220-RICR — Department of Administration

Chapter 20 Accounts and Control

Subchapter 00

220-RICR-20-00-1 Rules and Regulations Pertaining to Direct Deposit Payroll System for State Employees

220-RICR-20-00-1 § 1.1 Issuing Agency

State of Rhode Island, Department of Administration, Controller, Office of Accounts and Control.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.2 Scope

All State Agencies using the State Payroll System operated by the Office of Accounts and Control.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.3 Statutory Authority

R.I. Gen. Laws § 35-6-1(e) requires the State Controller to establish a Direct Deposit Payroll System for State Employees and to promulgate rules and regulations as necessary for the implementation and administration of the Direct Deposit Payroll System. This Regulation is promulgated pursuant to R.I. Gen. Laws § 35-6-1(e) and in accordance with the “Administrative Procedures Act,” R.I. Gen. Laws § 42-35-1, et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.4 Definitions

“Controller” means the Controller within the Department of Administration appointed by the Director of Administration pursuant to R.I. Gen. Laws § 35-6-1(a).

“Direct Deposit” means an electronic funds transfer whereby a State Employee’s recurring Net Salary is credited to a Direct Deposit Account.

“Direct Deposit Account” means an account with a Financial Institution the title of which includes the State Employee’s name designated by the State Employee to receive Direct Deposits of the State Employee’s Net Salary by electronic funds transfer.

“Direct Deposit Authorization Form” means the standard form developed by the Office, as may be amended from time to time, required to be completed by the State Employee to designate or amend his/her Direct Deposit Account.

“Direct Deposit Payroll System” means the electronic funds transfer system for Direct Deposit established by the Office.

“Financial Institution” means any bank, savings bank, savings and loan association, credit union or similar institution located within the United States that is part of the electronic funds transfer network used by the Office to make Direct Deposits.

“HR Office” means the applicable Human Resources Office for the State Agency.

“Net Salary” means the remainder due to a State Employee after any and all mandatory or voluntary deductions have been taken from a State Employee’s gross biweekly salary.

“Office” means the Office of Accounts and Control within the Department of Administration.

“Pay Period” means the two week period in accordance with the Payroll Calendar.

“Payroll Calendar” means the yearly Department of Administration, Division of Human Resources’ Calendar.

“Payroll Office” means the applicable Payroll Office for the State Agency.

“Prenotification Testing” means when a $0.00 test deposit is sent through the Direct Deposit Payroll System by the Office to the Financial Institution to verify the Direct Deposit Account information entered into the Direct Deposit Payroll System is correct.

“Salary” means payment of salary or wages to a State Employee for: work performed by a State Employee for a State Agency; authorized paid leave; accumulated leave; compensatory time; contractual stipends; allowances; reimbursable use fees; bonuses; and, benefits.

“State Agency” means any department, division, institution, board, bureau, office, commission, council, committee and any other governmental agency of the State that utilizes the State Payroll System operated by the Office including, but not limited to, the University of Rhode Island, Rhode Island College, Community College of Rhode Island, Judiciary and Legislature.

“State Employee” means an employee of a State Agency paid via the State Payroll System, including a person holding an elective office. State Employee for purposes of this Regulation includes temporary employees employed directly by the State, seasonal employees, part-time employees, and paid interns.

“State Payroll System” means the system used by the Office to maintain State Employee payroll data and to calculate Net Salary.

“Waiver” means the authorization by the Office for an exception from the requirements of R.I. Gen. Laws § 35-6-1(e) and this Regulation.

“Waiver Form” means the standard form developed by the Office, as may be amended from time to time, required to be completed by the State Employee to request a Waiver for exception from the requirements of R.I. Gen. Laws § 35-6-1(e) and this Regulation..

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.5 Direct Deposit of a State Employee’s Net Salary

A. State Employees hired after September 30, 2014 shall participate in the Direct Deposit Payroll System. At the time the State Employee is hired, the State Employee shall identify a Direct Deposit Account by completing and submitting the Direct Deposit Authorization Form. A State Agency shall not hire a person as a State Employee who has not completed and submitted the required Direct Deposit Authorization Form or been granted a Waiver.

B.State Employees hired before September 30, 2014 shall participate in the Direct Deposit Payroll System, unless granted a Waiver by the Office. Such State Employees shall complete and submit a Direct Deposit Authorization Form or Waiver Form no later than June 30, 2016.

C.Neither the Office, nor a State Agency, shall assess any fee or charge for a State Employee’s participation in the Direct Deposit Payroll System that reduces the Net Salary deposited.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.6 Designation of a Direct Deposit Account

A.Both State Employees hired after September 30, 2014 and State Employees hired before September 30, 2014 shall use the Direct Deposit Authorization Form required by the Office to designate a Direct Deposit Account.

B.For State Employees hired after September 30, 2014, as part of the hiring process the Direct Deposit Authorization Form shall be submitted to the HR Office. All other Direct Deposit Authorization Forms shall be submitted to the Payroll Office. Such Payroll Office or HR Office shall transmit such Direct Deposit Authorization Form as soon as possible to the Office. For State Employees hired after September 30, 2014, if the Direct Deposit Authorization Form or Waiver Form is not included in the new hire paperwork transmitted to the Office, the State Employee shall not be added to the State Payroll System and the paperwork shall be returned to the HR Office.

C.The State Employee shall designate one Direct Deposit Account. The Office in the future may permit designation of both a primary and secondary Direct Deposit Account whereby the secondary Direct Deposit Account is sent a fixed amount of the Net Salary and the primary Direct Deposit Account is sent the remainder of the Net Salary. If this option becomes available and the State Employee elects this possible option, he/she shall execute a new Direct Deposit Authorization Form.

D.The Direct Deposit Account shall include in its title the State Employee’s name. No State employee shall designate as his/her Direct Deposit Account in which the employee is not named as a sole or joint owner of the account, unless the account is set up as a guardianship or custodianship for the benefit of the State Employee.

E.Except for good cause shown, a State Employee is limited to three (3) changes of a Direct Deposit Account per calendar year. Good cause may include a legal order, identity theft issue or any other facts or circumstances applicable solely to that State Employee and after investigation and due consideration in the sole judgment of the Office constitute good cause.

F.Once a Direct Deposit Authorization Form is in effect, it shall remain in effect until it is terminated by one of the following events:

1.A change in the title of the Direct Deposit Account that removes the name of the State Employee from the Direct Deposit Account;

2.The closing of the Direct Deposit Account or a change to the Direct Deposit Account such that a Direct Deposit would not be credited;

3.A Waiver is granted; or,

4.Termination by the Office.

G.Upon the occurrence of § 1.6(F)(1) or § 1.6(F)(2) of this Part, the State Employee shall as soon as possible, but no later than the end of the next full Pay Period, submit a new Direct Deposit Authorization Form or Waiver Form to the Payroll Office. The Payroll Office shall transmit the Direct Deposit Authorization Form or Waiver Form as soon as possible to the Office.

H.The Direct Deposit Account designation shall take effect on the next full Pay Period after the Office receives the Direct Deposit Authorization Form or any amendment thereto and after Prenotification Testing is successfully completed.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.7 Electronic Salary Statement

State Employees who designate a Direct Deposit Account shall have access via Paystub RISM to an electronic salary statement that may be viewed, saved and printed. State Employees may access and print their electronic statements on State time using State equipment.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.8 Request for Direct Deposit Waiver

A.State Employees or prospective State Employees may request an exemption of the requirement for Direct Deposit by completing and submitting the Waiver Form required by the Office. For State Employees hired after September 30, 2014, as part of the hiring process the Waiver Form shall be submitted to the HR Office. All other Waiver Forms shall be submitted to the Payroll Office. The HR Office or Payroll Office shall submit the Waiver Form to the Office as soon as possible for the Office to approve or deny. Limited exceptions shall be granted by Waiver to R.I. Gen. Laws § 35-6-1(e) and this Regulation.

B.A Waiver may be granted by the Office for a State Employee or prospective State Employee:

1.Who is underage as defined by a Financial Institution;

2.Who has a physical or mental disability supported by acceptable medical documentation that would prevent the State Employee’s ability to gain access to electronically deposited funds or comply with this Regulation;

3.Whose sincerely held religious beliefs preclude compliance with R.I. Gen. Laws § 35-6-1(e) and this Regulation;

4.By law cannot be required to receive Net Salary by a Direct Deposit System;

5.Where the Office, after investigation and due consideration, has identified in writing a class or group of State Employees where it is impractical to require participation or continued participation or a State Agency where participation or continued participation will result in administrative burdens;

6.For any State Employee hired for a period of less than a total of three (3) consecutive Pay Periods; or,

7.When the Office in its sole judgment determines, after investigation and consideration, the facts and circumstances applicable only to that State Employee as set forth in the Waiver Form justify granting a Waiver.

C.Granted waivers shall be reviewed periodically by the Office. If there is a change of the facts or circumstances upon which a Waiver was granted, a Waiver may be revoked by the Office and the State Employee shall complete a Direct Deposit Authorization Form as soon as possible, but no later than the end of the next full Pay Period. The State Employee shall notify the Office of any such change of facts and circumstances within ten (10) business days of such change and complete a Direct Deposit Authorization Form as soon as possible, but no later than the end of the next full Pay Period.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.9 Termination of the Direct Deposit Account Designation by the Office

A.A Direct Deposit Account designation shall be terminated by the Office:

1.Upon the death of the State Employee;

2.Upon termination or separation of the State Employee from State employment;

3.When a State Employee is placed on leave without pay;

4.When the Direct Deposit is returned by the Financial Institution and after investigation it is determined that such return is not a result of a mistake of the Office;

5.When required by judicial action; or,

6.When in its sole judgment the Office determines, after investigation and due consideration, that facts and circumstances applicable solely to that State Employee justify such termination.

B.If there is a change of the facts or circumstances that led to the Office’s termination of the Direct Deposit Account designation, the State Employee shall complete and submit a Direct Deposit Authorization Form or Waiver Form to the Payroll Office as soon as possible, but in no event later than the end of the next full Pay Period. The Payroll Office shall transmit as soon as possible such Direct Deposit Authorization Form or Waiver Form to the Office. If a State Employee is returning from leave without pay, the State Employee shall submit the Direct Deposit Authorization Form or Waiver Form to the HR Office. When the HR Office forwards the return from leave paperwork to the Office, if a Waiver Form or Direct Deposit Authorization Form is not included with the paperwork, the State Employee shall not be added to the State Payroll System and the paperwork shall be returned to the HR Office.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.10 Payment by Check

In the event that electronic funds transfer is not available due to any of the above circumstances, then payment of such Net Salary shall be made by the Office by check in the time mandated by law.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.11 Improper Payment

In the event a Direct Deposit by electronic funds transfer results in an improper overpayment to a State Employee, the Office should be notified immediately. The Office shall attempt to recover such payment by notifying the State Employee. The State Employee may voluntarily reimburse the Office. In the event that the State Employee does not reimburse the Office within fourteen (14) days after receipt of such notification, then the Office among its other remedies may deduct as authorized such overpayment from the State Employee’s Net Salary or pursue collection of any such amount.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.12 Noncompliance

Failure of a State Employee to submit the Direct Deposit Authorization Form or Waiver Form or to otherwise comply with this Regulation may result in progressive discipline up to and including termination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.13 Severability 1.13 Severability {#sec-220-ricr-20-00-1-1.13-severability omnilex-key=us-ri-regs-official--title-220--220-RICR-20-00-1#1.13 Severability}

If any part or provision of this Regulation or the application of any part or provision to any person, entity, or circumstances is judged invalid by any court of competent jurisdiction, the judgment shall be confined in its operation to the part of or provision of or application directly involved in the controversy in which the judgment has been rendered and shall not affect or impair the validity of the remainder of these Regulation or its application to other persons, entities, or circumstances.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

220-RICR-20-00-1 § 1.14 Amendments

This Regulation may be rescinded or amended from time to time with the approval of the Controller. Any amendments must be promulgated by the Department of Administration on behalf of the Controller in accordance with the “Administrative Procedures Act,” R. I. Gen. Laws § 42-35-1, et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2016-08-02 to 01/04/2022
• Adoption — effective from 2016-08-02 to 08/02/2016

Chapter 30 Purchases

Subchapter 00

220-RICR-30-00-1 General Provisions

220-RICR-30-00-1 § 1.1 PURPOSES AND POLICIES

A.The intent, purpose, and policy of these Procurement Regulations shall be to simply, clarify, and continuously modernize the procurement system for State and local government in accordance with the "State Purchases Act," R.I. Gen. Laws § 37-2-1, et seq, so as to provide efficiency and economy in the purchase of goods services, and construction, while maintaining and safeguarding quality, integrity, fairness, responsibility, accountability, and equity in accordance with the highest ethical standards.

B.Administrative Practices and Policies.

1.Competition: The State of Rhode Island will operate an effective procurement system by obtaining goods and services within a competitive environment whenever possible. The primary method of assuring that procurements are to the advantage of the State of Rhode Island, shall be through the use of competitive bidding procedures as set forth herein. Contract awards shall be made to the lowest responsive and responsible bidder, taking into consideration the reliability of the bidder, the qualities of the materials, equipment or supplies to be furnished, their conformity with the specifications, the purposes for which required, terms of delivery and the best interests of the state.

2.Centralization: The State of Rhode Island will operate an effective procurement system by establishing a centralized purchasing authority within the Department of Administration responsible for the promulgation and oversight of rules, regulations, policies and procedures for the implementation of all laws relating to purchasing activities. The Department of Administration shall provide centralized purchasing support services to assure that equity and professional expertise are employed in the purchase of goods and services by state agencies.

3.Responsibility and Accountability: All state agency officials shall be responsible for compliance with purchasing legislation enacted by the General Assembly and with all related policies, rules, regulations, procedures and codes promulgated by the Chief Purchasing Officer and shall be held accountable for violations thereof. All state employees shall be responsible for carrying out their designated functions with care, integrity and responsibility for providing public procurement in the most cost­ effective manner.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.2 APPLICATION

A.The provisions of R.I. Gen. Laws § 37-2-1, et seq. (the "State Purchases Act") shall apply to every expenditure of public funds except as otherwise provided by law, by the State of Rhode Island or a public agency under any contract or like business agreement, excepting only those contracts or like business agreements between the state and its political subdivisions or other governments. The State Purchases Act shall also apply to the disposal of state supplies. Provided, however, that nothing in the State Purchases Act or these State Procurement Regulations shall prevent any state governmental body or department or division from complying with the terms and conditions of any award, grant, gift, bequest, or co-operative funding agreement with the federal government.

B.The State Procurement Regulations, as promulgated and amended by the Chief Purchasing Officer in accordance with the authority and requirements of the State Purchases Act, shall apply to all the procurements of every state governmental body with the following exceptions:

1.Secretary of State printing, advertising, and election expenses. All printing, binding and advertising and election expenses in connection with all primaries and elections, advertising Rhode Island, and all legislative printing, including the printing of the public laws and acts and resolves, shall be purchased by the Secretary of State and in respect to said purchases the Department of State shall be exempt from the requirements of the State Purchases Act. Cf. R.I. Gen. Laws § 37-2-74.

2.General Assembly: The Joint Committee on Legislative Management shall have the exclusive responsibility for procurement for the General Assembly in regards to office space, supplies, equipment, professional and technical assistants, rental, installation and maintenance of equipment. Cf. R.l. Gen. Laws § 22-11-3.

3.Public Agency: While public agencies may, but are not required to utilize the centralized purchasing system of the state, public agencies, through internal purchasing functions, shall adhere to the general principles, policies and practices set forth in the State Purchases Act. Cf. R.l. Gen. Laws § 37-2-12(1).

4.Public agencies may utilize the state centralized purchasing system as provided that such usage is conducted in accordance with all purchasing policies, procedures and regulations promulgated by the Chief Purchasing Officer.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.3 GENERAL DEFINITIONS

A.In accordance with the State Purchases Act the following definitions shall be applicable to state procurements and to the Procurement Regulations:

1."APRA" means the "Access to Public Records Act," R.I. Gen. Laws § 38-2-1, et seq.

2."Business" means any corporation, partnership, individual, sole proprietorship, joint stock company, joint venture, or other legal entity through which business is conducted. Cf. R.I. Gen. Laws § 37-2-7(1).

3."Chief Purchasing Officer" means:

a.for a state agency, the director of the department of administration, and

b.for a public agency, the executive director or the chief operational officer of the agency.

4."Construction'' means the process of building, altering, repairing, improving or demolishing any public structures or building, or other public improvements of any kind to any public real property. Provided, however that "construction" shall not include the routine maintenance or repair of existing structures, buildings, or real property routinely performed by salaried employees of the state in the usual course of their job. Cf. R.l. Gen. Laws § 37-2-7(4).

5."Data" means recorded information, regardless of storage method, form or characteristic. Cf. R.l. Gen. Laws § 37-2-7(8).

6."Designee" means a duly authorized representative of a person holding a superior position. Cf. R.I. Gen. Laws § 37-2-7(9).

7."Governmental body" means any department, commission, council, board, bureau, committee, institution, legislative body, agency, government corporation, including, without limitation, the Board of Governors for Higher Education and Board of Regents - Elementary and Secondary Education or other establishment of the executive, legislative, or judicial branch of the state. Cf. R.l. Gen. Laws § 37-2-7(11).

8."Imprest fund" means a petty cash fund used by a state agency or department for making disbursements requiring prompt cash outlays. Cf. R.I. Gen. Laws § 37-2-55.

9."Invitation for bids" means all documents, whether attached or incorporated by reference, utilized for soliciting bids.

10."May" means permissive. Cf. R.I. Gen. Laws § 37-2-7(12).

11."Person" means any business, individual, organization or group of individuals. Cf. R.I. Gen. Laws § 37-2-7(14).

12."Procurement" means the purchasing, buying, renting, leasing or otherwise obtaining of any supplies, services, or construction. It shall also include all functions that pertain to the obtaining of any supply, service, or construction item, including description of requirements, selection and solicitation of sources, preparation and award of contracts, and all phases of contract administration. Cf. R.I. Gen. Laws § 37-2-7(15).

13."Proprietary information" means information or data describing technical processes, mechanisms, or operational factors that a business wishes to keep from general public view in order to maintain competitive capabilities in the market. See "trade secret."

14."Public agency" means any of the following agencies and any other body corporate and politic which has been here before or which is hereinafter created or established by Act of the General Assembly excepting cities and towns:

a.Rhode Island Industrial Recreational Facilities Authority

b.Rhode Island Economic Development Corporation

c.Rhode Island Industrial Facilities Corporation

d.Rhode Island Refunding Bond Authority

e.Rhode Island Housing and Mortgage Finance Corporation

f.Rhode Island Resource Recovery Corporation

g.Rhode Island Public Transit Authority

h.Rhode Island Student Loan Authority

i.Howard Development Corporation

j.Water Resources Board Corporate

k.Rhode Island Health and Education Building Corporation

l.Rhode Island Higher Education Assistance Authority

m.Rhode Island Turnpike and Bridge Authority

n.Blackstone Valley District Commission

o.Narragansett Bay Water Quality Management District Commission

p.Rhode Island Telecommunications Authority

q.Convention Center Authority

r.Channel 36 Foundation

s.Rhode Island Lottery Commission Cf. R.I. Gen. Laws § 37-2-7(16).

15."Public copy" means a copy of a bidder's redacted proposal available for public inspection as required by R.I. Gen. Laws § 37-2-18 and Procurement Regulations § 5.11 of this Subchapter.

16."Public works" means any work which consists of grading, clearing, demolition, improvement, completion, repair, remodeling, alteration, or construction of any public road, highway, bridge, or any portion thereof, or of any public building, structure, or facility, or any portion thereof, including but not limited to heavy construction. Public works shall not include the supply of goods, materials, products, professional services, or maintenance services except as a required element of a solicitation for the aforementioned work.

17."Public Works Arbitration Act" means R.I. Gen. Laws § 37-16-1, et seq.

18."Purchasing agency" means any state governmental body which enters into a contract to procure supplies, services or construction or the Department of Administration/Division of Purchases acting on behalf of another governmental body. Cf. R.I. Gen. Laws § 37-2-7(18).

19."Purchasing agent" means the person appointed in accordance with R.I Gen. Laws § 37-2-1. It also means any person with delegated authority in accordance with procedures prescribed by regulations, to enter into and administer contracts and make written determinations and findings with respect to contracts.

20."Request for Proposals" also known as "RFP" means all documents, whether attached or incorporated by reference, utilized for soliciting proposals.

21."Responsible bidder" or "Offeror" means a person who has the capability in all material respects to perform fully the contract requirements, and the integrity and reliability which will assure good faith performance.

22."Responsive bidder" means a person who has submitted a bid, proposal or quotation which conforms in all material respects to a solicitation.

23."Services" means the rendering, by a contractor, of its time and effort rather than the furnishing of a specific end product, other than reports which are merely incidental to the required performance of services. "Services" does not include labor contracts with employees of state agencies. Cf. R.I. Gen. Laws § 37-2-7(20).

24."Shall" means imperative. Cf. R.I. Gen. Laws § 37-2-7(21).

25."Solicitation" means an Invitation for Bids, a Request for Proposals, a request for quotations, or any other document issued for the purpose of soliciting bids or proposals to perform a contract.

26."State" means the State of Rhode Island and any of its departments, agencies, or public agencies. Cf. R.I. Gen. Laws § 37-2-7(22).

27."State agency" means any state governmental body other than the General Assembly or public agency as defined herein.

28."Trade secret" means a formula, pattern, device, or compilation of information which is used in a vendors business and which gives a vendor the opportunity to obtain advantage over competitors who neither know or use it. See "Proprietary information."

29."Using agency" means any governmental body or public agency of the state which utilizes any supplies, services or construction procured for the benefit of the state. Cf. R.l. Gen. Laws § 37-2-7(25).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.4 DOCUMENTATION AND REPORTS

A.Purchase Reports

1.The Department of Administration/Division of Purchases shall maintain records of all purchases and sales made under its authority and shall make periodic summary reports of all transactions to the Chief Purchasing Officer, the Governor, and the General Assembly. Cf. R.l. Gen. Laws § 37-2-54(i).

