Department Operations Manual

46020.4 Acquisition of Maintenance Services for EDP Equipment Within Department Acquisition of EDP maintenance services is conducted through competitive bidding except when the Director of General Services determines that the conditions for sole source acquisition are met. The following conditions are considered justification of sole source acquisition of EDP maintenance service: Leased Equipment • Equipment leased from a manufacturer who provides CDC no option but to obtain maintenance for the equipment from that manufacturer. State-owned Equipment • Maintenance service for all central processing units (CPUs) except for microcomputers. • Maintenance of peripheral equipment that is interconnected by cables to CPUs. This does not apply to terminals that are connected to CPUs by communication lines. • When there is only one qualified maintenance service company within a reasonable distance of the installed equipment. • When the manufacturer is the only entity with a minimum of six months experience servicing the installed equipment because the equipment has not been on the market a sufficient period of time for others to obtain needed experience. • When the equipment is under a warranty period. • When justification does not exist to obtain a sole source a maintenance service contract, CDC shall conduct competitive bidding for the maintenance service as required by guidelines set forth in SAM 5220 through 5255. CLETS Maintenance coverage for this equipment is obtained by contracts with county agencies, equipment vendors, or service companies. The method of obtaining the maintenance contract varies depending on the type of equipment being used at the particular location, as well as the manner in which the CLETS service is provided. For assistance in determining the proper method for a specific location, contact the EDP Operations Manager, ISD, EC&ISD, at headquarters. DDPS DDPS coverage is provided by a statewide, competitively bid, master contract. OBIS OBIS coverage is provided by a master service agreement with the Teale Data Center. Personal Computers Personal computer maintenance coverage shall be obtained in accordance with the Department's Workgroup Computing Policy. 46020.5

46020.5 Revisions Revised January 4, 2010 The Assistant Secretary, EIS, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. 46020.6

46020.6 References GC § 14816. SAM §§ 5220 - 5255. A RTICLE 24 — EDP E QUIPMENT I NVENTORY Revised October 20, 1994 46030.1

46030.1 Policy The Department shall maintain an accurate inventory of its EDP equipment, peripheral devices, and software. All purchased EDP equipment shall concur with the technical specifications contained in the SAM 5005. All EDP hardware shall be inventoried at the time of installation, identified with a CDC property tag, and if site requirements necessitate, permanently marked by engraving with the CDC property tag number, item serial number, and DGS billing code number. 46030.2

46030.2 Purpose The purpose of this policy is to ensure that CDC is in compliance with SAM 5005 and to provide departmental administrators with an accurate listing of their EDP equipment resources. There shall be a biannual reconciliation of the EDP inventory to update for changes in the system. 46030.3

46030.3 Inventory Responsibility CLETS The local AISA or designee shall be responsible for maintaining an accurate CLETS equipment inventory for the corresponding division, facility or parole region. CLETS inventories shall be forwarded no later than April 1 and October 1 of each year to ISD, EDP operations manager, who shall be responsible for the coordination, compilation, and retention of the departmental CLETS inventory and useful life-cycle schedule. DDPS The ISD Operations Support Unit is responsible for maintaining an accurate departmental DDPS equipment inventory. The DDPS inventory shall be forwarded no later than April 1 and October 1 of each year to the EDP Operations Manager, who shall be responsible for the coordination, compilation, and retention of the departmental DDPS inventory and useful life-cycle schedule. OBIS The ISD Hardware Unit is responsible for maintaining an accurate departmental OBIS equipment inventory. The OBIS inventory shall be forwarded no later than April 1 and October 1 of each year to the EDP operations manager, who shall be responsible for the coordination, compilation, and retention of the departmental OBIS inventory and useful life-cycle schedule. Personal Computers Maintenance record keeping for personal computer equipment shall be performed in accordance with the Department's personal computer policy. 46030.4

46030.4 Documentation for Inventory of EDP Equipment The EDP inventory shall include the following data elements: • PrimaryLocation: division/branch, facility, or parole region where equipment is located. • SecondaryLocation: unit or office where equipment is located. • BrandofEquipment: monitors, keyboards, printers, etc. • ModelNumber: monitors, keyboards, printers, etc. • SerialNumber: monitors, keyboards, printers, software, etc. • Ownership: whether CDC or specified other owns. • VersionNumber: software. • DateofAcquisition: date equipment was received. • DateofInstallation: date equipment/software was installed. • DateofRelocation: date equipment/software was relocated. • RelocationLocation: unit or office where equipment has been relocated. • Signature: signature of local AISA or designee or AISA ’ s supervisor. 46030.5

