State of Utah
Bid ZD15006
5
Solicitation ZD15006
RFI for Land Asset and Agreement Tracking System (LAATS)
Bid designation: Public
State of Utah
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State of Utah
Bid ZD15006
5
Bid ZD15006 RFI for Land Asset and Agreement Tracking System (LAATS) Bid Number
ZD15006
Bid Title
RFI for Land Asset and Agreement Tracking System (LAATS)
Bid Start Date
Aug 6, 2014 10:38:43 AM MDT
Bid End Date
Sep 5, 2014 10:00:00 AM MDT
Question & Answer End Date
Aug 29, 2014 5:00:00 PM MDT
Bid Contact
Zachary Derr Purchasing Agent DAS
[email protected]
Contract Duration See Specifications Contract Renewal Not Applicable Prices Good for
Not Applicable
Bid Comments
Division of Forestry, Fire and State Lands (FFSL) is seeking information about a Land Asset and Agreement Tracking System (LAATS). The State of Utah invites all interested parties to submit a written response to this Request for Information (RFI). The State will use information it receives from this Request for Information (RFI) to determine if a detailed Request for Proposal (RFP) is necessary or if FFSL can select a vendor through a sole-source process. Should FFSL develop an RFP, it will be enhanced and finalized using information gathered through this RFI. Please do not include in your response any pricing or estimates. Your response does not obligate the state or the vendor. Item Response Form
Item
ZD15006-01-01 - No Pricing please
Quantity
1 each
Prices are not requested for this item. Delivery Location State of Utah Division of Purchasing 3150 State Office Building, Capitol Hill PO Box 141061 Salt Lake City UT 84114-1061 Qty 1
Description No pricing please
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State of Utah
Bid ZD15006
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STATE OF UTAH
SOLICITATION NO. ZD15006 RFI for Land Asset and Agreement Tracking System (LAATS)
RESPONSES DUE NO LATER THAN:
Sep 5, 2014 10:00:00 AM MDT
RESPONSES MAY BE SUBMITTED ELECTRONICALLY TO: www.bidsync.com RESPONSES MAY BE MAILED OR DELIVERED TO: State of Utah Division of Purchasing 3150 State Office Building, Capitol Hill Salt Lake City, Utah 84114-1061
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Bid ZD15006
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State of Utah Request for Information
Legal Company Name (include d/b/a if applicable)
Company Address
City
State
Zip Code
Company Contact Person
Telephone Number (include area code)
Fax Number (include area code)
Company's Internet Web Address
Email Address
REQUEST FOR INFORMATION – INSTRUCTIONS AND GENERAL PROVISIONS 1. SUBMITTING THE RESPONSE: (a) The Utah Division of Purchasing and General Services (DIVISION) prefers that requested information to be submitted electronically. Electronic responses may be submitted through a secure mailbox at BidSync (formerly RFP Depot, LLC)(www.bidsync.com) until the date and time as indicated in this document. It is the sole responsibility of the supplier to ensure their response reaches BidSync before the closing date and time. There is no cost to the supplier to submit Utah’s electronic responses via BidSync. (b) Electronic response may require the uploading of electronic attachments. The submission of attachments containing embedded documents is prohibited. All documents should be attached as separate files. (c) If the supplier chooses to submit the response directly to the DIVISION in writing: The response must be delivered to the Utah Division of Purchasing, 3150 State Office Building, Capitol Hill, Salt Lake City, UT 84114-1061 or faxed to (801) 538-3882 by the due date and time. The “Solicitation Number” and “Due Date” must appear on the outside of the envelope or on the fax cover page. (d) The DIVISION will consider faxed responses. Faxed responses are submitted at the sole option and risk of the supplier. Access to the DIVISION fax machine is on a “first come first served” basis and the DIVISION does not guarantee the supplier’s access to the machine at any particular time. 2. QUOTATION PREPARATION: This solicitation will not result in a contract award. The purpose of the request is to gather information that may, or may not be used in a future Request for Proposal or Invitation for Bids. 3. SOLICITATION AMENDMENTS: All changes to this solicitation will be made through written addendum only. Answers to questions submitted through BidSync shall be considered addenda to the solicitation documents. Bidders are cautioned not to consider verbal modifications. 4. PROTECTED INFORMATION: Suppliers are required to mark any specific information contained in their response which they are claiming as protected and not to be disclosed to the public or used for purposes other than the evaluation of the response. Each request for non-disclosure must be made by completing the “Confidentiality Claim Form” located at http://www.purchasing.utah.gov/contract/documents/confidentialityclaimform.doc with a specific justification explaining why the information is to be protected. All material becomes the property of the 8/6/2014 10:40 AM DIVISION and may be returned only at the DIVISION’s option. Responses submitted may to be reviewed and
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Bidders are cautioned not to consider verbal modifications. 4. PROTECTED INFORMATION: Suppliers are required to mark any specific information contained in their of Utah response which they are claiming as protected andState not to be disclosed to the public or used for purposes other thanBid ZD15006 the evaluation of the response. Each request for non-disclosure must be made by completing the “Confidentiality Claim Form” located at http://www.purchasing.utah.gov/contract/documents/confidentialityclaimform.doc with a specific justification explaining why the information is to be protected. All material becomes the property of the DIVISION and may be returned only at the DIVISION’s option. Responses submitted may to be reviewed and evaluated by any persons at the discretion of the DIVISION. 5. SAMPLES: Samples of item(s) specified in the RFI, when required by DIVISION, must be furnished free of charge to DIVISION. Any items not destroyed by tests may, upon request made at the time the sample is furnished, be returned at the supplier’s expense. 6. GOVERNING LAWS AND REGULATIONS: All State purchases are subject to the Utah Procurement Code, Title 63 Chapter 56 U.C.A. 1953, as amended, and the Procurement Rules as adopted by the Utah State Procurement Policy Board. These are available on the Internet at www.purchasing.utah.gov. By submitting a bid or offer, the bidder/offeror warrants that the bidder/offeror and any and all supplies, services equipment, and construction purchased by the State shall comply fully with all applicable Federal and State laws and regulations, including applicable licensure and certification requirements. (Revision date: 13 JULY 2010 – RFI Instructions)
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State of Utah