2.The Chief Purchasing Officer shall report trends in costs and prices, including savings realized through improved practices, to the Governor and General Assembly. Cf. R.I. Gen. Laws § 37-2-54(i).

3.The Purchasing Agent shall compile annually within ninety (90) days following the close of the fiscal year an annual summary report of procurement actions for sole source, emergency, and small purchase contracts made during the preceding fiscal year. The summary shall:

a.name each contractor, and

b.state the amount and type of each contract.

4.All documentation of contracts made for such procurements shall be made available for public inspection in accordance with the APRA and retained in accordance with the approved records retention schedule.

B.Sufficient information, including but not limited to copies of written and signed determinations, shall be maintained in purchasing files to document procurement activities, reasons for selection of the supplier's product/service and justification of price. Every determination required by the State Purchases Act and these Regulations shall be written and based upon written findings of fact by the public official making the determination. These determinations and written findings shall be retained in an official contract file in the Department of Administration/Division of Purchases or in the office of the using agency or public agency administering the contract.

1.At a minimum, documentation shall include adequate justification of source selection and pricing.

2.The extent of documentation may vary with user agency needs and requirements and the value and complexity of the purchase.

3.Procurement officials shall be required to provide an "audit trail" for every purchase. Such documentation shall be recorded and maintained in accordance with procedures established by the Purchasing Agent. Purchasing personnel shall document and maintain records of all actions with respect to a purchase for the purpose of:

a.providing background information to assure that informed decisions are made at each step in a procurement;

b.rationale for action taken;

c.providing information for reviews and audits conducted by purchasing management and audit agencies; and

d.furnishing facts in the event of litigation.

C.Purchasing documentation shall be signed or initialed (as appropriate) by duly authorized officials. This shall constitute certification by the official that the action documented meets the administrative requirements for which he/she is responsible.

1.The Director/Chief Executive of each user agency shall submit to the Chief Purchasing Officer for approval, a list of agency officials who shall have the authority to act on behalf of the agency. The approved list shall be placed on file at the Department of Administration's Division of Purchases, Office of Accounts and Control and Budget Office.

a.All procurement authorizations shall be specific as to:

(1)maximum levels of expenditure commitment, program account; and

(2)persons authorized to call Division of Purchases personnel to obtain information or provide clarification regarding procurements; and

(3)agency officials who have the authority to decide whether a situation requires an emergency procurement action and who are responsible for following emergency procurement procedures.

b.The Chief Purchasing Officer shall have the right to reject for cause the authorization of any official to represent an agency in procurement transactions.

2.State Purchase Orders shall require the original signature of either the Chief Purchasing Officer, the Purchasing Agent or their respective designee.

3.Requisitions shall require the signature of an official designated by the user agency Director/Chief Executive as a agent authorized to act on his behalf for procurement transactions.

4.Requisitions submitted to the Division of Purchases shall require the signature of an official designated by the Budget Officer as responsible for certifying the availability of funds for purchasing actions.

D.Documentation records may be maintained as paper copies, microfilms, electronic or digital computer files or other means permitted in accordance with procedures established and published by the Chief Purchasing Officer, or shall be original documents as required by law or the State Controller.

E.Audit of contractors records.

1.The Chief Purchasing Officer may authorize an audit of books and records of any contractor or vendor who submitted cost or pricing data for certain negotiated contracts or change orders at any time until the period of record retention as set forth in R.I. Gen. Laws § 37-2-34(c) shall have expired. Audits conducted hereunder shall only be limited to those books and records reasonably related to cost or pricing data submitted to the state in accordance with RI. Gen. Laws § 37-2-28. Audits may be conducted by the Bureau of Audits, the Auditor General, or by an independent audit firm. Cf. RI. Gen. Laws § 37-2-34.

2.Books and records relating to state contracts shall be made available by the contractor or vendor for review and copying by the state auditor immediately upon receipt of notice from the Chief Purchasing Officer. Failure by a contractor or vendor to make its books and records available for audit shall result in immediate contract suspension and/or debarment of the contractor or vendor.

F.All documents relating to any procurement in which collusion or fraud is suspected shall be made available upon request to the Attorney General or his designee and shall be retained until the Attorney General gives notice that they may be released Cf. R.I. Gen. Laws § 37-2-36.

G.Reserved.

H."Bid Abstract" means a summary tabulation which identifies each bidder and the dollar amount of each bid received and opened in response to a public solicitation; provided, however, that bid abstracts for requests for proposals requiring submission of separate technical and cost proposals shall be limited to bidder identification until such time as the Purchasing Agent renders a contract award determination.

1.Records exempted from public disclosure by APRA need not be publicly disclosed, except as otherwise authorized.

2.Public inspection of procurement records shall be permitted by appointment only and shall be conducted under the supervision of an Division of Purchases official, except as otherwise provided for pursuant to R.I. Gen. Laws §§ 37-2-18(a) through (h) "Competitive Sealed Bidding" and these regulations.

3.No original procurement records shall be removed for public inspection from the Division of Purchases.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.5 BREACH OF CONTRACT DISPUTES

A."Contract dispute" means a circumstance whereby a contractor and the state user agency are unable to arrive at a mutual interpretation of the requirements, limitations, or compensation for the performance of a contract.

B.The Purchasing Agent is authorized to resolve contract disputes between contractors and user agencies upon the submission of a request in writing from either party, which request shall provide:

1.a description of the problem, including all appropriate citations and references from the contract in question,

2.a clear statement by the party requesting the decision of his interpretation of the contract, and

3.a proposed course of action to resolve the dispute.

C.The other contracting party shall respond within five business days.

D.Within fourteen (14) calendar days after receipt of a contract dispute the Purchasing Agent shall determine in writing whether:

1.the interpretation provided is appropriate,

2.the proposed solution is feasible, or

3.another solution may be negotiable.

E.The Purchasing Agent may assess dollar damages against vendors or contractors determined to be non-performing or otherwise in default of their contractual obligations equal to the cost of remedy incurred by the State. Payment of such damages shall be a condition precedent for any subsequent change or contract award. Failure by the vendor or contractor to pay such damages shall constitute just cause for disqualification and rejection, suspension, or debarment.

F.Any appeal from the Purchasing Agent's determination of a contract dispute or assessment of damages must be filed with the Chief Purchasing Officer within fourteen (14) calendar days and in accordance with the "bid protest" procedures set forth in § 1.6 of this Part entitled "Resolution of Protest."

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.6 RESOLUTION OF PROTESTS

A."Bid protest" means a protest, complaint or challenge by an aggrieved actual or prospective bidder or offeror (hereinafter "protestor") in connection with the solicitation or selection for award of a contract for the purchase of goods, services, and or public works projects by a state agency and or the division of purchases. For the purpose of these regulations the term "aggrieved" shall mean that the protestor has an economic interest which will be adversely impacted by the solicitation or award of a contract.

B.For the purpose of these regulations notice of a bid protest pursuant to R.I. Gen. Laws § 37-2-52 must be filed with the chief purchasing officer by the protestor, addressed as follows:

Chief Purchasing Officer (BID PROTEST)

c/o Office of the Director

Department of Administration One Capitol Hill

Providence, RI 02908

1.In addition, a true and accurate copy thereof must be filed with:

Division of Legal Services (BID PROTEST)

Department of Administration

One Capitol Hill Providence, RI 02908.

2.A bid protest may be filed by U.S. Mail, hand-delivery, courier service or facsimile, but may not be filed by electronic mail ("e-mail"). For the purposes of these regulations the date of "filing" shall be the date that a protest is actually received by the chief purchasing officer.

C.The protester's notice to the chief purchasing officer shall clearly state that it is a bid protest, and at a minimum shall include the following information:

1.the name, street address, e-mail address, telephone and facsimile numbers of the protester (or its representative, if any);

2.original signature of the protestor or its representative;

3.identity of the contract, solicitation or award at issue;

4.a detailed statement of facts and circumstances that gave rise to the protest, together with copies of any available relevant documents;

5.all information establishing that the protestor is an aggrieved party for the purpose of filing a protest;

6.citations to any relevant statutes or regulations; and,

7.a brief statement as to the form of relief requested; and,

8.a statement of whether the protestor has submitted a request for the disclosure of public records that are pertinent to the bid protest, and if such a request has been submitted, a copy thereof. A protest that fails to contain the required information may be denied.

D.Timeliness of Bid Protest.

1.A bid protest must be filed in accordance with § 1.6.2 of this Part and within the following time limits:

a.Bid protests regarding the form or content of solicitation documents must be received by the chief purchasing officer not later than fourteen (14) calendar days before the date set in the solicitation for receipt of bids. If grounds for a bid protest did not exist at the initial solicitation, but arose as the result of an amendment to the solicitation, then the bid protest must be received by the chief purchasing officer no later than fourteen (14) calendar days before the next closing time established for receipt of bids. If the date set in the solicitation for receipt of bids is less than fourteen (14) calendar days from issuance, a bid protest concerning the form or content of the solicitation documents must be received by the chief purchasing officer not less than forty-eight (48) hours before the date set for receipt of bids.

b.In all other cases, protests must be received by the chief purchasing officer not later than fourteen (14) calendar days after the protester knew or should have known, whichever is earlier, the facts giving rise to a protest.

c.For bid protests regarding the form or content of the solicitation documents, the facts giving rise to the protest shall be presumed to be known to the protester on the date the solicitation, or an amendment thereto, was posted to the division of purchases' procurement web site. For bid protests arising from bid opening procedures and or award of the contract, the facts giving rise to the protest shall be presumed to be known to the protester on either the date of bid opening or the date the contract award was posted to the division of purchases' procurement web site.

d.New factual allegations made after the initial protest without a new and separate showing of timeliness shall be deemed to be untimely.

e.The fourteen (14) day period in which to file a protest does not include the day on which the alleged basis for protest arises. If the last calendar day within which a protest is to be filed falls on a Saturday, Sunday, state holiday or a day when the state or division of purchases is closed, the period in which to file a protest is extended to the next day not a Saturday, Sunday, state holiday or when the state or division of purchases is not closed.

E.Protests of different contract solicitations or awards must be filed separately.

F.Upon receipt of a bid protest timely filed neither the contracting agency, nor the division of purchases shall proceed further with the solicitation or award of a contract, until the chief purchasing officer issues a written determination that authorizes the contracting agency or the division of purchases to proceed with the solicitation or award as being necessary to protect a substantial interest of the state.

G.The chief purchasing officer shall issue a written determination in response to a bid protest within thirty (30) calendar days of the receipt thereof. The chief purchasing officer reserves the right to waive or extend the time requirements for such written determination when, in his/her sole judgment, circumstances so warrant.

H.The chief purchasing officer's written determination shall state whether the protest is granted or denied, the reasons therefore and any action(s) to be taken in response thereto. A copy of the chief purchasing officer's written determination shall be mailed to the protestor.

I.In the event that the protestor requests access to documents relating to the solicitation or award pursuant to the "Access to Public Records Act," R.I. Gen. Laws § 38-2-1, et seq. in conjunction with the bid protest, then the chief purchasing officer may defer issuing his written determination until thirty (30) days after the response(s) to the APRA request has been issued.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.7 IMPREST FUNDS

A."Budget unit" means state agency or department.

B."Head" means the Chief Executive Officer, Director or Executive Director of a state agency or department.

C.Prior to the establishment of any imprest fund the agency shall submit to the State Controller a document demonstrating the need for such a fund. If the Controller determines that a such need exists and that adequate accounting controls are provided, then approval shall be obtained from both the state Budget Office and the Chief Purchasing Officer to establish the fund.

D.The Chief Purchasing Officer may delegate authority and responsibility for oversight of imprest fund cash flow to the State Controller.

E.The Chief Purchasing Officer may direct that post-audits of imprest funds be conducted by the Bureau of Audits, the Auditor General or by an independent audit.

F.Costs for post audits of imprest funds shall be the responsibility of the budget unit responsible for the imprest fund.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.8 ADMINISTRATIVE RESPONSIBILITY FOR CONTRACTUAL AND OTHER EXPENDITURES WHICH ARE NOT PROCUREMENTS

A.Contracts for concessions (cafeteria services, vending machines, recreational programs, transportation services, etc.) shall be deemed not to be procurements. Provided however, that contractors for concessions shall be subject to Part 10 of this Subchapter (Procurement Regulations).

B.Except for contracts for grants-in-aid, award of non-procurement contracts shall be subject to the same open, competitive procedures which apply to procurements and shall be subject to Part 10 of this Subchapter (Procurement Regulations).

C.The Chief Purchasing Officer may delegate authority to enter into non-procurement contracts; or

D.The Chief Purchasing Officer may direct the Purchasing Agent to oversee and/or administer competitive procedures prior to the award of non-procurement contracts, including, but not limited to, grants, interagency cooperative agreements, and concessions; provided, however, that such administrative authority shall not constitute responsibility for the selection of recipients of such contracts, or the substance of the accompanying agreements.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-1 § 1.9 Internet Neutrality Principles

A.State contracts for fixed or mobile broadband internet access service shall be awarded only to service providers that adhere to the internet neutrality principles set forth herein.

B.Adherence to internet neutrality principles means that an internet service provider shall not, with respect to any consumer in the State of Rhode Island (including State agencies):

1. Block lawful content, applications, services, or nonharmful devices, subject to reasonable network management that is disclosed to the consumer; or,

2.Throttle, impair or degrade lawful internet traffic based on internet content, application, or service, or use of a nonharmful device, subject to reasonable network management that is disclosed to the consumer; or,

3.Engage in paid prioritization unless the State waives the ban as to particular purchased or funded internet access services if the State determines that the practice is in the public interest, promotes public safety, or is otherwise not inconsistent with the purpose of this Order; or,

4.Unreasonably interfere with or unreasonably disadvantage either:

a.a customer’s ability to select, access, and use broadband internet access service or the lawful internet content, applications, services, or devices of their choice; or

b.an edge providers’ ability to make lawful content, applications, services, or devices available to a customer, subject to reasonable network management that is disclosed to its customers.

C. “State agency” means any department in the Executive Branch of State government and any agency, authority, board, bureau, commission, division, institution, office, or other instrumentality within or created by any such department, and any independent State authority, commission, instrumentality, or agency over which the Governor exercises executive authority.

D.“Broadband internet access service” means a mass-market retail service by wire or radio that provides the capability to transmit data to and receive data from all or substantially all internet endpoints, including all capabilities that are incidental to and enable the operation of the communication service, but excluding dial-up internet service. The term "Broadband Internet Access Service" also includes any service that the Federal Communications Commission determines to be providing a functional equivalent of the service described in the preceding sentence or which is used to evade the protections set forth in this regulation.

E.“Edge provider” means any individual or business entity that provides any content, application or service over the internet, and any individual or business entity that provides a device used for accessing any content, application or service over the internet.

F.“Paid prioritization” means the management of a broadband internet service provider’s network to directly or indirectly favor some traffic over other traffic, including, but not limited to the use of techniques such as traffic shaping, prioritization, resource reservation, or other forms of preferential traffic management, either,

1.in exchange for consideration (monetary or otherwise) from a third party, or

2.to benefit an affiliated entity. Paid prioritization does not include the provision of tiered internet access service or offerings to a retail end user.

G.Waivers to the within internet neutrality principles may be granted by the Director of Administration/Chief Purchasing Officer only upon written request from a State agency director.

1.The Division of Public Utilities and Carriers, the Emergency Management Agency, and the Division of Information Technology shall evaluate all agency waiver requests and make recommendations thereon to the Director of Administration/Chief Purchasing Officer.

2. The Director of Administration/Chief Purchasing Officer shall issue a written determination and grant a waiver only upon a finding that the waiver serves a legitimate and significant public purpose.

H.The Division of Public Utilities and Carriers, the Emergency Management Agency, and the Division of Information Technology shall advise the Director of Administration/Chief Purchasing Officer on potential actions to promote internet neutrality to protect Rhode Islander citizens’ access to a free and open internet.

I. Nothing contained in this internet neutrality regulation shall be construed to supersede any federal, state or local law.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-11-29 to 01/04/2022
• Technical Revision — effective from 2012-01-05 to 11/29/2018
• Technical Revision — effective from 2012-01-05 to 01/05/2012
• Amendment — effective from 2012-01-05 to 01/05/2012
• Technical Revision — effective from 2011-07-11 to 01/05/2012 Click here to view previous versions of this Part.

220-RICR-30-00-2 Procurement Structure and Accountability

220-RICR-30-00-2 § 2.1 DEFINITIONS

A.R.I. Gen. Laws § 37-2-7(3), “Chief Purchasing Officer” for state agencies the shall be the Director of the Department of Administration.

B.In accordance with R.I. Gen. Laws § 37-2-7(19) "Purchasing Agent" shall mean:

1.any person authorized by a governmental body in accordance with procedures prescribed by regulations, to enter into and administer contracts and make written determinations and findings with respect thereto; or

2.any authorized representative acting within the limits of authority; or

3.the person appointed in accordance with R.I. Gen. Laws 37-2-1 as the administrator of the state's central purchasing and contracting authority.

C.For the purposes of the regulations contained herein, the definition set forth in Section 2.1.2.3 shall apply to the terms "State Purchasing Agent" or "Purchasing Agent".

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-2 § 2.2 CENTRALIZED PROCUREMENT AUTHORITY FOR STATE AGENCIES SET FORTH IN CHAPTER 37-2

A.R.I. Gen. Laws § 37-2-12(1) All rights, powers, duties, and authority relating to the procurement of supplies, services, and construction, and the management, control, warehousing, sale, and disposal of supplies, services, and construction exercised by any state agency as established by the General Assembly, shall be under the jurisdiction of the state's Chief Purchasing Officer.

1.R.I. Gen. Laws § 37-2-54(3) No purchase or contract shall be binding on the state or any agency thereof unless approved by the department [of Administration] or made under general regulations which the Chief Purchasing Officer may prescribe.

a.Purchasing Authority shall be defined as the authority to act on behalf of the state to commit funds, enter into binding agreements or contracts, dispose of state property, or in any other manner control procurement or obligate the State.

b.No state agency official shall have the right to exercise purchasing authority through written or oral agreements or contracts or in any other way financially or otherwise obligate the State without the express written consent of the Chief Purchasing Officer.

c.No state agency may place orders or negotiate with suppliers or potential suppliers without the participation or express approval of the Chief Purchasing Officer.

2.The Office of Purchases within the Department of Administration shall be the state's centralized purchasing and contracting authority.

B.R.I. Gen. Laws § 37-2-1 Within the Department of Administration there shall be a purchasing agent who shall be appointed by the Chief Purchasing Officer with the approval of the Governor, and who shall now and hereafter be in the classified service of the state. R.I. Gen. Laws § 37- 2-11 The Purchasing Agent shall be the administrator of the Office of Purchases and shall:

1.R.I. Gen. Laws § 37-2-11(1) Serve as the central procurement and contracting agent of the state;

2.R.I. Gen. Laws § 37-2-11(2) Recommend regulations, rules, and procedures to the Chief Purchasing Officer;

3.R.I. Gen. Laws § 37-2-11(3) Purchase or otherwise acquire, or, with the approval of the Chief Purchasing Officer to delegate the purchase and acquisition of, all supplies, services and construction for the state.

C.R.I. Gen. Laws § 37-2-54(1) The Chief Purchasing Officer, except as otherwise provided by law, shall purchase, or shall delegate and control the purchase of, the combined requirements of all spending agencies of the state including, but not limited to, interests in real property, contractual services, rentals of all types, supplies, materials, equipment, and services, except where competitive bids may not be required, and except as otherwise authorized by R.I. Gen. Laws § 37-2-18 (a)-(h) “Competitive Sealed Bidding” and these regulations.

1.Delegated Purchase Authority shall mean the transfer of Purchasing Authority from the Chief Purchasing Officer or the Purchasing Agent to another state official in accordance with the provisions and limitations of R.I. Gen. Laws § 37-2 and the regulations set forth herein.

a.The Purchasing Agent may recommend to the Chief Purchasing Officer that purchasing authority be delegated in circumstances where cost-effectiveness and efficiency are best served.

b.The Purchasing Agent may delegate purchase authority with the written approval of the Chief Purchasing Officer.

c.Requested Delegated Purchase Authority shall be specifically justified by an agency director/chief executive and authorized by the Purchasing Agent in advance of any purchase action.

d.All delegated purchasing authority shall be specific as to:

(1)The names and titles of individuals authorized by an agency director to commit funds on behalf of his agency

(2)The accounts, commodities and levels of expenditures for which the agency director authorizes individuals to commit funds

e.The Chief Purchasing Officer shall transmit on an annual basis a list of officials approved to authorize delegated purchase transactions to the Office of Accounts and Control and the Budget Office.

f.The implementation of Delegated Purchasing Authority shall be monitored by the Purchasing Agent and the State Controller. If at any time a user agency is deemed to be in violation of purchasing rules, regulations, policies and procedures, the Chief Purchasing Officer or the Purchasing Agent, with the approval of the Chief Purchasing Officer, may revoke any Delegated Purchasing Authority privilege which has been previously granted.

D.R.I. Gen. Laws § 37-2-9(1) The Chief Purchasing Officer shall have power and authority over, and may, except as otherwise expressly provided in R.I. Gen. Laws § 37-2, adopt regulations pursuant to R.I. Gen. Laws § 42-35-2 governing the purchasing management and control of any and all supplies, services, and construction, and other items required to be purchased by the state. The Chief Purchasing Officer shall consider and decide matters of policy with regard to state procurement. The Chief Purchasing Officer shall have the power of review with respect to the implementation of regulations and policy determinations.

E.R.I. Gen. Laws § 37-2-10 The Chief Purchasing Officer may provide for the distribution of the Department's procurement activities and functions among the various divisions within the Department. However, in accordance with R.I. Gen. Laws § 37-2-13(3) the Chief Purchasing Officer shall not delegate his power to issue state purchasing regulations to any other person or agency, and no state purchasing regulations shall be issued except as approved by the Chief Purchasing Officer.

