/her role in his/her absence; and Serve as the primary point of contact between the bidders and the Agency/state

entity

STAGE 1 – BUSINESS ANALYSIS

TECHNOLOGY LETTER 16-08In 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).

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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 entity must 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: https://cdt.ca.gov/project-delivery/procurement/resources/

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 team2. 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 depend on who is conducting the 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 vendor discussions Document why vendor suggested 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

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https://cdt.ca.gov/project-delivery/procurement/resources/



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 Provision modifications 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 TIMELINEIn 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 the SOW 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 documents in 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 the project and the unique aspects of each procurement. 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 entity2. CDT Critical Partners

Agency/state entity responsibilities: Provide their proposed procurement timeline to STP Procurement Official and other

critical partners for 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

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STATEMENT OF WORK DEVELOPMENTThe 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 SOW includes, 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 concise and complete SOW that can be easily understood 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. https://cdt.ca.gov/Policy/SIMM/

Entities with roles involved in the Statement of Work Development step:

1. Agency/state entity2. 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 o SOW tasks tie to the deliverableso Solution requirements tie back to the SOWo 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 ASSESSMENTAgency/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.

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https://cdt.ca.gov/Policy/SIMM/



Entities with roles involved in the Risk Assessment step:1. Agency/state entity2. 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 incorporate the applicable financial protection(s) e.g. bonds, withholds, progress payments, etc.

SOLICITATION DEVELOPMENTThe completion of the detailed solution requirements and the SOW components from 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 with the Contractor and key staff’s work/roles/responsibilities outlined in the SOW

The key staffs’ classifications and deliverables from 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 ensure successfully completion of the project within the timeframes required.

Entities with roles involved in the Solicitation:1. Agency/state entity2. CDT Critical Partners

Agency/state entity responsibilities: Utilize STP’s solicitation 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 Utilize a 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

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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 and materials

Ensure the evaluation section clearly outlines the evaluation 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 assistance with 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 to specific

project requirement(s)/business needs Approve the final draft of the pre-solicitation

RELEASE OF PRE-SOLICITATIONThe purpose of the pre-solicitation process is to vet a draft solicitation and its requirements to the 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 to promote competition, ensure the solicitation includes the appropriate provisions, requirements, cost model etc., and the vendors and State have a mutual understanding of 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 understand all the needs and requirements of the project in 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 entity2. CDT Critical Partners

Agency/state entity responsibilities: Establish the appropriate amount of time for advertising Review and analyze vendor feedback Schedule and facilitate stakeholder meetings to discuss vendor feedback Determine if revisions to the solicitation are required based on vendor feedback and

make the appropriate changes prior to releasing the final solicitationo 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

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Develop the evaluation plan in accordance with solicitation i.e. solution requirements, SOW, and the evaluation criteria and submit to STP

Review and incorporate STP and other Critical Partner feedback

STP responsibilities (as one of the critical partners): Approve the final draft of the pre-solicitation and post the pre-solicitation on FI$Cal, the

State’s eProcurement Portal Receive vendor comments and forward to Agency/state entity for review and discussion Review and analyze vendor feedback Participate in Agency/state entity meetings to discuss vendor feedback Assist Agency/state entity in making the appropriate changes to the solicitation based on

vendor feedback Participate in Agency/state entity discussions regarding any potential impact to the

timelines and project/procurement risks Review the evaluation plan and provide feedback Approve final draft of the Evaluation Plan

STAGE 4 – PROJECT READINESS & APPROVAL

RELEASE OF FINAL SOLICITATION (START OF THE ACQUISITION PHASE)In accordance with GC 14827.2 et seq., bid opportunities must be advertised for at least 10 working days prior to the bid due date. Large complex IT procurements require a longer posting period in order to obtain quality proposals.