Bid ZD15006
State of Utah Department of Natural Resources Divisions of: Forestry, Fire and State Lands Parks and Recreation Wildlife Resources Recovery Programs Office
Request for Information Land, Asset and Agreement Tracking System (LAATS) Date Issued: 8/7/2014 Solicitation #ZD15006
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Bid ZD15006
Section 1.0 Purpose 1.1 Vision 1.2 Goals 1.3 Objectives Section 2.0 Approach 2.1 What Respondents Should Address 2.2 Scope of Needs 2.2.1 Project and agreement management. 2.2.1.1 Billing and Payments 2.2.1.2 Manage and track projects and agreements throughout their lifespan 2.2.1.3 Information access and transparency. 2.2.1.4 Workflow tracking and management 2.2.2 GIS technology integration. 2.2.3 Strategic platform Section 3.0 General Information and Submission Process 3.1 Issuing Office 3.2 Timeline 3.3 Questions 3.4 Submitting Your Response 3.5 Response Format 2 8/6/2014 10:40 AM
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3.6 Protected Information Section 4.0 Background Information 4.1 DNR agencies involved 4.1.1 The Division of Forestry, Fire and State Lands - Sovereign Lands Program 4.1.1.1 Background on the SLP’s land management processes and needs. 4.1.1.2 Narrative on why the SLP needs the LMS 4.1.1.3 Major requirements and events of a project/agreement for SLP. 4.1.2 The Division of Parks and Recreation 4.1.2.1 Overview 4.1.2.2 Immediate Needs 4.1.2.3 Future Needs 4.1.2.4 Maintenance Needs 4.1.3 The Division of Wildlife Resources 4.1.3.1 Overview 4.1.3.2 Immediate Needs 4.1.3.5 Future Needs 4.2 The DNR Recovery Programs Office Section 5.0 Appendix and Attachments 5.1 Appendix A - Definitions 5.2 Appendix B - Utah State Code and Rule relating to technology 3 8/6/2014 10:40 AM
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5.2.1 Utah State Code as it relates to the acquisition/purchase of information technology hardware, software, and services. 5.2.2 Utah State Rule as it relates to the acquisition/purchase of information technology hardware, software, and services. 5.3 Attachments
Section 1.0 Purpose The Utah Department of Natural Resources (DNR) is soliciting information from qualified vendors relating to a software solution based on a Commercial-Off-The-Shelf (COTS) platform to modernize and streamline the administration, management, and tracking of the lands based assets, projects and processes DNR manages. DNR has three agencies that own and manage lands, the divisions of; Forestry, Fire and State Lands (FFSL), Parks and Recreation (DPR), and Wildlife Resources (DWR). Other divisions and programs within DNR fund and manage natural resource related projects* and agreements* on lands DNR does not own. While each of these agencies manages lands or other related assets for different purposes and statutes, there is a significant amount of overlap between them in terms of project, process, and information management needs. The administration of these lands involves projects, formal agreements between DNR and third parties, real property acquisitions and disposals, monitoring to ensure compliance, managing assets, land management projects, the billing and payments involved with these business processes, and the establishment and maintenance of sound audit trails through time. The envisioned system—generically referred to here as the Land Assets & Agreements Tracking System, or “LAATS”—must be able to ● receive, process, and manage projects and financial accounting information; ● store and retrieve contracts/agreements and other supporting documents; ● quickly and easily provide asset managers financial and managerial reporting capabilities; and ● help DNR efficiently implement robust internal controls*. 1.1 Vision Our vision is to create a system that automates the management and tracking of our business processes, thereby establishing and maintaining robust internal controls, audit trails, and a high level of geospatial information access. 1.2 Goals The goals of this system are: 4 8/6/2014 10:40 AM
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State of Utah
Bid ZD15006
● ● ● ●
Create efficiencies in the administration of lands, assets, and projects. Create efficiencies in the process of managing and maintaining our assets and agreements. Provide better information to DNR and our stakeholders. Ensure that the state is effectively managing the financial benefits and responsibilities of the lands we manage. ● Establish and maintain robust internal controls. Note: * denotes terms defined in the Appendix A - Definitions. 1.3 Objectives The objectives of this project are to: 1. Create a system that is able to manage, track, report, and bill the contracts, assets, projects, and agreements we manage. 2. Create a system that is able to provide transparency and information access to DNR and our stakeholders. This could be done through the use of GIS*, web mapping, dashboard widgets, reports, etc. 3. Provide a strategic platform that can be leveraged for other DNR projects and initiatives. DNR will use information it receives from this Request for Information (RFI) to determine if a detailed Request for Proposal (RFP) is necessary or if DNR can select a vendor through a sole-source process. Should DNR develop an RFP, it will be enhanced and finalized using information gathered through this RFI. Note: This is a Request for Information only. No contracts with vendors will be generated from this process.
Section 2.0 Approach 2.1 What Respondents Should Address Vendors may propose any number of different solutions and approaches that DNR could utilize for improvements to our land administration and business processes. It is anticipated that the solution will be software based. While we prefer a comprehensive solution, we would like to know about solutions that address specific sections of the scope of needs below. We would also be interested to hear how different systems can be integrated to create a central system. Solutions should address each of the major themes presented in the scope of needs below.
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2.2 Scope of Needs DNR has done initial information and needs gathering but would like to use the RFI opportunity to get a better idea of what the market has to offer. Below is the scope of needs for this system. It is organized by major themes. 2.2.1 Project and agreement management. 2.2.1.1 Billing and Payments To maintain security of the State’s financial system, the LAATS software solution will not be expected to electronically interface with the state’s financial system. The LAATS only needs to manage and track financial information and will not be expected to act as a cash register for our billings and payments. It is expected that there will be double-entry of data in both the state’s financial system and the LAATS.
Bill and track payments of the appropriate parties involved in an agreement.
Input and track payments and receivables to the appropriate parties involved in an agreement.
