Sole Source Training. Definitions: From NIGP Online Dictionary Sole Source Procurement : A situation...

Sole Source TrainingSole Source Training

Definitions: From NIGP Online Definitions: From NIGP Online DictionaryDictionary

Sole Source ProcurementSole Source Procurement : : A situation created due A situation created due to the inability to obtain competition. May result because to the inability to obtain competition. May result because only one vendor or supplier possesses the unique ability or only one vendor or supplier possesses the unique ability or capability to meet the particular requirements of the capability to meet the particular requirements of the solicitation. The purchasing authority may require a solicitation. The purchasing authority may require a justification from the requesting agency explaining why this justification from the requesting agency explaining why this

is the only source for the requirement.is the only source for the requirement. Sole Sourcing:Sole Sourcing: Selection of one particular supplier to Selection of one particular supplier to

the exclusion of all others. This decision may be based on the exclusion of all others. This decision may be based on lack of competition, proprietary technology, copyright or a lack of competition, proprietary technology, copyright or a supplier’s unique capability. In government procurement, a supplier’s unique capability. In government procurement, a

sole source justification may be required from the requestor.sole source justification may be required from the requestor.

Sole Source GuidelinesSole Source Guidelines Utah Administrative Code R33-3-401 Conditions for Use of Sole Source Utah Administrative Code R33-3-401 Conditions for Use of Sole Source

Procurement.Procurement. Sole source procurement shall be used only if a requirement is reasonably available Sole source procurement shall be used only if a requirement is reasonably available

from a single supplier. A requirement for a particular proprietary item does not from a single supplier. A requirement for a particular proprietary item does not justify a sole source procurement if there is more than one potential bidder or offeror justify a sole source procurement if there is more than one potential bidder or offeror for that item.for that item.

Examples of circumstances which could necessitate sole source procurement are:Examples of circumstances which could necessitate sole source procurement are: (1) where the compatibility of equipment, accessories, replacement parts, or service (1) where the compatibility of equipment, accessories, replacement parts, or service

is the paramount consideration;is the paramount consideration; (2) where a sole supplier's item is needed for trial use or testing;(2) where a sole supplier's item is needed for trial use or testing; (3) procurement of items for resale;(3) procurement of items for resale; (4) procurement of public utility services.(4) procurement of public utility services. The determination as to whether a procurement shall be made as a sole source shall The determination as to whether a procurement shall be made as a sole source shall

be made by the procurement officer. Each request shall be submitted in writing by be made by the procurement officer. Each request shall be submitted in writing by the using agency. The officer may specify the application of the determination and the using agency. The officer may specify the application of the determination and its duration. In cases of reasonable doubt, competition should be solicited. Any its duration. In cases of reasonable doubt, competition should be solicited. Any request by a using agency that a procurement be restricted to one potential request by a using agency that a procurement be restricted to one potential contractor shall be accompanied by an explanation as to why no other will be contractor shall be accompanied by an explanation as to why no other will be suitable or acceptable to meet the need.suitable or acceptable to meet the need.

R33-3-402 Negotiation in Sole Source Procurement.R33-3-402 Negotiation in Sole Source Procurement. The procurement officer shall conduct negotiations, as appropriate, as to price, The procurement officer shall conduct negotiations, as appropriate, as to price,

delivery, and terms. delivery, and terms.

Key Word = SoleKey Word = Sole

Filling out the Sole Source Filling out the Sole Source FormForm

First determine whether you are First determine whether you are requesting an Agency contract, or a requesting an Agency contract, or a Purchase order and click the correct Purchase order and click the correct Check-off box.Check-off box.

If requesting an Agency contract enter the If requesting an Agency contract enter the initial term of the contract, and renewal initial term of the contract, and renewal options if any in the appropriate fields on options if any in the appropriate fields on line 2. of the Agency Contract section.line 2. of the Agency Contract section.

If your requesting a Purchase order for a If your requesting a Purchase order for a one time purchase you need to have a one time purchase you need to have a FINET RQS entered and the number put in FINET RQS entered and the number put in the field on line 2. of the Purchase order the field on line 2. of the Purchase order section before submitting the Sole Source section before submitting the Sole Source form to State Purchasing.form to State Purchasing.

If the purchase or contract is for If the purchase or contract is for Information Technology (IT) related Information Technology (IT) related products or services, DTS has to approve products or services, DTS has to approve the Sole Source before it is sent to State the Sole Source before it is sent to State Purchasing (63F-1-205). The written Purchasing (63F-1-205). The written approval of DTS should be included with approval of DTS should be included with the Sole Source request, usually a copy of the Sole Source request, usually a copy of the remedy approval. If not it will be sent the remedy approval. If not it will be sent back.back.