Entities with roles involved in the Release of Final Solicitation:1. Agency/state entity 2. CDT Critical Partners

Agency/state entity responsibilities: In consultation with CDT Critical Partners, establish the appropriate amount of time for

advertising Schedule and facilitate stakeholder meetings, as necessary

STP responsibilities (as one of the critical partners): Approve the final draft of the solicitation and post on FI$Cal Attend Agency/state entity meetings, as necessary

BIDDER QUESTIONS AND REQUEST TO CHANGE REQUIREMENTS and ADDENDUMThe purpose of Questions & Answers (Q&A) process is to provide bidders with the opportunity to seek clarification on any aspect of the solicitation including procedural matters. The intent of this process is to ensure fair and open competition by addressing the bidder’s concerns where they believe that requirement(s) are onerous, unfair or impose unnecessary constraints on the bidder.

The purpose of allowing bidders to request changes to requirements is very similar to the bidder question and answer process. This process provides bidders with the opportunity to request changes on any aspect of the solicitation. Additionally, bidders who are requesting changes to the requirements must provide the facts substantiating its belief that requirements are onerous, unfair or impose unnecessary constraints; its recommended change(s); and provide the reasons for making the recommended change(s).

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Note: The Agency/state entity should allow a minimum of 10 days for STP’s review/approval process which includes, review and approval of each Question and Answer (Q/A) set and/or request for change, addendum change log and resulting addendum; however, the number of days depends on the number of questions and change requests received and if changes are required via an addendum and the extent of those changes. STP will review and approve as quickly as possible.

The purpose of an addendum is to inform bidders on changes or revisions to the solicitation. It is also important to note that after each addendum released, the Key Action Dates must include a due date, a minimum of five days after addendum release, for bidders to submit questions and protest the changes to the requirements reflected in the addendum.Entities with roles involved in the bidder request to change requirements step:

1. Agency/state entity 2. CDT Critical Partners

Agency/state entity responsibilities: Review and analyze bidders’ questions/request for change(s) Address the bidders’ questions/requests for change(s) in a matrix Tie responses to the bidders’ questions/requests for change(s) to the specific solicitation

requirement(s) related to the State’s response, if applicable Schedule and facilitate stakeholder meetings to discuss bidders’ questions/request for

change(s) and feedback to the bidders Determine if revisions to the solicitation are required based on bidders’

questions/request for change(s) and make the appropriate changes via an addendum to the solicitation

o Verify and document, why changes “are” or “are not” in the “best interest of the State”

Develop a solicitation addendum change log Discuss any potential impact to the timelines and project/procurement risks as a result of

changes Obtain Agency/state entity legal review and approval when necessary Obtain STP approval of the feedback to the bidder questions/request for change(s),

addendum and solicitation addendum change log

STP responsibilities (as one of the critical partners): Receive bidders’ questions/request for changes and combine all questions/requests into

a matrix (without disclosing the name of each bidder) and forward to Agency/state entity for review, discussion and to provide feedback

Review and analyze bidders’ questions/request for change(s) Participate in Agency/state entity meetings to discuss bidders’ questions/request for

change(s) and feedback Review the Agency/state entity’s responses to the bidders’ questions/change request(s)

(matrix) and provide feedback Assist Agency/state entity in making the appropriate changes via an addendum to the

solicitation Participate in Agency/state entity meetings to discuss any potential impact to the

timelines and project/procurement risks as a result of any changes Approve and advertise the addendum and change log Obtain CDT legal review and approval when necessary

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BIDDER PROTEST OF REQUIREMENTSProtest of requirements (also known as an initial protest, per PCC 12102.2(g)) are protests regarding any issue other than selection of the “successful Bidder”. Protest of requirements is a challenge brought against a requirement that may be restrictive, ambiguous, favors a specific vendor, solution, technology, etc. Requirement protests will be heard and resolved by the Deputy Director of the Department of Technology, Statewide Technology Procurement (STP), whose decision will be final.

NOTE: If a Protest of Requirements is received, STP recommends that the Agency/state entity seek advice from their legal representative before responding to a bidders’ protest of requirement(s).

