490-RICR — Water Resources Board

Chapter 00

Subchapter 00

490-RICR-00-00-1 Water Use and Efficiency Rule for Major Public Water Suppliers

490-RICR-00-00-1 § 1.1 Purpose

The purpose of this regulation is to establish targets and methods for efficient water use for major public water suppliers. This rule also establishes reporting requirements.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.2 Authority

This regulation is authorized pursuant to R.I. Gen. Laws §§ 46-15-8, 46-15.3-5.1, 46-15.7-3, and 46-15.8-5.

1.2.1Construction and Application

A.The terms and provisions of this regulation shall be liberally construed to authorize the Board to effectuate the purposes of State law, goals, and policies.

B.This regulation applies to major public water suppliers, as defined within, and the Rhode Island Water Resources Board.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.3 Definitions

A.“Board” means the Rhode Island Water Resources Board, pursuant to R.I. Gen. Laws Chapter 46-15, or, for the administration of these regulations, the staff of the Rhode Island Water Resources Board.

B.“Conservation pricing” means a rate structure that is employed by water utilities with the intent of providing a price signal to reduce or minimize wasteful use of water resources and to reduce future costs to customers.

C.“Gallons per capita per day” or “GPCD” means a residential water use calculation that is determined by dividing the amount water supplied for residential use by the number days in the reporting period and further dividing that figure by the number of residents served in their places of residence.

D.“Increasing (or inclining) block rates” means charging customers higher unit rates for progressively higher quantities of water used.

E.“Leakage” means a component of non-billed water and is water that is lost through the water supply system through leaks in pipes, pumps, services connections, etc. For purposes of this rule leakage is calculated by estimating the difference between total non-billed water and the total of the estimated or measured allowances for firefighting, meter inaccuracy, theft, system usage, main flushing, sewer cleaning, storm drain cleaning, and other allowances that may be developed by the water resources board.

F.“Non-billed water” means the difference between water withdrawn and/or purchased by a supplier and water sold by a supplier. Components of non-billed water include leakage, firefighting, meter inaccuracy, theft, system usage, main flushing, sewer cleaning, storm drain cleaning, and other allowances that may be developed by the Board.

G.“Major water customer” means a water customer of a major public water supplier that uses more than three million gallons/year or more than 750,000 gallons in any consecutive three-month period and is supplied by a public supplier

H.“Major public water supplier” means a water supplier that obtains, transports, purchases or sells more than fifty million gallons of water per year. The Department of Defense is not included in this definition.

I.“Residential water use” means water used by single and multiunit residences for household purposes.

J.“Seasonal rates” means customers are charged a lower water rate in the winter when water demand is usually lower and a significantly higher rate in the summer when demand is higher. All unit rates or rate blocks by class can be set so that they reflect higher summer demands for each customer class.

K.“Water efficiency and demand management strategy” (hereinafter referred to as DMS) means a strategic plan and implementation schedule that is developed by a major public water supplier which meets the targets established by this rule and employs a combination of the required methods plus any combination optional methods in order to achieve a high level of efficiency. The schedule lays out a timeline for implementing the strategies and identifies responsible parties.

L.“WaterSense certified” means an appliance, product, or fixture certified by the U.S. Environmental Protection Agency as using water efficiently.

M.“Water source” means a well, reservoir, pond, lake, and river or stream segment used for potable water supply.

N.“Water supply system management plan” or “WSSMP” means the plan that is prepared by major public water systems with content prescribed by R.I. Gen. Laws Chapter 46-15.3 and submitted to the Water Resources Board pursuant to the Rules and Procedures for Water Supply System Management Planning, Part 2 of this Subchapter.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.4 Water Efficiency and Demand Management Targets for Major Public Water Suppliers

A.The following targets, pursuant to R.I. Gen. Laws §§ 46-15.3-5.1(c) and 46-15.8-5, are established by the Board:

1.Residential average annual water use of sixty-five (65) gallons per capita per day (GPCD) which takes into consideration;

a.Fluctuations in the population served.

b.Multi-unit residences that in some systems may be categorized and billed as commercial.

c.Other factors as appropriate as determined by the Board.

2.Efficient outdoor water use.

3.Efficient indoor water use.

4.A full accounting of non-billed water.

5.Leakage of no more than 10% of the withdrawals and/or purchased water measured as an annual average.

6.Accurate metering and billing to account for all water supplied

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.5 Methods for Achieving Targets for Major Public Water Suppliers

A.Required Methods for Achieving Targets

1.Initiate a program to accomplish 100% metering of all water delivered as specified in R.I. Gen. Laws § 46-15.3-22(b). The metering requirement is not applicable to fire suppression systems, such as fire hydrants and fire sprinkler systems since the high flows of such systems makes metering impractical.

2.Initiate a program for the maintenance and replacement of meters in accordance with the American Water Works Association (AWWA) standards and water supply system management plans as specified in R.I. Gen. Laws § 46-15.3-22(b).

3.Initiate a program for installation of radio frequency reading systems as specified in R.I. Gen. Laws § 46-15.3-22(b).

4.Record metered usage and bill as specified in R.I. Gen. Laws §§ 39-15.1-3(b)(3)(e) or 46-15.3-22(c) as applicable.

5.Education to encourage the efficient use of water for all customers, which may be developed and implemented by others.

6.Rate structures that are adequate to pay for all costs associated with water supply, are equitable, sensitive to economic impacts, and encourage the efficient use of water, per R.I. Gen. Laws §§ 39-15.1-3 or 45-39.1.5 as applicable.

7.Implement leak detection programs in accordance with AWWA standards and water supply system management plans. If leakage is more than 10% of the withdrawals and/or purchased water, as reported to the Board pursuant to § 1.6(C)(5) of this Part, a system-wide leak detection program shall be initiated during the following fiscal year and progress reported pursuant to § 1.6(C)(6) of this Part, per R.I Gen. Laws § 46-15.3-5.1(c).

B.Optional Methods for Achieving Targets shall be encouraged and where possible incentivized in combinations appropriate to the water supplier that recognize the differences in supply systems and sources. Optional methods shall include but are not limited to:

1.Residential conservation pricing including inclining block rates and seasonal rates.

2.Reduce nonagricultural outdoor water use.

a.Limit landscape irrigation to no more than one inch per week, including natural precipitation.

b.Limit landscape irrigation to evening and/or early morning hours to reduce evaporative loss.

c.Limit the size of landscapes that require irrigation.

d.Establish new plantings during the spring and fall, whenever feasible.

e.Select landscape plantings that, once established, require little or no irrigation.

f.Use soil moisture sensors on in-ground irrigation systems.

g.Use non-potable water (such as rainwater) where appropriate.

3.Improve efficiency of indoor water use.

a.In existing construction, replace water use appliances and fixtures with products that meet current building codes, WaterSense certified standards, or equivalent.

b.In new construction, install appliances and fixtures that meet WaterSense certified standards, or equivalent.

4.Improve efficiency of water use by major water customers.

a.Perform Water Audits (excluding proprietary processes) that determine opportunities for reuse and reduce water use.

b.Install appliances and fixtures that meet WaterSense certified standards, or equivalent.

c.Implement industry-specific best management practices, excluding proprietary processes.

d.Renovations or new construction that utilize architectural and green building design standards such as Leadership in Energy and Environmental Design (LEED) certification, Low Impact Development (LID) and other best management practices.

e.Employee education.

f.Outdoor water use methods as specified in § 1.5(B)(2) of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.6 Water Use and Efficiency Progress Reporting for Major Public Water Suppliers

A.Suppliers shall report on forms and/or in a format as established by the Board.

B.Suppliers shall prepare a Water Efficiency and Demand Management Strategy (DMS) to achieve targets identified in § 1.4 of this Part through the application of required methods in § 1.5(A) of this Part and through the application of selected optional methods listed in § 1.5(B) of this Part and or any other methods as appropriate.

1.The DMS shall constitute an amendment to and appendix of the Water Supply System Management Plan (WSSMP)

2.The DMS shall include a description of actions to be taken to address each of the targets outlined in § 1.6 of this Part.

3.The DMS shall include a description of how the methods outlined in § 1.5 of this Part are to be implemented as regulation of the DMS.

4.The DMS shall include a schedule and timeline for completing each of the actions included in the plan.

5.The DMS is subject to review and approval by the Board.

6.Once completed and appended to the Water Supply System Management Plan (WSSMP), the DMS requirements and progress shall be referenced and reviewed pursuant to the Rules and Procedures of the Water Supply System Management Program.

7.Progress in achieving the goals and implementing the DMS shall be reported annually pursuant to § 1.6(C)(6) of this Part.

8.If progress toward meeting the water efficiency and demand management targets and the supplier specific measurable goals have not been met after implementing the DMS or after 5 years, whichever is sooner, the Board may require the DMS be revised in amendment to the WSSMP.

C.All Major Public Suppliers shall report annually to the Board no later than August 1 for the preceding fiscal year, starting July 1 and ending June 30 and shall include;

1.Withdrawals from each water source on a monthly basis;

2.Wholesale purchases and sales on a monthly basis;

3.The amount of water used by each category of use (residential, commercial, industrial, agricultural, government);

4.Estimate of the number of residents served, including seasonal fluctuations, and with a description of the basis of the estimate;

5.Non-billed water and the components of non-billed water (to include leakage);

6.Progress in achieving targets each year commencing one year from the submission of the first Demand Management Strategy.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.7 Enforcement

A.The Board may issue a Notice of Violation to any major public water supplier that fails to comply with provisions of these regulations. The major public water supplier shall have twenty (20) days to respond to the Notice of Violation in writing. After an opportunity to be heard before the Board and in accordance with R.I. Gen. Laws § 42-35-9, failure to resolve the outstanding Notice of Violation in a manner consistent with the schedule as determined by the Board may result in the issuance of an administrative order. The issuance of an administrative order shall be deemed a final agency order subject to an immediate appeal in the superior court of Providence County or in the superior court in the county in which the cause of action arose. Any appeal taken and subsequent review by a court with jurisdiction shall be in accordance with R.I. Gen. Laws Chapter 42-35.

B.The Board may issue to any major public water supplier failing to comply with the requirements of § 1.6 of this Part (Water Use and Efficiency Reporting) an order requiring submission of the required information.

C.Any finding by the Board of non-compliance by a major public water supplier listed in R.I. Gen. Laws § 39-15.1-2(4) with the requirements of R.I. Gen. Laws §§ 46-15.3-7.5 or 46-15.3-7.6 shall be forwarded to the Division of Public Utilities and Carriers as required by R.I. Gen. Laws § 46-15.3-20.

D.Failure to comply with any administrative order issued by the Board may subject a major public water supplier to the penalties set forth in R.I. Gen. Laws § 46-15-11(b).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-1 § 1.8 Severability

If any provision of this regulation or the application of same to any person or circumstance, is held invalid by a court of competent jurisdiction, the validity of the remainder of this regulation shall not be affected thereby.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Adoption — effective from 2011-06-14 to 10/15/2018

490-RICR-00-00-2 Rules and Procedures for Water Supply Systems Management Planning

490-RICR-00-00-2 § 2.1 Purpose and Goals

A.The purpose of these regulations is to implement the provisions of R.I. Gen. Laws Chapter 46-5.3, as amended, to ensure:

1.Water Supply Systems Management Plans (WSSMP), including emergency management and contingency plans, are prepared, maintained, and carried out by each entity engaged in or authorized to engage in the supply, treatment, transmission or distribution of drinking water;

2.that the WSSMPs are consistent with policies and set forth in the State Guide Plan particularly in those related to water resources, as may be added or amended from time to time by the Rhode Island State Planning Council;

3.that the plans and their execution achieve effective conservation, development, utilization, and protection of this finite natural resource in ways that meet the present and future needs of the state and its people;

4.that Water Quality Protection Plans (WQPP) are incorporated as components of WSSMPs;

5.that the WQPP component includes strategies for well-head and watershed protection required by statute and for drinking water quality improvements;

6.that policies and procedures for collecting and administrating the Water Quality Protection Fund are implemented consistent with the intent of applicable Rhode Island General Laws, bonding agreements, and public interest.

B.In accordance with policy, planning efforts shall ensure that existing sources of supply be maintained as long as their use or reactivation is feasible. Feasibility includes, but is not limited to, consideration of the quality of the source, the safe yield, the costs of operating and maintaining the source, and other statutory and non-financial constraints.

C.The principal goals of these regulations are to produce a management plan for each water supply system that will:

1.meet all statutory requirements;

2.carry out applicable policies and recommendations of the State Guide Plan:

3.assist water suppliers in the development, operation, and maintenance of their systems;

4.gain and maintain the eligibility of water suppliers to obtain financial assistance available for protection of water quality or for any other purpose related to management of water supply systems; and

5.give local governments, state agencies, and the public information needed to assess the current and future needs of water supply systems in relation to community and state development so that they can assist water suppliers in meeting these needs.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.2 Legislative Authority

These regulations are promulgated pursuant to R.I. Gen. Laws Chapter 46-15.3, Water Supply System Management Planning Act.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.3 Liberal Application

This regulation shall be liberally construed to allow the Board to effectuate the purposes of state law, goals and policies consistent with the Water Supply System Management Planning Act, R.I. Gen. Laws Chapter 46-15.3 as amended.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.4 Severability

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

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.5 Conformity with Other Legislation

The water supply systems management plans shall conform to all applicable provisions of state and federal laws including the federal Safe Drinking Water Act 42 U.S.C. § 300f et seq.; R.I. Gen. Laws Chapters 46-13 (Public Drinking Water Supply); and 46-14 (Contamination of Drinking Water), as administered by the RI Department of Health; R.I. Gen. Laws § 42-11-10(d) (State Guide Plan) and R.I. Gen. Laws Chapter 45-22.2 (RI Comprehensive Planning and Land Use Act) both administered by the RI Statewide Planning Program.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.6 Definitions

A.For the purposes of these regulations, the following terms shall have the following meanings:

1.“Abandoned water supply sources” means the sources that are no longer used or maintained, such as permanently disconnected surface waters or wells.

2.“Act” means the Water Supply Systems Management Act, R.I. Gen. Laws Chapter 46-15.3.

3.“Active water supply sources” means RI Department of Health approved sources of supply connected to a water supply system and available for distribution; these sources may be surface waters or wells, residential or other uses.

4.“Aquifer” means a geological formation, groups of formations, or part of a formation capable of yielding a significant amount of groundwater to wells, springs, or surface water.

5.“Available water” means the maximum amount of water that can dependably be supplied, taking into account limitations imposed by hydraulic or other considerations. In determining the available water, estimates of the safe yield of surface reservoirs and/or well capacity of groundwater sources shall be utilized as appropriate. Water committed by another water supplier through interconnections may be included in the determination of available water. Once accounted for in a water system's calculation of available water, the same volume of water may not be accounted for in another supplier's calculation of available water. Temporarily inactive, abandoned, and emergency water supply sources shall not be included unless approved by the Board. System storage shall not be included in the calculation of available water.

6.“Board” means the Rhode Island Water Resources Board as established by R.I. Gen. Laws Chapters 46-15 and 46-15.1.

7.“Commercial agriculture producers” means producers with gross income from sale of agricultural commodities of $2,500.00 or more during a calendar year.

8.“Commission” means Public Utilities Commission.

9.“Comprehensive plans” means local comprehensive plans as required by R.I. Gen. Laws Chapter 45-22.2.

10.“Conservation” means methods, procedures, and devices designed to promote efficient use of water and to eliminate waste of water.

11.“Consumption” means all water delivered by water suppliers for its intended use for industrial, commercial, agricultural, residential or other uses.

12.“Demand, average daily” means the total volume of water supplied to the system including changes in storage over the representative period divided by the number of days in that representative period. The most recent representative period of record shall be utilized and shall not be affected by unusual demand conditions such as drought or a significant temporary increase in demand.

13.“Demand management” means any conscious effort to modify water use for efficient utilization of available supply.

14.“Demand, maximum daily” means the maximum one-day rate of water supplied to the system including changes in storage experienced over the most recent year not affected by unusual demand conditions, such as drought or a significant temporary increase in demand.

15.“Demand, peak hourly” means the maximum one-hour rate of water supplied to the system including changes in storage experienced over the most recent year.

16.“Distribution facilities” means the pipes and appurtenant facilities employed specifically to deliver, to dispense, to render or to circulate potable water directly to the consumer.

17.“Drought” means a condition of dryness due to lower than normal precipitation. For water supply purposes drought is associated with safe yield especially for conditions where a system cannot be replenished and failure is anticipated.

18.“Eligible expenditure” means the acquisition of a fee simple interest or of a conservation restriction, as that term is defined in R.I. Gen. Laws § 34-39-2(a). or other interest in watershed lands including, but not limited to, costs and expenses relating to the improvement of such lands or interests therein, maintenance of the lands or roads or interests therein, and taxes thereon, and the costs of preparation of Water Quality Protection Plan (WQPP) components and updates, and related property surveys and appraisals, or the funding of the construction of physical improvements that directly protect water supply. Watershed lands eligible for protection may be located in or out of state. No funds shall be used to extend service lines or expand system capacity.

19.“Emergency water supply sources” means not regular sources of supply but supplies held in reserve for use in emergencies. The use of emergency water supply sources must be approved by the RI Department of Health; these may be surface waters or wells.

20.“Fund” means the Water Quality Protection Fund according to R.I. Gen. Laws §§ 46-15.3-5 and 46-15.3-9.

21.“Groundwater recharge” means the process of addition of water to the zone of saturation, that is, the zone beneath the water table.

22.“Institutional water supplier” means any public water system as defined in the rules and regulations pertaining to public drinking water under R.I. Gen. Laws § 46-13-2 which does not sell water but supplies more than 50 million gallons per year of drinking water and is governmental or quasigovernmental in nature.

23.“Major user” means any public or private organization or entity using more than 3 million gallons of water per year (a water system may define a major user using less than 3 million gallons of water per year).

24.“Master meter” means a meter that measures water from a source of supply or from other water suppliers.

25.“Metered supply” means the quantity of water measured at the points of entry into the transmission and distribution system.

26.“Non-account water” means the difference between the metered supply and the metered consumption for a specific period including an allowance for firefighting.

27.“Raw water” means water in its natural state prior to any treatment.

28.“Recharge area” means the land surface from which water is added to the zone of saturation. The recharge area for a particular well or aquifer, for instance, is that land surface from which water moves to the well or aquifer or may move to the well or aquifer under certain hydraulic conditions.

