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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.
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R33-5-104. Small Purchases
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(1) Small purchases shall be conducted in accordance with the
requirements set forth in Section 63G-6a-506. This administrative
rule provides additional requirements and procedures and must be used
in conjunction with the Procurement Code.
(2)(a) Unless otherwise required as part of another standard
procurement process being used pursuant to the small purchase rule,
small purchases conducted under this rule do not require a
solicitation or public notice.
(b) As set forth in the definition of "solicitation" in Utah
Code 63G-6a-103, the small purchase standard procurement process does
not require a solicitation to be conducted;
(i) 63G-6a-103 "Solicitation" means an invitation for bids,
request for proposals, request for statement of qualifications, or
request for information.
(3) Small Purchase thresholds:
(a) The "Individual Procurement" threshold is a maximum amount
of $1,000 for a procurement item;
(i) For individual procurement item(s) costing up to $1,000, a
procurement unit may select the best source by direct award and
without seeking competitive bids or quotes.
(b) The single procurement aggregate threshold is a maximum
amount of $5,000 for multiple procurement item(s) purchased from one
source at one time; and
(c) The annual cumulative threshold from the same source is a
maximum amount of $50,000.
(4) Whenever practicable, the Division of Purchasing and General
Services and procurement units shall use a rotation system or other
system designed to allow for competition when using the small
purchases process.
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R33-5-105. Small Purchases Threshold for Design Professional Services
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(1) The small purchase threshold for design professional
services is a maximum amount of $100,000.
(2) Design professional services may be procured up to a maximum
of $100,000, by direct negotiation after reviewing the qualifications
of a minimum of three design professional firms.
(3)(a) Approved Vendor List: In order to ensure the fair and
equitable treatment of all vendors on an approved vendor list, a
procurement unit shall when using this rule in conjunction with an
approved vendor list, select a minimum of three design professional
firms from the approved vendor list using one or more of the following
methods:
(i) A rotation system, organized alphabetically, numerically, or
randomly;
(ii) Assignment of vendors to a specified geographic area;
(iii) Assignment of vendors based on each vendor's particular
expertise or field; or
(iv) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(b) After selecting a minimum of three firms from the approved
vendor list using one of the methods specified in Subsection (3)(a),
the procurement unit shall rank the firms in order and begin fee
negotiations, up to $100,000, with the highest ranked firm. If an
agreement cannot be reached with the highest ranked firm, the
procurement unit shall move to the next highest ranked firm and so on
until a fee agreement is reached;
(c) If a fee agreement cannot be reached with the first group of
firms selected, the procurement unit may select additional firms from
the approved vendor list using the same process set forth in
subsection (3)(a) and (b) or the procurement unit may cancel the
procurement;
(d) Each procurement unit using an approved vendor list under
this rule shall document that all vendors on the approved vendor list
have a fair and equitable opportunity to obtain a contract;
(4) A procurement unit shall include minimum specifications when
using the small purchase threshold for design professional services.
(5) Executive Branch procurement units, to the extent they do
not have independent procurement authority, shall involve the Division
of Purchasing in the qualification process described under Section
63G-6a-410, the approved vendor list process described under Section
63G-6a-507, and the evaluation and fee negotiation process described
in Part 15 of the Utah Procurement Code in the procurement of design
professional services.
(6) A procurement unit using this rule must comply with the
following:
(a) Utah Code 63G-6a-506(8) -- Prohibition against dividing a
procurement into one or more smaller procurements;
(b) Utah Code 63G-6a, Part 24 -- Unlawful Conduct and Penalties;
(c) R33-24-104 -- Socialization with Vendors and Contractors;
(d) R33-24-105 -- Financial Conflict of Interests Prohibited;
(e) R33-24-106 -- Personal Relationship, Favoritism, or Bias
Participation Prohibitions; and
(f) All other applicable laws and rules.
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R33-5-106. 5. Small Purchases Threshold for Construction Projects Using An Approved Vendor List
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(1) The small construction project threshold per individual
project using an approved vendor list is a maximum of $2,500,000 for
direct construction costs, including design and allowable furniture or
equipment costs;
(2) Approved Vendor List: In order to ensure the fair and
equitable treatment of all vendors on an approved vendor list, a
procurement unit shall:
(a) For individual construction projects up to a maximum of
$25,000 contract with a vendor/contractor by direct award using one of
the following methods to select the vendor/contractor:
(i) A rotation system, organized alphabetically, numerically, or
randomly;
(ii) Assignment of vendors to a specified geographic area;
(iii) Assignment of vendors based on each vendor's particular
expertise or field; or
(iv) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(b) For individual construction projects over $25,000 up to a
maximum of $100,000 by obtaining a minimum of two competitive quotes
from vendors/contractors on the approved vendor list;
(i) Procurement units shall use one of the following methods to
select vendors from whom quotes are obtained:
(A) A rotation system, organized alphabetically, numerically, or
randomly;
(B) Assignment of vendors to a specified geographic area;
(C) Assignment of vendors based on each vendor's particular
expertise or field; or
(D) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(ii) When using one of the methods listed in Subsection (2)(b)
to select vendors to provide quotes, a procurement unit may also
obtain an additional quote from the vendor that provided the lowest
quote on the most recently completed procurement conducted by the
procurement unit using the approved vendor list;
(iii) When quotes or bids are obtained under subsection (2)(b),
procurement units shall purchase the procurement item from the
vendor/contractor on the approved vendor list that provides the lowest
quote for the procurement item; or
(c) For individual construction projects over $100,000 up to a
maximum of $2.5 million, by inviting all vendors/contractors on the
approved vendor list to submit bids in accordance with the provisions
set forth in Utah Code 63G-6a, Part 6, except public notice
requirements in Part 6 are waived.
