STATE OF NORTH DAKOTANORTH DAKOTA DEPARTMENT OF TRUST LANDS

1707 NORTH 9TH STREETBISMARCK, ND 58506-5523

Request For Proposal (RFP)

RFP Title: Business Process Modeling Services

RFP Number: 110.7-16-028

Date of Issue: April 15, 2016

Purpose of RFP: Soliciting proposal for a consultant to direct, facilitate, develop and document business process models for the ND Department of Trust Lands to include documenting core business requirements for a future system, and analyzing requirements and other information to provide strategic recommendations regarding a build vs. buy decision point.

Offerors are not required to return this form.

Procurement Officer: Angie Scherbenske

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TABLE OF CONTENTS

SECTION ONE - INTRODUCTION AND INSTRUCTIONS1.01 Purpose of the RFP1.02 Contact Person, Telephone, Fax Numbers and E-mail1.03 RFP Schedule1.04 Proposal Submission1.05 Assistance to Offerors with a Disability1.06 Deadline for Receipt of Questions and Objections1.07 Approved Vendor Registration Requirements1.08 Pre-proposal Conference1.09 Amendments to the RFP1.10 News Releases1.11 Notice Provided1.12 Letter of Interest

SECTION TWO - BACKGROUND INFORMATION2.01 Background Information2.02 Budget

SECTION THREE – SCOPE OF WORK3.01 Scope of Work and Deliverables3.02 Contract Schedule3.03 Project Management Requirements

SECTION FOUR - GENERAL CONTRACT INFORMATION4.01 Standard Contract Provisions4.02 Proposal as a Part of the Contract4.03 Additional Terms and Conditions4.04 Supplemental Terms and Conditions4.05 Contract Approval4.06 Contract Changes – Unanticipated Amendments4.07 Taxes and Taxpayer Tax Identification

SECTION FIVE - EVALUATION CRITERIA AND CONTRACTOR SELECTION5.01 Plan for Accomplishing the Scope of Work5.02 Experience and Qualifications5.03 Contract Cost

SECTION SIX - PROPOSAL FORMAT AND CONTENT6.01 Proposal Format6.02 Technical Proposal Content6.03 Cost Proposal

SECTION SEVEN - STANDARD PROPOSAL INFORMATION7.01 Authorized Signature7.02 State Not Responsible for Preparation Costs 7.03 Conflict of Interest7.04 Offer Held Firm7.05 Amendments to Proposals and Withdrawal of Proposals7.06 Alternate Proposals7.07 Subcontractors7.08 Joint Ventures7.09 Disclosure of Proposal Contents and Compliance with North Dakota Open Records Laws7.10 Evaluation of Proposals7.11 Right of Rejection7.12 Clarification of Proposals - Discussions7.13 Discussion and Best and Final Offers

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7.14 Preference Laws7.15 Negotiations7.16 Notice of Intent to Award 7.17 Protest and Appeal

Attachments1. Contract2. Proposal Evaluation Worksheet3. Cost Proposal Format4. STATE Work and Services5. STATE Organizational Chart

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SECTION ONE - INTRODUCTION AND INSTRUCTIONS

1.01 Purpose of the RFPThe State of North Dakota, acting through its North Dakota Department of Trust Lands (STATE) is soliciting proposals for a consultant to direct, facilitate, develop and document business process models for STATE as well as document core business requirements for a future system, and analyze requirements and other information to provide strategic recommendations regarding a build vs. buy decision point.

1.02 Contact Person, Telephone, Fax, E-mailThe procurement officer is the point of contact for this RFP. All vendor communications regarding this RFP must be directed to the procurement officer. Unauthorized contact regarding the RFP with other State employees may result in the vendor being disqualified, and the vendor may also be suspended or disbarred from the state bidders list.

PROCUREMENT OFFICER: Angie ScherbenskePHONE: 701-328-2779FAX: 701-328-1615TTY Users call: 7-1-1 E-MAIL: ankscherben@nd.gov

1.03 RFP Schedule

EVENT DATERFP issued April 15, 2016Deadline for Submission of Questions and Requests for Clarification by 2:00 PM, CT April 26, 2016

Solicitation Amendment with Responses to Questions and Requests for Clarification issued approximately (if required)

April 29, 2016

Deadline for Receipt of Proposals by 2:00 PM, CT May 12, 2016Evaluation completed approximately May 24, 2016Notice of Intent to Award issued approximately June 6, 2016Deadline for Bidders List and Secretary of State Registration Prior to Contract Signing

Contract executed approximately June 14, 2016

1.04 Proposal Submission

Offerors shall submit 2 copies of its technical proposal in a sealed envelope or package.

Offerors shall submit 2 copies of its cost proposal in a separate sealed envelope or package, clearly labeled “cost proposal.”

Offerors shall submit 2 electronic copy of their entire proposal on a USB Flash Drive in a MS Word or Adobe Reader format. Cost proposals should be separate files from the technical proposal.

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Envelopes or packages containing proposals must be clearly addressed as described below to ensure proper delivery and to avoid being opened by STATE before the deadline for receipt. Envelopes or packages must be addressed as follows:

OMB, ND State Procurement Office 012Attn: Angie Scherbenske

Request for Proposal (RFP): Business Process Modeling ServicesRFP Number: 110.7-16-028

600 East Boulevard Avenue, 14th FloorBismarck, ND 58505-0310

Proposals must be received by STATE at the location specified no later than the date and time listed in the RFP Schedule. Proposals will not be publicly read at the opening.

Proposals may not be delivered orally, by facsimile transmission, by other telecommunication or electronic means. Offerors may fax or electronically transmit signed proposals to a third party who must deliver the proposal to the location indicated above by the date and time designated as the deadline for receipt of proposals.

Offerors assume the risk of the method of dispatch chosen. STATE assumes no responsibility for delays caused by any delivery service. Postmarking by the due date will not substitute for actual proposal receipt by STATE. An offeror’s failure to submit its proposal prior to the deadline will cause the proposal to be rejected. Late proposals or amendments will not be opened or accepted for evaluation.

1.05 Assistance to Offerors with a DisabilityOfferors with a disability that need an accommodation should contact the procurement officer prior to the deadline for receipt of proposals so that reasonable accommodation can be made.

1.06 Deadline for Receipt of Questions and ObjectionsOfferors must carefully review this solicitation, the contract and all attachments for defects, questionable, or objectionable material. All questions must be in writing and directed to STATE, addressed to the procurement officer, and cite the subject RFP number. The preferred method of submission is electronic mail. The procurement officer must receive these written requests by the deadline specified in the RFP Schedule to allow issuance of any necessary amendments.

This will also help prevent the opening of a defective solicitation and exposure of offeror's proposals upon which an award could not be made. Protests based on the content of the solicitation will be disallowed if these faults have not been brought to the attention of the procurement officer, in writing, before the time indicated in the RFP Schedule.

If the question may be answered by directing the questioner to a specific section of the RFP, then the procurement officer may answer the question over the telephone. Other questions may be more complex and may require a written amendment to the RFP. The procurement officer will make this determination. Oral communications is considered unofficial and non-binding on STATE. The offeror must confirm telephone conversations in writing.

1.07 Approved Vendor Registration RequirementsProposals will be accepted from vendors that are not currently approved vendors on the State’s bidders list; however, the successful offeror will be required to become approved prior to award.

To become an approved vendor, offerors must: 1) be registered with the North Dakota Secretary of State (fees apply), and 2) submit a completed Bidders List Application to the North Dakota Vendor Registry Office. Prospective offerors may access the Procurement Vendor Database on-line to verify whether their firm is currently on the bidders list. The bidders list that will be used for this solicitation is commodity code 208-68, 209-69, 918-12, 918-20, 918-21, 918-32, 918-69, 918-71, 918-75, 918-78, 918-85, 918-88, 918-90, and 958-77.

The Procurement Vendor Database, registration instructions and forms are available on-line at: http://www.nd.gov/spo/vendor/registry/. Contact the Vendor Registry Office at 701-328-2683 or infospo@nd.gov for assistance.

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The successful offeror must register and become approved within 30 calendar days from the date of the Notice of Intent to Award. If an offeror fails to become approved by the time specified by the procurement officer, its proposal will be determined to be non-responsive, and its proposal will be rejected.

1.08 Pre-proposal ConferenceNo pre-proposal conference will be held for this RFP. Offerors are advised to carefully review the RFP and all attachments and submit all questions to the procurement officer by the deadline indicated for receipt of questions and objections in the RFP schedule.

1.09 Amendments to the RFPIf an amendment to this RFP is issued, it will be provided to all offerors who were notified of the RFP and to those that have requested a copy of the RFP from the procurement officer. Amendments will also be posted to the State Procurement Website at www.nd.gov/spo.

1.10 News ReleasesNews releases related to this RFP will not be made without prior approval by STATE.

1.11 Notice ProvidedNotice of this solicitation has been provided in accordance with N.D.C.C. § 54-44.4-09.

1.12 Letter of InterestOfferors interested in receiving any notices related to this RFP are invited to contact the procurement officer with the name of their firm, contact person, mailing address, telephone number, fax number, and e-mail address. The sole purpose of the letter of interest is to provide STATE with a contact person to receive any notices related to the RFP. Submission of a letter of interest is not a requirement for submitting a proposal.

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SECTION TWO - BACKGROUND INFORMATION

2.01 Background Information

The primary responsibility of STATE is to manage the permanent educational trust funds and assets under the control of the Board of University and School Lands, as outlined in the North Dakota Constitution. State law also gives the Department the responsibility for managing the State Unclaimed Property Division and the Energy Infrastructure and Impact Office, as well as overseeing sovereign mineral acres and several other statutory funds. To see more about STATE, please refer to: land.nd.gov.

Currently, STATE has multiple customized systems and manual processes to handle our asset management, leasing processes, royalty & rent compliancy, unclaimed property management, and grant & loan management. STATE core systems were developed in the late 1980’s, and early 1990’s, using tools that are antiquated and no longer being supported by their producers. These systems have been in continual support, including some newer supplemental systems, to help with the increased needs of STATE. STATE also has many outlying manual and paper processes in need of improved systems, data integrations, and reporting. The current database structures have also restricted many process and system improvements due to the need for continual support of the legacy systems.