29.“Safe Drinking Water Act" or "SDWA” means the Safe Drinking Water Act, Pub. Law 93-523, 88 Stat. 1660 (1974) and Safe Drinking Water Act Amendments of 1996, Pub. Law 104-182, 110 Stat. 1613 (1996), which establish standards for drinking water safety.

30.“Safe yield (surface water)” means a sustainable withdrawal that can be continuously supplied from a surface water supply source without adverse effects throughout a critical dry period with a 1% chance of occurrence, or one that is equivalent to the drought of record, whichever is more severe.

31.“Safe yield (aquifer or well)” means the rate at which groundwater can be withdrawn without producing unacceptable or undesirable effects such as drawdowns or changes in water quality.

32.“Saturated thickness” means the thickness of an aquifer measured from the water table to an essentially impermeable boundary; such boundary is typically taken to be the top of the bedrock surface.

33.“Service area” means the geographic boundary within which service connections to customers of a water supply system are committed by charter of the water commission, board, or authority.

34.“Source” means the raw water upon which a public water supply system depends, and refers to both groundwater and surface water.

35.“Specific capacity” means the discharge of a well per unit of drawdown.

36.“State guide plan” means the goals, policies, and plans or plan elements for the physical, economic, and social development of the State, adopted by the State Planning Council in accordance with R.I. Gen. Laws § 42-11-10.

37.“Susceptibility determination” means an analysis of the potential for a water supplier to draw water contaminated by inventoried sources at concentrations that would pose concern. Such a determination, therefore, would likely take into account hydrologic and hydrogeologic factors, inherent characteristics of the contaminants (e.g., toxicity, environmental fate and transport); and characteristics of the potential source of the contaminant (location, likelihood of release, effectiveness of mitigation measures). In small source water protection areas, where differences in distances between sources and intake are small, and hydrologic and hydrogeologic factors are relatively constant, susceptibility of a water supply is related to the likelihood of a significant release and the inherent characteristics of the source (e.g., toxicity, fate and transport, etc.).

38.“Total reservoir storage capacity” means the reservoir volume at the normal full pool level or spillway elevation.

39.“Transmission facilities” means the pipes, pumping stations, and storage facilities required to carry high volumes of potable water from a water source to distribution facilities, or throughout an area for the purpose of supplying water to the general population, or wholesale customers.

40.“Transmissivity” means a measure of the ability of an aquifer to transmit a fluid. It can be quantified as the hydraulic conductivity multiplied by the saturated thickness.

41.“Useable reservoir storage capacity” means the difference between the total reservoir storage capacity and the volume at the minimum reservoir storage level as determined by the intake pipe elevation or the water elevation below which water cannot be treated to meet water quality standards.

42.“User category” means metered single-family residential, multi-residential, commercial, industrial, or wholesale purchaser (for example, another water supplier), metered water system usage, water used for firefighting purposes and non-account water.

a.Multi-Residential shall include apartments, condominiums, nursing homes, college dormitories, correctional facilities and any other commercial or institutional entity, which provides nontransitory housing and are not metered separately.

b.Commercial shall include non-governmental institutions and entities identified by the North American Industry Classification System (NAICS), published by the Executive Office of the President through the Office of Management and Budget.

c.Non-account water may include unmetered water usage, leaks, theft, etc.

43.“Watershed” means those land areas, which because of their topography, subsurface characteristics, and drainage patterns, act as collectors of raw water, which replenish or recharge surface and ground water supply sources.

44.“Water supplier” means any municipality, municipal department, agency, district, authority, or other entity engaged in or authorized to engage in the supply, treatment, transmission or distribution of drinking water on a wholesale or retail sales basis.

45.“Water supply emergency” shall include, but not be limited to, one or a combination of the following situations:

a.Mechanical failure or similar type of emergency including loss of power, loss of pumping capacity, loss of storage capability or major breaks or leaks which result in an inability to meet average daily or maximum daily demand for water.

b.Water quality emergencies due to contamination of the water supply, the distribution system or storage tanks which result in an inability to meet average daily and maximum daily demand with remaining public water supplies.

c.Seasonal water shortages or inadequacy of source, distribution system or storage capacity to meet water supply needs.

46.“Water supply sources temporarily inactive” means seasonal sources of supply or sources temporarily not in use due to mechanical or quality problems or lack of demand. These sources may be surface waters or wells and, depending upon the reason for the "temporarily inactive" status, have RI Department of Health approval or must be approved by the RI Department of Health prior to use.

47.“Water system” means any combination of interconnected sources and facilities used for supplying potable water. Water systems are owned and operated by water suppliers.

48.“Wellhead protection area" or "WPA” means the surface and subsurface area surrounding a public drinking water well through which contaminants are reasonably likely to move toward and reach the wellhead. Commonly called "well field" or "recharge area".

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.7 Applicability - Preparation of Plans

All water suppliers and institutional water suppliers which obtain, transport, purchase, or sell more than 50,000,000 gallons of water per year shall be required to prepare, maintain, and carry out a Water Supply Systems Management Plan (WSSMP) as described by these procedures. A supplier that bills 50 million gallons or less of public drinking water per calendar year shall be exempt from the implementation of the Act under the Board's application of "de minimis no carat lex". In order to continue to qualify for said de minimis exemption the supplier must report annually in January of each year the total amount of water produced or total amount of water billed for the preceding calendar year. Any supplier exceeding the 50 million-gallon threshold for the prior calendar year shall be subject to this Act, these rules, and the imposition of water quality charges starting March 1st following the calendar year in which billings exceeded the 50 million-gallon threshold. Once a de minimis supplier becomes subject to imposition of the charge under these rules, even though such supplier may subsequently fall below the 50 million-gallon per year threshold, said supplier shall continue to be subject to the Act. Institutional water systems, which exceed the 50 million-gallon threshold, shall be subject to the Act. Pumping records on a calendar year basis shall be utilized as the indicator for this eligibility.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.8 Plan Contents

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.9 Data Collection Requirements

A.Water use data must be assembled as an element of projecting long-term future water demand and availability of supplies to assess progress in achieving identified objectives, including the effectiveness of water conservation programs.

B.The Board is authorized under R.I. Gen. Laws Chapter 46-15.7 to collect data or other information more frequently, especially with the advent of automated systems and implementation of electronic, real-time data systems.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.10 Plan Submittal

2.10.1Time Schedule for Plan Submittal

A.Each water supplier required by these regulations to prepare and maintain a water supply system management plan shall file such plan per a date determined by the Water Resources Board.

B.Institutional water suppliers or water suppliers that obtain, transport, purchase, or sell an amount of water exceeding 50 million gallons per year are required to submit a water supply system management plan, under the rules set forth in these procedures. The Board allows 18 months from the end of the chronological year in which the 50 million gallons or more per year volume occurred for the development of these plans.

C.In order to determine when a water supplier meets the 50 million-gallon per year threshold under WSSMP, the Board shall utilize the information from the water supplier, Rhode Island Department of Health, payment of state surcharges, and any other available information.

2.10.2Plan Amendments

A.Each water supplier shall review its plans at least once every five (5) years from the date of Board approval or whenever a significant component of the plan is no longer valid, and shall amend or replace its plan as required to remain current. The Board may notify the water supplier in writing of any section(s) of the plan requiring revisions and of the reasons such revisions are necessary. Such revised plan shall be submitted to the Board in accordance with a negotiated schedule not to exceed one (1) year beyond the five (5) year due date.

B.Circumstances under which a plan requires updating shall include but are not limited to the following:

1.The water supplier proposes to add or abandon a source of supply beyond those addressed in an existing plan;

2.The water supplier projects water demand to be significantly greater than the demand projected in an existing plan;

3.Existing or projected demand exceeds available water;

4.A new contract for the sale or purchase of water is executed;

5.Use of an existing or proposed source becomes infeasible;

6.Significant changes in existing or potential sources of contamination to water supplies.

7.New statutory requirements for water supply plans

C.If only minor alterations to an existing plan are considered necessary for the plan to remain current, the water supplier may request a waiver of the plan amendment requirement from the Board. The request for waiver must be accompanied by written evidence supporting the request and shall include, but not necessarily be limited to, the following: a progress report on all items required by § 2.8 of this Part including progress on implementation, an updated emergency management component, and an updated executive summary. No waiver can be granted for the Emergency Management component. Upon approval by the Board, the waiver request, progress report, emergency management component update, and an updated executive summary, shall together meet the requirements of the five (5) year update.

D.Plan amendments or request for waivers will include a report of progress in implementing priority measures.

2.10.3Filing of Plans

A.ALL WATER SUPPLY SYSTEMS MANAGEMENT PLANS SHALL BE TREATED AS CONFIDENTIAL DOCUMENTS. THE BOARD AND THE DESIGNATED REVIEW AGENCIES SHALL INDIVIDUALLY DEVELOP PROCEDURES FOR DOCUMENT SECURITY.

B.Each water supplier, as defined herein, shall file at least two (2) electronic and one (1) paper copies of all plans revisions, responses to comments, and amendments thereto to the Board. A paper copy of any maps larger than 8-1/2 X 11 inches shall accompany each electronic copy of the plan. The Board will transmit a review copy of the plan to the following agencies any such submissions within fifteen (15) days of its receipt by the Board:

1.The Office of Drinking Water Quality of the Department of Health;

2.The Statewide Planning Program of the Department of Administration;

3.The Administrator of the Division of Public Utilities and Carriers, if applicable and

4.The Office of Water Resources of the Department of Environmental Management.

C.The water supplier shall place an executive summary at its main office and shall post the document on its website and the website of each municipality it serves on a retail basis.

D.A total of one (1) electronic and one (1) paper Executive Summary shall be submitted to the Board and shall consist of a summary of each required content area of the plan as specified in R.I. Gen. Laws § 46-15.3-7.5

1.THE EXECUTIVE SUMMARY SHALL BE DISTRIBUTED AS THE PUBLIC DOCUMENT and shall be updated and resubmitted whenever an amended or replacement plan is prepared.

E.The Board will implement appropriate security measures when transmitting electronic and paper versions of the plans.

2.10.4Requests for Time Extensions

A.Except for the emergency management section, water suppliers may request in writing that the Board extend the time in which to complete and submit its water supply system management plan, replacements, revisions, or amendments thereto, or other filings required by the Water Supply System Management Act, R.I. Gen. Laws § 46-15.3-1 et seq., not to exceed one (1) year. Such requests for time extensions must be received no later than three (3) months prior to the required filing's scheduled submittal date.

B.Approval of such requests shall be granted only upon demonstration that an extension is justified by extraordinary circumstances of the water supplier. An extension, if approved, shall not waive any of the requirements of § 2.12.2 of this Part.

C.No extensions of time shall be granted for the submittal of emergency management plans.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.11 Review of Plans

2.11.1Review Process

A.The Board shall coordinate the review of water supply system management plans and any replacements or amendments thereto, prepared by water suppliers subject to these regulations.

B.Upon receipt of a water supply system management plan, replacements, revisions, or amendments thereto, by the Board, the Board shall "date stamp" the plan. The "date stamped" date shall be used to determine the initiation of the applicable review periods.

C.The Board shall accept comments on water supply system management plans and any replacements, responses to review comments and or amendments thereto from the Office of Drinking Water Quality of the Department of Health, the Statewide Planning Program of the Department of Administration, the Office of Water Resources of the Department of Environmental Management and the Division of Public Utilities and Carriers no later than 90 days from the date stamped by the Board, pursuant to § 2.11.2(C) of this Part.

D.Upon consideration of the written comments by all agencies designated herein and any public comment (§ 2.11.2 of this Part) provided to the Board, the Board shall determine whether the plan complies with the requirements of these procedures. The Board shall approve plans found in compliance with these procedures.

E.The Board shall notify the water supplier of its determination in writing. Unless extended by the issuance of a first notice of deficiencies, the determination shall be made within 180 days of the date stamped by the Board, pursuant to § 2.11.1(C) of this Part.

F.Failure of the Board to notify a water supplier of its determination within the said time limit shall constitute approval of the submitted water supply system management plan. However, if plans, replacements or amendments thereto are submitted prior to the scheduled submittal date, the Board may opt to utilize the scheduled submittal date as the initial submission date for purposes of initiating the 180-day specified review period.

G.The time for the review of water supply system management plans, replacements, revisions, or amendments thereto submitted after the scheduled submittal date shall be as determined by the Board.

H.The time for the review of water supply system management plans amended as a result of an invalidation of a plan component shall be in accordance with a schedule as agreed to by the Board.

2.11.2Public Comment

A.The Board shall provide a 30-day period within the 180-day review period to receive comments from the public on the executive summary of water supply system management plan.

B.The Board shall publish the executive summary and a notice of the public comment period on the Water Resources Board’s website.

C.The Board shall accept written comment during the comment period.

D.The plan shall be adopted by the governing board of each water supplier following a thirty (30)-day public comment period. The supplier shall publish the Executive Summary and a notice of the public comment period on its website and shall forward any resulting revisions to the Water Resources Board.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.12 Determinations of Plan Compliance

2.12.1Determination of Compliance

Upon consideration of the written comments by all agencies designated herein and any public comment received by the Board, the Board shall determine whether the plan is in substantial compliance with the objectives of the Water Supply System Management Act and the requirements of these regulations. Substantial compliance shall be defined as having achieved the Water Supply System Management Act's stated objectives, goals, and planning mandates or otherwise having committed resources, as evidenced by a schedule for the timely implementation of such actions necessary to achieve the Act's objectives, goals, and mandates, as further specified in § 2.8.8 of this Part. The Board shall issue a determination of compliance to water suppliers whose plans have been found in compliance with these regulations. The Board shall forward to each state review agency designated in § 2.10.3 of this Part a copy of each determination of compliance issued by the Board.

2.12.2Determination of Non-Compliance

A.The Board shall issue a determination of non-compliance should the following occur:

1.A municipality or water supplier subject to the Water Supply System Management Act fails to submit a water supply system management plan, replacement, revisions, or amendments thereto, report or other filings required by the Water Supply System Management within specified time periods as provided herein;

2.Any reviewing agency finds that substantive deficiencies prevent the water supply system management plan, replacements, revisions, or amendments thereto from meeting the requirements of the Water Supply System Management Act and the Board finds that these deficiencies constitute substantial non-compliance with the Act and this rule.

B.The Board shall notify suppliers and other reviewing agencies of its determination of noncompliance in writing and shall specify areas of non-compliance.

C.The date for re-submission of the revised or replacement plan shall be in accordance with a schedule as agreed to by the Board and the water supplier, not to exceed 1 year from the date of determination of non-compliance. Any subsequent revisions shall be re-submitted no later than 6 months from the date of any subsequent notification from the Board.

D.Revised or replacement plans shall be filed with the Board, as specified in § 2.10.3 of this Part, unless instructed otherwise by the Board. Said review agencies shall review and may submit written comments to the Board.

2.12.3First Notice of Deficiencies

A.A first Notice of Deficiencies shall be issued if the Board finds that the water supply system management plan, replacement, revision or amendment thereto is deficient due to incorrect, inconsistent, or missing data or information but otherwise is in substantial compliance with the objectives of the Water Supply System Management Act.

B.The water supplier shall have 120 days from the date of notification within which to correct the deficiencies and resubmit the replacement plan or filing to the Board.

C.The Board shall have 90 days from the date of the resubmission to determine whether the replacement plan or filing follows the regulations.

D.Failure by the Board to notify the water supplier of its determination in writing within 90 days of the date of resubmission shall constitute acknowledgement of compliance.

E.The existing plan shall remain in effect until the 5-year update or amendments are approved.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.13 Evaluation of Plan Implementation

2.13.1General Policy

A.The Board may issue a determination of non-compliance should the following occur:

1.Failure of a water supplier to implement their Board-approved plan.

2.The Board after reviewing progress made in implementing a plan, finds that plan implementation is not sufficient to achieve the objectives of the Water Supply System Management Act. In assessing progress made under an approved water supply system management plans, the Board shall consider the financial and technical resources available to the water supplier, factors that are and are not within the control of the water supplier, changes occurring since the plan was adopted or most recently amended, and other matters relevant to the execution of a water supply system management plan.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.14 Appeal Procedure

2.14.1Filing of Appeal

All appeals shall be in writing and shall be filed with and received by the Board within thirty (30) days of the notification of non-compliance.

2.14.2Contents of Appeal

Every appeal shall contain all information necessary and procedures required by the Board, and the water supplier's name and address, and the name of the chief executive officer, director or head of the agency.

2.14.3Conduct of Hearing

The notice and conduct of the hearing by the Board shall comply in all respects with provisions of the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35.

2.14.4Burden of Proof and Standard for Review

At the adjudicatory hearing, the water supplier shall have the burden of proof to demonstrate by clear and convincing evidence that the water supply system management plan complies with the requirements of these regulations and procedures.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-2 § 2.15 Enforcement

The Board shall forward any determinations of non-compliance made pursuant to § 2.12.2 and 2.13.1 of this Part to the Division of Public Utilities and Carriers for consideration of enforcement action as set forth in R.I. Gen. Laws § 39-4-3.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Amendment — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-3 Rules and Regulations for Emergency Water Systems Interconnections

490-RICR-00-00-3 § 3.1 General Provisions

3.1.1Scope and Construction

A.This program shall provide twenty-five percent (25%) of the cost of approved emergency interconnections designed and constructed to serve a single water system and shall provide fifty percent (50%) of the cost of approved interconnections between two or more systems. Only the construction of water interconnections and the acquisition of land or rights-of-way, together with necessary engineering and design, are eligible for assistance under this program. Costs of borrowing, amortization costs, legal, and all other costs attendant to the funding of water interconnections are not eligible for financial assistance under this program and must be fully borne by the project applicant. Final determinations of project eligibility shall be made by the Water Resources Board.

B.The following shall constitute the regulations governing the disposition of appropriations for the purpose of providing twenty-five (25) percent and/or fifty (50) percent of the cost of approved emergency interconnections between municipal, quasi-municipal or privately-owned water supply systems pursuant to R.I. Gen. Laws Chapter 46-15, as amended. These regulations prescribe procedures for application, minimum standards of conduct for Grantees, and performance standards for the development of emergency interconnections of municipal, quasi-municipal or privately owned, potable water distribution systems. An emergency shall be defined as any potential or existing crisis and/or situation wherein a system could be temporarily unable to provide sufficient potable water to meet minimum health and/or fire protection needs as determined by the applicant.

