AMS Directive 3130.4 

6/24/02 

Distribution: AMS 

Originating Office: S&T/ITG 

 

 

TECHNICAL APPROVAL OF 

INFORMATION TECHNOLOGY INVESTMENTS

 

 

I. PURPOSE 

 

This Directive provides AMS with guidance on acquiring Information Technology (IT) investments through the 

technical approval process. 

 

 

II. AUTHORITY AND BACKGROUND 

 

The Government Performance and Results Act of 1993 and the Clinger-Cohen Act of 1996 have had a profound 

impact on the Federal Government’s acquisition of information technology within the last decade. The 

Government Performance and Results Act of 1993 focuses on the planning process, including budget, 

procurement and management of IT resources throughout the lifecycle. The Clinger-Cohen Act of 1996 

requires agencies to use a disciplined capital planning and investment control process to acquire, use, maintain 

and dispose of information technology. Whereas AMS Directive 3130.1, Capital Planning and Investment 

Control Process, focuses on planning, this Directive focuses on acquiring IT investments. 

 

 

III. POLICY 

 

Technical approvals (TA) are required for all IT investments estimated at or above $2,500. TA’s are required 

for all telecommunication and processor investments regardless of the dollar amount. 

 

 

IV. DEFINITIONS 

 

A. Information Technology (IT) investment is the allocation of Government resources (e.g., staffing, funds) into 

electronic automated systems including hardware, software, and servers that support the business needs of the 

Agency. 

 

B. Telecommunications consists of, but is not limited to, cellular phones, wireless service, telephones, 

telephone service, routers, modems, frame relay switches, packet switches, and pagers. 

 

C. Life cycle costs are the purchase price, time value of money (e.g., inflation, discount factors), operating costs 

(e.g., staff resources) and maintenance costs expended on an IT investment during its planning, implementation, 

operation and retirement. 

V. TECHNICAL APPROVAL PROCESS OF IT INVESTMENTS

A. Basis for Approval

 

Technical approvals are granted by the AMS Chief Information Officer (CIO) on the basis of the investment’s 

technical feasibility, business objectives, measurable outcomes, security features, accessibility requirements, 

and compatibility with the AMS-wide infrastructure and established standards. 

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B. Review Process

 

To assist each program in obtaining all necessary approvals for IT investments, the IT investment review 

process is summarized below. For an illustration of the process from a program perspective, refer to the flow 

chart in Attachment 1. 

 

1. Program submits documentation (described in Section VII., below) for IT investments estimated 

at or above $2,500 to the Information Technology Group (ITG) for approval, or for any 

telecommunications or processor, regardless of cost. 

2. For investments estimated at or above $100,000, ITG compares the requirement to the approved 

Technology Investment Plan (TIP). 

3. ITG provides the requestor with comments and allows modifications to the statement of work 

(SOW) or AD-700 when necessary. 

4. AMS CIO renders a technical approval decision for investments. 

5. ITG forwards technically approved requests to the procurement office. 

6. ITG returns denied requests to the requestor with an explanation. 

 

VI. DEVIATION FROM AMS INFORMATION TECHNOLOGY STANDARDS

 

Each program is responsible for adhering to the current Agency standards for desktop operating systems, 

network operating systems, desktop applications and hardware. The ITG publishes these standards as an 

Administrative Notice. If deviations are proposed, regardless of the dollar amount, the program shall submit the 

justification for deviation to the ITG via the technical approval process. 

VII. SUPPORTING DOCUMENTATION NEEDED FOR APPROVAL

It is important to note that some or all of the supporting documentation listed below may need to be submitted 

with an investment package. Templates of several of the supporting documents are available in AMS Public 

Folders via AMS IT Policies/References and the Intranet for your use via http://insideams.intranet. 

A. Technical Approval Form

Requests for technical approval shall be submitted using the Technical Approval Request Form for Information 

Technology (Attachment 2). For investments with life cycle costs estimated below $100,000, include a brief 

statement of the business objective that justifies the investment. 

B. Technology Investment Plan

 

As part the AMS Capital Planning and Investment Control (CPIC) process, all new investments with life cycle 

costs estimated at or above $100,000, are approved in accordance with the policy 

set forth in AMS Directive 3130.1. New investments are assigned a unique AMS Technology Investment Plan 

(TIP) control number. This control number is recorded on the Technical Approval Request Form for 

Information Technology when requesting technical approval. 

C. Funding Document (e.g., AD-700, AD-672)

 

Attach a copy of the funding document to the Technical Approval Request Form. The funding document must 

be signed by the program’s appropriate authorizing official. 

 

D. Price Quotes

 

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If the requestor has obtained price quotes, they should be included with the request. 

E. Performance-Based Statement of Work (SOW)

 

If support services are needed, a performance-based SOW must be prepared. Guidance on how to prepare a 

performance-based SOW is available in the AMS Public Folders, AMS IT Policies/References, in Outlook and 

the Intranet. Use of this guidance will facilitate the technical approval process. It is important to note that the 

technical approval is considered void if modifications are later made to the SOW that impact the requirements, 

performance standards, or measurable outcome. In this situation, the SOW must be returned to the CIO for 

approval. 

 

F. Section 508 of the Rehabilitation Act Determination

Section 508, as amended, requires that when Federal agencies develop, procure, maintain, or use electronic and 

information technology, they ensure that system users with disabilities are able to access and use information 

and data comparable to the access privileges of system users without disabilities, unless an undue burden would 

be imposed on the agency. Refer to AMS Directive 3130.2, Section 508 Information Access Requirements, for 

details regarding documentation of Section 508 determination, including forms to be submitted with the 

procurement requests. 