To solve the business needs, STATE needs to update processes and the current systems utilized to accommodate work demands. STATE intends to replace their current systems that will meet STATE requirements, growing security and internal control needs, and provide greater online functionality for the public.

STATE consists of approximately 30 employees, please reference Attachment 5, STATE Organizational Chart.

2.02 Budget

Budget has not been determined.

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SECTION THREE - SCOPE OF WORK

3.01 Scope of Work and Deliverables

STATE is soliciting business process modeling and business analysis services to be provided by a qualified consultant with technical expertise in business process modeling and other business analysis, research and business strategy disciplines. The contractor will direct, facilitate, develop and document business process models of STATE, as well as documenting core business requirements for a future system, and analyzing requirements and other information to provide strategic recommendations for a build versus buy decision point.

The business process models must be developed and documented for both the current state and future state processes to provide a consistent graphical representation of business processes that facilitate a common understanding and means of communicating our business. STATE anticipates using the future state process models to aid in determining how to replace current systems.

The current state of processes are to be documented to the level of detail necessary to provide full transparency and clarity of the process flow, so that process owners and process analysts can clearly understand the current process flow in order to effectively judge the efficiencies of the current flow and identify opportunities for process improvement.

The future state of the processes are to be documented to the level of detail necessary to provide sufficient information for a prospective vendor, staff member, or project member to understand the business targets for a new application and to identify potential opportunities for process improvement. STATE anticipates using these future state process models to aid in determining how to replace current systems, and within any future replacement projects. In addition to the development of business process models the STATE is looking to identify potential business process improvements that STATE can evaluate for implementation prior to replacement of the system.

Once current and future states are understood, it is then required to document the core business requirements for a new business system. The need for these requirements are twofold: Firstly, the requirements are needed to gain an understanding of the minimum feature set needed to support the business, and secondly, the requirements are needed in order to serve as a baseline for comparison of feature sets between a custom-developed application and any of a number of Commercial Off the Shelf (COTS) Systems.

Having developed business modeling and requirements information, the vendor is expected to provide research and analysis to determine the most feasible, business-appropriate solution – to continue development of the custom application, or to pursue a COTS solution. Please note, the successful contractor for this RFP will not be able to bid on any future solicitations that are part of any software solution that may result from this RFP.

The business process models and requirements analyses are to be developed using standard process modeling and business analysis tools, methods and formats.

The contractor shall provide at a minimum, the following deliverables:1. Project plan/schedule2. Current STATE business process models3. Business process, internal controls, and security improvements4. Future STATE business process models5. Core requirements for systems to support STATE business6. Goal Alignment (Interview Staff, etc.)7. Requirements research and analysis

a. Create requirements based off of business process modelsb. Develop a methodology and criteria to rate custom applications against commercially available

systemsc. Apply the criteria / findings to develop a strategic recommendation. Determine if it is best to

continue developing the custom system or is it best to procure a COTS system(s) (or other recommendation as may be discovered)

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8. Final report

Additional detail regarding the work performed and services provided by STATE is identified in Attachment 4, STATE Work and Services.

3.02 Contract ScheduleTime is critical in project completion. STATE anticipates working with the CONTRACTOR to complete the project in as short of a period of time as is feasible.

The approximate contract schedule is as follows:

1. Contract Start: On the Effective Date agreed upon by the parties within the contract2. Kick off meeting: Within 1 week from contract’s Effective Date3. Contract End Date: No more than 6 months after contract’s Effective Date

3.03 Project Management RequirementsSTATE’s project manager will direct and manage the project on a day-to-day basis and will have the primary responsibility for management of the project. The contractor project manager will report to STATE’s project manager within the project’s governance structure. The contractor will provide information to STATE’s project manager for the creation of an integrated project management plan.The integrated project management plan will consist of the following:

1. Governance2. Management plans to control scope, schedule, cost and quality3. Integrated change control process4. Human resource management plan5. Communication management plan6. Risk management plan7. Issue management plan8. Action Item management plan9. Procurement management plan10. Detailed Project Schedule

During the execution of the project, the contractor shall be responsible for providing information required for status reporting and other monitoring and controlling activities.

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SECTION FOUR - GENERAL CONTRACT INFORMATION

4.01 Standard Contract ProvisionsThe successful offeror will be required to sign and submit the contract attached to this RFP which is attached as Attachment 1. The contractor must comply with the contract provisions set out in the contract. Any objections to the contract provisions must be set out in the offeror’s proposal. No alteration of these provisions will be permitted without prior written approval from STATE.

Offerors are instructed to contact the procurement officer in writing by the deadline set for questions with any concerns regarding the contract provisions.

4.02 Proposal as a Part of the ContractPart or all of this RFP and the successful proposal may be incorporated into the contract.

4.03 Additional Terms and ConditionsSTATE reserves the right to add, delete, or modify terms and conditions during contract negotiations. These terms and conditions will be within the scope of the RFP and will not affect the proposal evaluations.

4.04 Supplemental Terms and ConditionsProposals including supplemental terms and conditions will be accepted, but supplemental conditions that conflict with those contained in this RFP or that diminish STATE’s rights under any contract resulting from the RFP will be considered null and void. STATE is not responsible for identifying conflicting supplemental terms and conditions before issuing a contract award. After award of contract:

(a) if conflict arises between a supplemental term or condition included in the proposal and a term or condition of the RFP, the term or condition of the RFP will prevail; and

(b) if STATE’s rights would be diminished as a result of application of a supplemental term or condition included in the proposal, the supplemental term or condition will be considered null and void.

4.05 Contract ApprovalThis RFP does not, by itself, obligate STATE. STATE’s obligation will commence when STATE approves the contract. Upon written notice to the contractor, STATE may set a different starting date for the contract. STATE will not be responsible for any work done by the contractor, even work done in good faith, if it occurs prior to the contract start date set by STATE.

4.06 Contract Changes - Unanticipated AmendmentsDuring the course of this contract, the contractor may be required to perform additional work. That work will be within the general scope of the initial contract. When additional work is required, the project manager designated by STATE will provide the contractor a written description of the additional work and request the contractor to submit a firm time schedule for accomplishing the additional work and a firm price for the additional work. Cost and pricing data must be provided to justify the cost of amendments.

The contractor will not commence additional work until STATE project manager has secured any required STATE approvals necessary for the amendment and issued a written contract amendment, approved by STATE.

4.07 Taxes and Taxpayer IdentificationThe contractor must provide a valid Vendor Tax Identification Number as a provision of the contract.

STATE is not responsible for and will not pay local, state, or federal taxes. STATE sales tax exemption number is E-2001, and certificates will be furnished upon request.

A contractor performing any contract, including service contracts, for the United States Government, State of North Dakota, counties, cities, school districts, park board or any other political subdivisions within North Dakota is not exempt from payment of sales or use tax on material and supplies used or consumed in carrying out contracts. In these cases, the contractor is required to file returns and pay sales and use tax just as required for contracts with private parties. Contact the North Dakota Tax Department at 701-328-1246 or visit its website at

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www.nd.gov/tax/ for more information.

A contractor performing any contract, including a service contract, within North Dakota is also subject to the corporation income tax, individual income tax, and withholding tax reporting requirements, whether the contract is performed by a corporation, partnership, or other business entity, or as an employee of the contractor. In the case of employees performing the services in the state, the contractor is required to withhold state income tax from the employees' compensation and remit to the state as required by law. Contact the North Dakota Tax Department at 701-328-1248 or visit its web site for more information

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SECTION FIVE - EVALUATION CRITERIA AND CONTRACTOR SELECTION

THE TOTAL NUMBER OF POINTS USED TO SCORE THIS PROPOSAL IS 100

5.01 Plan for Accomplishing the Scope of WorkForty (40) of the total possible evaluation points will be assigned to this criterion. The evaluation committee members will consider the questions in the Proposal Evaluation Worksheet attached as Attachment 2, when awarding points.

5.02 Experience and QualificationsThirty (30) of the total possible points will be assigned to this criterion. The evaluation committee members will consider the questions in the Proposal Evaluation Worksheet, when awarding points.

5.03 Contract CostThirty (30) of the total possible evaluation points will be assigned to cost. The procurement officer or other designated STATE employee will evaluate cost proposals and convert the cost amount into points. Any prompt payment discount terms proposed by the offeror will not be considered in evaluating cost.

The cost amount used for evaluation may be affected by the application of North Dakota Preference laws in accordance with N.D.C.C. § 44-08-01. For information regarding state preference laws, refer to Guidelines to North Dakota Purchasing Preference Laws.

After applying any reciprocal preference, the cost proposal with the lowest cost will receive the maximum number of points. The point allocations on the other cost proposals will be determined as follows:

Price of Lowest Cost ProposalPrice of Proposal Being Rated X Total Points for Cost Available = Points

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SECTION SIX - PROPOSAL FORMAT AND CONTENT

6.01 Proposal FormatSTATE discourages overly lengthy and costly proposals; however, in order for STATE to evaluate proposals fairly and completely, offerors must follow the format set out in this RFP and provide all information requested.

6.02 Technical Proposal ContentsOfferors shall provide the following information in its technical proposal:

A. IntroductionOfferor shall include a cover letter signed by a company officer with authority to bind the company. The letter must contain the following:1. The complete name and address of the offeror and the name, mailing address, and telephone number of the

person STATE should contact regarding the proposal.2. A statement that the offeror has read and agrees to comply with the requirements stated in this Request for

Proposal.3. A statement indicating whether or not the firm or its employees have an apparent or actual conflict of interest,

such as immediate family members employed by the State of North Dakota, or State employees with a financial interest in the firm.

4. A statement acknowledging the receipt of solicitation amendments issued and verifying all solicitation amendments required to be acknowledged are included in the proposal.

