Page 220 - Automated Fingerprint Identification Systems (AFIS)

CONTRACTUAL ISSUES REGARDING THE PURCHASE OF AN AFIS 205

The lack of an identified funding source does not preclude the government
from taking action, but suggests a different course. A tool that is widely used to
request ideas or proposals from industry is often referred to as the request for
information (RFI). Basically, the RFI identifies the government’s problem or
business need and asks the industry for ideas or information on how to solve
it. The key difference from a competitive solicitation is that there is a clear state-
ment and disclosure that no acquisition will result from the RFI. Specific finan-
cial information is not collected at this juncture since it is not relevant. If
desired, “ballpark” estimates or a copy of a publicly available price list may be
requested to provide some guidance about the costs associated with various
solutions. However, the RFI is intended as a tool to define the nature of the
procurement and can be useful in the development of funding requests.

9.6.2 DETERMINATION IF THE FUNDING SOURCE IMPOSES
ADDITIONAL OBLIGATIONS
A practical reason for identifying the funding source is to determine if it
imposes any additional requirements for the procurement. These additional
requirements take four key forms: (1) additional approvals required by the
funding source (which impact the time lines for conducting the procurement),
(2) the time frame in which the funds are available for expenditure (impacts
the scope of the procurement and the proposed payment schedules), (3)
restrictions/limitations on the permissible scope of expenditures, and (4) affir-
mative requirements imposed by the funding source. While the additional
restrictions are commonly associated with grant funds, state laws can illustrate
other areas where the restrictions can be found. For example, it is highly pos-
sible that an AFIS procurement may involve federal grant funds, as almost all
states have received National Criminal History Improvement Program funds in
support of AFIS acquisitions.

9.6.2.1 Additional Approvals Required by the Funding Source
Funding sources can require additional approvals before legal obligations can
be met. Allowances need to be made for the effort and time required to obtain
these approvals. For example, federal funds oftentimes impose additional
approval requirements for certain expenditures, such as criminal justice infor-
mation and communication systems and consultant services. While approval
can be obtained through the application process, when a description of the
proposed expenditure is detailed in the budget narrative, often an entity will
not possess sufficient detailed information at the application stage to explain
the request. In that situation, the grantee must submit a separate written
request to the contracting authority for approval of the proposed expenditure.