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R33-5-107. Quotes for Small Purchases from $1,001 to $50,000
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(1) For procurement item(s) where the cost is greater than
$1,000 but up to a maximum of $5,000, a procurement unit shall obtain
a minimum of two competitive quotes that include minimum
specifications and shall purchase the procurement item from the
responsible vendor offering the lowest quote that meets the
specifications.
(2) For procurement item(s) where the cost is greater than
$5,000 up to a maximum of $50,000, a procurement unit with independent
procurement authority or the Division of Purchasing and General
Services on behalf of an executive branch procurement unit without
independent procurement authority, as applicable, shall obtain a
minimum of two competitive quotes that include minimum specifications
and shall purchase the procurement item from the responsible vendor
offering the lowest quote that meets the specifications.
(3) For procurement item(s) costing over $50,000, a procurement
unit with independent procurement authority or the Division of
Purchasing and General Services on behalf of an executive branch
procurement unit without independent procurement authority, as
applicable, shall conduct an invitation for bids or other procurement
process outlined in the Utah Procurement Code.
(4) Limited Purchasing Delegation for Small Purchases. The
Division of Purchasing and General Services may delegate limited
purchasing authority for small purchases costing more than $5,000 up
to a maximum of $50,000, to an executive branch procurement unit
provided that the executive branch procurement unit enters into an
agreement with the Division outlining the duties and responsibilities
of the unit to comply with applicable laws, rules, policies and other
requirements of the Division.
(5) The names of the vendors offering quotations and bids and
the date and amount of each quotation or bid shall be recorded and
maintained as a governmental record.
(6) A procurement unit using this rule must comply with the
following:
(a) Utah Code 63G-6a-506(8) -- Prohibition against dividing a
procurement into one or more smaller procurements;
(b) Utah Code 63G-6a, Part 24 -- Unlawful Conduct and Penalties;
(c) R33-24-104 -- Socialization with Vendors and Contractors;
(d) R33-24-105 -- Financial Conflict of Interests Prohibited;
(e) R33-24-106 -- Personal Relationship, Favoritism, or Bias
Participation Prohibitions; and
(f) All other applicable laws and rules.
(7)(a) Approved Vendor List: In order to ensure the fair and
quitable treatment of all vendors on an approved vendor list, a
procurement unit shall, when using this rule in conjunction with an
approved vendor list, obtain a minimum of two quotes from vendors on
the approved vendor list using one or more of the following methods to
select vendors from whom to obtain quotes:
(i) A rotation system, organized alphabetically, numerically, or
randomly;
(ii) Assignment of vendors to a specified geographic area;
(iii) Assignment of vendors based on each vendor's particular
expertise or field;or
(iv) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(b) Each procurement unit using an approved vendor list under
this rule shall document that all vendors on the approved vendor list
have a fair and equitable opportunity to obtain a contract;
(c) When using one of the methods listed in Subsection (7)(a) to
select vendors to provide quotes, a procurement unit may also obtain
an additional quote from the vendor that provided the lowest quote on
the most recently completed procurement conducted by the procurement
unit using the approved vendor list;
(d) Whenever practicable, procurement units may obtain quotes
from all vendors on an approved vendor list; and
(e) Procurement units shall purchase the procurement item from
the vendor on the approved vendor list that provides the lowest quote
for the procurement item.
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R33-5-108. Small Purchases of Professional Service Providers and Consultants
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(1) The small purchase threshold for professional service
providers and consultants is a maximum amount of $100,000.
(2) Professional service providers and consultants may be
procured up to a maximum of $100,000, by direct negotiation after
reviewing the qualifications of a minimum of three firms or
individuals.
(3)(a) Approved Vendor List: In order to ensure the fair and
equitable treatment of all vendors on an approved vendor list, a
procurement unit shall, when using this rule in conjunction with an
approved vendor list, select a minimum of three professional service
providers or consultants from the approved vendor list using one or
more of the following methods:
(i) A rotation system, organized alphabetically, numerically, or
randomly;
(ii) Assignment of vendors to a specified geographic area;
(iii) Assignment of vendors based on each vendor's particular
expertise or field;
(iv) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(b) After selecting a minimum of three firms or individuals from
the approved vendor list using one of the methods specified in
Subsection (3)(a), the procurement unit shall rank the firms or
individuals in order and award a contract via direct award up to
$100,000 to the highest ranked firm or individual.
(4) Executive Branch procurement units, to the extent they do
not have independent procurement authority, shall involve the Division
of Purchasing at the beginning of the quote or solicitation process,
in the procurement of professional services or consulting services.