B. Plan for Accomplishing the Scope of WorkOfferor shall provide comprehensive narrative statements that illustrate their understanding of the requirements of the RFP, that set out the methodology used in accomplishing the scope of work and illustrate how the methodology will serve to accomplish the work described in the scope of work. In addition to or included with the narrative statements, Offeror shall provide the following:1. Proposed project schedule to complete the scope of work;2. Detailed description of each deliverable and sub deliverable proposed;3. Third-party or proprietary software products or tools anticipated to be used;4. Number and type of offeror resources planned to be utilized;5. Amount of time the offeror expects to spend onsite versus offsite, including type of work to be performed

offsite; and6. Expectation of STATE resource availability including the amount of time and type of resource.

C. Experience and QualificationsOfferor shall provide:1. Comprehensive narrative statements that illustrate its technical expertise in business process modeling using

industry standard process modeling tools, methods and formats. Offeror shall provide two (2) examples of business process models, including any experience the Offeror has with similar agencies; using the modeling tools and format it plans to use to accomplish the scope of work;

2. Three (3) references for previous clients where similar services were provided; reference information to include the following:a) Company Name;b) Name of Contact Person, Title, Phone Number, Email Address;c) Description of services provided (e.g. scope of work);d) Number and type of offeror resources that completed the scope of work; ande) Time frame of when the services were provided.

3. Information specific to the key staff anticipated to be assigned to accomplish the work called for in the RFP. For each key staff member, an offeror shall include:a) Name;b) Title;c) A description of anticipated role and responsibilities;d) A brief description of educational background, relevant training, professional experience, skills, relevant

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certifications and any other special qualifications directly related to the work called for in this RFP; ande) A listing of recent assignments with scope of work similar to this RFP, including a description of the

assignment, the role the individual filled and the outcome of the assignment

6.03 Cost ProposalOfferors shall provide the following information in its cost proposal:

A. Cost ProposalThe offeror must provide a total firm fixed price that includes all costs associated with the requirements of this RFP. The offeror must complete the Cost Proposal Format which is attached as Attachment 3 or a document following the same format.

The offeror must consider STATE’s standard terms and conditions of this RFP, including the Contract. The offeror must state all costs associated with the contract in U.S. currency. The offeror must identify any commodities the offeror will import, and the price must include any applicable customs, brokerage agency fees, and duties.

The offeror should provide a description of the required and proposed deliverables contained in its proposal. The offeror should describe any discount terms for prompt payment. STATE will not consider this information when evaluating cost.

B. Financial InformationProvide financial information in such a manner that STATE can reasonably formulate a determination about the stability and financial strength of the organization. This must include information about:

1) Company size2) Organization/date of incorporation3) Ownership4) Number of employees

Disclose any and all judgments, pending or expected litigation, or other real potential financial reversals, which might materially affect the viability or stability of the offeror’s organization; or certify that no such condition is known to exist.

STATE may request reports on financial stability from independent financial rating services in order to further substantiate stability.

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SECTION SEVEN - STANDARD PROPOSAL INFORMATION

7.01 Authorized SignatureAn individual authorized to bind the offeror to the provisions of the RFP must sign all proposals.

7.02 State Not Responsible for Preparation CostsSTATE will not pay any cost associated with the preparation, submittal, presentation, or evaluation of any proposal.

7.03 Conflict of InterestOfferors must disclose any instances where the firm or any individuals working on the contract has a possible conflict of interest and, if so, the nature of that conflict (e.g. employed by the State of North Dakota). STATE reserves the right to cancel the award if any interest disclosed from any source could either give the appearance of a conflict or cause speculation as to the objectivity of the offeror’s proposal. STATE’s determination regarding any questions of conflict of interest is final.

7.04 Offer Held firmProposals must remain open and valid for at least 90 days from the deadline specified for receipt of proposals. In the event award is not made within 90 days, STATE will send a written request to all offerors deemed susceptible for award asking offerors to hold their price firm for a longer specified period of time.

7.05 Amendments to Proposals and Withdrawals of ProposalsOfferors may amend or withdraw proposals prior to the deadline set for receipt of proposals. No amendments will be accepted after the deadline unless they are in response to STATE’s request. After the deadline, offerors may make a written request to withdraw proposals and provide evidence that a substantial mistake has been made. The procurement officer may permit withdrawal of the proposal upon verifying that a substantial mistake has been made, and STATE may retain the offeror’s bid bond or other bid type of bid security, if one was required.

7.06 Alternate ProposalsIf an Offeror submits more than one proposal, each proposal must be prepared according to proposal format and content instructions. Alternate proposals (proposals that offer something different than what is requested) will be rejected.

7.07 SubcontractorsSubcontractors may be used to perform work under this contract.

7.08 Joint VenturesJoint ventures will not be allowed.

7.09 Disclosure of Proposal Contents and Compliance with North Dakota Open Records LawsAll proposals and other material submitted become the property of STATE and may be returned only at STATE’s option. All proposals and related information, including detailed cost information, are exempt records and will be held in confidence until an award is made, in accordance with N.D.C.C. § 54-44.4-10(2).

Offerors may make a written request that trade secrets and other proprietary data contained in proposals be held confidential. Material considered confidential by the offeror must be clearly identified, and the offeror must include a brief statement that sets out the reasons for confidentiality. See the North Dakota Office of the Attorney General website for additional information. http://www.ag.nd.gov/OpenRecords/ORM.htm

After award, proposals will be subject to the North Dakota open records law. Records are closed or confidential only if specifically stated in law. If a request for public information is received, the procurement officer, in consultation with the Office of the Attorney General, will determine whether the information is an exception to the North Dakota open records law, and the information will be processed appropriately.

7.10 Evaluation of ProposalsAll proposals will be reviewed to determine if they are responsive to the requirements of this solicitation. The

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procurement officer or an evaluation committee will evaluate responsive proposals. The evaluation will be based solely on the evaluation factors set forth in this RFP. The evaluation will consider information obtained subsequent to any discussions with offerors determined to be reasonable for award and any demonstrations, oral presentations, or site inspections, if required in this RFP.

7.11 Right of RejectionSTATE reserves the right to reject any proposals, in whole or in part. Proposals received from debarred or suspended vendors will be rejected. The procurement officer may reject any proposal that is not responsive to all of the material and substantial terms, conditions, and performance requirements of the RFP.

Offerors may not qualify the proposal nor restrict the rights of STATE. If an offeror does so, the procurement officer may determine the proposal to be a non-responsive counter-offer and the proposal may be rejected.

The procurement officer may waive minor informalities that:

do not affect responsiveness; are merely a matter of form or format; do not change the relative standing or otherwise prejudice other offers; do not change the meaning or scope of the RFP; are insignificant, negligible, or immaterial in nature; do not reflect a material change in the work; or do not constitute a substantial reservation against a requirement or provision,

STATE reserves the right to reject any proposal determined to be not responsive, and to reject the proposal of an offeror determined to be not responsible. STATE also reserves the right to refrain from making an award if it determines it to be in its best interest.

7.12 Clarification of Proposals - DiscussionsIn order to determine if a proposal is reasonably susceptible for award, communications by the procurement officer or evaluation committee are permitted with an offeror to clarify uncertainties or eliminate confusion concerning the contents of a proposal and determine responsiveness to the RFP requirements. Discussions will be limited to the specific section of the RFP or proposal indicated by the STATE.

In conducting discussions, there may be no disclosure of any information derived from proposals submitted by competing offerors. Clarifications may not result in a material or substantive change to the proposal.

Discussions are generally conducted by telephone or internet-based conference.

7.13 Best and Final OffersThe STATE is not obligated to request best and final offers; therefore, offerors should submit their best terms (technical and cost) in response to this RFP.

If the STATE determines there is a need for any additional information, substantial clarification or changes to the RFP or proposals, the STATE may request for best and final offers from offerors that have submitted proposals determined to be reasonably susceptible for award. The best and final offer request will describe the additional information, clarification, or change being requested.

A date and time will be established for receipt of revised proposals. If an offeror does not submit a best and final offer, the STATE shall consider its original proposal as its best and final offer.

Best and final offers will be evaluated using the evaluation criteria stated in the RFP.

Offerors with a disability needing accommodation should contact the procurement officer prior to the date set for discussions so that reasonable accommodation can be made.

7.14 Preference LawsThe preference given to a resident North Dakota offeror will be equal to the preference given or required by the state of the nonresident bidder. A “resident” North Dakota bidder, offeror, seller, or contractor is one that has

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maintained a bona fide place of business within this State for at least one year prior to the date on which a contract was awarded. For a listing of state preference laws, visit the following website:http://www.nd.gov/spo/legal/resources/ or contact the North Dakota State Procurement Office at 701-328-2740.

7.15 NegotiationsContract negotiations will be conducted in accordance with N.D.A.C. § 4-12-12. The STATE may enter into negotiations with one or more offeror whose proposals received the highest scores and are reasonably susceptible for award. During negotiations, STATE and offeror may agree to alter or otherwise change the terms and conditions and price of the proposed contract. Negotiation, if held, will be within the scope of the RFP and limited to those items that would not have an effect on the ranking of proposals.

Each offeror will be responsible for all costs it incurs as a result of negotiations, including any travel and per diem expenses.

Contract negotiations will be conducted primarily by email, conference calls, or internet-based conference. Any on-site negotiation, if needed, will be held in Insert City, State.The STATE may terminate negotiations, reject a proposal as nonresponsive, and continue or commence negotiations with other offerors reasonably susceptible for award, if the offeror:

• fails to provide necessary information for negotiation in a timely manner,• fails to negotiate in good faith,• is unable to successfully negotiate contract terms that are acceptable to STATE, or• indicates that it cannot perform the contract within the budgeted funds.

7.16 Notice of Intent to Award After proposals have been evaluated and the successful offeror selected, notice of intent to award will be promptly issued to all offerors that submitted proposals. Upon issuance of this notice, the procurement file becomes an open record.

The successful offeror named in the Notice of Intent to Award is advised not to begin work, purchase materials, or enter into subcontracts until the successful offeror and the STATE sign the contract.