Entities with roles involved in the Bidder Protest of Requirements step:1. Agency/state entity2. CDT Critical Partners

Agency/state entity responsibilities: Review and analyze bidders’ protest of requirement(s) Schedule and facilitate stakeholder meetings to discuss bidders’ protest of

requirement(s), if applicable Determine if revisions to the solicitation are required based on bidders’ protest of

requirements and make the appropriate changes via an addendum to the solicitation Respond (in letter format) to each bidders’ protest of requirement(s), to include:

o Why changes “are” or “are not” in the “best interest of the State”o If applicable, tie protest of requirement(s) to the specific solicitation

requirement(s) Receives approvals from Agency/state entity executives/legal and STP, prior to making

any changes Develop a solicitation addendum change log Assist STP in drafting a response letter to Protest of Requirements for each bidder Discuss any potential impact to the timelines and project/procurement risks as a result of

changes Obtain Agency/state entity legal review and approval when necessary

STP responsibilities (as one of the critical partners): Receive bidders’ protest of requirement(s) and forward to Agency/state entity for review

and discussion Review and analyze bidders’ protest of requirement(s) Attend Agency/state entity meetings to discuss bidders’ protest of requirements Draft letter for denial/approval based on Agency/state entity’s feedback and submit to

the STP Deputy Director for approval Obtain CDT Legal review and approval if necessary Assist the Agency/state entity to make the appropriate changes via an addendum to the

solicitation Discuss any potential impact to the timelines and project/procurement risks as a result of

changes Approve and advertise the addendum and change log, if applicable

BIDDER DRAFT AND FINAL PROPOSAL EVALUATIONS

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The compliance phase (draft proposals, conceptual and/or detailed technical proposal) of solicitations is an iterative, conversational mode of proposal and contract development. It requires the State, working together in confidence with each bidder to assess and discuss the viability and effectiveness of the bidders’ proposed methods of meeting the State’s needs as reflected in the solicitation.

If this procurement is including a conceptual and/or detailed technical proposal step, these roles and responsibilities identified below apply to the evaluation of those steps as well.

Reminder: Each Agency/state entity evaluation team member must have signed and submitted to STP a confidentiality and conflict of interest form for this project. The evaluation team has been directed not to talk to anyone about the procurement that has not signed the confidentiality statement or is not an evaluation team member.

The following activities are performed by the evaluation team members with guidance and direction from the STP Procurement Official.

Entities with roles involved in the bidder draft proposal evaluation step:1. Agency/state entity evaluation team2. CDT Critical Partners

Agency/state entity responsibilities (many of these are performed collaboratively with the STP Procurement Official):

Must assign an evaluation lead from their Agency/state entity (a non-voting member of the evaluation team). This person is usually the Agency/state entity’s procurement official.

The evaluation lead assists STP with the evaluation procedures and evaluation plan training for the evaluation team members including on the evaluation forms created for the solicitation

The evaluation lead schedules consensus meetings for evaluations The evaluation lead reserves and prepares the evaluation room and materials. The

evaluation process is conducted in a designated evaluation room The evaluation lead creates, packages the evaluation checklists and all evaluation

documents for each evaluation team member Together with the STP Procurement Official checks-in the bidders’ proposal and

performs the preliminary review The evaluation lead assigns a number to each proposal to indicate review order Use the evaluation checklist and evaluation documents to evaluate the bidders’

proposal For the Draft process only – Use the evaluation checklist and evaluation documents

to document their findings for the confidential discussions detailed defects log Documents any deviations and defects using the material deviations worksheets and

if applicable a defects log for each proposal received Keep all submissions for bidder and evaluation material in a secured area Develop clarification questions and ensure clarifications are released by the STP

Procurement Official Schedules a consensus meeting to document the final scores, ensure all evaluation

materials are finalized and packaged Schedule an evaluation team consensus meeting to document final consensus When not in use, ensure documents are kept in a locked cabinet or the designated

evaluation room at all times

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For the Draft process only – Develops a defect log for each proposal received If performing a value effective evaluation for the procurement, cost will not be

opened until a draft Evaluation & Selection Report is completed and is approved by STP

STP responsibilities (as one of the critical partners): Conducts the evaluation procedures and evaluation plan training with the assistance

of the Agency/state entity’s for the evaluation team members including evaluation forms

