SF 1014 - Justification for an Exception to Fair Opportunity 09132023__Redacted.pdf

DEPARTMENT OF THE TREASURY

SF 1014 - JUSTIFICATION FOR AN EXCEPTION

TO FAIR OPPORTUNITY

Treasury Standard Form – 1014 (Rev 5/18)

Prescribed by Treasury: DTAP 1016.505

Tracking No.

1. Identification of the requiring activity and the contracting activity:

Requiring Activity: The Internal Revenue Service (IRS) Return Review Program Legacy Components (RRPLC) Contracting Activity: IRS Office of Procurement, Acquisition Management & Planning, Procurement Innovation Branch on behalf of the Office of Information Technology Acquisition (OITA).

2.a Nature and/or description of the action being approved:

The IRS requires seven (7) 2023 InstallShield Professional License Subscription for use by RRPLC developers.

2.b Name of the vendor. TBD – InstallShield Authorized Reseller 2.c Requisition No.: 5000175612 2.d Bridge contract: Yes No 2.e Brand name: Yes No 3.a A description of the supplies or services required to meet the agency’s needs:

The proposed acquisition is to acquire seven (7) 2023 InstallShield Professional License Subscription. These products are to be distributed to seven (7) workstations for RRPLC developers use.

3.b Includes IT: Yes No NAICS Code: 541519 PSC: 7E20 3.c IGCE/Estimated dollar value:

4.a Identification of the exception to fair opportunity being used:

FAR 16.505(b)(2)(i)(A) – The agency need for the supplies or services is so urgent that providing a fair opportunity would result in unacceptable delays.

FAR 16.505(b)(2)(i)(B) – Only one awardee is capable of providing the supplies or services required at the level of quality required because the supplies or services ordered are unique or highly specialized.

FAR 16.505(b)(2)(i)(C) – The order must be issued on a sole-source basis in the interest of economy and efficiency because it is a logical follow-on to an order already issued under the contract, provided that all awardees were given a fair opportunity to be considered for the original order

FAR 16.505(b)(2)(i)(D) – It is necessary to place an order to satisfy a minimum guarantee.

FAR 16.505(b)(2)(i)(E) – For orders exceeding the simplified acquisition threshold, a statute expressly authorizes or requires that the purchase be made from a specified source.

FAR 16.505(a)(4) – The requirement is for an item peculiar to one manufacturer.

4.b Supporting rationale:

The IRS requires 2023 InstallShield Professional License Subscriptions that are approved for use within the agency information technology infrastructure. InstallShield Professional License Subscription is used to package custom development applications and library components. Developers build reliable Windows Installer (MSI) and InstallScript installations for desktop, server, Web, and mobile applications. It is also the only installation solution that can build Microsoft App-V virtual packages to support filing season critical work. 2023 InstallShield Professional License is an approved version on the Enterprise Software Product

(ESP).

5. A determination that the anticipated cost to the Government will be fair and reasonable:

The Contracting Officer will determine that the price is fair and reasonable based on applicable price analysis techniques and established commercial catalog prices. Award will be made to the lowest priced technically acceptable offeror.

6.a Any other facts supporting this justification:

Other documents that will support this justification are the Independent Government Cost Estimate (IGCE), Statement of Work (SOW) and Market Research Summary Report.

6.b Attachments: Yes No

7. A statement of the actions, if any, the Requiring Activity and Contracting Activity may take to remove or overcome any barriers that led to the exception to fair opportunity before any subsequent acquisition for the supplies and services is made:

For any subsequent acquisition for similar supplies or services, the Government will seek competition to the maximum extent. The Brand Name will be competed on the National Aeronautics and Space Administration (NASA) Solutions for Enterprise-Wide Procurement (SEWP) portal. The Government will continue to search the marketplace for software solutions that meets the Government’s needs.

8. Certifications and Approvals:

8.a Program Office Certification (Requiring Activity). I hereby certify that any supporting information and data provided (e.g., the Government’s minimum needs or requirements, or other rationale for the limited sources) and which form the basis for this justification for an exception to fair opportunity, are accurate and complete to the best of my knowledge and belief.