7.17 Protest and AppealNorth Dakota law provides that an interested party may protest a solicitation. If an interested party wishes to protest the content of this RFP, the protest must be received, in writing, by the procurement officer at least seven calendar days before the deadline for receipt of proposals. An interested party may protest the award or proposed award of a contract. If an offeror wishes to protest the award of a contract or proposed award of a contract, the protest must be received, in writing, by the procurement officer within seven calendar days after the date the Notice of Intent to Award was issued.

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ATTACHMENT 1

BUSINESS PROCESS MODELING AND RECOMMENDATION CONTRACT1. PARTIES

The parties to this contract (Contract) are the state of North Dakota, acting through its North Dakota Department of Trust Lands (STATE), and <Insert Name of Business a type of business (e.g. Delaware corporation or privately held company)> having its principal place of business at <insert principal business address> (CONTRACTOR);

2. SCOPE OF WORKCONTRACTOR, in exchange for the compensation paid by STATE under this Contract, shall provide the following services:

< scope of work to be inserted later (combo of the successful offeror’s proposal and STATE RFP). There may be an attachment setting out the scope of work in great detail similar to the sample scope of work (Exhibit A).>

3. COMPENSATIONa. Contractual Amount

STATE shall pay for the accepted services provided by CONTRACTOR under this Contract an amount not to exceed <insert amount> (Contractual Amount). Payments shall be made upon acceptance of deliverables or sub-deliverables outlined in the Deliverable Based Payment Schedule in Exhibit A.

The Contractual Amount is firm for the duration of the Contract and constitutes the entire compensation due CONTRACTOR for performance of its obligations under this Contract regardless of the difficulty, materials or equipment required, including fees, licenses, overhead, profit and all other direct and indirect costs incurred by CONTRACTOR except as provided by an amendment to this Contract.

b. Retainage All deliverable payments shall be subject to 10% retainage. Retained amounts due to CONTRACTOR shall be paid upon Final Acceptance.

c. Invoicing The final cost set forth on each invoice shall be equivalent to the cost for each deliverable or service as specified in the Scope of Work. CONTRACTOR shall not submit an invoice for any deliverable or service specified in the Scope of Work that STATE has not fully accepted. CONTRACTOR shall separate billing hours, costs and other expenses specific to Unclaimed Property and Energy Infrastructure and Impact Office. These divisions have separate funding sources.

d. Payment Payment made in accordance with this Compensation section shall constitute payment in full for the services and work performed and the deliverables provided under this Contract and CONTRACTOR shall not receive any additional compensation hereunder.

STATE shall make payment under this Contract within forty-five (45) calendar days after receipt of an approved invoice.

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Payment of an invoice by STATE will not prejudice STATE’s right to object to or question that or any other invoice or matter in relation thereto. CONTRACTOR's invoice will be subject to reduction for amounts included in any invoice or payment made which are determined by STATE not to constitute allowable costs, on the basis of audits conducted in accordance with the terms of this Contract. At STATE’s sole discretion, all payments shall be subject to reduction for amounts equal to prior overpayments to CONTRACTOR.

For any amounts that are or will become due and payable to STATE by CONTRACTOR, STATE reserves the right to deduct the amount owed from payments that are or will become due and payable to CONTRACTOR under this Contract.

e. Travel CONTRACTOR acknowledges travel costs are covered by the Contractual Amount and shall not invoice STATE for travel costs.

f. Prepayment STATE will not make any advance payments before performance by CONTRACTOR under this Contract.

g. Payment of Taxes by State STATE is not responsible for and will not pay local, state, or federal taxes. STATE sales tax exemption number is E-2001. STATE will furnish certificates of exemption upon request by CONTRACTOR.

h. Taxpayer ID CONTRACTOR’s federal employer ID number is: ______________________.

4. EQUIPMENT, MATERIALS, AND WORKSPACE – RESOURCES PROVIDED BY PARTIESFor periods during which the parties mutually agree that CONTRACTOR’s assigned staff is on site:

a. On site means 1707 North 9th Street, Bismarck ND.

b. STATE agrees to provide an adequate working space.

c. Equipment and software for on-site CONTRACTOR personnel is to be provided by CONTRACTOR.

When STATE and CONTRACTOR agree that remote access to systems is required, STATE shall provide the necessary supervised remote access security to enable CONTRACTOR access to the appropriate STATE systems.

5. TERM OF CONTRACTThis Contract begins on <contract execution> and ends on <Month, Day>, 20<Year>.

a. No Automatic Renewal This Contract will not automatically renew.

b. Extension Option STATE reserves the right to extend the Contract for an additional period of time, not to exceed twelve months, beyond the current termination date of the Contract.

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c. Renewal Option STATE may renew this Contract upon satisfactory completion of the initial Contract term. STATE reserves the right to execute up to two options to renew this Contract under the same terms and conditions for a period of up to twelve months each.

6. TERMINATIONa. Termination by Mutual Agreement

This Contract may be terminated by mutual consent of both parties executed in writing.

b. Early Termination in the Public Interest

STATE is entering into this Contract for the purpose of carrying out the public policy of the State of North Dakota, as determined by its Governor, Legislative Assembly and Courts.  If this Contract ceases to further the public policy of the State of North Dakota, STATE, in its sole discretion, by written notice to CONTRACTOR, may terminate this Contract in whole or in part.

c. Termination for Lack of Funding or Authority STATE, by written notice of default to CONTRACTOR, may terminate the whole or any part of this Contract under any of the following conditions:

1) If funding from federal, state, or other sources is not obtained and continued at levels sufficient to allow for purchase of the services or supplies in the indicated quantities or term.

2) If federal or state laws or rules are modified or interpreted in a way that the services are no longer allowable or appropriate for purchase under this Contract or are no longer eligible for the funding proposed for payments authorized by this Contract.

3) If any license, permit, or certificate required by law or rule, or by the terms of this Contract, is for any reason denied, revoked, suspended, or not renewed.

Termination of this Contract under this subsection is without prejudice to any obligations or liabilities of either party already accrued prior to termination.

d. Termination for Cause. STATE may terminate this Contract effective upon delivery of written notice to CONTRACTOR, or any later date stated in the notice:

1) If CONTRACTOR fails to provide services required by this Contract within the time specified or any extension agreed to by STATE; or

2) If CONTRACTOR fails to perform any of the other provisions of this Contract, or so fails to pursue the work as to endanger performance of this Contract in accordance with its terms.

The rights and remedies of STATE provided in this subsection are not exclusive and are in addition to any other rights and remedies provided by law or under this Contract.

7. SUSPENSION FOR CONVENIENCESTATE shall have the right at any time to order the services of CONTRACTOR fully or partially stopped for STATE’s own convenience. STATE shall provide CONTRACTOR written notice of the reason for and duration of the suspension. The schedule shall be delayed on a day-for-day basis to the extent STATE has issued a stop work order to

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CONTRACTOR and such stop work order is causing delays in completing services in accordance with the schedule. CONTRACTOR shall have the right to submit claims in accordance with the terms of this Contract as a result of stop work orders issued under this section.

8. FORCE MAJEURENeither party shall be held responsible for delay or default caused by fire, riot, terrorism, acts of God or war if the event is beyond the party’s reasonable control and the affected party gives notice to the other party immediately upon occurrence of the event causing the delay or default or that is reasonably expected to cause a delay or default.

9. INJUNCTIVE RELIEFCONTRACTOR shall immediately report to STATE any and all unauthorized disclosures or uses of STATE’s Confidential Information or Proprietary Information of which CONTRACTOR or its staff is aware or has knowledge. CONTRACTOR acknowledges that any unauthorized publication or disclosure of STATE’s Confidential Information or Proprietary Information to others may cause immediate and irreparable harm to STATE. If CONTRACTOR should publish or disclose such Confidential Information or Proprietary Information without authorization, STATE shall immediately be entitled to injunctive relief or any other remedies to which it is entitled under law or equity without requiring a cure period. CONTRACTOR shall indemnify, defend, and hold harmless STATE from all damages, costs, liabilities, and expenses (including without limitation reasonable attorneys’ fees) caused by or arising from CONTRACTOR’s unauthorized notification or disclosure of STATE’s Confidential Information or Proprietary Information. As a condition to these indemnity obligations, STATE will provide CONTRACTOR with prompt notice of any claim of which STATE is aware and for which indemnification shall be sought under this Contract and shall cooperate in all reasonable respects with CONTRACTOR in connection with any such claim.

10.RIGHT TO WITHHOLD AMOUNTS OTHERWISE DUE IF THE CONTRACTOR IS IN BREACHIf CONTRACTOR fails to deliver Deliverables or to provide Services which satisfy CONTRACTOR’s obligations under this Contract, STATE shall have the right to withhold any and all payments due under this Contract. STATE may withhold any and all such payments due under this Contract to CONTRACTOR without penalty or work stoppage by CONTRACTOR, until such failure to perform is cured.

11.RIGHT TO REMEDIES AND CUMULATION OF RIGHTSNo remedy conferred by any of the specific provisions of the Contract is intended to be exclusive of any other remedy, and each and every remedy shall be cumulative and shall be in addition to every other remedy given under this Contract, now or in the future existing at law or in equity or by statute or otherwise.

12.NON-WAIVEREither party’s failure to exercise any of its rights under the Contract, its delay in enforcing any right, or its waiver of its rights on any occasion, shall not constitute a waiver of such rights on any other occasion. No course of dealing by either party in exercising any of its rights shall constitute a waiver thereof. No waiver of any provision of the Contract shall be effective unless it is in writing and signed by the party against whom the waiver is sought to be enforced.

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13.INDEMNITYCONTRACTOR agrees to defend, indemnify, and hold harmless the state of North Dakota, its agencies, officers and employees (the State), from and against claims based on the vicarious liability of the State or its agents, but not against claims based on the State’s contributory negligence, comparative and/or contributory negligence or fault, sole negligence, or intentional misconduct. The legal defense provided by CONTRACTOR to the State under this provision must be free of any conflicts of interest, even if retention of separate legal counsel for the State is necessary. Any attorney appointed to represent the State must first qualify as and be appointed by the North Dakota Attorney General as a Special Assistant Attorney General as required under N.D.C.C. § 54-12-08. CONTRACTOR also agrees to defend, indemnify, and hold the State harmless for all costs, expenses and attorneys' fees incurred if the State prevails in an action against CONTRACTOR in establishing and litigating the indemnification coverage provided herein. This obligation shall continue after the termination of this Contract.