3.1.2Purpose

A.These regulations are promulgated for the following purposes:

1.To implement the purposes and objectives of the Rhode Island Water System Emergency Interconnection program, R.I. Gen. Laws Chapter 46-15, as amended;

2.To protect the public and the State of Rhode Island by insuring that funds appropriated are spent in a proper manner and for the intended purpose;

3.To ensure that the distribution and use of appropriate funds are consistent with the Rhode Island State Guide Plan;

4.To establish minimum standards of conduct to prevent conflicts of interest and insure proper administration of grants;

5.To establish accounting procedures for administration of grants.

3.1.3Procedure for Obtaining a Water System Emergency Interconnection Grant

A.Each potential applicant for an Emergency Interconnection grant shall:

1.Determine if it meets the eligibility criteria of § 3.2.4 of this Part;

2.Arrange for a preapplication conference as required in § 3.2.2 of this Part;

3.Complete the application procedures required by § 3.2.3 of this Part.

3.1.4Definitions

A.The following words and terms, when used in this section shall have the following meaning unless context clearly indicates otherwise:

1."Act" means the Rhode Island Water System Emergency Interconnection Program, R.I. Gen. Laws Chapter 46-15.2, as amended.

2."Applicant" means municipal, quasi-municipal or private potable water supply agency that applies for a grant pursuant to the provisions of these rules and regulations.

3."Board" means the Rhode Island Water Resources Board as established by R.I. Gen. Laws Chapter 46-25, as amended.

4."Construct" and "Construction" means to build or rebuild in a systematic manner utilizing outside contractors and/or direct personnel, materials and equipment.

5."Council" means the State Planning Council as established by R.I. Gen. Laws Chapter 42-11, as amended.

6."Design life" means the given time period of project usefulness as determined by a systematic program of engineering.

7."Distribution facilities" means the pipes and appurtenant facilities employed specifically to deliver, to dispense, to render, or to circulate potable water directly for the benefit of a consumer or a community of consumers.

8."Grantee" means the successful applicant that applied for the grant pursuant to the provisions of these rules and regulations.

9."Consultant" means the engineer hired by the Water Resources Board to establish eligible emergency water system interconnections.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Technical Revision — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-3 § 3.2 Grant Procedures and Requirements

3.2.1Scope

This section prescribes procedures and requirements for the award of state grants of twenty-five (25) percent and/or fifty (50) percent of the cost of approved water system interconnections pursuant to R.I. Gen. Laws Chapter 46-15.2, as amended.

3.2.2Preapplication Procedures

Every applicant shall request an informal conference prior to making a formal application for a grant. During the conference, the Board shall identify and explain all grant application documents. The Board shall identify and answer questions concerning other approvals the applicant must obtain prior to awarding a grant. This preapplication conference is not a part of the formal application procedure.

3.2.3Application Procedure

A.To apply for a Rhode Island Emergency Water Systems Interconnection Grant, an applicant shall comply with these procedures. The application shall be submitted to the Board on a form provided for that purpose.

B.An applicant for a Rhode Island Emergency Water Systems Interconnection grant shall submit:

1.A completed Grant Application;

2.A demonstration that its seventy-five (75) percent or its fifty (50) percent share, as the case may be, of the eligible project costs is available and obligated to the project;

3.A description of how it plans to repay any loans and pay any other expenses necessary to fully complete and implement the project, the steps it plans to take before receiving the grant that will guarantee that at the time of the award document, it will be irrevocably committed to complete the eligible project scope and pay any other expenses necessary to fully complete, implement, operate and maintain the project;

4.A written explanation of the need for the project;

5.Evidence that any water supply system that may be affected by either existing or new interconnections have an interconnection agreement;

6.A proposed construction schedule for the project;

7.All agreements, and or subagreements that the Board may require.

3.2.4Board Approval

A.The Board shall determine that sufficient state funds are available to provide either twenty-five percent (25%) or fifty percent (50%) of the eligible project costs.

B.The Board shall weigh the proposed project impact on achieving the overall goals of the program. Providing sufficient potable water to meet health and fire protection needs as determined by the applicant through the reinforcement of emergency supply is the major goal of the program.

C.The Board shall weigh the proposed project capacity to ensure an adequate supply of water during emergencies and to ensure present and future domestic, industrial and recreational use.

D.The Board shall give specific weight to potable water availability in a region or area, and the degree to which support of acceptable standards for human habitation can be satisfied by implementation of an emergency water connection.

E.The Board shall consider the present availability of water when prioritizing the funding of new interconnections.

F.The Board may consider the proposed project’s impact on retaining and encouraging the expansion of the state's present industries, the attraction of new industries, and the promotion of the desirable economic growth of the entire state.

G.The Board shall review annually its priority rankings. If sufficient changes in a proposed project are evident, the Board may adjust its priority rankings accordingly.

H.In cases or circumstances involving a threat to the health and safety of the inhabitants of a region or area, the Board may suspend the requirement for the approved project to achieve a fundable priority ranking and accordingly permit said project to supersede all other projects in priority of award for a grant.

3.2.5Project Development Plans – Grantee

A.Upon approval of a grant, each Grantee shall arrange a conference with Board staff within thirty (30) days after receipt of notice of a grant award. A tentative list of all materials to be utilized in constructing the interconnection shall be discussed. The Grantee shall initiate the project within six (6) months after receipt of notice of the grant approval or within the time limits of any extension granted pursuant to § 3.2.16 of this Part.

B.During the conference, the Board's personnel and the Grantee will ensure that the proposed interconnection incorporates all the significant features as shown on a typical connection detail. The Board's consultant may develop a typical interconnection detail which may be used throughout the project. The detail shall include provisions to prevent backflow, metering, pumping and accommodations for water flowing in both directions. The Board and Grantee will ensure that all precautions are observed to prevent contamination of either system. Backflow prevention shall be installed to eliminate all unwanted transfer of water between systems.

C.The Grantee shall certify that the remaining sections of its distribution system are adequate to transmit all the water supplied at the interconnection and can accept, use, boost, blend and deliver this water safely.

1.Any additional plans for the project which may be required by the Board shall be prepared by an engineer licensed in the State of Rhode Island, shall be signed and sealed and have a title block giving the name and location of the project, the scale(s) used, date, the name of the engineer and engineer’s license number. The plans shall show clearly the datum to which the elevations shown are referred. The National Geodetic Vertical Datum of 1929 (US Geological Survey) or the North American Vertical Datum of 1988 (NAVD 88) should be used wherever possible or an equation converting the datum. The plans shall clearly reflect and include but not be limited to:

a.A vicinity map showing the location of the project.

b.A plan of the entire project that is to be constructed. The plan shall include but not be limited to an index map, water transmission mains, water distribution pipes, service connections, fire hydrants, gate valves, blow off valves, air relief valves, pressure reducing valves, meters and pumping facilities to be installed.

c.The Board requires that any existing topographic and/or pressure contour maps of the transmission system shall be made available to the Board's consultant.

d.Standard details of all gate valves, check valves, air release valves, drains, surge control equipment, expansion joints, manholes, pump stations, gages, risers, headers and other components of the system that are to be installed and/or constructed.

2.The construction specifications for the project shall include but not be limited to:

a.The general provisions, which shall specify the rights, duties and responsibilities of the owner, Grantee, engineer(s), builder(s) and the prescribed order of work.

b.The technical provisions, which shall describe carefully and in detail, the approved work methods, equipment and materials to be used, the results to be attained, and the project payment schedule. The technical provision should comply with the construction standards as shown on the construction drawings.

D.Any Grantee that fails to begin the construction of an interconnection within a six (6)-month period or any authorized extension thereof is in default of the grant award and the Grantee may lose entitlement to the grant funds.

3.2.6Eligible Project Costs

A.Eligible project costs will be allowed to the extent permitted by the subsection and the grant award document. Eligible project costs shall be those costs set forth below and as approved by the Board:

1.Construction and/or reconstruction of all or part of any potable water supply transmission facilities that link a potable water system with another existing system;

2.Engineering, design, and resident inspection for construction of a potable water system interconnection;

3.Special and outside services, professional geological, hydraulic and surveying services, water testing services, and the construction and/or reconstruction required as pertinent to the engineering and design of a potable water supply system interconnection;

4.The acquisition costs of land or rights-of-way necessary for the engineering and design of a potable water supply system interconnection;

5.The eligible project scope must be consistent with a plan adopted and kept current by the Board in accordance with R.I. Gen. Laws Chapter 46-15.6 and with applicable elements of the State Guide Plan as adopted and kept current by the Council in accordance with R.I. Gen. Laws § 42-11-10(c);

6.The Board will make the final determination of applicant eligibility, eligible project scope, and eligible product costs.

B.Ineligible project costs shall be those costs set forth below:

1.Salaries of regular municipal or quasi-municipal water purveyor employees, expenses associated with municipally or quasi-municipally owned equipment, and any other such municipal or quasi-municipal force account expenses not specifically used in the implementation of the interconnection.

2.Legal expenses;

3.Financial, professional and any other services not directly involved in engineering and design;

4.Legal, amortization, borrowing, and all other costs attendant to the funding of the project are not eligible for financial assistance under these procedures and must be fully borne by the applicant. The cost of distribution facilities as defined in this section is not eligible for funding under these procedures unless specifically required to complete the interconnection.

C.Development and construction project contracts must be awarded in accordance with R.I. Gen. Laws Title 37, as amended and the rules and regulations adopted pursuant thereto.

D.Grantees shall be allocated funds based on the actual costs incurred and properly documented as eligible project costs up to the maximum specified in the grant award document.

E.Eligible project engineering and design costs shall not be reimbursed until construction contracts have been awarded.

3.2.7Unused Grant Funds

Any difference in grant funds between actual eligible project costs for implementation and the estimated eligible project cost for grant award purposes shall be retained by the State of Rhode Island and shall in the Board's discretion be applied to any eligible project pursuant to R.I. Gen. Laws Chapter 46-15.2, and to these regulations.

3.2.8Fraud and Other Unlawful or Corrupt Practices

A.The Grantee shall administer the grant award contracts, subcontracts, and the grant award document pursuant to all applicable local, State, and federal laws. The Grantee is responsible for the prevention, detection, and cooperation in the prosecution of any all applicable local, State, and federal law.

B.The Grantee shall pursue all available judicial and administrative remedies and take appropriate remedial action with respect to any allegation(s) of all violations of applicable local, State, and federal law. The Grantee shall notify the Board immediately after such allegation or evidence comes to the Grantee's attention. The Grantee shall periodically advise the Board of the status and ultimate disposition of any matter that is adjudicated. Failure to immediately notify the Board of same will result in the termination of funding pursuant to grant award documents and these regulations.

3.2.9Grant Conditions

A.The following requirements, in addition to such other statutes, rules, terms, and conditions as may be applicable to grants, and are conditions of each grant and conditions precedent to each payment under a grant award document.

1.The project or phase of the project must be initiated and completed in accordance with the time schedule indicated in the grant award document.

2.All contracts, agreements, change orders, etc. between the Grantee and any contractor, consultant, or others employed on the project which commit payments to be made as part of the eligible costs shall be approved by the Board as to form and content.

3.The Grantee must submit proof that the Grantee’s contractors, consultants, and other employees follow all hazard insurance requirements as specified in the grant award document and shall certify that the insurance is in full force and effect and that premiums are paid.

4.The Grantee shall ensure that the Grantee’s contractors and consultants employed on the project meet all applicable local, State and federal generally accepted industry-wide accounting procedures and/or requirements.

5.The Grantee shall ensure that the Grantee’s contractors and consultants, and other employees on the project follow the anti-discrimination and affirmative action provisions of The Civil Rights Act of 1964, 42 U.S.C. § 2000(e), The Rehabilitation Act of 1973, 29 U.S.C. § 504 and all applicable local, State, and federal law, including these regulations.

6.The Grantee shall include a requirement in all its construction and development contracts that the contractor post a performance bond in an amount equal to the full cost of the project. The performance bond or guarantee shall remain in effect until the Board’s final inspection of the project and until the Board determines in writing that the project is satisfactorily completed. The performance bond or performance guarantee shall be both nondiscriminatory and financially acceptable to the Board. Applicants are exempted from the performance bond requirement.

7.The Grantee shall ensure it follows all other standards and conditions as required by the grant award document.

8.The Grantee shall ensure that in the construction of the project, including letting of contracts in connection therewith, the Grantee has conformed to all applicable requirements of local, State, and federal law, and these regulations.

3.2.10Administration and Performance of the Grant

The Grantee is responsible for administration and success of the project, including any subagreements made by the Grantee for accomplishing grant objectives. Although Grantees are encouraged to seek advice and opinion of the Board on problems that may arise, the giving of such advice and/or opinion shall not shift the responsibility for final decisions to the Board. The primary concern of the Board is the grant funds awarded to be used in conformance with these procedures and the grant award document to achieve grant objectives and in conformance with the purposes set forth in the Rhode Island Emergency Water System Interconnection Program. All such improvements will be developed to provide an emergency supply of water between adjacent systems and in no such way shall the delivery of this water be deemed to constitute a basis for any claim or claims for a permanent right to obtain water by the receiving system.

3.2.11Access

The Grantee and the Grantee's contractor, consultant and all others employed on the project shall give and provide to the Board’s personnel, access to the facilities, premises and records related to the project. The Grantee shall submit to the Board such documents and information as requested. The Grantee and all contractors, consultants, and others employed on the project may be subject to a financial audit as determined by the Board. All records shall be retained by the Grantee and made available to the Board for a minimum of three years after issuance of the final grant award payment.

3.2.12Grant Award Payments

Grant award funds shall be released to the Grantee upon substantial completion of the entire project as determined by the Board or on an interim basis as approved by the Board. If interim payments are made, such payment shall equal twenty-five percent or fifty percent, of the eligible project costs completed. Ten percent of all grant payments made shall be withheld by the Board until the Board receives acceptable documentation that the project has been completed in a manner satisfactory to the Board.

3.2.13Assignment

The grant and all payments under this grant may not be assigned unless and until the Grantee receives final approval of the Board.

3.2.14Publicity and Signs

On projects with grants exceeding $25,000, a project identification sign shall be required. The sign shall comply with local ordinances and be approximately four feet long and three feet high, bearing the emblem of the State of Rhode Island. It shall be displayed in a prominent location at each publicly visible project site and facility. The sign shall identify the project, amount of state grant support, and any other information required by the Board.

3.2.15Debarment

No Grantee shall enter into contract for work on a grant award project with any contractor, consultant or other person debarred, suspended or disqualified from contracting with the State of Rhode Island pursuant to the rules and regulations established by and promulgated under R.I. Gen. Laws Chapter 37-2, as amended.

3.2.16Project Changes and Grant Award Modifications

A.All changes require written approval of the Board.

B.A grant award modification is any written alteration to the terms, conditions, budget, project method, project scope, or other administrative, technical or financial agreement contained in the grant award document.

C.Due to limited funds available for Water System Emergency Interconnections grants, there shall be strict limitations on modifications increasing the grant amounts. The Grantee must seek approval of the Board before authorizing any modifications increasing project costs to have such increased costs judged eligible for a grant increase.

D.The Grantee shall notify the Board promptly in writing via certified mail, return receipt requested from the Board, of events and/or proposed changes which may require a grant modification including but not limited to:

1.Re-budgeting,

2.Changes in approved technical plans or specifications for the project

3.Changes to the approved scope or objective of the project

4.Significant changed conditions at the project site

5.Any changes in the time schedule for performance and/or completion of the project or any major phase thereof,

6.Changes which may increase or substantially decrease the total cost of the project,

7.Changes in essential personnel identified in the grant award document or a reduction in time or effort devoted to the project by such personnel.

E.If the Board decides a formal grant amendment is necessary, the Board shall notify the Grantee and a formal grant award document amendment shall be prepared in accordance with § 3.2.25 of this Part. If the Board decides no formal grant award document is necessary, the Board shall follow § 3.2.26 of this Part.

3.2.17Formal Grant Award Document Amendments

A.The Board shall require a formal grant document amendment to change principal provisions of the grant award document, particularly where project changes substantially alter the cost, schedule and/or time of performance of the project or any major phase thereof.

B.The Board and the Grantee shall effect a formal grant award amendment(s) only by written amendment to the original grant award document, signed and certified by the appropriate authorities.

3.2.18Administrative Grant Changes

Administrative changes by the Board, such as a change in the designation of key Board personnel or of the location to which a report is to be transmitted by the Grantee or a change in the payment schedule of the grant for planning, engineering and design, and construction of the project, constitute changes in the grant award document but not necessarily changes to the project performance, and therefore do not affect the substantive rights of the Board or Grantee. The Board may issue such changes unilaterally. Such changes shall be in writing and shall generally be effected by letter certified Mail, return receipt requested, to the Grantee.

3.2.19Noncompliance

A.In addition to any other rights or remedies available to the Board pursuant to law, in the event of non - compliance with any grant condition, requirements of these procedures and/or grant award document requirements or specifications, the Board may take any of the following actions or combinations thereof:

1.Issue a notice of noncompliance pursuant to § 3.2.20 of this Part

2.Withhold grant funds pursuant to § 3.2.21 of this Part

3.Terminate or annul a grant pursuant to §§ 3.2.23 and 3.2.24 of this Part

3.2.20Notice of Noncompliance

When the Board determines that the Grantee is in noncompliance with any condition and/or requirement of law, of these procedures, and/or of the grant award document, the Board shall notify the Grantee of the noncompliance. The Board may require corrective action to be taken within thirty (30) days of receipt of notice of noncompliance, or if such action is not deemed adequate by the Board, the Board may withhold payment.

3.2.21Withholding of Funds and Payments

The Board may withhold a grant payment or any portion thereof when it determines in writing that a Grantee has failed to comply with any grant condition, or any provision of these regulations, any applicable law, or any specification or requirement of the grant award document.

3.2.22Stop Work Order(s)

A.The Board may order the Grantee to stop work for good cause by informing the Grantee of its intent to withhold payments for any further work on the project. Good cause shall include, but not be limited to, default in performance or in noncompliance with the terms and/or conditions of the grant. The Board will limit use of a stop work order to those situations where the Board deems it advisable to suspend work on the project or a portion or a phase of the project for identifiable and substantive program and/or project considerations. The Board shall have no obligation to the contractors and/or consultants involved in the affected work as the Board has no contractual agreement with said contractors and/or consultants.

