CIO Review Approval

Policy CIO-19-001 Issue Date: 08/01/2019 Revised: 08/01/2022

1.0 PURPOSE

This policy establishes a framework for all technology procurement requests that require CIO Approval. 

W. Va. Code § 5A-6-1, et seq., provides that the Chief Information Officer (CIO) may evaluate and make recommendations on the design and suitability of Information Technology (IT) equipment and related services, and may review and make recommendations on the purchase, lease or acquisition of information equipment and contracts for related services, including temporary IT staffing by all state spending units.

2.0 SCOPE

For technology procurements with aggregate spend over $250,000, please reference Appendix A.

This policy is applicable to all state agencies, with the exception of those listed in W. Va. Code §5A-6-8, “Exemptions” and the above referenced Appendix A.

The State’s Procurement Officers are expected to be familiar with and to comply with this policy.

3.0 POLICY

3.1 Pre-Approval for Technology Procurements Below $5,000 Threshold

3.1.1 To enable additional flexibility and speed in the procurement process, a blanket approval list (Appendix B) is provided for specific software and hardware when below the $5,000 threshold.

3.1.2 Agencies must submit a Privacy Impact Assessment (PIA) prior to the procurement and/or use of removable media storage devices. Contact your Agency’s Privacy Officer or visit privacy.wv.gov for more information.

3.2 Expedited Review Request Process

3.2.1 The intent of the Expedited Review is to provide Agencies with a mechanism to indicate a time-sensitive circumstance as the   result of a business need.

3.2.2 The following review types are NOT authorized for expedited review.

3.2.2.1 Request for Proposals (RFPs) at the concept stage

3.2.2.2 Request for Proposals (RFPs) at the release stage

3.2.2.3 Contract Renewals

3.2.3 Expedited Review requests must be approved by the requesting Agency Head or designated approver. An email chain is an acceptable format for this approval.

3.2.4 An Expedited Review request must be sent with “Important: Expedite Request” in the subject line of the email. Include detailed business justification in accordance with the criteria outlined below:

3.2.4.1 Funding Source Impact

 3.2.4.1.1 Detailed explanation of the funding source impact to the agency.
      3.2.4.1.2 Fund source type (General Revenue, Special Revenue, Grants, etc.)
      3.2.4.1.3 If funds are expiring, provide expiration date(s).
      3.2.4.1.4 Additional details, as necessary.

3.2.4.2 Significant Operational Impact

  3.2.4.2.1 Detailed explanation of the operational impact to the agency.
  3.2.4.2.2 Explanation of the urgency and scope of anticipated or actual impact.
  3.2.4.2.3 Timeline of existing or anticipated operational impact.
  3.2.4.2.4 Additional details, as necessary.

Depending on the complexity of a procurement, the WVOT reserves the right to request additional information. These requests must be            submitted to Consulting.Services@wv.gov

3.3  Requests for Proposals, Quotations, and Information (RFP, RFQ, RFI) and Other non-Expedited Requests

3.3.1 When requesting CIO Approval, an Agency must provide the Office of Technology with all the relevant details required. At a minimum, that must include the following:

3.3.1.1  Description (What do you need?)

3.3.1.2  Justification (Why do you need it?)

3.3.1.3  Estimated Cost (How much it will cost?)

3.3.1.4  Purchase Method: Contract Change Order, Contract Renewal, Cooperative Agreement, Direct Award, Emergency Purchase, P Card
      Purchase, Release Order (ADO/CDO), RFI, RFP Award, RFP Concept, RFP Release, RFQ Award, RFQ Release, Statewide Contract       Waiver, Telecommunication Invoicing/Payment Waiver

3.3.1.5   Will it be replacing something already in place or will it be a new addition?

3.3.1.6   Specification Documents (if applicable)

3.3.1.7 Where will equipment be located? (if applicable)

3.3.1.8 Oasis number (if applicable)

   Depending on the complexity of a procurement, the WVOT reserves the right to request additional information. These requests must be submitted to Consulting.Services@wv.gov

3.3.2  Request for Proposals require three (3) CIO Approvals: concept, release, and award stages.

3.3.2.1    RFP Concept Stage Review. WVOT is reviewing the request to ensure alignment with the State’s strategic initiatives. A determination memo is sent via email to the Agency point of contact.

3.3.2.2   RFP Release Stage Review. WVOT is reviewing the request to ensure the solicitation aligns with the concept and enterprise architecture standards. The agency must submit the review with estimated costs. A determination memo is sent via email to the Agency point of contact.