14.INTELLECTUAL PROPERTY INFRINGEMENT INDEMNIFICATIONa. CONTRACTOR, at its own expense, shall defend and indemnify STATE against claims

that products furnished under this Contract infringe a United States patent or copyright or misappropriate trade secrets protected under United States law.

b. As to any product which is subject to a claim of infringement or misappropriation, CONTRACTOR may (a) obtain the right of continued use of the product for STATE or (b) replace or modify the product to avoid the claim. If neither alternative is available on commercially reasonable terms then, at the request of CONTRACTOR, any applicable Software license and its charges will end, STATE will stop using the product, and will return the product to CONTRACTOR. Upon return of the product, CONTRACTOR will give STATE a credit for the price paid to CONTRACTOR, less a reasonable offset for use and obsolescence.

15.REPRESENTATIONS AND WARRANTIESCONTRACTOR represents and warrants to STATE that neither CONTRACTOR, in connection with performing the services in performance of this Contract, nor the completed product delivered by CONTRACTOR, will infringe any patent, copyright, trademark, trade secret or other proprietary right of any person. CONTRACTOR further represents and warrants to STATE that it will not use any trade secrets or confidential or proprietary information owned by any third party in performing the services related to this Contract or in delivery of the completed product unless CONTRACTOR has the authority to license, use or provide those trade secrets or confidential or proprietary information to STATE. CONTRACTOR further represents and warrants to STATE that neither CONTRACTOR nor any other company or individual performing services pursuant to this Contract is under any obligation to assign or give any work done under this Contract to any third party.

16.INSURANCECONTRACTOR shall secure and keep in force during the term of this Contract and CONTRACTOR shall require all subcontractors, prior to commencement of an agreement between CONTRACTOR and the subcontractor, to secure and keep in force during the term of this Contract, from insurance companies, government self-insurance pools or government self-retention funds, authorized to do business in North Dakota, the following insurance coverages:

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1) Commercial general liability, including premises or operations, contractual, and products or completed operations coverages (if applicable), with minimum liability limits of $250,000 per person and $1,000,000 per occurrence.

2) Automobile liability, including Owned (if any), Hired, and Non-Owned automobiles, with minimum liability limits of $250,000 per person and $1,000,000 per occurrence.

3) Workers compensation coverage meeting all statutory requirements. The policy shall provide coverage for all states of operation that apply to the performance of this contract.

4) Employer’s liability or “stop gap” insurance of not less than $1,000,000 as an endorsement on the workers compensation or commercial general liability insurance.

The insurance coverages listed above must meet the following additional requirements:

1) Any deductible or self-insured retention amount or other similar obligation under the policies shall be the sole responsibility of CONTRACTOR.

2) This insurance may be in policy or policies of insurance, primary and excess, including the so-called umbrella or catastrophe form and must be placed with insurers rated “A-” or better by A.M. Best Company, Inc., provided any excess policy follows form for coverage. Less than an “A-” rating must be approved by the State. The policies shall be in form and terms approved by the State.

3) The duty to defend, indemnify, and hold harmless the State under this agreement shall not be limited by the insurance required in this agreement.

4) The state of North Dakota and its agencies, officers, and employees (the State) shall be endorsed on the commercial general liability policy, including any excess policies (to the extent applicable), as additional insured. The State shall have all the benefits, rights and coverages of an additional insured under these policies that shall not be limited to the minimum limits of insurance required by this agreement or by the contractual indemnity obligations of CONTRACTOR.

5) The insurance required in this agreement, through a policy or endorsement, shall include:a)“Waiver of Subrogation” waiving any right to recovery the insurance company may have

against the State; b) A provision that CONTRACTOR’s insurance coverage shall be primary (i.e. pay first)

as respects any insurance, self-insurance or self-retention maintained by the State and that any insurance, self-insurance or self-retention maintained by the State shall be in excess of CONTRACTOR’s insurance and shall not contribute with it;

c)Cross liability/severability of interest for all policies and endorsements;d) The legal defense provided to the State under the policy and any endorsements must

be free of any conflicts of interest, even if retention of separate legal counsel for the State is necessary;

e)The insolvency or bankruptcy of the insured CONTRACTOR shall not release the insurer from payment under the policy, even when such insolvency or bankruptcy prevents the insured CONTRACTOR from meeting the retention limit under the policy.

6) CONTRACTOR shall furnish a certificate of insurance to the undersigned State representative prior to commencement of this agreement. All endorsements shall be provided as soon as practicable.

7) Failure to provide insurance as required in this agreement is a material breach of contract entitling STATE to terminate this agreement immediately.

8) CONTRACTOR shall provide at least 30 day notice of any cancellation or material change to the policies or endorsements.

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17.WORK PRODUCTAll work product, equipment or materials created for STATE or purchased by STATE under this Contract belong to STATE and must be immediately delivered to STATE at STATE's request upon termination of this Contract.

18.PERSONNELa. STATE will designate a Project Manager.

b. CONTRACTOR will designate a key staff member to perform project management tasks.

c. Unless STATE otherwise notifies CONTRACTOR, STATE’s Project Manager shall carry out STATE’s administrative and management functions under this Contract, shall be responsible for acceptance of the Contract deliverables, and shall provide support and overall direction to CONTRACTOR.

d. CONTRACTOR agrees and understands that STATE’s execution of the Contract is predicated, in part and among other considerations, on the utilization of the key staff identified in its proposal. Therefore, CONTRACTOR agrees that:

1) The personnel assigned must have the knowledge necessary to complete requirements as defined in the Contract.

2) CONTRACTOR shall warrant that all personnel assigned to perform tasks in response to this Contract will remain assigned for the agreed-upon length of time.

3) No replacement, reassignment or substitution of any assigned individuals and personnel qualifications shall be made without the prior written approval of STATE and that such replacement, reassignment or substitution shall be made at no additional cost to STATE.

4) Any substitution made pursuant to this paragraph must be of equal or higher skills, knowledge and abilities than those personnel originally proposed and that STATE’s approval of a substitution is not construed as an acceptance of the substitution’s performance potential. STATE agrees that an approval of a substitution will not be unreasonably withheld.

5) CONTRACTOR shall assign personnel on a full-time basis. In the event that a work assignment does not justify full-time participation, CONTRACTOR shall assign personnel on a part-time basis with prior written approval of STATE’s Project Manager. However, if the part-time assignments are specified in the Contract, no written approval from STATE’s Project Manager is necessary except for substitution of CONTRACTOR personnel.

e. Upon request by STATE, CONTRACTOR shall replace any CONTRACTOR personnel that STATE determines, in its sole discretion, to be unable to perform the responsibilities of the Contract acceptably, e.g., inappropriate or unprofessional personal conduct, professional inabilities, etc.

f. CONTRACTOR agrees that STATE may require contracted staff and subcontractors assigned by CONTRACTOR to perform work under this Contract to submit to a criminal history record check in accordance with N.D.C.C. § 54-59-20 and §12-60-24. STATE shall have the right to reject any individual assigned to perform work under this Contract if, in its sole discretion, it determines that the results of the criminal history record check make the individual unacceptable.

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g. STATE's normal working hours are Monday through Friday from 8:00 AM until 5:00 PM CT with one hour for lunch. STATE Project Manager may approve alternate work schedules.

19.PROJECT MANAGEMENTa. Reporting

CONTRACTOR shall provide to STATE’s project manager inputs into the State’s required project plan and project reporting as requested.

b. Deliverable Acceptance Upon completion of a deliverable or sub-deliverable, STATE will have five (5) working days in which to accept or reject it in writing. STATE and CONTRACTOR will accept by signature. If STATE rejects it, STATE will specify in writing its grounds for rejection and CONTRACTOR shall use its best efforts to correct any issues for the deliverable to be acceptable to STATE within the following five (5) working days. If STATE rejects it a second time, STATE will have the option of repeating the procedure as described in this acceptance statement above, escalating the issue to the Executive Steering Committee, or terminating this Contract upon written notice to CONTRACTOR.

c. Final Acceptance The successful completion of all deliverables as stated in the Scope of Work in accordance with the deliverable acceptance process.

d. Integrated Change Control Process CONTRACTOR and STATE will utilize an integrated change control process to manage changes.

1) A change request must be in writing to document the potential change, including an estimate of impact to cost, scope, schedule and quality.

2) STATE’s project manager will coordinate the review and approval or rejection of the change request.

3) CONTRACTOR will continue performing the services in accordance with the Contract unless otherwise agreed upon by STATE’s project manager. Work shall not commence on any new activities related to the change request until all parties agree in writing.

4) STATE’s project manager will document changes as needed.

5) Each change request duly authorized in writing by the parties shall be incorporated into and considered part of the Contract.

6) During the course of the Contract, if CONTRACTOR determines or could reasonably determine any STATE actions or directions constitute a requirement to perform additional work, CONTRACTOR shall notify STATE within thirty (30) calendar days that STATE has requested CONTRACTOR to perform additional work in the form of a change request utilizing the process above. CONTRACTOR understands that it waives the right to request additional time and reimbursable costs if CONTRACTOR fails to notify STATE within thirty (30) calendar days of determining or reasonably being able to determine that any STATE actions or directions constitute a requirement to perform additional work under the Contract.

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20.NOTICEAll notices or other communications required under this Contract must be given by registered or certified mail and are complete on the date postmarked when addressed to the parties at the following addresses:

STATE CONTRACTORNorth Dakota Department of Trust Lands <Business Name><Contact Name> <Contact Name><Title> <Title>1707 North 9th Street <Address>Bismarck, ND 58506-5523 <City, State, Zip>

Notice provided under this provision does not meet the notice requirements for monetary claims against STATE found at N.D.C.C § 32-12.2-04.

