*Request for Information (RFI) *Request for Statement of Qualifications (RFSQ) *Approved Vendor List Presented August 21, 2014

Request for Information (RFI) Code: 63G-6a Section 5

Common Approach “Get all the information you can, we’ll think of a use for it later.”

Code: 63G-6a-502. Purpose of Request for Information. (1) The purpose of a request for information is to: (a) obtain information, comments, or suggestions from potential bidders offerors before issuing an invitation for bids or request for proposals; (b) determine whether to issue an invitation for bids or a request for proposals; and (c) generate interest in a potential invitation for bids or a request for proposals.

Code: 63G-6a-502. Purpose of Request for Information. (2) Request for information may be useful to: (a) prepare to issue an invitation for bids or request for proposals for an unfamiliar or complex procurement; (b)determine the market availability…of item; or (c)determine best practices, industry standards, performance standards, product specifications, and innovations…relating to item.

Code: 63G-6a-503. Request for Information and Response Nonbinding. (1)A request for information is not a procurement process and may not be used to make a purchase or enter into a contract. A procurement unit is required to use a standard procurement process, or comply with an exception to the requirement to use a standard procurement process described in Part 8 {emergency, prison goods, etc}… (2) A response to a request for information is not an offer and may not be accepted to form a binding contract.

Code: 63G-6a-504. Contents of Request for Information. A request for information may seek a wide range of information, including: (1) availability of a procurement item; (2) delivery schedules; (3) industry standards and practices; (4) product specifications; (5) training;

Code: 63G-6a-504. Contents of Request for Information. (6) new technologies; (7) capabilities of potential providers of a procurement item; and (8) alternate solutions.

Code: 63G-6a-505. Protected Information. Information submitted to or by a governmental entity in response to a request for information is protected under Section 63G WITH LIMITATIONS

Code: 63G Protected Records (7) information submitted …in response to a request for information… except, subject to Subsections (1){trade secrets} and (2){financial information}, …does not restrict the right of a person to have access to the information, after:

Code: 63G Protected Records (a) a contract directly relating to the subject of the request for information has been awarded and signed by all parties; or

Code: 63G Protected Records (b) (i) a final determination is made not to enter into a contract that relates to the subject of the request for information; and (ii) at least two years have passed after the day on which the request for information is issued;

Rule: R Request for Information. In addition to the requirements of Part 5 of the Utah Procurement Code, a Request for Information should indicate the procedure for business confidentiality claims and other protections provided by the Utah Government Records and Access Management Act.

EXAMPLE Transportation for Utah Schools Deaf and Blind = The intention of this solicitation was to determine if the market supported multiple vendors providing Pupil Transportation to USDB and what those vendors estimated the costs to be as part of an overall on-going Pupil Transportation Analysis.

EXAMPLE Medicaid Plastic Card Options= The intention of this solicitation was to increase knowledge of the capabilities of plastic card solutions as the State of Utah intended to replace the current paper Medicaid Identification Card with a permanent plastic Medical Identification Card, which would be issued to Medicaid clients through the mail.

EXAMPLE Reorganization of Administrative Functions in State Agencies= The intention of this solicitation was to seek information regarding interest in providing consulting services regarding a study of 10 state agencies to determine whether or not some or all of the administrative functions could be handled by either the DAS or a larger department, as per HB80S01

Request for Statement of Qualifications (RFSQ) Code: 63G-6a Section 4

“What do you mean it’s not a good resume? It’s the most expensive one they had on eBay!”

Code: 63G-6a-403. Prequalification of Potential Vendors Option 1: (a)"Closed-ended prequalification process" … a process to prequalify potential vendors …that is characterized by: (i) a short, specified period of time during which potential vendors may be prequalified; and (ii) a specified date at which prequalifications expire.

Code: 63G-6a-403. Prequalification of Potential Vendors Option 2: (b) "Open-ended prequalification process" …a process to prequalify vendors and potential vendors under this section that is characterized by an indeterminate period of time during any part of which vendors or potential vendors may be prequalified and the prequalification of previously prequalified vendors or potential vendors may be periodically renewed.

Code: 63G-6a-403. Prequalification of Potential Vendors (2)A procurement unit may, in accordance with this section: (a)(i) prequalify potential vendors to provide any procurement item or type of procurement item specified by the procurement unit; or (ii) rank architects, engineers, or other professional service providers to begin the fee negotiation process, as provided in this chapter; and

Code: 63G-6a-403. Prequalification of Potential Vendors (b) limit participation in a standard procurement process to the prequalified potential vendors for the specified procurement item or type of procurement item.