B.Prior to issuance, the Board will afford the Grantee an opportunity to discuss the stop work order with the Board’s personnel. The Board will consider such discussions prior to issuing the order. Stop work orders will contain:

1.The reasons for issuance of the stop work order.

2.A clear description of the work to be suspended.

C.The Board, by written order to the Grantee via certified mail, return receipt requested,) may require the Grantee to stop all, or any part of the project work for a period of not more than forty-five (45) days after the Grantee receives the order, and for any further period to which the parties may agree.

D.Effect of stop work order

1.Upon receipt of a stop work order, the Grantee shall immediately comply with the terms of the stop work order and take all reasonable steps to minimize incurring additional costs for the work covered by the stop work order during the period or work stoppage Within the suspension period or any extension thereof to which the parties have agreed, the Board will either:

a.Rescind the stop work order, in full or in part,

b.Terminate the work covered by such order,

c.Authorize resumption of work.

2.If a stop work order is cancelled or the period of the order or any extension thereof expires without any action taken by the Board within ten (10) days following the expiration date, the Grantee shall promptly resume the previously suspended work. An equitable adjustment shall be made in the grant period, the project work program or both, and the grant award document shall be modified accordingly within the discretion of the Board.

3.2.23Termination of Grant

A.The Board may terminate a grant award in whole or in part for good cause. The term good cause shall include but not be limited to substantial failure to comply with the terms and conditions of the grant, or default in performance by the Grantee.

1.The Board shall give written notice to the Grantee via certified mail, return receipt requested of its intent to terminate a grant award in whole or in part at least ten (10) days prior to the intended date of termination. The notice shall state the reasons for the proposed termination.

2.The Board will afford the Grantee an opportunity for consultation prior to any termination. After such opportunity for consultation, the Board may in writing via certified mail, return receipt requested, terminate the grant award in whole or in part.

B.A Grantee shall not unilaterally terminate the project work for which a grant has been awarded. The Grantee shall promptly give written notice to the Board of any proposed complete or partial termination of the grant project work. If the Board determines that there is good cause for the proposed termination of all or any part of the project for which a grant has been awarded, the Board may enter into a termination agreement with the Grantee. If the Board determines that the Grantee has terminated work on the project unilaterally, the Board may unilaterally terminate the grant award pursuant to Subsection or annul the grant award pursuant to § 3.2.24 of this Part.

C.The Board and the Grantee may enter into an agreement to terminate the grant award at any time pursuant to terms which are consistent with this subsection. The agreement shall establish the effective date of the termination of the project and the grant award, the basis for settlement of termination costs applicable to the grant award, and the amount and date of payment of any sums due either party.

3.2.24Nullification

A.The Board may, in writing via certified mail, return receipt requested, annul the grant award if it determines that;

1.Substantial performance of the project work has not occurred;

2.The grant award was obtained by fraud, or in violation of applicable local, State, or federal law; or

3.Gross abuse or corrupt practices in the administration of the project have occurred and/or the project is administered in violation of applicable local, State, or federal law.

B.At least ten (10) days prior to the intended date of annulment, the Board will give written notice to the Grantee of intent to annul the grant. The Board shall afford the Grantee an opportunity for consultation prior to annulment of the grant award. Upon annulment of the grant award, the Grantee shall forthwith return all grant funds previously paid to the Grantee. The Board will make no further payments to the Grantee. In addition, the Board shall pursue such remedies as may be available under federal, State and local law.

3.2.25Administrative Hearings

The Board shall decide all disputes under a grant award. The Grantee may request a hearing within fifteen (15) days of notifying the Board in writing of any disputes or disagreement in the interpretation of the grant award. The Board shall grant and conduct such a hearing in accordance with the provisions of the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35. Following a hearing, the Board shall reduce its decision to writing and furnish a copy thereof to the Grantee.

3.2.26Liberal Construction

The provisions of these procedures shall be liberally construed to achieve the purposes thereof, and where any specific power is given to any agency by the provisions hereof, the statement thereof shall not be deemed to exclude or impair any power otherwise in these procedures conferred upon that agency.

3.2.27Rules and Regulations

The Board may issue, amend, and/or repeal these procedures at its discretion and in accordance with the provisions of the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35, to provide proper security for the State of Rhode Island's grants-in-aid for each approved project.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Technical Revision — effective from 2003-01-02 to 10/15/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-4 Administrative Procedure: Water Development Fund

490-RICR-00-00-4 § 4.1 Water Authority

4.1.1Water Development Fund

A.There is hereby created a special fund called “water development fund” in accordance with the provisions of R.I. Gen. Laws § 46-15.1-20.

B.The source of funds may be any net proceeds which may be paid to the State from the lease of any reservoir sites or other facilities as may be acquired or constructed by the State or resulting from the sale of surplus property or any interest therein, the sale of excess gravel, timber or other such materials located on such reservoir sites or other facilities.

C.Monies from this fund may be appropriated by and available for borrowing by the Board in accordance with the provisions of R.I. Gen. Laws Chapter 46-15.1, R.I. Gen. Laws § 46-15.1-20 and R.I. Gen. Laws Chapter 46-15.2, as amended, exclusive of the acquisition of reservoir sites.

D.If the water development account created by this chapter exceeds the sum of one million dollars ($1,000,000), such excess over that amount is hereby made available and appropriated for expenditure by the Board to implement the plans and programs authorized by provisions of R.I. Gen. Laws Chapters 46-15.1 and 46-15.2, as amended, exclusive of the acquisition of reservoir sites.

E.All monies in the water development fund, not immediately required for payment or loan may be invested pursuant to R.I. Gen. Laws Chapter 35-10; provided, however, the securities in which said fund is invested shall remain a part of such fund until exchanged for other securities; and provided further, that any net profit or income from such investments shall become part of the general fund of the state and shall be applied to the payment of debt service charges of the State; provided however, that any interest from loans made pursuant to this chapter may be retained by the said Board for the purposes authorized herein.

F.All monies in this water development fund, in excess of one million dollars ($1,000,000) shall be deposited by the general treasurer into one (1) or more of the depositories in which the funds of the State may be lawfully kept in a special account. The state controller is hereby authorized and directed to draw his/her orders upon the general treasurer for payment out of such special account of such sum or sums as may be required, from time to time, upon receipt of properly authenticated vouchers.

4.1.2Definition

“Water supply facilities” means water reservoirs, wells and well sites, transmission or distribution systems, any equipment and improvements held in connection therewith, and any other property or mixed, used or held to be used in connection therewith.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.2 Eligible Projects

Loans may be made to all eligible applicants for the purposes of constructing water supply or transmission facilities, purchase of land, pumps, pipe, values, hydrants, etc. wherein those purchases are necessary to and become a part of the applicants’ proposal to increase its supply facilities, to provide a public water supply to areas not presently served or for such other purpose as the Water Resources Board may approve as necessary or desirable to the proper and significant development and utilization of available water resources.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.3 Eligible Applicants

Eligible applicants shall include municipalities, fire and/or water districts, water authorities, other similar bodies politic having jurisdiction over publicly owned water supply and/or water distribution systems and corporate or noncorporate authorities which are public instrumentalities of the state having as a purpose the establishment of water supply facilities, and all of whom provide water service to domestic, commercial or industrial users within the State of Rhode Island, where such authorized jurisdiction encompasses a service area, which in the judgment of the Water Resources Board represents a meaningful part of the need to develop the total water resources of the State of Rhode Island.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.4 Appropriate Authorization

A.Applications for loans must be:

1.Attested to by the applicant’s responsible executive officer or official.

2.Accompanied by a resolution of the applicant’s governing body officially authorizing execution of the loan application; and,

3.Certified to by the applicant’s attorney that no litigation of any nature is now pending or threatened (in either state or federal courts) restraining or enjoining the applicant from executing the terms of the loan if approved.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.5 Justification and Need

All applicants shall be required to submit a work program, as prescribed by the Water Resources Board, outlining and identifying the needs, goals and operations necessary for the implementation of the desired project. The work program shall identify not only the work activities to be financed through the Water Development Fund but also those work activities undertaken specifically in relation to the loan requested which are or may be financed by federal, state, municipal or private resources. Said program shall include a specific listing of all activities for which application for federal financing has been, is or shall be made including a statement reflecting the reasonable probability of receiving the same.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.6 Financial Contribution of Applicant

Unless otherwise deemed advisable in a specific instance by the Water Resources Board, all applicants shall contribute not less than twenty-five (25) percent of the specific project costs to which the monies received under the Water Development Fund are to be applied. The applicant’s contribution may be made either in the form of cash or, upon further approval of the Water Resources Board, in the form of cash equivalent services, equipment, or other nonexpendable property owned by the applicant. Loans so granted may be applied as the applicant’s Nonfederal Contribution in seeking or receiving federal grant-in-aid funds for the defined project.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.7 Number and Frequency of Loan

A.In order to administer equitably the Water Development Fund to the benefit of all applicants and unless otherwise deemed advisable in a specific instance by the Water Resources Board, no applicant shall request more than one (1) loan commencing from the date of the final acceptance of an application and until a period of two (2) years has elapsed from the date of official discharge of the original loan.

B.In the event an applicant desires to make a significant modification in the work program which has otherwise been approved by the Water Resources Board, the applicant shall submit the proposed modification to the Water Resources Board for approval in the same manner as required of the original application.

C.Supplemental loans so approved by the Water Resources Board in connection with such a modification shall be considered a part of the original loan.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.8 Maximum Amount of Loan

The Water Resources Board may, in its sole discretion, establish loan ceilings dependent upon the need of an applicant as determined by the Water Resources Board and the capacity of the Water Development Fund to support such additional loans.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.9 Terms of Loan

A.Unless otherwise deemed advisable in a specific instance by the Water Resources Board, the duration of the loan shall extend over a four (4) year period commencing with the date the loan actually becomes outstanding, and an interest rate of four (4) per cent per annum shall be charged on the outstanding unpaid balance of the loan and such loans are to be amortized to provide for repayment by the applicant to the Water Development Fund according to the following schedule.

B.Repayment schedule:

1.On the second anniversary of the loan an amount equal to one-half (1/2) of the principal amount of the loan, plus an interest charge computed at four (4) per cent per annum on the principal amount.

2.On the third anniversary, a principal payment equal to one-half (1/2) of the outstanding balance, plus interest at four (4) per cent per annum on the outstanding balance.

3.On the fourth anniversary, the final payment of the balance outstanding, plus interest at four (4) per cent per annum on the final payment due.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.10 Termination or Suspension of Loan

A.If an applicant, in the sole discretion of the Water Resources Board, unduly delays in carrying out any of the work program as approved by the Water Resources Board, or abandons the work program activities in part or in whole, or for any reason the commencement, prosecution, or timely completion by the applicant of any work program activities are determined, in the sole discretion of the Water Resources Board, not likely to be completed in a timely manner through mismanagement; or misfeasance; or, malfeasance of the applicant or in violation of the applicable local, State, or federal law, the Water Resources Board may, by written notice to the applicant,

1.Suspend approval of the loan application, until any violation is corrected or ceases to exist, and

2.Declare the applicant in default and demand immediate repayment of the loan outstanding plus interest.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.11 Use of Funds, Budget and Accounts

A.All applicants shall deposit all funds received from the Water Development Fund in a separate account acceptable to the Water Resources Board and in accordance with such written instructions as the Water Resources Board may from time to time issue.

B.All applicants shall carry out the work program activities, incur obligations and make disbursements in connection with Water Development Funds only in conformity with the latest budget approved by the Water Resources Board. This budget may be revised from time to time, subject to the approval of the Water Resources Board.

C.All applicants shall establish separate accounts for monies received from the Water Development Fund, in conformance with uniform requirements as may be prescribed and required by the Water Resources Board. Said accounts shall be maintained in accordance with the discretion of the Water Resources Board, either within the applicant’s existing accounting system or otherwise independently thereof.

D.All applicants at such time and in such forms as the Water Resources Board shall require, shall furnish to the Water Resources Board such statements, records, other data, and information, and such periodic reports as requested pertaining to the work program, the cost and obligations incurred or to be incurred in connection therewith, as well as information pertaining to all other matters relating to the application for the loan.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.12 Conflict of Interest: Public Officials and Others

No member of the applicant’s governing body or of the governing body of the locality wherein the applicant is located, and no official or employee of the applicant or the said locality or any other person who exercises any functions or responsibilities in connection with the loan shall own or acquire any personal interest in any property, contract or proposed contract which would conflict with the performance of his/her duties or responsibilities under this loan, except to the extent hereinafter provided. If any such member, official, employee or other person (hereinafter referred to collectively as “person”) presently, or in the future, acquires, owns, or controls any such share, benefit, or personal interest, he/she shall disclose immediately such share, benefit, or personal interest to the Water Resources Board and upon such disclosure, such person shall not participate in the program or in any action affecting the preparation of the program unless the applicant and the Water Resources Board shall determine that, in the light of such share, benefit, or personal interest, the participation of such person in any such action would not be contrary to the public interest. The applicant will promptly advise the Water Resources Board of the facts and circumstances concerning any disclosure made to it pursuant hereto or any information obtained by it relating to any conflict of interest.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-4 § 4.13 Meter Replacement

Loans may be made in conformance with the procedures contained herein to all eligible applicants for replacing water supply metering systems or a portion thereof and, unless otherwise deemed advisable in a specific instance by the Water Resources Board, said systems or portions thereof shall have been in place for fifteen (15) years or more.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-5 Big River Management Area

490-RICR-00-00-5 § 5.1 Purpose

The purpose of this regulation is to set forth procedures that preserve the land acquired by the Big River – Wood River Reservoir Site Acquisition Act, P.L. 1964, Ch. 133 for the development of future water supply. Further, this regulation also ensures that any use of the Big River Management Area preserves and protects the quality and quantity of water in the aquifer, protects public safety and is consistent with the development and use of the area for water supply.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.2 Legislative Authority

These regulations are promulgated pursuant to R.I. Gen. Laws §§ 37-20-1, 45-36-1(1) through (7), 46-15.1-19.1, 20-1-8 and R.I. Gen. Laws Chapter 42-17.1.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.3 Definitions

A."Board" means the Water Resources Board and/or its authorized agents.

B."DCAMM" means the Rhode Island Department of Administration, Division of Capital Asset, Management & Maintenance.

C."Development" means permanent improvements and/or permanent alterations to the land.

D."Management area" means the Big River Management Area as acquired by the Big River-Wood River Site Acquisition Act, P.L., 1964, Ch. 133.

E."Materials" means any natural resource located on the land, to include but not be limited to, rock formations, boulders, trees, soil and water resources.

F."Motorized" or "Mechanized vehicle" means any mechanized mode of transportation, to include but not be limited to, any vehicle that operates via a combustible engine or natural gas or electricity or solar.

G."Open space use" means activities that have a minimal and/or non-permanent impact on the physical characteristics and/or nature of the land and water resources.

H."Passive recreation" means any form of hiking, backpacking, hunting, fishing, horseback riding, canoeing or kayaking.

I."RIDEM" means the Rhode Island Department of Environmental Management.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.4 Allowed Uses in the Management Area

A.Passive recreation or open space use activity shall include but not be limited to, hiking, backpacking, hunting and trapping (As permitted and regulated by RIDEM), fishing, canoeing and kayaking (limited to ponds and Big River), and horseback riding.

B.Other uses or the above allowed uses in groups comprised of more than ten (10) persons must be reviewed and approved by RIDEM pursuant to § 5.7 of this Part and shall require a special use permit.

C.Non-mechanized or non-motorized bicycles are permitted subject to restrictions and requirements that the Board may periodically adopt and publish in consultation with the RIDEM.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.5 Prohibited Uses in the Management Area

A.Development as defined in this regulation.

B.Swimming, and camping.

C.Removal of any materials and/or natural resources of any kind from the management area including but not limited to clear-cutting, firewood cutting, unless and until approved by the Board.

D.Use of pesticides is strictly prohibited unless permitted and approved by RIDEM.

E.Storage of hazardous materials is strictly prohibited unless permitted and approved by RIDEM.

F.Use of Mechanized or Motorized vehicles as defined in § 5.3(E) of this Part is strictly prohibited.

G.Other uses not explicitly allowed or prohibited in this regulation shall be evaluated on a case by case basis by the Board in consultation with RIDEM.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.6 Leases for Residential, Non-Residential and Recreational Tenants

A.All Residential, Non-Residential and Recreational Leases in the Management Area shall be determined and evaluated on a case by case basis by DCAMM in consultation with the Board.

B.Tenants

1.Original Residential Tenants

a.Original Residential Tenants means those persons whose names appear on the original deed and lease agreements signed in 1964 at the time of the land condemnation. Same shall continue to pay the original rent amount and shall not be subject to rent increases. This rent concession is:

(1)Exclusive to the original owner(s) of the premises in the Management Area while he or she is a tenant of DCAMM in that home which he or she owned at the time of condemnation.

(2)The lease shall terminate upon the death of the original owner or if the original owner fails to reside on a continuous and uninterrupted basis at the premises or upon termination of tenancy for breach or nonpayment.

(3)The lease cannot be assigned or transferred.

2.Other Residential Tenants

a.Residential tenant means tenants other than those meeting the definition of an original owner in the Management Area. Same will be assessed fair market rent. DCAMM shall determine fair market rent.

3.Non-Residential Tenants

a.Non-residential tenant’s rent in the Management Area is subject to an annual cost of living increase using the Consumer Price Index (CPI) for the New England Region, effective the preceding year. DCAMM shall calculate this rent annually.

C.As Residential, Non-Residential and Recreational Vacancies occur DCAMM shall ensure that no new leases issue and shall also ensure the demolition of any structures and shall ensure restoration of the property to its natural state. Extensions of existing leases are permissible on a case by case basis. DCAMM shall be responsible for the demolition of any vacant property or structure in the Management Area.

D.Maintenance

1.The Tenant is responsible for keeping the interior and exterior of the leased Premises leased in good repair. Ordinary wear and tear are excepted.

2.Tenants must maintain the heating, plumbing, electrical, and all other mechanical and structural systems and must repair any damage caused by Tenant’s misuse of all appliances within the leased Premises, including but without limiting the generality thereof: the plumbing facilities, heating appliances, electrical wires and fixtures, if any.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.7 Requests to Use the Management Area - Subject to Issuance of a Use Permit From RIDEM

A.Individuals, Groups and/or Organizations interested in conducting activities in the Management Area other than those allowed in § 5.4(A) of this Part must submit an application to RIDEM no less than thirty (30) days prior to the proposed activity date(s).