21.CONFIDENTIALITYCONTRACTOR shall not to use or disclose any information it receives from STATE under this Contract that STATE has previously identified as confidential or exempt from mandatory public disclosure except as necessary to carry out the purposes of this Contract or as authorized in advance by STATE. STATE shall not to disclose any information it receives from CONTRACTOR that CONTRACTOR has previously identified as confidential and that STATE determines in its sole discretion is protected from mandatory public disclosure under a specific exception to the North Dakota public records law, N.D.C.C. ch. 44-04 . The duty of STATE and CONTRACTOR to maintain confidentiality of information under this section continues beyond the term of this Contract.

22.COMPLIANCE WITH PUBLIC RECORDS LAWSCONTRACTOR understands that, except for disclosures prohibited in this Contract, STATE must disclose to the public upon request any records it receives from CONTRACTOR. CONTRACTOR further understands that any records obtained or generated by CONTRACTOR under this Contract, except for records that are confidential under this Contract, may, under certain circumstances, be open to the public upon request under the North Dakota public records law. CONTRACTOR agrees to contact STATE immediately upon receiving a request for information under the public records law and to comply with STATE’s instructions on how to respond to the request.

23.INDEPENDENT ENTITYCONTRACTOR is an independent entity under this Contract and is not a STATE employee for any purpose, including the application of the Social Security Act, the Fair Labor Standards Act, the Federal Insurance Contribution Act, the North Dakota Unemployment Compensation Law and the North Dakota Workforce Safety and Insurance Act. CONTRACTOR retains sole and absolute discretion in the manner and means of carrying out CONTRACTOR’s activities and responsibilities under this Contract, except to the extent specified in this Contract.

24.ASSIGNMENT AND SUBCONTRACTSCONTRACTOR may not assign or otherwise transfer or delegate any right or duty without STATE’s express written consent. However, CONTRACTOR may enter into subcontracts provided that any subcontract acknowledges the binding nature of this Contract and incorporates this Contract, including any exhibits. CONTRACTOR is solely responsible for

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the performance of any subcontractor. CONTRACTOR does not have the authority to Contract for or incur obligations on behalf of STATE.

25.SPOLIATION – NOTICE OF POTENTIAL CLAIMSCONTRACTOR shall promptly notify STATE of all potential claims that arise or result from this Contract. CONTRACTOR shall also take all reasonable steps to preserve all physical evidence and information that may be relevant to the circumstances surrounding a potential claim, while maintaining public safety, and grants to STATE the opportunity to review and inspect the evidence, including the scene of an accident.

26.MERGER AND MODIFICATION, CONFLICT IN DOCUMENTSThis Contract, including the following documents, constitutes the entire agreement between the parties. There are no understandings, agreements, or representations, oral or written, not specified within this Contract. This Contract may not be modified, supplemented or amended, in any manner, except by written agreement signed by both parties.

Notwithstanding anything herein to the contrary, in the event of any inconsistency or conflict among the documents making up this Contract, the documents must control in this order of precedence:

a. The terms of this Contract as may be amended;

b. <Insert documents issued or agreed upon from date RFP is issued until contract execution (e.g. STATE’s Solicitation Amendment #1 to Request for Proposal (RFP) number __________ dated ________)>;

c. STATE’s RFP number 110.7-16-028, dated April 15 2016; and

d. CONTRACTOR’s proposal dated <insert date> in response to RFP number 110.7-16-028.

27.SEVERABILITYIf any term of this Contract is declared to be illegal or unenforceable by a court having competent jurisdiction, the validity of the remaining terms is unaffected and, if possible, the rights and obligations of the parties are to be construed and enforced as if the Contract did not contain that term.

28.APPLICABLE LAW AND VENUEThis Contract is governed by and construed in accordance with the laws of the State of North Dakota. Any action to enforce this Contract must be brought and solely litigated in the District Court of Burleigh County, North Dakota. Each party consents to the exclusive jurisdiction of such court and waives any claim of lack of jurisdiction or forum non conveniens.

29.ALTERNATIVE DISPUTE RESOLUTION – JURY TRIALSTATE does not agree to any form of binding arbitration, mediation, or other forms of mandatory alternative dispute resolution. The parties have the right to enforce their rights and remedies in judicial proceedings. STATE does not waive any right to a jury trial.

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30.ATTORNEY FEES AND COSTSIn the event a lawsuit is instituted by STATE to obtain performance under this Contract, and STATE is the prevailing party, CONTRACTOR shall, except when prohibited by N.D.C.C. §28-26-04, pay STATE’s reasonable attorney fees and costs in connection with the lawsuit.

31.NONDISCRIMINATION AND COMPLIANCE WITH LAWSCONTRACTOR agrees to comply with all applicable laws, rules, regulations and policies, including those relating to nondiscrimination, accessibility and civil rights. CONTRACTOR agrees to timely file all required reports, make required payroll deductions, and timely pay all taxes and premiums owed, including sales and use taxes and unemployment compensation and workers' compensation premiums. CONTRACTOR shall have and keep current at all times during the term of this Contract all licenses and permits required by law.

32.STATE AUDITAll records, regardless of physical form, and the accounting practices and procedures of CONTRACTOR relevant to this Contract are subject to examination by the North Dakota State Auditor, the Auditor’s designee, or Federal auditors. CONTRACTOR shall maintain all of these records for at least three (3) years following completion of this Contract and be able to provide them at any reasonable time. STATE, State Auditor, or Auditor’s designee shall provide reasonable notice.

33.EFFECTIVENESS OF CONTRACTThis Contract is not effective until fully executed by all parties.

CONTRACTOR<insert business>

BY:

<Insert Printed Name><Insert Title>

Date:

STATE OF NORTH DAKOTAActing through its ND Department of Trust Lands

BY:

<Insert Printed Name><Insert Title>

Date:

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EXHIBIT A – SAMPLE SCOPE OF WORK1. ACCEPTANCE PROCESS:

Upon completion of a deliverable or sub-deliverable, the parties shall follow the acceptance process in accordance with the Contract.

2. <DELIVERABLE #: TITLE>

a. Description:

a. Completion Date:

b. Acceptance Criteria: For the acceptance of this deliverable to occur, the following criteria must be met:

3. <DELIVERABLE #: FINAL REPORT (PRESENTATION)

a. Description:

b. Completion Date:

c. Acceptance Criteria: For the acceptance of this deliverable to occur, the following criteria must be met:

A final report is completed per <insert> and delivered to STATE, including final stakeholder presentation of the report.

Deliverable Based Payment Schedule

#Deliverable

NameDeliverable

ValueTo be Retained

(10%) Invoice1 $1000 $100 $9002 $<amount> $<amount> $<amount>3 $<amount> $<amount> $<amount>4 $<amount> $<amount> $<amount>

<X>

Final Report (Release of Retainage)

$<Total Retained> $0 $<Total

Retained>

Project Deliverable Total $<amount>

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ATTACHMENT 2 - PROPOSAL EVALUATION WORKSHEET

All proposals will be reviewed to determine if they are responsive to the RFP requirements.

ROLE OF COMMITTEE. The role of the evaluation committee is to award points to the proposal so that they may be ranked.

ROLE OF COMMITTEE MEMBER: The role of the evaluation committee member is to be one of several evaluators on the evaluation committee. An evaluation committee member shall apply independent judgment in awarding points to the proposal for the purpose of ranking them.

CONFLICT OF INTEREST: Each evaluator must review the list of offerors submitting proposals and determine if they or any immediate family members have a conflict of interest with regard to an offeror, in accordance with N.D.A.C. § 4-12-04-04. By signature on a proposal evaluation worksheet, evaluator is confirming no conflict of Interest exists with the offeror being evaluated.

EVALUATION WORKSHEET INSTRUCTIONS FOR EVALUATORS: STATE has assigned each evaluation criterion a specific number of points. The questions under each evaluated area help you measure the quality of an offeror’s proposal. Do not assign points to individual questions: instead, award a total score for each evaluation criterion. Each worksheet must be completed in full, signed and dated by the evaluation committee member.

RATING SCALE: STATE intends this rating scale to establish guidelines within that range to ensure members of the RFP evaluation committee perform their evaluation with consistency. You may assign any value for a given criteria from 0 to the maximum number of points. A zero value typically constitutes no response or an inability of the offeror to meet the criterion. In contrast, the maximum value should constitute a high standard of meeting the criterion

For Example: “Experience and Qualifications” is an evaluation criterion receiving a maximum of 30 possible points. The rating scale would be:

Rating Scale (30 POINT Maximum)Point Value Explanation0 None. Not addressed or response of no value1-7 Fair. Limited applicability8-15 Good. Some applicability16-23 Very Good. Substantial applicability24-30 Excellent. Total applicability

COST PROPOSAL: The offeror is required to place cost proposals in a separate sealed envelope, and the pricing will not be disclosed to the evaluation committee until after the initial evaluation of proposals is completed.

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PROPOSAL EVALUATION WORKSHEET

RFP Number and Title

Name of Offeror

Name of Evaluator

Signature of Evaluator

Plan for Accomplishing the Scope of Work

Forty (40) of the total possible evaluation points will be assigned to this criterion.

Rating Scale Point Value Explanation0 None. Not addressed or response of no value1-10 Fair. Limited applicability 11-20 Good. Some applicability21-30 Very Good. Substantial applicability31-40 Excellent. Total applicability

Proposals will be evaluated against the questions set out below. Do not assign points to individual questions; instead, award a total score for each evaluation criterion.

a) How well has the offeror demonstrated a thorough understanding of the requirements and scope of the RFP? Has the offeror demonstrated an understanding of the deliverables STATE expects it to provide?

EVALUATOR'S NOTES

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

b) How well has the offeror illustrated the methodology it intends to employ in accomplishing the scope of work as described in the RFP? Does the methodology depict a plausible and logical approach to accomplishing the scope of work?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

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_____________________________________________________________________________________

c) How well has the offeror demonstrated an understanding of State's time schedule and ability to meet it?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

d) Has the offeror clearly indicated the number and type of resources it plans to utilize in accomplishing the scope of work? Has offeror clearly indicated the amount of time expected to be spent onsite versus offsite, including type of work to be performed at each site?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

e) Has the offeror clearly indicated the expectation of STATE resource availability by amount of time and type of resource?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

TOTAL SCORE _____________

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Experience and Qualifications

Thirty (30) of the total possible evaluation points will be assigned to this criterion.