Together with the Agency/state entity evaluation lead, checks-in the bidders’ proposals and performs the preliminary review

Ensure that the evaluation plan has been approved by STP prior to opening any of the bidders’ proposals

For Draft Process only – Costs should not be included and if they are, they will not be opened and will be returned to the bidder

Facilitate evaluations and observes proposal review and evaluation sessions Guides the evaluation team through the review of all requirements in accordance

with the evaluation and selection plan Ensure that consensus scoring has been achieved for each requirement Ensure that the evaluation team is following the evaluation plan and solicitation

requirements Ensure that all procurement codes and regulations are being followed Safeguard the independence of the evaluation team from inside and outside

influence Ensure all bidder submissions and evaluation materials are kept in secured area Ensure that the evaluation team is using the evaluation checklist package to

document review of bidders’ proposal For the Draft process only – Participates in the development of a detailed defects log

for each proposal received Assist the Agency/state entity to document any defects using the material deviations

worksheets and, if applicable, a defects log for each proposal received Participates in the consensus meeting to document the final scores, ensure all

evaluation materials are finalized and packaged When not in use, ensure documents are kept in a locked cabinet or the designated

evaluation room is locked Direct the evaluation team to:

o Seek any needed clarification only when necessary orally from the SMEs or the STP Procurement Official

o Not write on draft or final proposalso Not create personal notes or copy working paperso Use post-it notes to mark proposal for reference purposes during the

evaluation o For Draft Process Only - Not determine the numerical scores for the

proposals Posts the Intent To Award or Notification of Award Is the bidders’ single point of contact

CONFIDENTIAL DISCUSSIONS

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The confidential discussions occur after the evaluation team has reviewed the bidders’ draft proposals. The information gathered from the evaluation of the draft proposals will be used as the discussion topics during the confidential discussions.

The objective of Confidential Discussions is (1) ensure that the bidders clearly understand the State’s requirements before attempting to develop its Final Proposal; (2) ensure that the State clearly understands what each bidder intends to propose before those proposals are finalized; and (3) give the State and each bidder the opportunity to discuss weaknesses or potentially unacceptable elements of a bidder’s proposal and give the bidders the opportunity to modify its proposal to correct such problems. These discussion are limited to addressing the areas in the bidders’ draft that would deem it non-responsive/non-responsible during the final submittal or to discuss areas that were not clear to the evaluation team. These discussions will not include how the bidder can improve its scores.

Entities with roles involved in the confidential discussions step:1. Agency/state entity evaluation team2. CDT Critical Partners

The following responsibilities are typically performed collaboratively with the Agency/state entity evaluation team and the STP Procurement Official:

Prepare confidential discussion agenda for each bidder Determine next steps once all confidential discussions have concluded i.e. addendum

Agency/state entity responsibilities: Prepare deviation documents (defects log) detailing the defects that were identified in

the bidders’ draft proposal Document the confidential discussions at a high level Actively participates in the confidential discussions

STP responsibilities (as one of the critical partners): Prepares confidential invitation letters for each bidder to include meeting dates, agenda,

and defects and sends to the bidders at least five (5) working days before the confidential discussions

Communicates the ground rules to bidders and Agency/state entity evaluation team Facilitates and participates in the confidential discussions

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EVALUATION AND SELECTION REPORT (ESR)The Evaluation and Selection Report (ESR) provides the complete history of the procurement process and documents the significant facts, key actions, material deviations, events and decisions leading up to the selection of contractor. Development of the ESR should start with the release of the solicitation and updated frequently throughout the procurement. This will result in a more efficient and accurate document and eliminates the need to research past events at the end of the procurement process.

Entities with roles involved in the evaluation and selection report step:1. Agency/state entity evaluation team2. CDT Critical Partners

Agency/state entity responsibilities: Develop the draft ESR for STP review and approval before cost opening. After cost opening and evaluation of costs, finalize evaluation and selection report,

obtain evaluation team reviews and signatures, and submits to STP for final review and approval.