B.RIDEM may require liability insurance coverage for some activities and may set other stipulations and requirements as RIDEM deems necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-5 § 5.8 Enforcement

RIDEM shall have the enforcement authority for the Management Area pursuant to R.I. Gen. Laws §§ 46-15.1-19.1, 20-1-8 and R.I. Gen. Laws Chapter 42-17.1.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-12-18 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 12/18/2018

490-RICR-00-00-6 RI Water Facilities Program Administrative Procedure

490-RICR-00-00-6 § 6.1 General Provisions

6.1.1Scope and Construction of Rules

A.The following shall constitute the regulations governing disposition of appropriations for the purpose of providing twenty-five (25) percent and/or fifty (50) percent of the cost of approved water transmission facilities for public water supply pursuant to R.I. Gen. Laws Chapter 46-15.2, as amended. These rules prescribe procedures for application, minimum standards of conduct of grantees, and performance standards for the development of potable water transmission facilities.

B.The regulations shall be liberally construed to permit the Board to effectuate the purpose of the law.

6.1.2Purpose of Rules

A.These rules are promulgated for the following purposes:

1.To implement the purposes and objectives of the Rhode Island Water Facilities Program, R.I. Gen. Laws Chapter 46-15.2, as amended;

2.To establish policies and procedures for administration of funds appropriate for the purpose of granting to municipal and quasi-municipal, potable water supply agencies twenty-five (25) percent and/or fifty (50) percent, as the case may be, of the cost of the development of approved potable water transmission facilities;

3.To protect the public and State of Rhode Island by ensuring that funds appropriated are spent in a proper manner and for the intended purposes;

4.To ensure that the distribution and use of appropriated funds are consistent with the laws and policies of the State of Rhode Island;

5.To establish minimum standards of conduct to prevent conflicts of interest and ensure proper administration of grants;

6.To establish accounting procedures for administration of grants.

6.1.3Practice Governing Rules

The Board may rescind, amend, or expand these procedures from time to time in conformance with the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35, as amended.

6.1.4Procedure for Obtaining a Water Facilities Assistance Grant

A.Each potential applicant for a water facilities assistance grant shall:

1.Determine if it meets the eligibility criteria of § 6.2.3 of this Part;

2.Arrange for a preapplication conference as required in § 6.2.4 of this Part;

3.Complete the application procedures required by § 6.2.5 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-6 § 6.2 Grant Procedures and Requirements

6.2.1Scope

This section prescribes procedures and requirements for the award of State grants of twenty-five (25) percent and/or fifty (50) percent of the cost of approved water facilities pursuant to R.I. Gen. Laws Chapter 46-15.2, as amended.

6.2.2Definitions

A.The following words and terms, when used in this section shall have the following meaning:

1.“Act” means the Rhode Island Water Facilities Assistance Program, R.I. Gen. Laws Chapter 46-15.2, as amended.

2.“Applicant” means municipal and quasi-municipal potable water supply agency that applies for a grant pursuant to the provisions of these rules and regulations.

3.“Board” means the Rhode Island Water Resources Board as established by R.I. Gen. Laws Chapter 46-15, as amended.

4.“Construct” and “Construction” means to build or rebuild in a systematic manner.

5.“Council” means the State Planning Council as established by R.I. Gen. Laws Chapter 42-11, as amended.

6.“Design life” means an assigned and/or given time period of project usefulness as determined by a systematic program of engineering.

7.“Distribution facilities” means the pipes and appurtenant facilities employed specifically to deliver, to dispense, to render, or to circulate potable water directly for the benefit of a consumer or a community of consumers.

8.“Division” means the Division of Public Utilities and Carriers established by R.I. Gen. Laws Chapter 39-1, as amended.

9.“Eligible project scope” means the construction of potable water supply transmission facilities consisting of pipes and appurtenances including but not limited to pump stations, valves, surge chambers, storage facilities which convey potable water, the acquisition of land or rights of way, and necessary engineering and design services.

10.“Grantee” means an applicant which has received a grant pursuant to the Rhode Island Water Facilities Assistance Program, R.I. Gen. Laws Chapter 46-15.2, as amended, and these procedures, and which has executed a grant award document.

11.“Interconnection” means a potable water supply connection with another potable water supply system.

12.“Intersystem facilities” means transmission facilities designed and constructed by the owner of any public water system having the capacity to serve two or more water systems at the same time.

13.“Municipal” and “Quasi-municipal” means any political subdivision within the State of Rhode Island established by Public Law of the State of Rhode Island and/or established by legislatively approved Home Rule Charter(s) for Cities and Towns Amendment of the Constitution of the State of Rhode Island.

14.“Project” means any work relating to the construction of potable water supply transmission facilities.

15.“Transmission facilities” means the pipes and appurtenances pumping stations, and storage facilities required to carry potable water from a water source(s) to, or throughout an area served by, or to be served by, a public water system(s) for the specific purpose of supplying potable water to support a general population. Transmission facilities do not include the distribution system. Final determination of transmission facilities is the prerogative of the Board.

16.“Water source” means the origin and/or starting point from which potable water is transmitted.

6.2.3Eligibility Criteria

A.An applicant is eligible for a grant pursuant to these regulations upon satisfactorily completing the application process in a timely manner, meets the eligibility criteria set forth in this section, and ranks high enough on the priority list to be funded. To receive a grant pursuant to these regulations, the project shall meet the following criteria to the satisfaction of the Board

1.The project must receive a fundable priority ranking as set forth in § 6.2.12 of this Part.

2.The eligible project scope shall be an independent and complete potable water supply project. An independent and complete project is one that by its implementation alone will render the specified portion of the system adequate and efficient and will accomplish the purpose set forth in the application.

3.The project shall not conflict with other public water supply projects.

4.The eligible project scope must link a water source with a water distribution system, both of which are complete and operational, or will be so at the time that the eligible project scope is completed, or is projected for future construction. The capacity of both the water source and the distribution system must be adequate to meet present and future needs, considering all other demands that may be placed on the same sources and distribution systems

5.The quality of water to be conveyed through the eligible project scope must meet the Rhode Island Department of Health potable water supply requirements.

6.The eligible project scope must be designed and constructed to ensure that the project will remain operational for its design life with routine maintenance.

7.The eligible project scope must be consistent with a plan adopted and kept current by the Board in accordance with R.I. Gen. Laws § 46-15-6 and with applicable elements of the state guide plan as adopted and kept current by the Council in accordance with R.I. Gen. Laws § 42-11-10(c).

8.Legal, amortization, borrowing, and all other costs attendant to the funding of the project are not eligible for financial assistance under these procedures and must be fully borne by the applicant. The cost of distribution facilities as defined in this section is not eligible for financial assistance under these procedures.

9.The final determination of applicant eligibility, eligible project scope, eligible project costs, preliminary award, and final award shall be made by the Board.

6.2.4Preapplication Procedures

A.Every applicant may request an informal conference prior to making a formal application for a grant. During the conference, the Board shall identify and explain all grant application documents. The Board shall identify and answer questions concerning other required approvals the applicant must obtain prior to awarding a grant. This preapplication conference is not part of the formal public application procedure and any statements, comments, or any other ideas and/or suggestions made or offered by members of the Board during the conference are not legally binding on or against the Board or its members.

B.Questions concerning the program and requests for a preapplication conference should be directed to the agency.

6.2.5Application Procedure

A.To apply for a Water Facilities Assistance Program Grant, an applicant shall comply with all the pertinent requirements of these regulations. The application shall be submitted to the Board on forms approved by the Board for that purpose.

B.An applicant for a Water Facilities Assistance Grant shall submit:

1.A completed grant application;

2.A demonstration that its seventy-five (75) percent share and/or its fifty (50) percent share of the eligible project costs is available and obligated to the project.

3.A description of how the grantee plans to repay any loans and pay any other expends necessary to fully complete and implement the project, the steps it plans to take before receiving the grant that will guarantee that at the time of the signing of the grant award document, it will be irrevocably committed to completing the eligible project scope and pay any other expenses necessary to fully complete, implement, operate and maintain the project.

4.A written explanation of the need for the project.

5.A complete proposal outlining the problems or issues, cause and effect of these problems or issues, and the proposed solution to same accompanied by a discussion of any alternatives to the proposed solution as contained in the grant proposal.

6.Written proof or evidence that all federal, state and local agencies with jurisdiction over the area and/or project have been notified of the project, particularly any water supply system that may be affected by interconnection.

7.A proposed construction schedule for the project.

8.All forms, agreements, and sub agreements the Board may require.

9.An estimate of development and construction cost by unit prices for the project. Labor, equipment. material, supplies, overhead, and contractor’s and consultant’s profit shall be included to substantiate the estimate of unit costs accompanied by supporting background and summary sheets. Total project costs and those project costs that the applicant reasonably anticipates are required to be eligible for a grant shall be separately itemized and summarized.

10.A written description of the environmental impact assessments required, completed, or to be completed, including identification of any known or suspected environmental impacts on water quality, plant and animal life, project site land characteristics, historical sites and any other environmental factors; and

11.All documentation and other information as may be necessary for the Board to adequately determine the applicant's priority.

C.Signature

1.Applications shall be signed for the applicant by a person authorized by resolution or ordinance of the governing body to file an application for a grant and to obligate the applicant to the terms and conditions of the grant award document.

2.Each application shall constitute an undertaking to accept the requirements of these procedures and the terms and conditions of the grant award document.

D.Applications should be submitted well in advance of the proposed starting date of the project for which the applicant desires to be awarded a grant.

E.Upon receipt of an application, the Board, in its sole discretion, shall determine whether the application is complete and that same contains all necessary information. Applications the Board determines are insufficient and/or incomplete shall be returned to the applicants. The Board shall indicate whether any application it deemed insufficient and/or incomplete may be resubmitted to the Board. The Board shall forward a copy of each application accepted to the Division and to the Council.

6.2.6Use and Disclosure of Information

All loan applications and other submittals upon receipt by the Board shall constitute a public record(s). The Board shall make such records available to persons who request their release to the extent allowed by the State of Rhode Island and federal law. The Board may assert any State of Rhode Island and/or federal law exception and/or exemption to the release of such public record(s).

6.2.7Evaluation of Application

A.The Board shall inform the applicant that it has received the application and is evaluating the application pursuant to these procedures. Each application shall be subject to:

1.Preliminary administrative and legal review to determine completeness of the application.

2.Program, technical, scientific and environmental evaluation to determine the merit and relevance of the project to the Board’s program objectives have been met, and to ensure that:

a.The design and engineering of the project free of omissions and defects, and illustrate the project will remain operational for its design life when supported by routine maintenance

b.The need exists in the community for the potable water supply that would be provided by the project;

c.The project connects a water source with a water distribution system;

d.The distribution system has or will continue to have sufficient capacity to carry the projected volumes of water;

e.The proposed water source is of sufficient capacity to meet the applicant's needs and/or will have sufficient capacity to serve future demands imposed by the applicant in combination with other consumers;

f.The quality of water meets the standards established by the Rhode Island Department of Health for public potable water supplies;

g.The project incorporates conservation efforts consistent with R.I. Gen. Laws Chapters 46-15.3 and 46-15.8; and

h.The project is properly coordinated with all other water systems serving adjacent or abutting areas in terms of interconnections and mutual support

3.Budget evaluation to determine that the proposed project costs are eligible, reasonable, applicable, and allowable and that seventy-five (75) percent and/or fifty (50) percent of the eligible project cost is available to the applicant and obligated to the project; and

4.Final administrative evaluation - the Board will not approve a project unless sufficient state funds to provide the state's twenty-five (25) percent and/or fifty (50) percent share of eligible project cost are available, and, the project has been approved by the Division and the Council, as set forth in §§ 6.2.7(B) and (C) of this Part, provided, however, that with respect to any project which has been approved by the Board and which thereafter becomes eligible to participate as an inter-system facilities project, the submission to, and approval by, the Division and Council shall not be required.

B.The Division of Public Utilities and Carriers will review the financing aspects of all projects, in particular, the cost(s) that will be imposed on water consumers. The Division will perform an analysis of the proposed cost(s) and benefit(s) of the project and make a determination based upon its findings as to whether approval of the project is in the best interest of the water consumer. If the Division determines the project is in the best interest of the water consumer, the Division shall approve the project. If the Division determines that the project is not in the best interest, of the water consumer, the Division will disapprove the project. Since the Division's review must be based on estimated cost(s), and speculative interest rate(s), the full financing cost(s) may not be precise. The absence of specificity concerning financing cost(s) is a factor to be considered by the Division.

C.The State Planning Council will review all proposed projects to determine that the project is consistent with all relevant elements of the State Guide Plan. Upon determination that a project is consistent with the State Guide Plan, the Council will approve the project. Upon determination that the project is not consistent with the State Guide Plan, the Council shall disapprove the project.

6.2.8Board Approval/ Disapproval

A.After full review and evaluation of an application, the Board shall take one of the following actions:

1.Approve the application for a grant and place the applicant on a priority list for funding; may condition the approval of any intersystem facilities applicant agreeing that the applicant will not charge any water system which uses such facility an amount in excess of the applicant's costs for purchase, production, and transmission of water to such user, and an appropriate portion of the applicant's cost of repair, maintenance, and replacement of such facilities based upon the capacity allocated to such user.

2.Disapprove the application, indicating the reason(s) for disapproval.

B.The applicant will be promptly notified in writing of approval or disapproval. A disapproval of an application may not preclude reconsideration or resubmission of an application.

6.2.9Amount and Terms of Grant

A.Upon approval of the proposed eligible project scope by the Board, the Division, and the Council, the Board will so notify the applicant and will establish the amount and terms of said participation in the project representing twenty-five (25) percent of eligible project costs to serve a single water system and/or fifty (50) percent of eligible project costs to serve intersystem facilities as determined from the application. Costs incurred, for any reason, more than those eligible project cost(s) as set forth in the application and approved by the Board will not automatically increase the amount of State participation. The applicant, however may submit a subsequent application in accordance with these procedures that requests State participation in such additional cost(s). If the eligible project scope is completed at an eligible project cost below that as set forth in the application and as approved by the Board the amount of State participation will be reduced proportionately.

B.The Board will establish, a schedule by which State funds will be paid to the applicant that ensures that funds are disbursed only when required for the project.

C.The applicant will certify to the Board that the State's share of eligible project costs cannot be used by or transferred to a private investor and/or investor-owned company.

D.The Board will set the terms for determining the priority and scheduling of all project activities with specific emphasis on the eligible project cost items to ensure that, all engineering design, construction and land or right-of-way acquisition involved in the project is properly managed and successfully completed.

E.All amounts, terms, and conditions as approved by the Board in accordance with this regulation and with R.I. Gen. Laws Chapter 46-15.2 shall be set forth in a Grant Award Document.

6.2.10Grant Award Document

A.Upon approval of an application, the Board shall prepare a grant award document and transmit four copies of the document to the applicant.

1.The applicant shall execute the grant award document and return the document to the Board within 30 calendar days following the date of receipt of same. The Board may, in its sole discretion, extend the time for execution of the document. The loan award document shall be executed by the signature of a person authorized by resolution or ordinance of the applicant's governing body to legally bind and contract the applicant to the amounts, terms, and conditions set forth in the grant award document.

2.The grant award document shall set forth the amount, terms, and conditions of the project funding; the amount, terms and conditions of the grant award; the approved eligible project scope; the approved eligible project costs; and the approved commencement and completion dates for the project and its major phases.

3.The grant award document shall be deemed to incorporate all requirements, provisions, and in formation in documents or papers submitted to the Board in the application process.

4.After the Board has completed its internal processing of the grant award document, it shall transmit a copy of the executed grant award document to the grantee.

6.2.11Effect of Grant Award

A.The grant award document shall become effective immediately upon its execution by the Board and the applicant, and shall constitute a contractual obligation of the State of Rhode Island in the amount of the grant award and for the specific purposes stated in the grant award document.

B.The award of the grant shall not commit or obligate the Board to award and/or grant additional funds and/or monies to the grantee to cover cost overruns or other additional items for any project. Cost overruns or any other additional items that any add to the original cost of the approved project are the sole responsibility of the grantee.

6.2.12Fundable Priority Ranking

A.Each eligible project scope approved by the Board will be assigned a priority ranking by the Board for awarding of a grant in accordance with the criteria contained in this subsection:

1.The Board shall determine that sufficient state funds are available to provide the twenty-five (25) percent share and/or the fifty (50) percent share of the eligible project costs.

2.The Board shall weigh the character and extent of the water supply issues and/or problems which require action by the State of Rhode Island. This process shall be utilized to alleviate the issues and/or problems in a manner which best protects the general welfare of all the citizens of the State

3.The Board shall weigh the proposed project’s impact on retaining and encouraging the expansion of the State’s present industries; the attraction of new industries, and the promotion of economic growth for the entire State.

4.The Board shall weigh the proposed project's capacity to ensure an adequate supply of potable water for present and future domestic, industrial and recreational use, and to supply potable water in equitable apportionment to areas of greatest need throughout the State.

5.The Board shall weigh the proposed project's design, construction, operation, and financing methods relative to a coordinated allocation of the State’s potable water supplies for the proper development, conservation, apportionment, and use of the water resources of the state.

6.The Board will give specific weight to potable water scarcity in a region or area and the degree to which the region or area will not support acceptable standards for human habitation unless the scarcity is satisfied by transportation of potable water into the region or area.

7.The Board shall weigh the comments of the Council and the Division in their approval of the proposed eligible project scope.

B.The Board shall review annually its priority rankings. If sufficient changes in a proposed project(s) are evident, the Board may adjust its priority rankings accordingly.

1.In cases or circumstances involving a threat to the health and safety of the inhabitants of a region or area, the Board may suspend the requirement for the approved project to achieve a Fundable Priority Ranking and accordingly permit said project to supersede all other projects in priority of award for a grant.

6.2.13Project Development Phase Grantee

A.Upon approval of the grant, each grantee within thirty (30) days after receipt of notice of grant award shall arrange a pre-design conference with the personnel of the Board. The grantee shall submit all materials required by the subsection to the Board within six months after receipt of the notice of the grant approval or within time limits and/or extensions granted by the Board of any extension granted pursuant to subsection

B.During the pre-design conference the Board’s personnel will identify and explain the requirements of this subsection including design criteria and including review of the requirements for any environmental analysis as outlined in § 6.2.13(D) of this Part. Based on information furnished by the grantee, Board personnel will determine if an approval is required for the project or any portion thereof pursuant to R.I. Gen. Laws Chapter 46-15.