Rating Scale Point Value Explanation0 None. Not addressed or response of no value1-7 Fair. Limited applicability 8-15 Good. Some applicability16-23 Very Good. Substantial applicability24-30 Excellent. Total applicability

Proposals will be evaluated against the questions set out below. Do not assign points to individual questions; instead, award a total score for each evaluation criterion.

a) Has the offeror illustrated its technical expertise in business process modeling and its ability to develop business process models? Has the offeror provided two (2) examples of business process models using standard modeling tools and format?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

c) Has the offeror illustrated its skill and experience in facilitating information gathering sessions? Has the offeror described how its knowledge and experience in facilitating information gathering sessions will serve to accomplish the work described in the scope of work?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

d) Has the offeror provided information specific to the key staff anticipated to be assigned to accomplish the scope of work, including name, title, description of role and responsibilities, description of education background, training, professional experience, skills, certifications and other qualifications relevant for this RFP, and a listing of recent assignments with scope of work similar to this RFP? How well do these resources match the expectations necessary to accomplish the scope of work? Do the individuals anticipated to be assigned to the project have experience on similar projects?

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EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

e) Did the offeror supply three (3) references? Did the references provide information to verify satisfactory performance of the offeror?

EVALUATOR'S NOTES _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

f) Does the offeror have experience working with State Agencies?

EVALUATOR'S NOTES _____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

TOTAL SCORE _____________

Criterion Points Assigned

Total Score

Plan for Accomplishing the Scope of Work 40

Experience and Qualifications 30

Sum of Technical Proposal Score

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ATTACHMENT 3 - COST PROPOSAL FORMAT

Name of Offeror: _______________________________________________

Please complete the following chart. Additional rows can be added if needed. Deliverables: short description of the required and proposed deliverables contained in its proposal

Proposed Price Per Deliverable$$$$$$$

Total Firm Fixed Price $

Offeror shall describe any discount terms for prompt payment.

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ATTACHMENT 4 – STATE WORK AND SERVICES

DivisionsOperationsAccountingInformation TechnologyOffice SupportRevenue Compliance

Grants and ClaimsUnclaimed PropertyEnergy Infrastructure and Impact Office (EIIO)Asset ManagementInvestmentsMinerals ManagementSurface Management

Operations – Supporting All DivisionsAdministration1. Presentations to Legislature2. Legislative Testimony3. Legal Litigation

4. Reportsa. Monthly Boardb. Quarterlyc. Yearlyd. Biennial

Common Processes – Done Throughout Many Processes1. Collaborating with Other Agencies2. Due Diligence / Verifications / Multi-Level

Approvals3. Scanning and Filing Documents

a. Scanned to File Netb. Paperwork to File Room

4. Accounts Receivablesa. Create Billing Schedulesb. Mail Billingsc. Funds are Received – Many Typesd. Create Receivable Batchese. Batches are Reconciled to Recordsf. Funds Allocated to Appropriate Trust

Accounts

g. Funds Transferred to PeopleSoft Accounts5. Accounts Payable

a. Create / Enter Payment Schedulesb. Payments are Requested – Many Typesc. Payments are Approved / Deniedd. Approved Payments are Sent to Accountinge. Accounting Releases Payments to

PeopleSoftf. Treasurer’s Office Transfers Funds or Cuts

Checks to Cover Paymentsg. Funds Deallocated from Appropriate Trust

Accounts

Office Support1. Mail Opening and Sorting1. Accounts Receivables

a. Intake of Customer Paymentsi. Creating Cash Receivable Batchesii. BND Tele-check Scanning Deposits

2. Accounts Payablea. Distribute / Mail Checks

3. Intake Documentsa. Documentation Scanning and Filing

4. Schedule Meetings with Outside People / Venues

5. Bill Entry and Approval into PeopleSoft6. Public Access Signage7. Ordering Office Supplies8. Printing Requisitions9. Phone / Reception / Screening10.Records Management – Electronic and

Physical Files11.Auction Preparations12.Advertising13.Updating “News” Portion of Website

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Accounting1. Accounts Receivables

a. Receives Wired Fundsi. Creating Batches

b. Combining / Splitting / Zero Batches2. Accounts Payable and Reimbursements

a. Enter and Release Payments in PeopleSoftb. Uploading Payments to PeopleSoft

i. Unclaimed Property and EIIOc. Manually Coding Bills

3. Requests Vendor Setup4. Cash Account

a. Bank of ND (BND) Account Incomeb. Northern Trust Income and Expenses

5. Cost Allocationsa. Continuing Authorityb. Direct Cost Expendituresc. Operating Expensesd. Rent Expense

6. Distribution of Fundsa. Common School to Department of Public

Instruction (DPI)b. Other Permanent Fundsc. Other Trusts / Funds

7. Manage Loansa. BND Loan Programsb. BND Fuel Production Facility Guarantee

Fundc. School Construction Loans

8. Maintenance Fund at Treasurer’s Officea. Reconciliations of Trust Fund and

Treasurer’s Officeb. Fee Income to Operating

9. Miscellaneous Operationsa. Depreciation Expenseb. Book all Cash Account Entriesc. Reconcile Cash Accounts to BNDd. Reconcile Cash Accounts to General

Ledger10.Reports

a. Financial Statementsb. Budget Reportsc. Indian Cultural Trust

11.Record Tax Receiptsa. Coal Taxesb. Oil and Gas Extraction

12.Year End Activity13.Lost / Uncashed Checks

a. Voids and Reissues14.Payroll and Benefits15.Procurement16.Related to Unclaimed Property

a. Holder Compliance Auditingb. Mutual Fund Investment Accountingc. Northern Trust Stock Reconciliationd. Reconcile Cash with Treasurer

17.Related to EIIOa. Manages the Administration Costsb. Quarterly Auditing of Fundsc. Reconcile Cash with Treasurerd. Manages Accounts Receivables for Coal

Loansi. Send Coal Loan Schedule to Treasurerii. Amortization Schedulesiii. Warrants

18.Related to Surfacea. Payment Schedulesb. Lease Refunds – Negative Batch through

Receivablesc. County Payments

i. In-Lieu-of-Tax Paymentsii. Roads and Bridges

19.Related to Investmentsa. Book Northern Pool Activityb. Book Northern Ultra Short Account

20.Related to Mineralsa. Canadian Mineral Taxb. Refunds

21.Related to Revenue Compliancea. Assists with Reconciling Issuesb. Monitoring Unreconciled Batchesc. Reallocation of Payments

22.Related to Office Supporta. Batching Issuesb. Verification of Payablesc. Manual/Paper Cash Depositsd. Help with Filing

Revenue Compliance and Royalty Auditing1. Royalty Auditing

a. Define Strategically Random Samplingb. Pull Revenue Datac. Export to Exceld. Pull Lease Information for Sample Datae. Compare Plant Statements, NDIC and

Royalty Report Datai. Multiple Data Points – Decimal

Interests, Dollars, Volumes…

f. Request Data from Operatorsi. Relating to Sample Data

g. Validate Payments with Final Reportsh. Send Documentation for Inaccuraciesi. Operator Corrects Mistakes and Reports

Corrections, or Calls Attorney2. Data Integrity

a. Validations of Property Information

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b. Decimal Interests, Participation Factors, Trust Allocations…

c. Look Up Well, Property Informationi. Manually Recalculates Informationii. Validates and Corrects Data

1) Working with Othersd. Received Division Orders from Operators

i. Validate Decimal Interests, Tracts, Spacing Unit…

ii. Send Letters for Approvalsiii. Disapprovals are Sent to Minerals to

Work with Operatorse. Night Crawler Reports

i. Receive Reports for Low Oil Production / No Payments / Trust Net / Acreage Changes / Royalty Adjustments…

ii. Review and Validate Informationiii. Work with Other Divisions to Resolve

3. Penalties and Interest / Royalty Validation – Oil, Gas and Natural Gasa. Revenue Received Report – Monthlyb. Exports to Excelc. Sort Well, Date and Productd. Validates Several Months of Paymentse. Questionable Wells – Review Previous

Paymentsf. Create List of Operators Behind on

Paymentsg. Calculate Penalties and Interests per

Operatorh. Prepare Letters for Each Operatori. Review and Validations are Done on List

and Informationj. Letters Sent to Validated Operatorsk. Track Issues in Finding Summary Excel

i. Payments are Validated to Finding Summary Excel

ii. Move Paid Variances to Different Tab4. Miscellaneous Reconciliations

i. For Most Divisionsii. Many Types of Receivables

1) Coal, Saltwater, Rights of Way, Annual Payments, Gravel, etc.…

b. Enter in to Systems

i. Excel Spreadsheetsii. Or Database

c. Verify Valuesd. Reconcile Payment with Batched Funds

5. Fund Adjustmentsa. Transferring Money Between Trusts

i. Manually Recalculate Values per Trustii. Paper Sign Offs and Approvalsiii. Accounting Transfers Funds in General

Ledgeriv. Documentation Scanning and Filing

b. Zero, Split, and Negative Batchesi. Validate and Approvals Requiredii. Accounting Creates the Batches

6. Royalty Reportinga. Oil and Gas

i. Operator Sends Volume and Royalty Reports – Multiple Ways

ii. Reports are Entered in to System – Multiple Ways1) Some Include Penalties and Interest

a) Review Finding Summary Exceliii. Validate Reported Information

1) Operators Emailed of Incorrect Information

2) Incorrect Information is Fixed – Different Ways

iv. Create / Fix Property Data to Match Reported as Needed1) Well Information by Minerals2) Links Between Payer and Property

Datav. Save the Report to the Systemvi. Scan Reports to File System

b. Escrowi. Manually Entered to System

1) Some are Mass Uploaded by ITii. Interest Postediii. Manually Reconciled to Bank