Name: Arthur Wadford Date: 09/13/2023

Signature:

8.b Contracting Officer Certification and Approval. I certify this justification for an exception to fair opportunity is accurate and complete to the best of my knowledge and belief.

Therefore, unless additional approvals are required as prescribed below, as the authorized contracting officer for this acquisition, I hereby approve the processing of this requirement based on the authority specified in 4.a above.

Name: Holly Donawa Date: 09/13/2023

Signature:

9. Additional Reviews and Approvals (As applicable):

9.a Bureau Chief Information Officer or Authorized Designee (for IT requirements that are over $5 million, but not exceeding $68 million) (Contracting Activity). I have reviewed this justification and find it to be accurate and complete to the best of my knowledge and belief, and representative of the Government’s need. Therefore, I hereby consent to the approval of this justification. (Note: The Bureau CIO may delegate their authority for proposed contracts over $5 million, but not exceeding $13.5 million to the Associate Bureau CIO(s).)

Name: Date:

Arthur F. Wadford Jr. Digitally signed by Arthur F. Wadford Jr.

Date: 2023.09.13 15:28:26 -05'00'

Holly N. Donawa Digitally signed by Holly N. Donawa Date: 2023.09.13 16:59:19 -04'00'

Signature:

9.b Advocate for Competition (if over $700,000, but not exceeding $13.5 million) (Contracting Activity). I have reviewed this justification for an exception to fair opportunity and find it to be accurate and complete to the best of my knowledge and belief. Therefore, unless additional approvals are required as prescribed below, as the ordering activity’s Advocate for competition, I hereby approve this justification based on the authority specified in 4.a above.

Name: Date:

Signature:

9.c Head of the Procuring Activity or Authorized Designee (if over $13.5 million, but not exceeding $68 million) (Contracting Activity). I have reviewed this justification for an exception to fair opportunity and find it to be accurate and complete to the best of my knowledge and belief. Therefore, unless additional approvals are required as prescribed below, as the head of the procuring activity or authorized designee, I hereby approve this justification based on the authority specified in 4.a above.

Name: Date:

Signature:

9.d Treasury Chief Information Officer (for IT requirements that are over $68 million). I have reviewed this justification and find it to be accurate and complete to the best of my knowledge and belief, and representative of the Government’s need. Therefore, I hereby consent to the approval of this justification.

Name: Date:

Signature:

9.e Senior Procurement Executive (if over $68 million) (Contracting Activity). I have reviewed this justification for an exception to fair opportunity and find it to be accurate and complete to the best of my knowledge and belief. Therefore, as the senior procurement executive, I hereby approve this justification based on the authority specified in 4.a above.

Name: Date:

Signature:

INSTRUCTIONS FOR

SF-1014- JUSTIFICATION FOR AN EXCEPTION TO FAIR OPPORTUNITY

I. General Instructions. Each Justification for an Exception to Fair Opportunity shall contain sufficient information and data to justify the proposed action, thereby be able to stand on its own.

This type of detail is critical in order to enable a reviewer and/or approver to clearly understand the requirement and the rationale for supporting the justification. Simply copying and pasting information from a vendor’s website or marketing literature fails to support the use of such justification. Market research performed by the Requiring Activity and Contracting Activity should be used to support this document.

Given the majority of the information and data necessary to support this type of action resides with the Requiring Activity, they are the primary party responsible for completing this form.

However, the Requiring Activity shall seek assistance and input from the Contracting Activity/Contracting Officer (preferably in advance of submission of the procurement request).

It is also recommended the justification is not signed by the Requiring Activity until such time the Contracting Officer has had an opportunity to review, make necessary revisions and to include other necessary information or data to support the justification.

For Brand-name acquisitions keep in mind the justification is to cover only the portion of the acquisition which is brand-name and that that the document approval requirements only apply to that portion. However, it does not mean that details regarding the overarching requirement (i.e.

in the instance where the brand name is only a portion of an overall requirement) aren’t to be included in the document.

In the event of conflict between this form and applicable regulatory coverage (i.e. FAR and DTAR), the more stringent requirement shall be followed.

If the requirement involves classified or sensitive information ensure the proper steps are taken to protect the information (e.g. labeling and marking).