Handle Joint Interest Billing (JIB). This is a common oil and gas industry requirement that accounts for multiple interests in an agreement and the appropriate billing of those interests. LAATS will also need to track the changes to the joint interests over the life of the active agreement.
Support competitive bidding processes. o Some of our agreements are awarded through a blind competitive bidding process over a period of time. After the time has elapsed, the bids are reviewed and the highest bid is awarded the contract. o More information about competitive (simultaneous) bidding can be found in Attachment A - FFSL-UserStories.xlsx
View all billing information for a given time, agreement, customer, etc. o Create and generate custom reports.
Track and manage payments. o Allow for partial payments. o Input cash and checks as payment. o Comment on a payment. o Create invoices and receipts.
Send billing due date reminders and overdue payment notifications.
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State of Utah
Bid ZD15006
2.2.1.2 Manage and track projects and agreements throughout their lifespan
Maintain records and documents of projects and agreements from initiation through forever.
Track all of the changes to a project or agreement.
Send notification emails or messages to the appropriate people when an important event or request happens. o Allow them to approve or deny, with comments, certain requests from the email or a website. o Our technical staff should be able to configure the notifications and recipients/approvers.
2.2.1.3 Information access and transparency.
The LAATS will need to provide our staff with robust information access to the data in the system. Information access requirements of the LAATS include: o Queries.
Canned/pre-defined queries.
The ability to create new queries and modify existing ones by our staff with a basic SQL knowledge.
o Reporting.
create well formatted reports of various information in the LAATS.
create and configure auto-generated reports. Configure when they are generated and how often they recur.
create new and custom reports by our staff with intermediate technical backgrounds.
The LAATS will need to provide public and organizational transparency about the agreements and contracts made by DNR in accordance with the Government Records Access Management Act (GRAMA). LAATS will need to be able to parse out the public parts of an agreement and post them to a public facing website. Specific parts of an agreement/contract will often need to be made unavailable for public view except in those instances where DNR is petitioned under GRAMA.
The LAATS will need to provide our staff with the ability to set, define, and modify access levels to the LAATS and its information. o Initial levels of access are: 7
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Public View - preferably through our websites or a link from our websites. Some data will need to be filtered to protect us and our customers privacy.
Agency View - certain members from our agency and other partners will be given viewing rights to data and documents. Some data will need to be filtered.
Program View - these members will have full view access to the data and documents.
Approve/Deny/Comment - certain members will need to be able to approve/deny/comment on projects and agreements as they move through our system. Email notifications with links to approve/deny/comment on agreements or similar functionality is preferred.
Program Edit - certain staff will be able to edit records, files, etc. in the LAATS.
o There should be an easy way for an administrator to add or remove members or change their access permissions. o Mobile device access would be a plus.
The LAATS will need to provide public transparency about the agreements we provide. o The LAATS will need to be able to parse out the public parts of an agreement and post them to a public facing website. Specific parts of an agreement, such as the costs, will need to be hidden from the public.
2.2.1.4 Workflow tracking and managment
The LAATS will need to provide workflow functionality. Workflow functionality is necessary for us to be able to map out our processes and ensure that they are followed.
Our technical staff should be able to be configure and manage the workflow functions.
The workflow functionality should provide some form of notification emails or messages to the appropriate people when an important event or request happens. o Allow them to approve or deny, with comments, certain requests from the email or a website. o Our technical staff should be able to configure the notifications and recipients/approvers.
2.2.2 GIS technology integration
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For effective administration and management of DNR’s lands, GIS data and processes are required.
The LAATS needs to provide DNR with the ability to spatially search for records of our agreements and projects and provide reports and reporting based on the spatial search.
Provide a link from the GIS features to the agreement/project information in the LAATS system.
DNR has an Enterprise License Agreement with ESRI and they are DNR’s preferred GIS solution provider. However, we do not want to discourage vendors without an ESRI solution from replying to this RFI. We can be flexible in how we export and send GIS to the LAATS if necessary.
LAATS agreement/project areas* will likely be housed in an ESRI SDE Geodatabase and exposed as a REST web service via ArcGIS Server and/or ArcGIS Online. A primary key field will be maintained in the GIS and the LAATS. This will be used to link the two systems. o The GIS will need to “pull” information from the LAATS so that when an agreement area is selected or queried in the GIS system, the additional information about the land agreement will be attached to the attributes of the agreement area feature. o The LAATS will also need to “pull” information from the GIS system. For example, acreages calculated in the GIS will need to be passed back into an agreement record in the LAATS.
Additional integration or use of ESRI technology that leverages our enterprise license is preferred.
2.2.3 Strategic platform
The LAATS needs to be built on an existing commercial software platform(s) that o integrates the requirements of the LAATS into one platform, as much as possible. o will be actively supported, maintained, and updated. o is extensible to other LAATS requirements that may arise in the future.
The platform should allow DNR technical staff to manage the administration and future development of the associated databases, forms, workflows, data, etc.
Our technical staff should be able to do this through configuration type workflows rather than needing to be coders.
o provides opportunities to leverage the software platform for other business information processes outside of the LAATS. (More bang for our buck) o has the potential to leverage mobile workflows such as data collection and editing. o has the ability to manage and automate workflow processes such as: 9 8/6/2014 10:40 AM
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State of Utah
triggering emails based on a condition being met or not.
sending an approver an email or similar notification where they can approve,
Bid ZD15006
deny, or make comments on a workflow step or document.
has the ability to assign different security and access levels for different users. Additional specifics are outlined in the Information access and transparency section.
● Professional services. o Although a software platform(s) will provide the basic functionality to run the LAATS, it is anticipated that additional configuration, programming, and migration services will be needed for the system to fully meet our needs. o Needs related to professional services include:
Expert knowledge of the software platform(s) and how it can be extended through additional configuration and programming.
Expert knowledge of data migration from our existing systems, mostly MS Access and SQL databases, into the LAATS and software platform(s). Information on the existing database for FFSL is included in Attachments C and D.
Initial training for our staff that will be managing the LAATS.
