835-RICR — Narragansett Bay Commission

Chapter 10 General Administration

Subchapter 00

835-RICR-10-00-1 Rules and Regulations for Public Hearings

835-RICR-10-00-1 § 1.1 Purpose

To establish a defined set of procedures for the conduct of public hearings for the Narragansett Bay Commission (NBC).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws § 42-35-2(a)(4).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.3 Definitions

A."Commission" means the Narragansett Bay Commission or, when the context permits, its individual members, committees, its staff, agents or employees.

B."Commission office" means the offices of the Commission, One Service Road, Providence, Rhode Island or any such address as may from time to time be the location of the principal office of the Commission.

C."Contested cases" means a proceeding in which the Commission under its enabling legislation is required to determine the legal rights, duties or privileges of a party to said proceeding after an opportunity for a hearing. Pursuant to R.I. Gen. Laws § 39-1-1 et seq., promulgation of sewer user fees by the Commission is subject to approval by the Public Utilities Commission.

1.When the Commission is authorized to determine the legal rights, duties or privileges of parties after an opportunity for a hearing in this definition, any such proceeding before the Commission shall be considered a contested case when formal written objection and/or request for hearing is received by the Commission from any interested party. Further, any such proceeding before the Commission shall be considered a contested case upon the request for hearing by any member of the Commission.

D."Parties" means a person, agency or organization is a party to a proceeding before the Commission if:

1.he, she or it is entitled to the status of a party under Rhode Island Administrative Procedures Act (APA), R.I. Gen. Laws § 42-35-1, or any other provision of law; or

2.upon application for leave to intervene in a matter which is considered a contested case by the APA or by the Commission, provided that said intervenor is allowed intervention on the following grounds:

a.such applicant is entitled by law to the status of a party;

b. such applicant could have been a complainant in such proceeding; or

c. such applicant has a complaint or defense that has a question of law or fact in common with the main proceeding, provided that an application by an applicant described in §§ 1.3(D)(2)(a) or (b) of this Part shall be subject to the discretion of the Commission.

E."Person" means any individual, partnership, corporation, association, governmental subdivision or public or private organization of any character other than an agency.

F."Rule" shall have the same meaning as set forth in R.I. Gen. Laws § 42-35-1.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.4 Notice of Contested Cases

A.Notice of public hearings considered contested cases under these regulations shall be provided as set forth in R.I. Gen. Laws § 42-35-1 et seq. or as otherwise provided by law.

B.All parties shall be afforded an opportunity for hearing after reasonable notice. Such notice in cases arising under the Commission's rules and regulations governing sewer use shall be in accordance with § 20-00-1.10(E) of this Title. In all other cases, notice shall be as follows:

1.Notice shall include:

a.a statement of the time, place and nature of the hearing;

b.a statement of the legal authority and jurisdiction under which the hearing is held;

c.a reference to the particular sections of statutes and rules involved; a short and plain statement of the matters asserted.

2.If the Commission or other party is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to a statement of the issues involved, and a detailed statement shall be furnished thereafter.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.5 Hearing Procedures

A.Hearings, Record and Disposition:

1.In the event a matter pending before the Commission becomes a contested case as defined herein, the Commission shall then schedule a public hearing before a duly authorized and appointed hearing committee or hearing officer who is not involved in the enforcement action.

2.The record in a contested case shall include: all pleadings, motions, intermediate rulings; evidence received or considered; a statement of matters officially noticed; questions and offers of proof and thereon; proposed findings and exceptions; any decision, opinion or report by the officer or officers presiding at the hearing; all state memoranda or data submitted to the hearing officer or members of the agency in connection with their consideration of the case.

3. Unless precluded by law, informal disposition may be made of any contested case by stipulation, agreed settlement, consent order or default.

4. The Executive Director can appoint a hearing officer to hear any case arising under these rules and regulations, as well as any other contested cases, when authorized to do so by the Commission. A hearing officer may hear any contested case arising under the Commission's rules and regulations governing sewer use, in accordance with § 20-00-1.10 of this Title.

B.Hearings

1.Hearings required or permitted shall be conducted in accordance with R.I. Gen. Laws § 42-35-1 et seq., and appropriate rules of law and all those rules and regulations of the Commission. Hearings regarding matters arising under R.I. Gen. Laws § 46-25-27 or otherwise arising under the Commission's rules and regulations governing sewer use shall be conducted by a hearing officer appointed in accordance with those rules. All other hearings, including those under the Commission's rules and regulations governing sewer use, may be before a duly appointed hearing officer or hearing committee, as designated by the Commission. Where a hearing committee is duly appointed, the Executive Director shall appoint one of the committee members to be hearing chairman and to act as presiding hearing officer over said proceedings. All cases other than those arising under the Commission's rules and regulations governing sewer use, shall be conducted as described in §§ 1.5(B)(2) through (5) of this Part.

2.In the case of hearings before a duly appointed hearing committee, the full hearing shall be before such committee. A record shall be kept as provided herein. The committee shall then report its recommendations to the full Commission. The record shall be available to the full Commission and all parties of record. After the committee recommendation is formally submitted to the full Commission, parties may request to be heard before the full Commission. Said requests shall be in writing at least seven (7) days prior to the full Commission meeting, setting forth the reasons why the interested party feels they should be heard before the Commission and a brief description of the type of evidence and/or matters to be covered by the interested party.

3.Upon hearing all of the facts and reviewing the record in its entirety, the Commission shall render its decision in accordance with R.I. Gen. Laws § 42-35-1 et seq.

4. In any contested case, all parties shall be served with such notice as may be provided for by law, or in the absence of such provision, as may be ordered by the Commission.

5. In the event formal withdrawal of pending written objection(s) to a contested matter is received and/or requested by the objector(s) and/or interested party or representative, it shall be within the sole discretion of the Commission to withdraw the matter of contested case.

C.Pleadings

1.Forms. All pleadings (including complaints, answers, motions, petitions) shall be on white paper 8 1/2" X 11" in size.

2. Filing. Whenever a pleading or other document or paper is to be filed with the Commission, it shall be filed in the original.

3. Pleadings. Any person filing a pleading, complaint or other documents shall adhere to the following form for such purpose:

a.At the top of the page shall appear the wording "Before the Narragansett Bay Commission." On the left side of the page below the foregoing shall be set out: "In the matter of (name of applicant)." Opposite the foregoing shall appear the type of pleading offered or other properly labeled title.

b.The body of the pleading or other document shall be set out in numbered paragraphs that:

(1)identify the parties by name and address; and

(2)concisely state the facts that form the basis for the pleading or documentation.

c.All pleadings shall be in writing.

d.The hearing officer, hearing committee or the entire Commission as appropriate shall have the authority to waive the technical format for pleadings as set forth in this section for good cause shown, provided the rights of all parties to said proceedings are not abridged by said waiver.

D.Consolidation; Separate Hearings

1.When matters involving a common question of law or fact are pending before the Commission, hearing committee or hearing officer (hereinafter "hearing body"), such hearing body may order a joint hearing on any or all matters at issue in the proceedings; it may order all the proceedings consolidated; and make such orders concerning proceedings therein as may tend to avoid unnecessary delay.

2.The hearing body, in furtherance of convenience or to avoid prejudice, may order a separate hearing of any matters or allegation against any person or of any separate issue.

E.Pre-Hearing Conference Rule

1.In any proceeding the hearing body, upon its own motion or upon the motion of one of the parties or their qualified representatives, may in its discretion direct the parties or their qualified representatives to appear at a specified time and place for a conference to consider:

a.the simplification of the issues;

b. the necessity of amendments to the pleadings;

c. the possibility of obtaining stipulations, admissions of facts and documents;

d. the limitation of the number of expert witnesses; and

e. such other matters as may aid in the disposition of the proceedings.

2.The hearing body shall make an order or statement that recites the action taken at the conference, the amendments allowed to the pleadings or application and the agreements made by the parties or their qualified representatives as to any of the matters considered, including the settlement or simplification of issues, limiting the issues for hearing to those not disposed of by admissions or agreements; and such order or proceeding unless modified for good cause by subsequent order.

F.Submission of Documentary Evidence in Advance

1.When practicable, the hearing body may require:

a.That all documentary evidence, which is to be offered during taking of evidence, be submitted to the hearing body and to the other parties to the proceeding sufficiently in advance of such taking of evidence to permit study and preparation of cross-examination and rebuttal evidence.

b.That documentary evidence not submitted in advance, as may be required by § 1.5(F)(1)(a) of this Part, may not be received in evidence in the absence of a clear showing that the offering party had good cause for his or her failure to produce the evidence sooner.

c.That the authenticity of all documents submitted in advance in a proceeding in which such submission is required, be deemed admitted unless objection thereto is filed prior to or at the time of the hearing, except that a party will be permitted to challenge such authenticity at a later time upon a clear showing of good cause for failure to have filed such objection.

G.Excerpts from Documentary Evidence

1.When portions only of a document are to be relied upon, the offering party shall prepare the pertinent excerpts, together with a statement indicating the purpose for which such materials will be offered, to the hearing body and to the other parties. Only the excerpts so prepared and submitted shall be received in the record. However, the whole and the original document shall be made available for examination and for use by all parties to the proceeding.

H.Continuances

1.Any party who desires a continuance shall, immediately upon receipt of notice of a hearing, or as soon thereafter as facts required such continuances come to his or her knowledge, notify the hearing committee or the entire Commission in the event there is no hearing committee of said desire stating in detail the reasons why such continuance is necessary. The hearing body in passing upon a request for continuance shall consider whether such request was promptly and timely made. For good cause shown, the hearing body may grant such a continuance and may at any time order a continuance upon its own motion. During a hearing, if it appears in the public interest or in the interest of justice that further testimony or argument should be received, the Commission may in its discretion continue the hearing or presentation of arguments. Such oral notice shall constitute final notice of such continued hearing.

I.Rules of Evidence - Official Notice

1.Irrelevant, immaterial or unduly repetitious evidence shall be excluded. The rules of evidence as applied in civil cases in the superior court of this State shall be followed; but, when necessary to ascertain facts not reasonably susceptible of proof under the rules, evidence not admissible under those rules may be submitted (except where precluded by statute) if it is a type commonly relied upon by affairs. The hearing body shall give effect to the rules of privilege recognized by law. Objections to evidentiary offers may be made and shall be noted in the record. Subject to these requirements, where a hearing will be expedited and the interests of the parties will not be prejudiced substantially, any part of the evidence may be received in written form.

2. Documentary evidence may be received in the form of copies of excerpts, if the original is not readily available. Upon request, parties shall be given an opportunity to compare the copy with the original. Said documentary evidence must be received in accordance with the procedures of the Commission as set forth in §§ 1.5(F) and (G) of this Part.

3. A party may conduct cross-examinations required for a full and true disclosure of the facts.

4. Notice may be taken of judicially cognizable facts. In addition, notice may be taken of generally recognized technical or scientific facts within this agency's specialized knowledge; but, the parties shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the material noticed, including any staff memoranda or data, and they shall be afforded an opportunity to contest the technical competence, and specialized knowledge may be utilized in the evaluation of the evidence.

5. Subject to the provisions of law and to the other provisions of these rules, all relevant evidence is admissible that, in the opinion of the hearing body, is the best evidence reasonably obtainable, having due regard for its necessity, availability and trustworthiness.

6. When objection is made to the admissibility of evidence, such evidence may be received subject to a later ruling. The hearing body may in its discretion, either with or without objection, exclude inadmissible evidence or order cumulative evidence discontinued. Parties objecting to the introduction of evidence shall state the precise grounds of such objection at the time such evidence is offered.

J.Re-Opening of Hearing

1.At any time after a hearing has been closed, but prior to filing of any decision, the hearing body may, on its own initiative or upon motion by any party, reopen the proceeding to receive further evidence and/or to hear further argument.

K.Testimony

1.All testimony given at all public hearings shall be under oath and transcribed.

L.Transcripts

1.Transcripts of testimony shall be required at all hearings of the Commission. Transcripts of testimony shall be available at the Commission's office for examination by any party to the proceeding until expiration of the time during which any appeal or petition for judicial review authorized by law may be filed. Thereafter, such a transcript shall be available for examination by any person upon written request to the Commission. If any party files proceedings for judicial review, the Commission shall, upon request by any party, supply to such party a copy or copies of the transcripts of the proceedings before it at such reasonable charge as the Commission shall establish.

M.Proposed Findings of Fact

1.Any party may, before the conclusion of a hearing or within such later time as may be fixed by the hearing body, submit to the hearing body proposed findings of facts, copies thereof to be served upon each party to the proceeding. Findings of fact of this hearing body shall be based exclusively on the evidence and matters officially noted.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.6 Practice Before the Commission

A.Any person may appear before any hearing body of the Commission on his or her own behalf. Any person or party who has an interest in any matter before the Commission may appoint an attorney to represent him or her before the hearing body.

B.All persons appearing in proceedings before a Commission hearing body in representative capacity shall conform to the standards of conduct required of attorneys before the courts of Rhode Island. If any such person does not conform to such standards, the hearing body may decline to permit such person to appear in a representative capacity in any such proceeding.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.7 Preliminary Investigations

A.Whenever authorized by law, the Commission may conduct preliminary investigations into matters under its jurisdiction. Upon the completion of such investigations:

1.if the Commission shall make a determination that a violation probably has not been or is not being engaged in, the Commission shall proceed no further;

2. if the Commission shall make a determination that a violation probably has been or is being engaged in, the Commission shall proceed as provided by law.

B.Investigations of possible violations arising under the Commission's rules and regulations governing sewer use are more particularly described in § 20-00-1.7 of this Title.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.8 Final Decision of the Hearing Body

Any final decision or order adverse to a party in a contested case shall be in writing or stated in the record. Any final decision shall include findings of fact and conclusions of law, separately stated. Findings of fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings. If a party, in accordance with agency rules, submitted proposed findings of fact, the decision shall include a ruling upon each proposed finding. Parties shall be notified either personally or by mail of any decision or order. Upon request, a copy of the decision shall be delivered or mailed forthwith to each party and to his or her attorney of record.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.9 Service of Process

A.Notice will be deemed properly served upon a person if a copy thereof is served upon him or her personally, sent by registered mail, return receipt requested, or such person is served with notice by any other method of service now or hereafter authorized in a civil action under the laws of this State.

B.Any hearing officer duly appointed hereunder shall have the right to administer oaths and issue subpoenas to compel the appearance of witnesses and/or the production of any books, records, or other documents as provided under R.I. Gen. Laws § 46-25-28.

C.Filing with the Commission. Papers required to be filed with the Commission shall be deemed filed upon actual receipt by the Commission at the Commission's office.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-1 § 1.10 Judicial Review of Contested Cases

Any person who has exhausted all administrative remedies available to him or her within the agency and who is aggrieved by a final decision in a contested case is entitled to judicial review under R.I. Gen. Laws § 42-35-15.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-28 to 04/13/2018

835-RICR-10-00-2 Public Records Request Procedures

835-RICR-10-00-2 § 2.1 Purpose

The purpose of this regulation is to establish a procedure for the public to make requests for public records to the Narragansett Bay Commission (NBC).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Adoption — effective from 2014-05-21 to 04/13/2018

835-RICR-10-00-2 § 2.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws § 38-2-1 et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Adoption — effective from 2014-05-21 to 04/13/2018

835-RICR-10-00-2 § 2.3 Public Records Request Procedures

The following information is provided as a resource to anyone who would like to make a public records request at the Narragansett Bay Commission.

PUBLIC RECORDS UNIT: Legal Department

E-MAIL ADDRESS: [email protected]

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Adoption — effective from 2014-05-21 to 04/13/2018

835-RICR-10-00-2 § 2.4 How to Make a Public Records Request:

A.Any person may make a public records request by contacting the above public records unit. Public records requests must be submitted in writing, unless the requester is seeking records available pursuant to R.I. Gen. Laws § 42-35-2 or for other documents prepared for or readily available to the public. It is suggested, but not required, that requests be submitted on the form provided by the NBC and available at the NBC or online at www.narrabay.com.

B.A simple but complete description of the records sought must be provided in enough detail so that the records unit can answer the request appropriately. One of the officers from the records unit may ask certain questions in order to better assist you; however, answers to those questions with regard to your identity and the reason for the request do not have to be given.

C.Normal business hours are from 8:30 AM to 4:00 PM. Any calls or emails made after those hours will be handled the next business day.

D.Pursuant to R.I. Gen. Laws § 38-2-3, there are times when the public records you seek are not available at the time of your request.

E.Please be advised that R.I. Gen. Laws § 38-2-3 allows a public body ten (10) business days to respond, which can be extended an additional twenty (20) business days. We appreciate your understanding and patience.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Adoption — effective from 2014-05-21 to 04/13/2018

835-RICR-10-00-2 § 2.5 Where a Request May Be Made:

A.Written requests for public records may be made:

1.by email, to [email protected],

2.by letter, addressed to the Public Records Unit - Legal Department,

3.or in person, at the Narragansett Bay Commission, One Service Road, Providence, RI 02905.

B.Requests for documents readily available to the public may also be made by phone, 401-461-8848 Ext. 395.

C.If a request is made to inspect records in person, the request may not be able to be immediately satisfied. The Narragansett Bay Commission may ask that you come back at another time after the appropriate person can compile the records and redact any confidential information if necessary. However, the future date will comply with the time limits set by R.I. Gen. Laws Chapter 38-2.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Adoption — effective from 2014-05-21 to 04/13/2018

835-RICR-10-00-3 Petition for Declaratory Order

835-RICR-10-00-3 § 3.1 Purpose

This regulation states the requirements for submitting a request for Declaratory Order under R.I. Gen. Laws § 42-35-8(b), and the procedure for its consideration and prompt disposition.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-3 § 3.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws § 42-35-8.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-3 § 3.3 Definitions

A.The following definitions shall apply to this regulation:

1."Commission" means the Narragansett Bay Commission.

2."Declaratory Order" means an order issued by the Commission that:

a.Interprets or applies a statute administered by the Commission;

b.Clarifies whether a rule, guidance document, or order issued by the Commission applies to a Petitioner; or

c.Clarifies how a rule, guidance document, or order issued by the Commission applies to a Petitioner.

3."Petition" means a request for a Declaratory Order.

4."Petitioner" means a person requesting a Declaratory Order.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-3 § 3.4 Request for Declaratory Order: Form and Submission

A.A request for Declaratory Order must be in writing and include the following information:

1.The name and address of the Petitioner;

2.A plain statement identifying the statute, rule, guidance document, or order at issue;

3.A detailed statement of all facts relied upon by the Petitioner;

4.A copy of any and all documents relied upon by Petitioner that are not otherwise accessible to the Commission; and

5.A plain statement requesting a Declaratory Order, and further indicating whether Petitioner seeks:

a.An interpretation or application of a statute administered by the Commission;

b.Clarification as to whether a rule, guidance document, or order issued by the Commission applies to Petitioner; and/or

c.Clarification as to how a rule, guidance document, or order issued by the Commission applies to Petitioner.

B.A request for a Declaratory Order must be submitted to: [email protected] or Attn: Legal Department, One Service Road, Providence, Rhode Island 02905.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-3 § 3.5 Consideration and Disposition of Request for Declaratory Order

A.The Commission shall promptly consider and respond to the request for Declaratory Order as provided in R.I. Gen. Laws § 42-35-8(c).

1.Should the Commission schedule the matter for further consideration, the Commission shall notify Petitioner in writing of the anticipated date on which the Commission will grant or deny the request for Declaratory Order.

B.The agency may, at its discretion:

1.Hold a hearing for further consideration and discussion on the Petition; or

2.Request further information or documents from the Petitioner necessary for the full evaluation of his or her petition.

C.A Petitioner may appeal the Commission's final disposition of the request for Declaratory Order as provided in R.I. Gen. Laws § 42-35-15.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-4 Petition for Promulgation of Rules

835-RICR-10-00-4 § 4.1 Purpose

The purpose of this regulation is to prescribe the form of a Petition for Promulgation of Rules pursuant to R.I. Gen. Laws § 42-35-6 and the procedure for its submission, consideration, and disposition.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-4 § 4.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws § 42-35-6.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-4 § 4.3 Definitions

A.The following definitions shall apply to this regulation:

1."Commission" means the Narragansett Bay Commission.

2."Petition" means a request for the Promulgation of a Rule.

3."Petitioner" means a person requesting the promulgation of a rule.

4."Promulgate", with respect to a Rule, means the process of writing a new Rule, or amending or repealing an existing Rule.

5."Rule" means the whole or a part of an agency statement of general applicability that implements, interprets, or prescribes law or policy or the organization, procedure, or practice requirements of an agency and has the force of law. The term includes the amendment or repeal of an existing rule. The term is used interchangeably with the term "regulation." The term does not include the exceptions listed in R.I. Gen. Laws § 42-35-1(19)(i)-(vi).

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-4 § 4.4 Request for the Promulgation of a Rule

A.A request to Promulgate a Rule must be in writing and include the following information:

1.The name and address of the Petitioner;

2.A plain statement identifying the rule or proposed new Rule at issue;

3.A detailed statement of all facts relied upon by the Petitioner;

4.A plain statement requesting the Promulgation of a Rule, and further indicating whether Petitioner seeks a new Rule or the amendment or repeal of an existing Rule.

a.In the case of a request for the repeal of an existing Rule, the Petitioner shall identify the Rule by title and/or RICR citation.

b.In the case of a request for an amendment to an existing Rule, the Petitioner must identify with specificity any proposed additions, deletions, or other amendments. New proposed language must be clearly marked using underline formatting for proposed insertions, and strikethrough formatting for proposed deletions.

B.A request for the Promulgation of a Rule must be submitted to: [email protected] or Attn: Legal Department, One Service Road, Providence, Rhode Island 02905.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

835-RICR-10-00-4 § 4.5 Consideration and Disposition of Request for the Promulgation of a Rule

A.The Commission shall promptly consider and respond to the request for the Promulgation of a Rule as provided in R.I. Gen. Laws § 42-35-6.

B.The Commission may, at its discretion and within the thirty (30) day period prescribed by statute:

1.Hold a hearing for further consideration and discussion on the Petition; or

2.Request further information or documents from the Petitioner necessary for the full evaluation of his or her Petition.

C.A Petitioner may appeal the Commission's final disposition of the request for the Promulgation of a Rule as provided in R.I. Gen. Laws § 42-35-15.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-04-13 to 01/04/2022

Chapter 20 Sewer Usage

Subchapter 00

835-RICR-20-00-1 Use of the Wastewater Facilities

835-RICR-20-00-1 § 1.1 Purpose

In order to ensure the proper collection, treatment, and disposal of wastewater and sewage sludge and adequate treatment of industrial wastewater within the Narragansett Bay Commission District (District); to encourage the recovery and recycling of wastes and the proper operation and maintenance of interceptor sewers and the treatment facilities within the District; to comply with the requirements of the United States Environmental Protection Agency (EPA) and the Rhode Island Department of Environmental Management (DEM); and, to provide for the keeping of records of the Narragansett Bay Commission Wastewater Facilities (Facilities), this Part governing the use of the Facilities within the District is adopted by the Narragansett Bay Commission (NBC) as provided by R.I. Gen. Laws § 46-25-1 et seq. In the event of future wastewater facility acquisitions and/or annexations to the NBC, this Part shall become incorporated by reference and binding thereon, and all previous Rules and Regulations of said facility/facilities shall be abolished. Upon acquisition and/or annexation, any and all site-specific facility limitations necessary and/or appropriate to remain in full force and effect shall be incorporated by reference and retained by way of appendices to this Part. All such modifications shall be subject to the necessary public notice and hearing requirements for major modifications as mandated by 40 C.F.R. § 403.18 (2018), incorporated herein by reference, not including amendments prior to incorporation.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.2 Definitions

A."Act" or "the Act" means the Narragansett Bay Commission Act, R.I. Gen. Laws Chapters 46-25 and 46-25.1, as amended.

B."Appurtenance" means auxiliary structures attached to a sewer, which shall include, but not be limited to, pump stations, slots, regulators, outfalls, force mains, manholes, catch basins, tide gates, monitoring devices, and metering chambers.

C."Authorized employees" or "Agents of the NBC" means a person who by reason of his or her general position, contract, or job description with the NBC has specific duties and responsibilities to perform on behalf of the NBC.

D."Authorized representative of user" means:

1.If the user is a corporation, authorized representative shall mean:

a.The President, a Vice President, Secretary, or Treasurer of the corporation in charge of a principal business function, or any other person who performs similar policy or decision-making functions for the corporation, or

b.The manager of one (1) or more manufacturing, production, or operating facilities, provided the manager is authorized to make management decisions that govern the operation of the regulated facility including having the explicit or implicit duty of making major capital investment recommendations, and initiate and direct other comprehensive measures to assure long-term environmental compliance with environmental laws and Regulations; can ensure that the necessary systems are established or actions taken to gather complete and accurate information for submittal of permit applications, complying with permit, reporting and submittal requirements, et al, and where authority to sign documents has been assigned or delegated to the manager in accordance with corporate procedures or bylaws.

2.If the user is a partnership, association, or sole proprietorship an authorized representative shall mean a general partner or the proprietor.

3.If the user is representing Federal, State or local governments, or an agent thereof, an authorized representative shall mean a director or highest official appointed or designated to oversee the operation and performance of the activities of the government facility.

4.The individuals described in §§ 1.2(D)(1) through (3) of this Part may designate another authorized representative if said authorization is submitted to the NBC in writing and specifies the individual or position responsible for the overall operation of the facility from which the discharge originates or having overall responsibility for environmental matters of the company.

E."Batch discharge" means a discharge that does not flow on a continuous basis or the discharge of all or part of the contents of a tank that occurs intermittently or over a short period of time. A holding tank or equalization tank which receives concentrated batch discharges that are then discharged or "bled" into the sewer system over an extended period of time shall be considered a batch discharge.

F.“Best management practices” or “BMP” means a practice or combination of practices determined to be effective and practical means of preventing or reducing the amount of pollution generated. BMPs may include technological, economic, and institutional methods.

G."Biochemical oxygen demand" or "BOD" means the quantity of oxygen utilized in the biochemical oxidation of organic matter under standard laboratory procedure for five (5) consecutive days at twenty degrees Centigrade (20° C) (sixty-eight degrees Fahrenheit (68° F)) expressed in terms of weight and concentration (milligrams per liter (mg/l)).

H."Biologicals" means preparations made from living organisms and their products, including vaccines, cultures, etc., intended for use in diagnosing, immunizing, or treating humans or animals or in research pertaining thereto.

I."Blood products" means any products derived from human blood, including, but not limited to, whole blood, blood plasma, platelets, red or white blood corpuscles, and other derived licensed products, such as interferon, etc.

J."Board of Commissioners" means the Narragansett Bay Commission sitting as a governing body at a duly authorized meeting with a quorum being present.

K."Body fluids" means liquids emanating or derived from humans including blood, blood products, cerebrospinal, pleural, peritoneal and pericardial fluids, amniotic fluids, and semen and vaginal secretions, but excluding feces, urine, nasal secretions, sputum, sweat, tears, saliva, and breast milk, unless any such excluded substance contains visible blood or is isolation waste.

L."Building drain" means that part of the lowest horizontal piping within a building that carries water, wastewater, or stormwater to a building sewer.

M."Building sewer" or “house connection” means the sewer pipe or drain line connecting a building or other structure to the public sewer for wastewater disposal.

N."Bypass" means the intentional diversion of waste streams from any portion of a user's treatment facility.

O."Categorical industrial user" means industrial users subject to EPA categorical pretreatment standards.

P.“Catch basin” means a cistern located at the point where a street gutter discharges into the sewer and designed to catch and retain matter that would not readily pass through the sewer. It also means a reservoir or well into which surface water may drain off.

Q."Categorical pretreatment standard" or "Categorical standard" means any Regulation containing pollutant discharge limits promulgated by the EPA in accordance with §§ 307(b) and (c) of the Federal Water Pollution Control Act, which applies to a specific category of users and which appears in 40 C.F.R. Chapter I, Subchapter N, Parts 405-471 (2018) incorporated herein by reference, not including amendments.

R."Chemical oxygen demand" or "COD" means a measure of the amount of oxygen required to oxidize organic and oxidizable inorganic compounds in water.

S."Clean Water Act" means the Federal Water Pollution Control Act, also known as the Clean Water Act, as amended, 33 U.S.C. § 1251 et seq.

T."Color" means the optical density at the visual wavelength of maximum absorption, relative to distilled water, one hundred percent (100%) transmittance is equivalent to zero (0.0) optical density.

U."Combined sewer" means a sewer intended to receive and convey both wastewater and surface runoff from storms.

V."Commission" means the Narragansett Bay Commission in its capacity as a public corporation or acting though its authorized employees and agents. (See "Board of Commissioners" definition, § 1.2(J) of this Part.)

W."Composite sample" means the sample collection technique resulting from the combination of individual wastewater grab samples taken at selected intervals based on either an increment of flow or period of time.

X."Concentrated discharge" means either a batch or continuous discharge with a mass load exceeding one hundred percent (100%) of the daily maximum allowable mass load, as calculated for each individual user for any parameter regulated under § 1.5 of this Part. The concentrated discharge mass load shall be calculated as follows:

VxC2

Percentage (%) = --------x 100

QxC1

Where:

V=Total volume of the concentrated discharge(s) in gallons.

C2=Concentration of the concentrated discharge in mg/l for any parameter regulated under § 1.5 of this Part.

Q=Average daily flow or regulated process water in gallons as determined by the NBC for the individual user.

C1=Daily maximum allowable concentration in mg/l for any parameter regulated under § 1.5 of this Part.

Y."Contact cooling water" means any water used for cooling purposes which comes into direct contact with the object being cooled such as any raw material, intermediate product, waste product or finished product.

Z."Dilution" means the addition of water or wastewater to another wastewater stream in order to change the concentration of certain pollutants or pollution causing agents.

AA."Discharge" means the introduction of water, wastewater, and/or pollutants into the NBC's facilities from any source.

BB."District" or "Narragansett Bay Commission District" is defined per R.I. Gen. Laws Chapter 46-25.

CC."Direct connection" means the connection of a building sewer directly to a sewer owned by the NBC.

DD.“Drainlayer” or licensed plumber shall mean either an individual, partnership, or corporation to whom a license has been issued to install and repair sewers, sewer connections, house connections, during the period when such license is valid, and the proper agents and representatives of such drainlayer. A drainlayer may be a state-licensed underground utility contractor or master plumber.

EE."Easement" means the acquired legal right to use land owned by others for a specific purpose.

FF.“Emerging pollutants of concern” means any pollutant or class of pollutants with potential deleterious impacts to the environment and/or public health and which is increasingly being detected in the environment. Long-term impacts of such pollutants may be poorly understood, and regulatory controls on their release may be lacking or under development.

GG."Environmental Protection Agency" or "EPA" means the U.S. Environmental Protection Agency or, where appropriate, the term may also be used as a designation for the Regional Water Management Division Director or other duly authorized official of said agency.

HH."Executive director" means the Executive Director of the Narragansett Bay Commission or his or her designee.