F.R.I. Gen. Laws § 37-2-54(3) The Department of Administration shall have supervision over all purchases by the various spending agencies, except as otherwise provided by law, and shall prescribe rules and regulations to govern purchasing by or for all such agencies, subject to the approval of the Chief Purchasing Officer and shall publish a manual of procedures to be distributed to agencies and to be revised upon issuance of amendments to such procedures.

G.R.I. Gen. Laws § 37-2-54(4) The Chief Purchasing Officer shall require agencies to take and maintain inventories of plant and equipment and the Department of Administration shall conduct periodic physical audits of inventories.

H.R.I. Gen. Laws § 37-2-54(5) The Department of Administration shall require all agencies to furnish an estimate of specific needs for supplies, materials and equipment to be purchased by competitive bidding for the purpose of permitting scheduling of purchasing in large volume. It shall establish and enforce schedules for purchasing supplies, materials, and equipment. In addition, all agencies shall submit to the Department of Administration prior to the beginning of each fiscal year an estimate of all needs for supplies, materials and equipment during that year which will have to be acquired through competitive bidding.

1.The Chief Purchasing Officer may require any agency to submit annual or multi- year plans for proposed procurements of supplies, material, equipment, and supplemental services.

2.The Chief Purchasing Officer may require the sub-mission of procurement plans with the submission of budget requests.

I.R.I. Gen. Laws § 37-2-54(6) The Department of Administration shall have power, with the approval of the State Properties Committee, to transfer between departments, to salvage, to exchange, and to condemn supplies, equipment, and real property.

1.R.I. Gen. Laws § 37-2-45 Supply Disposition Process. - The Chief Purchasing Officer shall sell or otherwise dispose of all property (including any interest in real property) of the state which is not needed or has become unsuitable for public use, or would be more suitable consistent with the public interest for some other use, as determined by the Chief Purchasing Officer subject to the approval of the State Proper-ties Committee and pursuant to the provisions of R.I. Gen. Laws 37-7. The determination of the Chief Purchasing Officer shall be set forth in an order and shall be reached only after review of a written request by the agency desiring to dispose of the property. Such request shall describe the property and state the reasons why the agency believes disposal should be effected. All instruments required by law to be recorded which convey any interest in any such real property so disposed of shall be executed and signed by the acquiring authority pursuant the provisions of R.I. Gen. Laws § 37-7

a.Disposal of equipment which has attained the end of its useful life, as determined by the Purchasing Agent, and is intended for use as a "one-for-one" trade in applied to the procurement of new, similar equipment shall be exempted from review by the State Properties Committee.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-2 § 2.3 STRUCTURE AND RESPONSIBILITIES FOR CENTRALIZED STATE AGENCY PROCUREMENT

A.The Director of Administration/Chief Purchasing Officer shall be responsible for:

1.Policy formulation and dissemination;

2.Establishing standards;

3.Defining and promulgating procedures;

4.Monitoring and evaluating central purchasing activity to ensure that the state is attaining the most advantageous procurements possible; and

5.Determining courses of action when the policies and procedures outlined herein require interpretation and/or when situations arise where conflicts exist or occur.

B.The State Purchasing Agent shall be responsible for:

1.Assuring adherence to state procurement laws, regulations, rules, codes and procedures;

2.Supervising procurement activity within the Office of Purchases;

3.Assuring that delegated purchasing authority is exercised properly;

4.Establishing and maintaining good relations with suppliers and potential suppliers without conflicts of interest;

5.Assuring that procurements are made in a context which supports to the greatest extent possible:

a.competitive purchases,

b.opportunities for minority and women owned/operated businesses, and

c.opportunities for local Rhode Island enterprises;

6.Assuring that a pool of responsible, qualified suppliers is developed, maintained and utilized;

7.Assuring compliance with appropriate competitive bidding procedures throughout the state's procurement system;

8.Promoting standardization of requirements to increase opportunities for the economic advantages of combined purchasing;

9.Establishing and monitoring standards of quality;

10.Assuring that goods and services are delivered according to specified requirements; and

11.Supervising the state's warehousing and inventory activities.

C.The State Budget Officer shall be responsible for reviewing all purchase documentation submitted by user agencies to the Office of Budget for certification as to the availability of the funds necessary to support a purchasing commitment and authorizing expenditures as requested.

D.The State Controller shall be responsible for:

1.Reviewing all purchase documentation submitted by user agencies to the Division of Accounts and Controls to assure compliance with promulgated rules, regulations, policies and procedures;

2.Forwarding all documents manifesting clear or suspected compliance violations to the Purchasing Agent for appropriate action;

3.Encumbering purchase obligations and processing payments for goods and services certified as delivered in accordance with the terms of purchase orders; and

4.Monitoring administration of imprest cash accounts.

E.All state agency chief executives shall be accountable to the Chief Purchasing Officer for the purpose of carrying out the state's procurement activities. User agency chief executives shall be responsible for:

1.Assuring the availability of funds to sustain purchase commitments;

2.Enforcing adherence to applicable policies and procedures;

3.Thoughtful planning which will:

a.promote opportunities for effective procurement, e.g., economies of scale, and

b.reduce the occurrence of crisis situations which detract from the state's ability to make the most advantageous purchases possible; and

4.Careful development of specifications to:

a.Promote speed of bid implementation,

b.Reduce misunderstanding and conflicts, and

c.Enhance quality, competition, and control.

5.Implementation of administrative control systems with respect to all procurement actions, including, but not limited to, verification of contract deliverables and contractor responsibilities, maintenance of records, and all other activities relating to contract administration.

6.Providing written documentation to the Purchasing Agent when a contractor fails to perform as a contract requires.

F.The Director of Economic Development shall be responsible for:

1.Certifying vendors as meeting state R.I. Gen. Laws § 37-14.1-3 and/or federal legal and regulatory requirements to be considered Small Disadvantaged Businesses, e.g., minority- or women-owned and controlled businesses; and

2.Conducting programs to enhance the capability of small disadvantaged businesses to obtain state contracts by providing assistance in obtaining the skills and information necessary to compete successfully in response to state solicitations for bids.

G.The Attorney General shall be responsible for:

1.Investigation of cases involving breach of contract or suspected instances of criminal activity, e.g., collusion, fraud; and

2.Prosecution of cases involving criminal activity.

H.The Ethics Commission shall be responsible for:

1.Investigating cases of suspected violation of state Conflict of Interest laws and regulations and

2.Referring to the Attorney General cases where determinations of violations have been made.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-2 § 2.4 RELATIONSHIP OF OFFICE OF PURCHASES AND USER AGENCIES.

A.R.I. Gen. Laws § 37-2-14 The Purchasing Agent shall maintain a close and cooperative relationship with the using agencies of the state. Any using agency may at any time make recommendations concerning procurement to the Purchasing Agent.

B.Office of Purchases personnel shall be cognizant of the fact that they work for a service agency which other state agencies rely upon as a source for obtaining materials and services.

C.The Office of Purchases shall foster good relations with other departments and provide all reasonable assistance in accomplishing the objectives of these departments.

D.Personnel in the Office of Purchases shall maintain a close working relationship with other departments involved with the specification, ordering, inspection, storage, handling or use of material.

E.The Office of Purchases shall solicit advice from user agencies, as appropriate, on major or complex procurements, with regard to selection of bidders, evaluation of proposals, negotiation plans, and final source determination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-2 § 2.5 VIOLATIONS OF PURCHASING LAWS AND REGULATIONS

A.Deliberate disregard for regulations, policies and procedures shall be subject to disciplinary action, including dismissal of state employees and debarment of vendors conducting business with the state.

B.Violations of the purchasing code of ethics set forth herein, shall be subject to appropriate sanctions including: censure, dismissal, suspension, and debarment.

1.The Chief Purchasing Officer shall have authority to impose sanctions, in accordance with personnel administration requirements, on any state agency employee who has been found to have violated the state purchasing code of ethics.

2.The Purchasing Agent shall have the authority to impose sanctions, in accordance with personnel administration requirements, on any employee of the Office of Purchases.

3.The Purchasing Agent shall have the authority to suspend or debar suppliers in accordance with the requirements set forth herein.

C.Suspected violations of state conflict of interest laws and regulations regarding procurement or the state procurement code of ethics set forth herein shall be reported in confidence to the Chief Purchasing Officer and in accordance with the rules and regulations established by the State Ethics Commission.

D.Violations of purchasing laws, regulations, policies, and procedures shall be reported to the Chief Purchasing Officer or the Purchasing Agent who shall have authority to apply sanctions.

E.R.I. Gen. Laws § 37-2-36(1) When for any reason collusion is suspected among any bidders or offerors, a written notice of the facts giving rise to such suspicion shall be transmitted to the Attorney General.

F.Suspected falsification of certifications shall be referred to the Attorney General for investigation and prosecution.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-3 Code of Ethics and Professional Behavior

220-RICR-30-00-3 § 3.1 CODE OF ETHICS AND PROFESSIONAL BEHAVIOR

A.All state employees shall be subject to the provisions of R.I. Gen. Laws § 36-14 and all regulations promulgated by the Rhode Island Ethics Commission, and any special provisions of this section.

B.R.I. Gen. Laws § 36-14-1 It is the policy of the state of Rhode Island that public officials and employees must adhere to the highest standard of ethical conduct, respect the public trust and the rights of all persons, be open, accountable and responsive, avoid the appearance of impropriety, and not use their positions for private gain or advantage.

C.R.I. Gen. Laws § 36-14-5 Prohibited Activities under the Rhode Island Conflict of Interest Statutes.

1.No person subject to the code of ethics shall have any interest, financial or otherwise, direct or indirect, or engage in any business, employment, transaction or professional activity, or incur any obligation of any nature, which is in substantial conflict with the proper discharge of his duties or employment in the public interest and of his responsibilities as prescribed in the laws of this state.

2.No person subject to the code of ethics shall accept other employment which will either impair his independence of judgment as to his official duties or employment or require him, or induce him, to disclose confidential information acquired by him in the course and by reason of his official duties.

3.No person subject to the code of ethics shall willfully and knowingly disclose, for pecuniary gain, to any other person, confidential information acquired by him in the course of and by reason of his official duties or employment or use any such information for the purpose of pecuniary gain.

4.No person subject to the code of ethics shall use in any way his public office or confidential information received through his holding any public office to obtain financial gain, other than that provided by law, for himself or spouse (if not estranged) or any dependent child or business associate or any business by which said person is employed or which said person represents.

5.No person subject to this code of ethics or spouse (if not estranged) or dependent child or business associate of such person or any business by which said person is employed or which such person represents, shall solicit or accept any gift, loan, political contribution, reward, or promise of future employment based on any understanding that the vote, official action or judgment of said person would be influenced thereby.

6.No person shall give or offer to any person covered by this code of ethics, or to any candidate for public office, or to any spouse (if not estranged) or dependent child or business associate of such person, or any business by which said person is employed or which such person represents, any gift, loan, political contribution, reward, or promise of future employment based on any understanding that the vote, official action or judgment of said person would be influenced thereby.

D.In accordance with the provisions of R.I. Gen. Laws § 37-2-9(2)(o), the following supplemental State Code of Procurement Ethics shall be adopted.

1.Universal Code of Ethics applicable to all state employees involved in the procurement process:

a.To consider, first, the interests of the state in all transactions;

b.To support and carry out state policies;

c.To buy without prejudice;

d.To avoid any conflict of interest with respect to procurement, or the appearance thereof;

e.To obtain the maximum ultimate value for each dollar of expenditure;

f.To subscribe to and work for honesty and truth in buying and selling, and to denounce all forms and manifestations of commercial bribery; and

g.To respect obligation and to require that obligations to the state be respected, consistent with good business practice.

2.Relations With Suppliers - A primary responsibility of purchasing personnel shall be to maintain good relations with suppliers and potential suppliers. Relationships shall be maintained in a manner which assures that no conflict of interest situations arise.

a.All potential suppliers shall be afforded the courtesy of a fair opportunity to present their capabilities and products.

b.Reasonable effort shall be made to provide fair bidding opportunities to all qualified and interested suppliers.

c.R.I. Gen. Laws § 37-2-9(2)(g) State officials shall observe a commitment to maintain the confidentiality of information submitted by suppliers and potential suppliers.

(1)Supplier proposals shall be treated in confidence with regard to technical approach and terms and conditions.

(2)Distribution of information contained in supplier proposals shall be limited to those having a "need to know" as determined by the Purchasing Agent.

(3)Under no circumstances shall confidential information be made available to other vendors.

d.Personnel are prohibited from engaging in any conduct which may tend to cause any existing or prospective supplier of goods or services to believe that his relationship with the state will be affected by his purchasing or failing to purchase goods or services from any representative of the state.

e.Under no circumstances may a vendor provide to a procurement official nor may a purchasing agent (any person authorized by a state agency in accordance with procedures prescribed herein acting within the limits of authority to commit state funds to obtain goods and services) accept any goods or services, regardless of monetary value, for personal use for less than fair market value.

f.Personnel are prohibited from accepting gifts or gratuities in any form for themselves or their families (spouses, parents, children, sister, brothers, in-laws, etc.) from contractors, subcontractors or suppliers now furnishing or desiring to furnish supplies or services to the Office of Purchases.

(1)Gifts or gratuities shall mean, but are not limited to money, merchandise, advertising media (any merchandise carrying a vendor's name or logo), gift certificates, trips (individually or in groups), cock-tail parties, dinners, evening entertainment, sporting events, etc.

g.Social interaction between personnel involved in the procurement process and any present or prospective contractors, subcontractors or suppliers and their representatives creating the impression of favoritism shall be avoided. However, this regulation does not prohibit social interactions between state employees and representatives of suppliers which are clearly of a personal nature, in which the parties involved would normally be expected to reciprocate, and in which no reimbursement from the state is sought by the employee. For example, the supplier's representative may be an acquaintance, neighbor, relative or former state employee. The responsibility rests on the individual employee to regulate his/her own actions and to seek advice from Purchasing Management or the Ethics Commission if concerned about an apparent conflict of interest.

3.It shall be the obligation of all state employees to avoid conflicts of interest with respect to procurement, and to report promptly to the Chief Purchasing Officer all instances where a conflict exists or is suspected to exist.

a.Conditions under which a conflict of interest may be held to exist include, but are not limited to the following:

(1)Where a procurement official with a principal responsibility for a category of goods or services:

(AA) receives personal enrichment as a result of an award, or

(BB) holds a secured financial interest in a firm offering such goods or services, or,

(CC) receives indirect or subsequent income, by way of employment, retainer, consultancy, or other remuneration from a firm offering such goods or services, or,

(DD) has an immediate family member or blood relative holding an equity interest, or a management or directorial position in a firm offering such goods or services;

(2)Where any state employee divulges or withholds information (including, but not limited to, price, design, or requirement information) with the intent or result that one vendor is competitively advantaged over another.

(3)Under any circumstances described in R.I. Gen. Laws § 36-14

4.The Chief Purchasing Officer shall have the responsibility to investigate all claims with respect to conflicts of interest in procurement, to issue determinations which define whether or not conflict, in fact, existed, and to take action to resolve such conflict.

a.Resolution of conflict may include, but shall not be limited to, the following measures: Reassignment of the procurement official or other state employee involved; Termination of employment of the procurement official or other state employee involved; and Debarment of any and all vendors who may be involved.

5.All employees of the Office of Purchases shall be required to sign and submit annual disclosure statements with respect to Purchasing Conflicts of Interest. Any and all purposeful or willful withholding of knowledge of or disclosure of conflict shall be held to be fraudulent activity, and may result in the immediate termination of the employment of that individual.

6.Membership and active participation in the meetings and activities of local purchasing organizations are encouraged.

7.Samples provided by vendors shall be deemed to be the property of the state which the Chief Purchasing Officer may determine appropriate for donation to charitable organizations or needy individuals.

8.Promotional programs and campaigns available through airlines, rental companies, hotels, motels, etc., which provide bonuses and rebates, and result from state paid travel, shall be applied toward state use or benefit and not personal use.

9.Purchasing personnel shall not make purchases for personal use in the name of the state or through the use of any state procurement forms.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-4 Vendor Prequalification

220-RICR-30-00-4 § 4.1 Purpose

The purpose of this Part is to govern the prequalification of prospective bidders.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.2 Authority

This Part is promulgated pursuant to the authority granted in R.I. Gen. Laws Chapter 37-2.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.3 Definitions

A.“Division” means the Department of Administration Division of Purchases.

B."Responsible bidder" shall have the same meaning as set forth in R.I. Gen. Laws § 37-2-15(6).

C."Small disadvantaged business" means either a "minority business enterprise" or "small disadvantaged businesses owned and controlled by persons with disabilities", as defined below.

1."Small disadvantaged businesses owned and controlled by persons with disabilities" shall have the same meaning as set forth in R.I. Gen. Laws § 37-2.2-2.

2."Minority business enterprise" shall have the same meaning as set forth in R.I. Gen. Laws § 37-14.1-3(f).

D."Vendor" means any individual, firm, corporation, partnership or other entity submitting a proposal to the Division indicating a desire to enter into contracts with the State of Rhode Island, or with whom a Contract is executed by the State Purchasing Agent.

E."Vendor lists" means lists maintained by the Purchasing Agent containing the names and addresses of registered vendors from whom bids, proposals, and quotations may be solicited. In order to bid on a Solicitation, a vendor must be registered with the Division.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.4 Responsibility and Authority of the Purchasing Agent

Unless notified in writing by the Chief Purchasing Officer to the contrary, the Purchasing Agent shall be authorized to act on behalf of the Chief Purchasing Officer in carrying out the responsibilities and authority set forth herein for selection, evaluation, prequalification, approval, revocation of prequalification, and restriction of vendors.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.5 Prequalified Vendor Lists

A.Prequalified Vendor Lists may be maintained by the Purchasing Agent consisting of the names and addresses of prequalified vendors from whom bids, proposals, and quotations can be solicited.

B.Prequalified Vendor Lists shall be formatted in a manner which identifies those vendors certified by the State as small disadvantaged businesses, as defined above.

C.The Purchasing Agent may disqualify a vendor from participating in any procurement if the vendor's prequalification has been revoked pursuant to § 4.7 of this Part or if the vendor has been suspended or debarred pursuant to Part 14 of this Subchapter.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.6 Prequalification of Public Works Vendors

A.Vendors must be pre-qualified by the Division prior to bidding on state public works projects with an estimated value of over one million dollars ($1,000,000).

1.If he or she determines that competition will be limited due to the unique nature of a project, the Purchasing Agent may:

a.Waive the prequalification requirement for a state public works project valued over one million dollars ($1,000,000);

b.Require prequalification for projects less than one million dollars ($1,000,000) at the discretion of the Purchasing Agent when specified in the Solicitation;

c.Specify in the Solicitation that vendors who are not prequalified may bid on a public works project but the vendor must be prequalified prior to the issuance of the award.

B.The Purchasing Agent may limit the prequalification of a vendor to a certain category of work based on information provided pursuant to § 4.6(D)(3) of this Part, size of purchase order based on information provided pursuant to § 4.6(D)(4) of this Part, or both.

1.Category of Work. The vendor must specify any/all categories of work that the vendor wishes to be prequalified to bid on. The vendor must submit copies of all required licenses and/or certifications (if applicable) to evidence that the vendor can perform such category of work. The Purchasing Agent may limit a vendor's prequalification to one of the following categories of work:

a. Horizontal Construction

(1)Road or parking lot construction and rehabilitation.

(2)Prequalification for contractors submitting bids on road work for the department of transportation shall be prequalified pursuant to § 4.6(G) of this Part and R.I. Gen. Laws § 37-2-26.

b.Vertical Construction (Design-Bid-Build): Vendor acting as prime contractor for the construction of buildings (including new construction and/or renovations).

c.Exterior building envelope projects including roofing, window installation/repair, exterior wall work, masonry, or any combination thereof.

d.HVAC/Plumbing: Projects where the work primarily encompasses the disciplines of plumbing, fire protection, heating, ventilating and air conditioning (HVAC), and building control systems.

e.Electrical: Projects which have a primary focus on electrical and low voltage systems including but not limited to: electrical distribution, emergency power generation, lighting, low voltage distribution, and devices.

f.Site Work & Utility Work: Clearing, grubbing, removal of tree stumps, shrubs, site preparation, mass earth excavation, silt fence, erosion/sedimentation control, gabions, erosion control, rock crushing/recycling, screening topsoil and other aggregates. Sewer and water mains, pipe jacking, storm drainage, sewer rehabilitation, sewage pumping stations.

g. Painting (Interior or exterior)

h.Landscaping/Environmental Improvements: Landscaping roadside, including seeding, hydro seeding, mulching, sodding, and ground cover planting, topsoil application, and other construction related thereto. Site Landscaping including topsoil application, including planting of trees, shrubs, and all ground covers on various types of sites, selective tree removal, trimming, seeding, insecticide application, weed control, liming, soil binder & soil supplements, irrigation, Wetland mitigation, creation, plantings and removal of invasive species.

i.Environmental: Environmental/hazardous waste removal, stockpile, sewage pumping stations. The containment, cleanup, removal and disposal of debris, hazardous, controlled/toxic materials, including water.

j.Marine repairs, construction or salvaging.

k.Construction Manager at Risk (CMAR) as defined in § 8.11(C)(4) of this Subchapter and R.I. Gen. Laws §§ 37-2-7, 37-2-27.2, 37-2-27.3, and 37-2-27.4.

l.Any other category of work that the Purchasing Agent shall determine during his or her prequalification determination that the vendor is qualified to perform.

2.Vendors bidding on construction contract management must be prequalified in accordance with this Part and shall be also be prequalified for specific solicitations in accordance with R.I. Gen. Laws § 37-2-27.

3.Size of purchase order. The Purchasing Agent may also limit a vendor's prequalification to a purchase order value range tier determined to be suitable based on the information submitted by the vendor. In its prequalification packet, the vendor must specify the size of purchase order value range tier that it seeks to be prequalified to bid upon. The purchase order value range tiers are as follows:

a.Tier I: $1,000,000-$5,000,000

b.Tier II: $1,000,000-$10,000,000

c.Tier III: $1,000,000-$20,000,000

d. Tier IV: $1,000,000-$40,000,000

e.Tier V: $1,000,000-$40,000,000 and above

C.Prequalification Submission

1.A vendor who wishes to be prequalified must submit a prequalification packet at least once every two (2) years, providing all information in support of evaluation categories listed in § 4.6(D) of this Part, below.