Prior to distribution for signature: (i) retain only those signature blocks applicable to the dollar value of the items covered by this justification, (ii) delete all green text (which are examples), and (iii) consider converting the document to .pdf to support electronic signature and ease of retention.

The fields within this form are fluid and will change based upon input, therefore individuals completing this form need to be mindful of formatting prior to converting the document to pdf and submitting it for signature.

II. Field specific instructions.

1. Identification of the requiring activity and the contracting activity. Provide the name of the name of the actual requiring activity (e.g. Treasury’s Washington, DC Office – Central IT Division). Provide the name of the contracting agency and the name of the actual contracting activity (e.g. BFS’ West Virginia Office – Contracting Division for IT).

2. Nature and/or description of the action being approved. Describe the type of action being issued (e.g. new award, contract modification or brand name). Identify the contemplated contract type (e.g. firm fixed price). If known, include period of performance. Also, when processing a class justification, include the effective period the justification will be in effect.

If modifying a contract or order thereby requiring a justification or a modification to the initial justification then ensure to include the contract no., task/delivery order number (if applicable), proposed contract modification number, nature of why the modification is required and, if applicable, a copy of the initial justification.

If brand name, ensure to mention this justification is covering only the portion of the acquisition which is brand-name.

Section 2.b Name of vendor. If applicable, insert the name of proposed vendor. If not applicable, enter “Not applicable”.

Section 2.c Requisition Number. If known, include the requisition number. If not applicable, enter “Not applicable”.

Section 2.d Bridge contract. Check the applicable box. See DTAP 1017.70 for a definition of bridge contract and other requirements.

Section 2.e Brand name. Check the applicable box.

3.a A description of the supplies or services required to meet the agency’s needs. Provide a clear, concise description of the supplies or services to be procured. Include a statement regarding the delivery schedule and/or the period of performance, inclusive of all option periods and award terms. If applicable, state the associated contract line or subline items the supplies or services are being procured against. For supplies, include details such quantity and a brief description of the items (e.g. twelve (12) laptops).

For brand name, provide the name of the brand, model number and other specific details associated with the brand name item(s) being procured; name(s) of known sources that can provide the brand name.

For modification describe the purpose of modification, including details such as proposed extension to the period of performance as well as the purpose of and type of the contract.

3.b Includes IT. Check the applicable box. If, yes is selected then include the NAICS and PSC

3.c IGCE/Estimated dollar value. Provide the IGCE/estimated dollar value of the anticipated award, inclusive of all options, award terms and any other monetary incentives. If applicable, provide separately for each option, award term and other monetary incentive a general description (e.g. option period 1 – April x, 201x through March x, 201x) and the associated individual dollar amount. These separate dollar amounts should add up to the total estimated dollar value; however if there is a difference then provide a discussion as to why they don’t.

For brand name also provide the IGCE/ estimated dollar value of the portion of the order, inclusive of all options, award terms and other monetary incentives, that is brand name.

For modifications provide the IGCE/estimated dollar value of the proposed modification, the current total dollar value of the contract.

4.a Identification of the exception to fair opportunity being used. Check the applicable exception being used for this justification.

4.b Supporting rationale. Provide a clear and concise description of the rationale for the use of the authority being cited above, including a demonstration that the proposed contractor’s unique qualifications or the nature of the acquisition requires use of the exception cited. The following provides additional insight for purposes of completing this field:

FAR 16.505(b)(2)(i)(A) Describe the nature or circumstances of the urgency surrounding the agency’s need; how any follow-on work will be competed or how such urgency will be mitigated in the future; describe the extent and impact of the unacceptable delay (e.g.

quantitative data, dollars that would be lost, the impact to schedule) if fair opportunity was provided. Provide supporting rationale and a concise description of the extent, nature, and impact of the potential harm to the Government.

FAR 16.505(b)(2)(i)(B) Describe what makes this contractor the only responsible source.

For example, (i) does the proposed contractor have facilities or equipment that are specialized or unique that are vital to the effort?; (ii) Is the proposed contractor the only one that can meet critical schedule(s) required by the Government?; (iii) Does the proposed contractor have prior experience or expertise of a highly specialized nature that is vital to the effort?; (iv) Does the contractor have an exclusive licensing agreement?. Fully explain why any other supply or service provided by another vendor will not satisfy the Government’s need. Also, describe any type of market survey and analysis efforts conducted to support this conclusion.