II."Existing source" means, but is not limited to, any source of discharge, the construction or operation of which commenced prior to the publication of proposed categorical pretreatment standards under §§ 307(b) and (c) (33 U.S.C. § 1317) of the Clean Water Act, which will be applicable to such source if the standard is thereafter promulgated in accordance with § 307 of the Clean Water Act.

JJ."Facility" or "Facilities" (See "Wastewater facilities" definition).

KK.“Flow monitoring” means methods such as approved open channel flow meters with pressure and velocity sensors, instantaneous level and velocity survey during peak flow hours, or volumetric weir survey during peak flow hours.

LL."Garbage" means, but is not limited to, the wastes resulting from the handling, preparation, cooking and serving of food, and from the handling, storage, and sale of produce.

MM."Garbage disposal unit" or "Garbage grinder" means a mechanical device used for grinding, shredding, or macerating garbage to a small particle size before discharge to the sewer.

NN."Grab sample" means a sample which is collected on a one-time basis with no regard to the flow quantity or volume and without consideration of time.

OO."Grease" means volatile and non-volatile residual fats, oils, fatty acids, soaps, waxes, mineral oils, and other materials of similar composition.

PP."Grease removal device" means a device for removal of grease and/or oil from a wastewater discharge.

QQ.“Green infrastructure” refers to the range of measures that use plant or soil systems, permeable pavement or other permeable surfaces or substrates, stormwater harvest and reuse, or landscaping to store, infiltrate, or evapotranspirate stormwater and reduce flows to sewer systems or to surface waters.

RR."Indirect connection" means a building sewer connection that is not a direct connection; and whose wastewater discharge shall, notwithstanding the passage in its normal course through other sewers or conduits, ultimately discharge in whole or in part through NBC sewers.

SS."Industrial wastes" means wastewater from industrial processes, trade, or business as distinct from domestic or sanitary wastes.

TT."Infectious wastes" means wastewater contaminated by or containing any agent or organism, such as a virus or bacteria, capable of being communicated by invasion and multiplication in body tissues and capable of causing disease or adverse health impacts in humans.

UU.“Interceptor sewer” means sewer lines that receive wastewater from a trunk sewer and convey it to the treatment facility and does not refer to a grease interceptor. These are the largest diameter sewer lines.

VV."Interference" means a discharge which, alone or in conjunction with a discharge or discharges from other sources, both: inhibits or disrupts the NBC's facilities, treatment processes or operations, or sludge processes, use, or disposal; and therefore is a cause of a violation of any requirement of the NBC's RIPDES permit (including an increase in the magnitude or duration of a violation) or of the prevention of sewage sludge use or disposal in compliance with any of the following statutory/regulatory provisions or permits issued thereunder (or more stringent State or local Regulations): § 405 of the Clean Water Act; the Solid Waste Disposal Act (SWDA) (42 U.S.C. Chapter 82), including Title II commonly referred to as the Resource Conservation and Recovery Act (RCRA); State Regulations contained in any State sludge management plan prepared pursuant to Subtitle D of SWDA; the Clean Air Act; the Toxic Substances Control Act (15 U.S.C. Chapter 53); and the Marine Protection, Research and Sanctuaries Act (33 U.S.C. § 1401 et seq.).

WW."Isolation waste" means biological waste and discarded materials contaminated with blood, excretion, exudates, or secretions from humans who are isolated to protect others from certain highly communicable diseases, or isolated animals known to be infected with highly communicable diseases and specified by the Center for Disease Controls (CDC) as classification 4.

XX.“Low impact development” or “LID” refers to methods of land development that strive to mimic natural processes for managing stormwater on the site while still achieving water protection goals. LID strategies work to improve onsite water management through the use of features that support infiltration and the natural irrigation of the landscape.

YY."May" means permissive.

ZZ."Medical waste" means any solid waste that is generated in the diagnosis, treatment (e.g., provision of medical services), or immunization of human beings or animals, in research pertaining thereto, or in the production or testing of biologicals.

AAA."Municipality" means any city, town, State authority, or sewer district that discharges wastewater into facilities owned by the NBC.

BBB.“Municipal sewer system” means the system of public sewers, consisting of pipes, catch basins, storm drains, and pump stations owned, operated, and maintained by the cities and towns and not part of the NBC Facilities.

CCC."National pretreatment standard" means any Regulation containing pollutant discharge limits promulgated by EPA in accordance with §§ 307(b) and (c) of the Clean Water Act, which applies to a specific category of Industrial Users.

DDD.“NBC sewer line” means any sewer owned and maintained by the Narragansett Bay Commission. This excludes all sewers owned and maintained by towns, municipalities, or private entities.

EEE."New source" means any source of a discharge, the construction or operations of which commenced after the publication of proposed Categorical Pretreatment Standards under § 307(c) of the Clean Water Act, that will be applicable to such source if the standards are thereafter promulgated in accordance with § 307(c),

1.Provided that:

a.No other source is located at that site; or

b.The source completely replaces the process or production equipment that causes the discharge of pollutants of an existing source at that site; or

c.The new wastewater generating process of the source is substantially independent of an existing source at that site; and the construction of the source creates a new facility rather than modifying an existing source at that site.

2.For purposes of this definition, construction or operation has commenced if the owner or operator has:

a.Begun, or caused to begin, as part of a continuous on-site construction program:

(1)Any placement, assembly, or installation of facilities or equipment; or

(2)Significant site preparation work including clearing, excavation, or removal of existing structures or facilities that is necessary for the placement, assembly, or installation of new source facilities or equipment; or

b.Entered into a binding contractual obligation for the purchase of facilities or equipment that are intended to be used in its operation within a reasonable time. Options to purchase or contracts that can be terminated or modified without substantial loss, and contracts for feasibility, engineering, and design studies do not constitute a contractual obligation under this definition.

FFF."Noncontact cooling water" means water used for cooling which does not come into direct contact with any raw material, intermediate product, waste product or finished product.

GGG."Non-significant categorical user" refers to an industrial user subjected to EPA categorical pretreatment standards discharging no more than one hundred (100) gallons of categorical wastewater daily to the NBC sewer system. This classification of user shall not discharge untreated concentrated wastes and must consistently comply with Pretreatment Standards and Requirements. This definition was established by the EPA through the Pretreatment Streamlining Regulations to ease the regulatory burden on sewer agencies. The NBC may reclassify an industrial user as a non-significant categorical user strictly at the sole discretion of the NBC.

HHH."Outfall" means the mouth of a sewer, drain, or conduit where an effluent is discharged into the receiving waters.

III."Owner" or "Operator" means any person who owns, leases, operates, controls, or supervises a source.

JJJ."Pass through" means a discharge that exits the NBC's facilities into waters of the United States in quantities or concentrations that, alone or in conjunction with a discharge or discharges from other sources, causes a violation of any requirement of the NBC's RIPDES permit (including an increase in the magnitude or duration of a violation).

KKK."Person" means any individual, partnership, firm, company, corporation, association, joint stock company, trust, estate, municipality, any local, State or Federal agency, or any other legal entity, or their legal representatives, agents, or assigns.

LLL.“PFAS” or “per- and polyfluoroalkyl substance” means any of a man-made class of compounds that have multiple fluorine atoms attached to an alkyl chain (e.g., PFOA, PFOS, GenX); PFAS are considered emerging pollutants of concern.

MMM."pH" means the logarithm (to the base 10) of the reciprocal of the hydrogen ion concentration in moles per liter (m/l) of solution. Neutral wastewaters are numerically equal to seven (7), the number increases to show increasing basicity and decreases to show acidity.

NNN."Pollutant" means any dredged spoil, solid waste, incinerator residue, sewage, garbage, sewage sludge, munitions, medical wastes, chemical wastes, industrial wastes, biological materials, radioactive materials, heat, wrecked or discarded equipment, rock, sand, cellar dirt, and agricultural and industrial waste that affect the characteristics of wastewater (i.e., pH, temperature, TSS, turbidity, color, BOD, COD, toxicity, odor).

OOO."Pollution" means the man-made or man-induced alteration of the chemical, physical, biological, and radiological integrity of water.

PPP."Pretreatment" or "Treatment" means the reduction or elimination of pollutant properties in wastewater or their alteration to a less harmful state thereby rendering them less harmful to the facilities prior to or in lieu of discharging or introducing such pollutants into the NBC's facilities. The elimination, reduction, or alteration can be accomplished by physical, chemical, or biological processes, process changes, or by other means, except as prohibited by 40 C.F.R. § 403.6(d) (2018), incorporated herein by reference, not including later amendments.

QQQ."Pretreatment standards and requirements" means any substantive or procedural requirement related to pretreatment, including National pretreatment categorical standards and prohibitive discharge standards imposed upon a user.

RRR."Publicly owned treatment works” or "POTW" means the facility defined by § 212 of the Clean Water Act owned by the NBC, including any devices and systems used in the storage, treatment, recycling, and reclamation of municipal sewage and industrial waste. The systems include sewers, pipes, and equipment used to carry wastewater to the treatment facility.

SSS."Receiving stream" or "Waters of the state" means all streams, lakes, ponds, marshes, watercourses, waterways, wells, springs, reservoirs, aquifers, irrigation systems, drainage systems, and all other bodies or accumulations of water, surface or underground, natural or artificial, public or private, that are contained within, flow or border upon the State of Rhode Island or any portion thereof.

TTT.“Record plan” or “As-built plans” means a revised set of drawings and/or plans submitted by a contractor upon completion of a project that reflects all the changes made during the construction process. The Record Plans show the exact dimensions, geometry, and locations of all the elements included in the project as constructed.

UUU."Regulated medical waste" means a special category of solid waste that includes specific types of medical waste that includes solid, semisolid, or liquid materials, but does not include domestic sewage materials. This waste is subject to the handling and tracking requirements of Rhode Island DEM. Categories of regulated medical waste are defined as blood, blood products, body fluids, contaminated sharps, discarded cultures and stocks of infectious agents and associated biologicals, isolation wastes, pathological waste, and oncological waste.

VVV."Residential users" means persons only contributing sanitary wastewater to the municipal wastewater system.

WWW."Rhode Island Pollutant Discharge Elimination System Permit" or "RIPDES Permit" means a permit issued pursuant to § 402 of the Clean Water Act (33 U.S.C. § 1342).

XXX."Sanitary sewer" means a sewer that is designed to carry liquid and water-carried wastes from residences, commercial buildings, industrial plants, and institutions together with minor quantities of ground, storm, and surface wastes that are not discharged intentionally.

YYY."Sewage" means human excrement and gray water (e.g. household showers, dish washing operations, etc.).

ZZZ."Septage" means the liquid, solid, and gaseous contents of a septic tank, holding tank, chemical toilet, camper, and/or trailer.

AAAA."Septic tank" means an underground tank used for the disposal of domestic wastes.

BBBB.“Service connection” or “Building connection”, means the connection between the building sewer pipe and the public sewer pipe.

CCCC."Sewer" means a pipe, conduit, and/or other appurtenance, typically underground, designed to transport wastewater and/or stormwater.

DDDD."Sewer use fee" means a charge levied on users for use of the wastewater treatment and collection system.

EEEE."Shall" means mandatory.

FFFF."Significant industrial user" means any industrial user that is classified under any of the following:

1.Industrial user subject to categorical pretreatment standards;

2.Any other industrial user that:

a.Discharges an average of five thousand (5,000) gpd or more of process wastewater; or

b.Contributes a process waste stream which makes up five percent (5%) or more of the average dry weather hydraulic or organic capacity of the NBC's treatment plant; or

c.Is designated as significant by the NBC on the basis that the user has a reasonable potential for adversely affecting the POTW's operation or for violating any pretreatment standard or requirement.

GGGG."Significant noncompliance" means:

1.Chronic violations of wastewater discharge limits, defined here as those in which sixty-six percent (66%) or more of all measurements taken during a six (6) month period exceed (by any magnitude) a numerical Pretreatment Standard or Requirement for the same pollutant parameter;

2.Technical Review Criteria (TRC) violations, defined here as those in which thirty-three percent (33%) or more of all of the measurements for the same pollutant parameter taken during a six (6) month period equal or exceed the product of the numerical Pretreatment Standard or Requirement multiplied by the applicable TRC (TRC = 1.4 for BOD, TSS, fats, oil, and grease and 1.2 for all other pollutants except pH);

3.Any other violation of a pretreatment effluent limit (daily maximum or long-term average) that the NBC determines has caused, alone or in combination with other discharges, Interference or Pass Through (including endangering the health of NBC personnel or the general public);

4.Failure to meet, within ninety (90) days after the schedule date, a compliance schedule milestone contained in an NBC notification, permit or enforcement order, for starting construction, completing construction or attaining final compliance;

5.Failure to provide, within thirty (30) days after the due date, required reports such as baseline monitoring reports, ninety (90) day compliance reports, self-monitoring compliance reports, and reports on compliance with compliance schedules;

6.Any other violation or group of violations which the NBC determines has adversely affected the operation or implementation of the Industrial Pretreatment Program.

HHHH."Sludge" means the solids, residues, and precipitate separated from or created in water and wastewater by the unit processes of a publicly owned treatment works, industrial pretreatment system, or water treatment or purification processes.

IIII."Slug" means any discharge of a non-routine, episodic nature, including but not limited to, an accidental spill or a non-customary batch discharge.

JJJJ."Source" means any building, structure, facility, or installation from which there is or may be the discharge of pollutants.

KKKK."Standard methods" means methods for the examination of water and wastewater published jointly by the American Public Health Association, the American Water Works Association, and the Water Pollution Control Federation.

LLLL."Standard industrial classification code" or "SIC code" means a classification pursuant to the Standard Industrial Classification Manual issued by the U.S. Office of Management and Budget.

MMMM."Storm sewer" means a sewer that carries stormwater and other wash waters or drainage, but excludes domestic, sanitary, commercial, and industrial wastes. Also called a "storm drain."

NNNN."Stormwater" means surface water and any other source of run-off. It is normally collected in sewers separate from the sanitary sewers and receives minimal, if any, treatment prior to discharge to receiving waters.

OOOO."Subdivision" means the division or re-division of a lot, tract, or parcel of land into two (2) or more lots, tracts, and/or parcels. Any adjustment to existing lot lines of a recorded lot by any means shall be considered a subdivision. The division of property for purposes of financing constitutes a subdivision.

PPPP."Surface water pollutant" means stormwater or other wash water or drainage carrying any pollutants which affect the characteristics of wastewater.

QQQQ."Suspended solids" means:

1.Insoluble solids that either float on the surface or are suspended in water, wastewater, or other liquids;

2.Solid organic or inorganic particles (colloidal, dispersed, coagulated, flocculated) physically held in suspension by agitation or flow; or

3.The quantity of material removed from wastewater in a laboratory test, as prescribed in "Standard Methods for the Examination of Water and Wastewater" (2017) or the most current edition in publication and referred to as nonfilterable residue.

RRRR."Toxic pollutants" means any substance listed as toxic under § 307(a)(l) of the Clean Water Act, and listed under the Hazardous Substances Right-to-Know Act, R.I. Gen. Laws § 28-21-1 et seq., and as may otherwise be designated by the NBC.

SSSS."Treatment plant effluent" means any discharge from an NBC wastewater treatment plant into waters of the State.

TTTT."Turbidity" means a condition in water or wastewater caused by the presence of suspended matter, resulting in the scattering and absorption of light rays and determined by measurement of light diffraction, usually reported in arbitrary turbidity units.

UUUU."User" means any person, firm, corporation, government or other entity that discharges, causes or permits the discharge of wastewater into the NBC's facilities.

VVVV."Wastewater" means all the spent water of a community. It may include, but not be limited to, a combination of the liquid and water-carried wastes from residences, commercial buildings, industrial plants, institutions, and governmental facilities, whether treated or untreated, together with any groundwater, surface water, and stormwater that may be present which are contributing to the NBC's facilities.

WWWW."Wastewater facilities" or "Facilities" means the structures, equipment, and processes required for the collection, treatment, and disposal of wastewater and sewage sludge that are owned and operated by the NBC.

XXXX."Wastewater treatment plant" or "Treatment plant" means an arrangement of devices and structures for treating wastewater and sludge. Sometimes used as synonymous with waste treatment plant, sewage treatment plant, or wastewater treatment works.

YYYY."Zero discharge wastewater pretreatment system" means a pretreatment system with no process wastewater discharges to the sewer system.

ZZZZ.ABBREVIATIONS. The following abbreviations shall have the designated meanings:

ASTM

American Society of Testing Materials

BOD

Biochemical Oxygen Demand

COD

Chemical Oxygen Demand

C.F.R.

Code of Federal Regulations

DEM

Rhode Island Department of Environmental Management

EPA

Environmental Protection Agency

FOG

Total Oil & Grease (fats, oils and grease)

gpd

gallons per day

l

liter

LID

Low Impact Development

mg/l

milligrams per liter

m/l

moles per liter

PFAS

Per- and polyfluoroalkyl substances

POTW

Publicly Owned Treatment Works

NBC

Narragansett Bay Commission

NPDES

National Pollution Discharge Elimination System

R.I. Gen. Laws

Rhode Island General Laws, as amended

RIPDES

Rhode Island Pollution Discharge Elimination System

SIC

Standard Industrial Classification Code

TRC

Technical Review Criteria

TSS

Total Suspended Solids

TTO

Total Toxic Organics (including the list of pollutants as defined in 40 C.F.R. § 433.11(e) and including the pollutants xylene and acetone)

WEF

Water Environment Federation

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.3 Municipal Permitting, Protocols & Responsibilities

1.3.1Municipal Permit Application

A.Each municipality shall obtain a permit from the NBC for all existing and new municipal sewer connections to the NBC's Facilities. Examples of new municipal connections include sanitary or stormwater flows that previously were not discharged to the NBC Facilities resulting from new sewer pipes, redirecting of sewer pipes, and/or as a result of NBC acquiring existing treatment facilities from a city or town not previously in the District. Application for this permit shall be made on a form provided by the NBC. The permit application is to be prepared by the municipality at its own expense and submitted as required by the NBC.

B.Application Review

1.Each municipality shall furnish all necessary information and data in accordance with any guidelines established by the NBC.

2.The NBC shall evaluate the adequacy of data furnished with the permit application. If insufficient data has been furnished the NBC shall require the municipality to provide additional data within a specified time. After reviewing the data, the NBC may issue the permit and may stipulate special conditions and terms upon which the permit will be issued.

C.Amendments by the NBC

The NBC may change the conditions of a permit from time to time as circumstances, including law or Regulations enacted or promulgated by the State or Federal government or its agencies, may require. A municipality may request a hearing on proposed amendments to its permit in accordance with the provisions of § 1.10 of this Part.

D.Municipal Applications to Amend Permit

Any municipality proposing a new connection or the elimination of an existing connection to the NBC's Facilities shall apply for an amendment to its permit prior to constructing or eliminating the connection. The municipality shall furnish all necessary data in accordance with any guidelines established by the NBC. After reviewing the data, the NBC may issue or deny an amendment to the permit for the proposed connection or for the elimination of an existing connection. No new connection or elimination of an existing connection may be made without first being granted such an amendment.

1.3.2Municipality Notification and System Responsibilities

A.Municipal User Lists. Each municipality shall furnish the NBC with a list of all new users within the municipality on a monthly basis.

B.Each municipality that has authority over building permits shall require all persons proposing to connect to the facilities and who are required to obtain a permit from the NBC to do so prior to the issuance of a building permit by said municipality. Each municipality shall notify the NBC of all applications for building permits for structures subject to the provisions of § 1.4 of this Part.

C.Municipalities should not approve the shedding of stormwater into the NBC Facilities from new or existing building sites.

D.Each municipality must notify the NBC in advance of performing any activities that would impact proper flow in the NBC Facilities. This may include flushing of fire hydrants, and flushing of sewer lines to free blockages, etc. The flushing of materials causing blockages in the NBC Facilities is prohibited.

E.Each municipality must immediately notify the NBC of emergency situations that could impact the NBC Facilities, such as breaks in water main distribution lines and spills of chemicals, toxic or hazardous materials that could impact the NBC Facilities.

F.Each municipality is responsible for operating and maintaining their sewage collection transport infrastructure, including pumping stations, pipes, catch basins, etc.

G.Municipal and public water supply utilities providing potable water that ultimately discharges to the NBC Facilities must notify the NBC a minimum of sixty (60) days in advance of instituting any significant changes in chemicals used that could alter the quality of influent or effluent at an NBC wastewater treatment plant.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.4 Building Sewer Connection Permits and Requirements

1.4.1Mandatory Connections

The owner of any building or property generating sanitary or industrial wastewater situated within the District and abutting on any street, alley, or right-of-way in which a public sewer is located, is required, at his or her own expense, to construct a building sewer and connect it to the public sewer. Structures required to connect shall include, but not be limited to, industrial and commercial facilities, single family or multi-family residential properties, all subdivisions, publicly owned buildings, and non-profit institutions.

1.4.2Direct Connections

The requirements of this section shall apply to all persons that directly discharge or propose to discharge to the NBC Facilities. No person(s) shall uncover, make any direct connection with or opening into, use, disturb, tamper with, construct, enlarge, alter, move or change the use or occupancy of a building or structure or increase flow by more than twenty percent (20%) to any NBC owned sewer or appurtenance thereof without first being granted a written permit from the NBC. The NBC may require the owner at his or her own expense to perform appropriate testing, monitoring or inspections of the NBC Facilities and any non-NBC owned facility related to the proposed sewer connection.

1.4.3Indirect Connections

The requirements of this section shall apply to all persons that indirectly discharge or propose to discharge to the NBC facilities via an indirect connection through sewer lines owned by a local municipality or other entity. No person(s) shall make any connection or construct, enlarge, alter, move or change the use or occupancy of a building or structure that is indirectly connected to the NBC’s Facilities that will increase the flow by more than twenty percent (20%) to any NBC owned sewer or appurtenance thereof without first being granted a written permit from the NBC. The NBC may require the owner, at his or her own expense, to perform appropriate testing, monitoring or inspections of the NBC Facilities and any non-NBC owned facility related to the proposed sewer connection.

1.4.4Stormwater Connections

A.No person(s) shall make direct or indirect connections or shed stormwater from roof down spouts, foundation drains, areaway drains, or other sources of stormwater, which in turn are connected to any public sewer, unless the NBC determines that a combined sewer is the only reasonable means available for disposal, such connection receives NBC approval, and the NBC issues a sewer connection permit. Prior to issuance of such permit, the applicant shall be required to execute and bear the cost of developing a Stormwater Management Plan Application, if required by the NBC. The Storm Water Management Plan Application may require, but may not be limited to, the following studies and/or evaluations:

1.A site plan showing all stormwater flows from the site or drainage area and all points of discharge;

2.Investigation of mitigating measures to eliminate or reduce storm flow from the project;

3.The use of LID and design methods that utilize green infrastructure and other technologies to eliminate or reduce storm flow from the project;

4.BMP approach to stormwater management to eliminate or reduce storm flow from the project;

5.Investigation of alternative options available to direct discharges into natural waterways.

B.The NBC also shall consider the following factors when determining if a combined sewer is the only reasonable means available for disposal and whether to permit the discharge of stormwater to the sanitary sewer system: (Not in any order of priority)

1.The present condition of the areaway basin at the point of the proposed storm connection;

2.The potential impact of the proposed connection on the existing downstream connection;

3.The economic impact of the proposed connection on the NBC and the applicant; and

4.Any measures taken by the applicant to separate present and future flows, and to mitigate storm flows from the project.

1.4.5Sewer Alteration Permit

A.Any person(s) planning to initiate construction which will modify or expose structures such as, but not limited to, manholes, catch basins, and sewers owned by the NBC shall obtain a sewer alteration permit before performing any alterations to the NBC's Facilities. The sewer alteration permit application shall be obtained from the NBC and the applicant shall submit the completed application and any required information prior to the issuance of a sewer alteration permit. The sewer alteration permit application information required includes, but is not limited to, the following:

1.Contact name, company name, address and phone number.

2.Description of the project along with a sketch or map identifying the location of the project and a drawing which indicates at least two (2) points of reference (typically closest NBC-owned manholes) with distance measurements corresponding to each structure or connection to be altered.

3.Method(s) and material(s) to be used to construct the alteration.

4.Method(s) which will be utilized to prevent debris from entering NBC sewers.

5.Record Plans prepared at the completion of the alteration confirming the details of the changes made to the NBC sewers and appurtenances.

1.4.6Sewer Connection Permits Required

The owner(s) of any property subject to the provisions of §§ 1.4.2, 1.4.3, 1.4.4, or 1.4.5 of this Part must obtain a permit in accordance with those provisions. Such permit shall be effective for one (1) year from the effective date of the permit and shall be renewable at the NBC's option for one (1) additional year. Said renewal shall be requested by the owner at least two (2) weeks prior to the expiration date.

1.4.7Transfer of Permits

Permits are not automatically transferable. Permits are issued to a specific applicant for a specific use and connection. A permit shall not be reassigned, transferred, or sold to a new owner, new user, different premises, or a new or changed operation without prior written NBC approval.

1.4.8Sewer Connection Permit Application

A.Persons seeking a sewer connection permit must complete and file an application with the NBC, together with any applicable permit fee. The sewer connection permit application shall include, but not limited to, the following information:

1.Name of owner/applicant and address of premise(s) which applicant wishes to connect to the NBC's Facilities;

2.Name and signature of property owner;

3.Overall site plan and plot plan;

4.Detailed plans of the proposed sewer connection;

5.The location of each connection to the sewer line;

6.The proposed use of the property to be connected to the sewer;

7.Any other pertinent features, specifications, or information which the NBC may require to assist in its evaluation of the application.

B.The NBC may require that designs and/or drawing plans which include mechanical or plumbing components be stamped by a licensed Rhode Island Professional Engineer. All applications for building sewer connection permits must be signed by the owner of the premises and the licensed plumber or licensed drainlayer who is constructing the sewer connection. The NBC shall evaluate the data furnished by the owner and may require additional information pertinent to the application. Based on the application, the NBC may issue a building sewer connection permit, subject to the terms and conditions enumerated in the permit. The NBC may deny a request for a permit when the information supplied indicates the user will be unable to reasonably meet the NBC's standards, or if it is determined that the NBC Facilities cannot accommodate the quantity or quality of proposed sewage. Any person denied a permit may request a hearing in accordance with the provisions of § 1.10 of this Part.

1.4.9Fees

All permits referenced in § 1.4 of this Part shall be subject to applicable fees as set forth in the NBC’s Tariffs as approved by the Rhode Island Public Utilities Commission.

1.4.10Expedited Permit Process

Application for an expedited permit is permissible and shall be made in accordance with R.I. Gen. Laws Chapter 42-117.

1.4.11Permit Conditions

A.Persons seeking sewer connection and/or sewer alteration permits are subject to specific permit provisions contained in the permit as well as to provisions of this Part and all other Regulations, user charges, and fees established by the NBC. Permit conditions may include, but are not limited to, the following:

1.Compliance with Federal, State, and other governmental laws, Rules and Regulations;

2.Submittal of Record Plans within sixty (60) days after the final inspection by the NBC, indicating, at a minimum, pipe sizes, materials, slope, details of pipe trench, details of connections to the NBC Facilities, pipe to pipe details, cleanout (including cap) and specifications of all materials and other components utilized for the connection. All non-NBC utilities shall be indicated on the plan. The plan shall show, at minimum, the building to be connected, the building connection and the NBC Facility to be connected to in plan and profile view. Commercial plans shall be stamped by a Professional Engineer registered in the State of Rhode Island;

3.Use of water-conserving fixtures in the proposed structure or dwelling;

4.Implementation of LID and BMP approach to stormwater management and mitigation;

5.Obtaining necessary town or city permit and compliance with any applicable town or city requirements;

6.Provision for authorized NBC personnel and agents to enter and inspect the premises;

7.Posting of performance bonds for materials and/or labor costs associated with such permitted sewer connection;

8.Posting of the sewer connection permit on site until the construction is completed;

9.Televising the sewer line before and after the construction to ensure the structural integrity;

10.Monitoring the soil activity near and around all NBC Facilities in the area of construction; and

11.Any other reasonable conditions necessary to ensure compliance with the provisions of R.I. Gen. Laws § 46-25-1 et seq.

1.4.12Sewer Connection Plans

A.Persons seeking a sewer connection permit must submit plans in accordance with the requirements set out in § 1.4.8 of this Part. In addition, such plans must meet the following specifications:

1.All plans must show a "North" arrow and shall be oriented so the "North" arrow points upward or to the right-hand side of the plan; and

2.All plans must be identified by titles which describe the nature of the project or the work encompassed on the plan; and

3.All plans submitted for subdivision developments must bear the stamp, seal and signature of a licensed Rhode Island Professional Engineer responsible for the design.

B.Such plans and specifications shall be in conformance with applicable and appropriate standards of the ASTM and WEF or other standards the NBC may require or deem appropriate. Review by the NBC does not constitute any form of guarantee or insurance with respect to performance of the sewers or other wastewater facilities proposed. The NBC does not assume responsibility for means, methods or techniques used, or for the safety of construction work on the site, or for compliance with applicable laws and Regulations.

1.4.13Flow Monitoring/Impact Analysis

Persons seeking a sewer connection permit who anticipate the flow into the sewer from their proposed structure or dwelling to exceed two thousand (2,000) gallons per day may be required by the NBC to demonstrate through flow monitoring that the NBC sewer line, into which the person proposes to connect, has the capacity to accept the proposed additional flow.

1.4.14Discharge from Swimming Pools

The NBC shall be notified by the owner of the proposed discharge of water from a swimming pool to a public sewer. The NBC shall have the right to approve or deny the request, designate the time and rate of flow permitted, and to enter upon the premises to inspect the project prior to and during that operation. If an owner fails to provide such notification or disregards instructions, whether accidentally or intentionally, the owner will be held responsible for any damage that may be caused from such discharge subject to the enforcement powers contained in this Part, and the NBC shall not be held liable for said violation.

1.4.15Connection Costs

All costs and expenses attributable to the installation of the main sewer line as determined by the Commission using method(s) reasonably related to the Commission’s cost of construction may be borne by the owner(s); all costs and expenses attributable to the installation and connection of the building sewer shall be borne by the owner(s). The owner(s) shall indemnify and hold harmless the NBC from any loss or damage that may result from the installation of the building sewer.

1.4.16Building Sewers

A separate and independent building sewer shall be provided for every newly constructed building. All building plans that involve altering a pre-existing shared building sewer must construct a new separate and independent building sewer for each building. All building sewers shall conform to all Federal, State, and local governmental laws, Rules and Regulations.

1.4.17Existing Building Sewers

Existing building sewers or service connections may not be used for direct or indirect connections for a new building.

1.4.18Building Sewer Construction

The size, slope, alignment, materials of construction of a building sewer, and the methods to be used in excavating, placing the pipe, jointing, testing, and back filling the trench, shall all conform to the requirements of applicable governmental codes or other Rules and Regulations of the NBC. In the absence of code provisions, the materials and procedures set forth in appropriate specifications of the ASTM and WEF Manual of Practice No. 9 shall apply.