Ongoing training for our staff to enable them to take advantage of upgrades and changes to the software platform(s).
We would like to know about your preferred project implementation strategies.
SCRUM, Agile, CCPM, Etc.
Section 3.0 General Information and Submission Process 3.1 Issuing Office The State of Utah Division of Purchasing is the issuing office for this document and all subsequent addenda relating to it, on behalf of DNR. The reference number for the transaction is Solicitation #ZD15006. This number must be referred to on all submissions, correspondence, and documentation relating to this RFI.
3.2 Timeline
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Last day to submit questions through BidSync: August 29th, 2014 Vendor Responses to this RFI due: September 5th, 2014
3.3 Questions All questions must be submitted through BIDSYNC (formerly RFP Depot.) Answers will be given via the BIDSYNC site.
3.4 Submitting Your Response Responses must be received by the posted due date and time. Responses received after the deadline will be late and ineligible for consideration. You must submit your proposal electronically through BidSync (formerly RFP Depot.) When submitting a proposal electronically through BidSync, please allow sufficient time to complete the online forms and upload documents. The solicitation will end at the closing time listed in the RFI. If you are in the middle of uploading your proposal at the closing time, the system will stop the process and your proposal will not be received by the system. Electronic proposals may require uploading of electronic attachments. BidSync’s site will accept a wide variety of document types as attachments. However, the submission of documents containing embedded documents (zip files), mov, wmp, and mp3 files are prohibited. All documents should be attached as separate files.
3.5 Response Format All responses must include: ● RFI Form The State’s Request for Information form completed and signed. ● Executive Summary
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Include a one or two page executive summary to briefly describe the vendor’s response. This summary should highlight the major features of the response. It must indicate any requirements that cannot be met by the vendor. The reader should be able to determine the essence of the proposal by reading the executive summary. Protected information requests should be identified in this section (see section 3.6 Protected Information, below). ● Response Narrative This section should constitute the major portion of the response. The narrative should demonstrate the vendor’s understanding of the overall expectations of the LAATS. Please address each of the major themes highlighted in the Scope of Needs in Section 2.2. The major themes include: 2.2.1 Project and agreement management 2.2.1.1 Billing and Payments 2.2.1.2 Manage and track projects and agreements throughout their lifespan 2.2.1.3 Information access and transparency 2.2.1.4 Workflow tracking and management 2.2.2 GIS technology integration 2.2.3 Strategic platform For each of the themes, please indicate any options or alternatives proposed. Include at least the following information: ● A narrative of the vendor’s ability to provide a solution for the theme, ● proposed solutions and approach, ● resources necessary to fulfill the requirements. Eg., software modules, professional services, custom coding, other software platforms, etc. ● Vendor Narrative We’d like to get to know the vendor. ● Brief narrative of your company and what its values are. ● When your company was founded. ● Where it is headquartered and where is the closest regional office?
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3.6 Protected Information The Government Records Access and Management Act (GRAMA), Utah Code Ann., Subsection 63G2-305, provides in part that: the following records are protected if properly classified by a government entity: (1) trade secrets as defined in Section 13-24-2 if the person submitting the trade secret has provided the governmental entity with the information specified in Section 63G-2-309 (Business Confidentiality Claims); (2) commercial information or non-individual financial information obtained from a person if: (a) disclosure of the information could reasonably be expected to result in unfair competitive injury to the person submitting the information or would impair the ability of the governmental entity to obtain necessary information in the future; (b) the person submitting the information has a greater interest in prohibiting access than the public in obtaining access; and (c) the person submitting the information has provided the governmental entity with the information specified in Section 63G-2-309; ***** (6) records the disclosure of which would impair governmental procurement proceedings or give an unfair advantage to any person proposing to enter into a contract or agreement with a governmental entity, except that this Subsection (6) does not restrict the right of a person to see bids submitted to or by a governmental entity after bidding has closed; .... GRAMA provides that trade secrets, commercial information or non-individual financial information may be protected by submitting a Claim of Business Confidentiality. To protect information under a Claim of Business Confidentiality, the offeror must: 1. provide a written Claim of Business Confidentiality at the time the information (response) is provided to the state, and 2. include a concise statement of reasons supporting the claim of business confidentiality (Subsection 63G-2-309(1)). 3. submit an electronic “redacted” (excluding protected information) copy of your proposal response. Copy must clearly be marked “Redacted Version.”
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A Claim of Business Confidentiality may be appropriate for information such as client lists and nonpublic financial statements. Pricing and service elements may not be protected. An entire proposal may not be protected under a Claim of Business Confidentiality. The claim of business confidentiality must be submitted with your proposal on the form which may be accessed at: http://www.purchasing.utah.gov/contract/documents/confidentialityclaimform.doc To ensure the information is protected, the Division of Purchasing asks the vendor to clearly identify in the Executive Summary and in the body of the proposal any specific information for which a vendor claims business confidentiality protection as "PROTECTED". All materials submitted become the property of the state of Utah. Materials may be evaluated by anyone designated by the state as part of the proposal evaluation committee. Materials submitted may be returned only at the State's option.
Section 4.0 Background Information 4.1 DNR agencies involved Currently, there are four DNR agencies involved in creating this enterprise solution. ● The Division of Forestry, Fire and State Lands - Sovereign Lands Program ● The Division of Parks and Recreation ● The Division of Wildlife Resources - Land and Water Assets Program ● The DNR Recovery Programs Office More specific needs and background information for each division are detailed in the following subsections.
4.1.1 The Division of Forestry, Fire and State Lands - Sovereign Lands Program
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The Sovereign Lands Program within the Utah Department of Natural Resources, Division of Forestry, Fire, and State Lands currently manages approximately 2,200 miles of shoreline and 1.5 million acres of land as sovereign lands. Utah has claimed title in fee simple (complete ownership) to and manages as sovereign land the beds of the following water bodies: ●
Great Salt Lake
●
Utah Lake
●
Bear Lake
●
Bear River
●
Jordan River
●
Portions of the Colorado River
●
Portions of the Green River
●
Currently, there are two other parcels managed as sovereign land by FFSL that are located near Moab, Utah. The Division refers to these parcels as the “Moab Exchange Lands”. These lands were obtained through an exchange with the National Park Service. When Canyonlands National Park was created, portions of the Green and Colorado Rivers within the park boundaries were exchanged to the NPS for parcels of land near Arches National Park. While these lands, in their present state, do not underlie any navigable body of water, they are managed as sovereign land as per the conditions of the exchange agreement.