(5) A procurement unit using this rule must comply with the
following:
(a) Utah Code 63G-6a-506(8) -- Prohibition against dividing a
procurement into one or more smaller procurements;
(b) Utah Code 63G-6a, Part 24 -- Unlawful Conduct and Penalties;
(c) R33-24-104 -- Socialization with Vendors and Contractors;
(d) R33-24-105 -- Financial Conflict of Interests Prohibited;
(e) R33-24-106 -- Personal Relationship, Favoritism, or Bias
Participation Prohibitions;
(f) R33-4-103(3) -- Persons with a conflict of interest, or who
anticipate responding to the proposal for which the specifications are
written, may not participate in writing specifications; and
(g) All other applicable laws and rules.
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R33-5-202. Contract Award Based on Established Terms
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(1) In accordance with Section 63G-6a-113 and 507(6)(b), a
procurement unit may award a contract to a vendor on an approved
vendor list at an established price based on:
(a) A price list, rate schedule, or pricing catalog:
(i) Submitted by a vendor and accepted by the procurement unit;
or
(ii) Mandated by the procurement unit or a federal agency; or
(b) A federal regulation for a health and human services
program.
(2) Established terms submitted by vendors on an approved vendor
list:
(a) When awarding a contract to an approved vendor based on a
price list, rate schedule, or pricing catalog submitted by the vendor,
the procurement unit shall, as applicable:
(i) Assign work or purchase from the approved vendor with the
lowest price, rate or catalog price;
(A) In case of a tie for the lowest price, the procurement unit
shall follow the process described in Section R33-6-111 to resolve
tie; and
(B) If the lowest-cost approved vendor cannot provide the
procurement item or quantity needed, then work shall be assigned or
the purchase made from the next lowest-cost vendor, and so on, until
the procurement unit's needs are met;
(ii) Establish a cost threshold based on cost analysis as set
forth in Section R33-12-603 and 604, and assign work or purchase from
an approved vendor meeting the cost threshold using one of the
following methods:
(A) A rotation system, organized alphabetically, numerically, or
randomly;
(B) Assignment of vendors to a specified geographic area;
(C) Assignment of vendors based on each vendor's particular
expertise or field; or
(D) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority; and
(iii) In accordance with Section 63G-6a-1206.5, an approved
vendor may lower its price, rate, or catalog price at any time during
the time a contract is in effect in order to be assigned work or
receive purchases under Subsections (i) and (ii).
(3) Established terms mandated by procurement unit or federal
agency:
(a) When awarding a contract to an approved vendor based on a
price list, rate schedule, or pricing catalog mandated by the
procurement unit or a federal agency, the procurement unit shall use
one of the following methods to assign work or purchase from a vendor
on an approved vendor list:
(i) A rotation system, organized alphabetically, numerically, or
randomly;
(ii) Assignment of vendors to a specified geographic area;
(iii) Assignment of vendors based on each vendor's particular
expertise or field; or
(iv) Another method approved by the chief procurement officer or
head of a procurement unit with independent procurement authority;
(4) When awarding a contract to an approved vendor based on a
price list, rate schedule, or pricing catalog based on a federal
regulation for a health and human services program the procurement
unit shall follow the requirements set forth in the applicable federal
regulation to assign work or make a purchase.
(5) In accordance with the provisions set forth in Section 63G-6a-2105, the chief procurement officer may award a contract(s) to
vendors on an approved vendor list on a statewide, regional, or
combined statewide and regional basis.
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R33-5-203. Performance Rating System for Vendors on an Approved Vendor List
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(1) A procurement unit may develop a performance rating system
to evaluate the performance of vendors on an approved vendor list,
provided the performance rating system is described in the Request for
Statement of Qualifications used to establish the approved vendor
list. and includes:
(a) The minimum performance rating threshold that approved
vendors must achieve in order to remain on the approved vendor list;
and
(b) A statement indicating that vendors whose performance does
not meet the minimum performance rating threshold may be disqualified
and removed from the approved vendor list.
(2) A procurement unit that disqualifies and removes a vendor
from an approved vendor list shall:
(a) Make a written finding that:
(i) Describes the performance rating system;
(ii) Identifies the minimum performance rating threshold; and
(iii) Explains the performance rating achieved by the
disqualified vendor; and
(b) Provide a copy of the written finding to the disqualified
vendor.
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R33-5-204. Approved Vendor Lists -- Using Small Purchase Process
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(1) When awarding a contract to an approved vendor using the
small purchasing process, the procurement unit shall follow the small
purchase requirements set forth in Section 63G-6a-506 and the
following Administrative Rules as applicable:
(a) Section R33-5-104. Small Purchases
(b) Section R33-5-105. Small Purchases Threshold for Design
Professional Services;
(c) Section R33-5-106. Small Purchases Threshold for
Construction Projects;
(d) Section R33-5-107. Quotes for Small Purchases from $1,001,
to $50,000;
(e) Section R33-5-108. Small Purchases of Professional Service
Providers and Consultants;
(2) Executive branch employees are required to use state
contracts for all small purchases for procurement items available on
state contract.
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