1.4.19Building Sewer Elevation

Building check valves shall be installed as per 510-RICR-00-00-3, Rhode Island Plumbing Code. At a minimum, if the elevation at which the building sewer enters the building is lower than the elevation of the crown of the public sewer at the point of connection, at least one (1) check valve shall be installed in the building sewer or building drain in an accessible location to prevent backflow. In all buildings in which any building drain is too low to permit gravity flow to the public sewer, sanitary sewage carried by such building drain shall be lifted to the public sewer by a pump and a check valve shall be installed in an accessible location to prevent backflow. Whenever a check valve is installed in accordance with the provisions of this paragraph, it shall be installed and maintained at the owner's expense.

1.4.20Temporary or Permanent Connection Abandonment

A.An owner may abandon a sewer connection on a temporary or permanent basis with formal written notice to the NBC. All abandoned sewer connections shall be properly capped. Such cap shall be securely installed to prevent the escape of wastewater, gases, and the infiltration of groundwater and/or debris. Sewer connections shall be capped and sealed in accordance with the requirements established by the NBC and local municipalities.

B.If an owner desires to disconnect the sewer connection from the publicly owned sewer, the owner shall not be permitted to remove that portion of the sewer between the publicly owned sewer and the property line unless that portion of the sewer has been determined to be non-functional by a drainlayer or licensed plumber.

C.If an owner desires to permanently abandon the sewer connection, at the owner's expense the sewer shall be capped at said property line and removed from the property line to the initial point of connection.

D.New sewers installed to replace abandoned sewers shall comply with all new sewer connection permit requirements as specified herein.

1.4.21Clean Outs

Clean outs shall be installed in accordance with 510-RICR-00-00-3, Rhode Island Plumbing Code. House connections may require the installation of clean outs at the property line to serve as the required cleanout for the house connection within the public right-of-way. Clean outs shall be made by installing a "Y" and one eighth (1/8) bends of the same diameter as the building sewer, up to a maximum of four inches (4”). For house connections larger than eight inches (8”), a manhole may be required. The clean out shall be brought to the finished ground level and be properly capped. The location of the property line clean out shall be properly documented and reported to the NBC.

1.4.22Safety Requirements

All excavations for building sewer installation shall be adequately guarded with barricades and lights so as to protect the public from hazard. Streets, sidewalks, parkways, and other public property disturbed in the course of the work shall be restored in a manner satisfactory to the NBC and the municipality.

1.4.23Interference with Traffic Flow

No contractor shall block any driveway, street, road or railroad at any time without the permission of the controlling agencies. Every effort shall be made to permit the movement of vehicular traffic at all times. Whenever it becomes necessary to cross or interfere with roads, walks, or drives, whether public or private, the contractor shall maintain, at its expense, safe bridges or other means of ingress and egress.

1.4.24Notice to the NBC

A.After a permit has been issued, the NBC shall be given advanced notice as specified in the approved permit before any construction or excavation work is begun on any direct or indirect connection. All work shall be performed by a licensed plumber or drainlayer. If the NBC has not been properly notified, it may require the completed work to be uncovered for examination, at the owner's expense. (See § 1.10 of this Part).

B.Requests for inspections scheduled after normal business hours will require an additional payment be made to the NBC within sixty (60) days of the inspection to cover the NBC’s additional expenses.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.5 Discharge Requirements, Limitations, and Prohibitions

1.5.1Authority

The NBC may limit, reject or prohibit any direct or indirect discharge of pollutants or combination of pollutants, as defined by applicable Federal or State law or as described below, into the facilities. The NBC may, in its discretion, affix labels to those tanks which contain substances which are prohibited from being discharged to the facilities or which may not be discharged to the facilities without adequate pretreatment.

1.5.2General Discharge Limitations and Prohibitions

A.In addition to those limitations and prohibitions specified in §§ 1.5.3, 1.5.4, 1.5.5, and 1.5.6 of this Part, no person shall discharge or cause or allow to be discharged directly or indirectly into the facilities any other substances, water, or wastewater that either singly or by interaction with other substances will, or is likely to:

1.Interfere with the operation of the facilities by:

a.Harming either the sewerage system or wastewater treatment process;

b.Being otherwise incompatible with the treatment process; or

c.Contaminating the sludge or contributing to sludge disposal problems; or

2.Violate applicable Federal or State law, including Federal or State hazardous waste regulations, or the terms of the NBC's Federal and State permits, including but not limited to, the NBC's RIPDES Permits; or

3.Endanger the environment by adversely affecting receiving waters or otherwise; or

4.Endanger the health or welfare of persons.

1.5.3Specific Discharge Limitations

A.No person shall discharge or cause or allow to be discharged either directly or indirectly into the facilities any substance, water, or wastewater which has:

1.Heat in amounts which will inhibit biological activity in the NBC's Facilities resulting in Interference, but in no case heat in such quantities that the temperature at the NBC's Wastewater Treatment Plants exceeds forty degrees Centigrade (40° C) (one hundred four degrees Fahrenheit (104° F)).

2.Pollutants that result in the presence of toxic gases, vapors, or fumes within the NBC's facilities in a quantity that may cause acute worker health and safety problems.

3.Any water, waste, or chemical which by itself or by interaction with other materials, emits chemical contaminants into the atmosphere of any confined area of the wastewater system at levels in excess of short term exposure limit Threshold Limit Value (TLV-STEL) established for air borne contaminants by the American Conference of Governmental Industrial Hygienists (ACGIH) or the National Institute for Occupational Safety and Health.

4.Unusual concentrations of dissolved solids such as, but not limited to, sodium sulfate.

5.A discharge effluent with a pH outside of the approved pH range or having any other corrosive properties capable of causing damage or hazard to facility equipment or structures or which may be injurious to NBC personnel. The pH range for Field's Point is 5.0 standard units (s.u.) to 11.0 s.u. The pH range for Bucklin Point is 5.0 s.u to 11.0 s.u.

6.Any radioactive wastes or isotopes of such half-life or concentration as may exceed limits established by State or Federal laws or Regulations.

7.Color or turbidity in such an amount that it will impact or discolor the influent wastewater of the treatment facilities or prevent the NBC from discharging a treated effluent in compliance with any State or Federal Rules, Regulations or permit requirements.

8.Petroleum oil, non-biodegradable cutting oils, waste oils, or products of mineral oil origin that would result in a Total Petroleum Hydrocarbon concentration greater than twenty-five (25) mg/l.

9.Fats, wax, grease, or oils of vegetable or animal origin with concentrations in excess of one hundred (100) mg/l or containing other substances which may solidify or become viscous at temperatures between zero degrees Centigrade (0° C) (thirty-two degrees Fahrenheit (32° F)) and forty degrees Centigrade (40° C) (one hundred four degrees Fahrenheit (104° F)). Waters or wastes containing such substances, excluding normal household waste, shall exclude all visible floating oils, fats and greases. The use of chemical or physical means (such as temperature variation, emulsifying agents, mechanical mixers) to bypass or release fats, oils and greases into the wastewater facilities is prohibited.

10.Total Oil and Grease (Fats, Oils and Grease) (FOG) of mineral, animal, vegetable and other origins is not to exceed one hundred twenty-five (125) mg/l.

11.Any garbage that has not been properly shredded to at least particles less than one half inch (1/2") in any dimension. Garbage grinders may be connected to public sewers from homes and residential units. Hotels, institutions, restaurants, hospitals, catering establishments or similar places where garbage originates from the preparation of food in commercial facility kitchens may be permitted, providing that all requirements of § 1.8.8(A)(7) of this Part are satisfied. The installation and operation of any garbage grinder equipped with a motor of three quarters (3/4) horsepower (0.76 hp metric) or greater shall be subject to the review and approval of the NBC.

12.Chlorine demand in such quantities as to constitute a significant load on the wastewater facilities or which may cause the effluent from the NBC's Wastewater Treatment Facilities to violate any State or Federal Rules, Regulations or permit requirements, including, but not limited to, National Pollutant Discharge Elimination System (NPDES) and Rhode Island Pollutant Discharge Elimination System (RIPDES) permits.

1.5.4Specific Facility Limitations

A.No person shall discharge or cause or allow to be discharged either directly or indirectly into the facilities, any substance, water, or wastewater which has concentrations of the substances listed below in excess of the assigned discharge limitations. There will be no waivers or exceptions granted with respect to compliance with any of the limits listed below.

1.Field's Point Discharge Limitations:

Parameter

Maximum Daily Limit (mg/L)

Ammonia

50+*

Arsenic (Landfills)

0.40

Arsenic (All other users)

0.02

Biochemical Oxygen Demand (BOD)

300* ++

Cadmium

0.11

Chromium

2.77

Copper

1.20

Cyanide (Metal Finishing and Non-Ferrous Metal Forming Facilities)

0.58

Cyanide (All other users)

0.40

Lead

0.60

Mercury

0.005

Nickel

1.62

Nitrogen

115+*

Total Oil & Grease (O&G)

125

Silver

0.43

Total Suspended Solids (TSS)

300* ++

Total Toxic Organics (TTO) including xylene and acetone

2.13

Zinc

2.61

pH Range at all times

5.0– 11.0 standard units

• Seasonal Limit applicable from May 1st to October 31st

• Applies to all users not subject to mass-based limits

++ Concentrations exceeding these limits may be subject to a surcharge as determined by rates set and approved by the Rhode Island Public Utilities Commission.

2.Field’s Point Mass-based Limits:

Category

BOD (lbs./1,000 gal.)

TSS (lbs./1,000 gal.)

Total Nitrogen (lbs./1,000 gal.)

Ammonia (lbs./1,000 gal.)

Pharmaceutical Operations

5

5

Textile Operations

20

20

Industrial Laundries

10

10

Facilities Discharging Toxic and/or Prohibited Pollutants with High Conventional Pollutant Loads

10

10

Non-Textile Operations Using Pigments & Dyes

20

20

Wholesale Food Processing Operations with High Conventional Pollutant Loads

75

75

10

2

Manufacturers with High Conventional Pollutant Loads with Low Flow

10

10

Brewing & Distilling Operations

10

10

3.Bucklin Point Discharge Limitations:

Parameter

Maximum Daily Limit (mg/L)

Ammonia

50+*

Arsenic

0.03

Biochemical Oxygen Demand (BOD)

300* ++

Cadmium

0.11

Chromium

2.77

Copper

1.20

Cyanide (Metal Finishing and Non-Ferrous Precious Metal Forming Facilities)

0.50

Cyanide (All other users)

0.40

Lead

0.69

Mercury

0.06

Nickel (Metal Finishing and Non-Ferrous Precious Metal Forming Facilities)

1.62

Nickel (All other users)

0.50

Nitrogen

115+*

Total Oil & Grease (O&G)

125

Silver

0.40

Total Suspended Solids (TSS)

300* ++

Total Toxic Organics (TTO) including xylene and acetone

2.13

Zinc

1.67

pH Range at all times

5.0 – 11.0 standard units

• Seasonal Limit applicable from May 1st to October 31st

• Applies to all users not subject to mass-based limits

++ Concentrations exceeding these limits may be subject to a surcharge as determined by rates set and approved by the Rhode Island Public Utilities Commission.

4.Bucklin Point Mass-based Limits:

Category

BOD (lbs./1,000 gal.)

TSS (lbs./1,000 gal.)

Total Nitrogen (lbs./1,000 gal.)

Ammonia (lbs./1,000 gal.)

Pharmaceutical Operations

5

5

Textile Operations

20

20

Industrial Laundries

10

10

Facilities Discharging Toxic and/or Prohibited Pollutants with High Conventional Pollutant Loads

10

10

Non-Textile Operations Using Pigments & Dyes

20

20

Aerogel Manufacturing with High Conventional Pollutant Load

570

10

300 lbs./day

300 lbs./day

Wholesale Food Processing Operations with High Conventional Pollutant Loads

75

75

10

2

Manufacturers with High Conventional Pollutant Loads with Low Flow

10

10

Brewing & Distilling Operations

10

10

1.5.5General Discharge Prohibitions

No person shall discharge or cause or allow to be discharged either directly or indirectly into the NBC's Facilities, any substance, water, or wastewater which may cause Pass Through or Interference.

1.5.6Specific Discharge Prohibitions

A.Certain substances are specifically prohibited from being discharged into the NBC's Facilities. These prohibited substances include, but are not limited to, the following:

1.Groundwater, stormwater, and surface waters, roof runoff, tidewater, subsurface drainage, non-contact cooling water, and uncontaminated industrial process waters, unless approved by the NBC (See § 1.4 of this Part)

2.Slugs as defined in § 1.2 of this Part

3.Sludge or deposited solids of any type, including but not limited to, those generated from an industrial or commercial pretreatment, water treatment, or wastewater treatment process (e.g., hydroxide or degreaser sludge)

4.Concentrated discharges as defined in § 1.2 of this Part

5.Batch discharges as defined in § 1.2 of this Part unless prior written approval is granted from the NBC

6.Any material identified as hazardous waste according to 40 C.F.R. Part 261 (2018), incorporated herein by reference, not including later amendments, except as may be specifically authorized by the NBC

7.Any wastewater having a lethal concentration of fifty percent (LC50) as determined by a toxicity test of ninety-six (96) hours or less using one hundred percent (100%) of the industrial user's discharge and aquatic test species chosen by the NBC

8.Gasoline, benzene, naphtha, fuel oil, or other flammable or explosive liquids, solids, or gases

9.Any substances which by reason of their nature or quantity may create a fire or explosion hazard in the NBC's Facilities or be injurious to NBC personnel or to the operation of the NBC's Facilities including, but not limited to, waste streams with a closed cup flash point of less than sixty degrees Centigrade (60° C) (one hundred forty degrees Fahrenheit (140° F)) using the test methods specified in 40 C.F.R. § 261.21 (2018)

10.Any solid or viscous pollutants in amounts which may cause obstruction to the flow in a sewer or may result in interference with the operation of the collection system or waste treatment facilities such as, but not limited to: grease, garbage with particles greater than one half inch (1/2") in any dimension, wipes (even those labelled as “flushable”) or any material which can be disposed of as trash, ashes, bones, cinders, sand, mud, straw, shavings, metal, glass, rags, feathers, tar, plastics, wood, underground garbage, whole blood, hair and fleshings, entrails, paper or Styrofoam dishes, cups, milk containers, lime slurries, and grease from deep-frying operations

11.Any trucked or hauled pollutants except at discharge points designated by the NBC

12.Black boils, pickling solutions, acid etches, acid activators, and brite dip acids

13.Solvents in concentrations exceeding the NBC discharge limitation specified in § 1.5.4 of this Part. Solvents include but are not limited to trichloroethane, trichloroethylene, xylene, Freon, paint thinners, and strippers.

14.Cyanide, acid, or solvent-based stripping solutions

15.Concentrated plating baths or solutions

16.Waste oils

17.Isolation Wastes or Regulated Medical Waste (See definitions under § 1.2 of this Part)

18.Any substance which may cause a public nuisance, cause hazard to life or prevent entry into the sewers for maintenance or repair

19.Concentrated dyes and pigments that have not been thoroughly exhausted through the coloring process and colored wastewater in concentrations that would cause discoloration of the influent to the NBC Wastewater Treatment Facilities

1.5.7Federal Categorical Pretreatment Standards

Users subject to categorical pretreatment standards are required to comply with applicable standards as set out in 40 C.F.R. Chapter I, Subchapter N (2018) incorporated herein by reference, not including later amendments.

1.5.8Dilution Prohibition

No user shall, by increasing the use of wastewater or water, in any way, attempt to dilute a discharge as a partial or complete substitute for adequate treatment to achieve compliance with the limitations contained in the Federal Categorical Pretreatment Standards, 40 C.F.R. Chapter I, Subchapter N (2018), or in any other pollutant specific limitation developed by the NBC. The NBC shall, in its sole discretion, use EPA formulas or any other reasonable method for determining discharge levels where dilution is reasonably suspected.

1.5.9Remedies

A.If any wastewater is discharged or is proposed to be discharged to the wastewater facilities in violation of the limitations or prohibitions described in § 1.5 of this Part, the NBC may in its sole discretion:

1.Reject the wastes;

2.Require a discharger to demonstrate and implement those in-plant modifications which will reduce or eliminate the discharge of such substances to conform with this Part;

3.Require pretreatment, including storage facilities or flow equalization necessary to reduce or eliminate the objectionable characteristics or substances, so that the discharge will not violate this Part;

4.Require controls to be installed which will regulate the quantities and rates of discharge;

5.Require surcharge payments to be made to the NBC to cover its added cost of handling, monitoring, and treating the wastes which exceed threshold values in accordance with rates set and approved by the Rhode Island Public Utilities Commission;

6.Revoke a discharger's permit; and

7.Take any other administrative sanctions, enforcement actions, and remedial actions as may be desirable, necessary, or permitted to achieve the purpose of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.6 Interference with NBC Property

No person shall maliciously, willfully, or negligently break, damage, destroy, uncover, deface, or tamper with any NBC owned structure, appurtenance or equipment. No person shall dump garbage, fill, refuse, or other materials on land easements, rights-of-way, or other structures, including manholes, which are part of the wastewater facilities. Persons initiating construction activities that may alter NBC structures must be permitted pursuant to the requirements outlined in § 1.4 of this Part. Persons causing such interference shall be billed by the NBC for any actual damages, the cost of correcting the interference and may be subject to civil and/or criminal penalties pursuant to R.I. Gen. Laws § 46-25-25.2, and § 1.10 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.7 Inspection Powers

1.7.1General Powers

A.Inspections shall be conducted at the discretion of the NBC. Duly authorized employees and agents of the NBC, upon presenting identification and appropriate credentials, are authorized:

1.To enter without delay and at reasonable times those premises (public or private) of any person or class of user either receiving services from the NBC or applying for services from the NBC in which a discharge source or treatment system is located or which records required to be maintained pursuant to R.I. Gen. Laws § 46-25-25 are kept;

2.During regular working hours and at other reasonable times, and within reasonable limits and in a reasonable manner, to have access to and to copy any records, inspect any monitoring equipment or method required pursuant to R.I. Gen. Laws § 46-25-25 and sample and/or analyze any effluents which the owner or operator of such discharge source is required to sample and/or analyze under R.I. Gen. Laws § 46-25-25 and any Rules and Regulations adopted pursuant thereto; and

3.During such on-site inspections, to carry out all inspections, surveillance, and monitoring procedures necessary to determine, independent of information supplied by any person discharging into the facilities, compliance or noncompliance with NBC pretreatment requirements.

1.7.2User Documentation

A.The NBC may, by Regulation, order, permit, or otherwise, require any person who discharges into the facilities to:

1.Establish and maintain records;

2.Make reports;

3.Install, calibrate, use and maintain monitoring equipment or methods (including where appropriate, biological monitoring methods);

4.Sample and/or analyze discharges and effluents (in accordance with the method, at the locations, at the intervals, and in the manner as the NBC shall prescribe); and/or

5.Provide other information relating to discharges into the facilities of the project as the NBC may reasonably require to ensure compliance with prescribed pretreatment. Such information shall include, but not be limited to, those records, reports and procedures required by applicable State and Federal law.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.8 Wastewater Discharge Permit System

1.8.1Wastewater Discharge Permits Required

A.Existing Sources: All industrial and commercial users connected to the NBC's Wastewater Facilities must obtain a wastewater discharge permit. All industrial and commercial users proposing to connect to or discharge into any part of the NBC's Wastewater Facilities must obtain a wastewater discharge permit before connecting to or discharging to the facilities.

B.New Sources: New industrial and commercial sources must obtain a wastewater discharge permit before connecting to or discharging to the facilities. The industrial and commercial user must be in compliance with effluent limitations upon start-up of operations. Any required pretreatment must be installed and operational in accordance with plans and approved by the NBC. The pretreatment system shall be inspected and approved by NBC personnel before a wastewater discharge permit will be issued.

1.8.2Compliance Required

No permit holder shall discharge industrial wastewater in excess of the quantity, rate of discharge, concentrations, or any other limits specified in the permit. Any person desiring to modify his or her permit must first apply for an amended permit.

1.8.3Expedited Permit Process

Application for an expedited permit is permissible and shall be made in accordance with the Expedited Permit Process, R.I. Gen. Laws § 42-117-1 et seq.

1.8.4Wastewater Discharge Permit Application

A.Industrial users seeking a wastewater discharge permit must have completed and filed with the NBC an application on the prescribed form, together with any applicable fee. In support of this application, the user shall submit the following information:

1.Name, business address, name of owner or business, name of building owner, location of the facility (if different from business address) and Standard Industrial Classification (SIC) number of the applicant;

2.Total water consumption from all sources and supporting documentation when appropriate;

3.Type, frequency, volume of discharge, and amount of raw materials processed (average and maximum per day);

4.Average daily and thirty (30) minute peak wastewater flow rates, including daily, monthly, and seasonal variations, if any;

5.Site plan, floor plans, mechanical and plumbing plans, pretreatment plans and details to show all building connections and appurtenance by size, location, and elevation;

6.Description of activities, pretreatment facilities, and plant processes conducted on the premises including all materials and types of material that could be discharged;

7.Type(s) of product(s) produced;

8.Number of employees, number of shifts, and hours of work;

9.The name and concentration of any pollutants in the discharge, for a minimum of four (4) consecutive operating days, as required under § 1.9 of this Part, that are regulated by the NBC, the State, or the Federal government; and a written statement as to whether or not applicable pretreatment standards are being met, and if not, whether additional in-plant modification and additional pretreatment is required for the user to meet such applicable pretreatment standards;

10.If additional pretreatment or in-plant modification will be required to meet the pretreatment standards, the user will provide a schedule by which to achieve the standards in the shortest possible time. This schedule will be reported as the Pretreatment Compliance Schedule. The following conditions shall apply to this schedule:

a.The schedule shall contain increments of progress in the form of dates for the commencement and completion of major events leading to the construction and operation of additional pretreatment required for the user to meet the applicable pretreatment standards (e.g. hiring an engineer, completing preliminary plans, executing contracts for major components, commencing construction, completing construction). No increment shall exceed nine (9) months.

b.Not later than fourteen (14) days following each completion date in the schedule, the user shall submit a progress report to the NBC including at minimum, whether or not, the user complied with the increments of progress. If such increment of progress was not completed on time, the user shall also report the date on which the user expects to complete the increment of progress, the reason for the delay, and the steps being taken by the user to return to the schedule established. In no event shall completion dates be more than nine (9) months apart;

11.Signatory requirements; and

12.Any other pertinent information as may be needed to evaluate the permit application.

B.The NBC shall evaluate the data furnished by the user and may require additional information. Based on the application, the Executive Director may issue a wastewater discharge permit subject to the terms and conditions enumerated in the permit. A fact sheet explaining the basis of the permit shall be on file at the Pretreatment Office for inspection upon request.

C.The Executive Director may deny a request for a permit when the information supplied indicates the user will be unable to comply with the NBC's standards. Any person denied a permit may request a hearing in accordance with the provisions of § 1.10 of this Part.

1.8.5Permit Conditions

A.Wastewater discharge permits shall be expressly subject to specific permit provisions contained therein as well as to provisions of this Part and all other regulations, user charges, and fees established by the NBC. Wastewater discharge permits may include such conditions as are reasonably deemed necessary by the NBC to prevent Pass Through or Interference, protect the quality of the water body receiving the treatment plant's effluent, protect worker health and safety, facilitate sludge management and disposal, protect ambient air quality, and protect against damage to the NBC's facilities. Such conditions may include, but are not limited to, the following:

1.The average and maximum wastewater constituents and characteristics permitted in the process water discharges;

2.Limits on rate and time of discharge or requirements for flow regulation and equalization;

3.Requirements for installation of inspection and sampling facilities and specifications for self-monitoring;

4.Requirements for the submission of periodic self-monitoring compliance reports, which shall include, but not be limited to, volume or rates of flow, concentrations of controlled pollutants, or other information that relates to the generation of waste;

5.Requirements for maintaining and submitting technical reports and plant records relating to wastewater discharges;

6.Daily average and daily maximum discharge rates, or other appropriate conditions when pollutants subject to limitations and prohibitions are proposed or present in the user's wastewater discharge permit;

7.Compliance schedules;

8.Requirements for installation of pretreatment systems, spill and slug-prevention control plans and solvent-management plans;

9.Provisions for authorized NBC employees and agents to enter and inspect the premises, including provisions for copying records, inspecting monitoring equipment and sampling effluent;

10.Compliance with Federal, State, and other governmental laws, Rules, and Regulations;

11.Fees and costs including supplemental fees assessed because of the special nature of the user's effluent in accordance with the provisions of § 1.5 of this Part and additional costs and fees based on the costs of enforcing these Regulations or the permit, in accordance with R.I. Gen. Laws § 46-25-5(10);

12.Signatory requirements; and

13.Any other reasonable conditions necessary to ensure compliance with the provisions of R.I. Gen. Laws § 46-25-1 et seq., or any State and Federal laws, Rules, and Regulations.

1.8.6General Pretreatment Requirements

A.Users shall provide wastewater treatment as required to comply with this Part, and shall achieve compliance with all Federal, State, and NBC pretreatment standards within the time limitations specified by the Federal, State, and/or NBC pretreatment Regulations. Any equipment or systems required to pretreat wastewater to a level acceptable to the NBC shall be provided, operated, and maintained at the user's expense. The user is responsible for following all equipment instructions provided by the manufacturer. Detailed plans showing the pretreatment equipment, systems, and operating procedures shall be submitted to the NBC for review and shall be acceptable to the NBC prior to construction and operation of the facilities. The design of industrial process wastewater treatment systems must be executed in accordance with R.I. Gen. Laws Chapter 5-8. The following paragraphs set out the minimum requirements for pretreatment and water using process plans. The NBC may require additional documentation and/or detail of plans whenever it determines that such information is necessary to evaluate the pretreatment system or process operations.

B.Any review and inspection conducted by the NBC is for the sole purpose of determining compliance with the technical provisions of these Regulations. The NBC does not assume responsibility for means, methods, or techniques used, or for the safety of construction work, the site, or for compliance by users with applicable laws and Regulations other than this Part.

C.Review by the NBC does not constitute any form of guarantee or insurance with respect to the performance of the equipment and processes. The review of such plans and operating procedures will in no way relieve the user from the responsibility of modifying the equipment as necessary to produce an effluent acceptable to the NBC under the provisions of this section. Any subsequent significant changes in the pretreatment equipment or method of operation shall be reported to and be acceptable to the NBC prior to the user's initiation of the changes.

1.Pretreatment Plans: The plans for pretreatment systems and process operations must be of professional quality. The NBC may require that said plans be stamped by a Professional Engineer registered in the State of Rhode Island. The NBC may require that said plans/drawings include, but not be limited to, the following:

a.All treatment tanks, their size, material of construction, and the projected daily flow(s) to each treatment tank;

b.All pumps, piping, valves, mixers, controls, probes, etc.;

c.A description of the treatment procedure for each treatment process;

d.Type, volume, and/or quantity of ion exchange resin or media. Manufacturer's specific data for all pretreatment process components (i.e. resins, membranes, etc.) for all pretreatment components utilized.

e.A process schematic of the pretreatment system;

f.A plant layout showing the pretreatment system, water using process tanks, and location of each tank in the facility;

g.All sumps, pumps, or effluent transfer stations;

h.The wastewater sampling location;

i.Side view or elevation drawings of all interconnected pretreatment tanks showing inlet and outlet connections; and

j.An original stamp and signature of a registered and licensed Rhode Island Professional Engineer.

2.Water Using Process Plans: The NBC may require that water using process plans/drawings include, but not be limited to, the following:

a.All tanks, their contents, and volume;

b.Identification and quantification of the wastewater discharge from each process tank or process operation, including:

(1)Continuous discharges – flowrate (gpm or gpd);

(2)Batch discharges – volume and frequency;

c.Where the tank discharges (if the discharge is to pretreatment, the specific pretreatment tank must be indicated);

d.All floor drains, trenches, and sumps, including their point of discharge and discharge destination;

e.The location of all sewer connections;

f.Original stamp and signature of a registered and licensed Rhode Island Professional Engineer.

D.All process tanks with a batch or continuous discharge must be hard piped to the point of discharge.

1.8.7Installation of Zero Discharge Pretreatment Systems

A.Prior to installation of a Zero Discharge Pretreatment System, the user must submit a Zero Discharge Pretreatment System design plan for NBC acceptance. Said plan must be executed in accordance with R.I. Gen. Laws § 5-8-1 et seq. In order to obtain NBC acceptance, the user must demonstrate that they will provide full pretreatment of all wastewater and will cease to discharge process wastewater to the facilities by an effective date prescribed by the NBC, and the user must obtain a Zero Discharge permit from the NBC. The Zero Discharge permit may require, among other things, that:

1.The zero discharge system be installed as proposed and be fully operational;

2.All sewer drain lines in the facility to be capped off and sealed as detailed in § 1.4.20 of this Part;

3.The user notify the NBC in writing, and obtain a revised wastewater discharge permit from the NBC before resuming discharge if they wish to reconnect to the sewer; and/or

4.NBC personnel be authorized to enter such premises without delay and at reasonable times for the purpose of inspection and as otherwise authorized under R.I. Gen. Laws § 46-25-25.1.

1.8.8Grease Removal Systems

A.Grease removal systems must be installed at all connections to the NBC's Facilities from users conducting food preparation or food processing operations including, but not limited to, restaurants, nursing homes, schools, hospitals, or other connections which discharge or have the potential to discharge quantities of grease to the NBC's Facilities in excess of allowable standards. Installation of a grease removal system shall be required when the NBC determines that such discharge or accumulations of grease could result in obstruction to flow in the sewer. Grease removal systems must be installed according to the following specifications:

1.No wastewater, other than from kitchen fixtures or food processing equipment, shall discharge into the grease removal system unless first approved by the NBC in writing. Wastewater from sanitary sources such as toilets and bathroom sinks is prohibited from being discharged to the grease removal system.

2.Any user required to install a grease removal system must install either:

a.An outdoor passive in-ground grease interceptor, or

b.An automatic electrical/mechanical grease removal unit.

3.In-ground grease removal systems shall have a minimum depth of four feet (4’) and a minimum capacity of five hundred (500) gallons, and shall have sufficient capacity to provide at minimum a twenty-four (24) hour detention period for the process flow. The minimum process flow shall be based on fifteen (15) gallons per seat or chair per day or based upon actual water usage for existing facilities.

4.A suitable sampling location shall be provided for sampling of the discharges from grease removal systems. Any plans for such grease removal systems as required in this section shall be submitted for NBC review and approval prior to installation. All automatic electrical/mechanical grease removal systems must have a sampling valve installed on the discharge piping with a minimum clearance of eight inches (8”) for the installation of sampling bottles.

5.The owner(s) shall be responsible for cleaning and maintaining the grease removal system(s) and shall maintain records of the dates of cleaning and means of disposal, subject to review by the NBC. Any removal and hauling of the collected materials not performed by the owner(s) must be performed by licensed waste disposal firms.

6.All wastewater from food preparation operations and/or washing and clean-up operations, including, but not limited to, pot sinks, pre-rinse stations, work stations, soup kettles, braising pans, mop sinks and wastewater generated from exhaust fan hood cleaning operations must discharge to the grease removal device. All automatic dishwasher wastewater, excluding pre-rinse stations, must bypass the grease removal device and be discharged directly into the sewer system.

