Utah Admin. Code R926-16-4 - Unsolicited Proposal Initial Threshold Review, Stage One - Screening, and Stage Two - Detailed Evaluation

(1) Evaluation. The Department may appoint an individual or an evaluation committee, as it deems appropriate and after any required fee is paid, to conduct reviews of unsolicited proposals to determine whether to request competing proposals and qualifications, request additional information to facilitate further evaluation, or reject the unsolicited proposal.

(2)

(a) Review Procedure. The review procedure for unsolicited proposals includes the initial threshold review followed by two additional stages of evaluation, Stage One -- Screening, and Stage Two -- Detailed Evaluation.

(b) The Department will make the decision to review or reject an unsolicited proposal and decisions regarding proceeding through the review procedure unilaterally, however, the Department will consult with the Submitter before deciding to reject a proposal or move to the next stage in the review procedure.

(c) The Department will reject a proposal or continue to the next stage in the review procedure within a reasonable time, but not more than :

(i) 60 days after the date the initial unsolicited proposal is received;

(ii) 60 days after the date of notification to the Submitter of the Department's intent to advance to Stage One -- Screening; or

(iii) 90 days after the date an unsolicited proposal is received for Stage Two -- Detailed Review in response to the Department's instructions.

(d) The Department and the Submitter may agree to extend a review period beyond the defined days after a consultation. Review periods may be temporarily suspended to allow the Department to request clarifications from a Submitter and for the Submitter to respond to such a request.

(e) The Department and the Submitter must cooperate and proceed through the review procedure as expeditiously as practicable.

(3) Initial Threshold Review. The initial threshold review will consider whether the unsolicited proposal meets the minimum statutory and regulatory requirements, includes the required minimum content, and satisfies the definition of an unsolicited proposal. If the Department determines it will consider the unsolicited proposal further following the initial threshold review, the further review will be conducted in two stages, Stage One --Screening, and Stage Two -- Detailed Evaluation.

(4) Stage One -- Screening. The Stage One -- Screening will be a summary review to determine whether the unsolicited proposal merits proceeding to Stage Two -- Detailed Evaluation.

(a) The Stage One -- Screening may consider whether the unsolicited proposal sufficiently addresses the following criteria:

(i) the proposal offers direct or anticipated benefits to the state;

(ii) is consistent with the Department's objectives and goals;

(iii) satisfies a need for the state that can be reasonably accommodated in annual long-term capital and operating budgets without displacing other planned expenditures, and without placing other committed projects at risk;

(iv) is within the Department's jurisdiction and authority;

(v) effectively leverages private sector innovation or expertise;

(vi) allows for the strategic transfer of project risk;

(vii) provides a cost savings to the Department or provides an opportunity to raise capital or provides revenue generation or revenue sharing with the Department; and

(viii) has other benefits specific to the unsolicited proposal.

(b) The Department may reject proposals that do not sufficiently address the Stage One -- Screening criteria or generally fail to meet the minimum requirements established under statute and this rule or that the Department otherwise determines do not merit further review.

(c) The Department will complete the Stage One --Screening and notify the Submitter of its conclusions as follows:

(i) the unsolicited proposal fails to meet Stage One screening requirements, and in the sole discretion of the Department, it cannot be revised so that compliance is possible, or

(ii) further information is needed before the Department can determine whether to proceed with Stage Two -- Detailed Evaluation, or

(iii) the unsolicited proposal will be subject to Stage Two -- Detailed Evaluation, subject to the satisfactory receipt by the Department of additional information and receipt of the fee described in Section R926-16-7.

(5) Stage Two -- Detailed Evaluation. The purpose of the Stage Two -- Detailed Evaluation of the unsolicited proposal is to allow the Department to determine whether to issue a request for competing proposals and qualifications related to the unsolicited proposal.

(a) The Department will begin the Stage Two -- Detailed Evaluation upon the later of (i) the date of the receipt of any additional detailed information requested to supplement the unsolicited proposal, or (ii) the date of receipt of the fee described in Section R926-16-7.

(b) Where an unsolicited proposal is selected to proceed to Stage Two -- Detailed Evaluation, the Department may request from the Submitter more detailed information regarding the unsolicited proposal. Additional detailed information requested for the unsolicited proposal may include:

(i) the types of support required from the state including facilities, equipment, property and personnel;

(ii) a sufficiently detailed description of the scope of work and commercial terms the Submitter anticipates in the Public-private partnership to allow the Department to assess the value provided;

(iii) a cash flow analysis showing capital, maintenance and operating costs and revenues;

(iv) conceptual finance plan; and

(v) the availability of payment or form of a TIPPP and a schedule for implementation showing the dates for property or services to be provided by the state.

(c) The Submitter must provide information to assist the Department to incorporate any concepts the Submitter considers to be proprietary, confidential, or trade secret within the solicited procurement in a manner that will be acceptable to the Submitter.

(d) The Stage Two -- Detailed Evaluation will consider the overall costs for delivery of the project over the term of the proposed agreement described in the unsolicited proposal and the proposed approach to financing and funding the project described in the unsolicited proposal, including potential revenue streams. Additionally, the Stage Two -- Detailed Evaluation will consider the potential risks and reasonableness of assumptions associated with implementing the proposal and modifications to project scope, risk allocation, and commercial terms that would need to be incorporated within a solicited proposal.

(e) The Department will complete the Stage Two --Detailed Evaluation, make its decision, and notify the Submitter as follows:

(i) the unsolicited proposal, or certain concepts included therein is suitable to form the basis of a competitive solicitation. The Department intends to provide the Submitter with the opportunity to discuss a potential solicitation. Subject to a satisfactory conclusion of this discussion, the Submitter will be waived from certain fees and requirements with respect to its response to a forthcoming competitive solicitation; or

(ii) the unsolicited proposal is not suitable to form the basis of a competitive solicitation. The Department does not intend to issue a competitive solicitation at this time. The Submitter will not be excluded from participating in any future solicitation, and the Department will not waive any fees or requirements in response to a future solicitation.

(6) The Department may, in its sole discretion, adopt or reject concepts contained within an unsolicited proposal.

(7) The Department may, in its sole discretion, make significant modifications to the concepts in an original or updated unsolicited proposal.

(8) The Department will notify the Submitter of the original or updated unsolicited proposal of the concepts it intends to adopt within a solicitation and will provide the Submitter with a reasonable opportunity to object to the way such concepts are incorporated and to suggest modifications to avoid disclosure of content that the Submitter considers proprietary, confidential, or trade secret.

Notes

Utah Admin. Code R926-16-4

Adopted by Utah State Bulletin Number 2019-11, effective 5/8/2019 Amended by Utah State Bulletin Number 2022-20, effective 10/10/2022