2. All Vendors are advised to review the provisions related to confidentiality within the General Conditions of Purchase, § 13.3(D) of this Subchapter and to properly identify privileged or confidential documents as outlined therein.

3.If there is a substantial change in the information provided in a vendor's prequalification packet within the two (2)-year prequalification period, the vendor has an affirmative duty to supplement the information provided to the Division so that the Division may determine whether the vendor may remain at prequalified status.

a.For the purposes of this Part, "substantial change" shall mean any change which a reasonable person would believe would affect the classifications or amount of work for which the vendor has been prequalified by the Division to perform.

b.Failure to supply material information will result in revocation of pre-qualification and vendor suspension not less than one (1) year.

4.A vendor may submit a change request during the two-year prequalification period to make changes to its approved purchase order value range tier.

a.Such change request must be submitted in writing with an updated bond letter that meets all requirements of § 4.6(D)(4)(e) of this Part.

b.A vendor may submit a change request at any time, however the Division has up to thirty (30) days after receipt of a change request to review and approve or deny that change request.

D.Evaluation Categories

1.Management Experience

a.Business Owners: The name, title, years with the vendor of the owner(s) of the business.

b.Vendor must produce both a Certificate of Good Standing from the Rhode Island Department of State and a Letter of Good Standing from the Rhode Island Department of Revenue – Division of Taxation. Both the Certificate of Good Standing and Letter of Good Standing must be dated within thirty (30) days of prequalification packet submission.

c.Management Personnel: The names, title, education and experience, years with vendor, and list of projects completed by all management personnel. Vendors shall have staff that are qualified and competent in the area of estimating, scheduling, project management, field supervision, and safety.

d.Public Works Project Experience

(1)Years of experience performing public works projects (including municipal, state and federal public works projects). At least three (3) years of public works project experience is required for prequalification. Work as a subcontractor on public works projects may be considered.

(2)A list of all public works projects performed in the past five (5) years, including the project name, brief description and owner contact person.

(3)A list of the three (3) largest public works projects performed in the last five (5) years including: the project name, description, original contract sum, final contract sum with explanation, date of substantial completion and date of final completion. If no public works projects have been completed by the vendor, provide the above information for the three (3) largest projects performed in the last five (5) years for a private entity.

e.Terminations: A list of all projects (private or public works projects) where the vendor's contract was terminated prior to completion, including the project name, description, original contract sum, and explanation for termination.

f.Legal Proceedings: A list of any legal proceedings where the vendor was a named entity for the past five (5) years.

g.Safety Record: The five (5) year history of the vendor's workers' compensation experience modifier.

h.Compliance Record: Information on and evidence of the vendor's compliance record with respect to minority business enterprise and women business enterprise inclusion goals and workforce inclusion goals, if applicable on public works projects within the past five (5) years.

2.References

a.Project References: A list of references from owners, contractors (as applicable), architects (as applicable), engineers (as applicable) from projects that the vendor has performed within the past five (5) years. At least three (3) references must be provided from at least two (2) different projects that the vendor has performed within the past five (5) years. The list of references must include, at a minimum, project names and the names of the reference with a current address, telephone and e-mail address.

b.Credit References: A list of a minimum of three credit references, including the current telephone number and e-mail address of a contact person from key suppliers, vendors and banks.

c.Public Works Project Record: A list of all completed public works projects during the past five (5) years with owner's name, current address, telephone and fax number and a contact person for each.

(1)The vendor's past work with the State of Rhode Island will be considered, including the quality of past work performed for the State of Rhode Island.

3.Ability to Complete Work:

a.Vendors who do not maintain permanent workforces, or who propose to subcontract a disproportionate percentage of project work shall be considered unqualified.

4.Financial Capacity:

a.Reviewed Financial Statement prepared by a licensed Certified Public Accountant.

b.Vendors who are seeking prequalification for purchase orders over $20,000,000 must provide Audited Financial Statements.

c.Revenue: A vendor must provide its revenue under contract for the next three (3) fiscal years.

d.Bonding Capacity: A vendor must provide an original commitment letter from a Surety Company licensed in the State of Rhode Island and whose name appears on the United State Treasury Department Circular 570, stating the vendor’s aggregate bonding capacity and single contract limit. A Power-of Attorney or Attorney-in-Fact form must be attached to the letter. The letter must be less than three (3) months old on the date of application.

e.Prompt payment of subcontractors: All vendors must certify that:

(1) There are no current/pending subcontractor claims for nonpayment against the vendor (or against a bond issued to the vendor);

(2)That there have been no subcontractor claims for nonpayment made against the vendor (or against a bond issued to the vendor) for the past five (5) years; and

(3)If subcontractor claims have been made for nonpayment against the vendor (or against a bond issued to the vendor) during the past five (5) years, the vendor must disclose the nature of the claim, the amount in dispute, and how the claim resolved.

E.The Purchasing Agent may conduct supplementary prequalification examinations of vendors prior to solicitation or award which include, but are not limited to:

1.Requirement for additional certification(s);

2.Requirement for demonstration of additional licensure;

3.Requirement for recent financial information;

4.Submission of an affirmative action employment plan; and/or

5.Submission of the names of proposed small disadvantaged business subcontractors and the value of such subcontracts.

F.Denial of Prequalification

a.The Purchasing Agent, in his or her discretion, may deny prequalification to a vendor for failure to meet the criteria above.

b.The Purchasing Agent shall send notice of denial of prequalification to an applicant vendor identifying the basis for the denial.

c.The Purchasing Agent's decision on prequalification may be appealed pursuant to § 1.6 of this Subchapter and R.I. Gen. Laws § 37-2-52.

G.Prequalification for a contractor who bids on road work for the Department of Transportation shall be conducted in accordance with R.I. Gen. Laws § 37-2-26 and § 12.4 of this Subchapter.

1.The Chief Purchasing Officer may delegate responsibility and authority for evaluation of all or a portion of the evaluation of road work contractor prequalification documentation to the Director of the Department of Transportation.

a.Such delegation shall authorize the publication and implementation of policies and procedures which conform to the rules and regulations promulgated by the Chief Purchasing Officer in accordance with R.I. Gen. Laws § 37-2-26.

b.Such delegation shall be made in writing.

c.The Chief Purchasing Officer shall monitor the appropriateness and effectiveness of such delegation on a regular basis.

d.The Chief Purchasing Officer may rescind such authorization at any time provided that the rescission of such authority shall be conveyed in writing to the Director of the Department of Transportation no less than thirty-five (35) working days prior to the effective date of the rescission.

2.Every bid solicitation shall include within the project specification document a description of the prequalification requirements set forth in R.I. Gen. Laws § 37-2-26, § 12.4 of this Subchapter, and any additional requirements established by the Department of Transportation.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-4 § 4.7 Revocation of Prequalification

A.The Purchasing Agent may revoke a vendor's prequalification. Revocation may result from:

1. Suspension or Debarment pursuant to § 14.5 of this Subchapter;

2.Lack of demonstrated responsibility or competency;

3.Failure to update information contained in a vendor's pre-qualification packet on file with the Division of Purchases pursuant to § 4.6(C)(3) of this Part;

4.When, in the judgment of the Purchasing Agent, the vendor does not possess the capacity, capability, or integrity requisite for the procurement.

B.The Purchasing Agent shall give notice to a vendor when its prequalification has been revoked in writing. Such notice shall:

1.State that the vendor’s prequalification has been revoked,

2.Provide the vendor with the rationale for the decision, and

3.A statement that protests of the revocation may be submitted pursuant to § 4.7(C) of this Part.

C.The Purchasing Agent's decision on prequalification may be appealed pursuant to § 1.6 of this Subchapter and R.I. Gen. Laws § 37-2-52.

History

• Technical Revision — effective from 2023-06-14 to current
• Amendment — effective from 2023-06-14 to 06/14/2023
• Periodic Refile — effective from 2022-01-04 to 06/14/2023
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-5 Competitive Bid and Competitive Sealed Bid Review and Source Selection

220-RICR-30-00-5 § 5.1 Definitions

A."Bid" means an executed document submitted by a bidder in response to an Invitation for bids, and except as otherwise defined pursuant to R.I. Gen. Laws § 37-2-18(a) through (h) "Competitive Sealed Bidding" and these regulations, or a Request for Quotation.

1."Firm bid" means a bid that binds the bidder until a stipulated time of expiration.

2."Sealed bid" means a bid which has been submitted in a sealed envelope to prevent its contents being revealed or known before the deadline for the submission of all bids to enhance fair competition, and except as otherwise defined pursuant to R.I. Gen. Laws § 37-2-18(a) through (h) "Competitive Sealed Bidding" and these regulations.

B."Bid abstract" means a summary of responsive bids to a solicitation.

C."Bid bond" means an insurance agreement in which a third party agrees to be liable to pay a certain amount of money in the event that a specific bidder, if his bid is accepted, failed to accept the contract as bid.

D."Bid deposit" or "Bid security" or "Bid surety" means a sum of money or check deposited with and as instructed by the prospective purchaser to guarantee the bidder (depositor) will, if selected, accept the contract in accordance with the bid.

E."Bid opening" means the process through which bids are opened and the contents revealed for the first time to the state, other bidders and to the public.

F."Bid sample" means a sample required of a bidder for examination, comparison, testing, and evaluation for the prospective purchaser.

G."Collusive bidding or corrupt combination" means the response to bid invitations by two or more vendors who have secretly agreed to circumvent laws and rules regarding independent and competitive bidding.

H."Commodity" means an article of trade, a movable article of value, something that is bought or sold; any movable or tangible thing that is produced or used as the subject of barter or sale.

I."Competition" means the process by which two or more vendors vie to secure the business of a purchaser by offering the most favorable terms as to price, quality, delivery and/or service.

J."Established catalogue price" means the price included in the most current catalogue, price schedule or other form that:

1.is regularly maintained by a manufacturer or vendor of an item; and

2.is either published or otherwise available for inspection by customers; and

3.states prices at which sales are currently or were last made to a significant number of any category of buyers, or to the general buying public for that item; and

4.states prices which are obtained from the most recent industry wide publications and informational journeys if any. (R.I. Gen Laws § 37-2-15(2))

K."Evaluated bid price" means the dollar amount of a bid after bid price adjustments are made pursuant to objective measurable criteria, set forth in the invitation for bids, which affect the economy and effectiveness in the operation or use of the product, such as reliability, maintainability, useful life, and residual value (R.I. Gen. Laws § 37-2-15(3)).

L."Evaluation of bid" means the process of examining a bid after opening to determine the bidder's responsibility, responsiveness to requirements, and to ascertain other characteristics of the bid that relate to determination of the successful bidder.

M."Invitation for bids" means all documents, whether attached or incorporated by reference, utilized for soliciting proposals in accordance with the procedures set forth in R.I. Gen. Laws § 37-2-18, and except as otherwise defined pursuant to R.I. Gen. Laws §§ 37-2-18(a) through (h) "Competitive Sealed Bidding." (R.I. Gen. Laws § 37-2-15(4))

N."Proposal evaluation criteria" means factors, usually weighted, relating to management capability, technical capability, manner of meeting performance requirements, price and other important considerations used to evaluate which proposer in a competitive negotiation has made the most advantageous offer.

O."Recycled product" means a product containing pre-consumer content and post-consumer content. (R.I. Gen. Laws § 37-2-76.1)

1."Pre-consumer content" means any material generated during any steps in the production of an end product, but does not include any waste material or byproduct that can be reused or has been normally reused within the same plant or another plant of the same parent company.

2."Post-consumer content" means those materials generated by a business or consumer which have served their intended end uses and which have been separated or diverted from solid waste. Printer's waste, lathe wastes, and other wastes generated during production of an end product and undistributed finished products are not "post-consumer content."

3."Office paper products" means any paper used by the state for the purpose of writing, printing, copying, and/or typing, including, but not limited to, computer, bond, xerographic, forms and/or duplicator paper, envelopes, business cards, index cards, and writing pads, either white or colored.

P."Request for bids" means a solicitation which consists of a specific description of the goods and services, to which necessary blueprints, specifications, and special conditions are appended, and except as otherwise defined pursuant to R.I. Gen. Laws § 37-2-18(a) through (h) "Competitive Sealed Bidding."

Q."Request for information” or “RFI" means a document used in informal, uncompetitive solicitation of information, data, comments, or reaction from possible suppliers preceding the issuance of a Request for Proposals or a multi-step bidding process.

R."Request for proposal” or “RFP" means, all documents, whether attached or incorporated by reference, utilized for soliciting (competitive) proposals. (R.I. Gen. Laws § 37-2-15(5))

S."Request for quotation” or “RFQ" means a document or oral solicitation used for seeking competition on small purchases or on any purchase lower than the amount that requires competitive bidding.

T."Requisition" or a "purchase request" means, a document whereby a using agency requests that a contract be entered into to obtain goods and/or services for a specified need, and may include, but is not limited to, the technical description of the requested item, delivery requirements, transportation mode request, criteria for evaluation of proposals, and/or suggested sources of supply, and information supplied for the making of any written determination and finding required by R.I. Gen. Laws § 37-2-6. For the purposes of establishing rules and regulations pursuant the R.I. Gen. Laws Chapter 37-2, a "requisition" shall also mean an internal document by which a using agency requests the Division of Purchases to initiate a procurement. The request may include, but is not limited to, a performance or technical description of the requested item, delivery schedule, transportation mode, criteria for evaluation, suggested sources of supply, and information related to the making of any written determination required by policy or procedure. (R.I. Gen. Laws § 37-2-7(17))

U."Responsive bidder" means a person who has submitted a bid under R.I. Gen. Laws § 37-2-20 which conforms in all material respects to the invitation for bids, so that all bidders may stand on equal footing with respect to the method and timeliness of submission and as to the substance of any resulting contract. For the purposes of establishing rules and regulations pursuant the R.I. Gen. Laws Chapter 37-2, a "responsive bidder" shall also mean a bid which conforms in all material respect to the terms and conditions, specifications and any other requirements of the Bid Invitation. (R.I. Gen. Laws § 37-2-15(7))

V."Solicitation" means the process of notifying prospective bidders or offerors that the state wishes to receive bids for furnishing goods and services. The process may consist of public advertising, mailing Invitations to Bid, posting notices, and/or telephone or telegraph messages to prospective bidders.

W."Source selection" means the technique of appropriate selection by solicitation, i.e., competitive sealed bidding, multi-step competitive sealed bidding, competitive negotiation, small purchase procedure, sole source or emergency purchase.

X."Specification" means a description of what the purchaser seeks to buy, and consequently, what a bidder must be responsive to in order to be considered for award of a contract. A specification may be a description of the physical or functional characteristics, or the nature of, a supply or service. It may include a description of any requirements for inspecting, testing, or preparing a supply or service item for delivery; a purchase description.

1."Standardization (of specifications)" means the process of examining characteristics and needs for items of similar end usage and developing a single specification that will satisfy the need for most or all purchases for the purpose.

2."Restrictive specification" means a specification or purchase description that unnecessarily limits competition by precluding items that would be capable of satisfying the intended need.

Y."Spot purchase" means a one-time purchase occasioned by a small requirement, an unusual circumstance, or to take advantage of a favorable market condition.

Z."Standard" means a characteristic or set of characteristics for an item that, for reasons of performance level, compatibility or interchangeability with other products, etc., is generally accepted by producers and by users of the item as a required characteristic of all items for the designed purpose.

AA."Supplies" means all property, including but not limited to leases of real property, printing and insurance, except land or permanent interest in land. (R.I. Gen. Laws § 37-2-7(24))

BB."Vendor" means any individual, firm, corporation, partnership or other entity submitting a proposal to the Division indicating a desire to enter into contracts with the State of Rhode Island, or with whom a Contract is executed by the State Purchasing Agent.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.2 Competition

A.In accordance with the purposes set forth in R.I. Gen. Laws § 37-2-2(b)(6), the Chief Purchasing Officer shall assure that all state agency procurement activities foster effective competition, such that economies in expenditure can be obtained. A competitive environment shall be considered to exist when the following conditions are met:

1.Two or more items or offers can be compared to determine relative merit;

2.Objective standards of comparison are fairly and impartially applied;

3.Offers are evaluated within a market context:

a.The lowest price offered may not be considered to be a competitive price when not supported by an evaluation of the market or market conditions within which the offer was rendered;

b.Market evaluation must be conducted using objective standards to assure fairness and to encourage participation;

4.An equal opportunity for participation in any procurement applies to all prospective offerors, and affirmative action to achieve participation in the procurement process as a means of achieving social objectives is accomplished without violation of these general principles.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.3 Centralization

A.Except as otherwise provided for herein, the Purchasing Agent shall be responsible for the administration of all procurement activities and determinations with respect to the solicitation and evaluation of competitive offers, and to source selection.

B.Unless specifically authorized otherwise, the Division of Purchases shall be the sole point of contact with prospective and current offerors, relative to the business, financial and other commercial aspects of all solicitations and offers:

1.All other state employees shall be authorized to contact suppliers to obtain technical data only, prior to the award of a contract.

2.Representatives of the Division of Purchases shall be present at, or party to, all discussions with suppliers with respect to current solicitations, or with respect to price or delivery information, or with respect to modifications of any contract.

C.Delegated Authority.

1.The following goods and services may be procured by user agencies without the express approval of the Purchasing Agent in accordance with the provisions set forth herein:

a.Items purchased through Master Pricing Agreements (MPA) - Schedule/Term Contracts Purchases. All agencies shall be authorized to order MPA items directly from vendors in accordance with procedures established by the Chief Purchasing Officer.

b.Items exempted from competition by law, regulation or determination by the Chief Purchasing Officer or his designee.

c.Grants in the form of general subsidies or assistance shall be administered by state agencies in accordance with legal mandates restricting or defining the use of such funds.

2.State officials designated by the Chief Operating Officer (Director) of an agency or department shall be authorized to obtain bids for procurements up to set limits stated by the Chief Purchasing officer.

a.Violation of these procedures may result in withdrawal of such authority by the Purchasing Agent.

b.All bids and contract awards made under these provisions shall be documented in a central location.

D.Violations of Purchase Authority

1.Upon request, the Division of Purchases and/or the Chief Purchasing Officer may review all documents for which state agencies undertake purchasing actions and shall report suspected violations of delegated purchasing authority to the Purchasing Agent.

2.Transactions which are determined by the Purchasing Agent to be out of compliance with state purchasing regulations and procedures shall be returned to agencies for explanation and justification.

3.User agency abuses of limited delegated purchasing authority shall be reported to the Chief Purchasing Officer who will hold agency chief executives accountable for violations.

4.Deliberate disregard of state officials for purchasing regulations, policies and procedures shall be subject to disciplinary action, including dismissal.

E.Additional delegated authority may be granted by the Purchasing Agent upon reviewing written requests submitted by the chief executive officer of a department or agency in accordance to the provisions set forth in § 5.2 of this Part.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.4 Standards and Specifications

A.R.I. Gen. Laws § 37-2-38 Issuance of specifications.

1.The Chief Purchasing Officer shall have the responsibility for issuing and maintaining all standard specifications for supplies, services, and construction required by the state. Among its duties, it shall, to the greatest extent practicable:

a.Prepare and issue standard specifications for supplies, services, and construction commonly required by the state.

b.Revise all standard specifications to conform to all technical and scientific advances pertaining to the supplies, services, and construction described in those specifications, and to reflect changes in the state's requirements and user agencies; and

c.Establish guidelines for drafting specifications.

2.All specifications shall be drafted so as to maximize, to the extent practicable, competition in fulfillment of the state's requirements.

B.Certification by building commissioner. -- The state controller shall order no payment to any person on account of any contract for any construction which is subject to the state building code, unless and until the state building commissioner has certified to the state controller in writing that: All permits required under R.I. Gen. Laws § 23-27.3-113.1 for the construction for which such payment has been requested have been issued and are valid; and the state building commissioner has, pursuant to R.I. Gen. Laws § 23-27.3-113.3.1, verified that all construction work for which payment has been requested and which state law requires to be performed by licensed persons has been performed by persons so licensed. (R.I. Gen. Laws § 37-2-38.1)

C.Solicitations shall be prepared in a manner and form which enables suppliers to submit fully responsive and knowledgeable offers, and which clearly define the criteria to be used in evaluating responses.

D.All material submitted by applicants to the Division of Purchases for action shall be in sufficient detail and shall contain adequate supportive information to:

1.Adequately describe the purpose, use, or desired performance level of the requirement; and

2.Identify measurable criteria for evaluation of offers including, but not limited to, acceptance testing.

E.Wherever possible, solicitations shall incorporate a standard specification, describing the level of performance required, and measurable criteria which define acceptance.

1.In certain cases, following detailed evaluation, brand name or other designations may be defined as standard items, where it is determined to be in the best interest of the State with regard to economies of scale, or cost or value analysis.

2.The Division of Purchases shall develop Standards Committees (product advisory committees) to review, develop, and update specifications and standard item designations for frequently and/or extensively used products.

F.Selection and evaluation criteria shall be clearly defined in all solicitations.

1.This section shall apply to all competitive sealed bid contracts in amounts as provided in R.I. Gen. Laws § 37-2-18, or as otherwise amended.

2.Unless alternate offers are clearly requested or allowed, only those offers which are responsive, in all material respects, to the terms of the solicitation shall be considered.

a.Alternate specifications may be considered only where it has been determined that the alternate satisfies all objective performance characteristics of the procurement, and represents a reduction in expenditure;

b.Alternate terms and conditions may be considered only where consideration is determined to be in the best interest of the State to do so, and where they constitute a reduction in expenditure.

3.Used Items may be purchased to achieve financial benefit if the manufacturer will provide warranties for maintenance requirements and for the replacement of parts. Such certification/warranties shall be the same as that provided for new equipment. Purchase of used items which exceed a value of two hundred and fifty dollars shall require approval by the Division of Purchases.