7.Garbage disposal units may only be installed in facilities with properly sized and operational in-ground passive type grease interceptors which have been properly designed for retention of settleable solids. Garbage disposal units are prohibited in all other commercial or industrial facilities. Garbage disposal waste shall not be discharged into automatic electrical/mechanical type grease removal systems.

1.8.9Best Management Practices (BMP)

A.Permitted users may be required to comply with BMPs. When applicable, these BMPs will be included in the facility’s Wastewater Discharge Permit. BMPs may include the following, but are not limited to:

1.Installation of pretreatment equipment;

2.Maintenance requirements;

3.Submittal of Certification of Compliance;

4.Record keeping requirements;

5.Training requirements.

B.Failure to comply with any BMP may result in the issuance of a Notice of Violation and may result in the user being in Significant Non-Compliance.

1.8.10Compliance Certification

Any user who discharges or proposes to discharge process wastewater into the NBC's Facilities without pretreatment shall submit a certification to the NBC stating that all discharge limitations will be met and explaining in detail how discharge limitations will be met without pretreatment. Such certification must be prepared, certified, and stamped by a registered Rhode Island Professional Engineer.

1.8.11Spill and Slug Prevention Control and Countermeasures Plan

A.Users that store hazardous substances shall not contribute to the NBC's Facilities after the effective date of this Part unless a spill prevention plan has been approved by the NBC. Approval of such plan shall not relieve the user from complying with all other laws and Regulations governing the use, storage, and transportation of hazardous substances.

1.The NBC may evaluate each significant user at least once every two (2) years, and other users as necessary, to determine whether such user needs a plan to control slug discharges. If the NBC decides that a slug control plan is needed, the plan shall contain, at a minimum, the following elements:

a.Description of discharge practices, including non-routine batch discharges;

b.Description of stored chemicals;

c.Procedures for immediately notifying the NBC of slug discharges, including any discharge that would violate a prohibition under §§ 1.5.4 or 1.5.5 of this Part, with procedures for follow-up written notification within five (5) days;

d.If necessary, procedures to prevent adverse impact from accidental spills, including inspection and maintenance of storage areas, handling and transfer of materials, loading and unloading operations, control of plant site run-off, worker training, building of containment structures or equipment, measures for containing toxic organic pollutants (including solvents), and/or measures and equipment for emergency response.

2.Each user shall provide protection from accidental discharge of prohibited materials or other substances regulated by this Part that may interfere with the NBC's Facilities by developing spill prevention plans. Equipment necessary to implement these plans shall be provided and maintained at the owner's or user's own cost and expense. Detailed plans showing equipment and operating procedures to provide this protection shall be submitted to the NBC for review, and must be approved by the NBC before construction. It is understood that any review and inspection conducted by the NBC is for the sole purpose of determining compliance with the technical provisions of these Regulations. Review by the NBC does not constitute any form of guarantee or insurance with respect to the performance of the equipment and processes.

3.All existing users shall also complete such a plan as required by a compliance schedule or permit. No new user proposing to discharge into the facilities shall be permitted to introduce pollutants into the facilities until accidental discharge procedures have been approved by the NBC. Review and approval of such plans and operating procedures shall not relieve the user from the responsibility of modifying the user's equipment as necessary to meet the requirements of this Part.

1.8.12Duration of Permits/Reissuance of Permits

Permits shall be issued for a specified time period, not to exceed five (5) years. A permit may be issued for a period of less than one (1) year or may be stated to expire on a specific date. The user shall apply for permit reissuance at least one hundred eighty (180) days prior to the expiration of the user's existing permit.

1.8.13Modification of Permits

A.A user may apply for modification of a discharge permit by filing a new application form showing substantial, significant, and/or material changes that have been proposed since filing the original application. No application for modification will be considered unless it demonstrates such changes.

B.After review of the application and inspection of the facility, the NBC may, at its discretion, modify the original permit. If such application is rejected, the existing permit shall remain in full force and effect.

C.The terms and conditions of the permit may be subject to modification and changed by the NBC during the life of the permit. The NBC may, in its sole discretion, place further restrictions, limitations and conditions in a permit to carry out the provisions of R.I. Gen. Laws § 46-25-1 et seq. The user shall be informed of any proposed changes in his or her permit at least thirty (30) days prior to the effective date of change. Any changes or new conditions in the permit shall include a hearing on modifications to his or her permit in accordance with the provisions of § 1.10 of this Part.

1.8.14Transfer of Permits

A.Wastewater discharge permits may be reassigned or transferred to a new owner and/or operator only if the permittee gives at least ninety (90) days advance notice to the NBC and the NBC approves the wastewater discharge permit transfer. The notice to the NBC must include a written certification by the new owner and/or operator, which:

1.States that the new owner and/or operator has no immediate intent to change the facility's operations and processes.

2.Identifies the specific date on which the transfer is to occur.

3.Acknowledges full responsibility for complying with the existing wastewater discharge permit.

B.Failure to provide advance notice of a transfer renders the wastewater discharge permit void on the date of facility transfer.

1.8.15Wastewater Discharge Permit Revocation

A.Wastewater discharge permits may be revoked for the following reasons:

1.Failure to notify the NBC of significant changes in the quantity and quality of wastewater discharged prior to implementing such changes

2.Misrepresentation or failure to fully disclose all relevant facts in the wastewater discharge permit application

3.Falsifying self-monitoring reports

4.Tampering with monitoring equipment

5.Refusing to allow the NBC timely access to the facility premises and records

6.Failure to meet effluent limitations

7.Failure to pay fines

8.Failure to pay user fees

9.Failure to meet compliance schedules

10.Failure to complete a wastewater survey or the wastewater discharge permit application

11.Failure to provide advance notice of the transfer of a permitted facility

12.Violation of any pretreatment standard or requirement, or any terms of the wastewater discharge permit or the ordinance

B.Wastewater discharge permits shall be voidable upon non-use, cessation of operations, or transfer of business ownership. All wastewater discharge permits are voidable upon the issuance of a new wastewater discharge permit.

1.8.16Suspension of Permit

A.The Executive Director may suspend the wastewater discharge permit of any user who ceases operations for any period exceeding one (1) month. The suspension will not act as a revocation of the permit, but rather as a temporary suspension of the user's rights under the permit while operations have ceased. During such suspension, the user's connection to the facilities shall be plugged. The user shall still be required to pay the permit fee, since the permit itself will not be revoked. During such suspension, the user shall be disconnected from the facility. The NBC shall have the authority to make periodic inspections during this time to determine whether the user is continuing to discharge regulated wastewater. Such discharge may be considered grounds for revocation of the wastewater discharge permit.

B.The user shall give NBC personnel written notice five (5) working days prior to reactivating operations. The user shall not reactivate operations until after receiving written approval from the NBC following an NBC inspection.

1.8.17Reinstatement of Permit

Before any further discharge of industrial wastewater may be made by a user whose permit has been revoked, the user must apply for, and be granted, a reinstatement of the terminated permit, or a new permit, as the Executive Director may require, and pay any delinquent fees and all fines, charges, and other costs occasioned by the violation. Costs shall include, but not be limited to: inspection, monitoring, sampling, and related expenses; restitution to other affected parties; reasonable attorney's fees incurred by the NBC in enforcing the permit; disconnecting and reconnecting the user to the facility; and other actual damages incurred due to the violation. Any such fines, fees, charges and costs shall be paid for by the user before any new permit will be issued. When costs cannot be readily determined the NBC may require and accept a bond or irrevocable letter of credit that it considers sufficient and will be subject to appropriate adjustment after all costs have been determined.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.9 Wastewater Monitoring and Reporting

1.9.1Records and Monitoring

A.All users who discharge or propose to discharge wastewater directly or indirectly to the facilities shall maintain records that substantiate any information supplied in permit applications. Such records shall include, but not be limited to, pH tapes, chemical usage data, log sheets, hazardous waste manifests, water meter readings, effluent monitoring reports, self-monitoring compliance reports and any other informational requirements of this Part or required by a user's wastewater discharge permit or any applicable State and Federal laws and Regulations. These records are to be kept for a period of three (3) years unless there is a pending dispute or pending litigation involving the subject of these records, in which case these records are to be kept for a period of three (3) years following resolution of such dispute or litigation.

B.Access to Information/Confidential Information

1.All such records described in § 1.9.1(A) of this Part shall be available, in accordance with R.I. Gen. Laws § 46-25-25.1 upon request, to the NBC.

2.Information and data (other than effluent data) about a user obtained from reports, questionnaires, permit applications, permits, monitoring programs, and inspections shall be available to the public unless the user specifically requests and is able to demonstrate to the satisfaction of the NBC that the release of such information would divulge processes or methods of production entitled to protection as trade secrets of the user. Any such request must be asserted at the time of submission of the information or data. When such a confidentiality claim is asserted, the information shall be treated as confidential until a determination is made by the NBC. Effluent data shall be available to the public without restriction.

3.If the NBC determines that the information is entitled to protection as a trade secret, the portions of a report that might disclose trade secrets or secret processes shall not be made available for inspection except by the State or EPA for uses related to this Part, the permit, or the pretreatment program. Confidential portions of a report shall be available for use by the state or EPA in judicial review or enforcement proceedings involving the person furnishing the report. Effluent data will not be recognized as confidential information.

C.The NBC may require a user to install, at his or her own cost, suitable monitoring or metering equipment to facilitate the accurate observation, sampling, and measurement of the wastewater discharge. Such equipment shall be maintained in proper working order by the user and shall be kept safe and accessible at all times. The monitoring and metering equipment shall be located and maintained on the user's premises. When such a location would be impractical or cause undue hardship to the user, the NBC may allow such facility to be constructed in the public street or sidewalk area, with the approval of the public agency having jurisdiction over such street or sidewalk, and located so the discharge will not be obstructed by public utilities, landscaping, or parked vehicles.

D.When more than one (1) user discharges into a common sewer, the NBC may require installation of separate monitoring and metering equipment for each user. When there is a significant difference in wastewater constituents and characteristics produced by different operations of a single user, the NBC may require that separate monitoring and metering facilities be installed for each separate discharge.

E.Whether constructed on public or private property, the monitoring facilities shall be constructed in accordance with this Part and any applicable construction standards required by the NBC or by local, State, or Federal law.

1.9.2Inspection and Sampling

A.The NBC shall have the right to enter the facilities of any user to ascertain whether the purposes of this Part are being met and all requirements are being complied with. Users shall allow the NBC ready access to all parts of the premises for the purposes of inspection, sampling, records examination and copying, and the performance of any additional duties.

1.Where a user has security measures in force that require proper identification and clearance before entry into their premises, the user shall make necessary arrangements with its security guards so that, upon presentation of suitable identification, personnel from the NBC, State, and/or EPA will be permitted to enter, without delay, for the purposes of performing their specific responsibilities.

2.The NBC, the State, and EPA shall have the right to set up or require installation of, on the user’s property, such devices as are necessary to conduct sampling and/or metering of the user’s operations.

3.The NBC may require the user to install monitoring equipment, as necessary. The facility’s sampling and monitoring equipment shall be maintained at all times in safe and proper operating condition by the user at the user’s expense. All devices used to measure wastewater flow and quality shall be calibrated periodically to ensure their accuracy.

4.Safe and easy access must be provided for NBC personnel. Any temporary or permanent obstruction to safe and easy access in and around the facility to be inspected and/or sampled shall be promptly removed and/or repaired by the user at the written or verbal request of the NBC. The costs associated with said removal and/or repair shall be borne by the user.

5.Unreasonable delays in allowing NBC personnel access to the user’s premises shall be a violation of this Part.

1.9.3Monitoring and Analysis of Process Wastewater

A.Sampling and analysis of industrial wastewater for the purpose of compliance determinations with respect to § 1.5 of this Part shall be done through industry self-monitoring and through monitoring performed by the NBC. All analyses, including sampling results submitted in support of any application reports, evidence, or as required by any permit or order shall be performed in accordance with the techniques prescribed in 40 C.F.R. Part 136 (2018) incorporated herein by reference, not including later amendments, or, if 40 C.F.R. Part 136 (2018) does not contain sampling or analytical techniques for the pollutant in question, in accordance with procedures approved by EPA. The NBC may, at its sole discretion, require any user to monitor for any parameter which may pose a public health risk, may adversely impact NBC facilities, cause treatment plant process Interference or Pass through, and/or impact receiving water quality, including but not limited to, any new pollutants such as emerging pollutants of concern, which include, but are not limited to, PFAS compounds, pharmaceuticals, etc. The NBC may, at its discretion, require an independent laboratory to conduct the sampling and analysis at the user's own cost.

1.Self-Monitoring Requirements

a.Self-monitoring results must be accompanied by a certified laboratory analysis sheet, indicating the EPA approved test procedure for each parameter analyzed. The user must also submit a self-monitoring report with the results on a form prescribed by the NBC.

b.All Self-Monitoring Reports must be signed and certified in accordance with § 1.9.10 of this Part.

c.If any sampling performed by a user indicates any violation(s) of discharge limitations, the user shall notify the NBC within twenty-four (24) hours of becoming aware of the violation(s). The user shall repeat the analysis immediately for the parameters determined to be in violation and submit the resampling results to the NBC within thirty (30) days after becoming aware of the violation(s).

2.Sample Collection

a.Except as indicated in § 1.9.3(A)(3) of this Part below, wastewater samples collected for the purpose of determining user compliance with pretreatment standards and requirements must be obtained using flow proportional composite sample collection techniques. In the event that flow proportional sampling is not feasible, the NBC may authorize the use of time proportional sampling.

b.For automatic samplers, the intake line hose must be at least one quarter inch (1/4”) (0.6 cm) internal diameter and the velocity in the intake line must be maintained at least at two feet (2’) per second.

c.Samples for oil and grease, temperature, pH, cyanide, phenols, toxicity, sulfides, and volatile organic chemicals must be obtained using a grab sample.

3.Analysis of Wastewater Samples

Laboratory analysis and sample preservation of industrial wastewater samples for user self-monitoring and compliance monitoring by the NBC shall be performed in accordance with EPA approved methods. Where applicable, the laboratory must be certified by the State in which it is located.

1.9.4Baseline Monitoring Report

A.Within one hundred eighty (180) days after the effective date of a categorical pretreatment standard, or the final administrative decision on a category determination under 40 C.F.R. § 403.6 (2018) incorporated herein by reference, not including later amendments, whichever is later, existing significant industrial users subject to such categorical pretreatment standards, and currently discharging to or scheduled to discharge to the NBC's Facilities shall be required to submit to the NBC a report that contains the information listed below. At least ninety (90) days prior to commencement of their discharge, new sources, including sources that become users subsequent to the promulgation of an applicable categorical standard, including existing users who have changed their operation or processes so as to become new sources, shall be required to submit to the NBC a report that contains the information listed below. A new source shall also be required to report the method of pretreatment it intends to use to meet applicable pretreatment standards, estimates of its anticipated flow, and estimates of the quantity of pollutants to be discharged.

1.The information required by this section includes:

a.Identifying Information: The name and address of the facility including the name of the operator and owner(s);

b.Wastewater Discharge Permits: A list of any environmental control wastewater discharge permits held by or for the facility;

c.Description of Operations: A brief description of the nature, average rate of production, and standard industrial classifications of the operation(s) carried out by such user. This description should include a schematic process diagram that indicates points of discharge to the NBC's sewer system from the regulated processes;

d.Flow Measurement: Information showing the measured average daily and maximum daily flow, in gallons per day, to the NBC's sewer system from regulated process streams and other streams as necessary to allow use of the combined waste stream formula set out in 40 C.F.R. § 403.6(e) (2018);

e.Measurements of Pollutants

(1)Identify the categorical pretreatment standards applicable to each regulated process;

(2)Submit the results of sampling and analysis identifying the nature and concentration (and/or mass, where required by the standard or NBC) of regulated process. Instantaneous daily maximum and long-term average concentrations (or mass, where required) shall be reported. The sample shall be representative of daily operations and shall be performed in accordance with procedures set out in 40 C.F.R. Part 136 (2018).

f.Certification: A statement reviewed by an authorized representative of the user and certified by a qualified professional, indicating whether pretreatment standards are being met on a consistent basis, and if not, whether additional operation and maintenance and/or additional pretreatment is required in order to meet the pretreatment standards and requirements;

g.Compliance Schedule: If additional pretreatment and/or operations and maintenance will be required to meet the pretreatment standards; the shortest schedule by which the user will provide such additional pretreatment and/or operations and maintenance shall be applied. The completion date in this schedule shall not be later than the compliance date established for the applicable pretreatment standard; and

h.Signatory Certification: All baseline monitoring reports must be signed and certified in accordance with § 1.9.10 of this Part below.

1.9.5Compliance Schedule Progress Report

The following conditions shall apply to the schedule required by § 1.9.4(A)(1)(g) of this Part. The schedule shall contain progress increments in the form of dates for the commencement and completion of major events leading to the construction and operation of additional pretreatment required for the user to meet the applicable pretreatment standards (such events include hiring an engineer, completing preliminary and final plans, executing contracts for major components, commencing and completing construction, beginning and conducting routine operation). No increment referred to above shall exceed nine (9) months. The user shall submit a progress report to the NBC no later than fourteen (14) days following each date in the schedule and the final date of compliance including, as a minimum, whether or not it complied with the increment of progress, the reason for any delay, and, if appropriate, the steps being taken by the user to return to the established schedule. In no event shall more than nine (9) months elapse between such progress reports to the NBC.

1.9.6Report on Compliance with Categorical Pretreatment Standard Deadline

Within ninety (90) days following the date for final compliance with applicable categorical pretreatment standards, or in the case of a new source following commencement of the introduction of wastewater into the NBC's Facilities, any user subject to such pretreatment standards and requirements shall submit to the NBC a report containing the information described in § 1.9.4 of this Part. For users subject to equivalent mass or concentration limits established in accordance with the procedures in 40 C.F.R. § 403.6 (2018), this report shall contain a reasonable measure of the user’s long-term production rate. For all other users subject to categorical pretreatment standards expressed in terms of allowable pollutant discharge per unit of production (or other measure of operation), this report shall include the user's actual production during the appropriate sampling period. All compliance reports must be signed and certified in accordance with § 1.9.10 of this Part.

1.9.7Periodic Compliance Reports

A.Any significant industrial user subject to a pretreatment standard shall, at a frequency determined by the NBC but in no case less than twice per year, submit a report indicating the nature and concentration of pollutants in the discharge that are limited by such pretreatment standards and the measured or estimated average and maximum daily flows for the reporting period. All periodic compliance reports must be signed and certified in accordance with § 1.9.10 of this Part.

B.All wastewater samples must be representative of the user's discharge. Wastewater monitoring and flow measurement facilities shall be properly operated, kept clean, and maintained in good working order at all times. The failure of a user to keep its monitoring facility in good working order shall not be grounds for the user to claim that analytical results are not representative of its discharge.

C.If a user subject to the reporting requirement in and of this section monitors any pollutant more frequently than required by the NBC, using the procedures prescribed in § 1.9.3(A)(2) of this Part, the results of this monitoring shall be included in the report.

1.9.8Notification/Reporting Requirements

A.Report of Changed Conditions

Users are required to submit written notification to the NBC in advance of any substantial change to the user's pretreatment operations or system that might alter the nature, quality, or volume of its wastewater at least thirty (30) days prior to instituting any such change, including the listed or characteristic hazardous wastes for which the user has submitted initial notification under 40 C.F.R. § 403.12(p) (2018).

B.Sampling Violations

If sampling performed by a user indicates a violation of discharge limitations, the user must notify the NBC within twenty-four (24) hours of becoming aware of the violation. The user shall also repeat the sampling and analysis and submit the results of the repeat analysis to the NBC within thirty (30) days of becoming aware of the violation.

C.Potential Problems

1.Notification of Accidental Spills

In the case of an accidental discharge into the facility, it is the responsibility of the user to immediately contact the NBC and inform them of the incident at the emergency phone numbers referenced in the user’s permit. The notification shall include location of discharge, type of waste, concentration and volume, and corrective actions. Within five (5) days following an accidental discharge into the facilities, the user shall submit a detailed written report describing the nature and cause of the discharge and the measures to be taken by the user to prevent similar future occurrences. Such notification shall not relieve the user of any expense, loss, damage, or other liability resulting from the discharge. Notification will not exempt the user from any fines, civil or criminal penalties, or any other liability that may be imposed under this Part or other applicable State or Federal law.

2.In the case of any discharge, including but not limited to, discharges of a non-routine, episodic nature, a non-customary batch discharge, or a slug load that may cause potential problems for the NBC (including a violation of the prohibited discharge standards in § 1.5 of this Part), it is the responsibility of the user to immediately telephone and notify the NBC of the incident at the emergency phone numbers referenced in the user’s permit. The notification shall include location of discharge, type of waste, concentration and volume, and corrective actions. Within five (5) days following an accidental discharge into the facilities, the user shall submit a detailed written report describing the nature and cause of the discharge and the measures to be taken by the user to prevent similar future occurrences. Such notification shall not relieve the user of any expense, loss, damage, or other liability resulting from the discharge. Notification will not exempt the user from any fines, civil or criminal penalties, or any other liability that may be imposed under this Part or other applicable State or Federal law.

3.Failure to notify the NBC of potential problem discharges shall be deemed a separate violation of this Part.

4.A notice shall be permanently posted on the user's bulletin board or other prominent place advising employees whom to call in the event of a discharge described in § 1.9.8 of this Part. Employers shall ensure that all employees, who may cause or suffer such discharge to occur, are advised of the emergency notification procedure.

D.Selling, Closing, or Moving a Business

Any user who will be selling, closing, or moving a business from its present location must notify the NBC in writing thirty (30) days before disposing of any process waste associated with the move or the cessation of business. The NBC has a facility shutdown procedure that must be adhered to upon selling, closing, or moving a business or operation. Failure to notify the NBC prior to such change may subject the user to civil or criminal penalties in accordance with R.I. Gen. Laws §§ 46-25-25.2 and 46-25-25.3.

E.The facility shutdown procedure includes, but is not limited to, the following:

1.An inventory specifying the amount of each chemical and each solution on the premises, whether in storage drums or in process tanks;

2.A written plan detailing how each chemical and solution is to be disposed of (e.g. discharged to sewer with or without pretreatment, sold, returned to the supplier, or hauled off as hazardous waste);

3.The information required in §§ 1.9.8(E)(1) and (2) of this Part above must be reviewed and approved by the NBC prior to any solutions or chemicals being disposed of. Only those solutions approved by the NBC may be discharged to the sewer system. The NBC must be informed at least forty-eight (48) hours in advance of when chemicals are to be shipped off-site or discharged to the sewer. A copy of each hazardous waste manifest form for any chemicals or solutions disposed of off-site must be submitted to the NBC as soon as they are completed. A copy of each sales receipt, credit slip, etc., for any chemicals or solutions that are sold or returned to the supplier must be submitted to the NBC as soon as they are completed.

1.9.9Hazardous Waste Notification

A.Any user, except as specified in § 1.9.9(E) of this Part, that discharges to the NBC's Facilities any substance that, if disposed of, would be listed or characterized as hazardous waste under 40 C.F.R. Part 261 (2018) incorporated herein by reference, not including later amendments, shall notify the NBC in writing of such discharge.

B.All hazardous waste notifications shall include:

1.The name of the hazardous waste as set forth in 40 C.F.R. Part 261 (2018);

2.The EPA hazardous waste number;

3.The type of discharge (continuous, batch, or other); and

4.A certification that the user has a program in place to reduce the volume and toxicity of hazardous waste generated to the degree it has determined to be economically practical.

C.In addition to the information submitted in § 1.9.9(B) of this Part, users discharging more than one hundred kilograms (100 kg) of hazardous waste per calendar month to the NBC's Facilities shall include the following information to the extent such information is known and readily available to the user:

1.An identification of the hazardous constituents contained in the waste;

2.An estimation of the mass and concentration of such constituents in the waste stream discharged during that calendar month; and

3.An estimation of the mass of constituents in the waste stream expected to be discharged during the following twelve (12) months.

D.Discharge of more than fifteen kilograms (15 kg) of non-acute hazardous wastes in a calendar month, or of any quantity of acute hazardous wastes as specified in 40 C.F.R. §§ 261.30(d) (2018) incorporated herein by reference, not including later amendments, and 261.33(e) (2018) incorporated herein by reference, not including later amendments, requires a one (1) time notification.

E.Dischargers are exempt from the requirements of §§ 1.9.9(A) through (C) of this Part during a calendar month in which they discharge no more than fifteen kilograms (15 kg) of hazardous waste unless the wastes are acute hazardous wastes as specified in 40 C.F.R. §§ 261.30(d) (2018) and 261.33(e) (2018).

1.9.10Signatories and Certification

All wastewater discharge permit applications and user's reports shall contain a certification statement as outlined in 40 C.F.R. § 403.6 (2018) and shall be signed by an authorized representative of the user.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.10 Enforcement

1.10.1Administrative Enforcement Options

A.The NBC may implement any combination of the following administrative and/or judicial responses if a user is in violation of any provision of State or Federal requirements, R.I. Gen. Laws Chapter 46-25, this Part, a permit, or an order issued by the NBC.

1.Issue a Notice of Violation;

2.Require the user to attend a mandatory compliance meeting at the NBC Corporate Office during business hours, or at any other reasonable time, to discuss its violations or alleged violations, the remedial actions that it might take, and the actions the NBC might take under the Act and this Part;

3.Issue an Administrative Order requiring any action that the NBC is authorized to require;

4. Enter into a Consent Order or Settlement Agreement with the user;

5.Revoke, modify, deny, suspend, or refuse to renew a permit issued under the Act;

6.Terminate or suspend sewer services provided to the user;

7.Assess a civil administrative penalty;

8.Institute a court action for civil penalties, criminal fines and/or other criminal punishment, injunctive relief, reimbursement of costs and/or damages resulting from a violation or threatened violation; and/or any other relief authorized by law or Regulation.

1.10.2Notice of Violations

Whenever the NBC finds that a user has violated or is violating this Part, the Act, a permit, or order issued by the NBC, the NBC may serve upon said user written notice of the violation. The Notice of Violation ("NOV") shall identify each requirement the NBC asserts was violated, the occasion that each requirement was violated, and may require the user to comply by a date certain with the requirement(s) identified in the NOV and/or submit to the NBC by a date certain a written report describing the measures the user will take to achieve compliance with the requirements identified in the NOV and the date by which such measures will be taken. The issuance of a NOV does not preclude the NBC from taking any additional enforcement action it deems necessary and appropriate. The NOV may direct the user to submit written proposals for achieving compliance, may direct the user to increase the frequency of self-monitoring, or may require the user to comply with any other requirements the NBC deems necessary and appropriate to address the noncompliance. Submission of any plan to achieve compliance shall in no way relieve the user of liability for any violations occurring before or after receipt of the NOV. Nothing in this section shall limit the authority of the NBC to take any action, including emergency actions or any other enforcement action, without first issuing a Notice of Violation.

1.10.3Administrative Orders

A.Immediate Compliance Order

When the NBC finds that a user has violated or continues to violate this Part, the Act, a permit or order issued by the NBC, or any other pretreatment standard or requirement, the NBC may issue an order to the user responsible for the discharge, directing that the user come into compliance within a reasonable time period established by the NBC. Compliance Orders may also contain such other requirements as may be reasonably necessary and appropriate to address the noncompliance, including, but not limited to, the installation of pretreatment technology and/or additional self-monitoring and management practices designed to minimize the amount of pollutants discharged to the sewer. A Compliance Order does not relieve the user of liability for any violation, including any continuing violation. Issuance of a Compliance Order shall not be a prerequisite to taking any other action against the user, including, but not limited to, assessment of an Administrative Penalty.

B.Cease and Desist Orders

1.When the NBC finds that a user is violating this Part, the Act, a permit or any order issued by the NBC, or any other pretreatment standard or requirement, or that the user's violations are likely to reoccur and/or continue, the NBC may issue an order to the user directing the user to halt all illegal or unauthorized discharges to the NBC's Facilities immediately.

a.If the NBC determines that an emergency exists, the Cease and Desist Order may be given verbally and/or telephonically.

b.Issuance of a Cease and Desist Order shall not be a prerequisite to taking any other action against the user, including but not limited to, assessment of an Administrative Penalty.

1.10.4Consent Orders

When the NBC is able to reach an agreement with the user responsible for the noncompliance, the NBC and the user may enter into a Consent Order, Assurance of Voluntary Compliance, or other similar document establishing the agreement with the user. Such orders typically include: specific actions to be taken by the user within a particular time frame; a schedule for payment of the fines and enforcement costs; and stipulated penalties. Consent Orders shall have the same force and effect as Administrative Orders and shall be judicially enforceable.

1.10.5Suspension of Permit or Service

The NBC may suspend wastewater treatment service and/or a permit to effectively halt or prevent any actual or threatened illegal or unauthorized discharge of pollutants into the NBC's Facilities. The NBC shall notify the user of the suspension, by certified and regular mail, at which time the user may utilize the hearing procedures included herein.

1.10.6Emergency Suspensions

A.Whenever the NBC determines that suspension of wastewater treatment service or of a permit is necessary to stop an actual or threatened discharge presenting or causing an imminent or substantial endangerment to the health or welfare of persons, the POTW, or the environment, the NBC may give the user informal notice of the suspension. Informal notice shall consist of a telephone call to the discharging facility's owner or any agent or officer of a corporation. The order to suspend discharging shall become effective notwithstanding the inability to contact the user. A registered or certified letter, return receipt requested, that states the existence of the violation and the action deemed necessary will be sent within five (5) days to the user. No request for a hearing prior to the issuance of the Emergency Order to suspend discharging may be made.

B.Any user notified of an emergency suspension of their wastewater treatment service and/or suspension of their wastewater discharge permit shall immediately stop or eliminate its contribution. In the event of a user’s failure to immediately comply voluntarily with the Suspension Order, the NBC shall take such steps as deemed necessary, including immediate severance from the sewer facilities, to prevent or minimize damage to the NBC, its receiving stream, or any individuals. The NBC shall allow the user to recommence its discharge when the endangerment has passed, unless proceedings are initiated to terminate the user’s permit.

C.A user that is responsible, in whole or in part, for imminent endangerment to the health and welfare of persons shall submit a detailed written statement describing the causes of the harmful contribution and the measures taken to prevent any further occurrence to the NBC within five (5) days of the occurrence that led to the emergency suspension.

1.10.7Termination of Permit and/or Wastewater Treatment Service

A.Grounds for termination of a permit and/or wastewater treatment service include, but are not limited to, the following:

1.Failure to apply for and/or obtain a required permit from the NBC prior to discharge into the NBC’s Facilities.

2.Violation of any of the conditions outlined in the user’s permit.

3.Violation of any of the provisions of this Part, the Act, any permit or order issued by the NBC, or any applicable State or Federal law.

B.Any user issued an Administrative Order terminating their permit and/or their wastewater treatment service shall be entitled to utilize the hearing procedures included herein.

1.10.8Security Requirements

A.Performance Bonds. The NBC may decline to reissue a permit to any user that has failed to comply with the provisions of this Part, the Act, any order or previous permit issued hereunder unless such user first files with the NBC a satisfactory bond, payable to the NBC, in a sum not to exceed a value determined by the NBC to be necessary to achieve consistent compliance.