 

G. Program Approval

 

The Deputy Administrator shall sign the Technical Approval Request Form (ST-14) for procurement requests 

valued at or above $25,000 (per order). 

 

H. USDA IT Acquisition Waiver 

 

A USDA IT acquisition waiver is necessary for a technically approved investment with a system life cycle cost 

estimated at or above $250,000. Waivers are granted by USDA’s Office of the Chief Information Officer. As 

with technical approvals, waivers are based on the technical feasibility of the investment, its measurable return 

on investment, an impact analysis, and its telecommunications, security and accessibility requirements. The 

ITG staff will use the Technology Investment Plan and work with programs to prepare the waiver request for the 

Department. Allow 5-7 weeks from the date of submission to the Department for approval. 

 

I. Justification for Other than Full and Open Competition (JOFOC) 

 

A JOFOC is required for investments estimated at or above $2,500 when a specific source, other than an 8acertified small business, is requested. The JOFOC request must provide written justification that the 

recommended source is the only one capable of meeting the program’s needs. Submit this justification to the 

AMS IT Group as part of the request for Technical Approval. The JOFOC will be forwarded to procurement, 

by ITG, as part of the technically approved procurement request package. APHIS procurement officials are 

authorized to approve the JOFOC. Processing time will vary depending on the degree of complexity. 

VIII. RESPONSIBILITY OF PROCUREMENT ACTIONS

 

A. The Technical Approval process is critical to AMS in maintaining its authority as delegated by the 

Department to manage its IT investments. To assure Agency review over this process, only the ITG shall 

forward technically approved investment documentation to the procurement venue specified by the program. If 

a procurement office is not specified, the investment will be forwarded to APHIS. 

 

B. It is ultimately the responsibility of the program, regardless of the procurement venue, to ensure that the 

Contracting Officer adheres to all Department and Agency requirements for technical approval identified in this 

Directive. The program must ensure that the contract action is not awarded until all approvals are received. 

 

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IX. CUSTOMER SERVICE STANDARDS

 

Allow a minimum of 5 business days from the date ITG receives your technical approval request for approval or 

follow-up contact. The actual review time will vary, especially with support services. The annual cut-off period 

for accepting new investments to be awarded within the given fiscal year is August 15th. This provides time to 

properly review investment documentation and seek non-agency approvals that may be necessary for award. It 

is highly recommended that all statements of work be forwarded electronically to accommodate the review 

process. 

 

In most cases, IT will forward technically approved investments to APHIS’ Specialized Contracting Service 

Center and notify you of the date that the Center receives it. Specific telecommunication investments will be 

ordered by the ITG Telecommunications Mission Area Control Officer (TMACO), who will work with the 

program as necessary to ensure that requirements are met. For planning purposes, refer to the following table 

for IT customer service standards. 

 

 

 

X. QUESTIONS 

 

For all inquiries and concerns, please contact Science and Technology; Information Technology Group; Policy, 

Planning and Analysis Branch on (202) 720-4569. 

 

/s/ 

 

A. J. Yates 

Administrator 

 

Attachments: 

Flowchart of the Approval Process (Attachment 1) 

Technical Approval Form (Attachment 2) 

 

 

 

AMS Directive 3130.4 

Attachment 1 

 

 

Level Description Initial Estimated Work 

Days Review Time

1 IT Investments under $100,000 5 days 

2 IT Investments over $100,000, with 

Executive Information Technology 

Investment Review Board (EITIRB) 

Approved Technical Investment 

Plan

5 days 

3 IT investments over $100,000, 

without EITIRB Approved 

Technical Investment Plan 

40 days 

(30 days for EITIRB 

approval and 10 days for 

ITG approval) 

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Submit Technical Approval

Request form with all 

supporting documents to 

AMS CIO for technical 

approval.

Upon receiving all required

approvals from EITIRB, 

OCIO, etc, ITG submits all 

approved documents to 

Procurement office and 

notifies Program of 

submission.

After award is made, contact the 

ITG for contract management 

assistance if IT services greater 

than $250,000 have been

procured.

Contact ITG for 

assistance in preparing 

IT Acquisition Waiver for 

OCIO’s approval.

Yes

Is investment >= $2,500 

or is a PC, 

telecommunications 

equipment, or services 

involved?

Proceed with purchase by 

credit card or submit 

approved AD-700 directly 

to Procurement.

Yes No

 

Are life cycle costs >=$100,000

Prepare SOW for 

services. See AMS Public 

Folders, AMS IT 

Policies/References or 

Intranet for a template and 

samples.

No

Attach funding document 

(e.g. AD-700) approved by

the program’s Resource 

Management Specialist. 

Document equipment 

specifications if any 

hardware is

to be procured.

Yes

Will acquisition be made as 

a sole source procurement 

using other than an 8A 

certified small business?

Prepare a JOFOC. 

Contact the Procurement

office for assistance, if the

request is over $2,500.

No

Is the life cycle investment >= 

$250,000?

 

Prepare TIP for investment. Submit 

to ITG for approval by EITIRB.

Prepare request form (ST14) Technical Approval. 

Have Deputy Administrator

sign requests for

investments >= $25,000.

START

FINISH

APPROVAL PROCESS FOR FINISH

AMS IT INVESTMENTS

Are IT services 

required? No

Yes

No

Yes

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AMS Directive 3130.4

Attachment 2

 

Form ST-14, Technical Approval Request Form 

(Click on the link under “3130.4” on the Table of Contents to access this form.) 

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