4.R.I. Gen. Laws § 37-2-75 Prohibition against the use of lead based paints. When purchasing paint products or contracting or subcontracting for painting, construction, improvement, completion, or repair of any public building, any public road, any public bridge, or any public construction, all governmental bodies and public agencies, as defined by R.I. Gen. Laws §§ 37-2-7(11) and 37-2-7(16), shall be prohibited from the use of lead based paint.

5.R.I. Gen. Laws § 37-2-76 State purchase of recycled products.

a.The state shall, through its purchasing policy and practice, affirmatively promote the use of recycled products. The Department of Administration in conjunction with the Department of Environmental Management shall, through regulations, establish a time table requiring increased utilization by the state of recycled products. In January of each year, the Department of Administration shall report to the General Assembly the State's progress in utilizing recycled products materials and supplies for the preceding twelve (12) months.

b.With respect to office paper products, at least fifty percent (50%) of the expenditure for office paper products purchased by the state of Rhode Island, its agencies and departments, shall be recycled paper products by fiscal year 1995.

c.The Department of Administration in conjunction with the Department of Environmental Management shall annually establish comprehensive technical specifications based on research by the Department of Environmental Management for the recycled products, materials and supplies to be purchased by the state under this section. These specifications shall include the minimum performance and quality attributes as well as minimum pre- and post-consumer content.

d.The Director of the Department of Administration, acting as the Chief Purchasing Officer of the State, shall direct that all subsequent purchases of the subject recycled products, materials and supplies by the state, its agencies and departments shall meet the source specifications of pre-consumer and/or post-consumer content standards established under § 5.4(F)(5)(c) of this Part.

e.Subsequent discovery by the State, its agencies or departments that products delivered by vendors to the state as "recycled products" do not satisfy the specifications of "recycled" content stated in the award, shall be grounds for the return of all discrepant goods, refunds of all moneys paid, termination of all outstanding contracts -and orders, and at the discretion of the Chief Purchasing Officer suspension of the vendor's involvement in state procurement for a period of up to twenty-four (24) months.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.5 General Provisions

A.Except as otherwise authorized by law, or as specifically exempted herein, all state contracts shall be awarded as the result of:

1.R.I. Gen. Laws § 37-2-17(1) competitive sealed bidding; or

2.R.I. Gen. Laws § 37-2-17(2) competitive negotiation; or

3.R.I. Gen. Laws § 37-2-17(3) non-competitive negotiation; or

4.R.I. Gen. Laws § 37-2-17(4) small purchase procedures; or

5.R.I. Gen. Laws § 37-2-18(a) through (h) competitive sealed bidding;

6.R.I. Gen. Laws § 37-2-18.1 electronic reverse auction;

7.Requests for Proposal; or

8.Where permitted by law, grants.

B.R.I. Gen. Laws § 37-2-8 When foodstuffs of good quality grown or produced in Rhode Island by Rhode Island farmers are available, the Purchasing Agent is hereby directed to purchase such foodstuffs at the prevailing market prices when any such foodstuffs are required by the state institutions.

C.The Division of Purchases shall establish and make available to participating agencies Master Pricing Agreements for goods and services where the nature and amount of demand is not specifically known in advance (e.g., office furniture, food, athletic equipment and emergency repair trades).

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.6 Rules for Solicitation

A.In general, solicitations will be sent only to those suppliers who have formally expressed a desire to bid on the particular types of items which are the subject of the bid solicitation; however, the Purchasing Agent may determine that competition would be enhanced by soliciting bidders who are not on the established Bidders List.

B.Small and small disadvantaged businesses shall be solicited to maximum extent determined by the Chief Purchasing Officer to be practicable.

C.Notification and Advertising

1.Notices shall be published in sufficient time to afford suppliers a fair opportunity to respond prior to the bid opening date and time.

2.Advertisements may be utilized in conjunction with requests for quotations or proposals for products or services at any estimated level of expenditure if the Purchasing Agent so determines:

a.that the commodity or service is of such special nature that opportunities for competition will be enhanced by extending invitations to other than known suppliers;

b.that a purchase will be of interest to supportive industries, e.g. construction projects;

c.that a purchase is unusually large or infrequent.

3.The Purchasing Agent may advertise in widely circulated newspapers and/or trade journals to promote effective competition.

4.The Purchasing Agent may place advertisements in publications directed to minority communities and/or women to enhance opportunities for disadvantaged businesses to participate in the bidding process.

5.The Purchasing Agent shall have the sole authority to place advertisements for contracts awarded under his aegis; however, he may delegate such authority as circumstances dictate.

D.The Purchasing Agent may solicit offers from prospective suppliers who are not registered bidders upon written recommendation by a user agency, or where such solicitation is judged to be necessary in order to expand the field of competition.

E.The State of Rhode Island shall be under no obligation to consider an offer which has been submitted without solicitation.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.7 Bidder Security

A.Bidder's security shall be a bond provided by a surety company authorized to do business in the State of Rhode Island, or the equivalent in cash, in a form satisfactory to the state.

1.The bidder may submit a certified check, bank check (cashier's check or treasurer's check), or money order as surety instead of a bond.

2.All such sureties must be dated within 30 days of the bid opening date and shall be valid for no less than 60 days from the bid opening dates.

3.All such sureties shall be made payable to the State of Rhode Island General Treasurer.

4.All sureties shall contain an identification of the bid number for which the surety is intended. (R.I. Gen. Laws § 37-2-40(1))

B.Bidder security shall be required for all competitive sealed bidding for construction contracts when the estimated price exceeds twenty-five thousand dollars ($25,000). Nothing herein prevents the requirement of such bonds on construction contracts under twenty-five thousand dollars ($25,000) when circumstances warrant.

1.The Purchasing Agent may require bidder security for any procurement that he judges to be substantial, or where in his opinion the potential of capricious or artificial bidding exists, or where there is a risk of withdrawal of offers prior to an award being made, or where the interests of the State otherwise require protection.

2.Bidder security may be required for contracts involving blanket orders, services or high value items when the value of the contract exceeds two thousand five hundred dollars ($2,500). (R.I. Gen. Laws § 37-2-40(1))

C.Bidder's security shall be in an amount equal to at least five percent (5%) of the amount bid. (R.I. Gen. Laws § 37-2-40(2))

D.When the invitation for bids requires that bid security be provided, noncompliance requires that the bid be rejected, provided, however, that the Chief Purchasing Officer may set forth by regulations exceptions to this requirement in the event of substantial compliance. If bid security is identified as mandatory in the invitation to bid pursuant to R.I. Gen. Laws § 37-2-18(a) through (h) "Competitive Sealed Bidding" and these regulations, the purchasing agent shall have no discretion to waive the bid security requirement. (R.I. Gen. Laws § 37-2-40(3))

E.After the bids are opened, they shall be irrevocable for the period specified in the invitation for bids, provided that if a bidder is permitted to withdraw his bid before award because of a mistake in the bid as allowed by law or regulation, no action shall be taken against the bidder or the bidder's surety. (R.I. Gen. Laws § 37-2-40(4))

F.After the bid opening the Purchasing Agent shall return the sureties of all but the three (3) apparent lowest bidders. When the evaluation of the bid has been completed, the Purchasing Agent shall return all but the lowest bidder's surety.

G.After the low bidder has been notified of the state's intent to proceed with a contract, the low bidder's bid surety shall be returned. When performance, labor and/or material bonds are required, the bid surety shall be returned upon receipt of the appropriate bond(s).

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.8 Cancellation of Invitation for Bids and Requests for Proposals

A.An invitation for bids, a request for proposals, and other solicitation may be cancelled, or all bids or proposals may be rejected, if it is determined in writing that the action is taken in the best interest of the state and approved by the Chief Purchasing Officer.

1.If a solicitation results in none of the proposals being reasonably close to expectations, the Purchasing Agent may with the written approval of the Chief Purchasing Officer declare all bids unacceptable and re-solicit the procurement.

2.Nothing in R.I. Gen. Laws §§ 37-2-18(a) through (h) and these regulations shall be construed to interfere with or invalidate the results of the due diligence conducted by the division of purchases, the Chief Purchasing Officer, or the Chief Purchasing Agent to determine whether bids are responsive and responsible.

3.If a solicitation results in only one proposal, the price of which is not reasonably close to expectations, the Purchasing Agent may recommend that the Chief Purchasing Officer declare the bid unacceptable and either re-solicit the procurement or ask that the price be negotiated with the vendor.

4.The Purchasing Agent may eliminate bidders whose offers are clearly noncompetitive prior to re-solicitation.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.9 Correction or Withdrawal of Bids

A.Correction or withdrawal of bids may be allowed only to the extent permitted by regulations issued by the Chief Purchasing Officer. (R.I. Gen. Laws § 37-2-18(i))

B.The Purchasing Agent or his designee shall be the sole determiner of whether correction or withdrawal of bids may be made without penalty.

C.The Purchasing Agent shall respond to requests for correction or withdrawal within ten (10) working days, notifying the bidder of the status of his bid, bid surety and continued inclusion in the state's Bidders List.

D.Correction of a bid.

1.Correction of a bid at any time prior to bid opening may be permitted without penalty when a bidder requests that his bid be returned and bidder resubmits a corrected bid prior to the bid opening.

2.A vendor who fails to resubmit a corrected bid before the bid opening shall be considered non-responsive.

3.Requests by the apparent low bidder for correction of bids identifying all error(s) and specifying corrective action shall be submitted in writing to the Purchasing Agent and shall be re-evaluated with all other offers within five (5) working days after the bid opening.

E.Withdrawal of bids.

1.Requests for withdrawal of bids shall be submitted in writing to the Purchasing Agent, providing an explanation for the action and advising the Purchasing Agent as to why the bidder should not be suspended from the state's Bidders List.

2.Withdrawal of bids without the written consent of the Purchasing Agent shall result in forfeiture of bid sureties and shall result in suspension or debarment from the state's Bidders List, depending upon the severity of the violation.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.10 Solicitation Criteria

A.At least every three (3) years the Chief Purchasing Officer shall review the prevailing costs of labor and materials and may make recommendations to the next regular session of the General Assembly for the revision of the then current threshold amounts contained in this R.I. Gen. Laws Chapter 37-2 as justified intervening changes in the cost of labor and materials.

1.The Chief Purchasing Officer may make recommendations to the General Assembly for changes to solicitation criteria based on factors other than the cost of labor and materials. (R.I. Gen. Laws § 37-2-58)

B.Small Purchases. Procurements not to exceed the amounts set forth in R.I. Gen. Laws § 37-2-22 may be made in accordance with applicable policies and procedures set forth by the Purchasing Agent. Procurement requirements shall not be artificially divided so as to constitute a small purchase under this section.

1.Competitive offers shall be solicited for all procurements with a value greater than $500 except under specifically prescribed circumstances set forth herein.

2.Small construction purchases shall include building, altering, repairing, improving or demolishing buildings or other improvements to real property. Small construction purchases shall not include routine maintenance or repair of existing structures, buildings, or real property performed by salaried employees of the State in the usual course of their job. (R.I. Gen. Laws § 37-2-22)

C.Competitive bids shall be obtained from a sufficient number of suppliers to be considered representative of the industry cited. Although three bids shall be considered the minimum, the Purchasing Agent may in some instances declare the existence of two bids to be considered to provide adequate price competition. The determination shall be made in writing and placed in the bid file.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.11 Solicitation Methodology for Competitive Sealed Bidding

A.Public Competitive Sealed Bids. Sealed written competitive bids shall be required for purchase orders exceeding the amount provided by R.I. Gen. Laws § 37-2-22 unless it is determined in writing that this method is not practicable or that the best value for the state may be obtained by using an electronic reverse auction as set forth in R.I. Gen. Laws § 37-2-18.1. Bids governing highway and bridge construction projects shall be governed by these regulations, except as otherwise provided for in § 5.13 of this Part entitled "Bids Governing Highway and Bridge Construction Projects" and Part 12 of this Subchapter entitled "Rhode Island Department of Transportation Projects."

1.The term "immediately" for contracts awarded pursuant to R.I. Gen. Laws §§ 37-2-18(a) through (h) "Competitive Sealed Bidding" and this regulation shall mean that a copy of the redacted bid proposal shall be available for public inspection by the close of business the day the subject bid(s) and/or contract(s) is opened by the division of purchases.

2.Bidders shall bear the sole and exclusive responsibility to provide a public copies of bids to the division of purchases, for public inspection. At the time that a proposal is submitted, a bidder must submit a redacted copy of the bid proposal on a readable CD-R Media Disk (hereinafter referred to as a "CD"). Failure of the bidder to submit a public copy on a readable CD, as required by R.I. Gen. Laws § 37-2-18 as amended, may result in the disqualification of said bid. Failure by a bidder to redact from the public copy trade secrets, commercial or financial information or other information the bidder deems not subject to public disclosure shall subject said information to public disclosure.

3.In order to comply with the public copy requirement, a bidder, at the time that a proposal is submitted, must submit a redacted copy of the bid proposal on a readable CD and in accordance with the solicitation. The CD should contain: the title of the solicitation as it appears on the RIVIP cover letter; the name of the company and vendor identification as it appears on the RIVIP cover letter; the bid response number as it appears on the RIVIP cover letter; and the date of the bid as it appears on the RIVIP cover letter. Failure to provide the division of purchases with a readable CD with the above-cited information, as required, may result in the disqualification of the bid.

B.Formal Competitive Bids.

1.Except under emergency circumstances, competitive bids shall be obtained in the form of sealed written quotations for all procurements exceeding one thousand dollars ($1,000), and except as otherwise provided for pursuant to R.I. Gen. Laws §§ 37-2-18(a) through (h) "Competitive Sealed Bidding."

2.A formal bid shall be distinguished by:

a.A specific date and time by which sealed written bids must be submitted;

b.An opening of all bids at a specified time at the Division of Purchases;

c.The solicitation of a minimum of three selected bidders who are potential suppliers for the commodity or service to be procured.

3.All Formal Competitive bids shall be issued by the Division of Purchases.

C.Informal Competitive Bids.

1.Oral quotations (including telephone) may be solicited for purchase orders with a value less than one thousand dollars ($1,000). If the Division of Purchases is unable to verify prices using published lists/catalogs or by market analysis, the lowest quotation obtained by telephone solicitation for procurements exceeding two hundred and fifty dollars ($250) shall be confirmed in writing.

2.An informal bid shall be distinguished by:

a.Lack of a specific time by which bids must be submitted;

b.Lack of sealed written bids; quotes may be oral on the spot or by telephone and confirmed at a later date in writing;

c.Lack of an opening and reading of bids;

d.The solicitation of selected registered or unregistered bidders who are potential suppliers for the commodity or service to be procured and/or vendors suggested for consideration by the user agency.

3.Informal bids shall be solicited from a minimum of three suppliers.

4.All informal bid invitations shall be conducted in such fashion as to maximize the opportunity for participation of all responsible suppliers.

5.For those purchases not affected by regional considerations, requests for quotations (RFQ's) shall be distributed equitably among various responsible suppliers. Where practical, a quotation will be solicited from other than the previous supplier prior to placing a repeat order.

6.When informal competitive bids are received in accordance with the provisions contained herein and award is not made to the low bidder, the Purchase Order File shall be annotated with statements of how the supplier was selected and why the price is fair and reasonable.

7.Purchasing management shall audit the use of informal competitive bids. As a minimum, quarterly review of performance by buyers should be conducted to sample (on a random basis) the reasonableness and effectiveness of buyer use and documentation of the informal bid process.

D.Requests for Proposal

1.Requests for Proposal (RFP) shall be utilized to solicit competitive offers in all cases where:

a.Lowest price is not the sole or primary consideration to be used in determining an award; or

b.Performance is neither specific nor objective, and open to the offerer's interpretation; or

c.It is otherwise anticipated that offers may be substantially different and that there is insufficient common ground for objective comparison; or

d.It is anticipated that changes will be made after proposals are opened and that the nature of the proposals and/or prices offered will be negotiated prior to award.

2.Wherever possible, the Request for Proposal shall define the performance or benefit required and shall set forth specific criteria to be utilized in evaluation of offers.

3.Offers shall be evaluated by a committee comprised of a representative of the Division of Purchases, representative of the user agency, and other appropriate parties on the basis of:

a.The qualifications of the offerers, established by professional accomplishment and previous experience;

b.Aspects of offers which provide benefit, other than those based on cost; and

c.Other provisions of offers which are determined to serve the best interests of the State.

4.Nothing herein shall be construed to preclude the possibility of determining an award solely on the basis of cost.

5.The evaluation of offers, including the weight assigned to various aspects of the offerers, and all award determinations, including the reasons for a selection recommendation, shall be fully documented.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.12 Source Selection and Contract Award

A.A vendor's offer for a specific procurement may be rejected for:

1.Any of the causes described for suspension or debarment in Part 14 of this Subchapter;

2.When, in the judgment of the Purchasing Agent, the vendor does not possess the capacity, capability, or integrity requisite for the procurement; or

3.When, in the judgment of the Purchasing Agent, the vendor is found to be nonresponsive and/or a nonresponsible bidder.

B.Responsible Bidders: A reasonable inquiry to determine whether a vendor is responsible may be conducted pursuant to R.I. Gen. Laws § 37-2-24. To determine responsibility, the Purchasing Agent may utilize any of the criteria set forth in § 4.6(D) of this Subchapter.

1."Prompt" as used in R.I. Gen. Laws § 37-2-24, shall mean five (5) working days unless otherwise specified by the Purchasing Agent.

2.Ability to meet performance bond requirements set forth for public works contractors in R.I. Gen. Laws Chapter 37-12 and R.I. Gen. Laws § 37-13-14 shall be required. The ability to meet performance bond requirements shall not be the sole criteria for determination of responsibility. Bidder security is required in accordance with R.I. Gen. Laws § 37-2-40(a).

3. Vendors who have been determined by the Purchasing Agent to be brokers or jobbers shall will not be issued a purchase order or other award.

a.Vendors bidding on construction or building renovation must demonstrate an ability to perform a substantial portion of the subject work using their own forces. Vendors who do not maintain permanent workforces, or who propose to subcontract a disproportionate percentage of project work shall be considered unqualified, and the Purchasing Agent reserves the right to reject their offers.

4.The Purchasing Agent may require interested vendors to submit completed state Bidder Certification Cover Forms to the Division of Purchases for consideration by the Purchasing Agent.

a.The Bidder Certification Cover Form shall be signed by a representative of the vendor who has the capacity to enter into contracts. The signature shall be an original signature made in ink and dated by the signatory. The signature shall affirm that:

(1)any and all information on the Bidder Certification Cover Form is true and accurate;

(2)the existence of relationship (blood, spousal, adoptive, financial, etc.) between a principal of the firm and any state employee where a conflict of interest may exist has been disclosed;

(3)that falsification of information contained on a signed Bidder Certification Cover Form may be grounds for criminal charges of perjury and that conviction of such charges may be grounds for debarment;

(4)that the vendor has reviewed, understands and accepts the General Conditions of Purchase, Part 13 of this Subchapter.

b.As a prerequisite condition for contract award, the Purchasing Agent may require any bidder to complete a Bidder Certification Cover Form and/or submit current certifications of financial responsibility, affirmative action compliance, drug-free and barrier free environment, and status as small, Veteran-owned and/or a small disadvantaged business as defined in § 4.3(C) of this Subchapter.

C.Pursuant to R.I. Gen. Laws § 37-2-18(h), the contract shall be awarded with reasonable promptness by written notice to the responsive and responsible bidder whose bid is either the lowest bid price or lowest evaluated or responsive bid price.

1.Awards shall be made within sixty (60) days of the bid opening unless expressly provided for to the contrary in the solicitation. Bids may not be withdrawn during this period without penalty without the express permission of the Purchasing Agent.

2.In accordance with R.I. Gen. Laws Chapter 37-14.1 the Purchasing Agent may, after considering the overall cost to the state prior to making a final determination of award, apply special consideration to the offers of minority business enterprises when:

a.the solicitation provides for such consideration;

b.the offer is fully responsive to the terms and conditions of the solicitation; and

c.the price offer made by the MBE is determined to be within a competitive range (not to exceed five percent (5%) higher than the lowest responsive price offer) for the product or service; and

d.the firm making the offer conforms to the definition of a minority business enterprise as set forth in Part 4 of this Subchapter (Vendor Qualification).

D.In accordance with the provisions of R.I. Gen. Laws §§ 37-14.1-7 ten percent (10%) of the dollar value of the work performed against contracts for construction exceeding five thousand dollars ($5000) shall be performed by Minority Business Enterprises where it has been determined that subcontract opportunities exist, and where certified MBE contractors are available.

1.Award of such contracts shall be subject to approval by the Director of Administration, based on the bidder's subcontracting plan. Such plan shall be submitted to the Director of Administration prior to or upon tentative notification of award by the Purchasing Agent.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-5 § 5.13 Bids Governing Highway and Bridge Construction Projects

A.All proposals submitted in response to Rhode Island Department of Transportation solicitations for FHWA funded highway or bridge construction project shall include duplicate original compact disks (CD).

B.All bid proposals shall be opened publicly.

C.The Division of Purchases shall acknowledge, in the purchasing bid room, the submission by each bidder of both a paper copy of its proposal together with duplicate (2) copies of the proposal on electronic compact disks (CD) which shall be compatible with software required by the Rhode Island Department of Transportation pursuant to Part 12 of this Subchapter.

D.If the software program utilized by the Rhode Island Department of Transportation in accordance with Part 12 of this Subchapter is inoperable during the bid opening, then the Division of Purchases may read the bid price from the submitted hard copy and make the electronic version available for public inspection when the software program is online and properly functioning. Alternatively, the Purchasing Agent or his or her designee may document all proposals received and continue a bid opening for a date and time when the software is online and functioning. An addendum shall be posted for public viewing on the Rhode Island Vendor Information Program indicating the date and time for continuation of the bid opening.

E.All bids received at the initial bid opening shall be securely held within the Division of Purchases and no additional proposals, documents, or amendments thereto will be accepted by the Division of Purchases. The Division of Purchases shall not modify or amend a solicitation once bid opening has commenced.