46030.5 Revisions Revised January 4, 2010 The Assistant Secretary, EIS, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. 46030.6

46030.6 References SAM § 5005. A RTICLE 25 — EDP E QUIPMENT M AINTENANCE R ECORDS Revised October 20, 1994 46040.1

46040.1 Policy The Department shall establish a uniform method for recording data pertaining to the repair and maintenance of EDP equipment as required by SAM 5010 through 5015 so as to prevent excessive maintenance costs or any degradation in user and vendor support. 46040.2

46040.2 Purpose The purpose of this section is to ensure consistency in reporting, in the capture of data at the time of an incident, and in review by appropriate levels of management of reports made. These are all essential to the effective management and control of EDP equipment maintenance. 46040.3

46040.3 Responsibility for EDP Equipment Maintenance Records CLETS Maintenance record keeping for CLETS equipment is the responsibility of the AISA or designee at each user location involved. Maintenance records shall be forwarded no later than April 1 and October 1 of each year to ISD Data Center for review and analysis of information, and shall be retained by the EDP Operations Manager for as long as the component is in service or there is a possibility of any contractual claim. DDPS Maintenance record keeping for DDPS equipment is the responsibility of the ISD Operations Support Unit. Maintenance records for DDPS equipment shall be reviewed and analyzed no later than April 1 and October 1 of each year, and shall be retained by the EDP Operations Manager for as long as the component is in service or there is a possibility of any contractual claim. OBIS Maintenance record keeping for OBIS equipment is the responsibility of the ISD Hardware Unit. Maintenance records for OBIS equipment shall be reviewed and analyzed no later than by April 1 and October 1 of each year, and shall be retained the EDP Operations Manager as long as the component is in service or there is a possibility of any contractual claim. Personal Computers Maintenance record keeping for personal computer equipment shall be done in accordance with the Department ’ s personal computer policy. 46040.4

46040.4 Documentation of Maintenance for EDP Equipment The responsible unit/party shall maintain records of EDP equipment which contain essential data pertaining to repair and maintenance. Such essential data that are required to resolve disputes between the vendor and the Department concerning vendor performance include: • Document control number: composed of a two-digit year and a two-digit month, followed by a sequence number starting with “ one ” at the beginning of each month. • Name of originating facility. • Name, unit, and phone number of the on-site contact person responsible for taking action to correct a deficiency. • Date and time the need for maintenance was first noticed. • Name and phone number of vendor that was notified. • Dateandtime vendor was notified of problem. • Dateandtime vendor personnel arrived to repair malfunction. • Dateandtime component and system were returned to service. • Identification of affected component/system by manufacturer identification or serial number, and by CDC property tag number. • Type of service: regularly scheduled preventative maintenance or unscheduled maintenance required to remedy malfunctions or incidents. • Justification for any delays in the completion of maintenance. • Description of malfunction or incident. • Signatures of vendor personnel and a departmental representative. A maintenance form is to be initiated whenever a system or any component of a system is inoperative because of the need for equipment repair or maintenance, and is to remain open until the problem has been corrected and the component has been returned to service. 46040.5

46040.5 Revisions Revised January 4, 2010 The Assistant Secretary, EIS, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. 46040.6

46040.6 References SAM §§ 5010 - 5015. A RTICLE 26 — D ISPOSAL OF EDP E QUIPMENT Revised October 20, 1994 46050.1

46050.1 Policy DGS has approval responsibility for the disposal of all surplus, State- owned and leased EDP equipment including obsolete or inoperable EDP equipment. The Department shall competitively dispose of surplus departmental EDP equipment. 46050.2

46050.2 Purpose The purpose of this policy is to ensure that CDC is in compliance with SAM 5951, 8633, and 8640 through 8642 and to ensure that the salvage value of State-owned EDP equipment and purchase option credits for leased EDP equipment are received when doing so is in the best interests of the Department. 46050.3