Make sure you send a copy of the Make sure you send a copy of the suppliers quotation with the request.suppliers quotation with the request.

Enter the Requesting Department.Enter the Requesting Department. Enter the Requesting Division.Enter the Requesting Division. Enter the Contact Person and Title.Enter the Contact Person and Title. Enter the Contact Person’s e-mail Enter the Contact Person’s e-mail

address.address. Enter the Contact Person’s phone Enter the Contact Person’s phone

number.number. Enter a Description of Product/Service to Enter a Description of Product/Service to

be Purchased.be Purchased. Enter the Total Cost (Including renewal Enter the Total Cost (Including renewal

periods).periods). Enter the Freight Cost.Enter the Freight Cost. Enter the Supplier Name.Enter the Supplier Name. Enter Supplier Contact Person.Enter Supplier Contact Person. Enter the Supplier E-mail Address.Enter the Supplier E-mail Address. Enter Ordering and Remittance Address Enter Ordering and Remittance Address

including zip codes.including zip codes. Enter the FINET Vendor Number (if Enter the FINET Vendor Number (if

available).available).


Enter Federal Tax ID, or Social Security # if Enter Federal Tax ID, or Social Security # if no FINET Vendor Number exists.no FINET Vendor Number exists.

Check the box for Type of SupplierCheck the box for Type of Supplier Explain in Detail why the service or Explain in Detail why the service or

product is only available from a single product is only available from a single supplier. The more detail & information the supplier. The more detail & information the better.better.

Click the Check-boxes that apply to your Click the Check-boxes that apply to your Sole Source request (all that apply).Sole Source request (all that apply).

Section A. General InformationSection A. General Information 1. Enter what is unique about this 1. Enter what is unique about this

product/service to justify a sole source.product/service to justify a sole source. 2. Answer whether or not the product / 2. Answer whether or not the product /

service can be reasonably modified to service can be reasonably modified to allow for competition.allow for competition.

3. Explain the market research performed 3. Explain the market research performed to make the sole source recommendation.to make the sole source recommendation.

4. List the names of suppliers contacted, 4. List the names of suppliers contacted, contact person and summary of their contact person and summary of their responseresponse

5. Complete disclosure must be included 5. Complete disclosure must be included with this request if the requestor has any with this request if the requestor has any personal, financial or fiduciary relationship personal, financial or fiduciary relationship with the recommended supplier.with the recommended supplier.


Section B. Compatibility of Section B. Compatibility of Equipment / ServiceEquipment / Service

1. Describe the existing equipment that 1. Describe the existing equipment that this purchase must be compatible with, this purchase must be compatible with, original purchase price and date of original purchase price and date of purchase.purchase.

2. What’s the remaining life expectancy 2. What’s the remaining life expectancy of the existing equipment?of the existing equipment?

3. What procurement method was used 3. What procurement method was used to purchase the existing equipment? (ITB, to purchase the existing equipment? (ITB, RFP, Sole Source) Provide the Solicitation RFP, Sole Source) Provide the Solicitation number, RQS number or Sole Source number, RQS number or Sole Source number.number.

Section C. Trial or TestingSection C. Trial or Testing 1. Why is the trial use or testing 1. Why is the trial use or testing

necessary?necessary? 2. What is the anticipated end result of 2. What is the anticipated end result of

the trial or test?the trial or test? 3. Do any other suppliers provide this 3. Do any other suppliers provide this

product or service?product or service?– A. If yes, list the company names:A. If yes, list the company names:


– B. Will their products be tested?B. Will their products be tested? 4. What criteria were used to choose 4. What criteria were used to choose

this supplier?this supplier? 5. What is the scope/size and location of 5. What is the scope/size and location of

test or trial?test or trial? ________________________________________________________________________ Remember: The request needs to Remember: The request needs to

include complete and accurate include complete and accurate information regarding why the purchase information regarding why the purchase is a Sole Source, including contacts is a Sole Source, including contacts made with other vendors, research made with other vendors, research done, etc.done, etc.

Sole Source requests that exceed Sole Source requests that exceed $50,000.00 for the full contract term or $50,000.00 for the full contract term or purchase amount must be posted for 5 purchase amount must be posted for 5 business days on our electronic bidding business days on our electronic bidding system, BidSync, so that suppliers have system, BidSync, so that suppliers have an opportunity to comment or dispute an opportunity to comment or dispute the Sole Source nature of the purchase. the Sole Source nature of the purchase. All comments or disputes are forwarded All comments or disputes are forwarded to the requesting agency for resolution to the requesting agency for resolution before the sole source can continue.before the sole source can continue.