The State of Utah recognizes and declares that the beds of navigable waters within the state are owned by the state and are among the basic resources of the state, and that there exists, and has existed since statehood, a public trust over and upon the beds of these waters. It is also recognized that the public health, interest, safety, and welfare require that all uses on, beneath or above the beds of navigable lakes and streams of the state be regulated, so that the protection of navigation, fish and wildlife habitat, aquatic beauty, public recreation, and water quality will be given due consideration and balanced against the navigational or economic necessity or justification for, or benefit to be derived from, any proposed use. The Equal Footing Doctrine serves as the basis for Utah. The SLP manages these lands and is responsible for the administration of the *agreements on these lands. The SLP is also responsible for the *mineral leasing of all state lands (UDOT, DWR, Parks, etc) that are not School Trust Lands (SITLA).
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4.1.1.1 Background on the SLP’s land management processes and needs. As part of our management of these lands the SLP allows for, maintains, and manages land agreements with third parties in regards to their use of sovereign and state lands. These agreements are in the form of leases, easements, rights of way, and permits. Agreement types are outlined in Appendix A. These agreements help to protect the resource while allowing for the third party to obtain a benefit to themselves or their organization. The benefit can be financial, as in the case of a mineral lease, or nonfinancial, as in the case of a private boat dock permitted on sovereign lands. These agreements generate revenue for the SLP and the State of Utah. This is done through: ● *Royalty Payments ● *Annual Rentals ● *Fees
4.1.1.2 Narrative on why the SLP needs the LMS The SLP has approximately 2000 agreements they are currently managing and the number grows every year. They have an outdated and under-functioning database system and application that tracks and manages some aspects of the agreements. This system is called the “Lease Management System”. Schema, details, and documentation of our existing system is included in Attachments C and D. The Sovereign Lands Program would like to replace this system with a new, more robust and functional system. Because of the limitations of the current system the SLP is: ● missing out on potential revenue because there is no method to track invoices and royalty payments to ensure that the lessee is being honest with their payments. A significant amount of revenue is anticipated once these invoices and payments can be billed to lessees. ● unable to accurately track the locations of agreements. This allows for the possibility of “double-leasing” an area. A situation that could cause legal problems for the SLP. ● unable to provide reports, maps, and figures of our agreements, revenues, agreement periods, etc.
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The LAATS will make SLP’s business processes more efficient. The amount of work that the SLP staff needs to do to manage these agreements is overwhelming, time-consuming, repetitive, and expensive. By creating a system where processes are are automated and streamlined the SLP staff will spend less time on land management and more time on other responsibilities.
4.1.1.3 Major requirements and events of a project/agreement for SLP.
Create agreement. o Fill out an application.
Current agreement applications for FFSL can be found on our website here http://www.ffsl.utah.gov/index.php/state-lands/leasing-information/forms
Create ID.
Define where the agreement is located based on a legal description.
Identify associated information with agreement, such as land type, adjacent water bodies, etc.
o Review the application. From the review, requirements of the applicant will be issued. o Applicant meeting the requirements of the agreement. o Agreement created and signed by appropriate parties.
Maintain and track agreement. o View and update existing agreement(s).
Edit an existing agreement’s information eg. who holds the agreement and their contact information, location, agreement category, insurance on the agreement, etc.
Search for an agreement or group of agreements by any of the information stored with an agreement (name, type, location, public land survey system, land name, company, etc).
Participate in an online discussion about a given agreement using comments, etc.
Upload and assign documents relating to agreements (Directors Agenda, Record of Decision, Mineral lease, etc).
o Potential transfer of ownership or assignment of agreement. This could happen many times, >100 over the life of the agreement and needs to be tracked. o Reassessment of the agreement to ensure ongoing conditions are met.
Set and modify reassessment triggers. 17
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Create an alert when an agreement is up for a reassessment.
View and query all reassessments.
Automate and edit assessment criteria.
Store documents and pictures related to reassessments.
Re-continuation of the agreement if applicable.
Termination of the agreement.
Bid ZD15006
o All records pertaining to the agreement through it’s lifespan need to be retained.
Content management
Document management
Workflow management
Agreement holders. o View, edit, and track information on what organization (or person) is assigned to what agreement. o Define and store multiple payors/interest holders to a single agreement.
Auditing o Flag agreements being audited or that should be audited. o Store documents relating to audits for an agreement.
Assignments and types of interest. o View past and present interest in a land agreement. o Assign and unassign agreement.
Competitive bidding for new agreements. o Create new bids and post to a public website. o Notify bidders of bid results. o Create an agreement from the bid.
More specific specifications of agreements are presented in Attachment A - FFSL-User Stories.xlsx.
4.1.2 The Division of Parks and Recreation 4.1.2.1 Overview
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State of Utah
Bid ZD15006
The Utah Division of Parks and Recreation (State Parks) currently manages 43 State Parks and various external recreation areas. Our Mission is to provide opportunities to improve the quality of life through parks, programs and employees serving the public. To assist with this mission and better manage our real property deeds and agreements we developed a keyword real property SQL database. There are several cabinets/tables used within the database that contain the records of the most searched for keywords/attributes associated with each recreation grant, deed, easement, survey, or agreement. Each record links to scanned .pdf files of the conveyance documents. State Parks does possess basic GIS datasets that can be generally linked to our database.
4.1.2.2 Immediate Needs During meetings with other agencies we determined that a shared data platform would better fit the entire agency's need for real property and other asset information databases, reports, workflows and management processes. State Parks would like to participate with the shared platform and migrate its existing datasets into the new platform. We would like to link this data to our GIS records and incorporate workflows into the system.