B.Liability Insurance. The NBC may decline to reissue a permit to any user that has failed to comply with the provisions of this Part, the Act, or any previous permit issued hereunder, unless the user first submits proof that it has obtained financial assurance sufficient to restore or repair NBC damage caused by its discharge.

1.10.9Administrative Penalties

A.Notwithstanding any other section of this Part, any user who is found to have violated any provision of this Part, or a permit or order issued hereunder, may be fined in an amount not to exceed twenty-five thousand dollars ($25,000.00) per day per violation. Each day during which noncompliance occurs or continues shall be deemed a separate and distinct violation.

1.Such assessments may be added to the user's next scheduled sewer service charge.

2.Unpaid charges, fines, and penalties may constitute a lien against the individual user's property.

3.Interest on the unpaid balance of charges, fines, and penalties shall accrue at a rate established by the NBC and approved by the Rhode Island Public Utilities Commission.

4.Users desiring to dispute fines assessed by the NBC must file a written request for hearing within ten (10) days of receipt of the order assessing the fine, in accordance with the hearing procedure outlined herein.

5.The NBC may impose escalating fines in instances of repeated violations.

6.The NBC shall calculate the fine in accordance with § 1.10.10 of this Part herein.

7.Nothing in this section shall limit the authority of the NBC to impose the maximum Administrative Penalty for violation of any provision of Federal or State laws or Regulations, this Part, or any permit or order issued pursuant thereto.

1.10.10Calculation of Administrative Penalty

A.Penalties may be calculated according to the following penalty matrix for violations of R.I. Gen. Laws § 46-25-25 and all Rules and Regulations, permits and orders issued pursuant thereto. In accordance with R.I. Gen. Laws § 46-25-25.2, penalties are assessed for each day of noncompliance.

TYPE OF VIOLATION

Deviation from Standard

I

II

III

Major

$25,000.00 to $10,000.00

$10,000.00 to $5,000.00

$5,000.00 to $1,000.00

Moderate

$10,000.00 to $5,000.00

$5,000.00 to $1,000.00

$1,000.00 to $500.00

Minor

$5,000.00 to $1,000.00

$1,000.00 to $500.00

$500.00 to $100.00

1.Type of Violation. Refers to the nature of the legal requirement allegedly violated. "Type" includes, but is not limited to, the following examples:

a.Type I

(1)Violations of legal requirements identified by the NBC as directly related to the protection of the public health, safety, welfare, or environment

(2)Violation of wastewater discharge limits

(3)Violations of compliance schedule milestones

(4)Failure to provide reports (compliance schedules, self-monitoring data, BMR & FCMR)

(5)Failure to accurately report noncompliance

(6)Failure to obtain required permit from the NBC

(7)Failure to take remedial action to mitigate a known harm

(8)Any other violation or group of violations that the NBC considers to be significant including a pattern of Type II and Type III violations

b.Type II

(1)Violation of legal requirements indirectly related to public or environmental protection, e.g., late reports (but with notification to the NBC that sampling has been performed)

(2)Failure to comply with an equipment or design specification or any other operational methods or procedure required by the NBC or specified in this Part, which is indirectly related to protection of the public health and welfare and/or the environment, e.g. the discharge of noncontact cooling water without approval

(3)A pattern of Type III violations

c.Type III

Violation of legal requirements identified by the NBC as important but incidental to the protection of the plant workers and environment, e.g. late sampling.

2.Deviation from Standard. Refers to the degree to which the violation is out of compliance with the requirement allegedly violated. The NBC will evaluate the circumstances of each case to assess whether a violation is a minor, moderate, or major deviation from the standard with reference to the following factors:

a.The extent to which the act or failure to act was out of compliance;

b.Environmental conditions;

c.The amount, toxicity, and/or nature of the pollutant;

d.The duration of the violation;

e.The areal extent of the violation;

f.Whether the user took reasonable and appropriate steps to prevent and/or mitigate the non-compliance;

g.The user's history of noncompliance;

h.The degree of willfulness or negligence, including but not limited to, how much control the violator had over the occurrence of the violation and whether the violation was foreseeable;

i.Willingness to participate in supplemental environmental projects that are directly related to addressing compliance problems of the industry within which the violation took place. Such projects are subject to the NBC’s approval and control;

j.The economic benefit achieved by noncompliance;

k.Any other factor(s) that may be relevant in determining the amount of a penalty, provided that, said other factor(s) shall be set forth in the Notice of Violation, Order, or other written notice of the Assessment of Penalty.

1.10.11Administrative Hearings

A.Right to Hearing

Any order or assessment of Administrative Penalty shall inform the user that a written request for a hearing on the alleged violations, order, and/or penalty must be filed within ten (10) days after service of the notice to preserve the user's right to hearing. The notice will be deemed properly served upon the user if a copy is served upon him or her personally, or sent by registered or certified mail to his or her last known address, or if he or she is served with notice by any other method of service now or hereafter authorized in civil actions under the laws of the State. In an emergency situation, if written request for a hearing is not made by the user within ten (10) days of the service of notice, the user will be foreclosed from hearing regarding any penalty assessed. In a non-emergency situation if written request for a hearing is not made by the user within ten (10) days of the service of notice, the user will be foreclosed from hearing regarding both the order and any penalty assessed.

B.Hearing Request and Conference Option

As stated immediately above, a written request for hearing must be filed within ten (10) days from service to preserve the user's rights. At that time, the user may also request a conference with the NBC prior to the scheduling of an administrative hearing. Said conference will include appropriate members of the NBC from the pretreatment and enforcement staffs. Violations and penalties will be explained and discussed. Electing this option does not foreclose and/or affect the user's right to hearing provided that the written request for hearing was filed within ten (10) days of service as noted above. The purpose of this option is to provide the user with an informal forum within which to discuss the alleged violations and to expedite conclusion and/or resolution of outstanding enforcement actions. If resolution is not reached within ninety (90) days from the date of the scheduled conference, the NBC shall schedule the matter for formal hearing. In any event, either party may request a formal hearing at any point during the conference proceedings.

C.Scheduling of Hearing/Appointment of Hearing Officers

If a user wishes to proceed directly to hearing, without exercising the conference option, the Executive Director shall appoint a hearing officer within ten (10) days of the receipt of said hearing request. If the user requests a conference prior to hearing, the appointment of a hearing officer shall be postponed until further request by NBC staff and/or the user. The hearing officer shall set the procedures and schedules for the hearing.

D.Designation of Hearing Officers

1.Notwithstanding any other provisions of the NBC bylaws or any other Rule and Regulation of the NBC, and in accordance with the criteria promulgated by the NBC, the Board of Commissioners shall designate certain persons to act as hearing officers in cases arising under this Part.

2.With the adoption of this Part, the Executive Director is empowered to appoint persons who are duly designated by the Board of Commissioners and who are not involved in the enforcement action to act as hearing officers. A person designated as a hearing officer shall be a person who meets specific qualifications adopted by the Board of Commissioners.

3.The hearing officer shall:

a.Have the right to issue subpoenas in the name of the NBC, to compel the appearance of witnesses and the production of any books, records, or other documentation

b.Take evidence

c.Transmit in a timely manner a report of the evidence and hearing, including transcripts and other evidence, together with findings of fact and conclusions of law and recommendations of action to the Executive Director. The hearing officer may also issue findings as to the number of days during which the violation occurred and appropriate penalties. In establishing any penalty, the hearing officer and the Executive Director shall take into account the factors used to determine the severity of a violation outlined in § 1.10.10 of this Part.

E.Other Hearings

All other provisions for public hearings not specifically described herein shall be in accordance with R.I. Gen. Laws § 42-35-9.

F.Orders by the Executive Director

After the Executive Director has reviewed the Administrative Decision of the hearing officer, he or she may issue an order to the violator to cease and desist committing such violations, assess fines, to remedy such violations, to revoke the violator's discharge permit, and to recover statutory enforcement costs. Such enforcement costs include, but are not limited to, the costs of implementing any action, as well as any administrative costs incurred therein, such as the reasonable expenses of the hearing officer, stenographer, staff, expert witnesses and reasonable attorney's fees. The decision may include a finding as to the number of days during which the violation occurred. Every day in which the violation occurred shall be deemed a separate offense. The Superior Court shall have jurisdiction to enforce such order and the Executive Director may institute civil or criminal proceedings in the name of the NBC.

1.10.12Equal Access to Justice Application

Within thirty (30) days of the conclusion of any administrative hearing or within thirty (30) days of the informal disposition or termination of any hearing by the NBC, the prevailing party may apply to the hearing officer for the award of reasonable litigation expenses incurred by that party in connection with the proceeding, in accordance with the provisions of R.I. Gen. Laws § 42-92-1 et seq. The hearing officer shall not award fees or expenses to the prevailing party if he or she finds that the NBC was substantially justified in the actions leading to the hearing and in the hearing itself. The hearing officer may, at his or her discretion, deny fees or expenses if special circumstances make an award unjust. The decision of the hearing officer shall be made part of the record and shall include written findings and conclusions. The Executive Director may not review the award. Any party dissatisfied with the fee determination by the hearing officer may appeal to the Superior Court. The terms "substantial justification" and "prevailing party" shall be defined in R.I. Gen. Laws § 42-92-1 et seq.

1.10.13Petitions for Declaratory Rulings

A.Any person affected by any statutory provision administered by the NBC or affected by any rule or order of the NBC may, in accordance with R.I. Gen. Laws § 42-35-8 and this Part, petition the Executive Director for a declaratory ruling as to the applicability of such statute, Rule, or order. The petition shall clearly and concisely identify:

1.The precise statute, rule, or order under which a declaratory ruling is sought;

2.How the petitioner is affected by the statute, Rule, or order;

3.The petitioner's position on how the applicable statute, Rule, or order should be interpreted, including citations to any applicable documents or law that support the petitioner's position.

1.10.14Judicial Remedies

A.If any person discharges sewage, industrial wastes, or other wastes into the wastewater disposal system contrary to the provisions of this Part, the Act, a permit or order issued by the NBC, or any other pretreatment requirements, the NBC may commence an action for appropriate legal and/or equitable relief in the Superior Court.

1.Injunctive Relief

Whenever a user has violated or continues to violate the provisions of this Part, the Act, a permit or order issued by the NBC, or any other pretreatment requirements, the NBC may petition the Court for the issuance of a preliminary injunction, permanent injunction, or both (as may be appropriate) which restrains or compels the activities on the part of the user.

2.Civil Penalties

a.Any user who has violated or continues to violate the Rules and Regulations, the Act, a permit or order issued by the NBC, or any other pretreatment requirements shall be liable to the NBC for a civil penalty of not more than twenty-five thousand dollars ($25,000.00) per violation per day for each day during which the violation occurs plus actual damages incurred by the NBC for as long as the violation occurs. In addition to the above described penalty and damages, the NBC may recover reasonable attorney's fees, court costs, and other expenses associated with the enforcement activities, including sampling, monitoring and analysis expenses.

b.The NBC shall petition the Court to impose, assess, and recover such sums. In determining the amount of liability, the Court shall take into account all relevant circumstances, including, but not limited to, the extent of harm caused by the violation, the magnitude and duration, any economic benefit gained through the user's violation, corrective actions by the user, the compliance history of the user, and any other factor as justice requires.

3.Criminal Prosecution

Any user who willfully or negligently violates any provision of this Part, the Act, a permit or order issued by the NBC, or any other pretreatment requirements shall upon conviction, be guilty of a misdemeanor, punishable by a fine not to exceed twenty-five thousand dollars ($25,000.00) per violation per day or imprisonment for not more than one (1) year.

1.10.15Costs

A.In addition to such administrative, civil, or criminal fines as may be imposed, any user who violates any provision of this Part or any condition of a permit, or plan approval related thereto, shall be financially responsible and liable to the NBC, in addition to normal service charges and surcharges for industrial investigation and monitoring of compliance with this Part, including, but not limited to, the following:

1.Cost of mileage, labor, and materials incurred in detecting and correcting the violation;

2.Laboratory analysis costs associated with detecting and correcting the violation;

3.Additional treatment costs caused by the violation or associated with detecting and correcting the violation;

4.Costs of any additional equipment acquired or expended by the NBC for detecting or correcting the violation.

5.Repair and/or replacement of any part of the facility damaged by the violation;

6.Any liability, damages, fines, or penalties incurred by the NBC as a result of the violation;

7.Costs incurred in enforcing compliance, including prosecution and/or settlement of outstanding violations;

8.Other costs as are associated with the prosecution, negotiation and/or settlement of a violation.

1.10.16Annual Publication of Users in Significant Noncompliance

The NBC shall publish annually in the largest daily newspaper circulated in the service area, a description of those users who are found to be in significant noncompliance, as defined in § 1.2 of this Part, with any provisions during the period since the previous publication. Users found to be in significant noncompliance must reimburse the NBC for their pro rata share of the cost of the public notice.

1.10.17Denial of Access

If the NBC or its duly authorized employees and agents, upon presenting identification and appropriate credentials, are denied access to carry out inspection, surveillance, and/or monitoring procedures as described under R.I. Gen. Laws § 46-25-25.1, the Executive Director may immediately institute civil proceedings, including proceedings for necessary injunctive relief, or criminal proceedings in Superior Court.

1.10.18Inspection of Connections

If any person shall construct, install, alter, or repair any sewer or connect to any sewer in violation of the requirements of this Part, the NBC may, in its discretion, order or direct such person to uncover and fully expose any or all portions of such sewer or connection and allow the NBC and its representatives adequate opportunity for examination and inspection of the work. If the connection and appurtenances thereto shall be found not to be in full accord with the requirements of this Part and the standards established under its provisions, then the NBC may serve the offender with a written notice as provided in § 1.10 of this Part.

1.10.19Affirmative Defenses to Discharge Violations

A.Upset Provisions

1.For the purposes of this section, "Upset" means an exceptional incident in which there is unintentional and temporary noncompliance with pretreatment standards because of factors beyond the reasonable control of the user. An Upset does not include noncompliance to the extent caused by operational error, improperly designed treatment facilities, inadequate treatment facilities, lack of preventive maintenance, or careless or improper operation.

2.An Upset shall constitute an affirmative defense to an action brought for noncompliance with pretreatment standards if the requirements of § 1.10.19(A)(3) of this Part are met.

3.A user who wishes to establish the affirmative defense of Upset shall demonstrate, through properly signed, contemporaneous operating logs, or other relevant evidence that:

a.An Upset occurred and the user can identify the cause(s) of the Upset;

b.The facility was at the time being operated in a prudent and workman-like manner and in compliance with applicable operation and maintenance procedures;

c.The user has submitted the following information to the NBC within twenty-four (24) hours of becoming aware of the Upset (if this information is provided orally, a written submission must be provided within five (5) days);

(1)A description of the discharge and cause of noncompliance;

(2)The period of noncompliance, including exact dates and times or, if not corrected, the anticipated time the noncompliance is expected to continue;

(3)Steps being taken and/or planned to reduce, eliminate, and prevent recurrence of the noncompliance.

d.In any enforcement proceeding the user seeking to establish the occurrence of an Upset shall have the burden of proof; and

e.The user shall control production of all discharges to the extent necessary to maintain compliance with pretreatment standards upon reduction, loss, or failure of its treatment facility until the facility is restored or an alternative method of treatment is provided. This requirement applies in the situation where, among other things, the primary source of power of the treatment facility is reduced, lost, or fails.

B.Bypass

1."Bypass" means the intentional diversion of waste streams from any portion of the user's treatment facility.

2."Severe property damage" means substantial physical damage to property, damage to the treatment facilities that causes them to become inoperable, or substantial and permanent loss of natural resources that can reasonably be expected to occur in the absence of a Bypass. Severe property damage does not mean economic loss caused by delays in production.

3.A user may allow Bypass to occur where it does not violate pretreatment standards or requirements, and only if it is necessary to assure efficient maintenance and/or operation. These bypasses are not subject to §§ 1.10.19(B)(4), (5) and (6) of this Part.

4.If a user knows in advance of the need for a Bypass, it shall submit prior notice to the NBC, if possible, at least ten (10) days before the date of the Bypass.

5.A user shall orally notify the NBC of an unanticipated Bypass that exceeds applicable pretreatment standards or requirements within twenty-four (24) hours of becoming aware of the Bypass. A written submission shall also be provided within five (5) days of becoming aware of the Bypass, including exact times and dates, and if the Bypass has not been corrected, the anticipated time it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent recurrence of the Bypass.

6.Bypass is prohibited, and the NBC may take enforcement action against an individual user for a Bypass, unless:

a.Bypass was unavoidable to prevent loss of life, personal injury, or severe property damage;

b.There are no feasible alternatives to Bypass, such as use of auxiliary treatment facilities, retention of wastes, or maintenance during normal periods of downtime. This condition is not satisfied if adequate back-up equipment should have been installed to prevent Bypass, which occurred during normal periods of equipment downtime or preventative maintenance; and

c.The user submitted notices as required by § 1.10.19(B) of this Part.

7.The NBC may approve an anticipated Bypass, after considering its adverse effects, if the NBC determines that it will meet the three (3) conditions listed in § 1.10.19(B)(6) of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.11 Interpretation of Requirements

1.11.1Construction

The provisions of this Part with respect to the meaning of technical terms and phrases, the restrictions as to what wastes may be discharged into sewer interceptors, the Regulations with respect to making connections to sewer interceptors, and other technical matters shall be interpreted and administered by the Executive Director.

1.11.2Captions

Captions and headings are for reference only and shall not limit or otherwise affect the meaning of the paragraphs thereunder.

1.11.3Severability

If any provision of this Part or the application thereof to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of this Part shall not be affected thereby. The invalidity of any section or sections or parts of any section or sections shall not affect the validity of the remainder of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.12 Amendments to Rules and Regulations

The Rules and Regulations established herein may be amended, from time to time, as may, in the opinion of the NBC, be necessary. Whenever the NBC shall amend any such Rules and Regulations, it shall do so and give notice of such amendment in accordance with the procedures outlined in R.I. Gen. Laws § 42-35-1 et seq. and R.I. Gen. Laws § 46-25-1 et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.13 (Reserved)

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-1 § 1.14 Septage Discharge Permit System

1.14.1Septage Permitting System

A.Licensed septage haulers shall obtain a valid permit from the NBC and comply with all the conditions of this permit and this Part. The permit may be suspended or revoked according to the policies outlined in § 1.8 of this Part. Haulers shall apply for this permit on forms provided by the NBC and shall submit, together with the permit fee, an application containing the following information:

1.Name, company name, address, telephone number;

2.Vehicle identification, make, and capacity;

3.Copy of septage hauler's license from the Rhode Island Department of Environmental Management;

4.Any additional information requested by the NBC;

5.Signed and notarized statement certifying that the information presented in the application is correct.

1.14.2Septage Sources

Septage discharged to the receiving facilities of the NBC must have been generated from residential septic systems within the boundaries of the State of Rhode Island.

1.14.3Payment for Septage Loads

A.Septage haulers shall be responsible for payment of septage loads discharged at the NBC's Facilities. Septage haulers will be billed on rates approved by the Rhode Island Public Utilities Commission. The billing procedures may include, but are not limited to, the following:

1.Septage haulers may be required to create and maintain an account with the NBC with a credit balance;

2.The volume of each permitted truck and/or trailers may be periodically calculated by NBC personnel for billing purposes;

3.The NBC may equip each permitted truck and/or trailer with a computer chip provided by the NBC to track vehicle information such as owner, tank volume, etc.;

4.The amount due for each septage load may be automatically deducted from the septage hauler's account.

B.The NBC septage billing procedures may be revised at any time.

1.14.4Septage Disposal

A.Septage shall only be discharged to one (1) of the NBC's authorized septage receiving facilities, or other authorized location as the NBC may designate. The septage hauler shall be responsible for cleaning the area surrounding the discharge disposal location after discharge.

B.Septage shall be discharged only within the hours specified by the NBC and only under the supervision of the NBC. Gallonage and hours for delivery of waste may be reduced, extended, increased, or otherwise changed or altered by and at the discretion of the NBC. NBC personnel may require that the load be dumped over a period of a half-hour or more, depending upon the flow and characteristics of the incoming sewage at the NBC's treatment plant.

C.Each septage hauler shall adhere to disposal procedures established by the NBC. These procedures may include, but are not limited to, the following:

1.Completed Septage Load Manifest forms, provided by the NBC, must be submitted by the septage hauler upon arrival to the septage receiving station;

2.The septage hauler may be required to collect septage samples from the truck/trailer, under the supervision of the NBC operator, prior to the septage hauler discharging to the NBC system;

3.The NBC operator may collect or direct the septage hauler to collect additional samples of the load during the discharge period;

4.Once the discharge of the load has been completed, the septage hauler shall disconnect from the system and clean the area.

D.The hauler shall keep a copy of his or her official permit in the truck, and display the NBC issued permit sticker on the windshield.

E.If the NBC wastewater treatment plant and/or the NBC wastewater facilities can accept some but not all of the septage offered for disposal, priority will be given to such waste which is generated within the geographic boundaries of the District.

1.14.5Septage Prohibitions

Septage haulers shall not discharge specifically prohibited waters, wastewaters, or substances to the NBC Facilities in accordance with § 1.5 of this Part.

1.14.6Septage Records

Vehicles shall be maintained and records shall be kept in accordance with DEM's Rules and Regulations for Hazardous Waste Management, 250-RICR-140-10-1.

1.14.7Compliance Required

No statement contained in § 1.14 of this Part shall exempt the hauler from complying with all Federal, State, or local requirements.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-01 to 01/04/2022
• Amendment — effective from 2019-06-10 to 06/01/2021
• Amendment — effective from 2018-08-17 to 06/10/2019
• Amendment — effective from 2006-12-10 to 08/17/2018
• Amendment — effective from 2004-12-13 to 12/10/2006
• Amendment — effective from 2004-03-31 to 12/13/2004
• Periodic Refile — effective from 2001-12-28 to 03/31/2004

835-RICR-20-00-2 Customer Service

835-RICR-20-00-2 § 2.1 Purpose and Authority

These Rules and Regulations shall be referred to as Customer Services Rules and Regulations and are intended to ensure the proper billing, dispute resolution, and collection of the sewer use fees of the Narragansett Bay Commission ("NBC"). The following Customer Services Rules and Regulations are adopted by the NBC pursuant to R.I. Gen. Laws § 46-25-1 et seq. In the event of future wastewater facility acquisitions and/or annexations to the NBC, the Customer Services Rules and Regulations shall become incorporated by reference therein and binding thereon, and all previous Rules and Regulations associated with customer services related to billing, dispute resolution and collection of fees of said facility shall be abolished.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.2 Applicability

NBC is authorized, created and established as a public corporation of the State of Rhode Island, having a distinct legal and fiscal existence from State government, with powers as set forth in R.I. Gen. Laws Chapters 46-25, 46-25.1 and 46-25.2, as amended, for the purposes of acquiring, planning, constructing, extending, improving, operating and maintaining publicly owned sewage treatment facilities in the NBC district as specifically defined therein. All users, whether directly or indirectly connected to the NBC's facilities, shall pay sewer use fees. Such fees shall include, but not be limited to, residential and non-residential consumption and fixed fees, pretreatment permit application fees, connection permit fees, sewer back-up removal fees, septic tank waste discharge fees, surcharges and other miscellaneous fees, charges and assessments as may be approved in accordance with the NBC's governing legislation. All sewer use fees shall be applicable throughout the entire Service Area served by the NBC and shall be in accordance with rates and fees approved by the Public Utilities Commission pursuant to R.I. Gen. Laws Chapters 39-1 and 39-3, as amended.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.3 Definitions

A.“Abatement meter” means a meter used to monitor water flow that does not enter the NBC’s facilities.

B."Act" or "the Act" means the Narragansett Bay Commission Act, R.I. Gen. Laws Chapters 46-25, 46-25.1 and 46-25.2, as amended.

C."Authorized employees" or "Agents of the commission" means a person who, by reason of his or her general position, contract, or job description with the NBC, has specific duties and responsibilities to perform on behalf of the NBC.

D."Authorized representative of user" means:

1.If the user is a corporation, "authorized representative" means the President, a Vice-President, Secretary, or Treasurer of the corporation in charge of a principal business function, or any other person authorized to represent the corporation for financial purposes.

2.If the user is a partnership, association, or sole proprietorship, an "authorized representative" means a general partner or the proprietor, or any other person authorized to represent the partnership, association, or sole proprietorship for financial purposes.

3.If the user is an agent of or representing Federal, State, or local governments, an "authorized representative" means a director or highest official appointed or designated to oversee the operation and performance of the activities of the government facility.

E."Biochemical oxygens demand" or "BOD" means the quantity of oxygen utilized in the biochemical oxidation of organic matter under standard laboratory procedure for five (5) consecutive days at twenty degrees Centigrade (20° C) expressed in terms of weight and concentration (milligrams per liter (mg/I)).

F."Biologicals" means preparations made from living organisms and their products, including vaccines, cultures, etc., intended for use in diagnosing, immunizing, or treating humans or animals or in research pertaining thereto.

G."Building drain" means that part of the lowest horizontal piping within a building that carries water, wastewater, or stormwater to a building sewer.

H."Building sewer" or "house connection" means the extension from the building drain to the public sewer or other place of disposal. Where authorized, the building sewer may service one (1) building or multiple buildings in the situation of associations, i.e. condominiums with shared appurtenances.

I."Chemical oxygen demand" or "COD" means a measure of the amount of oxygen required to oxidize organic and oxidizable inorganic compounds in water.

J."Color" means the optical density at the visual wavelength of maximum absorption, relative to distilled water, one hundred percent (100%) transmittance is equivalent to zero (0.0) optical density.

K."Combined sewer" means a sewer intended to receive and convey both wastewater and surface runoff from storms.

L."Compound meter" means a two (2) dial meter with one (1) meter measuring water only used as a fire supply.

M."Discharge" means the introduction of water, wastewater, and/or pollutants into the NBC's facilities from any source.

N."Direct connection" means the connection of a building sewer directly to the NBC’s facilities.

O."Executive director" means the Executive Director of the Narragansett Bay Commission or his or her designee.

P."Facility" or "Facilities" (See "Wastewater facilities" definition).

Q."Garbage" means, but is not limited to, the wastes resulting from the handling, preparation, cooking and serving of food, and from the handling, storage, and sale of produce.

R."Indirect connection" means a building sewer connection that is not a direct connection and whose wastewater discharge shall, notwithstanding the passage in its normal course through other sewers or conduits, ultimately discharge in whole or in part through the NBC’s facilities.

S.“Input meter” means a meter that measures the volume of water entering a property.

T."May" means permissive.

U."Medical waste" means any solid waste that is generated in the diagnosis, treatment (e.g., provision of medical services), or immunization of human beings or animals, in research pertaining thereto, or in the production or testing of biologicals.

V."Municipality" means any city, town, State authority, or sewer district that discharges wastewater into the facilities owned by the NBC.

W."Narragansett Bay Commission" or "NBC" for the purposes of this Part shall be construed to mean the Narragansett Bay Commission in its capacity as a public corporation or acting through its authorized employees and agents.

X."Output Meter" means a meter that measures the amount of flow that is discharged into the NBC's facilities.

Y."Owner" or "Operator" means any person who owns, leases, operates, controls, or supervises a source.

Z."Person" means any individual, partnership, co-partnership, firm, company, corporation, association, joint stock company, trust, estate, municipality, any local, State or Federal agency, or any other legal entity, or their legal representatives, agents, or assigns.

AA."pH" means the logarithm (to the base ten (10)) of the reciprocal of the hydrogen ion concentration in moles per liter (m/l) of solution. Neutral wastewaters are numerically equal to seven (7), the number increases to show increasing basicity and decreases to show acidity.

BB."Pollutant" means any dredged spoil, solid waste, incinerator residue, sewage, garbage, sewage sludge, munitions, medical wastes, chemicals wastes, industrial wastes, biological materials, radioactive materials, heat, wrecked or discarded equipment, rock, sand, cellar dirt, and agricultural and industrial waste that affect the characteristics of wastewater (i.e., pH, temperature, TSS, turbidity, color, BOD, COD, toxicity, odor).

CC."Pretreatment" or "Treatment" means the reduction or elimination of pollutant properties in wastewater or their alteration to a less harmful state thereby rendering them less harmful to the facilities prior to or in lieu of discharging or introducing such pollutants into the NBC's facilities. The elimination, reduction, or alteration can be accomplished by physical, chemical, or biological processes, process changes, or by other means, except as prohibited by 40 C.F.R. § 403.6(d).

DD."Public Utilities Commission" or "PUC" means the quasi-judicial tribunal as defined by R.I. Gen. Laws § 39-1-1 et seq.

EE."Sanitary sewer" means a sewer that is designed to carry liquid and water-carried wastes from residences, commercial buildings, industrial plants, and institutions together with minor quantities of ground, storm, and surface waters that are not discharged intentionally.

FF."Septic tank" means an underground tank used for the disposal of wastes.

GG."Service Area" means those cities and towns contemplated in R.I. Gen. Laws § 46-25-3(5) and any portion(s) thereof whose wastewater collection and treatment systems are serviced by the NBC, and any other city, town or district serviced by the NBC.

HH."Sewage" means human excrement and gray water (i.e. household showers, dish washing operations, etc.).

II."Sewer" means a pipe, conduit, and/or other appurtenance, typically underground, designed to transport wastewater and/or stormwater.

JJ."Sewer use fee" means a charge levied on users for the availability and/or use of the wastewater treatment and collection system. Such fees shall include, but not be limited to, residential and non-residential consumption and fixed fees, pretreatment permit application fees, connection permit fees, sewer back-up removal fees, septic tank waste discharge fees, surcharges and other miscellaneous fees, charges, and assessments as set by the NBC and approved by the PUC pursuant to R.I. Gen. Laws Chapters 39-1 and 39-3, as amended.

KK."Shall" means mandatory.

LL."Sludge" means the solids, residues, and precipitate separated from or created in wastewater by the unit processes of a publicly owned treatment works, industrial pretreatment system or water treatment or purification process.

MM."Source" means any building, structure, facility, or installation from which there is or may be the discharge of pollutants.

NN."Stormwater" means surface water and any other source of run-off. It is normally collected in sewers separate from the sanitary sewers and receives minimal, if any, treatment prior to discharge to receiving waters, except in the case of combined sewers, wherein it will receive treatment at the NBC’s facilities.

OO."Surface water" means stormwater or other wash water or drainage carrying any pollutants that affect the characteristics of wastewater.

PP."Total suspended solids" or "TSS" means:

1.Insoluble solids that either float on the surface or are suspended in water, wastewater, or other liquids;

2.Solid organic or inorganic particles (colloidal, dispersed, coagulated, flocculated) physically held in suspension by agitation or flow or;

3.The quantity of material removed from wastewater in a laboratory test, as prescribed in "Standard Methods for the Examination of Water and Wastewater" and referred to as nonfilterable residue.

QQ."True-up bill" means the bill showing amounts needed to bring account current following an estimated bill or meter reading.

RR."Turbidity" means a condition in water or wastewater caused by the presence of suspended matter, resulting in the scattering and absorption of light rays and determined by measurement of light diffraction, usually reported in arbitrary turbidity units.