FAR 16.505(b)(2)(i)(C) If the logical follow-on exception is used, the rationale shall describe why the relationship between the initial order and the follow-on is logical (e.g., in terms of scope, period of performance, or value). Provide the estimated cost and/or time savings that will result from the non-competitive award, and explain the basis for the estimate.

FAR 16.505(b)(2)(i)(D) If the satisfy a minimum guarantee exception is used, specify the amount of that guarantee, and, if applicable, the amount that has been ordered to date.

Discuss why the minimum was not otherwise met and any actions the Government took to meet that minimum.

FAR 16.505(b)(2)(i)(E) If the statute exception is used, cite the statute along the specific language from the statute and how it applies to this order.

FAR 16.505(a)(4) State the brand name product’s unique attributes (be specific and use technical terms, if necessary), provide an explanation of the proposed brand name item(s) unique qualifications and why no other similar product will suffice, including why other companies’ similar products lacking the particular feature do not meet, or cannot be modified to meet, the agency’s needs; why (if applicable) the nature of the acquisition requires the use of the brand name product. Provide an estimate of the cost and/or delay the Government would incur if other than the brand name item is used for this requirement.

Do not simply take information from a vendor’s website or other such marketing information to use as the basis as to why they are unique. Also, describe any type of market survey and analysis efforts conducted to support this conclusion.

5. A determination that the anticipated cost to the government will be fair and reasonable.

Provide a clear and complete description of the contracting officer’s determination that the anticipated cost or pricing the Government will be fair and reasonable. This might include things, such as consideration of commercial pricelists or prior acquisition history.

6.a Any other facts supporting this justification. Additional examples beyond those provided in the form itself are:

If the justification is based on an urgent and compelling need, there may be additional data or estimated costs that further support the extent and nature of the harm to the government in delay in award will cause or

If the justification is based on a need to purchase a patented or copyrighted product that has not been licensed for resale obtain some type of documentation from the vendor demonstrating they are intellectual property holder and there are no authorized resellers.

6.b Attachments. Check the applicable box. Examples of attachments might be a copy of the IGCE, certification from the vendor stating they are other only authorized reseller of the particular item or are the patent holder of the item.

7. A statement of the actions, if any, the Requiring Activity and Contracting Activity may take to remove or overcome any barriers that led to restricted consideration before any subsequent acquisition for the supplies and services is made. Describe actions taken, or that may be taken, to remove or overcome any barriers to competition before any subsequent acquisitions for the supplies or services required (e.g. overcoming challenges to restrictive data markings, data rights, preparation of a performance based work statement). If planning or in the midst of a competition, include information regarding this action (e.g. estimated date when the competitive procurement will occur or award to be made). Refer to the language in green text for an example.

8. and 9. Certifications, Reviews and Approvals. Each review must be preceded by lower level approval(s), e.g., over $68 million all approvals are required. IN NO CASE SHALL AN

INDIVIDUAL SIGN MORE THAN ONE APPROVAL LEVEL.

For justifications that include the purchase of Information Technology (IT) the following apply:

The IT signature reflects only the portion of the acquisition that is IT. This can be important when dealing with an acquisition where IT does not represent the predominate value of the acquisition (i.e. therefore it is not assigned an IT PSC code (see the Treasury IT Acquisition Tracker).

The Bureau Chief Information Officer (CIO) may delegate their authority for proposed contracts over $5 million, but not exceeding $13.5 million to Associate Bureau CIO(s).

Refer to the Bureau supplement to the DTAP to determine if the Bureau CIO has indeed delegated their authority.

FAR 16.505(b)(2)(ii)(C) uses the terms “head of the procuring activity” which has the same meaning as head of the contracting activity (HCA).

A supplemental justification is required if any of the following revisions occur between approval of the original justification and actual award of the contract or modification of the award: an increase in dollar value beyond the authority approved in the justification; a change in the competitive strategy that further reduces competition; or any type of change in requirement that affects the basis of the justification.

Additional. Tracking No.: This field is completed as prescribed by Bureau procedures.