1.If an approval is required pursuant to R.I. Gen. Laws Chapter 46-15, the Board will provide reasonable assistance to the grantee to insure compliance with the statutory requirements as applicable.

C.The grantee shall submit all materials required by this subsection, prepared in accordance with accepted engineering practices within the time period specified by the Board.

1.A complete Engineers Report shall be prepared, signed and sealed, by a Rhode Island licensed professional engineer experienced in the field of water supply. The report shall include, but not be limited to the engineering assumptions, references, calculations and conclusions relative to the structural, sanitary and hydraulic design of all elements within the project scope including all information, narratives, data and computations necessary to support and describe the design developed and shall be in such detail as to permit complete understanding of project design. Depending on the project scope it the Engineer's Report shall address the transmission and/or distribution network, topographic conditions, geotechnical considerations, pump station performance, and operating characteristics of the transmission and/or distribution storage system, including capacity, adequacy, condition, etc.

2.The plans for the project as prepared by an engineer licensed by the State of Rhode Island shall be signed and sealed and shall have a title block giving the name and location of the project, the scale or scales used, date, the name of the engineer and his license number. The plans shall clearly reference elevation datum. The National Geodetic Vertical Datum of 1929 (U.S.G.S.) or the North American Vertical Datum of 1988 (NAVD 88) should be used wherever possible or an equation converting to that datum given. The plans shall clearly reflect and shall include but not be limited to:

a.A vicinity map showing the location of the project. A U.S.G.S. 7 ½ Minute Quadrangle Map or acceptable substitute shall be used for this purpose.

b.A profile and a plan of the entire project that is to be constructed. The plan shall include but not be limited to an index map, water transmission mains, water distribution pipes, service connections, fire hydrants, gage valves, blow off valves, air relief valves, pressure reducing valves, pumping stations, surge chambers and storage tanks. The plan, also, shall include but not be limited to the location of all utilities and sewer lines, i.e., pipelines and telephone lines, electrical conduits, and sanitary and storm sewers that will have an effect on the project implementation.

c.If required by the Board, a topographic and pressure contour map of the transmission grid system showing ground elevations, and water pressure at various points in the system.

d.Plan and elevation views of all storage tanks that are to be constructed.

e.Plan and elevation views of all pumping stations that are to be constructed

f.Standard details of all gate valves, check valves, air release valves, drains, surge control equipment, expansion joints, insulation joints, manholes, pump stations, gages, risers, headers and other components of the system that are to be installed and/or constructed.

3.The construction specifications for the project shall include but not be limited to:

a.The general provisions, which shall specify the rights, duties, and responsibilities of the Owner, Grantee, engineer(s), builder(s) and the prescribed order of work.

b.The technical provisions, which shall prescribe carefully and in detail the approved work methods, equipment and materials to be used, the results to be obtained, and the project and payment schedule. The technical provision should comply with the construction standards pursuant to the Ten State Standards for development of water supply facilities. The Board will consider and accept substitutes and/or alternatives to the Ten State Standards upon adequate and thorough justification by the grantee.

4.A detailed cost estimate of engineering, design, and construction of the system and appurtenances thereto. The breakdown of cost estimates shall be by unit prices covering estimated labor, equipment, materials, supplies, and contractor overhead and profit. Background sheets shall be furnished detailing the computation of unit prices. A summary form showing item number/ description, estimated quantity, unit, unit price, and estimated amount is required.

D.All grantees except those excluded by § 6.2.13(E) of this Part shall submit a statement of environmental analyses, describing the possible direct and indirect effects of the project on public safety, health, and welfare; on public and private property; on water quality and quantity; on the preservation of areas, sites, and structures and objects determined to have significant historical, archeological, or cultural value; on the public trust in wetlands, wildlife, and fisheries; and on the protection of the natural environment. The grantee shall describe and analyze:

1.Temporary and permanent physical changes caused by the project and the impact of these changes on the project area and immediate environs;

2.Project measures proposed which reduce or avoid environmental damage;

3.All steps taken during and after completion of the construction to reduce or eliminate detrimental onsite and offsite effects;

4.Adverse environmental conditions which cannot be predicted and why same cannot be avoided.

E.At the pre-design conference, the Board will specify those aspects or the environmental statement it places emphasis on. The Board reserves the right to waive the environmental statement requirement for those projects which it determines in its sole discretion have no significant impact on the environment.

F.The Board shall dispense funds to those grantees who obtain and submit all required permits and all materials to the satisfaction of the Board, within six (6) months after the signing of the Grant Award Document or within the time limit set on any extension granted pursuant to § 6.2.13(G) of this Part below.

G.Any grantee who fails to submit all materials required by the Board in the proper format and the required permits within the six (6) month period or a Board authorized extension thereof shall be considered in default of the grant award and the grantee shall lose all entitlement to the grant funds.

6.2.14Eligible Project Costs

A.Eligible project costs will be allowed to the extent permitted by the subsection and the Grant Award Document. Eligible project costs shall be those costs set forth below and as approved by the Board.

1.Construction and/or reconstruction of all or part of any potable water supply transmission facility that links a potable water source with a potable water distribution system;

2.Engineering, design, and resident inspection for construction and/or reconstruction of any potable water transmission facility;

3.Special and outside services, e.g., professional geological, hydraulic, surveying, water testing services, required as pertinent to the engineering and design of the construction and/or reconstruction of a potable water supply transmission facility;

4.Acquisition costs of land or rights-of-way necessary for the construction and/or reconstruction of a potable water supply transmission facility.

B.Ineligible project costs shall be those costs set forth below;

1.Salaries of regular municipal or quasi-municipal water purveyor employees, expenses of municipally or quasi-municipally owned equipment, and any other such municipal or quasi-municipal force account expenses;

2.Costs of borrowing funds and amortization costs in a manner or for any purpose;

3.Legal expenses;

4.Distribution systems and water supply source development;

5.Financial, professional and any other services not directly involved in the engineering and design effort;

6.Organization, operating, and other related expenses of a municipal or quasi-municipal agency prior to or during construction and/or reconstruction of a potable water supply transmission facility.

C.Development and Construction project contracts must be awarded in accordance with R.I. Gen. Laws Title 37, as amended; The Rhode Island Division of Purchases General Terms and Conditions of Purchase; and any other applicable, rules and regulations as may be adopted.

D.Grantees shall be allocated grant award funds based on the actual costs incurred and other documented eligible project costs up to the maximum award amount specified in the grant award document.

E.Eligible project engineering and design costs shall not be reimbursed until construction contracts are awarded.

6.2.15Unused Grant Funds

Any difference in grant funds between actual eligible project costs for implementation and the estimated eligible project cost for grant award purposes shall be retained by the State of Rhode Island and shall at the Board's determination be applied to any eligible project pursuant to R.I. Gen. Laws Chapter 46-15.2, and to these regulations.

6.2.16Fraud and Other Unlawful or Corrupt Practices

A.The grantee shall administer the grant, award contracts and subcontracts pursuant to the grant award document in accordance with all applicable local, State, and federal law. The grantee bears the primary responsibility for the prevention, and detection of any violation of applicable law. Further, the grantee shall fully cooperate in the prosecution of any such violation of applicable.

B.The grantee shall forthwith notify the Board immediately after any violation of applicable law. Grantee shall advise the Board in writing every thirty (30) days of the status and ultimate disposition of any relevant legal proceeding. Failure to forthwith notify the Board of same may, in the Board's sole discretion, result in the termination of funding pursuant to grant award document and/or referral of the Grantee to the appropriate law enforcement agency for prosecution.

6.2.17Grant Conditions

A.The following requirements in addition to such other statutes rules, terms, and conditions as may be applicable to grants, are conditions of each grant and conditions precedent to each payment under a grant award document.

1.The project or phase of the project must be initiated and completed in accordance with the time schedule specified in the grant award document.

2.All contracts, agreements, change orders, etc., between the grantee and any contractor, consultant or others employed on the project which commit payments to be made as part of the eligible project costs shall be approved by the Board as to form and content.

3.The Board or a designated representative of the Board shall participate in the selection and/ or appointment of all consultants, contractors, and other employments the grantee may engage to perform the eligible project scope.

4.The grantee must submit proof that the grantee's employees and the grantee's contractors, consultants, are in compliance with all hazard insurance requirements as specified in the grant award document and shall written certification of same that the required insurance(s) is in full force and effect.

5.The grantee shall certify that the grantee's employees and the grantee’s contractors, consultants, maintain their financial records in accordance with generally accepted accounting principles. Said financial records shall be available to the Board or its authorized representative upon request.

6.The grantee shall certify that the grantee and the grantee's employees and the grantee's contractors, and consultants are in compliance with the antidiscrimination and affirmative action provisions of The Civil Rights Act of 1964, 42 U.S.C. § 2000(e) The Rehabilitation Act of 1973, 29 U.S.C. § 504, and all applicable state and federal laws, including these rules and regulations.

7.The grantee shall include in all its construction and development contracts for the project a requirement that the contractor(s) post a performance bond or other performance guarantee in the amount equal to the full cost of the project. The performance bond or guarantee shall remain in effect until the Board’s final inspection of the project and the Board determines in writing that the project is satisfactorily completed. The performance bond or performance guarantee shall be both nondiscriminatory and financially acceptable to the Board.

8.The grantee shall certify that it is in full compliance with all other standards and conditions as required by the Grant Award Document.

9.The grantee shall certify that in the construction of the project, including letting of contracts in connection therewith, the grantee has conformed to all applicable requirements of federal, state, local laws, ordinances, rules and regulations.

6.2.18Administration and Performance of Grant

The grantee bears primary responsibility for administration and success of the project, including any sub-agreements made by the grantee for accomplishing grant objectives and/or successful completion of the project. Although grantees are encouraged to seek advice and opinion of the Board on problems or issues that may arise, the giving of such advice and/or opinion shall not shift the responsibility for final decisions regarding the completion of the project to the Board. The Board is responsible to ensure that the grant funds awarded shall be used in conformance with these regulations, the purposes set forth in R.I Gen. Laws Chapter 46-15.2, shall comply with the grant award document to achieve grant objectives and be used in compliance with all applicable local, State, and federal law, and with the purposes set forth in R.I. Gen. Laws Chapter 46-15.2.

6.2.19Access

The grantee and the grantee's employees, contractors, and consultants shall give and provide to the Board’s personnel access to the facilities, premises, and records related to the project. The grantee shall submit to the Board such documents and information as requested by the Board. The grantee and the grantee's employees, contractors, and consultants may be subject to a financial audit as determined by the Board. All records shall be retained by the grantee and available to the Board for a period of seven (7) years after issuance of the final grant award payment.

6.2.20Grant Award Payments

Grant award funds shall be released to the grantee upon completion of the entire project as determined by the Board, or on an interim basis as approved by the Board. If interim payments are made, such payments will be equal to the amount corresponding to twenty-five percent of the total eligible project costs. Ten percent of all grant payments made shall be withheld by the Board as permissible, and agreed upon retainage until the entire project is completed to the full satisfaction of the Board. No grant payments shall be made until the Board receives acceptable cost documentation which shall include all forms and information required by the Board and completed in a manner satisfactory to the Board.

6.2.21Assignment

The right to receive payment from the State of Rhode Island under a grant award may not be assigned, nor may payments due under a grant award be similarly encumbered, unless the grantee receives written approval of same from the Board.

6.2.22Publicity and Signs

A project identification sign, at least eight feet long and four feet high, bearing the emblem of the State of Rhode Island, shall be displayed in a prominent location at each publicly visible project site and facility, except as may be prohibited by local zoning ordinances. The sign shall identify the project, amount of State grant support, and any other information required by the Board.

6.2.23Debarment

No grantee shall enter into contract for work on a grant award project with any contractor, consultant, or other person debarred, suspended, or disqualified from contracting with the State of Rhode Island pursuant to the rules and regulations established by and promulgated under R.I. Gen. Laws Chapter 37-2, as amended.

6.2.24Project Changes and Grant Award Modifications

A.A grant award modification is defined as any written alteration of the terms, conditions, budget, project method, project scope, or other administrative, technical, or financial agreements contained in the grant award document.

B.Due to the limited amounts of funds available for Water Facilities Assistance Program grants, there shall be no grant modifications that increase the original grant amount awarded. All increased eligible project costs from a written grant modification shall be the responsibility of the grantee.

C.The grantee shall promptly notify the Board in writing via certified mail, return receipt requested of events and/or proposed changes, which may require a written grant modification to include but not be limited to the following:

1.Re-Budgeting,

a.Changes in approved technical plans or specifications for the project,

b.Changes, which may affect the approved scope or objective of the project,

c.Significant or substantial changed conditions at the project site,

d.Any changes in the time and schedule for performance and/or completion of the project, or any major phase thereof,

e.Changes which may increase or substantially decrease the total cost of the project, and

f.Changes in key personnel identified in the grant award document or a reduction in time or effort devoted to the project by such personnel.

D.If the Board decides a formal grant amendment is necessary, the Board shall notify the grantee and a formal grant award document amendment shall be prepared in accordance with § 6.2.25 of this Part. If the Board decides no formal grant award document amendment is necessary, the Board shall follow § 6.2.26 of this Part.

6.2.25Formal Grant Award Document Amendments

A.The Board shall require a formal grant document amendment to change principal provisions of the grant award document where project changes substantially alter the cost, schedule, and/or time of performance of the project or any major phase of the project.

B.The Board and the grantee shall effect a formal grant award amendment only by written amendment to the grant award document. Same must be signed and certified by the appropriate authorities.

6.2.26Administrative Grant Changes

Administrative changes by the Board such as a change in the designation of key Board personnel or of the location to which a report .is to be transmitted by the grantee, or a change in the payment schedule of the grant for planning, engineering and design, and construction of the project, constitute changes in the grant award document but not necessarily changes to the project performance, and therefore do not affect the substantive rights of the Board or the grantee. The Board may issue such changes unilaterally. Such changes shall be in writing and shall generally be effected by a certified letter to the grantee via first class mail with a return receipt requested.

6.2.27Other Changes

All other changes, which do not require formal grant award document amendment, require written approval of the Board.

6.2.28Noncompliance

A.In addition to any other rights or remedies available to the Board pursuant to law, in the event of noncompliance with any grant condition, requirements of these regulations, and/or grant award document requirements or specifications, the Board may take any of the following actions or combinations of same:

1.Issue a notice of noncompliance pursuant to § 6.2.29 of this Part,

2.Withhold grant funds pursuant to § 6.2.30 of this Part,

3.Order suspension of the project work pursuant to § 6.2.31 of this Part, and

4.Terminate or annul a grant pursuant to §§ 6.2.32 and 6.2.33 of this Part.

6.2.29Notice of Noncompliance

When the Board determines that the grantee is not in compliance with any condition and/or requirement of law, of these regulations, and/or of the grant award document, the Board shall notify the grantee of its compliance. The Board may require the grantee, its employees, its consultants, and its contractors to undertake and complete corrective action within thirty (30) working days of receipt of notice of noncompliance. If the grantee, its employees, its consultants, and its contractors do not undertake corrective action or if such action is not deemed adequate by the Board, the Board may issue a stop work order or withhold payment. The Board, however, may withhold payment pursuant to § 6.2.30 of this Part or issue a stop order pursuant to § 6.2.31 of this Part without prior notice to the grantee pursuant to this subsection.

6.2.30Withholding of funds and Payments

The Board may withhold a grant payment or any portion of same when it determines in writing that a grantee has failed to comply with any grant condition, any provision of these procedures, or any specification or requirement of the grant award document.

6.2.31Stop Work Orders

A.The Board may order work to be stopped for "good cause" shown. "Good cause" shall include, but not be limited to, default in performance or noncompliance with the terms and/or conditions of the grant. The Board will issue a stop work order in situations where the Board deems it advisable to suspend work on the project or a portion or a phase of the project for identifiable and substantive program and/or project consideration.

B.Prior to issuance of a stop work order, the Board will afford the grantee an opportunity to discuss the stop work order with the Board. The Board may consider same prior to issuing a stop work order. Stop work orders will contain:

1.The reason(s) for issuance of the stop work order,

2.A clear description of the work to be suspended,

3.Instructions as to the issuance of further orders by the grantee for materials or services,

4.Guidance as to action being taken on sub agreements, and

5.Other suggestions to the grantee for minimizing costs.

C.The Board may, by written order to the grantee sent via certified mail first class with a return receipt requested from the grantee, require the grantee to stop all, or any part of, the project work for a period of not more than forty-five (45) days after the grantee receives the order, and for any additional time period which the Board may deem necessary.

D.Effect of stop work order

1.Upon receipt of a stop work order, the grantee shall immediately comply with the terms of same and take all reasonable steps to minimize the incurrence of additional costs associated with the work covered by the stop work order during the period of work stoppage. Within the suspension period or an extension thereof, to which the parties have agreed, the Board will either:

a.Rescind the stop work order, in full or in part,

b.Terminate the work covered by such order,

c.Authorize resumption of work.

2.If a stop work order is cancelled or the period of the order or any extension thereof expires without any action being taken by the Board within ten (10) days following the expiration date, the grantee shall promptly resume the previously suspended work. An equitable adjustment shall be made in the grant period, the project work program or both, and the Grant Award Document shall be modified accordingly in the sole discretion of the Board.

6.2.32Termination of Grant

A.The Board may terminate a grant award in whole or in part for "good cause" subject to negotiations and payment of appropriate termination costs for the State’s share of the eligible project cost. The term "good cause" shall include but not be limited to substantial failure to comply with the terms and conditions of the grant, or default in performance by the grantee, its employees, its contractors, and consultants.

1.The Board shall give written notice to the grantee via certified mail first class, with, return receipt requested from the grantee, of the Board's intent to terminate a grant award in whole or in part at least ten (10) days prior to the intended date of termination. Said notice shall concisely state the reason(s) for termination.

2.The Board may afford the grantee an opportunity for consultation prior to any termination. After such consultation, the Board may in writing via certified mail first class, with return receipt requested from the grantee, terminate the grant award in whole or in part.

