Sole Source Justification Form Part One Rocket Software.pdf

Sole Source Justification Form

Version 7.01 Page 1 of 5

Bulletin Reference Number 27-350SOS-ITSOS-B-52822

Requesting Agency/University Illinois Secretary of State

Sole Source Justification Form - Part I Section I - General Information

Department/Bureau/Section: Information Technology/Data Center Services/IT Fiscal

Need Identified Date: May 5, 2026 Supply/Service Need By Date: Jul 1, 2026

Project Title: Rocket Software TMON, Navigraph, NaviPlex, SQL Analyzer

Vendor: Rocket Software (formerly ASG Technologies)

Provide a description of the supplies or services required: Enterprise server software for monitoring mainframe and DB systems

Value: Actual Value of Initial Term, this Change Order or Amendment: 488,818.78

Will this Sole Source amend a Professional or Artistic Services contract? Yes No

*Sole Source may not be used for amendments for Professional or Artistic Services if the amendment would increase the value by more than 5% of the initial award or extend the term by more than 60 days.

Type: New Sole Economically Feasible Source

Section II - Proposed Term

One-Time Purchase Term Contract

Estimated Contract Begin Date: Jul 1, 2026

Estimated Contract End Date: Jun 30, 2027

Number of Potential Renewals: 0

Length of Each Renewal in Months:

Total Value of All Renewals:

If a Term Contract, does the term, including renewals, exceed 12 months? Yes No

Section III - Funding Source Select the type of funding to be used (Check all that apply): State Appropriate Funds Federal Funds Other (Explain):

Section IV - Sole Source Justification

This purchase is economically only available from a single source primarily because it is: (If "Other" explain in one sentence)

Items are Copyrighted or Patented and the Items are Only Available from the Holder

Are there secondary justification(s) for this sole source? Yes No

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Bulletin Reference Number 27-350SOS-ITSOS-B-52822

Requesting Agency/University Illinois Secretary of State

Section V - Purchase History

Has the Agency or University Purchased these supplies or services in the past? Yes No

Term Term From Term To Value Description Contract Number Type

1 Jul 1, 2016 Jun 30, 2017 275,000 Annual software maintenance 14IT023013 Sole Source

2 Jul 1, 2017 Jun 30, 2018 275,000 Annual software maintenance 14IT023013 Sole Source

3 Jul 1, 2018 Jun 30, 2019 275,000 Annual software maintenance 14IT023013 Sole Source

4 Jul 1, 2019 Jun 30, 2020 250,000 Annual software maintenance 14IT023013 Sole Source

5 Jul 1, 2020 Jun 30, 2021 275,000 Annual software maintenance 21IT023001 Sole Source

6 Jul 1, 2021 Jun 30, 2022 302,500 Annual software maintenance 21IT023001 Sole Source

7 Jul 1, 2022 Jun 30, 2023 332,750 Annual software maintenance 23IT023031 Sole Source

8 Jul 1, 2023 Jun 30, 2024 409,735 Annual software maintenance 24IT023000 Sole Source

9 Jul 1, 2024 Jun 30, 2025 423,000 Annual software maintenance 25IT103000 Sole Source

10 Jul 1, 2025 Jun 30, 2026 452,610 Annual software maintenance 26IT103001 Sole Source

If more than 10, or if other comments, explain:

ASG/Rocket has provided licenses, support and maintenance to Secretary of State since 2003.

Section VI - Business Rationale

1. Provide a detailed explanation of the need for the supplies or services:

The Illinois Secretary of State, Information Technology Department uses IBM mainframe hardware to support the duties of the office.

This software is a third party enterprise server software that is used for real time monitoring of mainframe performance of operating communications and DB systems. This software provides MVS, CICS for DB2 and TCP/IP. These products are mainframe utilities for applications. The performance management this software provides is critical to our systems.

2. Provide a list and describe in detail the specifications required to satisfy the need:

The enterprise server and DB system performance management maintenance is critical and required for the internal and external applications that services and supports the duties of this agency. The below list is a complete package of what we need to satisfy the need of performance management for our mainframe systems.

GCE-ASG-NAVIGRAPH for CICS, ASG-NAVIGRAPH FOR DB2, GMQ-ASG-NAVIGRAPH FOR MQ, GVM-ASG-NAVIGRAPH FOR Z/OS, GRC-ASG- NAVIGRAPH FOTTCP/IP, MEB-ASG-TMON FPR MQ Enterprise, JAVA Client, Linux, ASG Ashtmon software for PA server, DB2, Windows Modeling Suite, z/OS, Web based applications, Managed node and reports.