F.An abstract copy of all responsive bid proposals which includes itemized pricing and total summary shall be posted for public viewing on the Rhode Island Vendor Information Program by the close of business on the day of bid opening.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2012-01-02 to 11/28/2019
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2012-01-02 to 01/02/2012
• Amendment — effective from 2012-01-02 to 01/02/2012
• Technical Revision — effective from 2011-07-11 to 01/02/2012

220-RICR-30-00-6 Negotiation

220-RICR-30-00-6 § 6.1 General Provisions

A.Definitions

1."Negotiation" means contracting by the provisions set forth in R.I. Gen. Laws §§ 37-2-19, 37-2-20, and 37-2-21. These sections refer to competitive negotiation, noncompetitive negotiation, and sole source and emergency procurements. (R.I. Gen. Laws § 37-2-7(13))

2."Negotiation" means the process of establishing contractual provisions and of gaining contractual acceptance, other than solely as the result of normal competitive sealed bidding (described in Part 5). For the purpose of this definition, four (4) distinct categories of negotiation shall be recognized:

a.“Request for proposals” or “RFP” process means a competitive procurement similar to competitive sealed bidding and described in § 5.11(D) where proposals are evaluated based on technical and cost factors and not just cost alone.

b."Competitive negotiation" means a specialized bidding procedure characterized by modifications to the offers of at least two (2) vendors and/or alteration of the specifications for which, or the terms and conditions under which, the State has solicited offers.

c."Noncompetitive negotiation" means the establishment of contractual terms and conditions, including but not limited to contract price, by discussions with a single vendor, outside of the procedures established for competitive bidding.

d.“Best and final offer” or “BAFO” means the process outlined in § 6.3(D) for vendors to submit their best offer based on requirements in final form.

B.The objective of negotiation shall be to secure advantageous terms and conditions, and/or to exact improvements in terms and conditions offered to the State, and/or to reduce potential cost to the State.

C.Negotiation shall be used to establish or modify contractual provisions in all cases where:

1.Responsive firm, fixed pricing is not the sole determinant for award;

2.Responses to competitive bidding suggest that lower pricing, or other improvements in offers, are achievable;

3.Single or sole source procurements are made;

4.Responses to Requests for Proposal do not permit effective comparison, due to the differing nature of the responses;

5.The scope of a contract changes during the performance period, such that modification of price, or of other provisions, may be called for; or

6.The Purchasing Agent has determined in writing that a product, or the market in which a product is sold, is noncompetitive in nature.

D.Delegation means Chief Purchasing Officer may delegate authority for directing and negotiating change orders for highway and air transportation construction contracts to the Director of Transportation. Such delegation shall be in accordance with specific limitations defined by the Chief Purchasing Officer.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.2 Competitive Negotiation

A.Applicability of R.I. Gen. Laws § 37-2-19(a) When, under Regulations issued by the Chief Purchasing Officer, the Purchasing Agent determines in writing that the use of competitive sealed bidding is not practicable, and except as provided in R.I. Gen. Laws §§ 37-2- 21 and 37-2-22, a contract may be awarded by competitive negotiation. (See Exceptions to Competitive Bidding Requirements.)

B.Under R.I. Gen. Laws § 37-2-19(c), contracts may be competitively negotiated when it is determined in writing by the Purchasing Agent that the bid prices received by competitive sealed bidding either are unreasonable as to all or part of the requirements, or were not independently reached in open competition, and for which:

1.Each competitive bidder has been notified of the intention to negotiate and is given reasonable opportunity to negotiate; and

2.The negotiated price is lower than the lowest rejected bid by any competitive bidder; and

3.The negotiated price is the lowest negotiated price offered by a competitive offeror.

4."Competitive bidder/offeror" shall mean responsible bidder or offeror.

C.Competitive negotiation may be used in any case where the scope, term, or other requirements of the procurement has not been determined at the time that a requisition is issued, or where optional offers are desired and encouraged, or where the value of the procurement has not been definitively established.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.3 Procedures

A.Request for Proposal

1.In accordance with R.I. Gen. Laws § 37-2-19(b), adequate public notice of the request for proposals shall be given in the same manner as provided for Competitive Sealed Bidding.

2.Requests shall describe and enumerate the item(s) covered, their specification(s), contract terms(s), and any other special provisions or requirements.

a.In accordance with R.I. Gen. Laws § 37-2-19(c), the request for proposals shall indicate the relative importance of price and other evaluation factors.

3.At a public opening of responses to RFPs, the Division of Purchases shall not be required to reveal other than the names of those responding. In the best interests of the State and in accordance with the State’s Access to Public Records Act, R.I. Gen. Laws § 38-2-1 et seq., the Purchasing Agent may disclose the proposals and/or formal rationale for tentative selection at or after the time of tentative selection of a vendor(s).

B.Review and Discussion

1.In accordance with R.I. Gen. Laws § 37-2-19(d), in the event an award is not made based on the submitted proposals, written or oral discussion shall be conducted with all responsible offerors who submit proposals determined in writing to be reasonably susceptible of being selected for award. Discussions shall not disclose any information derived from proposals submitted by competing offerors. Discussions need not be conducted:

a.With respect to prices, where such prices are fixed by law or Regulation, except that consideration shall be given to competitive terms and conditions; or

b.Where time of delivery or performance will not permit discussions; or

c.Where it can be clearly demonstrated and documented from the existence of adequate competition or accurate prior cost experience with the particular supply, service, or construction item, that acceptance of an initial offer without discussion would result in fair and reasonable prices, and the request for proposals notifies all offerors of the possibility that award may be made on the basis of the initial offers.

2.Responsibility of bidders shall be determined in accordance with § 5.12 of this Subchapter.

3.Responses to the Request for Proposal shall be evaluated:

a.To determine non-responsive offers, which shall be eliminated from further consideration,

b.To determine the lowest-cost combination of options, terms, and conditions, establishing a base-line, and

c.To establish a cost ranking of responses to that base-line.

4.Under R.I. Gen. Laws § 37-2-20(b), where there is more than one (1) bidder, competitive negotiations shall be conducted with the three (3) (two (2) if there are only two (2)) bidders determined in writing to be the lowest responsive and responsible bidders to the competitive sealed bid invitation. Such competitive negotiations shall be conducted under the following restrictions:

a.If discussions pertaining to the revision of the specifications or quantities are held with any potential offeror, all other potential offerors shall be afforded an opportunity to take part in such discussions.

b.A request for proposals, based upon revised specifications or quantities, shall be issued as promptly as possible, shall provide an expeditious response to the revised requirements, and shall be awarded upon the basis of the lowest bid price or lowest evaluated bid price submitted by any responsive and responsible offeror.

c.The provisions of R.I. Gen. Laws § 37-2-20(b) may be waived in any case where the lowest-cost response is ten percent (10%) or more lower than the next lowest cost offered.

C.Under R.I. Gen. Laws § 37-2-54(b), the Chief Purchasing Officer is not prohibited from negotiating with vendors who maintain a General Service Administration price agreement with the United States of America or any agency thereof, provided, however, that no contract executed under this provision shall authorize a price higher than is contained in the contract between General Service Administration and the vendor affected.

D.Request for Best and Final Offer

1.On the basis of submitted proposals and/or discussions with offerors, a request for Best and Final Offer, which describes the requirements of the procurement in the final form, may be issued to all offerors still under consideration.

2.Each offeror shall submit a Best and Final Offer, which defines their best price, and other terms, for the procurement.

3.Best and Final Offers shall be evaluated in the same fashion as detailed herein.

a.[R.I. Gen. Laws § 37-2-19(e)] Award shall be made to the responsible offeror whose proposal is determined in writing to be the most advantageous to the State taking into consideration price and the evaluation factors set forth in the request for proposals.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.4 Noncompetitive Negotiation

A.In the event that all sealed bids submitted through a formal solicitation result in bid prices in excess of the funds available for the purchase, and the Chief Purchasing Officer determines in writing that there are no additional funds available from any source so as to permit an award to the lowest responsive and responsible bidder and the best interest of the State will not permit the delay attendant to a re-solicitation under revised specification, or for revised quantities, under competitive sealed bidding, then a negotiated award may be made as set forth in this Section. R.I. Gen. Laws § 37-2-20(a).

B.Noncompetitive negotiation may be used to improve the price offered of the evaluated lowest-cost response to any competitive bid.

C.The Chief Purchasing Officer may authorize the award of a contract on the basis of noncompetitive negotiation, where the Purchasing Agent has determined in writing that:

1.A single or sole source procurement is involved, or

2.The product, or market in which a product is sold, is noncompetitive in nature, or

3.Collusive or exclusionary selling practices are in evidence.

D.Noncompetitive negotiation may be used to modify a contract during its performance, provided that no attempt is made to reduce the contractual obligations of the supplier, vendor, or contractor, or the contract term is not extended except in response to a request by the supplier, vendor, or contractor in consideration for other substantive changes, and where such extension of term of contract is determined in writing by the Purchasing Agent to be in the best interest of the State.

E.In all negotiation, the conduct of noncompetitive negotiation including, but not limited to, issues discussed, options considered, the rationale applied to decisions made and agreements reached shall be documented in summary form and placed in the purchase order file.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.5 Truth in Negotiation Requirements – Cost or Pricing Data

A.Under R.I. Gen. Laws § 37-2-28(a), a contractor shall submit cost or pricing data and shall certify that, to the best of his knowledge and belief, the cost or pricing data submitted were accurate, complete, and current as of a mutually determined specified date prior to the date of:

1.The pricing of any negotiated contract where the total contract price is expected to exceed fifty thousand dollars ($50,000.00); or

2.The pricing of any change order or contract modification which is expected to exceed twenty-five thousand dollars ($25,000.00), or such lesser amount in either instance as may be prescribed by the Purchasing Agent and approved by the Budget Office.

B.Applicability

1.The requirements of the law apply to all purchase order supplements over twenty-five thousand dollars ($25,000.00) incorporating an aggregate of changes equal to this value, e.g., an additive charge of twenty thousand dollars ($20,000.00) and a deductive change of eleven thousand dollars ($11,000.00) are equal to an aggregate change value of thirty-one thousand dollars ($31,000.00) and thus are subject to the requirements of this Section.

2.Under R.I. Gen. Laws § 37-2-28(c), the requirements of this section need not be applied to contracts where the price negotiated is based on adequate price competition, established catalogue or market prices of commercial items sold in substantial quantities to the general public, prices set by law or Regulation, or in exceptional cases where it is determined in writing by the Chief Purchasing Officer that the requirements of this section may be waived, and the reasons for such waiver are stated in writing.

C.Cost or pricing data may include such verifiable factors as all vendor quotations, nonrecurring costs, changes in production methods and production or procurement volume, data in support of contractor projection of business prospects and objectives, together with related costs of operations, unit cost trends such as those associated with labor efficiency, make-or-buy decisions and estimated resources to attain business goals and any other management decisions which reasonably could be expected to have a significant bearing on costs under a proposed contract.

D.The requirement for submission of cost or pricing data is met when all data reasonably available to the contractor have been submitted or identified in writing at the time of agreement on price. The availability of books, records, and other documents without specific identification and explanation shall not be considered submission for the purposes of verification and agreement.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.6 Subcontracting - Requirements

A.Prime contractors shall require subcontractors to submit cost or pricing data for procurements in excess of fifty thousand dollars ($50,000.00) unless exempted herein.

B.Certification – Prime contractors shall require subcontractors to certify that cost and pricing data submitted are accurate, complete, and current as of the date of agreement on price.

C.Under R.I. Gen. Laws § 37-2-28(b), any contract, change, or modification thereto under which a certificate is required shall contain a provision that the price to the State, including profit or fee, shall be adjusted to exclude any significant sums by which the Purchasing Agent finds that such price was increased because the contractor furnished cost or pricing data, as of the date agreed upon between the parties, was inaccurate, incomplete, or not current.

D.Prime contractors must agree that the prime contract price shall be reduced in any significant amounts by which the prime contract price was overstated because a subcontractor did not submit accurate, complete, and current cost or pricing data when required by law.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-6 § 6.7 Guidelines in Negotiations

A.The purchasing official responsible for the negotiation shall prepare a written statement at the conclusion of each negotiation phase setting forth the principal elements of the price negotiation.

1.Sufficient detail shall be recorded to reflect the most significant considerations controlling the establishment of the price.

2.If cost and pricing data were not required, a statement detailing the basis for determining that the price was fair and reasonable and the extent to which the data submitted were not a factor in the price negotiated shall be recorded.

B.Contracts shall contain an audit clause which provides that if, after award, the Purchasing Agent obtains information that submitted data were inaccurate, incomplete or not current, or if the data were not adequately verified at the time of negotiation, then a post-award audit shall be undertaken.

C.Contracts shall contain to the extent possible language which provides for unit pricing for potential change orders.

D.The Division of Purchases shall conduct or shall obtain price analyses to ascertain whether the price quoted is fair and reasonable in relation to comparable procurements when the absence of open market competition precludes the use of competitive sealed bidding.

E.In the negotiation of settlements of contracts which have been terminated:

1.Contract settlement shall be made in accordance with terms specified in the purchase order.

2.In the absence of appropriate contract language, the vendor shall be paid for costs incurred, plus a reasonable profit, until the contract was terminated.

3.Penalties due to the State in accordance with a contract may be deducted from any payment to which a vendor is entitled.

F.To determine the allowability of incurred costs for the purpose of reimbursing costs under contract provisions which provide for the reimbursement of costs, reimbursements shall be made only upon the presentation of documented, auditable evidence to the State that the vendor has incurred an eligible expense.

History

• Amendment — effective from 2022-06-06 to current
• Periodic Refile — effective from 2022-01-04 to 06/06/2022
• Amendment — effective from 2019-11-28 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 11/28/2019
• Technical Revision — effective from 2011-07-11 to 07/11/2011

220-RICR-30-00-7 Supplemental Services

220-RICR-30-00-7 § 7.1 DEFINITIONS

A.In accordance with R.I. Gen. Laws § 37-2-7(26), "Architect" shall mean a person who, under the provisions of Chapter 5-1-2, by reason of his knowledge of the mathematical and physical sciences, and the principles of architecture and architectural design, acquired by professional education, practical experience, or both, is qualified to engage in the practice of architecture as attested by his licensing as an architect in this state.

1."Practice of architecture" shall mean rendering or offering to render any of those services normally provided by practicing architects. The services normally provided may include any of the following practices or professional services: advice, consultation, evaluation, site planning, aesthetic design, structural design, and the administration of construction contracts which require expert knowledge and skill in connection with the erection, enlargement, or alteration of any building or buildings, or the provision of equipment or utilities therefore, or accessories thereto, wherein the safeguarding of life, health, or property is concerned or involved also constitutes the practice of architecture.

2."Licensure" as an architect shall mean the possession of an "architect's stamp" in accordance with Chapter 5-1-1, which indicates professional certification by the Rhode Island Board of Examination and Registration of Architects.

B.In accordance with R.I. Gen. Laws § 37-2-7(26), "consultant", shall mean any person with whom the state and/or a public agency has a contract which contract provides for the person to give direction or information as regards [a] particular area of knowledge in which the person is a specialist and/or has expertise.

C.In accordance with R.I. Gen. Laws § 37-2-7(26), "Engineer", shall mean a person who, under the provisions of Chapter 5-8-2, by reason of his special knowledge and use of the mathematical, physical and engineering sciences and the principles and methods of engineering analysis and design, acquired by engineering education and engineering experience, is qualified to practice engineering, as hereinafter defined, and as attested by his registration as an engineer.

1."Practice of Engineering", in accordance with Chapter 5-8-2, shall mean any service or creative work, the adequate performance of which requires engineering education, training and experience in the application of special knowledge of the mathematical, physical and engineering sciences to such services or creative work as consultation, investigation, evaluation surveys, planning and design of engineering systems, and the supervision of construction for the purpose of assuring compliance with specifications; and embracing those services or work in connection with any public or private utilities, structures, buildings, machines, equipment, processes, work, or projects wherein the public welfare or the safeguarding of life, health, or property is involved or concerned, and including such architectural work as is incidental to the practice of engineering.

2."Professional Engineer" shall mean a person who has been duly registered and licensed by the state Board of Registration for Professional Engineers and Land Surveyors.

D."A Professional Service Provider" shall mean an independent contractor who is a specialist and/or has the expertise, as demonstrated by professional licensing or certification and experience, necessary to carry out tasks regarding that particular field of expertise.

1."Professional service products" shall mean activities which directly implement programs established by state officials.1. Replace this text with Paragraph 2 (subsection of Paragraph 1)

2.Professional services shall be characterized by specific activities and/or the attainment of measurable outcomes.

3.Examples of professional services include: (1) client services (medical treatments, hospital staff coverage, counseling, therapy, individual rehabilitation plans), (2) legal representation in litigation and administrative advice (interpretation of law, contracts, etc.), (3) computer programming, (4) education (training, teaching), (5) construction management, and arbitration.

4."Special services" shall mean services which the state deems necessary or desirable to purchase provided by individuals or firms possessing special knowledge or skills for which formal licensing or certification is not necessarily required. Examples of special services include: (1) expert witness testimony, (2) art, music, and dance, (3) interpretation (languages, deaf), (4) public information (drug and alcohol abuse), and (5) training (foster parenting).

5."Personal services" shall mean services provided by persons who are paid directly by the state but are not on the state payroll. Personal services may consist of the following relationships:

a.According to R.I. Gen. Laws. § 37-2-7(10), "Employee" shall mean an individual drawing a salary from a governmental body or public agency, whether elected or not, and any non-salaried individual performing personal services for any governmental body or public agency.

b.A "leased employee" shall mean a person hired through a contract with an agency which is responsible for paying all salary and benefits compensation to which the individual is entitled. Leased employees would usually be temporary replacements for, or supplements to, the existing workforce provided on an as needed basis.

c.An "employee contractor" shall mean a person on a state or public agency payroll who has been employed by a state agency in an advisory capacity. (An example of such employment would be URI professors employed by MHRH to develop policy analyses.)

d.An "employee service contractor" shall mean a person on a state or public agency payroll who has been employed by a state agency in a service capacity. (Examples of such employment include: Court stenographers employed by DEM to provide transcripts for public hearings, MHRH staff physicians paid for hospital coverage in addition to their assigned responsibilities, RIC professors hired by DCF to provide social worker training.)

E."A Professional Consultant" shall mean an individual or a firm which is a specialist and/or has the expertise, as demonstrated by the possession of appropriate professional licensing, certification, and/or experience, necessary to give advice, direction or information regarding that particular area of knowledge.

1."Professional consultant products" shall mean advisory opinions expressed as reports, written or oral, used by state officials to render policy decisions.

2.Consultant services shall be characterized by research and analysis, recommended courses of action, identification of priorities, and unspecified outcomes.

3.Examples of professional consultations include: (1) systems analysis (computer, personnel, management review), (2) program analysis (medical program planning), and (3) policy recommendations (abandonment or adoption of programs, establishment of decision criteria).

F."Supplemental Services" shall mean all services performed in a capacity which supplements the basic staffing of state agencies.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.2 GENERAL PROVISIONS

A.User agencies shall recommend the final selection of providers of legal, medical, and dental services. Agencies shall not commit funds for proposed services prior to receiving approval of the recommended provider from the Chief Purchasing Officer or his designee.

B.The Chief Purchasing Officer may delegate to the Office of Personnel all or a portion of responsibility for evaluation of the need for supplemental services and for verification/validation of qualifications of proposed service providers.

C.The Purchasing Agent shall review proposed change orders to professional consultant contracts (other than medical, dental and legal) which are (reasonably) estimated to exceed twenty thousand dollars ($20,000) and shall determine whether such changes constitute a scope of service requiring open competition.

D.To the extent practicable, selection of supplemental service providers shall be based upon competition. The Purchasing Agent shall require that, whenever possible, a scope of services be defined in terms for which a bid or a response to a request for proposals may be solicited.

E.In accordance with the provision of R.I. Gen. Laws Chapters 5-1 and 5-8, no contract shall be awarded to a person practicing architecture or engineering who has not been professional certified by the appropriate registration boards.

F.Requirements for the selection of construction management contractors shall be the same as those for the selection of architects and engineers.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.3 PROCUREMENT PLANNING FOR SUPPLEMENTAL SERVICES

A.Annually, at a date which coincides with the development of the State Budget, user agencies shall submit to the Chief Purchasing Officer a Supplemental Service Utilization Plan.

1.Plans shall provide the following information about proposed services:

a.number of services;

b.estimated cost of each contract/relationship;

c.anticipated effective period of each relationship;

d.whether activities are ongoing or new endeavors;

e.whether the agency is proposing to continue each relationship into the next fiscal year; and

f.if an ongoing relationship, the initial date of the relationship.

2.Amendments to plans shall be submitted and approved by the Chief Purchasing Officer prior to the commitment of funds

3.Except for legal, medical, dental and special services (as defined herein), when a determination is made in writing by the Purchasing Agent that the scope of work for a professional services contract does not permit selection based upon competitive bidding or request for proposal procedures, the service shall be deemed to be of a consulting nature and subject to all requirements set forth for the selection of consultants.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.4 ARCHITECTURAL, ENGINEERING AND CONSULTANT SERVICES SELECTION COMMITTEE.

A.In accordance with R.I. Gen. Laws § 37-2-59(2) a committee shall select persons or firms to render professional consultant services other than medical, dental and legal services which are reasonably estimated to exceed twenty thousand dollars ($20,000).

1.The State Architectural, Engineering and Consultant Services Selection Committee (Committee) shall consist of the following individuals: (1) the Chief Purchasing Officer or his designee, who shall be chairman of the Committee, (2) a representative of the user agency, and (3) a public member, who shall be appointed by the Governor to represent the interests of the general public and whose term shall be concurrent with that of the Governor. The Public member shall be paid twenty-five dollars ($25.00) for each meeting attended, not to exceed one thousand two hundred dollars ($1,200) annually.

2.A quorum shall require the presence of the entire membership of the Committee and must be present to conduct business.

3.The Committee may utilize the services of such other persons it deems necessary to provide technical advice in evaluating consultant proposals.

a.Such technical advisors shall not be considered members of the Committee and shall not be entitled to vote on the selection of candidates to be recommended for consideration by the Chief Purchasing Officer.

b.Technical advisors shall not be entitled to payment for their services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.5 SUPPLEMENTAL SERVICES NOT EXCEEDING $5000.