SS."User" means any person, firm, corporation, government, or other entity that discharges, causes, or permits the discharge of wastewater or stormwater into the NBC's facilities.

TT."Wastewater" means all the spent water of a community. It may include, but not be limited to, a combination of the liquid and water-carried wastes from residences, commercial buildings, industrial plants, institutions, and governmental facilities whether treated or untreated together with any groundwater, surface water, and stormwater that may be present, which are contributing to the NBC's facilities.

UU."Wastewater facilities" means the structures, equipment, and processes required for the collection, treatment, and disposal of wastewater and sewage sludge that are owned and operated by the NBC.

VV."Well" means the method of the input water service to a property that is not connected to a public water supply.

WW.The Definitions in § 2.3 of this Part are limited only to this Part and not any other Rules and Regulations in existence or promulgated by the NBC in the future.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.4 Consumption and Fixed Sewer Use Fees

Consumption and fixed sewer use fees shall be assessed against the recorded owner of any property directly or indirectly connected to the NBC's facilities. This includes any property having a sewer system that may be served by a combination of both the public sewers and a private system (i.e., septic) where the NBC’s facilities are available to the structure by direct or indirect connection. Said owner shall be and is hereby deemed to be in control of such direct or indirect connection and is deemed to be a user, either actually or constructively, of the NBC's facilities.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.5 Residential Consumption Sewer Use Fees

A.The following types of users shall be classified as “residential sewer users” and assessed a consumption sewer user fee in accordance with rates set by the NBC and approved by the PUC:

1.All structures containing six (6) residential dwelling units or less.

2.All residential condominiums regardless of the number of dwelling units per structure and/or meter.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.6 Non-Residential Consumption Sewer Use Fees

A.All structures not classified as residential under § 2.5 of this Part shall be classified as non-residential users and assessed consumption fees in accordance with rates set by the NBC and approved by the PUC. The non-residential structures are classified as follows:

1.Commercial – shall include any structure conducting a service business. This shall include, but not be limited to:

a.Residential structures with greater than six (6) dwelling units;

b.Office buildings;

c.Mixed-use structures combining residential and non-residential uses. Any residential structure containing a commercial use, such as a business or office, shall be considered a mixed-use structure and will be billed at the commercial rate;

d.Halfway houses and/or boarding type facilities where unrelated persons rent rooms;

e.Hospitals;

f.Commercial Laundromats;

g.Dry cleaners;

h.Restaurants;

i.Colleges and schools;

j.Hotels;

k.Nursing homes;

l.Retail and wholesale stores; or

m.Any other non-industrial or non-residential structure.

2.Industrial – shall include any structure engaging in:

a.The manufacture, processing, or packaging of a product or component of a product; or

b.Industrial laundering; or

c.The development, recovery, or processing of natural resources. This shall include, but not be limited to:

(1)Platers;

(2)Metal fabricators;

(3)Syrup, soup and wine canners or producers;

(4)Meat packing facilities; or,

(5)Mixed-use structures. Where an industrial use is combined with a commercial use it shall be billed at the commercial rate, for example, where there is an office in a manufacturing plant.

B.The definitions of commercial and industrial as used herein are limited to the establishment of non-residential consumption sewer user fees and are unrelated to a user's classification as a permitted industrial or commercial user for purposes of the NBC's pretreatment program.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.7 Fixed Fee Based Sewer Use Fees

A.Fixed fees shall be rendered to property owners in accordance with the rates set by the NBC and approved by the PUC:

1.Residential – Each dwelling unit of a structure shall be assessed a fixed fee in accordance with rates approved by the PUC, whether or not each unit is occupied.

2.Residential Well Customers – Each dwelling unit of a structure shall be assessed a fixed fee only in accordance with rates approved by the PUC.

3.Non-Residential – Each structure shall be assessed a fixed fee based upon the size of each input water meter(s) and/or output meter(s) in accordance with rates and Terms and Conditions approved by the PUC.

4.Vacant Property – Vacant property shall be subject to fixed fees as noted in §§ 2.7(A)(1), (2), and (3) of this Part unless and until the NBC staff confirms that the water service has been terminated or a dwelling unit is uninhabitable (deemed to have no plumbing fixtures). It is the property owner's duty to notify the NBC that the property is vacant or uninhabitable. Credit for non-usage, if any, shall be given from the date of the NBC's inspection.

5.Customers served by compound meters will be assessed a fixed fee based on the size of the domestic use dial in accordance with rates and Terms and Conditions approved by the PUC.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.8 Consumption Based Sewer Use Fees

A.Consumption based fees shall be rendered to property owners as usage data is made available by the public water supplier or any other metered water source in accordance with rates approved by the PUC.

1.Basis for Consumption Fees

Consumption fees shall be based upon of the volume of water entering the structure from a public water supply agency, non-residential private well, steam facility, or other source. The consumption rate assumes fifteen percent (15%) of the measured water usage is not discharged to the NBC’s facilities. All water sources must be metered except for residential private wells. Where a property is not metered at the water source entering the structure, or where a property is metered at the water source entering the structure but there is an output meter, consumption fees shall be based upon the volume of metered wastewater discharged directly or indirectly into the NBC's facilities. The user fee rate for discharges from such properties shall be charged in accordance with the rate and method set forth in Terms and Conditions approved by the PUC. Installation and use of an output meter must be approved by the NBC's Executive Director or his/her designee. Consumption charges for compound meters shall be based upon metered water usage of the domestic use dial.

2.Estimated Bills

The NBC receives meter readings for its customers from various public water suppliers. When actual water meter readings do not exist, accounts will receive an estimated bill based on previous usage. Any variance due to estimated reads will be corrected when an actual read is obtained. Estimated bills may result in a customer overpayment resulting in a credit or under billings resulting in a true-up bill.

3.Retroactive Bills

Although a customer is indirectly or directly connected to the NBC's facilities, there may be instances where the NBC is not billing such property. In such instances, upon NBC's identification of an unbilled account, the customer may be retroactively billed for a three (3) year period for flat fees in effect for those service periods and for consumption fees in effect for those service periods based on meter readings supplied by the public water supplier. Where meter readings are unavailable from the public water supplier for the prior three (3) year period, the consumption for that period will be estimated based on actual reads taken subsequent to identification of the account.

4.Surcharges

Surcharges shall be rendered to property owners in accordance with rates approved by the PUC.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.9 Use Fee Abatements

A.Abatement Policy

The NBC has established a use fee abatement program whereby a property owner may apply for an adjustment to the water consumption used in the calculation of the consumption charge if they believe that more than fifteen percent (15%) of the source water does not discharge into the NBC’s facilities. Abatements are granted for only that percentage of water exceeding the fifteen percent (15%) allowance and are effective from the approval date forward and are calculated in accordance with Terms and Conditions approved by the PUC. No retroactive abatements will be granted.

B.Abatement Application Procedure

1.The property owner is required to:

a.Complete a Sewer Use Abatement Application form;

b.Pay an application fee in accordance with rates approved by the PUC;

c.Sign a Terms and Conditions Agreement with the understanding that violation of said Terms and Conditions Agreement will result in the suspension of the abatement status;

d.Reapply in order to reactivate such status if the abatement allowance is suspended for any reason;

e.Obtain NBC approval prior to any abatement meter installation;

f.Pay for all costs associated with meter installation and maintenance;

g.Supply NBC personnel with annual or quarterly (as defined in the Terms and Conditions Agreement) readings from all meters located on the property. If said readings are not supplied to the NBC, the abatement status will be suspended indefinitely; and

h.Ensure meters are reasonably accessible for inspection by the NBC staff.

2.Sewer Use Fee Abatement Application forms and the associated Terms and Conditions Agreement are available on NBC's website and will also be provided by the NBC's Customer Service Department upon request.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.10 Leaks

Adjustments for leaks may be granted where it has been determined that a property was billed for water that did not enter the NBC’s facilities during a specific time period. The customer shall contact the NBC within thirty (30) days of discovery of the leak and provide documentation from a licensed plumber supporting the occurrence and repair of the leak, along with a copy of the paid repair receipt. Said repairs must be completed within fifteen (15) days of notification to the NBC of said leak. The average usage for the property will be determined by meter readings obtained during subsequent site visits conducted by NBC staff. This average will be compared to the period in question, including seasonal considerations, to establish whether or not an adjustment is warranted. Customers seeking an adjustment must be current on payment of all charges not in dispute.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.11 Meter Testing and Failures

A.A meter tests one hundred percent (100%) if after testing it conforms to the American Waterworks Association's standards or any meter testing standard approved by the PUC pursuant to R.I. Gen. Laws § 39-3-9, as amended. If a meter tests one hundred percent (100%), there shall be no adjustment to a customer's bill except where a bill has been estimated, in which case the bill will be adjusted based on the meter read out.

1.Meter Repaired or Replaced

a.When a meter is removed for testing or repair and it does not test one hundred percent (100%), the customer shall notify the NBC in writing. In that instance, the bill shall be issued based upon the average daily rate of water consumption or discharge as shown by the meter for a ninety (90) day period after the meter has been returned to service and is in proper working order or after the meter is replaced. Any dispute of an estimated bill must be made within six (6) months of notification to the NBC that said failed meter has been repaired or replaced.

b.If a meter has not been returned to service or replaced within thirty (30) days after removal, the bill shall be issued based upon the average daily rate of water consumption or discharge for the previous two (2) year period. Failure of a customer to replace or repair a meter shall result in consumption bills based upon estimated readings until such time as the meter is repaired or replaced.

2.Dead Meter or Meter Unable to be Read

a.If a meter fails to register any flow (i.e., dead meter), or if a meter is unable to be read, and has been in such condition for more than ninety (90) days, the bill shall be issued based upon one (1) or more of the following factors:

(1)Estimated meter readings provided by the water supplier;

(2)Estimated consumption that is comparable for a property of the same classification and occupancy;

(3)After replacement of the meter, the average daily consumption or discharge as shown by the new meter for the ninety (90) day period following replacement, plus seasonal considerations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.12 Other Sewer Use Fees, Including Miscellaneous Fees, Charges, Surcharges, and Assessments

A customer may be assessed miscellaneous charges including, but not limited to, a Pretreatment Permit Application Fee, Sewer Connection Permit Application Fee, Capacity Charge, Sewer Back-up Removal Fee, Abatement Application Fee, or a Real Estate Closing Fee as set forth in the rates approved by the PUC. These fees and charges may be amended or deleted from time to time.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.13 Changes in Property Ownership

When a property that is either directly or indirectly connected to the NBC’s facilities is sold, the property owner, property purchaser or their legal representative must provide a current water meter reading (obtained within seven (7) days of the closing date) to NBC Customer Service at least two (2) business days prior to the sale. The NBC will not make any adjustments to consumption bills due to the failure of the requesting party to provide an accurate meter reading at the time of the closing request. The NBC will not become involved in any disputes arising from inaccurate meter readings or estimated consumption charges when readings are not provided and/or the meter is malfunctioning. The new owner is responsible for all charges that remain unpaid on the account, including those charges that originated on the account prior to said ownership change.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.14 Disputes

A.Dispute Procedure

If a customer believes that a specific charge on the sewer bill is incorrect, he or she must contact the NBC’s Customer Service Department via telephone, e-mail or in writing to dispute the charge. While a particular charge is in dispute, late charges will not accrue against the disputed transaction and the NBC will not attempt to collect that specific amount. While the dispute is researched, the customer is required to pay the undisputed portion of the bill and all new charges. The right to dispute a bill is limited to the person assessed and it is not assignable or transferable.

B.Appeals

If a customer is unable to satisfactorily resolve their billing dispute with the NBC after following the dispute procedures set forth in § 2.14(A), he or she may file an appeal with the NBC within three (3) years from the date the disputed fee, charge or assessment became due and payable on their account. All such appeals must be made no later than six (6) months after the transfer of the property to a third (3rd) party. The customer also has the right to file a petition with the Superior Court for the county in which the property lies within sixty (60) days following a final decision issued by the NBC regarding any appeal.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.15 Adjustments

Adjustments are corrections to inaccurate charges and are not restricted to any type of sewer use fee or use classification and shall be issued without bias in accordance with the rates and fees approved by the PUC. All corrections must be fully documented and are subject to the NBC authorized approval prior to processing. Adjustments, whether debit or credit adjustments, shall be limited to three (3) years from the date of the original billing transaction with the exception of charges assessed against a property determined to be non-sewered, in which case the adjustment period shall be limited to the period of time when the property has been owned by the current owner, and transaction and payment records are available and provided to the NBC. Adjustments for mis-applied payments shall be limited to a three (3) year period from the date of said payment.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.16 Payment

A.Payment Terms

All sewer use fees are due and payable upon receipt, unless due earlier as provided in this Part or as approved by the PUC. Customers may make payment by any method approved by Customer Service and such payments are subject to any fees and charges as approved by the PUC. Sewer use fees not paid within thirty (30) days after the billing date shall be deemed to be overdue and delinquent. All delinquent bills shall be subject to late charges in accordance with rates approved by the PUC.

B.Payment Arrangements

If a customer is unable to pay a sewer bill by the due date, he or she may contact Customer Service and request a payment arrangement for past due balances. The standard payment arrangement terms require fifty percent (50%) of the past due balance to be paid immediately, with the remaining balance payable in thirty (30) days or in two (2) subsequent equal monthly installments. Current charges and late charges must be paid in addition to the payment arrangement amount. NBC management may approve longer payment arrangement terms.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.17 Sewer Use Fee Liens, Water Termination, and Collection Actions

All unpaid charges shall be a lien upon the real estate of said user. All such unpaid charges shall be subject to collection procedures in accordance with R.I. Gen. Laws §§ 46-25-22 and 46-25-22.1, as amended. Collection action may include, but is not limited to, termination of water service and/or sale of property lien at public auction. The customer shall be responsible for any administrative fees associated with water shut off as well as court costs and any other collection fees or costs, plus attorneys’ fees incurred by the NBC in any collection proceeding initiated in order to collect outstanding fees, charges, and assessments owed.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.18 Maintenance and Repair

Where a property utilizes a meter that is not provided by a public water supplier, the property owner shall be responsible for all costs associated with the meter installation, calibration, maintenance, and repair.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.19 Titling of Accounts

All consumption accounts will be titled in the name of the recorded property owner.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

835-RICR-20-00-2 § 2.20 Interpretation of Requirements

A.Construction

The provisions of this Part with respect to the meaning of technical terms and phrases shall be interpreted and administered by the Executive Director.

B.Captions

Captions and headings are for reference only and shall not limit or otherwise affect the meaning of the paragraphs thereunder.

C.Severability

If any provision of these Customer Services Rules and Regulations or the application thereof to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of the Customer Services Rules and Regulations shall not be affected thereby. The invalidity of any section or sections or parts of any section or sections shall not affect the validity of the remainder of these Customer Services Rules and Regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-10-27 to 01/04/2022
• Amendment — effective from 2018-04-13 to 10/27/2021
• Adoption — effective from 2004-03-31 to 04/13/2018

Chapter 30 Purchasing and Acquisitions

Subchapter 00

835-RICR-30-00-1 Purchasing Rules and Regulations

835-RICR-30-00-1 § 1.1 General Provisions

1.1.1Authority

This Part is established pursuant to R.I. Gen. Laws §§ 37-2-1 et seq. (State Purchases Act) and 46-25-26 (Narragansett Bay Commission Act) to insure fair and equitable treatment of all persons and entities conducting business with the Narragansett Bay Commission (NBC).

1.1.2Purpose

The purpose of this Part is to increase public confidence in the procedures followed in the public purchasing of goods and services while maintaining the quality, integrity, and high ethical standards of the NBC.

1.1.3Definitions

A.For the purposes of this Part, the following words and terms shall have the following meanings:

1."Architectural services" means services performed by a person who, in accordance with R.I. Gen. Laws § 5-1-2 is by reason of his/her knowledge of mathematical and physical sciences, and the principles of architecture and architectural design, acquired by professional education, certification, practical experience, or all is qualified to engage in the practice of architecture as attested by licensing as an architect in the State.

2."Board" means the Narragansett Bay Commission Board of Commissioners.

3."Chief Purchasing Officer" means the Executive Director of the NBC who is responsible for overseeing all of the daily purchasing activities of the NBC. The Chief Purchasing Officer shall have the power to delegate such authority as he sees fit.

4."Competitive negotiation" means a specialized bidding procedure used to modify the specifications or the terms or conditions of the offers of at least two vendors solicited by the NBC.

5."Construction firms" means companies under contract to the NBC to construct, alter, repair, improve, or demolish any NBC structure, building, or facility.

6."Consulting services" means services performed by any person with whom the NBC contracts to provide direction, guidance or information with regard to a particular area of knowledge in which the person is a specialist and/or has expertise. Some examples of consulting services include, but are not limited to: systems analysis, application implementation and financial advising.

7."Contractor" means an entity that has entered into a contract with NBC for goods, services, supplies or construction.

8."Design-build services" means a method by which one entity (design-builder) executes a single contract with the NBC to provide architectural engineering and construction services.

9."Engineering services" means services performed by a person who by reason of his/her special knowledge and use of the mathematical, physical and engineering sciences and the principles and methods of engineering analysis and design, acquired by engineering education and experience, is qualified to practice engineering as attested by licensing as an Engineer in the State and to provide planning, design, and construction support services for NBC projects.

10."Legal services" includes but is not be limited to research, drafting documents, providing legal advice, representing NBC before courts, arbitrators, boards, administrative agencies, and other bodies.

11."Lowest bid price" means the lowest price that is offered by vendors / contractors.

12."Lowest evaluated bid price" means the lowest price after bid adjustments are made pursuant to objective measurable criteria that are stated in the invitation for bids.

13."M/WBE" or "Minority or Women Business Enterprises" means a small business owned and controlled by one or more minorities or women certified by the Rhode Island Department of Administration to meet the definition established by R.I. Gen. Laws Chapter 37-14.1.

14."Negotiation" means the process of establishing contractual provisions and of gaining contractual acceptance, other than solely as the result of normal competitive bidding. For the purpose of this definition, two distinct categories of negotiation shall be recognized: competitive negotiation and noncompetitive negotiation.

15."Noncompetitive negotiation" means the establishment of contractual terms and conditions, including but not limited to contract price, by discussion with a single vendor, outside of the procedures established for competitive bidding.

16."Person" means any business, individual, organization, or group of individuals.

17."Purchasing" means the procuring, buying, renting, leasing, or otherwise obtaining of any supplies, services, equipment, or construction. It shall also include all functions that pertain to the obtaining of any supply, service, equipment, or construction item, including description of requirements, selection and solicitation of sources, preparation and award of contracts, and all phases of contract administration.

18."Prime contractor" means a contractor who engages subcontractors in the course of satisfying the requirements of fulfilling a contract.

19."Resident engineering services" means those services provided by an engineer acting as the NBC's onsite agent through the construction phase of a project. Services may include one or more of the following: Basic Office and Field Construction Services (bidding services, shop drawing review, general consultation, and advising on construction matters and records drawings); Resident Engineering and Inspection (schedule and shop drawing review, act as NBC's liaison with the construction contractor, review work completed and rejection of defective work, interpret construction drawings, maintain job site records and reports, and certification of payment requisition); Operations and Maintenance Manual (describes the proper procedures for operating and maintaining the facilities safely); Startup Services (coordinate final equipment checkout, provide expert operational assistance for fine tuning after initial startup, and revise Operations and Maintenance Manual if necessary); Operation Training (train NBC personnel on operating new facilities); CPM Scheduling (review of the Contractor's Critical Path Method schedule).

20."Request for Proposals (RFP)" means a request by the NBC to interested firms to submit all documents, whether attached or incorporated by reference, utilized for soliciting proposals.

21."Request for Qualifications (RFQ)" means a request by the NBC to all interested firms to submit all documents evidencing experience and eligibility with regard to the solicitation of proposals.

22."Request for Qualifications / Request for Proposals (RFQ/RFP)" means a request by the NBC to all interested firms to submit all documents evidencing experience and eligibility with regard to the solicitation of proposals along with all documents utilized for soliciting of proposals.

23."Responsible bidder / proposer" means a qualified bidder or proposer who has the capability in all respects, including financial responsibility to fully perform the contract requirements, and the integrity and reliability to ensure good faith performances.

24."Responsive bidder / proposer" means a person who has submitted a bid or proposal that conforms in all material respects to the invitation for bids or RFP, so that all bidders / proposers may stand on equal footing with respect to the method and timeliness of submission and as to the substance of any resulting contract.

25."Sole source" means the awarding of a contract for a supply, service, equipment, or construction item without competition when the Chief Purchasing Officer or his designee determines in writing that there is only one source for the required supply, service, equipment, or construction item.

26."Special services" means services that the Chief Purchasing Officer deems necessary or desirable to purchase and are provided by individuals or firms possessing special knowledge or skills for which formal licensing or certification is not necessarily required. Some examples of Special Services include, but are not limited to, expert witness testimony and lecturers; interpretation (languages, hearing impaired); public information (drug and alcohol abuse, water conservation and pretreatment).

27."Spot purchases" means one time purchases of items sold on the basis of posted market prices, which are deemed by the Chief Purchasing Officer to be in the best interests of the NBC because of advantageous fluctuations in seasonal and supply / demand factors.

28."Standard or established catalogue items" means, as shall be identified by the Chief Purchasing Officer as, exceptions to the competitive bidding process.

29."Vendor" means any person who provides supplies, services, or construction under a contract.

1.1.4Vendor Registration

All goods and services shall be solicited in accordance with this Part. Bid awards are contingent upon registration procedures as set forth by the NBC.

1.1.5Chief Purchasing Officer

The Executive Director of the NBC shall act as the Chief Purchasing Officer of the NBC in accordance with R.I. Gen. Laws § 38-2-7(3).

1.1.6Application of this Part

A.This Part shall apply to all expenditures of NBC and public funds, unless otherwise provided by law, by the NBC under any contract or like business agreement, excepting only those contracts or like business agreements between the NBC and the State and or its political subdivisions or other government.

B. This Part shall not prevent the NBC from complying with the terms and conditions of any grant, gift, bequest, or agreement.

C.This Part shall not prevent the NBC from accepting assignments of any contracts from the State of Rhode Island or any of its departments; provided, however, that any such contract shall have been awarded in accordance with the requirements of the State Purchases Act.

D.This Part shall be incorporated by reference into all contracts of the NBC to which they apply.

E.Contracts entered into in violation of this Part shall be null and void.

1.1.7Application of the State Purchases Act

While not mandated under state law to utilize the State Central Purchasing Authority, the NBC shall adhere to the general principles and philosophies set forth in the State Purchases Act, pursuant to R.I. Gen. Laws §§ 37-2-2 and 37-2-12.

1.1.8NBC Board of Commissioners

Upon a decision of the NBC Board of Commissioners, the purchasing authority designated to the Chief Purchasing Officer in this Part may be increased.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.2 Methods of Source Selection

A.The NBC shall utilize the Rhode Island Vendor Information Program to implement the requirements of R.I. Gen. Laws §§ 37-2-17 and 37-2-17.1. All contracts of the NBC shall be awarded by competitive sealed bidding or alternative procurement methods.

B.If the Chief Purchasing Officer makes a determination in writing that competitive sealed bidding is not in the best interest of the NBC, any one or combination of the following alternative procurement methods may be utilized:

1.Negotiation, § 1.4 of this Part;

2.Spot Purchases, § 1.5 of this Part;

3. Small purchases, § 1.6 of this Part;

4.Sole source, § 1.7 of this Part;

5.Construction Services, § 1.8 of this Part;

6.Architectural, Engineering, Consulting, or Resident Engineering Services, § 1.9 of this Part;

7.Architectural, Engineering, and Construction Services - Design Build, § 1.10 of this Part;

8.Architectural, Engineering, and Construction Services - Construction Manager At-Risk, § 1.11 of this Part; or

9.Legal Services, § 1.12 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.3 Competitive Sealed Bidding

A.Pursuant to R.I. Gen. Laws § 37-2-18(a), contracts exceeding ten thousand dollars ($10,000) for construction and five thousand dollars ($5,000) for all other purchases shall be awarded by competitive sealed bidding unless it is determined that this method is not practicable. Said determination shall be set forth in writing by the Chief Purchasing Officer. In determining whether competitive sealed bidding is appropriate and practical, the Chief Purchasing Officer shall consider:

1.Whether specifications can be prepared that permit an award on the basis of the lowest evaluated bid price that is responsive and responsible; and

2.The available sources; and

3.The time and place of performance; and

4.Other relevant circumstances.

B.Invitation to Bid: The invitation for bids shall state that an award shall be made based on the lowest evaluated bid price that is responsive and responsible. The general terms and conditions for NBC Contracts, which are located in the NBC's Purchasing Department, are applicable to all bids.

C.Public Notice: Unless the invitations for bid are accessible under the provisions of R.I. Gen. Laws § 37-2-17.1, adequate public notice of the invitation to bid shall include publication in a newspaper of general circulation in the State of Rhode Island and may include other publications as determined by the NBC not less than seven (7) days nor more than twenty-eight (28) days before the date set for the opening of bids. In the event that the NBC determines that there is a need to waive the twenty-eight (28) day limitation, the NBC shall make a written determination stating the reasons why the limitation is being waived and shall state the number of days, giving a minimum and maximum, before the date set for the opening of bids when public notice is to be given.

D.Opening of Bids: Pursuant to R.I. Gen. Laws § 37-2-18(d), bids shall be opened publicly at the time and place designated in the invitation for bids. Each bid, together with the name of the bidder, shall be recorded and an abstract made available for public inspection as soon as practicable thereafter. Pursuant to R.I. Gen. Laws § 37-2-18(g), subsequent to the awarding of the bid, all documents pertinent to the awarding of the bid shall be made available and open to public inspection and retained in the bid file.

E.Award: Pursuant to R.I. Gen. Laws § 37-2-18(h), the contract shall be awarded with reasonable promptness to the responsive and responsible bidder whose bid is either the lowest bid price or lowest evaluated bid price.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.4 Negotiation

1.4.1Procedures for Negotiation

A.The objective of negotiation shall be to secure advantageous terms and conditions and/or to exact improvements in terms and conditions offered to the NBC to reduce potential costs to the NBC.

B.Negotiation shall be used to establish or modify contractual provisions in all cases where:

1.Fixed pricing is not the sole determinant for award;

2.Responses to competitive bidding or requests for proposal suggest that lower pricing, or other improvements in offers, are achievable;

3.Sole source purchases are made;

4.Responses to the competitive bidding or requests for proposal do not permit effective comparison, due to the differing nature of the responses;

5.The scope of a contract changes during the performance period, such that modification of price or of other provisions may be warranted;

6.The Chief Purchasing Officer has determined in writing that a product or the market in which a product is sold is noncompetitive in nature; or

7.The Chief Purchasing Officer has determined in writing that the NBC is in need of special services.

C.The Chief Purchasing Officer may delegate authority for directing and negotiating change orders to subordinate personnel. Such delegation shall be in accordance with specific limitations defined by the Chief Purchasing Officer.

D.Competitive Negotiation

1.Contracts may be competitively negotiated when it is determined in writing by the Chief Purchasing Officer that the bids or proposals received by competitive sealed bidding or sealed request for proposals are either unreasonable as to all or part of the requirements or were not independently reached in open competition and for which:

a.Each responsible / responsive bidder or proposer has been notified of the intention to negotiate and is given reasonable opportunity to negotiate; and

b.The negotiated price is lower than the lowest rejected bid price or proposal price by any responsible / responsive bidder or proposer; and

c.The negotiated price is the lowest negotiated price offered by any responsible / responsive bidder or proposer.

2.Competitive negotiation may be used in any case where the scope, term, or other requirements of the purchase have not been determined at the time that a requisition is issued, or where optional bids or proposals are desired and encouraged, or where the value of the purchase has not been definitively established.

3.Procedures: Requests for Proposals in Competitive Negotiations:

a.Public Notice: Unless the invitations for bid are accessible under the provisions of R.I. Gen. Laws § 37-2-17.1, adequate public notice of the request for proposals (RFP) shall include publication in a newspaper of general circulation in the State of Rhode Island and may include other publications as determined by the NBC not less than seven (7) days nor more than twenty-eight (28) days before the date set for the opening of the RFP. In the event that the NBC determines that there is a need to waive the twenty-eight (28) day limitation, the NBC shall make a written determination stating the reasons why the limitation is being waived and shall state the number of days, giving a minimum and maximum, before the date set for the opening of RFP when public notice is to be given.

b.The RFP shall describe and enumerate the item(s) covered, their specification(s), contract term(s), and any other special provisions or requirements. The RFP shall indicate the relative importance of the evaluation factors including price.

c.At a public opening of responses to the RFP, the Chief Purchasing Officer shall not be required to reveal any information other than the names of those responding. The nature of responses shall not be subject to public disclosure until a contract has been awarded.

d.Review and Discussion: Written or oral discussion shall be conducted with all responsible and responsive proposers who submit proposals determined in writing to be potentially selected for award. Discussions shall not disclose any information derived from proposals submitted by competing proposers. Discussion need not be conducted under the following circumstances:

(1)With respect to prices, where such prices are fixed by law or regulation, except that consideration shall be given to competitive terms and conditions; or

(2)Where time of delivery or performance will not permit discussions; or

(3)Where it can be clearly demonstrated and documented from the existence of adequate competition or accurate prior cost experience with the particular supply, service equipment, or construction item, that acceptance of an initial proposal without discussion may result in fair and reasonable prices and the RFP notifies all proposers of the possibility that the award may be made on the basis of the initial offers.

e.Evaluation: Responses to the request for proposals shall be evaluated:

(1)To determine nonresponsive proposals, which shall be eliminated from further consideration; and

(2)To determine the lowest cost combination of options, terms, and conditions, establishing a base-line; and

(3)To establish a cost ranking of responses to that base-line.

f.Where there is more than one proposer, competitive negotiations shall be conducted with the three (two if there are only two) proposers who have been determined in writing to be the lowest responsive and responsible proposers to the RFP. Such competitive negotiations shall be conducted under the following restrictions:

(1)All potential proposers shall have equal opportunity to take part in discussions pertaining to the revision of the scope of services in a contract.

(2)In a case where a revised request for proposals is requested, it shall be issued as promptly as possible and shall demand a diligent response to the revised requirements. The award shall be granted upon the basis of the lowest evaluated proposed price submitted by any responsive and responsible proposer.

(3)In the event that all proposals submitted pursuant to this article result in offers in excess of the funds available for the purchase and the lowest proposal is ten percent (10%) greater than the next lowest price offer then the Chief Purchasing Officer has the option of accepting the lowest cost bid rather than negotiating.

g.The Chief Purchasing Officer is not prohibited from negotiating with vendors who maintain a General Service Administration Price Agreement with the United States of America, the State of Rhode Island, or any agency thereof, provided, however, that no contract executed under this provision shall authorize a price higher than is contained in the contract between the General Service Administration or the State of Rhode Island and the vendor affected.

h.Request for Best and Final Proposal

(1)On the basis of discussions with proposers, a request for best and final proposal, which describes the requirements of the purchase in the final form, shall be issued to all proposers still under consideration.