46050.3 Responsibility for Disposal of EDP Equipment CLETS It is the responsibility of the local AISA or designee to inform ISD, EDP Operations Manager, of any CLETS equipment that requires disposal. The local AISA or designee shall include the following information in recommendations for disposal of CLETS equipment at the respective facility: • Manufacturer, type, and model number. • Model features such as part numbers and descriptions. • Serial number. • Present physical condition. • Present location of equipment. • Dates of installation and purchase, and funding program. • Copies of maintenance contracts and relevant maintenance history, such as special maintenance problems or maintenance performance - percentage up-time. DDPS It is the responsibility of the local AISA or designee to inform the EDP Operations Manager, ISD, of any DDPS equipment deemed to need disposal. The local AISA or designee shall include the following information in any recommendation for disposal of DDPS equipment at the respective facility: • Manufacturer/type/model number. • Model features, such as part numbers and descriptions. • Serial number. • Present physical condition. • Present location of equipment. OBIS It is the responsibility of the local AISA or designee to inform the EDP Operations Manager, ISD, of any OBIS equipment deemed to need disposal. The local AISA or designee shall include the following information in any recommendation for disposal of OBIS equipment at the respective facility: • Manufacturer/type/model number. • Model features, such as part numbers and descriptions. • Serial number. • Present physical condition. • Present location of equipment. Personal Computers It is the responsibility of the local AISA or designee to adhere to the Department ’ s personal computer policy. 46050.4

46050.4 Process and Documentation for Disposal of EDP Equipment Depending on the applicable EDP equipment, the EDP Operations Manager shall submit at least 30 days prior to the scheduled release date a completed STD Form 152, Property Survey Report, to DGS, Property Reutilization Unit, with an informational copy of the report submitted to the DOF, Office of Information Technology (OIT). CDC shall, in memorandum form and at least 30 days prior to the scheduled release date, submit an EDP equipment disposal request to the DGS Property Reutilization Unit. The EDP equipment disposal request shall include the following items: Item Description • Description of the item to include: • Manufacturer, type, and model number. • Model features, such as part numbers and descriptions. • Serial number. • Weight, to nearest pound. • Present physical condition. • Item location address on the scheduled release date. Item Historical Information • Historical Information of item to include: State-owned EDP Items • Date of installation. • Date of purchase. • Owned by which budget fund. • Scheduled release date. • Monthly maintenance costs. • Type of maintenance contract (attach copy of subject contract Rider B). • Relevant maintenance history, such as special maintenance problems or maintenance performance - percentage up-time. Leased/Rented EDP Items • Date of installation. • Scheduled release date. • Current monthly lease price. • Current list price (supplier current new purchase price). • Accrued purchase option credits (in dollars) as of the scheduled release date. Separately list any other State financial equity in the item or item features. These credits shall be requested from the supplier and calculated independently by CDC. • Any financial liability incurred if the equipment is returned to vendor. • Relevant maintenance history such as special maintenance problems or maintenance performance - percentage up-time. • How item was procured (e.g., Master Rental Agreement [MRA]). If not MRA-procured, indicate the type of maintenance contract and attach a copy of subject contract Rider B. CDC Facilitator Identification • CDC Facilitator identification to include: • Facilitator ’ s name. • Facilitator ’ s title. • Facilitator ’ s unit. • Facilitator ’ s telephone number. • If equipment is located at a different site, name and telephone number of the on-site contact person. DGS Disposal • Proposed DGS Disposition Recommended to include: If EDP Equipment is State-Owned: • Transfer or sell to another (named) public agency. • Scrap for parts for use within (named) State agency. • Attempt to sell at minimum bid price of (named)dollars. • Discard the equipment as worthless. • Justification for no proposed recommendation. • A completed STD Form 152. If EDP Equipment is Leased/Rented: • Transfer equipment to another (named) public agency. • Release equipment back to the supplier. • Justification for no proposed recommendation. • If the EDP equipment was purchased under an MRA, a completed DGS Office of Procurement, GSOP Form 191 and GSOP Form 191A. Upon approval and instructions from DGS, CDC shall: If EDP Equipment is State-Owned: • Transfer or sell State-owned EDP equipment to anotherstate or public agency. • Follow the determination for disposal of the EDP equipment (signed STD 152). DGS will indicate whether CDC or DGS shall arrange for disposal of the property. If EDP Equipment is Leased/Rented: • If MRA-procured, follow the determination for disposalof equipment (signed GSOP Form 191 and GSOP Form 191A). • If not MRA-procured, take action as indicated by DGS for effecting equipment disposal. 46050.5

46050.5 Revisions Revised January 4, 2010 The Assistant Secretary, EIS, or designee shall be responsible for ensuring that the contents of this Article are kept current and accurate. 46050.6