A.The Chief Purchasing Officer may delegate authority for selection of supplemental service providers to agency chief executives when the total annual (fiscal year) value of any such relationship does not exceed five thousand dollars ($5,000).

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.6 ARCHITECTURAL, ENGINEERING AND CONSULTANT SERVICES SELECTION PROCESS FOR SERVICES NOT EXCEEDING $20,000.

A.When a professional consultant contract is estimated (reasonably) to be between five thousand dollars ($5000) and twenty thousand dollars ($20,000) the Purchasing Agent may establish a technical review committee in conjunction with the user agency to evaluate the qualifications of potential suppliers. Membership shall be determined on a case by case basis. The technical committee shall recommend no more than three candidates to the Purchasing Agent, who shall forward his recommendations to the Chief Purchasing Officer.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.7 ARCHITECTURAL, ENGINEERING AND CONSULTANT SERVICES SELECTION PROCESS FOR SERVICES EXCEEDING $20,000

A.Solicitation

1.Public Announcement pursuant to R.I. Gen. Laws § 37-2-60. The Chief Purchasing Officer shall give public notice of the need for professional architectural, engineering or consultant services.

2.Such notice shall be published sufficiently in advance of the date when responses must be received in order that interested parties have an adequate opportunity to submit a statement of qualifications and performance data.

3.The notice shall: (1) contain a brief statement of the services required, (2) describe the project, (3) specify how specific information on the project may be obtained and, (4) be published in a newspaper of general circulation in the state and in such other publications as in the judgment of the Committee shall be desirable.

4.Under R.I. Gen. Laws § 37-2-61, The solicitation shall describe the state's requirements and set forth evaluation criteria for the selection of the successful candidate and shall be distributed to interested persons.

B.A bidder's conference shall be held at which the following shall be provided: (1) a description of the criteria to be used in evaluating a bidder's statement of qualification and performance data for the purpose of selecting a firm, (2) a discussion and further definition of the scope of work and (3) an on-site review, if appropriate.

C.R.I. Gen. Laws § 37-2-63, requires that the Committee shall select no more than three (3) firms evaluated as being professionally and technically qualified.

D.Under R.I. Gen. Laws § 37-2-63,The firms selected, if still interested in providing the services, shall make a representative available to the Chief Purchasing Officer at such time and place as he shall determine, to provide such further information as he may require.

E.Under R.I. Gen. Laws § 37-2-62, The Chief Purchasing Officer, or his designee shall negotiate with the highest qualified firm for a contract for architectural[,] engineering, or consultant services for state departments and agencies at [a level of] compensation which he determines to be fair and reasonable. In making such determination, the Chief Purchasing Officer shall take into account the following: professional competence, technical merits, and price.

F.Final Selection - In accordance with R.I. Gen. Laws § 37-2-63,the Chief Purchasing Officer shall be responsible for the final selection and shall so inform the user agency, the Division of Purchasing, and the Division of Budget.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.8 EVALUATION FOR SELECTION

A.Criteria for evaluation of candidates for supplemental services shall include, but shall not be limited to:

1.Competence to perform the services as reflected by technical training and education, general experience, experience in providing the required services, and the qualifications and competence of persons who would be assigned to perform the services;

2.Ability to perform the services as reflected by workload and availability of adequate personnel, equipment, and facilities to perform the services expeditiously;

3.Past performance as reflected by the evaluation of private persons and officials of other governmental entities which have retained the services of the firm with respect to such factors as control of costs, quality of work, and ability to meet deadlines; and

4.In the case of consultant services, the vendor's proposed approach to the project/assignment shall be an additional criterion.

B.The Committee shall evaluate the following in light of the criteria set forth in the solicitation: statements submitted in response to the solicitation of consultant services and other required statements of qualifications and performance data.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-7 § 7.9 REQUIREMENTS FOR OTHER SUPPLEMENTAL SERVICES

A.Independent Auditing

1.In accordance with R.I. Gen. Laws § 37-2-59(3) independent auditing shall be subject to the provision of R.I. Gen. Laws §22-13-6,which requires that the Auditor General shall review and approve the proposed scope of services for an independent audit and the firm selected to conduct the audit.

2.Requisitions for independent audit services shall be submitted to the Office of Purchases with written verification of the Auditor General's approval of the proposed purchase of services. Copies of correspondence from the Auditor General to the Agency shall be considered sufficient authorization to proceed.

3.Contract amendments which increase the original approved scope of work shall also require the Auditor General's authorization.

B.Legal, Medical and Dental Services

1.In accordance with R.I. Gen. Laws § 37-2-69 and R.I. Gen. Laws § 37-2-71, prior to procuring the services of an attorney, physician or dentist user agencies must provide to the Chief Purchasing Officer the following:

a.Justifications for need - which may include, but need not be limited to, consideration of: (1) legal mandates/court orders or consent decrees, (2) licensing/certification requirements, (3) health and safety concerns, (4) minimum standards of service and (5) union workload agreements.

b.Presentations shall include copies of relevant laws, standards or other citations used for justification.

c.The scope of services shall describe the time period for the proposed contract and services or outcomes (tasks, reports, or other products).

d.Presentations shall indicate whether the proposed contracted work involves supplemental functions or is for temporary staff coverage.

e.If such services are proposed to be provided on a supplemental basis by employees of the same or other state entities, the presentation shall indicate whether the services are in addition to, or an extension of, the employees' normal duties.

2.Demonstration to the satisfaction of the Chief Purchasing Officer that professionals meet minimum requirements may be accomplished using the following:

a.User agencies may obtain annual verification of the status of an attorney(s) from the Supreme Court listing of members of the Rhode Island Bar.

b.User agencies may obtain annual verification of the status of medical doctors and medical professionals from the Department of Health.

c.The Chief Purchasing Officer may delegate authority to determine the appropriateness of qualifications to agency chief executives subject to the following: (1) such delegation shall be at the request of and justified by the chief executive of the agency, (2) a complete description of the evaluation procedure is provided, (3) and the names, qualifications and official capacity of the persons participating in the evaluation process or as members of professional review boards are provided.

3.Under R.I. Gen. Laws § 37-2-70, Professional services -- Legal -- State.-- Before a state department procures the services of an attorney, it shall demonstrate to the satisfaction of the chief purchasing officer the following:

a.The need for the services required including the scope of the services to be performed;

b.That no legal personnel employed by the state on a full-time basis is available to perform such services;

c.That funding is available, indicating from which sources such funding is to be provided;

d.That attorneys to be engaged meeting the following minimum requirements: (a) appropriate professional licensing and, (b) competence to perform such services as reflected by formal training and education, general experience and experience in providing the required services and the qualifications and competence of persons who would be assigned to perform the services, and (c) ability to perform the services as reflected by workload and availability of adequate personnel, equipment and facilities to perform the services expeditiously.

4.The attorney shall enter into a letter of engagement with the state. The letter of engagement shall state the rate of compensation, the scope of the services to be performed for the compensation and provision for the payment of expenses incurred in connection with legal services. The letter of engagement shall certify that the rate of compensation does not exceed the rate of compensation charged by counsel to his/her preferred public or private clients. A letter of engagement shall not be for more than one (1) year.

5.Under R.I. Gen. Laws § 37-2-72, Professional services -- Medical and dental services. -- Before a state department, board or commission or a public agency procures the services of a physician or dentist, it shall demonstrate to the satisfaction of the chief purchasing officer the following:

a.For Medical/Dental Consultant Services:

(1)The need for the services required including the scope of the services to be performed:

(2)That no medical/dental personnel employed by the state on a full-time basis is available to perform such services:

(3)That funding is available, indicating from which sources such funding is to be provided;

(4)That medical/dental consultants to be engaged meet the following minimum requirements: (a) appropriate professional license or certification and (b) competence to perform such services as reflected by formal training and education, general experience and experience in providing the required services.

b.For medical/dental services where such services are readily defined and the required services are clearly defined:

(1)The need for such services, including the detailed scope of work, to be performed;

(2)That no full-time state employee(s) is/are available to perform such services;

(3)That funding is available, indicating from which sources such] funding is to be provided;

(4)That such medical/dental service providers meet the following minimum requirements: (a) possess appropriate professional Rhode Island licenses and certifications and (b) competence to perform such services as reflected by formal training and education, general experience and expertise in providing the required services

c.For medical/dental services, or for temporary services, generally definable over a definite period of time but on an as needed basis to provide coverage for full-time state employees (doctors, dentists, nurses, etc.) during their absence. Such procurements for those services shall be obtained through the use of a blanket-type contract arrangement. Requesting agencies shall provide to Purchasing Division fully authorized, funded and described requirement via a blanket-type purchase requisition. Requesting agencies shall provide to the satisfaction of the chief purchasing officer or his designee the following:

(1)Rationale that such services are required; and

(2)certification that medical/dental personnel to be employed possess the appropriate state license or certification, competence to perform such services as reflected by formal training, education and experience in providing the required service.

d.Nothing in this law shall prohibit nor shall anything in this law be interpreted to prohibit appropriate action by the director or his designee to provide needed medical services whether on a regular or emergency basis.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-8 Contracts

220-RICR-30-00-8 § 8.1 Definitions

A."Change order" shall mean a written authorization signed by the purchasing agent directing or allowing the contractor to proceed with changes, alterations, or modifications to the terms, conditions, or scope of work on a previously awarded contract. See, R.I Gen. Laws §§ 37-2-7(2) and 37-2-7(7).

B.In Accordance with R.I. Gen. Laws § 37-2-7(5), "Contract" shall mean all types of agreements, including grants and orders, for the purchase or disposal of supplies, services, construction, or any other items. It shall include awards, contracts of a fixed price, cost, cost-plus-a-fixed-fee, or incentive type; contracts providing for the issuance of job or task orders, leases, letter contracts, purchase orders and construction management contracts. It also includes supplemental agreements with respect to any of the foregoing. With respect to the procurement regulations set forth herein, "contract" shall not apply to labor contracts with employees of state agencies.

C.In Accordance with R.I. Gen. Laws § 37-2-7(6),"Contract Modification" shall mean any written alteration in the specifications, delivery point, rate of delivery, contract period, price, quantity, or other contract provisions of any existing contract, whether accomplished by unilateral action in accordance with a contract provision, or by mutual action of the parties to the contract. It shall include bilateral actions, such as change orders, administrative changes, notices of termination, and notices of the exercise of a contract option.

D."Contract Addendum" shall mean an alteration in the terms and/or scope of an agreement accomplished by mutual action of the parties, permissible under emergency purchases, construction work, sole source procurement, and otherwise where competition is not required.

E.In Accordance with R.I. Gen. Laws § 37-2-7(7), "Contractor" shall mean any person having a contract with a governmental body.

F.An "independent contractor" shall mean a person (individual or firm) who, in various degrees and/or combinations:

1.is available to the general public on a regular and consistent basis; and

2.is free to work when and for whom he/she pleases; and

3.is employed by more than one person or company at a time; and

4.makes a significant investment in facilities not typically maintained by an employee; and

5.can realize a profit or loss as a result of providing services or products.

G."Cost-reimbursement contract" shall mean a contract under which the state reimburses the contractor for those contract costs, within a stated ceiling, which are allowable and allocable in accordance with cost principles established by the Chief Purchasing Officer herein, and a fixed fee.

H."Prime contractor" shall mean a contractor who engages subcontractors in the course of satisfying the requirements of fulfilling a contract.

I.In accordance with R.I. Gen. Laws § 37-13-1 "Public works contract" shall mean a contract for grading, clearing, demolition, improvement, completion, repair, alteration or construction of any public road or any bridge, or portion thereof, or any public building or portion thereof, or any heavy constructions, or any public works projects of any nature or kind whatsoever.

J."Punitive Termination" shall mean termination at the discretion of the state for failure of the contractor to perform with no liability on the part of the state.

K."Renegotiation" shall mean deliberation, discussion, or conference to change or amend the terms of an existing agreement.

L."Subcontractor" shall mean any person undertaking part of the work under the terms of the contract, by virtue of an agreement with the prime contractor, who, prior to such undertaking, receives in writing the consent and approval of the state.

M.In Accordance with R.I. Gen. Laws § 37-2-7(7), "Supplemental Agreement" shall mean any contract modification which is accomplished by the mutual action of the parties.

N."Vendor" shall be defined as a person or entity who sells or supplies goods, services and or real estate for consideration.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.2 Fundamental Requirements and Principles for State Contracts

A.A contract shall mean a promise, or a set of promises, for breach of which the law gives a remedy, and the performance of which the law recognizes as a duty.

B.Under R.I. Gen. Laws § 37-2-54(3), No purchase or contract shall be binding on the state or any agency thereof unless approved by the Department [of Administration] or made under general regulations which the Chief Purchasing Officer may prescribe.

1.The terms and conditions of a valid Purchase Order and its supplements, as issued by the Office of Purchases and signed by the Purchasing agent or his designee, shall constitute the primary contractual instrument of the state.

a.Unless specifically established by law, regulation or procedures published by the Chief Purchasing Officer, no other instrument shall constitute a state purchasing contract.

b.Oral Agreements - Any alleged oral agreement or arrangements made by a bidder or contractor with any agency or an employee of the Office of Purchases may be disregarded and shall not be binding on the state.

2."Purchasing Contract Authority" shall mean the authority to act on behalf of the state to commit funds, enter into binding agreements or contracts, dispose of state property, or in any other manner control procurement or obligate the State.

a.No state agency official shall have the right (capacity) to exercise purchasing contract authority through written or oral agreements or contracts or, in any other way, financially or otherwise obligate the State without the express written consent of the Chief Purchasing Officer.

b.No state agency may place orders or negotiate with suppliers or potential suppliers without the participation or express approval of the Chief Purchasing Officer.

C.Under R.I. Gen. Laws § 37-2-13(4), No state purchasing regulation shall change in any way a contract commitment by the state nor of a contractor to the state which was in existence on the effective date of the regulation.

D.Under R.I. Gen. Laws § 37-2-13(5), The provisions of state purchasing regulations shall be considered to be incorporated by operation of law in all state contracts.

E.Under R.I. Gen. Laws § 37-2-13(6), Contract provisions and contracts entered into in violation of state purchasing regulations shall be void "ab initio" [from inception].

F.Supplemental Principles of Law - Obligation of Good Faith.

1.Under R.I. Gen. Laws § 37-2-3(1) Unless displaced by the particular provisions of this chapter the principles of law and equity, including the uniform commercial code, the law merchant, and the law of contracts, including, but not limited to, agency, fraud, misrepresentation, duress, coercion, mistake, and bankruptcy, shall supplement these provisions.

2.Under R.I. Gen. Laws § 37-2-3(2), Every contract or duty under this chapter shall impose upon both parts the obligation of good faith in its performance and/or enforcement. "Good faith" shall mean honesty in fact in the conduct or transaction concerned and the observance of reasonable commercial standards of fair dealing.

G.In accordance with R.I. Gen. Laws § 37-2-9(p), contractors must comply with state and federal Equal Opportunity requirements for all contracts for supplies and services exceeding ten thousand dollars ($10,000). Failure to comply will be considered a substantial breach of contract subject to penalties prescribed in regulations issued and administered by the State Equal Opportunity Office and set forth herein.

H.Under R.I. Gen. Laws § 37-2-41, Contractor's Bonds. - The provisions of R.I. Gen. Laws Chapter 37-12 shall apply to all construction contracts awarded under this chapter.

1."Performance Bond" shall mean a contract of guaranty executed subsequent to award by a successful bidder to protect the state from loss due to contractor inability to complete a contract.

2.R.I. Gen. Laws Chapter 37-12 requires that every person awarded a public works contract shall furnish to the state good and sufficient surety (performance bond) not less than fifty percent (50%) and not more than one hundred percent (100%) of the contract price conditioned that the contractor, principal in said bond, the person's executors, administrators or successors, shall keep and perform the covenants, conditions and agreements in the contract. However, provided that good cause is shown, the Director of the Department of Administration may waive the requirements for contracts not in excess of fifty thousand dollars ($50,000).

3.In accordance with R.I. Gen. Laws § 37-13-14 a contractor's performance bond required for contracts exceeding one thousand dollars ($1000) under R.I. Gen. Laws Chapter 37-12 must be furnished by a surety company authorized to do business in the state.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.3 General Characteristics of State Contracts

A.General Terms and Conditions - The Office of Purchases shall develop and make available to potential suppliers and state officials a document stating the general terms and conditions applicable to all quotations and state purchasing contracts. The General Terms and Conditions shall be referenced and made a part of all solicitations for proposals and quotations; all state purchase orders, contracts, and letters of authorization; and bidder registration documentation and provide notice to bidders that contract award may be subject to the bidder signing an affirmation (certification) regarding certain legal requirements or restrictions relating to foreign corporations, disadvantaged business enterprises, labor rates, local product preference, etc., as required by the Purchasing Agent.

B.When a contract has been entered into between the state and another party, neither party shall have the legal right to add new terms or conditions without the consent of the other, unless the contract so specifies.

C.All contract pricing shall be firm and fixed unless contract language provides for reconsideration.

D.Issuance of purchase orders shall not be made on the basis of "advise pricing" (or "pricing to be determined") agreements. All commitments shall be on the basis of estimated prices with a "not to exceed" maximum authorization when firm, fixed pricing agreements are not possible.

E.Changes in scope, price, and length of contract period shall require contract amendments which are specified in writing.

1.Unanticipated changes may be considered with the express consent of both parties.

2.The issuance of a Purchase Change Order in accordance with the provisions of the contract and other requirements specified herein shall be considered a binding contract.

F.Termination - As appropriate, state contracts shall include clauses which address special conditions/procedures for termination of contract not contained in the state's General Terms and Conditions; e.g., provisions for penalties or forfeitures for contract noncompliance may be included; a convenience termination clause which permits the state to terminate, at its own discretion, the performance of work in whole or in part, and to make a settlement of the vendor's claims in accordance with appropriate regulations and applicable contractual conditions.

G.Mutual Agreement - The agreement shall consist of an offer by one party, called the offeror, and an acceptance by the other party, called the state.

1.When a purchase order is issued which does not differ from the bid submitted by an offeror, mutuality shall be assumed.

2.In accordance with the General Terms and Conditions which notify offerors that the Purchasing Agent reserves the right to make partial bid awards, mutuality shall be assumed when a purchase order does not differ from the elements of a bid submitted by an offeror.

3.Any offer, whether in response to a solicitation for proposals or bids, or made without a solicitation, which is accepted in the form of an order made by the Purchasing Agent, or a state official with purchasing authority delegated by the Purchasing Agent, shall be considered a binding contract.

H.Consideration - Although consideration to support a contract may assume other forms, generally it shall mean the agreement to pay a sum of money for the delivery of the desired item or services rendered. It shall not be essential that the consideration be of a substantial consequence, but shall have some value. Compensation shall be specified and shall include but not be limited to:

1.terms of payment for partial delivery or completion;

2.unit of cost (hourly rate, per report rate), if appropriate;

3.frequency/conditions for payment - weekly, monthly, upon completion of percentage of work, etc.; and

4.retainage, when appropriate.

I.Capacity of Parties - The contracting parties shall have the legal authority to enter into contracts.

J.Competence of Parties - The contracting parties shall be of legal age and of sound mind.

K.Length of contract period shall be specified.

L.A state official (or position) from whom the contractor shall obtain direction shall be named and/or a format for written authorization to deliver (e.g., request for delivery form for master pricing agreement) shall be specified.

M.Public Works/Construction Contracts shall provide for the following additional considerations:

1.Certificates of insurance to protect the general public or state property from injury or loss arising from actions or inaction of the contractor during the progress of a contract.

2.Each contractor shall be responsible for providing satisfactory evidence of complete coverage of all insurances, permits, and licenses required by state, city or town statutes, ordinances, and/or regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.4 The Purchase Order Contract

A."Purchase Order" shall mean a document issued by the Purchasing Agent to formalize a purchase transaction with a vendor. The purchase order shall contain statements as to the quantity, description, and price of the goods or services ordered, applicable terms as to payment, discounts, date of performance, transportation, and other factors or suitable references pertinent to the purchase and execution by the vendor. Purchase orders shall include blanket orders, master pricing agreements, and utility purchase orders.

B.The entire agreement with the vendor shall, at all times, reside solely in the purchase order and its referenced supplements.

C.Purchase Order Supplements shall consist of all of the following documents:

1.The state's General Terms and Conditions;

2.The state's request for quotations or proposals, including specifications;

3.The contractor's offer which is responsive to the solicitation; and/or

4.As appropriate, additional contract provisions, as necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.5 Multi-Year Contracts

A.Under R.I. Gen. Laws § 37-2-33(1), Unless otherwise provided in the statute making appropriations therefore, multi-year contracts for supplies and services may be entered into for periods not extending beyond the end of the biennium in which the contract was made, if funds for the first fiscal year of the contemplated contract are available at the time of contracting. Payment and performance obligations for succeeding fiscal years shall be subject to the availability of funds therefore.

1."Biennium" shall mean a period of time equal to two fiscal years.

2."Fiscal year" shall mean a period of time beginning on the first day of July in one calendar year and ending on the last day of June of the subsequent calendar year.

3.Multi-year contracts which extend beyond a biennium shall be permitted provided that:

a.funds for the first year of the biennium have been appropriated; and

b.contracts shall contain a standard clause which states that implementation of the contract beyond the first fiscal year shall be subject to the availability of funds; and

c.a written justification is placed in the purchase order file or the category of procurement has by regulation or policy been identified by the Chief Purchasing Officer as appropriate for multi-year contracting, e.g., property leases.

4.Multi-year contracts shall specify the annual costs and total value of each contract.

B.Under R.I. Gen. Laws § 37-2-33(2), Prior to the utilization of a contract as described in subsection 37-2-33(1), it shall be determined in writing by the Chief Purchasing Officer:

1.That estimated requirements cover the period of the contract and are reasonably firm and continuing; and

2.That such contract will serve the best interests of the state by encouraging effective competition or otherwise promoting economics in state procurement.

3.The Chief Purchasing Officer may delegate to the Purchasing Agent all or a portion of the responsibility and authority to make such determinations.