Informationc. Saltwater and Coal

i. Manually Maintained in Excel7. Reports

a. Several Unique Reports

Information Technology1. Maintains Websites for Divisional Needs2. Systems and Database Support

a. Helps to Find and Fix Data Issuesb. Helps to Find and Fix Application Errors

3. Maintain Online Applications and Forms4. Surface and Mineral Auctions

a. Updates Data, Application, and Laptopb. Uploads Results to Database

5. Helps Manually Support the Online Mineral Auctions

6. Maintain PC’s

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Grants and ClaimsUnclaimed Property1. Intake of Payments / Claims / Reports

a. Remote Check Deposit2. Holder Education and Compliance3. Receiving Unclaimed Property – 3 Types4. Entering Reports – 3 Types5. Advertisements and Owner Outreach

a. Internetb. Newspapers / Printed Publicationsc. Direct Mailings

6. Preparing Claim Formsa. Internally by Staffb. Externally by Public

7. Process Claimsa. Receiving

i. From Claimants – Multiple Types

ii. From Holdersiii. From Other States

b. Verificationsc. Accept / Deny Claimd. Request Payments for Approved Claimse. Distribute Funds / Property for Approved

Claims8. Manage High Intensity Enforcement Unit

(HIEU) Liens9. Managing Unclaimed Property

a. Tracking / Liquidating Securitiesb. State Agency Propertyc. Third Party Compliance / Audit Contractsd. Reciprocity Reporting

Energy Infrastructure and Impact Office (EIIO)1. Legislation

a. Target Areas for Grantsb. Allocation of Grant Funds

2. Receive Oil and Gas Impact Funds3. Manage Grant Rounds

a. Managing Eligible Political Subdivisionsb. Organize with Land Board

4. Submitting Applicationsa. Educate and Assist Political Subdivisions

with Forms5. Manage Applications

a. Receive Applications – 3 Waysb. Enter Application in System for Correct

Fiscal Year of the Bienniumc. Regional Meetings with Applicantsd. Validate and Score Applications develop

possible grant scenariose. Application/Scenario Review with Advisory

Committee for Grant Recommendationsf. Present the Grant Recommendations to

Land Boardg. Accept / Deny Grant Recommendations by

Land Boardh. Grants entered and made in systemi. Notification to Applicants / Grantees

6. Reimbursement Process for Approved Applicationsa. Receive Reimbursement Requests – 3

Waysb. Validate Request Supporting

Documentation

c. Distribution of Funds for Approved Reimbursementsi. Setup Vendors in PeopleSoftii. Payments Requestediii. Payments Uploaded to PeopleSoftiv. Payment Remittance Forms Returned,

copy mailed and filedd. Reconciliation of Funds

7. Semi-Annual Grantee Audit / Project Statusa. Reports and Risk Based Audits

8. Review of Grants by Land Board and/or EIIOa. Cancelation of Aged Awardsb. Changes of Grants / Fundsc. Cancelation of Grants / Fundsd. Reallocation of Funds

9. Coal Loan Application Processa. Validate the Application Formb. Determine Loan Termsc. Identify a Market Interest Rated. Create Memo for Board Consideratione. Accept / Deny Applications by Land Boardf. Distribution of Funds for Approved

Applicationsi. Documentation Created

1) Amortization Schedule2) Warrant Preparation, Signed by

Applicants3) Electronic and hard copies of

documents filedg. Accounting Manages Accounts Receivable

10.Managing Remaining Flood Impact Funds

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Asset ManagementInvestmentsPrimary Investment Responsibilities1. Set Strategic Asset Allocation (SAA) and

Portfolio Benchmark2. SAA Implementation and Portfolio Monitoring

a. Monitoring of Exposures and Benchmark Deviation

b. Manager Due Diligencec. Performanced. Add / Remove Managerse. Rebalancing

3. Operationsa. Records Managementb. Transfersc. Fees / Manage Expensesd. Securities Lending

Other Responsibilities1. Program Administration

a. Farm Loan Pool (FLP)b. Energy Construction Loan Pool (ECLP)c. School Construction Loan Pool (SCLP)

i. School Construction Assistance Loan Fund (SCALF)

ii. Coald. Fuel Production Facility Loan Guarantee

Program2. Legislative Monitoring for Strategic Investment

and Improvements Funds (SIIF)3. Assist Accounting Division with:

a. SIIF/Coal/Capitol Revenue Projectionsb. Distributions

4. Land Valuation Analysis – for Surface

Minerals Management1. Tract Management

a. Acquire Tracts of Land – Various Waysb. Maintain Tract Details

i. Trust Allocationsii. Manage Special Features – Endangered

Species, Historical Resources, etc.1) Inter-Agency Collaboration2) Addendum Codes

iii. Etc.c. Spacing Unit Management

i. Setting Multi-Tract Spacing Units1) Various Groups

ii. Set Interest and Participations Factorsd. River Acreage Changese. Canadian Tax Paymentsf. Physical (Field) Inspections for Extensions

2. Well Managementa. Monitor NDIC Information

i. Monitor Production Statusii. Shut-in Wellsiii. Pooling Agreements

b. Managing Royalty Information3. Contact Management

a. Names and Addresses – Several Typesb. Public Education – Several Typesc. Maintain List of Banned / Ineligible Lesseesd. Email Notifications – i.e.: Auction

Information4. Lease Management

a. Nomination Management

i. Set Datesii. Create Auction Listiii. Review Addendum Codesiv. Advertise – 3 Ways

b. Auctioning – Live and Onlinei. Live

1) Arrange Auctioneer and Venue2) Update Auction Program3) Bidder Registration4) Streaming Online

ii. Online1) Coordinate with EnergyNet2) Accounting Reimburse EnergyNet –

Bidders Premiumc. Update System with Results – ITd. Create Auction Settlementse. Receive Paymentsf. Create Leases

i. Verify Lease Information and Paymentsii. Leases Printed and Sent to Lessee

g. Lease Adjustmentsi. Cancellationsii. Extensionsiii. Participation Factors

5. Assignmentsa. Receives Request – 2 Waysb. Due Diligence / Verifications

i. Multiple Levels Throughout Processc. Calculate Percent of Ownershipd. Assign Stratification Requirements

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e. Create Documents for Companiesf. Approval Process

i. Disapprovals1) Send Letters for Disapprovals

ii. Approved1) Track Assignments in Excel2) Finalize Assignment on System3) Mail Approval Letter / Documentation

6. Yearly Rentalsa. Verifyb. Refund if Not Required

7. Coal / Potash / “Other” Leasing – Manual Processa. Applications Received – Tract Nominationb. Due Diligence – Pull Files / Verify

c. Establish Date and Advertised. Assess Fair Market Valuee. Land Board Notificationf. Combined Hearing and “Auction”g. Land Board Approvalh. Build Lease – Coal Spreadsheeti. Maintain Mineral Tract (MT) Table for Coal

Lease Numberj. Receive Payments – Many Types

i. Manually Validates to Spreadsheetsk. End of life

i. Cooperate with Surface Managementl. Releases

8. Geographical Information System (GIS)

Surface Management1. Tract Management

a. Acquire Tracts of Land – Various Waysb. Maintain Tract Details

i. Trust Allocationsii. Manage Special Features – Endangered

Species, Historical Resources, etc.1) Inter-Agency Collaboration2) Addendum Codes

iii. Etc.c. Leasing Unit Management

i. Setting Multi-Tract Leasing Units1) Various Groupings

ii. Setting Tract Participations Factorsd. Set Productivity Index (PI)e. Aerial Photographsf. County Payments on Tracts

i. In-Lieu-of-Tax Paymentsii. Roads and Bridges

g. Subdivide / Split Tractsh. Sell Tractsi. Types

1) 15-06 – Original Grant Land Sales2) 15-07 – Non-Grant Lands3) 15-09 – Friendly Condemnation

ii. Applicationiii. Appraisaliv. Advertisingv. Sale Auctionvi. Conveyance

2. Land Managementa. Physical (Field) Inspections

i. Over 14 Types Done Throughout Yearb. Field Inspector Training/Training Websitec. Data based field inspection programs

i. Inspection Scoringd. Noxious & Invasive Weed, and Pest Controle. Illegal Weed Siting and Notificationsf. Livestock Water Development

g. Managing for Droughth. Damage and Trash Managementi. Range Improvement

i. Feeding Violationsii. Hay Storage Violationsiii. Trash Violationsiv. Equipment Storage

j. Reimbursement Assistance for Tenants for Range Improvements - Water Developments, Cleanup etc.i. Request Payment orii. Rental Adjustments / Credits

3. Regulate Public Access and Postings4. Contact Management

a. Names and Addresses- Several Typesb. Public Education – Several Typesc. List of Banned / Ineligible Lessees

5. Lease Auctioninga. Schedulingb. Advertisingc. Lease Auctiond. Update System with Resultse. Manage Lease Assignments

i. Bee Hive Approvals Additional Lessees6. Surface Leasing

a. Minimum bid at Auction FMV Calculation for Public Auction

b. Annual Rental Value Data Updatesc. Rental Adjustments

i. PI Adjustmentsii. Noxious Weediii. Wateriv. Administrative Fee

d. Additional Lease Provisions / Amendments7. Aggregate Leasing

a. Tracking Rental Termsb. Damage and Reclamation Agreementsc. Rental Tracking, Billing and Receiving

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d. Rental Refunds / Creditse. Extensionsf. Terminations

8. Right of Ways – Numerous Kindsa. Geophysical Survey Permitsb. Terms and Life Time Limitsc. Application Fee and Consideration

Paymentsd. Letters of Permissione. Abandonment Policies

9. Railroad Right of Way and Ownerships10.Saltwater Disposal Agreements11.Subleasing / Tracking Violations12.Reclamation Management

a. Trainingb. Field Inspectionsc. Damage Notificationsd. Damage Fines

13.Geographical Information System (GIS)

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ATTACHMENT 5 – STATE ORGANIZATIONAL CHART

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