4.1.2.3 Future Needs State Parks would like the ability to move our system from just a lands database to an asset management tool. State Parks would like to use workflow/automation tools to improve staff productivity and reduce paper/consumables used by the agency. We would like a system that can be customized by existing staff to automate different types of asset management and project tracking. We feel an important component would be a public interface that would allow for information gathering and project/application updates/notifications. State Parks would like the ability for our management staff to easily generate reports for financial and project management tracking. The platform should incorporate a standard reporting solution that does not require complex computer programming skills.
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State of Utah
Bid ZD15006
4.1.2.4 Maintenance Needs State Parks would like the platform solution to be easily maintainable through annual/biannual product updates and a maintenance contract. We are not interested in a solution wherein State Parks would be required to hire specialized programmers to come in and reprogram the platform every three to five years. The product should be able to keep abreast of current technology, browsers and operating systems.
4.1.3 The Division of Wildlife Resources 4.1.3.1 Overview The Utah Division of Wildlife Resources (“DWR”) has procured and disposed of fee and partial interests in real property since approximately 1909. DWR presently has an inventory of approximately 448,000 fee acres, and 24,000 acres in conservation easements. It also owns numerous water rights. DWR’s property rights and interests are managed by DWR’s Land & Water Assets Program (“LWAP”). DWR manages its lands and water rights to directly or indirectly protect and improve wildlife habitats and watersheds; increase fish and game populations to meet wildlife management plan objectives; expand fishing and hunting opportunities; conserve, protect, and recover sensitive wildlife species and their habitats; and provide wildlife-related recreational opportunities. Starting in the 1930’s, DWR has relied heavily on federal funding provided through the U.S. Fish and Wildlife Service (“Service”) to purchase real property interests securing hunting and fishing access, and securing important habitats for game species and sport fish species. Later, funding provided through the Endangered Species Act became available to conserve habitats of sensitive, threatened, or endangered species. DWR also relies on contributions by landowners and funding assistance from federal entities other than the Service. It also relies on partnering with non-governmental entities. DWR can enter into multiple funding agreements to purchase a single real property interest. Though the Service and other funders are not titled owners in DWR properties, they might nevertheless be assured equity interests through contractual agreement. Equity interests are established at the time a property is purchased and are a direct function of the proportionate participation of the funding programs.
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Bid ZD15006
In almost all cases, all land parcels and water rights acquired under a single deed have the same funding configuration. There have been, however, some cases where DWR documents show that certain parcels acquired under a single deed had funding configurations different from the other parcels acquired under the same deed.
4.1.3.2 Immediate Needs DWR has previously had federal audit findings that its land and water ownership information system was sufficiently functional to ascertain original funding configurations or equity interests in property, nor was it adequate to track receipts and payments of funds. Among the property agreements entered into, and property rights conveyances given or received, are cooperative management agreements; grants of easements, special use permits, or licenses in land and water; surface leaseholds; mineral leaseholds; conservation pools; instream flows; etc. A fair number of owned properties have reversionary future interests attached which require special care to avoid breach of the restrictions. DWR also helps fund other conservation entities in real property purchases where the property is owned the by funded entity. Nevertheless, DWR is responsible for ensuring that diversion of funds is not done by the funded entity, and thus DWR’s investment in the subject property must be monitored and tracked through time. DWR is need of a way to store, retrieve, and report all historical and current financial and property rights information for every real property asset in its inventory. DWR has to date identified approximately 115 data fields necessary to describe each of its property holdings, with another 30 data fields for each payor/payee/funder involved in a single acquisition or disposal transaction; see Appendix XXX. DWR also has current workflow requirements that can, to a degree, be adapted to be more similar to other DNR divisions in the future. DWR must be able to track all costs associated with any real property acquisition or disposal project, and make all such data available to administrators and auditors in easily configurable financial reports. All data should be related geospatially to the property in which value is invested or withdrawn. Although LWAP and some DWR Fiscal Section personnel should have the sole ability to load data into the LAATS, the data should be available to a large number of DWR personnel across the state in readonly form.
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State of Utah
Bid ZD15006
4.1.3.5 Future Needs In the future, DWR would like to be able to make its property database information, which is geospatially related, available wirelessly to personnel in the field. For example, DWR’s law enforcement personnel should be able to ascertain whether infrastructure, large-group gatherings, or branded livestock found on DWR property (and thus have a geospatial characteristic) have the legal right to be there or are in trespass. DWR habitat managers should, for example, be able to ascertain whether wellsite construction occurring during a winter-construction closed area has received special authorization to proceed. DWR should be able to determine its costs and revenues associated with the management of each property so it can make more informed decisions that result in better asset management. This capacity is currently lacking.
4.2 The DNR Recovery Programs Office Endangered Species Mitigation Fund The Endangered Species Mitigation Fund (ESMF) was created during the general session of the 1997 State Legislature (Utah Code 63-34-14) and is administered by the Utah Department of Natural Resources, Recovery Programs Office. The purpose of the ESMF is to serve as a species protection account “to protect any plant or animal species identified as sensitive by the state or as threatened or endangered under the Endangered Species Act of 1973 [ESA]” by providing funding to facilitate the conservation of fish and wildlife species and their habitats in greatest need of protection. ESMF program guidelines allow for the distribution of funds through formal agreements and, if sufficient funds are available once formal commitments have been met, through a competitive grants program. The primary objective of ESMF is to direct funds towards the protection of federally listed and state sensitive species, to promote their recovery and conservation thereby making progress toward downlisting or de-listing federally listed species and precluding the need for listing additional species under the ESA.