3.3.2.3   RFP Award Stage Review. WVOT is reviewing the request to validate strategic alignment, enterprise architecture standards adherence and cost. The Agency must submit all award documentation for review. A determination memo is sent via email to the agency point of contact.

3.3.3 Request for Quotations (RFQ) require CIO Approval at the release, and sometimes, award stages.

3.3.3.1    RFQ Release Stage Review. WVOT is reviewing the request to ensure the solicitation aligns with the concept and enterprise architecture standards. The agency must submit the review with estimated costs. A determination memo is sent via email to the agency point of contact.

3.3.3.2   RFQ Award Stage Review. WVOT is reviewing the request to validate strategic alignment, enterprise architecture standards adherence and cost. The agency must submit all award documentation for review. A determination memo is sent via email to the agency point of contact. This approval is only required for purchases of $50,000 or more.

3.3.4 Request for Information (RFI) require CIO Approval at the concept stage.

3.3.4.1   Agency must submit an overview and justification of the desired RFI. WVOT is reviewing the request to ensure alignment with the State’s strategic initiatives. A determination memo is sent via email to the agency point of contact.

3.3.5 Contract Renewals

3.3.5.1 WVOT is reviewing the request to ensure alignment with the State’s strategic initiatives and cost. A determination memo is sent via email to the agency point of contact.

3.3.5.2 An Agency may request all subsequent contract renewals be approved in advance. WVOT reserves the right to retract an approval should it be deemed in the best interest of the State.

3.3.6 Minor Contract Reassignments

   CIO Approval is required if the contract reassignment alters the technical specifications of the contract. CIO Approval is not required for contract reassignments necessitated by a name and/or other administrative change, such as funding or address changes.

3.3.7 Open-End Contracts

3.3.7.1 Technology Statewide Contracts

3.3.7.1.1 CIO Approval may be required for some Statewide Contracts. For ordering instructions and attachments, visit:
https://www.state.wv.us/admin/purchase/swc/default.html.

3.3.7.1.2 The CIO does NOT have authority to grant waivers from the use of a statewide contract; however, CIO Approval is required for any resulting procurement where Central Purchasing has granted exemption from using a statewide contract.

3.3.7.1.3 The CIO does hold the authority to grant waivers from the telecommunications ordering and billing services provided under WV code §5A-7-1.

3.3.7.1.4 Any entity exempted from CIO Review by Code is not required to submit Statewide Contract orders to the WVOT.

3.3.7.2 Master Agreements (Open-End Contracts)

CIO Approval is inherent for every delivery order released from master agreement (CMA, AMA) contracts, unless otherwise specified by       the original approval memo.

3.4 Waiver Request from CIO Approval

3.4.6.1 An Agency may submit a waiver request to the Office of Technology for purchases for review and consideration. This provision is specifically applicable to those entities that are not connected to the State’s network and are not exempted by Code.

3.5 Internal Delegation Memo

The Internal Office of Technology delegation is outlined in Appendix C.

3.6 SaaS Cloud Addendum Overview

Information about the Cloud Addendum is outlined in Appendix D.

4 RELEVANT MATERIALS/DOCUMENTS

This policy is consistent with the following federal and state authorities:

● WV Code § 5A-6-1

● WVOT Policies Issued by the Chief Information Officer (CIO), https://sites.google.com/wv.gov/othub/nonav/policies/cto-19-001

5 ENFORCEMENT

Any employee found to have violated this policy may be subject to disciplinary action up to and including dismissal. Disciplinary action will be administered by the employing agency and may be based upon recommendations of the WVOT and the West Virginia Division of Personnel. Please review the WVOT Policy and Procedure Policy #1000 to review additional provisions concerning enforcement and policy authority.

Audits will be completed by the Office of Technology during the Contract Renewal process to make recommendations for changes and efficiencies. Audits will also be conducted by the Office of Technology on purchasing card purchases relating to Technology procurements.

6 Change Log History

● July 1, 2019 –
o Document Created.

● December 1, 2020 –
o Changed email address from consultingservices@wv.gov to Consulting.Services@wv.gov
o Added Section 3.9
o Added Kofax to the Nuance version in Appendix B
o Added Appendix D

● March 10, 2022 -
o Change reference to CTO to CIO
o Change reference to Chief Technology Officer to Chief Information Officer
o Change reference to DIGICOP statewide contract to DIGCOP statewide contract
o Change section 3.1.3 to include designated approver
o Removed Accelerated Review Section
o Added questions to send to CIO Review team when submitted requests to Relevant Materials/Documents section.

● Jul 15, 2022
o Restructured formatting and sentence structure throughout the document.

7 Authority

Joshua D. Spence
Chief Information Officer
West Virginia Office of Technology