STP responsibilities (as one of the critical partners): Assists the Agency/state entity develop the ESR Provides examples of ESRs, if needed Review the draft ESR Approve the final ESR

NEGOTIATIONS (IF APPLICABLE)Is important to know that only DGS and CDT/STP has the authority to negotiate (PCC Section 6611). The Agency/state entity must first discuss the reasons (opportunity and intricacies) for negotiating with STP before a decisions is made to enter negotiations. Refer to SCM 3, section 2.C5.0 for more information.

Entities with roles involved in the negotiations step:1. Agency/state entity evaluation team2. CDT Critical Partners

Agency/state entity responsibilities: Submits a request to enter into negotiations under PCC 6611 to STP Develops a negotiation plan and strategy for negotiations Attends and actively participates in negotiation sessions With guidance from STP, assigns key participants and roles that are needed throughout

the negotiation process

STP responsibilities (as one of the critical partners): Review and approve request to enter into negotiations under PCC 6611 (includes CDT

Legal and CDT Director’s approval) Review and approve negotiation plan Serves as Lead negotiator Guides the Agency/state entity with the negotiation process Communicates negotiation ground rules to Agency/state entity and bidders Coordinates and oversee negotiation sessions Approves the final negotiated agreement

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COST OPENING/EVALUATIONEntities with roles involved in the cost opening/evaluation step:

1. Agency/state entity evaluation team2. CDT Critical Partners

The same responsibilities from the BIDDER DRAFT AND FINAL PROPOSAL EVALUATIONS section apply with the following additions listed below.

Agency/state entity responsibilities: Validates costs to ensure no changes in the cost worksheet and formulas are correct Documents any deviations and defects using the material deviations worksheets and, if

applicable, defects log for each cost proposal received

STP responsibilities (as one of the critical partners): For Draft Process only – Costs should not be included and if they are, they will not be

opened and will be returned to the bidder Schedule and inform the bidders of public cost opening Conduct public cost opening

FINAL ESREntities with roles involved in the Final - ESR step:

1. Agency/state entity evaluation team2. CDT Critical Partners

Agency/state entity responsibilities: Finalize the ESR with the cost and, if applicable, negotiation information Obtain evaluation team reviews and signatures Submit to STP for final review and approval before the Intent to Award or Notification of

Award is posted

STP responsibilities: Assists the Agency/state entity develop the final ESR Provides examples of ESRs, if needed Reviews and approved final ESR

CONTRACT PREPARATION/EXECUTIONThe evaluation lead, Agency/state entity’s contract administrator, and the STP Procurement Official has verified receipt of all contract documents are submitted with the signed STD 213.

Entities with roles involved in the contract preparation step:1. Agency/state entity project team2. CDT Critical Partners

Agency/state entity responsibilities: Coordinates with ITPO to ensure funding and project approval (DOF approval/section

11/SPR) Compile contract documents in accordance with the STD. 213 including all exhibits

and/or attachments Submit complete contract and STD. 215 to the STP Procurement Official for final review

and approval prior to contract signing of any of the parties

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Once STP has approved the contract documents, sends contract documents to Contractor for signature

After the Contractor signs the contract, Agency/state entity signs the contract Submit to the STP Procurement Official to fully execute the contract Routes a fully executed contract to the Contractor

STP responsibilities (as one of the critical partners): Follows up with ITPO to ensure funding is approved and if a section 11 or SPR is

required prior to contract execution Review and approve contract documents prior to signatures Approve and sign contract documents after Contractor and Agency/state entity has

signed Routes a fully executed contract and STD. 215 to SCO Routes a minimum of two fully executed contracts to the Agency/state entity (One for the

Agency/state entity and one for the Contractor)

Other than the items listed above, if there are any concerns that needs the STP Procurement Official’s attention (e.g., funding deadlines, etc.), please let the STP Procurement Official know in order to plan the procurement accordingly.

Procurement Roles & Responsibilities discussed at the <insert Agency/state Entity and project name> kickoff meeting on <insert date of kickoff meeting/discussion>.

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