Code: 63G-6a-403. Prequalification of Potential Vendors (3) To prequalify potential vendors or rank professional service providers, a procurement unit shall issue a request for statement of qualifications.

Code: 63G-6a-403. Prequalification of Potential Vendors (4) A procurement unit that issues a request for statement of qualifications: (a) shall: (i) publish the request for statement of qualifications in accordance with the requirements of Section 63G-6a-406 (Public Notice of Solicitations); and

Code: 63G-6a-403. Prequalification of Potential Vendors (ii) state in the request for statement of qualifications: (A) the procurement item or type of procurement item to which the request for statement of qualifications relates; (B) the scope of work to be performed; (C) the instructions and deadline for submitting a statement of qualifications;

Code: 63G-6a-403. Prequalification of Potential Vendors (D) the criteria by which the procurement unit will evaluate statements of qualifications; (E) whether the prequalification process is a closed-ended prequalification process or an open-ended prequalification process;

Code: 63G-6a-403. Prequalification of Potential Vendors (F) if the prequalification process is a closed- ended prequalification process, the period of time during which the list of prequalified potential vendors will remain in effect, which may not be longer than 18 months after the list of prequalified potential vendors is made available to the public under Subsection (11)(b);

Code: 63G-6a-403. Prequalification of Potential Vendors (G) if the prequalification process is an open- ended prequalification process, when a potential vendor may submit a statement of qualifications for the potential vendor to be considered for inclusion on the list of prequalified potential vendors; and

Code: 63G-6a-403. Prequalification of Potential Vendors (H) that a procurement unit may limit participation in an invitation for bids or a request for proposals to the potential vendors that are prequalified to provide the specified procurement item or type of procurement item; and

Code: 63G-6a-403. Prequalification of Potential Vendors (b) may request the person submitting a statement of qualifications to provide: (i) basic information about the person; (ii) …experience and work history; (iii) information about …management and staff; (iv)information about …licenses, certifications, and other qualifications; (v)any applicable performance ratings; (vi) financial statements…; and (vii) any other pertinent information.

Code: 63G-6a-403. Prequalification of Potential Vendors (5) (a) In order to renew a prequalification, a vendor or potential vendor that has been previously prequalified through an open-ended prequalification process shall submit a statement of qualifications no more than 18 months after the previous prequalification of that vendor or potential vendor.

Code: 63G-6a-403. Prequalification of Potential Vendors (b) A previously prequalified vendor or potential vendor submitting a statement of qualifications under Subsection (5)(a) shall comply with all requirements applicable at that time to a potential vendor seeking prequalification for the first time.

Code: 63G-6a-403. Prequalification of Potential Vendors (6) A procurement unit may at any time modify prequalification requirements of an open-ended prequalification process. (7) The criteria … (a) shall include the prequalification requirements unique to the procurement; (b) may include performance rating criteria; and (c) may not be so restrictive that the criteria unreasonably limit competition.

Code: 63G-6a-403. Prequalification of Potential Vendors (8) A procurement unit may, before making a final list of prequalified vendors, request additional information to clarify responses made to the request for statement of qualifications.

Code: 63G-6a-403. Prequalification of Potential Vendors (9) A potential vendor shall be included on the list of prequalified potential vendors if the potential vendor: (a) submits a timely, responsive response…; and (b) meets the criteria for qualification…

Code: 63G-6a-403. Prequalification of Potential Vendors (10) If a request for statement of qualifications will result in only one potential vendor being placed on the list of prequalified potential vendors: (a) the procurement unit shall cancel the request for statement of qualifications; and (b) the list may not be used by the procurement unit.

Code: 63G-6a-403. Prequalification of Potential Vendors (11) The procurement unit shall: (a) before making the list of prequalified potential vendors available to the public, provide each potential vendor who provided information in response to the request, but who did not meet the minimum qualifications for placement on the list, a written justification statement describing why the potential vendor did not meet the criteria for inclusion on the list; and

Code: 63G-6a-403. Prequalification of Potential Vendors (b) make the list of prequalified potential vendors available to the public within 30 days after: (i) completing the evaluation process, if the prequalification process is a closed-ended prequalification process; or (ii) updating the list of prequalified potential vendors, if the prequalification process is an open-ended prequalification process.