3. Provide detail explaining the justification selected in Section IV to explain why the requested supplies or services are the only ones available that can satisfy the agency or university requirements?

ASG software products are mainframe utilities used by the Secretary of State's Office to support our mainframe applications. ASG- TMON for CICS is a tool used to monitor the CICS environment and is a proprietary software of ASG Technologies Group. It assists with performance tuning and problem analysis. The Secretary of State's Office also uses ASG-TMON for DB2 and ASG-TMON for z/OS. The Department of Information Technology is responsible for ensuring the mainframe environment and mainframe utilities remain stable and reliable. The department is required to maintain software support/maintenance on all mainframe systems and utilities and the proprietary software from ASG Technologies Group is the reason the Secretary of State is able to execute the performance management for our critical mainframe systems and utilities.

Version 7.01 Page 3 of 5

Bulletin Reference Number 27-350SOS-ITSOS-B-52822

Requesting Agency/University Illinois Secretary of State

4. What are the unique features of the supplies or services that are not available in any other product or by any other vendor? Provide specific quantifiable factors/qualifications:

The ASG-TMON is used to monitor performance of the CICS, DB2 and z/OS systems. This software product is proprietary to ASG Technologies Group and is not an off-the shelf product. This software is licensed under various platform solutions. ASG provides its own integrated software to our solution needs. This software /services described above are all required to continue the necessary support of our mainframe systems and utilities.

5. Has the Agency or University considered alternative supplies or services to satisfy their need? Yes No

5a. If no, why weren't alternatives evaluated?

No competing supply or service is being considered. This software is very effective for the performance management of our critical mainframe systems and utilities. The process of replacing these applications cannot be accomplished quickly or easily and requires significant funding and staff resources. There is a significant investment in this software. The amount of IT hardware and infrastructure that operates with this software is vast. If an alternate software was procured, the amount of training, full time commitment of staff resources would be too great for the agency to absorb, along with the continued maintenance and support of the existing system during a conversion. It is economically feasible for the Secretary of State's Office to maintain the existing functionality and application.

6. Are there resellers or distributors?

Yes No N/A

7. What efforts were made to get the best possible price (i.e. did the agency/university negotiate) and how did you determine the price for this purchase is considered fair and reasonable?

The historical expenditures of this product have not changed greatly over the years. Future expenditures are expected to remain the same and are fair and reasonable for this critical solution for the State of Illinois. The agency has negotiated pricing with the vendor every year for the last 2-3 years.

8. Will this purchase obligate the State to this vendor for future purchases such as maintenance, licensing or continuing need?

Yes No

8a. If yes, please provide details regarding future obligations and/or needs:

The Information Technology Department will continue to evaluate this solution and it's effectiveness. Until the department determines the software is no longer needed or effective, the performance management of the mainframe system will require this solution to ensure the mainframe environment and mainframe utilities remain stable and reliable.

9. What will be the financial or other impact to the State if this sole source is not approved and a competitive bid is required?

If this sole source is not approved, the financial impact, along with the amount of staff resources would be too great for the agency to handle. It would be a very long process, requiring a lot of time, staff and funding to find a different effective solution. The agency cannot have a lapse of service or our mainframe environment could be jeopardized.

10. Is there any additional information you would like to add to justify this sole source?

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Bulletin Reference Number 27-350SOS-ITSOS-B-52822

Requesting Agency/University Illinois Secretary of State

Section VII

Requesting Department Representative

Requesting Department Signature Required

I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed.

Date May 5, 2026

Printed Name Kelly Mehring E-mail Address kmehring@ilsos.gov

Phone Number 217-843-4060

State Agency Bureau/Division Head or University Purchasing Director Approval and Signature Required

I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed. (All prior form fields will lock once this e-signature is completed)

E-mail Address

Phone Number Date

Printed Name

Agency Bureau/Division Head or University Purchasing Director and Not a Designee

SPO Approval and Signature Required

I have reviewed and understand the contents of this Sole Source Justification and agree with the State Agency or University determination.

I have reviewed and understand the contents of this Sole Source Justification and do not agree with the State Agency or University determination. As a result, the State Agency or University must explore other sourcing methods to satisfy their need.

State Purchasing Officer Signature Phone Number 217-782-3091 Date Jun 4, 2026

Printed Name Dave Littrell E-mail Address dlittrell@ilsos.gov

Version 7.01 Page 5 of 5

Bulletin Reference Number 27-350SOS-ITSOS-B-52822

Requesting Agency/University Illinois Secretary of State

Sole Source Justification Form - Part II Section I - General Information

Project Title Rocket Software TMON, Navigraph, NaviPlex, SQL Analyzer

Vendor Rocket Software

Initial Date of Procurement Bulletin Posting Jun 4, 2026

Was a Sole Source hearing held per 30 ILCS 500/20-25?