B.A grantee shall not unilaterally terminate the project work for which a grant has been awarded. The grantee shall promptly give written notice to the Board of any proposed, complete, or partial termination of the project work. If the Board determines that there exists "good cause" for the proposed termination of all or part of the project for which the grant has been awarded, the Board may enter into a termination agreement with the grantee. The termination agreement may be subject to negotiation and payment of appropriate termination costs for the State’s share of the eligible project costs. If the Board determines that a grantee has terminated work on the project unilaterally, the Board may unilaterally terminate the grant award pursuant to the subsection or annul the grant award pursuant to § 6.2.33 of this Part.

C.The Board and the grantee may enter into an agreement to terminate the grant award at any time pursuant to terms consistent with this subsection. The agreement shall establish the effective date of termination of the project; the grant award; the basis for settlement of termination costs applicable to the grant award and/or the amount and date of payment of any sums due.

D.Upon termination, the grantee shall forthwith refund the State of Rhode Island for that portion of any payment(s) made to the grantee for work the grantee did not complete due to termination. The grantee shall make no new commitments to the project without Board approval.

1.The Board shall make the final determination of allowable termination costs.

6.2.33Annulment

A.The Board may, in writing via certified mail fist class, with return receipt requested from the grantee, annul the grant award if it determines that;

1.Substantial performance, determined in the Board's sole discretion, of the project work did not occur;

2.The grant award was obtained by fraud, or any unlawful method and/or means; or

3.Gross abuse and/or corrupt practices, determined in the Board's sole discretion, in the administration of the project occurred.

B.At least ten (10) days prior to the date of annulment, the Board may give written notice to the grantee of intent to annul the loan. The Board may afford the grantee an opportunity for consultation prior to annulment of the grant award. Upon annulment of grant award, the grantee shall forthwith return all grant funds paid to the grantee. The Board will make no further payments to the grantee. In addition, the Board shall pursue all available remedies pursuant to federal, state, and local law.

6.2.34Administrative Hearings

The Board shall decide all disputes under a grant award. The grantee may request a hearing within fifteen (15) days by notifying the Board in writing of any disputes and/or disagreements the grantee may allege in the interpretation of the grant award. The Board shall grant and conduct such a hearing in accordance with the provisions of the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35. Following a hearing, the Board shall issue a written decision and furnish a copy of same to the grantee.

6.2.35Liberal Construction

The provisions of these regulations shall be construed to accomplish the purposes hereof and where any specific power is given to any agency by the provisions hereof, the statement thereof shall not be deemed, to exclude or impair any power otherwise in these regulations conferred upon that agency.

6.2.36Rules and Regulations

The Board may issue, amend and/or repeal these regulations in its discretion and in accordance with the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35.

6.2.37Severability

If any section, subsection, provision, clause or portion of these regulations is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of these regulations shall not be affected thereby.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-10-15 to 01/04/2022
• Periodic Refile — effective from 2001-12-18 to 10/15/2018

490-RICR-00-00-7 Water Quality Protection Charges

490-RICR-00-00-7 § 7.1 Purpose and Authority

This section prescribes procedures and requirements for the imposition, collection, remittance and distribution of the water quality protection charge, authorized by R.I. Gen. Laws Chapter 46-15.3, as amended.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.2 Definitions

A.The following words and terms when used in this section shall have the following meanings unless the context clearly indicates otherwise:

1.“Act” means R.I. Gen. Laws Chapter 46-15.3, as amended.

2."Bank" means Rhode Island Infrastructure Bank as established by R.I. Gen. Laws Chapter 46-12.2, as amended.

3.“Board” means the Rhode Island Water Resources Board as established by R.I. Gen. Laws Chapters 46-15 and 15.1, as amended.

4.“Eligible expenditure” means the acquisition of a fee simple interest or of a conservation restriction, as that term is defined in R.I. Gen. Laws § 34-39-2(a) and as further detailed in R.I. Gen. Laws § 46-15.3-4 and by the Board.

5."Bank WQPC Fund" means the water quality protection fund, which shall be in the custody of the Rhode Island Infrastructure Bank. Such fund shall consist of such amounts as may be remitted to the Bank by water suppliers of all water quality protection charges other than:

a.the six and nine-tenths percent (6.9%) of the charges collected and retained by each water supplier for any purpose relating to the operation of the supplier, and

b.the fifty seven percent (57%) of the charges collected and remitted by each supplier to the General Treasurer, pursuant to the Act and R.I. Gen. Laws Chapter 46-12.2.

6.“State WQPC Fund” means the water quality protection fund which shall be in the custody of the General Treasurer. Such fund shall consist of such amounts as may be remitted to the state by water suppliers of all water quality protection charges other than:

a.the six and nine-tenths percent (6.9%) of the charges collected and retained by each water supplier for any purpose relating to the operation of the supplier, and

b.the thirty-six and one-tenths percent (36.1%) of the charges collected and remitted by each supplier to Rhode Island Infrastructure Bank, pursuant to the Act and R.I. Gen. Laws Chapter 46-12.2.

7.“Receipt of sale” means acknowledgement that public drinking water has been exchanged for an agreed sum of money, or other consideration of any kind.

8.“Sale” means all retail sales of potable water to end users for any purpose in the ordinary course of business by a supplier, except for sales subject to the 65 years of age and older exemption, the commercial agricultural producer exemption, or the out-of-state potable water source exemption as set forth in the Act.

9.“Supplier(s) of public drinking water" or "Water supplier and suppliers” means any city, town, district, or other municipal, quasi-municipal or public or private corporation or company engaged in the sale of potable water and the water supply business in Rhode Island.

10.“Water quality protection charge” means a water quality protection charge imposed upon suppliers of public drinking water pursuant to the Act.

11."WQPC eligible project list" means the list of projects approved by the Board as eligible for funding from the Bank WQPC Fund and as published by the Board.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.3 Applicability

A.The water quality protection charge shall be imposed per R.I. Gen. Laws § 46-15.3-5, as amended.

1.Exemptions from water quality protection charges for elderly customers shall be made only upon proper application and qualifications. These exemptions shall be applied prospectively only to billings rendered after application and qualification and the attainment of age 65.

2.Suppliers shall require proof of age in the same manner as the supplier requires proof of age to support applications for exemptions from or freezes on local property taxes, if applicable. If not applicable, suppliers shall require proof of age by means such as a driver's license or a birth certificate. To be eligible for the elderly exemption, the property for which the exemption is sought must be occupied by the elderly person seeking the exemption and water service must be in the name of the elderly person seeking the exemption. The elderly exemption shall apply only to that portion of the property occupied by the elderly person and the members of the elderly person's household. "Household" as used herein means one or more persons occupying a dwelling unit and living as a single non-profit housekeeping unit. "Household" does not include bona fide lessees, tenants or roomers, and boarders on contract.

3.The water quality protection charge shall be pro-rated by the number of living units to provide for only such portion of the premises occupied by the elderly person or his or her household to benefit from the exemption. For example, if an elderly person seeking an exemption occupies one unit of a three-unit apartment house metered in the name of the elderly person, the elderly person will qualify for an exemption from only 1/3 of the water quality protection charge.

4.Elderly exemptions shall continue only so long as qualification for exemption continues in all respects.

B.All commercial agriculture producers shall be exempt from the imposition of the water quality protection charge for that amount of water used to irrigate commercial crops either in the fields or green houses provided that said producers have a conservation plan on file with their respective conservation district.

C.No water quality protection charge shall be imposed on that portion of a supplier's retail billing representing potable water furnished to customers by purchase of water in its finished, potable form from sources outside the state. The water quality protection charge imposed on a supplier purchasing water from outside the state shall be pro rata imposed on such supplier’s retail billings for that portion of potable water supplied from within the state. For each billing, suppliers shall provide the Board such supplier’s gross water production, distribution, and other data demonstrating to the Board the reasonableness of the supplier's apportionment of finished potable water generated from sources within and outside the state. The Board shall notify the Bank of any contested matters arising between the Board and a supplier under this section.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.4 Collection of Water Quality Protection Charge

A.Water Quality Protection Charges collected and remitted shall be based on supplier billings. Amount "due for supplier’s billings" in these rules means amount due from customers at such time customers may pay without the imposition of penalties or interest or such other time as customer bills will not be overdue. The supplier's billings subject to remittance are deemed to be the billings due from the supplier's customers in the amounts and at such times the billings are due to the supplier from its customers, pursuant to R.I. Gen. Laws § 46-15.3-9.

B.The supplier shall remit all amounts due for supplier’s billings to the Bank and the Board respectively on or before the twentieth (20th) day of the second month following the month of billing.

C.Each remittance to the Bank and the Board shall be accompanied by a completed remittance form provided by the Bank and the Board for their respective funds.

D.A record of billings shall be maintained by every supplier, showing:

1.The amount of water billed, amount of water quality protection charges billed, and amounts of water quality protection charges remitted to the Bank and the Board.

2.The number of exemptions from the water quality protection charge granted to a purchaser who is 65 years of age and over.

3.The number of exemptions from the water quality protection charge granted to a commercial agricultural producer.

4.Suppliers shall maintain their records regarding water consumption, billings, sales, and exemptions for at least a 6-year period. Suppliers shall for the same period maintain their records regarding elderly and commercial agricultural exemption applications. Suppliers shall provide the Bank and the Board with full access to their books and records and any other information reasonably required by the Bank and the Board to insure proper remittance of water quality protection charges to the Bank and the Board and compliance with the Act, R.I. Gen. Laws Chapter 46-12.2, and any policies of the Bank related to the administration of water quality protection charges.

E.Suppliers shall provide the Bank and the Board with a copy of their audited financial statements within 180 days of the end of supplier's fiscal year. Suppliers shall provide the Bank and the Board with a copy of any annual report filings with the Division of Public Utilities and Carriers regarding billings and consumption. Such materials shall be filed with the Bank and the Board at the same time the filing is made with the Division of Public Utilities and Carriers.

F.If any supplier fails to pay the water quality protection charge imposed upon it, under the Act, the Bank and the Board shall notify such supplier in writing specifying the amount of charge due and the date by which payment is demanded. If supplier shall contest the amount due, the Bank and the Board shall consider any materials presented by the supplier to support its claim. Upon a determination by the Bank or the Board of the amount due and the failure to pay, the Bank or the Board may invoke the state aid intercept provisions under the Act.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.5 Project Eligibility Process

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.6 Eligible Expenditures from the Bank Water Quality Protection Charge Fund

A.This section applies to water quality protection charge funds remitted to the Rhode Island Infrastructure Bank pursuant to the Act and R.I. Gen. Laws Chapter 46-12.2, which shall be held by the Bank in the Bank WQPC Fund.

B.The Bank may withdraw, and the Board and/or Board Staff may request from time to time, from the Bank WQPC Fund such amounts as are necessary for the administration of the Fund including but not limited to the costs of issuance of notes or bonds or other forms of indebtedness.

C.Only Suppliers that withdraw water from wells, reservoirs, springs, or other original sources in potable quality shall be entitled to disbursement of funds from the Bank WQPC Fund pursuant to the Act.

D.Eligible Expenditures for Suppliers

1.Suppliers shall be required to expend Bank WQPC Fund monies and related bond proceeds in accordance with the Act.

2.Not less than 55% of Bank WQPC Fund monies shall be spent for the acquisition of land or rights in land or physical improvements to acquired land required to protect the quality of raw water in the water supply system. The following costs shall be included as part of the 55% requirement:

a.Expenditures for maintenance, administration, related property surveys and appraisals, and payment of taxes.

b.Acquisition of watershed lands located within or outside the state.

c.Reimbursements for a maximum of 40% of the total cost to prepare water supply system management plans.

d.Reimbursements for monies spent for eligible projects under this section which closed on or after March 1, 2015 shall be eligible for funding from the Bank WQPC Fund and shall be included as part of the 55% requirement.

3.Any remaining funds may be used for the construction of physical improvements that directly protect the quality and safety of public drinking water supply:

a.As set forth on a Board approved water quality improvements project list, which may be amended from time to time by the Board.

b.A supplier may appeal to the Board for consideration of projects not on the list. The Board or the Board Staff as set forth in these regulations shall make the final determination regarding the eligibility of water safety and quality improvements.

c.No funds shall be used to extend service lines, to expand system capacity, or to install and maintain customarily applied water supply improvements.

4.Preparation and updates of water supply system management plans and property surveys and appraisals related to eligible land acquisition may be reimbursed or paid from the Bank WQPC Fund monies.

E.Prior to disbursement of Bank WQPC Fund monies including related note or bond proceeds to a supplier, the supplier must fully comply with the Water Supply System Management Planning Act. R.I. Gen. Laws Chapter 46-15.3, as amended.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.7 Requirements for Water Quality Protection Funds

A.The following requirements, in addition to any terms and conditions established by the Bank, as may be applicable to each supplier through the proceedings authorizing the issuance of bonds or through any supplier agreements related thereto, are conditions for approval of each disbursement of funds to a supplier from the Bank WQPC Fund and precedent to each expenditure made pursuant to a supplier agreement:

1.The supplier shall certify that they have completed and kept current a water quality protection component consistent with and in compliance with the requirements of R.I. Gen. Laws §§ 46-15.3-7 and 46-15.3-5.1, as amended.

2.All expenditures financed through the Bank WQPC Fund shall conform to all applicable requirements of federal, state, and local laws, ordinances, rules and regulations.

3.For acquisition of land or rights in land, the supplier must submit the following required documentation to the Board for approval:

a.Supplier Time Schedule - Each supplier must submit an initial acquisition time schedule to the Board. and the Bank. The schedule must set forth the proposed acquisitions and the approximate period in which each acquisition will be completed. The schedule shall be updated by the supplier from time to time as said schedule changes or as may be requested by the Board or the Bank.

b.Appraisal - A real property appraisal, conducted by a real estate appraiser licensed by the state in which the real property is located, which establishes the fair market value for the land the supplier is seeking disbursement of funds for. The appraisal must comply with the Uniform Standards of Professional Appraisal Practice, as established by the Appraisal Standards Board of the Appraisal Foundation, and the Uniform Appraisal Standards for Federal Land Acquisitions, if applicable. The Board or its designee shall conduct a review of the appraisal and shall notify the supplier of acceptance or rejection of the appraisal. Any rejection shall clearly set forth the reasons for such rejection and the Board or its designee shall be available to discuss any such appraisal with a supplier.

c.Purchase and Sale Contract - A fully executed purchase and sale contract by and between the supplier and all sellers involved in an acquisition shall be submitted to the Board. The purchase and sale contract shall contain warranties that certify that the property is compliant with all federal, State and local environmental requirements, which warranties shall survive the closing on the property. The purchase and sale contract shall otherwise be in form and substance satisfactory to the Board. A Certificate of Disclosure, identifying all individuals and entities having a legal interest in the property must accompany the purchase and sale contract.

d.Survey - A Class I Survey performed by a registered land surveyor shall be submitted to the Board. The survey shall show the property bounds of the property to be acquired, identifying any deletions from the property, easements, rights-of-way or encumbrances. The registered surveyor shall stamp the survey. The survey must be conducted in conformance with the Procedural and Technical Standards for the Practice of Land Surveyors in the state in which the property is located. Three (3) survey copies will be submitted to the Board.

(1)The survey map shall:

(AA)Have a traverse closure of 1:10,000 feet.

(BB)Provide sufficient documentation to reproduce the survey.

(CC)Meet all requirements of the respective city or town zoning ordinance and any applicable subdivision regulations.

(DD)Be submitted in a form suitable for recording in the land evidence records of the respective city or town.

(i)The surveyor must also supply a metes-and-bounds property description and a Surveyor’s Report adequate in form and substance for issuance of title insurance for the property.

e.Title Insurance Commitment – A title insurance commitment from a title insurance company providing for clear title to the supplier upon acquisition of the property. The commitment shall set forth all encumbrances that do not have a material effect upon the interest the supplier is acquiring.

f.Deed or Easement Documentation – The proposed deed or conservation easement for the proposed acquisition. The deed or easement must provide that the land being acquired shall be maintained in perpetuity in a manner that protects the quality of raw water of the supplier's water supply system. The deed or easement shall perpetually restrict the property to ensure that the property is conserved for the purposes set forth herein and shall permit a transfer of the property only to a successor in function of the supplier.

g.Supplier Resolution – A Certified Resolution or other similar authorizing document of the governing board of the supplier authorizing the acquisition.

h.Environmental Site Assessment – In the sole discretion of the Board, the supplier may be required to submit an environmental site assessment. The site assessment must meet the guidelines set by the Rhode Island Society of Environmental Professionals or the applicable state regulatory requirements if the property is not located in Rhode Island. The Board shall approve or reject any documentation submitted pursuant to this subsection within 30 days of submission.

4.For acquisition of land or rights in land under § 7.6(D)(2) of this Part which are reimbursements, the Supplier shall submit documentation to the Board sufficient to evidence the closing of the acquisition of the land or rights in land by the Supplier.

5.For non-land acquisition projects, the supplier must submit documentation acceptable to the board.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.8 Supplier Agreements

A.The Bank shall enter into supplier agreements with suppliers to provide funding from the Bank WQPC Fund for eligible projects as determined by the Board.

B.Suppliers shall comply with all terms and conditions of such supplier agreements. The Bank will be under no obligation whatsoever to approve supplier's requisitions of funds from the Bank WQPC Fund if such supplier is not current on all water quality protection charges owed to the Bank or Board in the Bank or Board's determination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.9 Access

The supplier and the supplier's contractors, consultants and all others employed through expenditure of Bank WQPC Fund monies shall give and provide to the Bank and Board's personnel and/or representatives access to the facilities, premises, and records related to the disbursement and expenditure of Bank WQPC Fund monies. The supplier shall submit to the Board such documents and information as requested by the Bank or the Board. The supplier shall retain all records related to the disbursement and expenditure of Bank WQPC Fund monies.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.10 Non-compliance

In addition to any other rights or remedies available to the Bank and the Board whether pursuant to law, or equity, or agreement, in the event of non-compliance by a supplier with any provision(s) of the Act, or other applicable Rhode Island General Laws, or applicable regulations, or the specific requirements of these procedures, or any supplier agreement, the Bank or the Board may issue a notice of non-compliance, withhold or terminate disbursement of funds, and/or terminate or annul the supplier agreement.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.11 Notice of Non-compliance

When the Board determines that the supplier is in non-compliance with any condition and/or requirement of any law, regulation, and/or the supplier agreement, the Bank or the Board shall notify the supplier of the non-compliance. The Bank or the Board may require the supplier, its consultants, contractors, or others employed through the expenditure of Bank WQPC Fund monies to take and complete corrective action within 30 days of receipt of notice of non-compliance. If the supplier, its consultants, contractors, and others employed through the expenditure of Bank WQPC Fund monies do not take corrective action or if such action is not deemed adequate by the Bank or the Board, the Bank may withhold disbursement of funds. Notwithstanding the foregoing, the Bank may withhold disbursement of funds without issuing a notice pursuant to this section.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-7 § 7.12 Severability

If any section, subsection, provision, clause or portion of these rules is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of these rules shall not be affected thereby.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2019-02-14 to 01/04/2022
• Amendment — effective from 2018-12-19 to 02/14/2019
• Amendment — effective from 2003-01-02 to 12/19/2018
• Periodic Refile — effective from 2001-12-18 to 01/02/2003

490-RICR-00-00-9 Rules of Procedure for Administrative Hearings

490-RICR-00-00-9 § 9.1 Authority

This Part is promulgated pursuant to R.I. Gen. Laws §§ 46-15-2(b), 46-15-2.1, 42-35-9, and 42-35-15 (“Administrative Procedures”).