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State of Utah
Bid ZD15006
The Recovery Programs Office administers the ESMF on the state’s fiscal year cycle (July 1 – June 30). Proposals requesting ESMF funding are typically due by the end of the first business day in March. The ESMF Advisory Committee meets sometime in April, after reviewing proposals submitted, to discuss priorities and develop their recommendations for funding. The Executive Director of the Department of Natural Resources gives final approval for all ESMF funding decisions. Funding is available on July 1 st for approved projects. Specific projects are tracked through the year by Recovery Programs Office staff. Project proponents submit invoices as they complete work or purchase materials and Recovery Programs Office staff ensure that invoices include sufficient detail on expenditures to justify reimbursement. Funding is available through June 30th of the following calendar year and all work requiring reimbursement must be completed by that date. Final accomplishment reports are due September 1st following the fiscal year allowing time for project proponents to analyze data and complete reports. Recovery Programs Office Needs
Digital templates for proposals
Digital templates for reporting
The ability to invoice and track project status by task from proposal stage through reporting stage
The ability to search and retrieve data by project number and date
The ability for project principal investigators to access project specific files to upload data/photos and provide status reports
Filing/database framework for easy searching, tracking and file retrieval
Project proponent access to project file for uploading photos/status updates
Proposed structure for filing/database system:
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State of Utah
Bid ZD15006
4.8 Current Technology The State of Utah has a vendor for technology, the Department of Technology Services (DTS), and must utilize them for technology solutions. (see Appendix B for the Utah State Code relating to technology). Current DNR Technology:
Databases and servers o DNR has a number of virtual server options and database instances available to them through DTS. A listing of these services can be found here - http://dts.utah.gov/get-aproduct-service/index.php
Email and other services
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State of Utah
Bid ZD15006
o The State of Utah uses Google apps for their email client. We also use Google drive and other related tools for much of our business processes.
GIS o DNR has an Enterprise License Agreement with ESRI and they are DNR’s preferred GIS solution provider. However, we do not want to discourage vendors without an ESRI solution from replying to this RFI. We can be flexible in how we export and send GIS to the LAATS if necessary.
Financial o The State of Utah currently uses FINET software to receive and make cash disbursements. However, FINET lacks the flexibility or capability to inventory assets; relate receipts and disbursements to specific assets; keep or provide information pertaining to equity/funding interests in assets; manage and track contracts and other forms of agreements, or their amendments and changes in rights/obligations ownership through time; manage and track exchanged non-cash consideration; etc. FINET also does not have the ability to relate accounting or contract information geospatially, a key feature needed by DNR.
Section 5.0 Appendix and Attachments 5.1 Appendix A - Definitions GIS - Geographic Information System and software. A system of mapping that ties the geographical components of a feature to the attributes of that feature in a database. ESRI ArcGIS software is the GIS industry standard. This includes the software packages ArcGIS Desktop, Server, SDE (Spatial Database Engine), and Online. Agreement(s) - A document outlining and authorizing an agreement between DNR and another entity regarding specific rights to the lands or projects that DNR manages. These are typically contracts, leases, easements, rights of way, and permits. Agreement area(s) - a shape (point, line, or polygon) that represents the aerial extent of where an agreement is valid. Project - Any undertaking in which an exchange of consideration is anticipated. A project may be terminated before the process reaches a stage at which an agreement to proceed is signed by the parties (such as when a lease application is denied), or a project may be completed through a written agreement followed by a successful exchange of contracted deliverables/consideration. Projects may be either acquisitions or disposals of assets/rights, or a combination of the two. Projects are typically leases, easements, rights of entry, special use permits, funding grants, cooperative management agreements, fee ownerships, licenses in land/water, etc.
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State of Utah
Bid ZD15006
Projects are most often guided by written agreements (see “Agreements”). Project Area - a shape (point, line, or polygon) that represents the aerial extent of a project. DTS - The State of Utah’s Department of Technology Services. We will be interfacing with this department on purchasing and acquisition, installation, migration, hardware, and support of the LAATS. Internal controls - are organizational process designed to provide reasonable assurance about the achievement of three fundamental entity objectives: ●
● ●
Operations Objectives in this case pertain to the effectiveness and efficiency of DNR’s real property asset management operations, including operational and financial performance goals, and safeguarding assets against loss; Reporting Objectives pertain to internal and external financial and non-financial reporting, and may encompass qualities of reliability, timeliness, transparency, etc.; and Compliance Objectives, which pertain to adherence to laws and regulations to which DNR is subject.
Mineral Leasing - A type of leasing that grants the lessee rights to the minerals below the surface. This can include natural gas, oil, coal, or other minerals. A percentage of the revenue generated by the lessee is typically paid to the lessor as a royalty. Royalty Payments - A percentage of the revenue generated by a lessee that is paid to DNR. Annual Rental - An annual fee assigned to lessees for duration of the lease agreement while there is no mineral production taking place. Rentals are typically $20/year minimum, $1.10/acre, not to exceed $xx/year. Fees - One time costs to offset processing and administration costs. Examples include; application fees, renewal fees, and fines.
5.2 Appendix B - Utah State Code and Rule relating to technology 5.2.1 Utah State Code as it relates to the acquisition/purchase of information technology hardware, software, and services. Link: http://le.utah.gov/~code/TITLE63F/htm/63F01_020500.htm It states: 63F-1-205. Approval of acquisitions of information technology.