The Sole Source form is signed by entering The Sole Source form is signed by entering your name in the “Requested by” field. your name in the “Requested by” field. The requestor should be someone The requestor should be someone authorized by the agency to request authorized by the agency to request purchases and/or agency contracts.purchases and/or agency contracts.

Enter the date. Enter the date. E-mail the completed form, unless IT E-mail the completed form, unless IT

related, along with a copy of the quotation related, along with a copy of the quotation from the supplier to from the supplier to [email protected]@utah.gov . .

If IT related, or possibly IT related, you If IT related, or possibly IT related, you must submit through Remedy and DTS must submit through Remedy and DTS before sending to State Purchasing. DTS before sending to State Purchasing. DTS is the only one that can make that is the only one that can make that determination. If you have questions on determination. If you have questions on this process or what you need to do this process or what you need to do contact Paul Carr in DTS at contact Paul Carr in DTS at [email protected]@utah.gov . (63F -1-205) . (63F -1-205)

This form is also used for: Single Sources, This form is also used for: Single Sources, Contracts with Federal Government & Contracts with Federal Government & other State Governments & Open other State Governments & Open Enrollment to qualified vendors (such as Enrollment to qualified vendors (such as Health Services).Health Services).

Sole Source GuidelinesSole Source Guidelines

Sole Source means only source. Not best source, Sole Source means only source. Not best source, not preferred source, not most convenient source not preferred source, not most convenient source or favorite source. or favorite source. SOLE SourceSOLE Source..

The amount listed on the Sole Source request is The amount listed on the Sole Source request is the maximum amount that State Purchasing will the maximum amount that State Purchasing will allow for the contract term, or full purchase, allow for the contract term, or full purchase, including renewals. Requests to increase the including renewals. Requests to increase the contract over the costs listed in the Sole Source contract over the costs listed in the Sole Source will require a new Sole Source to be processed.will require a new Sole Source to be processed.

Sole Source requests with blank fields, Sole Source requests with blank fields, incomplete information or that have not followed incomplete information or that have not followed the correct process will be sent back (rejected).the correct process will be sent back (rejected).

Sole Source GuidelinesSole Source Guidelines On IT related Sole Sources the posting period does On IT related Sole Sources the posting period does

not start until it comes back down through DTS, or not start until it comes back down through DTS, or we get the Remedy approvals.we get the Remedy approvals.

During the posting period when State Purchasing During the posting period when State Purchasing receives comments or protests regarding the Sole receives comments or protests regarding the Sole Source those are immediately sent to the Source those are immediately sent to the requesting agency to rectify. The requesting requesting agency to rectify. The requesting agency should contact the commenting / agency should contact the commenting / protesting supplier and discuss the issues. Based protesting supplier and discuss the issues. Based on clarification, the supplier may choose to on clarification, the supplier may choose to withdraw it’s comment/protest. Until the withdraw it’s comment/protest. Until the comments or protests of a particular Sole Source comments or protests of a particular Sole Source are rectified it cannot move forward.are rectified it cannot move forward.

Sole Source GuidelinesSole Source Guidelines From Utah Administrative Code R33-3-401 – The From Utah Administrative Code R33-3-401 – The

determination as to whether a procurement shall be determination as to whether a procurement shall be made as a Sole Source shall be made by the made as a Sole Source shall be made by the procurement officer. In cases of reasonable doubt, procurement officer. In cases of reasonable doubt, competition should be solicited.competition should be solicited.

If a Sole Source receives a fair number of comments If a Sole Source receives a fair number of comments or protests the Purchasing Agent at State or protests the Purchasing Agent at State Purchasing can halt the Sole Source process, ask Purchasing can halt the Sole Source process, ask the requesting agency for additional information the requesting agency for additional information including specifications, mandatory requirements, including specifications, mandatory requirements, an RFP document or other documentation to put the an RFP document or other documentation to put the procurement out for competitive solicitation.procurement out for competitive solicitation.

Sole Source GuidelinesSole Source Guidelines

Always use the current form found on our website Always use the current form found on our website when filling out your Sole Source requests. This will when filling out your Sole Source requests. This will be the most up to date form. Please destroy, delete be the most up to date form. Please destroy, delete or erase any copies you have saved on your or erase any copies you have saved on your computer or network. Older versions of the form computer or network. Older versions of the form will be sent back (rejected).will be sent back (rejected).

Website: Website: http://http://www.purchasing.utah.govwww.purchasing.utah.gov// QuestionsQuestions ?? ?? ?? ??

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Sole Source Training. Definitions: From NIGP Online Dictionary Sole Source Procurement : A situation...

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