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.2 Purpose and Applicability

A.These “Rules” prescribe procedures and requirements for the Water Resources Board (“Board”) to review, and if required, issue decisions and orders from appeals related to the denial of water supply extensions by water suppliers as defined in § 9.3(A)(9) of this Part.

B.This Part shall govern the conduct of adjudicatory proceedings commenced before the Board after their effective date. This Part shall be liberally construed to further the fair, prompt and orderly administration and determination of adjudicatory proceedings. To the extent that any section of this Part is inconsistent with applicable law or the terms of any other rule or regulation promulgated by the Board, the applicable law and/or the terms of such other rule or regulation shall be deemed to apply.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.3 Definitions

A.When used in this Part, the following words, except as otherwise required by the context, shall have the following meaning:

1.“Board” means the Rhode Island Water Resources Board as established by R.I. Gen. Laws Chapters 46-15 and 46-15.1, as amended.

2.“Board Counsel” means the legal representative of the Board.

3.“Appeal” means an adjudicatory appellate proceeding before the Board to review a prior decision or order from a Supplier as defined by this Part in which the legal rights, duties or privileges of a Party or Parties are determined by the Board.

4.“Appellant” means an aggrieved Party who filed an Appeal with the Board from a decision or order of a Supplier as defined by this Part.

5“Appellee” means a Party who is the subject of an Appeal pursuant to this Part.

6.“Order” means a final order or a final decision on an appeal to the Board, whether affirmative, negative, or injunctive.

7.“Party” or “Parties” means each Person named or admitted as a Party, or properly seeking and entitled as of right to be admitted as a Party in an Appeal.

8.“Person” means any individual, partnership, corporation, limited liability company, association, governmental subdivision, public or private organization or any other entity however formed.

9.“Reasonable cause” means there exists a set of facts of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs which would induce a reasonably intelligent and prudent person to believe that a violation(s) of law, rule, or regulation has occurred.

10.“Regular business hours” means the regular business hours of the Board from 8:30 a.m. to 4:00 p.m. Monday through Friday except for holidays observed by the State of Rhode Island.

11."Supplier" means all municipalities, municipal departments and agencies, districts, authorities, or other entities engaged in or authorized to engage in the supply, treatment, transmission, or distribution of drinking water on a wholesale or retail basis and is subject to the requirement to prepare and maintain a Water Supply System Management Plan pursuant to R.I. Gen. Laws § 46-15.3-5.1.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.4 Appeals

A.Appeals. An Appeal may be filed by an aggrieved Party or their authorized representative to contest the denial of an extension of public water service by a Supplier as defined in this Part.

B.Filing of Appeal. An Appeal is commenced by filing a timely written appeal with the Board either:

1.Within thirty (30) days after mailing notice of the final decision of the Supplier is received by the aggrieved Party; or

2.If a rehearing or reconsideration of a final decision of a Supplier is requested by the aggrieved Party, within thirty (30) days after the final decision of the Supplier on the request for rehearing or reconsideration is received by the aggrieved Party.

3.Copies of the Appeal shall be served upon the Supplier and all other Parties of record by the Appellant in the manner prescribed by this Part within twenty (20) days after it is filed with the Board; Provided, however, that the time for service may be extended for good cause by order of the Board.

C.Within thirty (30) business days upon the receipt of the Appeal, the Board, or a subcommittee of Board members appointed by the full Board, or its staff shall make one (1) of the following initial determinations:

1.Accept the Appeal.

2.Remand the Appeal.

3.Reject the Appeal.

D.The Board may remand or reject an appeal if the Supplier, in its final decision, failed to provide written evidence that it applied the standards of review as set forth in in R.I. Gen. Laws § 46-15-2(B), et seq. The Supplier must also provide the Board with a full written assessment of the relevant sections of its current approved Water Supply System Management Plan as it applies to the Supplier's final decision.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.5 9.5 Procedures

A.Notice. In any Appeal, all Parties shall be afforded an opportunity for a hearing after reasonable notice.

B.Contents of Notice: The Notice shall comply with R.I. Gen. Laws § 42-35-9(b) and shall include:

1.A statement of the time, place, and nature of the Appeal;

2.A statement of the legal authority and jurisdiction under which the Appeal is filed;

3.A reference to the particular section(s) of the applicable statutes and rules;

4.A short and plain statement of the nature of the Appeal. If the Supplier or aggrieved Party is unable to state the nature of the Appeal in detail at the time the notice is served, the initial notice may be limited to a statement of the relevant issues involved. A more detailed statement of the nature of the Appeal shall then be filed with the Board no later than thirty (30) days from the date the notice is served.

C.Opportunity shall be afforded all Parties to respond and present evidence and argument on all issues deemed relevant by the Board.

D.Prehearing. If deemed necessary and relevant by the Board, and/or requested by one (1) or more of the Parties, a Prehearing may be conducted by one (1) or three (3) Board members or a staff member duly appointed by the full Board. At the Prehearing, the Prehearing board shall be represented by legal counsel. If a Prehearing is conducted, once same is commenced, the Prehearing must be conducted and heard by a majority of the members present at the commencement of the Prehearing. The results of same and/or any proposed resolution of the Appeal must be brought before the full Board for adoption and/or approval. If the Parties request a Prehearing, said request must be in writing and approved by the full Board.

E.Within thirty (30) days after the filing of the Appeal, or within additional time as may be permitted by the Board, the Supplier shall transmit to the Board the original or a certified copy of the entire record of the proceedings heard by the Supplier. By written stipulation of all Parties, and with written consent of the Board, the record of the Supplier proceedings on appeal to and under review by the Board, may be truncated and/or condensed. The Board may, in its sole discretion direct the Parties to provide a truncated and/or condensed record of the proceedings before the Supplier. The Board may require or permit subsequent corrections or additions to the record.

F.The record in an Appeal shall include:

1.All pleadings, motions, intermediate rulings;

2.Evidence received or considered;

3.A statement of matters officially noticed;

4.Questions and offers of proof and rulings thereon;

5.Proposed findings and exceptions;

6.Any decision, opinion, or report by the Board member(s) presiding;

7.All memoranda or data submitted to the Board in connection with its' consideration of the case

8.Oral proceedings or any part thereof conducted under the provisions of this Part shall be recorded and may be transcribed pursuant to § 9.6(E)(1) of this Part. Stenographic services provided by state employees shall be subject to the requirements of R.I. Gen. Laws § 42-35-9(f).

9.Findings of fact shall be based exclusively on the evidence, applicable law, and matters officially noticed by the Board.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.6 9.6 Conduct of Appeals

A.General. Appeals shall be as informal as may be reasonable and appropriate under the circumstances. All Parties, witnesses and other Persons at an Appeal shall conduct themselves in a manner consistent with the standards of decorum commonly observed in any courtroom. Where such decorum is not observed, the Board may take appropriate action including ejectment or adjournment, if necessary.

B.The Board shall conduct all Appeals in the manner prescribed pursuant to this Part, except as is authorized to conduct a Prehearing under § 9.5(D) of this Part. The Board shall conduct Appeals and proceedings pursuant to this Part provided there exists a quorum of the Board. All Appeals and proceedings before the full Board shall be conducted and heard by a quorum of the same Board members who commenced hearing the initial Appeal or proceeding. An Appeal or proceeding is commenced upon the receipt by the Board of substantive evidence, to include but not be limited to exhibits and sworn testimony. The Board shall make all decisions regarding admission or exclusion of evidence or any other procedural matters and shall administer oaths to all witnesses or request that the stenographer do so. The Board may rely upon legal counsel for advice on any matter and/or legal question presented to the Board by the Parties and/or by Board members.

C.Order of Proceedings. Except as otherwise required by law, it shall be the usual practice that the Board or the Appellant shall commence the proceedings. Where evidence is peculiarly within the knowledge of one Party, or in matters in which Appeals have been consolidated or where there are multiple Parties, the Board may, in its sole discretion, direct which Party shall open and shall further designate the order of presentation.

D.Rights of Parties. Parties shall have the right to present evidence, cross- examine witnesses, object, make motions and present arguments.

E.Record of Proceedings.

1.A complete record of the proceedings shall be recorded, or in the discretion of the Board, by stenographic record. All Parties shall, upon request, receive a copy of the recorded proceedings. In the event the Board authorizes a stenographic record, the Board shall declare which Party or Parties shall bear the cost thereof. Any Party may on his, her or its own initiative order a stenographic record be taken of the proceedings with the prior permission of the Board. The requesting Party shall incur all costs associated therewith. The Board shall be provided, at no cost, with an original or duplicate copy of the stenographic record. In addition, the Board's legal counsel shall also be provided with a copy of same at no cost.

2.If a Party appeals a final Board decision to the Superior Court, pursuant to R.I. Gen. Laws § 42-35-1 et seq. and the Superior Court requires a transcript of the hearing, said Party shall be responsible for having the transcript prepared by a recognized independent or Superior Court approved stenographer at their own expense within twenty (20) days of the filing of the appeal.

F.Public Meetings. All proceedings before the Board shall be open to the public, except as may otherwise be required by law.

G.Close of Proceedings. At the conclusion of the evidence, the Board may, in its discretion, permit the Parties to argue orally and/or to submit written briefs. The Board may, within its sole discretion, direct that proposed findings of fact and conclusions of law be submitted by the Parties. The record in the proceeding shall close after oral argument is completed or upon such date as may be set by the Board. The Board may extend the proceedings for the filing of briefs. No evidence shall be admitted thereafter, unless otherwise ordered by the Board. The Board may in any case require either Party, with appropriate notice to the other Party, to submit additional evidence in any matter relevant to the hearing.

H.Waiver of Hearing. In any Appeal, if the Parties agree to waive a hearing with the concurrence of the Board, the Board may dispose of the Appeal solely upon the pleadings and other submissions of the Parties.

I.Dispositions. Unless otherwise precluded by law, disposition may be made of any Appeal at any time by stipulation, consent agreement, consent settlement, consent order, default, or dismissal by the Board. A joint request for a stay of the Appeal for the purpose of preparing documents relevant to the above shall be forwarded to the Board and may be granted within the sole discretion of the Board.

J.Consent Agreements and Consent Orders. The Board may enter into a consent agreement and/or a consent order with the Parties at any time prior to the conclusion of the Appeal. Every consent order shall contain an admission of all jurisdictional facts and an express waiver of further procedural steps before the Board including but not limited to the right to appeal to the Superior Court. Consent Agreements and Consent Orders are considered public records pursuant to the Access to Public Records Act, R.I. Gen. Laws § 38-2-1 et seq.

1.Upon receiving a proposed consent order, the Board may:

a.Accept the consent order; or

b.Remand the consent order; or

c.Deny the consent order and state the reasons therefore in writing and take such other appropriate action as the Board may deem necessary or required.

d.If the Board denies or remands the proposed consent order, the Parties may, within seven (7) days of the Board's denial or remand of the proposed consent order, file a motion for reconsideration. The Board shall notify the Parties in writing of its decision on the Parties' motion for reconsideration within twenty (20) days from the filing of same.

e.A consent agreement and/or consent order is valid if signed by the Chairperson of the Board, or their designee, after approval of same in accordance with § 9.6(B) of this Part.

f.If a consent agreement or consent order is approved at a prehearing in accordance with § 9.5(D) of this Part, the consent agreement and/or consent order becomes final if approved in accordance with § 9.6(B) of this Part.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.7 9.7 Standard of Review

A.Any Party, as defined herein, who has exhausted all administrative remedies available to them by the Supplier, and/or who is aggrieved by a final order of the Supplier, is entitled to an Appeal pursuant to this Part.

1.This section does not limit utilization of or the scope of administrative review available under other means of review, redress, relief, or trial de novo as may be provided by law.

2.A preliminary, procedural, or intermediate Supplier order, act, or decision is reviewable by the Board:

a.In any case in which review of a Supplier order and/or decision does not provide an adequate remedy to the aggrieved Party; or

b.If the Supplier has not issued a timely final order and/or decision and said failure may affect substantial rights of the aggrieved Party.

B.The filing of an Appeal does not stay enforcement of the Supplier decision and/or order. However, upon written request of the aggrieved Party the Board may order a stay.

C.If, before the date set for the Appeal, application is made by a Party or the Parties to the Board for leave to present additional evidence, and it is shown to the satisfaction of the Board that the additional evidence is material and that there were good reasons for failure to present it in the proceeding before the Supplier, the Board may order that the additional evidence be taken before the Supplier upon conditions determined by the Board. The Supplier may modify its findings and decision by reason of the additional evidence and shall file that evidence and any modifications, new findings, or decisions with the Board. The Board may at any time throughout the Appeal require either Party to produce evidence and/or additional evidence the Board determines necessary for it to conduct its review of the record on appeal.

D.The Board’s review shall be confined to the record of the proceeding before the Supplier, unless as otherwise authorized and/or ordered by the Board pursuant to this Part. In cases of alleged irregularities in procedure before the Supplier, not shown in the record, proof thereon may be admitted and considered by the Board. The Board, upon request, shall hear oral argument and receive written briefs.

E.The Board shall not substitute its judgment for that of the Supplier as to the weight of the evidence on questions of fact. The Board may affirm the decision of the Supplier or remand the case for further proceedings, or it may reverse or modify the decision if substantial rights of the Appellant have been prejudiced because the administrative findings, inferences, conclusions, or decisions of the Supplier are:

1.In violation of constitutional or statutory provisions;

2.In excess of the statutory authority of the Supplier;

3.Made upon unlawful procedure;

4.Affected by other error of law;

5.Clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record; or

6.Arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.8 9.8 Decision

A.All decisions or orders rendered by the Board shall be in writing and shall comply with the requirements of R.I. Gen. Laws § 42-35-12. The decision and order shall be delivered to all Parties with a notice indicating the right to take an appeal of the decision and order to the Superior Court pursuant to R.I. Gen. Laws § 42-35-15.

B.At any time after the issuance of a final decision or order of the Board, any Party may, for good cause shown, by written motion petition the Board to reconsider its' final decision or order. The petitioner shall file their motion within twenty (20) days of the issuance of the final decision or order of the Board and shall set forth the grounds upon which they rely. The Board, in its sole discretion, may grant or deny the motion for reconsideration and may order such relief as it deems appropriate under the circumstances.

C.The Board shall not entertain a motion for reconsideration filed more than twenty (20) days after entry of the final decision or order of the Board unless the Board finds good cause to entertain said motion.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.9 9.9 Judicial Review

A.Any Party aggrieved by a final written decision or order of the Board may file an appeal to the Superior Court pursuant to R.I. Gen. Laws § 42-35-15. In the absence of a timely appeal to the Superior Court, the order or decision of the Board shall become final and no further administrative appeal may be taken.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.10 9.10 Default

A.If any Party to an Appeal fails to answer the Appeal, or otherwise fails to prosecute or defend an Appeal as provided by this Part, or fails to appear at any proceeding before the Board, the Board may enter a default judgment against the defaulting Party, or take such action based on the pleadings or other evidence submitted by the non-defaulting Party, as the Board deems appropriate in its sole discretion. A challenge to such an order shall be made as a written motion for reconsideration pursuant to this Part.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.11 9.11 Dismissal Stipulation

A.If the Parties settle the matter, the Parties shall file with the Board a written stipulation of dismissal requesting that the stipulation of dismissal be approved by the Board. If the Board does not accept the stipulation of dismissal by the Parties, the Appeal shall continue in accordance with this Part.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.12 9.12 Public Information

A.Access to public records shall be governed in accordance with R.I. Gen. Laws § 38-2-1 et seq. All hearings and appeals are conducted pursuant to the Administrative Procedures Act, R.I. Gen. Laws § 42-35-1 et seq. Except where the Board directs otherwise, or when the documents in question are governed by R.I. Gen. Laws § 27-13.1–5(f), upon the opening of a prehearing conference all pleadings, orders, communications, exhibits, and other documents filed with the Board shall become public records. Any claim of privilege shall be governed by the policy underlying the Access to Public Records Act, with the burden of proof resting on the Party claiming the privilege.

B.Any Party may request a preliminary finding that some or all of the information is not a public document under the Access to Public Records Act. A preliminary finding that some documents are privileged shall not preclude the Board from later determining that those documents are public in accordance with R.I. Gen. Laws § 38-2-1 et seq.

C.Claims of privilege shall be made by filing a written request with the Board. One copy of the original documents, boldly indicating on the front page, “Contains Privileged Information – Do Not Release,” shall be filed specifically identifying the information for which the privilege is sought, along with a description of the grounds upon which the Party is claiming a privilege. If a document is filed electronically, it shall contain a statement that the information has been redacted; however, the original document must be filed as delineated above.

D.The Board shall retain the documents for which privilege is asserted to exist in a secure, non-public file until a determination is made as to whether to grant the request for privileged treatment.

E.Any person, whether or not a Party to the Appeal, may apply to the Board for release of the information, pursuant to R.I. Gen. Laws § 38-2-1 et seq., the Access to Public Records Act. Such requests shall be governed by R.I. Gen. Laws § 38-2-1 et seq. and any regulations thereunder.

History

• Adoption — effective from 2024-01-30 to current

490-RICR-00-00-9 § 9.13 9.13 Severability

A.If any section, term, or provision of this Part should be adjudged invalid for any reason, that judgment shall not effect, impair, or invalidate any remaining section, term, or provision, which shall remain in full force and effect.

History

• Adoption — effective from 2024-01-30 to current