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State of Utah
Bid ZD15006
(1) (a) Except as provided in Title 63M, Chapter 1, Part 26, Government Procurement Private Proposal Program, in accordance with Subsection (2), the chief information officer shall approve the acquisition by an executive branch agency of: (i) information technology equipment; (ii) telecommunications equipment; (iii) software; (iv) services related to the items listed in Subsections (1)(a)(i) through (iii); and (v) data acquisition. (b) The chief information officer may negotiate the purchase, lease, or rental of private or public information technology or telecommunication services or facilities in accordance with this section. (c) Where practical, efficient, and economically beneficial, the chief information officer shall use existing private and public information technology or telecommunication resources. (d) Notwithstanding another provision of this section, an acquisition authorized by this section shall comply with rules made by the applicable rulemaking authority under Title 63G, Chapter 6a, Utah Procurement Code. (2) Before negotiating a purchase, lease, or rental under Subsection (1) for an amount that exceeds the value established by the chief information officer by rule in accordance with Section 63F-1206, the chief information officer shall: (a) conduct an analysis of the needs of executive branch agencies and subscribers of services and the ability of the proposed information technology or telecommunications services or supplies to meet those needs; and (b) for purchases, leases, or rentals not covered by an existing statewide contract, provide in writing to the chief procurement officer in the Division of Purchasing and General Services that: (i) the analysis required in Subsection (2)(a) was completed; and (ii) based on the analysis, the proposed purchase, lease, rental, or master contract of services, products, or supplies is practical, efficient, and economically beneficial to the state and the executive branch agency or subscriber of services. (3) In approving an acquisition described in Subsections (1) and (2), the chief information officer shall: (a) establish by administrative rule, in accordance with Section 63F-1-206, standards under which an agency must obtain approval from the chief information officer before acquiring the items listed in Subsections (1) and (2); (b) for those acquisitions requiring approval, determine whether the acquisition is in compliance with: (i) the executive branch strategic plan; (ii) the applicable agency information technology plan; (iii) the budget for the executive branch agency or department as adopted by the Legislature; and (iv) Title 63G, Chapter 6a, Utah Procurement Code; and (c) in accordance with Section 63F-1-207, require coordination of acquisitions between two or more executive branch agencies if it is in the best interests of the state. (4) (a) Each executive branch agency shall provide the chief information officer with complete access to all information technology records, documents, and reports: (i) at the request of the chief information officer; and 27 8/6/2014 10:40 AM
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State of Utah
Bid ZD15006
(ii) related to the executive branch agency's acquisition of any item listed in Subsection (1). (b) Beginning July 1, 2006 and in accordance with administrative rules established by the department under Section 63F-1-206, no new technology projects may be initiated by an executive branch agency or the department unless the technology project is described in a formal project plan and the business case analysis has been approved by the chief information officer and agency head. The project plan and business case analysis required by this Subsection (4) shall be in the form required by the chief information officer, and shall include: (i) a statement of work to be done and existing work to be modified or displaced; (ii) total cost of system development and conversion effort, including system analysis and programming costs, establishment of master files, testing, documentation, special equipment cost and all other costs, including overhead; (iii) savings or added operating costs that will result after conversion; (iv) other advantages or reasons that justify the work; (v) source of funding of the work, including ongoing costs; (vi) consistency with budget submissions and planning components of budgets; and (vii) whether the work is within the scope of projects or initiatives envisioned when the current fiscal year budget was approved. (5) (a) The chief information officer and the Division of Purchasing and General Services shall work cooperatively to establish procedures under which the chief information officer shall monitor and approve acquisitions as provided in this section. (b) The procedures established under this section shall include at least the written certification required by Subsection 63G-6a-303(1)(e). Amended by Chapter 196, 2014 General Session 5.2.2 Utah State Rule as it relates to the acquisition/purchase of information technology hardware, software, and services. Link: http://www.rules.utah.gov/publicat/code/r895/r895-005.htm It states: R895. Technology Services, Administration. R895-5. Acquisition of Information Technology. R895-5-1. Purpose. The purpose of this rule is to identify the standards under which an agency of the executive branch must obtain approval from the Chief Information Officer before acquiring information technology and technology related services. R895-5-2. Authority. The rule is issued by the Chief Information Officer under the authority of Sections 63F-1-205 and 63F-1-206 of the Utah Technology Governance Act, and Section 63G-3-201 of the Utah Rulemaking Act, Utah Code. R895-5-3. Scope of Application. All agencies of the Executive Branch of State government, including its administrative sub-units, except the State Board of Education, the Board of Regents and institutions of higher education, and elective constitutional offices, are to be included within the scope of this rule. 28 8/6/2014 10:40 AM
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Bid ZD15006
R895-5-4. Definitions. (1) "Hardware" means physical technology (i.e., equipment) used to process, manage, store, transmit, receive, or deliver information. This term also includes telephony products. (2) "Small technology purchases" means a purchase, lease, or rental of hardware, software, and/or technology services that is estimated to be less than $50,000. (3) "Software" means non-physical technology used to process, manage, store, transmit, receive, or deliver information. The term also includes all supporting documentation, media on which the software may be contained or stored, related materials, modifications, versions, upgrades, enhancements, updates, or replacements. (4) "Technology services" means all the services, functions, and activities that facilitate the design, implementation, creation, or use of software, hardware, or telephony products. The term includes data acquisition, seat management, staffing augmentation, training, maintenance, and subscription services. R895-5-5. Purchase of Hardware, Software, and Technology Services. (1) The Chief Information Officer (CIO) shall exercise general supervision and control over the purchase of all hardware, software, and technology services. (2) The CIO may delegate the authority to make small technology purchases. The delegation shall be in writing and may be limited as directed by the CIO. (3) Purchase requirements for hardware, software, and technology services shall not be artificially divided so as to constitute a small technology purchase under this rule. R895-5-6. Rule Compliance Management. The CIO may monitor compliance of this rule within the State Executive Branch, and report any findings or violations of this rule to an agency's Executive Director or designee. A State Executive Branch agency's Executive Director, or designee, upon becoming aware of a violation of this rule shall provide the CIO a report of action(s) taken in response to violation of this rule. KEY: IT standards, IT bid committee, technology best practices, technology purchases Date of Enactment or Last Substantive Amendment: October 11, 2006 Notice of Continuation: April 27, 2011 Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201 5.3 Attachments Attachments can be found here https://drive.google.com/a/utah.gov/folderview?id=0B3cwiUGyYsuFYTdDeTZnZVF0bk0&usp=sharing Attachments include Attachment A - FFSL-UserStories.xlsx Attachment B - DWR-UserStoriesAndChecklists Attachment C - FFSL_CurrentSystemDocumentation1.pdf Attachment C - FFSL_CurrentSystemDocumentation2.pdf
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State of Utah
Bid ZD15006
Question and Answers for Bid #ZD15006 - RFI for Land Asset and Agreement Tracking System (LAATS)
5
OVERALL BID QUESTIONS There are no questions associated with this bid. If you would like to submit a question, please click on the "Create New Question" button below.
Question Deadline: Aug 29, 2014 5:00:00 PM MDT
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