Yes - Complete Section II and III below (Section II will only be visible when this option is selected)

No - Section II not required, go to Section III below Section III - CPO Approval and Signature Required

Based on my review, I authorize the Agency/University to proceed in accordance with the published Notice referenced above.

Based upon my review, I authorize the Agency/University to proceed with the following Changes.

Based on my review, the Agency/University is not authorized to proceed with this sole source as presented and my recommendation is that it be cancelled.

Other

CPO Signature CPO Phone 217-782-8892

Printed Name Katherine Tople Date

CPO E-mail ktople@ilsos.gov

Version 7.01 Page of Sole Source Justification Form - Part I Section I - General Information Will this Sole Source amend a Professional or Artistic Services contract?

If yes, what was the original contract value?

*Sole Source may not be used for amendments for Professional or Artistic Services if the amendment would increase the value by more than 5% of the initial award or extend the term by more than 60 days.

Section II - Proposed Term If a Term Contract, does the term, including renewals, exceed 12 months?

If yes, provide a detailed justification including any economic benefit received for agreeing to a multi-year term:

Section III - Funding Source Select the type of funding to be used (Check all that apply):

Section IV - Sole Source Justification Are there secondary justification(s) for this sole source?

Section V - Purchase History Has the Agency or University Purchased these supplies or services in the past?

Term Term From Term To Value Description Contract Number Type Section VI - Business Rationale

1. Provide a detailed explanation of the need for the supplies or services:

2. Provide a list and describe in detail the specifications required to satisfy the need:

3. Provide detail explaining the justification selected in Section IV to explain why the requested supplies or services are the only ones available that can satisfy the agency or university requirements?

4. What are the unique features of the supplies or services that are not available in any other product or by any other vendor? Provide specific quantifiable factors/qualifications:

5. Has the Agency or University considered alternative supplies or services to satisfy their need?

5a. If yes, name the alternative vendors whose supplies or services were evaluated:

5b. If yes, what were the alternatives for each vendor and why were they unacceptable? Be specific with regard to features, characteristics, requirements, capabilities and compatibility:

5c. Explain how the market evaluation was conducted?

*This evaluation is to determine available options within a market. If the evaluation is to determine quality or best suited option, this is not the appropriate source selection. Under no circumstances shall the evaluation consist of testing alternative options. These activities must be conducted in a competitive transparent environment (i.e. IFB or RFP).

5a. If no, why weren't alternatives evaluated?

6. Are there resellers or distributors?

7. What efforts were made to get the best possible price (i.e. did the agency/university negotiate) and how did you determine the price for this purchase is considered fair and reasonable?

8. Will this purchase obligate the State to this vendor for future purchases such as maintenance, licensing or continuing need?

8a. If yes, please provide details regarding future obligations and/or needs:

9. What will be the financial or other impact to the State if this sole source is not approved and a competitive bid is required?

10. Is there any additional information you would like to add to justify this sole source?

Section VII Requesting Department Signature Required I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed.

State Agency Bureau/Division Head or University Purchasing Director Approval and Signature Required I know and understand the contents of this Sole Source Justification and attest that all statements are true and correct and the fairness and reasonableness of the price was adequately confirmed. (All prior form fields will lock once this e-signature is completed) SPO Approval and Signature Required Sole Source Justification Form - Part II Section I - General Information Was a Sole Source hearing held per 30 ILCS 500/20-25?

Section II - Sole Source Hearing Details The State posted to the Illinois Procurement Bulletin a description of the State's need, the justification for the sole source decision, and information regarding the opportunity to submit comments and testify at a public hearing. Notice of the hearing was also posted outside of the hearing room 48 hours prior to the hearing.

The public hearing was conducted for the purpose of receiving testimony regarding the sole source determination. The Hearing Officer recommends the following:

The following relevant documents are attached:

Section III - CPO Approval and Signature Required 9.0.0.2.20101008.1.734229 ktople@ilsos.gov

GCE-ASG-NAVIGRAPH for CICS, ASG-NAVIGRAPH FOR DB2, GMQ-ASG-NAVIGRAPH FOR MQ, GVM-ASG-NAVIGRAPH FOR Z/OS, GRC-ASG-NAVIGRAPH FOTTCP/IP, MEB-ASG-TMON FPR MQ Enterprise, JAVA Client, Linux, ASG Ashtmon software for PA server, DB2, Windows Modeling Suite, z/OS, Web based applications, Managed node and reports.