EXAMPLE Financial Analysis- State Innovation Model Interventions= Dept. of Health is currently in a public input process to develop interventions in a variety of areas. An intervention can be understood to be a specific activity or plan that the state may consider for implementation. The state is required to perform a financial analysis of any proposed specific interventions included in the State Innovation Model plan.

Qualifications Evaluation Criteria 1. Utah-specific Data that firm had access to and could use to complete the necessary estimates and analysis. 2. Clear and Workable Approach, and the specific methods that would be used. 3. Firm’s Experience Conducting Financial Analyses. 4. Resumes of the qualifications, expertise, and experience of staff.

EXAMPLE Utah Charter School Financial Advisory Services= The UCSFA manages the issuance of revenue bonds, or other financing instruments, on behalf of certain charter schools in Utah. Prequalified firms will be eligible to serve as financial advisors to charter schools on financings obtained through the UCSFA. Schools wishing to utilize the UCSFA as conduit issuer will issue an Invitation to Bid to all Prequalified Firms and subsequently select the Prequalified Firm whose bid proves most beneficial to the school.

Minimum Qualifications a. Firms must be licensed to do business in Utah b. Firms must agree to a “not-to-exceed” fee cap.

Qualifications Evaluation Criteria History and background of the company Financial position and strength of the company Amounts and types of insurance carried, including the deductible amount to cover errors and omissions, improper judgments, or negligence on the part of your company. Staff experience with charter school financings and the role they would play in the issuance of Utah charter school bonds. Firm’s Financial advisory experience Resources and analytical tools firm would utilize to provide charter school clients with debt structuring, monitoring of refinancing opportunities, modeling, and technical analysis.

Approved Vendor List Code: 63G-6a Section 4

Question Vendor: Can I get on the State’s approved vendor list? Old Answer: NO! There is no list!! WHY DO YOU KEEP CALLING?!!! New Approved Answer: Maybe

Code: 63G-6a-404. Approved Vendor List. (1) …(b) The process described in this section may not be used for construction projects that cost more than an amount specified by the applicable rulemaking authority.

Code: 63G-6a-404. Approved Vendor List. (2) An approved vendor list may only be compiled from timely, responsive responses received under Section 63G-6a-403 (Prequalification of Potential Vendors) or the process described in Part 15, Architect-Engineer Services.

Code: 63G-6a-404. Approved Vendor List. (3) In order to ensure equal treatment of vendors on an approved vendor list, …the procurement unit shall use one of the following methods in an unbiased manner:

Code: 63G-6a-404. Approved Vendor List. (a) a rotation system, organized alphabetically, numerically, or randomly; (b) assigning vendors to a specified geographical area; or (c) classifying each vendor based on each vendor's particular expertise, qualifications, or field.

Code: 63G-6a-404. Approved Vendor List. (4) (a) For a construction project that costs less than the amount established by the applicable rulemaking authority, under Subsection (1)(b), a procurement unit shall select a potential construction contractor from an approved potential contractor list, using an invitation for bids or a request for proposals.

Code: 63G-6a-404. Approved Vendor List. (b) For architectural or engineering services for a construction project described in Subsection (4)(a), a procurement unit shall select a potential contractor from an approved potential contractor list: …using a rotation system,…geographical area; or…field or area of expertise.

Code: 63G-6a-404. Approved Vendor List. (5) A procurement unit may not use an approved vendor list described in this section for a construction project with a cost that is equal to or greater than the amount established by the applicable rulemaking authority under Subsection (1)(b).

Code: 63G-6a-404. Approved Vendor List. (6) (a) After selecting a potential contractor under Subsection (4)(b){architectural or engineering services}, a procurement unit shall enter into fee negotiations with the potential contractor.

Code: 63G-6a-404. Approved Vendor List. (b) If, after good faith negotiations, the procurement unit and the potential contractor are unable to negotiate a fee that is acceptable to both parties, the procurement unit shall select another contractor under Subsection (4)(b) and enter into fee negotiations with that potential contractor.

Rule: R Thresholds for Approved Vendor Lists. Contracts or purchases from an approved vendor list may not exceed the following thresholds: (i)Construction Projects: $2,500,000 per contract, for direct construction costs, including design and allowable furniture or equipment costs… (ii)Professional and General Services, including architectural and engineering services: $100,000; and (iii) Information Technology: $500,000