(2)Each proposer shall submit a best and final proposal, which defines their best price and other terms, for the purchase.

(3)Best and final proposals shall be evaluated and awarded to the responsible proposer whose proposal is determined in writing to be the most advantageous to the NBC taking into consideration price and the evaluation factors set forth in the RFP.

E.Noncompetitive Negotiation

1.In the event that all sealed bids submitted through a formal solicitation result in bid prices in excess of the funds available for the purchase, and the Chief Purchasing Officer determines in writing that there are no additional funds available from any source so as to permit an award to the lowest responsive and responsible bidder, and the best interest of the NBC will not permit the delay attendant to a re-solicitation under revised specification or for revised quantities under competitive sealed bidding, then a negotiated award may be made as set forth in this section.

2.Noncompetitive negotiation may be used to improve the price offered on the lowest evaluated bid price that is both responsive and responsible to any competitive bid.

3.The Chief Purchasing Officer may authorize the award of a contract on the basis of noncompetitive negotiation, where it has been determined in writing that:

a.Sole source purchasing is appropriate; or

b.The product or market in which a product is sold is noncompetitive in nature; or

c.Deceptive or exclusionary selling practices are in evidence.

4.Noncompetitive negotiation may be used to modify a contract during its performance, provided that no attempt is made to reduce the contractual obligations of the supplier, vendor, or contractor or the contract term is not extended except in response to a request by the supplier, vendor, or contractor in consideration for other substantive changes and where such extension of the contract term is determined in writing by the Chief Purchasing Officer to be in the NBC's best interest.

5.In all negotiations, the noncompetitive negotiation process, including, but not limited to: issues discussed, options considered, the rationale applied to decisions made, and agreements reached shall be documented in summary form and placed in the purchase order file.

1.4.2Truth in Negotiations: Requirement Cost or Pricing Data

A.A vendor/contractor shall submit cost or pricing data and shall certify that, to the best of his/her knowledge and belief, the cost or pricing data submitted is accurate, complete, and current as of a mutually determined date. The cost or pricing data is necessary when:

1.The pricing of any negotiated contract where the total contract price is expected to exceed fifty thousand dollars ($50,000); or

2.The pricing of any change order or contract modification which is expected to exceed twenty-five thousand dollars ($25,000) or such lesser amount in either instance as may be prescribed by the Chief Purchasing Officer and approved by the Board.

B.Applicability

1.The requirements of § 1.4.2(A) of this Part apply to all purchase order supplements over twenty-five thousand dollars ($25,000) incorporating an aggregate of changes equal to this value, e.g., an additive change of twenty thousand dollars ($20,000) and a deductive change of eleven thousand dollars ($11,000) are equal to an aggregate change value of thirty-one thousand dollars ($31,000) and this is subject to the requirements of § 1.4.2 of this Part.

2.The requirements of § 1.4.2 of this Part need not be applied to contracts where the price negotiated is based on adequate price competition, established catalogue or market prices of commercial items sold in substantial quantities to the general public, prices met by law or regulation, or in exceptional cases where it is determined in writing by the Chief Purchasing Officer that the requirements of § 1.4.2 of this Part may be waived and the reasons for such waiver are stated in writing.

C.Cost or pricing data may include such verifiable factors as all vendor quotations, nonrecurring cost, changes in production methods and production of purchasing volume, data in support of contractor projection of business prospects and objectives, together with related costs of operations, unit cost trends such as those associated with labor efficiency, make-or-buy decisions and estimated resources to attain business goals, and any other management decisions that reasonably could be expected to have a significant bearing on cost under a proposed contract.

D.The requirement for submission of cost or pricing data is met when all data reasonably available to the vendor/contractor has been submitted or identified in writing at the time of agreement on price. The availability of books, records, and other documents without specific identification and explanation shall not be considered submission for the purpose of verification and agreement.

1.4.3Subcontracting Requirements

A.Prime contractors shall require subcontractors to submit cost or pricing data for purchases in excess of fifty thousand dollars ($50,000) unless exempted herein.

B.Certification: Prime contractors shall require subcontractors to certify that cost and pricing data submitted are accurate, complete, and current as of the date of agreement on price.

C.Any contract, change, or modification thereto under which a certificate is required shall contain a provision that the price to the NBC, including profit or fee, shall be adjusted to exclude any significant sums by which the Chief Purchasing Officer finds that such price was increased because the contractor furnished cost or pricing data, as of the date agreed upon between the parties, which was inaccurate, incomplete, or not current.

D.Prime contractors must agree that the prime contract price shall be reduced in any significant amount by which the prime contract price was overstated because a subcontractor did not submit accurate, complete, and current cost or pricing data when required by law.

1.4.4Guidelines in Negotiations

A.The Chief Purchasing Officer shall be responsible for preparing a written statement at the conclusion of each negotiation phase setting forth the principal elements of the price negotiations.

1.Sufficient detail shall be recorded to reflect the most significant considerations controlling the establishment of the price.

2.If cost and pricing data were not required, a statement detailing the basis for determining that the price was fair and reasonable and the extent to which the data submitted was not a factor in the price negotiated shall be recorded.

B.All contracts shall contain a clause providing for a post award audit to be undertaken when, after an award, the NBC obtains information that submitted data was inaccurate, incomplete, not current, or if the data was not adequately verified at the time of negotiations.

C.To the extent possible, contracts shall contain language that provides for unit pricing of potential change orders.

D.The NBC may conduct or may obtain price analyses to ascertain whether the price quoted is fair and reasonable in relation to comparable purchases when the absence of open market competition precedes the use of sealed bidding.

E.In the negotiation of settlements of contracts that have been terminated:

1.Contract settlement shall be made in accordance with the terms specified in the purchase order.

2.In the absence of appropriate contract language, the vendor shall be paid a reasonable profit plus costs incurred from the effective date of the contract until the contract was terminated.

3.Penalties due to the NBC in accordance with a contract may be deducted from any payment to which a vendor is entitled.

F.Under contract provisions that provide for the reimbursement of costs, reimbursement shall be made only upon the presentation of documented, demonstrative evidence to the NBC that the vendor has incurred an eligible expense.

1.4.5Modifications of Bids:

A.Correction or withdrawal of bids will be allowed only in the following circumstances:

1.A bidder will not be permitted to correct a bid mistake after bid opening that would cause such bidder to have the low bid unless the mistake is clearly evident from the bid documents and verified by the NBC, for example, an error in addition.

2.An otherwise low bidder may be permitted to correct a material mistake of fact in its bid, including price, when the intended bid is obvious from the bid document or is otherwise supported by proof that has evidentiary value. A low bidder will not be permitted to correct a bid for mistakes or errors in judgment.

3.In lieu of bid correction, a low bidder alleging a material mistake of fact will be permitted to withdraw its bid when there is reasonable proof, as determined by the NBC, that a mistake was made and the intended bid cannot be ascertained with reasonable certainty.

4.After bid opening, an otherwise low bidder shall not be permitted to make exceptions to the bid condition or specifications that affect price or substantive obligation; however, such bidder shall be permitted the opportunity to furnish other information called for by the invitation for bids and not supplied due to oversight, so long as it does not affect responsiveness.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.5 Spot Purchases

Spot Purchases of certain items sold on the basis of certain market prices shall be exempt from ordinary methods of source selection by the Chief Purchasing Officer when market analysis indicates that such purchases are in the best interests of the NBC. Opportunities to take advantage of seasonal and/or supply/demand influences shall be taken into account when determining whether to pursue formal competitive bid procedures.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.6 Small Purchases

A.The NBC's Small Purchases shall not exceed an aggregate amount of ten thousand dollars ($10,000) for construction and five thousand dollars ($5,000) for all other purchases. Small Purchases shall be made in accordance with the following procedure:

1.No purchase can be made without an approved purchase order.

2.A ten percent (10%) variance shall be allowed for unit cost adjustment, when and where applicable, with the approval of the purchasing manager.

3.Purchasing requirements shall not be artificially divided so as to constitute small purchases under this section.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.7 Sole Source

A.Sole Source Purchases of certain items shall be exempt from ordinary methods of source selection by the Chief Purchasing Officer when there is no reasonable alternative on the market and such purchases are in the best interest of the NBC. This provision excepting sole source purchases from competitive bidding shall not be interpreted to reduce the responsibility of the NBC to investigate alternative sources.

B.Sole source categories shall include but are not limited to, the following examples:

1.Items of a unique nature which are unavailable from other sources due to patents or proprietary processes;

2.Books, maps, periodicals, and technical pamphlets, films, video, CDs, DVDs and audiocassettes obtained from publishers;

3.Certain computer software, hardware, or maintenance service;

4.Licenses pertaining to computer software or electronic transmittal;

5.Specialized replacement/repair parts or expansion parts necessary to maintain the integrity of systems functions;

6.Specialized services for which there is only one documented accepted source, such as transactions involving unique services and/or educational institutions, e.g., lecturers or professors; repair/maintenance agreements with manufacturers;

7.Advertisement, public notices in magazines, trade journals, newspapers and television.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.8 Selection of Construction Firms

1.8.1Public Announcement

A.The NBC shall give public notice of the need for construction firms. Such public notice shall be published sufficiently in advance of the date when responses must be received (at least 21 days).

B.The notice shall describe the project and how to obtain a copy of the plans and specifications.

C.The notice shall be published in a newspaper of general circulation in the State of Rhode Island and may be published in such other publications as determined by the NBC.

1.8.2Pre-Bid Conference

A meeting shall be held for the purpose of answering any questions pertinent to the plans and specifications of the project.

1.8.3Bid Procedure

A.Formal bids, together with the bid surety, are forwarded and opened at a designated time and location determined by the NBC.

B.A record of all bids, together with the bid surety for the lowest three bidders, is kept in the Purchasing Section of the NBC.

C.Surety must be certified or bank check or bid bond or substitute acceptable to NBC.

D.Bid bonds must be supplied by a reputable firm licensed in the State of Rhode Island.

E.All other surety will be returned to the bidders.

1.8.4Review of Bids

A.The Construction Manager together with the Consulting Engineer, if any, will review all bids and recommend to the Chief Purchasing Officer the lowest evaluated bid price that is both responsive and responsible.

B.The Chief Purchasing Officer will then recommend the lowest evaluated bid price that is both responsive and responsible to the Construction, Engineering and Operations Subcommittee (CEO) of the NBC Board.

C.The CEO Committee will then recommend to the full Board the lowest responsive and responsible bid.

D.The full Board will make the final selection for contract award.

1.8.5Notification

A.Notice of intent to award is made to the contractor selected by the full Board.

B.Award shall be subject to receipt of Payment Bond, Performance Bond, Insurance Certificate, State EEO approval, and documentation of compliance with State M/WBE requirements.

C.A notice to proceed will be issued and the purchase order will be processed upon contractor's compliance with § 1.8.5(B) of this Part. Upon issuance of notice to proceed, the bid surety being held in the NBC's Purchasing Department will be returned to the two contractor's not being awarded the contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.9 Selection of Architectural, Engineering, Consulting, or Resident Engineering Services

1.9.1Public Announcement

A.The NBC shall give public notice of the need for architectural, engineering, consulting, or resident engineering services that are reasonably estimated to exceed $20,000. Such public notice shall be published sufficiently in advance of the date when responses must be received in order to allow interested parties an adequate opportunity to submit a statement of qualifications.

B.The notice shall contain a brief statement of the services required, describe the project, and specify how a solicitation containing specific information on the project may be obtained.

C.The notice shall be published in a newspaper of general circulation in the State of Rhode Island and in such other publications as determined by the NBC.

1.9.2Solicitation

A.A solicitation shall be prepared that describes the proposed project and the information that must be submitted to the NBC for evaluation and sets forth the evaluation criteria. It shall be distributed to interested persons upon request.

B.For services reasonably estimated to exceed $20,000, a meeting shall be held by the staff member in charge of the project for the purpose of describing the criteria to be used in evaluating the statement of qualifications and selection of firms to all interested parties. Criteria shall include but are not limited to:

1.Competence to perform the services as reflected by technical training and education; general experience; experience in providing the required services; and the qualifications and competence of persons who would be assigned to perform the services; and

2.Ability to perform the services as reflected by work load and the availability of adequate personnel, equipment, and facilities to perform the services expeditiously; and

3. Past performance as reflected by the evaluation of private persons/entities and officials of other governmental entities that have retained the services of the firm with respect to such factors as control of cost, quality of work, and an ability to meet deadlines; and

4. The proposed approach to the project, where applicable.

C.The Scope of work shall be discussed and further defined at the bidder's conference, including on-site visits, if appropriate.

1.9.3Review and Evaluation of Statement of Qualifications and Proposals for Architectural, Engineering, and Resident Engineering Services

A.The Chief Purchasing Officer may designate a Project Manager who will coordinate a Review Committee to complete the initial review and rating of the statements of qualifications. All statements of qualifications shall be evaluated in accordance with criteria set forth in the solicitation for architectural, engineering, and resident engineering services.

B.Once the Review Committee has rated the statements of qualifications, the Project Manager shall submit the names of all firms submitting qualification statements, along with the recommendation of the firms that are considered to be the most professionally and technically qualified to the Chief Purchasing Officer.

C.The Chief Purchasing Officer shall review the recommendation of the Project Manager to ensure that all policies, procedures, technical, and financial considerations have been addressed and shall select a short list of firms that will receive a request for proposals.

D.Upon receipt of the short list of qualified firms from the Chief Purchasing Officer, the Project Manager will forward a request for proposals to the firms. Depending upon the complexity of the project, the Project Manager may conduct a pre-proposal conference prior to the submission of the formal proposals.

E.The Project Manager and the Review Committee may conduct interviews of the firms after the proposals are submitted. The appropriate Board Committee shall be notified of the time, date, and location of the interviews. The interviews shall be conducted by the Project Manager and members of the Review Committee designated by the Chief Purchasing Officer. The Project Manager may, with the approval of the Chief Purchasing Officer, require that additional information on proposals be submitted from the firms to be interviewed prior to the interview. Once the interviews have been concluded, the Project Manager shall submit a summary of the evaluations of the proposal and interview to the Chief Purchasing Officer.

F.The Chief Purchasing Officer or his/her designee shall consider the evaluations of the Project Manager, the qualifications of the firm, the quality of the proposal, as well as the price in selecting or considering his/her recommendation to the appropriate Board Committee.

1.9.4Review and Evaluation of Statement of Qualifications and Proposals for Consulting Services

A.For consulting services, the Chief Purchasing Officer or his/her designee shall review the qualification statements and proposals submitted by firms.

B.The Chief Purchasing Officer or his/her designee shall consider any evaluations of staff, the qualifications of the firm, the quality of the proposal, as well as the price in developing his/her recommendation to the appropriate Board Committee.

1.9.5Concurrent submittal and evaluation of Requests for Qualifications and Proposals

A.The NBC may, when determined to be in its best interest, solicit Requests for Qualifications and Requests for Proposals (RFQ/RFP) for architectural, engineering, consulting, and resident engineering services in one solicitation.

B.The Chief Purchasing Officer may designate a Project Manager who will coordinate a Review Committee to complete the review and rating of the statements of qualifications and proposals. All statements of qualifications and proposals shall be evaluated in accordance with criteria set forth in the solicitation for architectural, engineering, consulting, and resident engineering services.

C.Depending upon the complexity of the project, the Project Manager may conduct a pre-proposal conference prior to the submission of the statement of qualifications and proposal.

D.The Project Manager and the Review Committee may conduct interviews of the firms after the statement of qualifications and proposals are submitted. The appropriate Board Committee shall be notified of the time, date, and location of the interviews. The interviews shall be conducted by the Project Manager and members of the Review Committee designated by the Chief Purchasing Officer. The Project Manager may, with the approval of the Chief Purchasing Officer, require that additional information on the statement of qualifications and proposals be submitted from the firms to be interviewed prior to the interview.

E.Once the Review Committee has evaluated the statements of qualifications and proposals and has conducted interviews, the Project Manager shall submit a summary of the evaluations of the statement of qualifications, proposal, and interview to the Chief Purchasing Officer.

F.The Chief Purchasing Officer shall review the recommendation of the Project Manager to ensure that all policies, procedures, technical, and financial considerations have been addressed.

G.The Chief Purchasing Officer or his/her designee shall consider the evaluations of the Project Manager, the qualifications of the firm, the quality of the proposal as well as the price in developing his/her recommendation to the appropriate Board Committee.

1.9.6Final Selection of Architectural, Engineering, Consulting, and Resident Engineering Services

A.For every project that requires architectural, engineering, consulting, or resident engineering services, the fees for which are not reasonably expected to exceed twenty thousand dollars ($20,000), the Chief Purchasing Officer shall be responsible for the final selection of a qualified architectural, engineering, consulting, or resident engineering services firm for such project. Upon a decision by the Board, the Chief Purchasing Officer's authority to make final selections may be increased beyond the $20,000 allotment.

B.The Chief Purchasing Officer shall use the criteria set forth in R.I. Gen. Laws § 37-2-66 in making such selection. That determination shall be justified in writing.

C.For architectural, engineering, consulting, and resident engineering services greater than $20,000, the Chief Purchasing Officer, or his/her designee, shall submit his/her recommendation to the appropriate Committee of the Board as determined by the Chief Purchasing Officer. The Committee shall submit its recommendation for a preferred vendor to the Board. The Board shall vote on the recommendation of the Committee. An affirmative vote authorizes the award and directs the Chairman and the Chief Purchasing Officer to negotiate a contract within the specific limitations of the Board's Resolution. A negative vote returns the item to the Committee for further action.

1.9.7Issuance of Notice to Proceed

Upon execution of the negotiated contract by all authorized parties, the Chief Purchasing Officer shall issue a Notice to Proceed to the vendor pursuant to the provisions of such contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.10 Selection of Architectural, Engineering, and Construction Services for Design-Build Projects

1.10.1Purpose

Taking into account a variety of factors including time and costs, the Chief Purchasing Officer may determine that it is in the best interest of the NBC not to select separate architectural, engineering, and construction services but to instead execute a single contract with one entity called a design builder to provide all services.

1.10.2Public Announcement

A.The NBC shall give public notice of the need for a design builder for projects that are reasonably estimated to exceed $20,000. Such public notice shall be published sufficiently in advance of the date when responses must be received in order to allow interested parties an adequate opportunity to submit a statement of qualifications.

B.The notice shall contain a brief statement of the services required, describe the project, and specify how a solicitation containing specific information on the project may be obtained.

C.The notice shall be published in a newspaper of general circulation in the State of Rhode Island and in such other publications as determined by the NBC.

1.10.3Solicitation

A.A solicitation shall be prepared that describes the proposed project and the information that must be submitted to the NBC for evaluation and sets forth the evaluation criteria. It shall be distributed to interested persons upon request.

B.For services reasonably estimated to exceed $20,000, a pre-submittal conference shall be held by the staff member in charge of the project for the purpose of describing the criteria to be used in evaluating the statement of qualifications and selection of firms to all interested parties. Criteria shall include but are not limited to:

1.Competence to perform the services as reflected by technical training and education; general experience; experience in providing the required services; and the qualifications and competence of persons who would be assigned to perform the services; and

2. Ability to perform the services as reflected by work load and the availability of adequate personnel, equipment, and facilities to perform the services expeditiously; and

3. Past performance as reflected by the evaluation of private persons/entities and officials of other governmental entities that have retained the services of the firm with respect to such factors as control of cost, quality of work, and an ability to meet deadlines; and

4.The proposed approach to the project, where applicable.

C.The Scope of work shall be discussed and further defined at the pre-submittal conference, including on-site visits, if appropriate.

1.10.4Review and Evaluation of Statement of Qualifications and Proposals for Design-Build Services

A.The Chief Purchasing Officer may designate a Project Manager who will coordinate a Review Committee to complete the initial review and rating of the statements of qualifications. All statements of qualifications shall be evaluated in accordance with criteria set forth in the solicitation for design-build services.

B. Once the Review Committee has rated the statements of qualifications, the Project Manager shall submit the names of all firms submitting qualification statements, along with the recommendation of the firms that are considered to be the most professionally and technically qualified to the Chief Purchasing Officer.

C.The Chief Purchasing Officer shall review the recommendation of the Project Manager to ensure that all policies, procedures, technical, and financial considerations have been addressed and shall select a short list of firms that will receive a request for proposals.

D. Upon receipt of the short list of qualified firms from the Chief Purchasing Officer, the Project Manager will forward a request for proposals to the firms. Depending upon the complexity of the project, the Project Manager may conduct a pre-proposal conference prior to the submission of the formal proposals.

E. The Project Manager and the Review Committee may conduct interviews of the firms after the proposals are submitted. The appropriate Board Committee shall be notified of the time, date, and location of the interviews. The interviews shall be conducted by the Project Manager and members of the Review Committee designated by the Chief Purchasing Officer. The Project Manager may, with the approval of the Chief Purchasing Officer, require that additional information on proposals be submitted from the firms to be interviewed prior to the interview. Once the interviews have been concluded, the Project Manager shall submit a summary of the evaluations of the proposal and interview to the Chief Purchasing Officer.

F. The Chief Purchasing Officer or his/her designee shall consider the evaluations of the Project Manager, the qualifications of the firm, the quality of the proposal, as well as the price in selecting or considering his/her recommendation to the appropriate Board Committee.

1.10.5Concurrent submittal and evaluation of Requests for Qualifications and Proposals

A.The NBC may, when determined to be in its best interest, solicit Requests for Qualifications and Requests for Proposals (RFQ/RFP) for design-build services in one solicitation.

B. The Chief Purchasing Officer may designate a Project Manager who will coordinate a Review Committee to complete the review and rating of the statements of qualifications and proposals. All statements of qualifications and proposals shall be evaluated in accordance with criteria set forth in the solicitation for design-build services.

C. Depending upon the complexity of the project, the Project Manager may conduct a pre-proposal conference prior to the submission of the statement of qualifications and proposal.

D. The Project Manager and the Review Committee may conduct interviews of the firms after the statement of qualifications and proposals are submitted. The appropriate Board Committee shall be notified of the time, date, and location of the interviews. The interviews shall be conducted by the Project Manager and members of the Review Committee designated by the Chief Purchasing Officer. The Project Manager may, with the approval of the Chief Purchasing Officer, require that additional information on the statement of qualifications and proposals be submitted from the firms to be interviewed prior to the interview.

E. Once the Review Committee has evaluated the statements of qualifications and proposals and has conducted interviews, the Project Manager shall submit a summary of the evaluations of the statement of qualifications, proposal, and interview to the Chief Purchasing Officer.

F. The Chief Purchasing Officer shall review the recommendation of the Project Manager to ensure that all policies, procedures, technical, and financial considerations have been addressed.

G. The Chief Purchasing Officer or his/her designee shall consider the evaluations of the Project Manager, the qualifications of the firm, the quality of the proposal, as well as the price in developing his/her recommendation to the appropriate Board Committee.

1.10.6Final Selection of Design-Build Services

A.For every project that requires design-build services, the fees for which are not reasonably expected to exceed twenty thousand dollars ($20,000), the Chief Purchasing Officer shall be responsible for the final selection of a design-build services firm for such project. Upon a decision by the Board, the Chief Purchasing Officer's authority to make final selections may be increased beyond the $20,000 allotment.

B.The Chief Purchasing Officer shall use the criteria set forth in R.I. Gen. Laws § 37-2-66 in making such selection. That determination shall be justified in writing.

C.For design-build services greater than $20,000, the Chief Purchasing Officer, or his/her designee, shall submit his/her recommendation to the appropriate Committee of the Board as determined by the Chief Purchasing Officer. The Committee shall submit its recommendation for a preferred vendor to the Board. The Board shall vote on the recommendation of the Committee. An affirmative vote authorizes the award and directs the Chairman and the Chief Purchasing Officer to negotiate a contract within the specific limitations of the Board's Resolution. A negative vote returns the item to the Committee for further action.

1.10.7Issuance of Notice to Proceed

Upon execution of the negotiated contract by all authorized parties, the Chief Purchasing Officer shall issue a Notice to Proceed to the vendor pursuant to the provisions of such contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.11 Selection of Architectural, Engineering, and Construction Services for Construction Manager At-Risk Projects

A.Construction Manager At-Risk

1.The terms "Construction Manager at Risk", "construction management at-risk services," "construction management at-risk delivery method" shall all be limited to that certain construction method defined by R.I. Gen. Laws § 37-2-7(30). The terms "construction manager at-risk" and "construction management at-risk firm" shall be limited as defined by R.I. Gen. Laws § 37-2-7(31).

2.The construction manager at-risk method of construction management may be selected for a project only when it is determined in writing by the Chief Executive Officer that all criteria mandated by R.I. Gen. Laws § 37-2-27.1, as amended, have been met.

a.The Chief Executive Officer shall file copies of the written determination with the president of the senate, the speaker of the house, the senate fiscal advisor, and the house fiscal advisor no later than three (3) business days after executing the written determination.

b.At the time that the construction management at-risk delivery method is selected, the Chief Purchasing Officer shall adopt internal written procedures to ensure fairness in competition, evaluation, and reporting of results at every stage in the procurement process.

3.The Director of Construction and Engineering, or any employee of the NBC who meets the requirements of R.I. Gen. Laws § 37-2-27.2, may act as the Owner's Program Manager.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.12 Selection of Legal Services

A.Purchasing of Legal Services

1.Legal services shall be purchased as deemed necessary by the Chief Purchasing Officer in accordance with the NBC's Bylaws.

2.Before the services of an attorney are purchased, the following shall be demonstrated:

a.The need for the services required, including the scope of the services to be performed; and

b. That no legal personnel employed by the NBC on a full-time basis is available to perform those services given the workload, availability, or expertise required by the assignment; and

c. That funding is available; and

d. That attorneys to be engaged meet the following minimum requirements:

(1)Appropriate professional licensing;

(2) Competence to perform those services as reflected by formal training and education, general experience, experience in providing the required services, and the qualifications and competence of persons who would be assigned to perform the services;

(3) Ability to perform the services as reflected by workload and availability of adequate personnel, equipment, and facilities to perform the services expeditiously.

3.The attorney shall enter into a letter of engagement with the agency. The letter of engagement shall state the rate of compensation, the scope of the service to be performed for the compensation, and provision for the payment of expenses incurred in connection with legal services. The letter of engagement shall certify that the rate of compensation does not exceed the rate of compensation charged by counsel to his or her preferred public or private clients. A letter of engagement shall not be for more than one year.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.13 Continuation, Modification, and Termination of Contracts

1.13.1Continuation of Contracts

A.The NBC shall generally negotiate the continuation of contracts for planning, design, and resident engineering services, which is consistent with Environmental Protection Agency Regulations. Firms that have been competitively selected for planning and/or preliminary engineering services on projects shall be considered for such design and construction engineering contracts if the NBC is satisfied with their work. The negotiations shall be based upon person hour projections and/or estimated number of design sheets utilizing unit costs as accepted within the trade, and EPA approved or equivalent overhead rates.

B.The NBC always reserves the right to seek proposals rather than continue contracts when and where the Chief Purchasing Officer determines that it would be in the NBC's best interest to do so.

1.13.2Modification of Contracts

The NBC may require clauses in its contracts to which it is a party permitting changes or modifications by the NBC.

1.13.3Termination of Contracts

A.The NBC may provide that a contract be terminated for default of the vendor and may provide for liquidated damages.

B. The NBC may provide that a contract be terminated for the convenience of the NBC or the vendor and in such cases shall provide appropriate adjustments in price, including, where applicable, reimbursement for the reasonable value of any non-recurring costs incurred but not amortized in the price of any item, service, or construction delivered under the contract.

C.In accordance with R.I. Gen. Laws § 37-2-43, the Chief Purchasing Officer shall terminate a contract upon notification by the Director of the Department of Environmental Management that there has been a final adjudication or other resolution, as a result of which a fine of five thousand dollars ($5,000) or more has been imposed, that a contractor has violated any state law or regulation pertaining to the protection of fresh water wetlands (R.I. Gen. Laws Chapter 2-1), coastal wetlands, (R.I. Gen. Laws Chapter 46-23), air quality (R.I. Gen. Laws Chapter 23-23), water quality (R.I. Gen. Laws Chapter 46-12), the installation of individual sewage disposal systems (R.I. Gen. Laws Chapter 42-17.1), the handling and/or disposal of solid waste (R.I. Gen. Laws Chapter 23-19), or hazardous waste (R.I. Gen. Laws Chapter 23-19.1), whether or not such violation has any relation to the contract to be terminated.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.14 Cost and Pricing Principles

A.Except as otherwise provided by contract, the NBC shall use generally accepted accounting principles for the following:

1.As guidelines in the negotiations of:

a.Estimated costs for a contract when the absence of open market competition precludes the use of competitive sealed bidding or price proposals; and

b. Adjustments for changes or modification in contract performance required by the NBC; and

c. Settlement of contracts that have been terminated.

2.To determine the eligibility of incurred costs for the purposes of reimbursing costs under contract provisions that provide for the reimbursement of costs; and

3.As appropriate in any other situation where determinations of the estimated or incurred costs of performing a contract may be required.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.15 Exclusion

1.15.1Exclusion Authority

The Chief Purchasing Officer may exclude a vendor from the NBC's Bidder List for just cause with proper notification.

1.15.2Forms of Exclusion

A.Exclusion shall refer to:

1.Debarment - permanent removal from the Bidder List.

2. Suspension - temporary removal from the Bidder List.

3.Rejection - lack of inclusion on the Bidder List.

1.15.3Just Cause for Debarment

A.Just cause for Debarment shall include, but shall not be limited to:

1.Convictions of fraud or perjury;

2.Falsification of information on a Bidder Registration Form;

3.Substantial nonperformance on more than two (2) contracts;

4.Debarment by the federal or state government, or;

5.Lack of responsibility by withdrawal of more than two (2) bids after an award has been announced by the Chief Purchasing Officer.

1.15.4Just Cause for Suspension

A.Just cause for Suspension shall include, but shall not be limited to:

1.Any cause for debarment, depending on the severity of the violation;

2.Suspension by federal or state government;

3.Substantial nonperformance on at least one (1) contract;

4.Failure to respond to three (3) consecutive bid solicitations for goods that the vendor has indicated on the Bidder Registration Form that the firm could supply;

5.Lack of responsibility by withdrawal of more than two (2) bids within a two (2) year period, even with the consent of the Chief Purchasing Officer;

6.Correction of more than three (3) bids within a two (2) year period, with or without the consent of the Chief Purchasing Officer.

1.15.5Just Cause for Rejection

A.Just cause for Rejection shall include but shall not be limited to:

1.Lack of properly prepared and submitted Bidder Registration Form;

2.Refusal to submit a Bidder Registration Form;

3.Falsification of information on Bidder Registration Form or Certification Forms;

4.Suspension or debarment by the federal or state government;

5.Conviction of fraud or perjury; or

6.Lack of competence, financial responsibility, or other limitations related to the ability of a supplier to provide the goods and services indicated on the firm's Bidder Registration Form.

1.15.6Notification

A.The Chief Purchasing Officer's Notification shall be in writing to any affected vendor who he/she intends to debar, suspend, or reject. Such notice shall:

1.State the nature, and in the case of suspension, the duration of the sanction;

2. Provide the vendor with a rationale for the decision;

3. Establish a specific time for reconsideration not less than two (2) weeks nor more than three (3) weeks within which the vendor may provide justification for why such action should not be implemented.

a.The provision for reconsideration shall not apply under those circumstances where the Chief Purchasing Officer has determined that issuance of a purchase order to a particular vendor may present a serious compromise of the NBC.

B.The Chief Purchasing Officer shall notify the affected vendor of his/her final decision upon the expiration of such period. If no request for reconsideration has been submitted, or has been determined to be inappropriate, the Chief Purchasing Officer shall implement and take appropriate action.

1.15.7Suspension/Rejection Duration

A.The Chief Purchasing Officer may suspend or reject a vendor for not less than a three (3) month and not more than a two (2) year period, depending on the severity of a particular violation.

B.A vendor who has been suspended or rejected from the Bidder List shall not be reinstated until the firm has submitted a request for reinstatement to the Chief Purchasing Officer with a new Bidder Registration Form. Such request shall be submitted with evidence that the reason for the suspension or rejection has been corrected.

C.Reconsideration of vendors who have been rejected shall be undertaken on a case-by-case basis.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.16 Remedies

1.16.1Breach of Contract Disputes

A.Authority to resolve contract or breach of contract controversies shall reside with the Chief Purchasing Officer, prior to the institution of arbitration, litigation, claim, or controversy concerning any contract, subject to any limitations or conditions imposed by the Board to settle, compromise, pay, or otherwise adjust the claim or controversy by, against, or with a vendor or contractor relating to a contract entered into by the NBC, including a claim or controversy based on a contract and/or a mistake, misrepresentation, or other cause for contract modification or recession, but excluding any claim or controversy involving penalties or forfeitures prescribed by statute or regulation where an official other than the Chief Purchasing Officer is specifically authorized to settle or determine such controversy.

B. Contract dispute shall mean conflicting interpretations of the requirements, limitations, or compensation for the performance of a contract.

C. The Chief Purchasing Officer shall be authorized to resolve contract disputes between the vendor or contractor and the NBC upon the submission of a request in writing from either party, which request shall provide:

1.A description of the problem, including all appropriate citations and references from the contract in question; and

2. A clear statement of the party's interpretation of the contract; and

3. A proposed course of action to resolve the dispute.

D.The Chief Purchasing Officer shall determine whether:

1.The interpretation provided is appropriate; and

2. The proposed solution is feasible; and

3. Another solution may be negotiable.

E.Failure to render timely decisions shall apply to a claim or controversy arising under contracts between the NBC and its vendors or contractors. If such a claim or controversy is not resolved by mutual agreement, the Chief Purchasing Officer or his/her designee shall promptly issue a decision in writing. A copy of the decision shall be mailed or otherwise furnished to the vendor or contractor. If the Chief Purchasing Officer does not issue a written decision within thirty (30) days after a written request for a final decision or within such longer period as might be established by the parties to the contract in writing, then the vendor or contractor shall proceed as if an adverse decision had been rendered.

1.16.2Protest and Resolution of Protest

A.Protest of decisions rendered by the Chief Purchasing Officer shall be processed in accordance with the requirements of R.I. Gen. Laws Chapter 37-2.

B. The decision of any official, board member, agent, or other person engaged by the NBC concerning any controversy arising under or in conjunction with, the solicitation or award of a contract, shall be entitled to a presumption of correctness and shall not be disturbed unless the decision was procured by fraud; in violation of constitutional or statutory provisions; in excess of the statutory authority of the NBC; made upon unlawful procedure; affected by other errors of law; clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record; or arbitrary or capricious or characterized by the abuse of discretion or clearly unwarranted exercise of discretion.

C.The Chief Purchasing Officer or his/her designee shall have authority to determine protests and other controversies of actual or prospective bidders or offers in connection with the solicitation or selection for award of a contract. In the event the Chief Purchasing Officer is the person being challenged, the Board shall determine the validity of any claims and take appropriate action.

D. A protest or notice of other controversy must be filed in writing within two (2) calendar weeks after such aggrieved person knows or should have known of the facts giving rise thereto. In the event of a protest, the solicitation or award shall not proceed further until the Chief Purchasing Officer makes a written determination that continuation is necessary to protect the NBC.

1.16.3Pest Control Services

Upon receipt of an order from the Director of Environmental Management, pursuant to R.I. Gen. Laws Chapter 23-25, the Chief Purchasing Officer shall take such steps as are necessary to insure that the named business or commercial applicator shall not be eligible to obtain NBC contracts for pest control services for the duration of the period enumerated in said Director's order.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.17 Emergency Response

1.17.1Authority

A.The Chief Purchasing Officer may make or authorize others to make emergency purchases when there exists a "threat to life, public health, welfare, safety, property or critical equipment, interceptor failure or other necessary functions". Emergency purchasing authority enables authorized officials of the NBC to react quickly to critical situations, when the cost for a remedy or repair is in excess of $500 and there is insufficient time to undertake a formal bidding process. However, in these circumstances, sound purchasing practices must be applied in seeking competitive pricing from appropriately qualified, experienced, and proven vendors as much as possible given the nature of the emergency.

B. The Chief Purchasing Officer shall authorize individuals as emergency response officials who will have the authority in his/her absence to determine whether a situation requires an emergency response and to then certify such emergency. Such officials are the Director of Executive Affairs and/or the Director of the Division who is accessible to address the emergency situation.

C. All emergency purchasing authorizations shall be specific as to:

1.Maximum levels of expenditure commitment; and

2. Program account(s).

1.17.2Documentation

A.The emergency response official shall maintain records of all emergency purchasing transactions. Records shall contain notes of the following: the time the emergency occurred, the time a vendor(s) was contacted, the name of the vendor's representative with whom the contact occurred, the description of the situation provided to the vendor(s), and the time the vendor(s) arrived to address the emergency.

B. Emergency purchasing documentation such as vouchers and justification forms shall be signed or initialed by duly authorized officials constituting certification by the official that the action meets the administrative responsibility under their position of authority.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.18 Minority/Women/Veteran-Owned Business Enterprises

1.18.1Policy

It is the policy of the NBC that minority business enterprises, women owned business enterprises and veteran-owned business enterprises (M/W/VBEs) shall have the maximum opportunity to participate in the performance of purchasing transactions pursuant to R.I. Gen. Laws §§ 37-14.1 and 37-14.3.

1.18.2Inclusion of Minority/Women/Veteran-Owned Business Enterprises

A.Whenever possible M/W/VBEs shall be afforded the opportunity to be included in all state and federal funded purchases and construction projects, pursuant to R.I. Gen. Laws §§ 37-14.1, 37-14.3, and the Regulations governing participation by M/W/VBEs.

B. In accordance with R.I. Gen. Laws §§ 37-14.1 and 37-14.3, the Chief Purchasing Officer may, after considering the overall cost to the NBC prior to making a final determination of award, apply special consideration to the offers of M/W/VBEs when:

1.The solicitation provides for such consideration; and

2. The offer is fully responsive to the terms and condition of the solicitation; and

3.The price offer made by the M/W/VBE is determined to be within a competitive range (not to exceed five percent (5%) higher than the lowest responsive price offer) for the product or services; and

4. The firm making the offer conforms to the definition of an M/W/VBE.

C.In accordance with the provisions of R.I. Gen. Laws § 37-14.1-7, it will be NBC's goal to make all efforts to award ten percent (10%) of the dollar value of the work performed against state and federal funded purchasing and contracts for construction exceeding five thousand dollars ($5,000.00) to M/WBE where it has been determined that subcontract opportunities exist and where certified M/WBE contractors are available.

D.In accordance with the with the provisions of R.I. Gen. Laws § 37-14.3-4, it will be NBC's goal to make all efforts to award three percent (3%) of the dollar value of the work performed against state and federal funded purchasing and contracts for construction exceeding five thousand dollars ($5,000.00) to VBE where it has been determined that subcontract opportunities exist and where certified VBE contractors are available.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.19 Code of Ethics and Professional Behavior

1.19.1Ethics Policies

A.It is the Policy of the NBC that employees must adhere to the highest standard of ethical conduct as set out by the R.I. Ethics Commission, respect the public trust and the rights of all persons, be open, accountable and responsive, avoid the appearance of impropriety, and not use their positions for private gain or advantage.

B. All NBC officials and employees shall be subject to the provisions of R.I. Gen. Laws Chapter 36-14, as amended from time to time (the Code of Ethics), and all regulations promulgated by the R.I. Ethics Commission, as amended from time to time, and any policies and/or rules and regulations promulgated by the NBC.

1.19.2Rhode Island Whistleblowers' Protection Act

A.In accordance with R.I. Gen. Laws Chapter 28-50, as amended, an employer shall not discharge, threaten, or otherwise discriminate against an employee regarding the employee's compensation, terms, conditions, location, or privileges of employment:

1.because the employee, or a person acting on behalf of the employee, reports or is about to report to a public body verbally or in writing, a violation the employee knows or reasonably believes has occurred or is about to occur, or a law or regulation or rule promulgated under the law of this State, a political subdivision of this State or the United States, unless the employee knows or has reason to know that the report is false, or

2.because an employee is requested by a public body to participate in an investigation, hearing, or inquiry held by that public body, or a court action, or service.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-1 § 1.20 Interpretation of Requirements

1.20.1Construction

The provisions of this Part with respect to the meaning of specific terms and phrases shall be interpreted by the Chief Purchasing Officer.

1.20.2Captions

Captions and heading are for reference only and shall not limit or otherwise affect the meaning of the provisions there under.

1.20.3Severability

If any provision of this Part shall be adjudged to be inconsistent with any State or Federal law or the application thereof to any person or circumstances is held invalid by a court or competent jurisdiction, the remainder of this Part shall not be affected thereby. The invalidity of any section or sections or parts of any section or sections shall not affect the validity of the remainder of this Part.

1.20.4Residual Clause

A.Issues that have not been specified in this Part shall be interpreted under the Rhode Island General Laws and as necessary by the NBC.

B.In the event that the Rhode Island General Laws pertaining to this Part change, the relevant provisions contained in said Part would be automatically amended to reflect the changes.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-03-08 to 01/04/2022
• Amendment — effective from 2018-03-08 to 03/08/2018
• Amendment — effective from 2004-12-14 to 03/08/2018
• Periodic Refile — effective from 2001-12-28 to 12/14/2004

835-RICR-30-00-2 Rules for the Acquisition of Property or Rights

835-RICR-30-00-2 § 2.1 Purpose

To establish a defined procedure for the Narragansett Bay Commission (hereinafter called the “Commission”) for the acquisition of property or rights.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws §§ 46-25-1 et seq. and 37-6-1 et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.3 Appraisals

The Commission's Appraiser shall prepare and submit to the Commission separate Appraisals for each parcel of property that will be affected by the Project.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.4 Project Approval from State Properties Committee

A.Any Project that involves the condemnation of property must be approved by the State Properties Committee before the initiation of negotiations.

B.Approval Procedure

1.When approved appraisals have been received that establish the fair market value for each parcel that is affected, a request shall be sent to the State Properties Committee seeking approval to acquire the property by eminent domain and for approval of each individual claim. The request shall be made in accordance with the Rhode Island Department of Administration’s "Rules and Regulations of the State Properties Committee," 600-RICR-00-00-1.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.5 Negotiation with Property Owners

A.Notification of Property Owner: After the appraisals have been completed and approval has been received from the State Properties Committee, every reasonable effort shall be made to contact personally each property owner. This will be done by sending a letter to each owner advising them generally about the project and requesting that they meet with a representative of the Commission to discuss the matter in detail. All correspondence by the Commission to property owner(s) shall be sent by certified mail, return receipt requested. If contact by mail is unsuccessful, then other reasonable alternative methods may be used to contact each property owner.

B.First Meeting with Property Owner: During the first meeting, the property owner(s) shall be provided with the following information:

1.Explanation of the "One Offer System": At the first meeting, the Commission will make its initial Compensation Award offer to the property owner in writing for the full amount of the approved fair market value of the property, interest or right to be taken. This will ensure the equitable treatment of all property owner(s).

2.Statement of Just Compensation: The full approved amount of just compensation must be presented in writing by the Commission's representative. In addition to delineating the fair market value established, it also shall delineate separately any damages assigned to the remaining property as a result.

3.Letter of Rights: The Commission's representative will present a letter of rights explaining a property owner's rights, privileges, and options. He/she will also explain the following options to the property owners:

a.Full Release

b.Advance Payment Release

c.Escrow Deposit into the Registry of the Rhode Island Superior Court.

4.Plat Map or Other Description of Land to be Affected: The property owner will be provided with a plat map and/or other legal description and a map of the owner's land area(s) that is/are affected.

5.Revised Offer: In the event that a revised offer must be made to the property owner, this revised offer will be made in writing by a Revised Statement of Just Compensation.

C.Additional Meetings with Property Owners: In most cases, additional meetings are necessary to obtain the property owner's decision regarding the acceptance of the just compensation established.

D.Negotiating with an Attorney: When a property owner informs the Commission that he/she will be represented by an attorney or authorized representative, the Commission will request a letter of representation from either the property owner, his attorney, or his/her authorized representative stating they will be the exclusive agent during the acquisition process. The Commission will then deal solely with the authorized representative.

E.Tenant Owned Improvements: If the Commission must acquire any tenant owned improvements, the tenant(s) shall receive the same rights and privileges as that of a real property owner. If a lease is in existence, it must be thoroughly reviewed. In order for the tenant to receive direct payment, the real property owner must sign a disclaimer. If the property owner refuses to sign this disclaimer, one hundred (100%) percent of the amount established as just compensation for the tenant owned improvement shall be deposited in the Registry of the Superior Court in an escrow account under both the owner and the tenant's name.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.6 Settlement Procedures (Completion of Negotiations)

A.When negotiations are successfully completed, a written agreement must be prepared to the effect that this agreement embodies all consideration agreed upon between the Commission and the property owner(s). This written statement will take the form of a Release.

1.Full Release: When an offer is accepted by a property owner as full and just compensation, a Full Release must be signed by the property owner witnessed by a third party and dated. In doing so, the property owner received payment of 100% of the offer of just compensation and releases all rights to file a petition in court for the assessment of damages.

2.Advance Payment Release: When an offer is not accepted by a property owner as full and just compensation, the property owner may choose to sign an Advance Payment Release. The signature(s) must be witnessed by a third party. In doing so, the property owner receives payment of 100% of the offer of just compensation and retains the right to petition the court for assessment of damages with one (1) year from the date of condemnation.

B.Corporately Owned Property: When property to be acquired is held in title of a corporation, the Commission will require a letter of corporate authority from the property owner. This letter shall verify the fact that the officer executing the release is a duly authorized officer of the corporation and is the party authorized by the corporation to execute the release form.

C.Vouchering: Upon receipt of the executed full or advance release form, the Commission shall prepare a voucher for payment to the property owner.

D.Escrow (Registry of the R.I. Superior Court): In the event the property owner does not wish to sign either an Advance Payment Release or a Full Release, 100% of the offer of just compensation will be deposited in the registry of the Rhode Island Superior Court for their benefit. It shall be held by the Court in an escrow account while compounding interest. The property owner retains the right to petition the Court for assessment of damages within one (1) year from the date of condemnation.

1.Escrow Procedures: The payment shall be vouchered in the name of the "Registry of the Superior Court or the property owner." The property owner may execute a Full or Advance Payment Release at any time prior to the deposit of the just compensation in the Registry of the Rhode Island Superior Court.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.7 Mortgage and Lien Holders

A.If there are any outstanding mortgages, liens, or encumbrances, the Commission shall contact each party and inquire if they desire any consideration in the settlement.

1.If the mortgage or lien holder does desire consideration, it must be deducted from the amount of consideration being paid to the property owner on either the Full or the Advance Payment Release. An authorized representative of the mortgagee or lien holder must execute the release and have his/her signature witnessed by a third party. Separate payment checks for the owner and each lien holder desiring consideration will then be processed.

2.If a mortgage or lien holder does not require any consideration from the settlement, it must be documented on the Full or Advance Payment Release. An authorized representative of the mortgagee or lien holder is required to sign the release or other document indicating that they do not desire any consideration.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.8 Administrative Settlements

A.Definition: An administrative settlement is any settlement made and authorized by the Board of Commissioners or its designee(s) of the Narragansett Bay Commission that is in excess of the original statement of just compensation.

B.An administrative settlement may be approved when reasonable efforts to negotiate an agreement at the amount offered as just compensation have failed and the Board of Commissioners or its designee(s) approves such administrative settlement as being reasonable, prudent, and in the public interest. A written justification shall be prepared, which indicates that available information (e.g. appraisals, recent court awards for similar type property, estimated trial costs, or valuation problems) supports such a settlement.

C.Administrative Settlements (Approval Procedure): When the State Properties Committee has approved the settlement, the Commission will prepare the offer and have a Full Release executed by the property owner(s).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.9 Condemnation Plats Filing Procedures

The procedures set forth in R.I. Gen. Laws § 37-6-1 et seq. shall be followed.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.10 Voluntary Transfers

Nothing herein shall preclude the Commission from acquiring property or rights in property by voluntary transferor purchase or use agreements.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.11 Payment Procedures

A.Upon receipt of check by the Commission, the check should be hand-delivered (whenever possible) by a representative of the Commission. No checks shall be delivered to the property owner or filed with the Registry of the Superior Court until the condemnation is filed with the local city clerk.

B.Check Receipt: The property owner or authorized agent will be required to sign a form acknowledging receipt of the check.

C.Delivery by Mail: If it is not possible for the payment check to be hand-delivered, it may be delivered by certified mail, return receipt requested.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-2 § 2.12 Right of Entry During Design or Construction

A.Applicability: All owners of lands, waters, or premises that may be the subject of NBC design construction projects must, upon notification and payment in accordance with §§ 2.12(B) and (C) of this Part below, allow NBC authorized agents and employees to enter upon their private properties for the purposes of making surveys, soundings, test pits, drillings, borings, and examinations in accordance with R.I. Gen. Laws § 46-25-24.1.

B.Notice: The Commission shall provide the owner/s with written notification of its intent to enter upon such property at least fifteen (15) days prior to initial entry. Said notice shall include the amount of compensation the Commission proposes to pay to the owner as just compensation for entry.

C.Compensation: In accordance with public rule-making procedures as provided for by R.I. Gen. Laws § 42-35-1 et seq., the Commission has set just compensation for entrance upon private lands for the purposes of making surveys, soundings, test pits, drillings, borings, and examinations at $50 for the right of entry and $100 per boring or test pit.

D.Restoration/Damages: Within a reasonable time after entry, the Commission shall restore the property to its prior condition or reimburse the owner for any actual damage resulting to such lands, waters, and premises as a result of such activities, at the Commission's discretion.

E.Appeal: Any appeal with regard to just compensation shall be made to the Rhode Island Superior Court.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Technical Revision — effective from 2006-02-01 to 04/13/2018
• Periodic Refile — effective from 2001-12-28 to 02/01/2006

835-RICR-30-00-3 Review Appraisal Procedures for Federally Funded Acquisitions

835-RICR-30-00-3 § 3.1 Purpose

To establish a defined procedure for the Narragansett Bay Commission (hereinafter the "Commission") for the conduct of reviewing appraisals for federally funded acquisitions.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.2 Authority

This regulation is promulgated pursuant to the authority granted in R.I. Gen. Laws § 37-6-28.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.3 Applicability

These regulations shall be applicable only for projects that will be federally funded, in whole or in part. Nothing herein shall prevent the Commission from seeking waivers from the review appraisal process with the appropriate federal funding agency.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.4 Delivery of Appraisals

When the independent appraiser(s) complete(s) the assignment, the material is to be forwarded to the Project Coordinator who shall forward the appraisals to the Review Appraiser, who is hired by the Commission to review independent appraisals.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.5 Authority and Responsibilities of the Review Appraiser

A.The Review Appraiser is authorized to determine the market value of compensable damages. The amount is used as the basis for subsequent negotiations and settlements. In making this determination, the Review Appraiser is obligated to consider all information available, including appraisals prepared for the Commission by a qualified appraiser representing the property owner, recent court awards on similar properties in the same area, and any other pertinent value information.

B.The inherent analytical ability and judgment of the Review Appraiser cannot be strictly defined, nor can they be subject to exact guidelines. Having followed the required steps and having subjected all available data to a critical analysis, the Review Appraiser must apply expertise in making a series of supported and documented determinations as follows.

1.That the compensation estimated in the appraisal report represents the best determination of market value for the property rights to be acquired or for disposition.

2.That the appraisal report contains all the information and documentation necessary to substantiate the conclusions and estimates of value assigned by the appraiser. In the absence of adequate appraisal information or conclusions of value, the appraisal will be returned to the appraiser for additional support and/or revisions.

3.That the appraisal does include consideration for all compensable items, damages and benefits, and that it does not include compensation for those items that are non-compensable under State Law.

4.That the appraisal contains an identification or listing of the building, structures, and other improvements located on the parcel as well as an identification of the fixtures, which the appraiser considers to be a part of the real property to be acquired.

5.That an equitable balance of appraisal damages has been obtained on a project basis.

C.In evaluating the appraiser's work, the review must draw a reasonable conclusion and be persistent in obtaining any essential support that is lacking in the appraisal report, and must never attempt to dictate value or impose opinions upon the appraiser. Conversely, the Review Appraiser cannot accept unsupported opinions advanced by the appraiser.

D.While the Review Appraiser is granted broad authority, it is tempered by serious limitations. Any changes that may be requested in an appraisal report cannot be arbitrary or capricious, but must be supported by reason and documentation. Without sound and supporting reasoning, the Review Appraiser may not substitute personal judgment for that of the appraiser's opinion, especially if it merely involves the substitution of one opinion or judgment for another. The Review Appraiser must never instruct an appraiser without support to change the appraisal. The appraisal at all times must reflect the judgment of the appraiser who produced it.

E.In exercising these responsibilities, the Review Appraiser is granted the following specific authorities:

1.Concurrence: If an appraisal is acceptable without reservation, a simple endorsement to this effect on the review form will suffice for approval.

2.Return of Appraisals or Need for Corrections or Additional Information: If the Review Appraiser believes that an appraisal is lacking in its development of value, requires another approach, corrections, or additional information, the reviewer is granted the authority to return the appraisal report to the appraiser or to request the corrections or additional information. All such actions shall be in writing. Copies of both the original appraisal and the request for corrections or additional information shall be retained in the parcel file.

3.Modification of Damages: If there is disagreement with appraised damages, the Review Appraiser may alter the estimate of fair market value by a narrative development of the reasons on the review form, supplemented by the amount of documentation necessary to fully support his determination of value.

4.Correction of Minor Errors: The Review Appraiser may supplement an appraisal report with the correction of minor mathematical errors where such errors do not affect the final estimate of value. The Review Appraiser may also supplement the appraisal where the following factual data has been omitted:

a.Project and/or parcel number.

b.Owner's and/or tenant's names.

c.Parties to transactions, date of purchase, and deed book reference on the sale of subject property and comparables.

d.Statement that there were no sales of subject property in the past five (5) years.

e.Location, zoning, or present use of subject property or comparables.

5.Substantial Variance: During the review process, a variance between two appraisals may be resolved by the Review Appraiser by extracting or interpolating the values set for separate segments of each report.

6.Under circumstances of divergence, it may be desirable for the Review Appraiser to arrange for a conference with the individual appraiser(s). The role of the Review Appraiser would be to arrange some acceptable basis of common thinking and value among all parties while still preserving the individual thoughts and professional judgment of the appraiser. In most instances, there does exist a common basis of substantial agreement even though the final appraisal reports may not arrive at the same conclusion of value.

7.Divergent Opinions: A much more critical situation arises when there is no common basis of understanding or agreement between the consultant appraiser(s) and Review Appraiser, and neither appears willing to modify or alter their thinking. Under these circumstances, the Board of Commissioners or its designee(s) and the Review Appraiser must make the determination of whether to use an existing appraisal report(s) or whether to proceed and obtain a second or third appraisal report.

8.There are, of course, appraisal problems that are not subject to a simple "yes or no" answer, but rely on interpretation of data or interpretation of economic trends. The resolution of these areas must be accomplished through a critical analysis of the logic and reasoning. The premise must be maintained that the professional conclusion of the appraiser can only be overturned by the Review Appraiser's logical and supported judgment.

9.Every appraisal report approval does not have to bear the complete unqualified endorsement of the Review Appraiser, but should be made in the context that the appraisal report is within a reasonable range of value and generally represents an acceptable value determination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.6 The Review Process

A.The review process operates in conformance with the Rhode Island General Laws and the Federal Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs (42 U.S.C. § 4651).

B.The Reviewer has both a routine function, such as factual and mathematical verification and an analytical function. He/she is responsible for assuring that all computations within the appraisal report are correct. This includes verifying that factual information is accurate. It also includes proper identification of the property being appraised and the conformance with standard appraisal procedures and Federal guidelines. The analytical function of the review process and an analysis of the appraiser's reasoning are the most important aspects of this process. In this portion of the review, the individual should be concerned with the general analysis of the appraiser's thought process and the approach of the appraisal problem to the current real estate market. The Reviewer must be sure that the appraiser has not only prepared a report that meets all technical requirements, but more importantly, that the final estimate of market value adequately reflects just compensation. It is not the Reviewer's function to second guess the appraiser, but rather to assure that the Commission's estimate of market value is supported, and fair and equitable to the property owner, the tenant, and the public.

C.Responsibilities of the Review Appraiser:

1.The Reviewer must:

a.Verify all data contained in the appraisal report such as zoning classifications, tax rates, square foot area affected, adjustments, etc.

b.Ascertain that all computations and calculations in the appraisal report are correct. This would include cubic or square foot computations; referral and recalculation of cost index figures used; calculation of interest rates, land areas; the transposition of all the data on the comparable sales from the project data book to the appraisal report; verification of correct plat and parcel numbers; ascertaining that proper identification is contained on all photographs, and that all sales have been appropriately verified, etc. In substance, this check is of all the specific data used in the appraisal.

c.In addition to verifying the property zoning classification against the appraiser's determination of same, verify the tax assessment data. The Reviewer should also verify all physical details of the subject property such as land areas, improvements, building measurements, and topography. He/she must review the sales location map, property sketch, and the drawings indicating the areas of the land acquisition and/or temporary and permanent easements. The construction plans and cross sections should be reviewed to determine if the effect of construction is correctly reported and interpreted in the appraisal report.

d.As the review of the appraisal is completed, the completed project is given to the Project Coordinator, along with a notation of the deficiencies and/or recommendation for payment. In the case of a questionable appraisal, the Project Coordinator must make the determination as to what steps are necessary on the part of the appraiser prior to payment being authorized.

D.Market Value Review

1.The second portion of the review process is the establishment of the Commission's estimate of market value. This review, discussed in § 3.5 of this Part under Authority and Responsibilities of the Review Appraiser, is accomplished through:

a.A qualitative analysis of each appraisal report, including an evaluation of the plans and specifications to ascertain a determination of direct and indirect damages and that the value after acquisition is consonant with the effect of construction and the right of way appraisal requirements.

b.Verification that the mandated personal inspection of each property appraised is performed including a personal inspection of the interior of all buildings acquired or damaged.

c.A thorough check and analysis to be sure that all factual and supporting data is included in the appraisal.

d.A personal inspection of all comparable sales. When buildings are acquired or damaged, the Review Appraiser will perform a complete interior inspection of the applicable comparable sales. If a large number of sales are involved, he/she will perform sufficient interior inspections to check on the qualitative and quantitative judgments contained in the appraiser's analysis.

E.Uneconomic Remnant

1.Once a review is completed of the "before and after" appraisal format, the Review Appraiser may be of the opinion that the remainder portion of the subject parcel had been affected to a degree that it would be considered to have little or no value or utility to the property owner of record as of the date of the appraisal. In this case, the Review Appraiser would then submit written comments to the Project Coordinator explaining the conditions that may exist, so as to aid in the Coordinator's concurrence to suggest the remainder portion of the subject parcel be declared an uneconomic remnant. The Executive Director will then be notified by the project Coordinator regarding this matter. The Chairman, Executive Director, or Director of Executive Affairs will make the final decision and will notify the Project Coordinator to proceed accordingly.

2.The culmination of the review process is the point when the Review Appraiser, in writing, establishes the actual figure that represents market value. In order to supply adequate documentation, the Review Appraiser is required to include on the Review Form the date on which the appraisal was reviewed. In addition, the date on which site inspections of the property and comparable sales (exterior or interior, as necessary) were made and a complete discussion of his/her reasoning together with any additional documentation required that summarizes the estimate of market value.

3.Upon completion of the review, the pertinent data is entered on the Project Appraisal and appraisal Review Record by the Reviewer. Copies of the appraisals with the Review Form are provided to the Project Coordinator.

F.Excess Acquisition

1.In certain instances, it may be both feasible and equitable to acquire a large portion or the whole property rather than the required portion of the subject property for sewer related needs.

G.Building Sellback Valuation

1.It is the responsibility of the review appraiser to determine a sellback value for all building structures and residential dwellings.

2.On occasion there are instances where a sewer acquisition may render a dwelling damaged, without actually necessitating the demolition or removal of the dwelling. In such instances, the Commission may decide to acquire the dwelling and treat the occupants as displaced persons, and thereby afford all applicable relocation benefits. When this situation occurs, it would not be appropriate to sellback the dwelling to the original owner unless the dwelling itself was to actually be relocated. To sellback an acquired dwelling at a salvage value without the need to actually relocate the dwelling could result in an unintended windfall profit for the original owner. In such cases, there will be no sell back value offered to the original owner and the dwelling will be scheduled for eventual demolition as part of the sewer project.

3.Where sellback values for structures are necessary, the following procedure is to be employed:

a.The sellback value assigned to a dwelling should be based on past historical values actually bid at public auctions held by this Commission or any other auctions that may have taken place in the open market where the dwelling had to be relocated to another site.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018

835-RICR-30-00-3 § 3.7 Re-Review and Updatings

A.Even after the initial appraisal has been completed, reviewed, and approved, necessity for change may be required by occurrences such as:

1.An action responsive to recommendations initiated by negotiating personnel.

2.An error discovered in the plat.

3.A design change in the plat.

4.New information on sales, etc., which might affect the appraised value.

5.A subdivision of a parcel requiring new appraisals, or a change in ownership.

6. Discovery of newly affected improvements or compensable items.

7. Correction of a cost-to-cure estimate.

8.Time delays between the date of valuation, the date of review, and the date of condemnation. While no specific time periods can be established after which an appraisal is no longer valid, it is the responsibility of the Review Appraiser to ensure that the estimate of value is reflective of market value as of the date of condemnation. The Review Appraiser has the authority in establishing the amount of compensation based upon a market value determination and is obligated to consider any reasonable request for consideration of a change. Whenever material is presented with a request for a re-examination of the originally approved appraised value, the Review Appraiser is obligated to fully and objectively examine all of the data presented in consideration of a possible change in the compensation established. In the event a Review Appraiser decides to recommend a change in the market value, a new review form documenting these reasons must be developed to support any revisions.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-04-13 to 01/04/2022
• Periodic Refile — effective from 2001-12-31 to 04/13/2018