C.In accordance with R.I. Gen. Laws § 37-2-33(3) when funds are not appropriated or otherwise made available to support continuation of performance in a subsequent year of a [multi-year] contract, the contract for such subsequent year may be cancelled and the contractor shall be reimbursed or the reasonable value of nonrecurring costs incurred but not amortized in the price of the supplies or services delivered under the contract. The cost of cancellation may be paid from:

1.Appropriations currently available for performance of the contract; or

2.Appropriations currently available for procurement of similar supplies or services and not otherwise obligated; or

3.Appropriations made specifically for the payment of such cancellation costs.

D.Multi-year contracts shall be appropriate purchasing instruments for transactions for which the nature of the goods and services will remain relatively stable over time; and for which potential changes in price can be predicted and agreed to in advance, including provisions for mandated escalation requirements, such as:

1.Lease and lease-purchase agreements for equipment, real property, and facilities;

2.Maintenance and repair of specialized equipment;

3.Special licensing agreements (computer, communication);

4.Special services for which the contract award is based on a request for proposals, such as residential treatment programs;

5.Supplemental services, the approval of which is based upon the recommendation of the State Architectural, Engineering and Consultant Selection Committee and selection by the Chief Purchasing Officer; and

6.Any other contractual relationship where it has been determined in writing by the Chief Purchasing Officer that a long-term agreement shall be the most cost effective method of procurement.

E.User agencies shall specify on requisitions and shall submit justification whether multi-year contracts should be considered by the Purchasing Agent for the supply or service requisitioned.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.6 Letter of Authorization

A.If the Chief Purchasing Officer determines in writing that it is essential that the vendor be given a binding commitment so that work can be commenced immediately and that negotiation of a definitive contract cannot be accomplished in sufficient time, the Purchasing Agent may issue a Letter of Authorization.

B.A Letter of Authorization (LA) shall mean a written instrument binding only when signed by the Purchasing Agent, which authorizes immediate commencement of delivery of supplies or the performance of services, as set forth within the LA.

C.Such instrument shall:

1.Represent a preliminary authorization subject to the subsequent issuance of a Purchase Order.

2.Be superseded by a definitive contract at the earliest practicable date not later than the greater the expiration of 180 days from the date of the LA or delivery of 40% of the contract.

3.Be specifically negotiated and address the following contractual requirements that:

a.the vendor will proceed immediately with performance of the LA, including procurement of necessary materials; and

b.specifies the extent and method of payments in the event of termination for the convenience of the state or for default; and

c.the vendor is not authorized to expend monies or incur obligations in excess of the maximum liability of the state as set forth in the LA;

d.specifies the type of definitive contract contemplated; and

e.as many definitive contract provisions as possible; and

f.requires the vendor to provide such price and cost information as may reasonably be required by the state; and

g.the vendor and the state enter into negotiations promptly and in good faith to reach agreement and execute a definitive contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.7 Changes to Purchase Orders

A.All agreements and changes to scope of work, price, or other terms shall be incorporated into purchase orders via "change order" documents incorporating contract amendments.

B.Change Orders issued by the Office of Purchases shall be the only binding documents which may create a change in a purchase order.

C.Personnel shall not commit the state to technical/contractual changes to purchase orders without first securing all necessary approvals.

D.All discussions of potential changes (oral or written) may be disclaimed as not being binding on the supplier or the state until formally incorporated in the purchase order.

E.In general, change orders shall be issued by the Office of Purchases following receipt of quotations and discussions of price and delivery with the supplier. If circumstances preclude immediate issuance of a formal change order, interim direction to the supplier may be made via a letter of authorization signed by the Purchasing Agent.

F.Any request for retroactive approval of a change order valued at less than one hundred thousand dollars ($100,000) must be submitted to and approved by the Purchasing Agent. Any request for retroactive approval of a change order valued at more than one hundred thousand dollars ($100,000) must be submitted to and approved by the Chief Purchasing-Officer.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.8 Termination and Cancellation Of Contract

A.If required bidder certifications are determined to be invalid, the Purchasing Agent shall declare the purchase order void.

B.Notice of termination by either party shall be submitted in writing to the other party in accordance with the termination clause of the contract.

C.Cancellation of a Contract by the State

1.Cancellations of Purchase Order Contracts or Master Pricing Agreements shall require the signature of the Purchasing Agent or his designee.

2.A contract may be cancelled or annulled at the contractor's expense upon determination by the Purchasing agent that a condition of nonperformance exists.

3."Nonperformance" shall mean lack of compliance with the contract specifications and/or terms and conditions.

4.Cancellation by the Purchasing Agent for nonperformance shall be subject to the following rules:

a.A formal complaint of nonperformance or unsatisfactory performance shall be submitted by an authorized state official to the Purchasing Agent. Such complaint shall provide a description of and justification for the complaint.

b.The Purchasing Agent shall direct the complaint to the Standards and Inspection Unit (SIU) of the Office of Purchases.

c.The SIU inspector, in conjunction with the Office of Purchases official (buyer) responsible for the contract, shall be authorized to attempt to resolve the problem to the satisfaction of the user agency.

d.The inspector and buyer shall report in writing to the Purchasing Agent whether the problem requires formal action, and if the problem has not been resolved, the Purchasing Agent shall notify the contractor in writing that he/she is not in compliance with the contract. Such notice of nonperformance shall:

(1)specify the nature of the complaint,

(2)direct the contractor to take corrective action,

(3)direct the contractor to respond in writing to the notice of nonperformance within a specified time period, and

(4)notify the contractor that failure to respond as directed may result in cancellation of the order.

5.If a contractor fails to take corrective action and/or respond to a notice of nonperformance, the Purchasing Agent may issue a change order canceling the contract.

6.If, after reviewing the contractor's response, the Purchasing Agent determines that the contractor is not out of compliance with the contract requirements, he shall so notify the user agency and the contractor in writing, providing a rationale for his decision.

7.If the Purchasing Agent determines that valid extenuating circumstances out of the control of the contractor have prevented compliance with the contract requirements, he shall so inform the user agency and may amend the contract to provide for a reasonable opportunity for the vendor to perform the contract, if necessary.

8.If the Purchasing Agent believes that a contractor's action or lack thereof presents a clear and immediate danger to the public interest, he may request in writing that the Chief Purchasing Officer authorize immediate termination of the contractual relationship.

9.Copies of all communications with a contractor regarding nonperformance shall be sent to the contractor's bonding company, power of attorney and the Department of Administration legal counsel.

10.If the Purchasing Agent determines that a contractor is unwilling or unable to perform a contract, he shall:

a.direct the contractor's bonding company to assume responsibility for the performance of the contract if a performance bond has been issued; and

b.so notify the user agency and contractor; and

c.notify the contractor whether he/she has been temporarily suspended or permanently debarred from the state Bidders List and shall be responsible for any costs incurred by the state in the completion of the contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.9 Types of Purchase Order Contracts

A.Fixed Price (FP)

1.The Firm Fixed Price (FFP) contract shall mean one which provides for a price which is not subject to any adjustment by reason of the seller's cost experience in the performance of the contract. This type of contract should be used when the price is based on credible cost data for the completion of the order.

2.The Fixed Price with Economic Price Adjustment (FP W/EPA) contract shall mean one which provides for the upward or downward revision of the stated price upon the occurrence of certain economic conditions which are specifically defined in the contract. These conditions are limited to those beyond the control of the seller.

3.A Fixed Price Redeterminable (FPR) contract shall mean one which permits reconsideration of price at a stated time after contract initiation when the only supplier capable of performing a job cannot quote a fixed price with full assurance that it will be fair and reasonable.

4.The Fixed Price Incentive (FPI) contract shall mean one which provides for the adjustment of profit (fee) and price according to a sharing arrangement based on the relationship which final negotiated total cost bears to the negotiated target cost.

B.Cost Reimbursement

1.A Cost No Fee (CNF) contract shall mean one under which the seller receives no fee.

2.A Cost Sharing (CS) contract shall mean one under which the seller not only receives no fee but is reimbursed for only an agreed upon portion of its allowable costs.

3.A Cost Plus Fixed Fee (CPFF) contract shall mean one which provides for the payment of a fixed fee to the seller. The fixed fee negotiated does not vary with actual cost, but may be adjusted as a result of any subsequent changes in the work or service to be performed under the purchase order.

4.A Cost Plus Incentive Fee (CPIF) contract shall mean one which provides for a fee which is adjusted by formula in accordance with the relationship which total allowable costs bear to target costs, a target fee, a minimum and maximum fee, and a fee adjustment formula. Upon completion of the order, the fee is determined in accordance with the established formula as an incentive for performance efficiency; however, there is no ceiling price specified and the seller is under no obligation to complete the order once the funds obligated have been exhausted.

5.A Cost Plus Percentage of Cost (CPPC) contract shall mean one which provides for a fee which is adjusted by percentage formula in accordance with the relationship to total cost. The percentage formula may be fixed, but fee paid may be adjusted as a result of any subsequent changes in the work or service to be performed under the purchase order.

6.A Time and Materials (TIM) contract shall mean one which provides for the purchase of supplies or services on the basis of direct labor hours at specified fixed hourly rates (which rates include direct and indirect labor, overhead and profit) and material at cost. Material handling costs may be included to the extent they are clearly excluded from any factor of the charge computed against direct labor hours (LIH).

C.A To Be Determined (TBD) contract shall mean one which enables the buyer and the seller to enter into a relationship with no predetermined terms at the initiation of the contract.

D.A Blanket Order shall mean an arrangement under which a purchaser contracts with a vendor to provide the purchaser's requirements for an item(s) or a service, on an as­ required and often over-the-counter basis. Such an arrangement sets a limit on the period of time it is valid and the maximum amount of money which may be spent at one time or within a specified period. (Usually, but not always, the funds for agency blanket orders will be encumbered.)

1.A Pricing Agreement (PA) shall mean a special blanket order which establishes the terms and conditions under which a specific item or a specific category of items in an indefinite quantity, are to be purchased for a specific period of time, usually one year.

2.A Master Pricing Agreement (MPA) shall mean a pricing agreement which has been established on behalf of more than one entity. (Usually, funds for MPA contracts are not encumbered.)

3.A "Term Contract" shall be synonymous with an MPA contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.10 Principles for Selection of Type of Purchase Order Contract

A.The selection of the appropriate type of contract is a matter which requires the exercise of judgment in order to obtain fair and reasonable prices in accordance with the circumstances of the procurement.

B.In determining the type of contract to be used, consideration shall be given but shall not be limited to such factors as:

1.Type and complexity of the item or scope of work to be performed;

2.Urgency of the requirement;

3.Prospective period of contract performance;

4.Degree of competition present;

5.Extent of completion of baseline and detail design; which in turn may influence other considerations as the adequacy and firmness of specifications, and the availability of relevant historical pricing data and prior experience;

6.Availability of comparative price data, or lack of firm market prices or wage levels;

7.Prior experience with the supplier;

8.Extent and nature of subcontracting contemplated;

9.Assumption of business risk;

10.Vendor's technical capability and financial responsibility;

11.Administrative costs;

12.Adequacy of the vendor's accounting system; and

13.Other concurrent contracts.

C.Under R.I. Gen. Laws § 37-2-32 Approval of Accounting System. - Except with respect to firm fixed price contracts, no contract type shall be used unless it has been determined in writing that the proposed contractor's accounting system will permit timely development of all necessary cost data in the form required by the specific contract type contemplated and that the contractor's accounting system is adequate to allocate costs in accordance with generally accepted accounting principles.

1.The firm fixed price contract shall be used in applications and under limitations hereinafter set forth, unless the use of another type of contract is more appropriate.

D.Under R.I. Gen. Laws § 37-2-31, Subject to the limitations on entering into cost plus percentage of cost and cost reimbursement contracts set forth herein, any type of contract which will promote the best interests of the state may be used.

E.Cost Reimbursement Contracts.

1.Under R.I. Gen. Laws § 37-2-29, The Cost Plus a Percentage of Cost (CPPC) contract is prohibited.

2.Under R.I. Gen. Laws § 37-2-30(1), No contract providing for the reimbursement of the contractor's cost plus a fixed fee (cost reimbursement) may be made through negotiation or in sole source or emergency procurements unless it is determined in writing by the Chief Purchasing Officer that such contract is likely to be less costly to the state than any other type of contract, or that it is impracticable to obtain supplies or service of the kind or quality required except under such a contract.

3.Under R.I. Gen. Laws § 37-2-30(2) Each contractor under a cost reimbursement type contract shall obtain consent from the Chief Purchasing Officer, as provided for in the contract, before entering into:

a.a cost reimbursement subcontract; or

b.any other type of subcontract involving more than ten thousand ($10,000} or ten percent (10%) of the estimated cost of the prime contract[whichever is greater].

4.Under R.I. Gen. Laws § 37-2-30(3), All cost reimbursement contracts shall contain a provision that only costs recognized as allowable, in accordance with cost principles set forth in regulations issued by the Chief Purchasing Officer will be reimbursed.

F.When a FP W/EPA contract is employed, provisions shall be included for downward adjustment of the contract price in those instances where the prices or rates may be expected to fall below the base price agreed to by contract.

1.Types of economic adjustments shall include but shall not be limited to:

a.Price Adjustment - a modification of the base purchase order price on the basis of increases or decreases in published or established prices of specific items.

b.Labor and Material Adjustment - a modification of the contract base price on the basis of increases or decreases of wage rates, specific material costs, or both, using agreed upon standards or indices.

2.This type of contract may be appropriate where valid doubt exists as to the predictability of economic conditions which will exist during a multi-year contract period. Price adjustment provisions shall not be used to provide protection to contractors against contingencies which arise from inaccurate estimates of the quantities of labor or materials required for completion of a contract.

G.When PPR contracts are employed the basis for adjustments shall be established when the contract is negotiated and a cost baseline shall be established.

1.The following data shall be secured from each source before placing a re­ determinable order: number of estimated hours and method used in arriving at hours; direct labor rates per hour; material cost, including both quantities and unit prices; overhead rates (categorized by element); profit, any other data deemed pertinent for analysis of the prices quoted.

2.The establishment of a re-determinable type of contract shall require the written authorization of the Chief Purchasing Officer. Upon analysis conducted jointly by the user agency and the Purchasing Agent, a request and justification for considering re­ determinable pricing provisions shall be submitted in writing by the Purchasing Agent to the Chief Purchasing Officer.

H.When FPI contracts are employed:

1.There shall be an initially negotiated firm target cost, a target profit, a price ceiling and a final profit and price adjustment formula. After completion, a final cost shall be negotiated and a final price established in accordance with the predetermined formula.

2.The circumstances must be such that targets are reasonably free of contingencies and provided that a fair and reasonable incentive formula can be established at the time of initial contract negotiation and the contract is of sufficient duration to permit achievement of substantial cost reductions.

3.The same supplier cost data shall be required as for a re-determination contract.

I.A CNF contract may be used for research and development work - particularly with nonprofit organizations and educational institutions.

J.A CS contract is suitable for:

1.Jointly sponsored research and development with educational institutions or other nonprofit organizations or

2.Other research and development work where the results of the contract may have commercial benefit to the seller.

K.A CPFF contract is suitable when:

1.The scope and nature of work cannot be definitely specified.

2.Definite specifications exist but the seller lacks a valid basis for estimating costs because the supplies called for are not items regularly manufactured, or the services called for have not been previously performed, or partial experience will not reveal a proper pricing basis for the remainder of the contract.

3.Specifications are not complete or major changes substantially affecting the scope of production or construction work are expected.

4.Work is to be performed in a state-owned facility with the use of state-owned equipment, materials, or personnel.

L.A TIM contract shall include the establishment of a cost limitation which the seller may not exceed (except at his/her own risk). A TIM contract shall be used only in situations when:

1.It is not possible at the time of placing the order to estimate the extent of the work or to anticipate final costs with any reasonable degree of accuracy such as:

a.engineering and design services,

b.certain repair, maintenance or overhaul work,

c.emergencies.

2.Provision is made for appropriate surveillance by state personnel during performance.

M.L/H contracts based solely on labor hours shall be considered a subcategory of TIM contracts, subject to the same restrictions as the TIM contract and shall be used only after the Purchasing Agent has determined that no other type of contract is suitable for meeting the needs of the requisitioner.

N.Employment of TBD contracts shall be prohibited.

O.Considerations for use of a MPA contract:

1.The MPA shall specifically state the term and probable volume consideration of the agreement.

2.The seller shall be authorized to ship to the state only those items specified by a delivery request (on a form to be provided) issued under the authority of the Master Pricing Agreement. The state is obligated for payment only to the extent of the specific quantities set forth in the delivery request or for express considerations applicable to the contract itself.

3.The specific category of items to be purchased may be listed in a catalog prepared specifically for the agreement, a catalog of items offered for sale by a supplier, a national catalog published by a catalog publishing firm, or such other lists of items as may, from time to time, be determined as being a legally sufficient description of the item or items being purchased.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.11 Selection of Methods of Construction Contracting Management

A.Construction Contract Management. The intent of § 8.11 of this Part is to specifically identify alternative methods of management of construction and the criteria to be used in selecting such methods. In addition, the intent of this Rule is to clarify that the method of source selection used to award a state contract for a particular construction project shall continue to be governed by all the applicable provisions of R.I. Gen. Laws Chapter 37-2, entitled "State Purchases", also referred to as the "State Purchases Act". These provisions include but are not limited to R.I. Gen. Laws §§ 37-2-17 "Methods of source selection"; 37-2-18 "Competitive sealed bidding"; 37-2-19 "Competitive negotiation"; 37-2-20 "Negotiations after unsuccessful competitive sealed bidding"; 37-2-21 "Noncompetitive procurements"; 37-2-22 "Small purchases" and 37-2-59 "Professional services - Architectural, engineering, and consultant services - Committee". Provided, however, the provisions of §§ 8.11(C) and (D) of this Part shall not apply to road, bridge and heavy construction projects which are funded in whole or in part by federal funds.

B.Road, Bridge and Heavy Construction Projects. The provisions of §§ 8.11(C) and (D) of this Part shall not apply to road, bridge and heavy construction projects that are managed by the Rhode Island Department of Transportation and are funded in whole or in part by federal funds. Road, bridge and heavy construction projects are subject to the methods of management of construction contracting, including the criteria for selecting such methods, that are set forth in applicable federal law, including but not limited to 23 U.S.C. § 112(b)(i) as amended, and regulations promulgated there under.

C.Construction Contract Management Methods and Criteria. For all other construction projects not included in § 8.11(B) of this Part, the methods below, along with the criteria for each method, are the alternative methods of construction contract management deemed feasible by the Chief Purchasing Officer. The methods below are not mutually exclusive and may be combined on a project.

1.General Contractor Method. The general contractor method is typified by one business, acting as a general contractor, contracting with the State to timely complete an entire construction project in accordance with drawings and specifications provided by the State. Generally the drawings and specifications are prepared by an architectural or engineering firm under contract with the State. Further, while the general contractor may take responsibility for successful completion of the project, much of the work may be performed by specialty contractors with whom the general contractor has entered into subcontracts. The general contractor method is the generally preferred method of construction work. It may be selected for a project only when it is determined in writing by the Chief Purchasing Officer that the following criteria will be met:

a.the project requires timely completion of the construction work in accordance with drawings and/or specifications provided by the State and/or the State's agent.

b.the project work may be performed by specialty sub- contractors under the control and supervision of a general contractor.

c.the project does not require direct supervision or coordination between the contractor and project engineering/design professionals other than as normally performed by State employees.

d.the construction project is estimated to cost in excess of ten thousand dollars ($10,000).

e.sufficient time exists to complete the design, bid the project and construct the work by the desired occupancy date.

2.Multiple Prime Contractors. Under the multiple prime contractor method, the State or its agent contracts directly with any number of contractors, often representing different trades, to complete portions of the project in accordance with the State's drawings and specifications. The State and/or its agent shall have primary responsibility for successful completion of the entire project. The multiple prime contractor method may be selected for a project only when it is determined in writing by the Chief Purchasing Officer that the following criteria will be met:

a.the State or its agent is able to coordinate job site activities of any number of contractors and/or subcontractors with varying areas of construction expertise to complete portions of the project in accordance with the State's drawings and specifications, and the State or its agent will contract directly with such contractors and/or subcontractors.

b.the State and/or its agent is able to assume primary responsibility for successful completion of the entire project.

c.the construction project is for the rehabilitation or renovation of a building or buildings.

d.the contract(s) for the rehabilitation or renovation of any building(s) in the aggregate are estimated to cost less than two million dollars ($2,000,000).

3.Design-Build. In a design-build project, a person or firm contracts directly with the State to meet the State's requirements as described in a set of design or engineering specifications, bridging documents, or scope of work. Final design and construction are both the responsibility of the design-build contractor. This method can include projects where the design-build contractor supplies the site as part of the design-build package. The design-build method may be selected for a project only when it is determined in writing by the Chief Purchasing Officer that the following criteria will be met:

a.the State does not have the ability to prepare the requisite design or engineering specifications, bridging documents, or scope of work.

b.the State cannot manage or supervise the work of specialty trade contractors and it is not in the State's best interest to contract directly with such specialty contractors.

c.the State determines that it is in its best interest for a design­ build firm to assume responsibility for both final design and construction of the project.

d.due to time constraints and the need to complete the project on an expedited basis, it is in the State's best interest to select a design-build contractor rather than a general contractor for the project.

e.construction work on the project has an estimated cost equal to or greater than two-million five-hundred thousand dollars ($2,500,000).

f.the State desires to have a single firm responsible for both design and construction.

4.Construction Manager At Risk. The terms "Construction Manager at Risk", "construction management at-risk services," "construction management at-risk delivery method" shall all be limited to that certain construction method defined by R.I. Gen. Laws § 37-2-7(30). The terms "construction manager at-risk" and "construction management at-risk firm" shall be limited as defined by R.I. Gen. Laws § 37-2-7(31). The construction manager at risk method of construction management may be selected for a project only when it is determined in writing by the Chief Purchasing Officer that all criteria mandated by R.I. Gen. Laws §§ 37-2-27.2, 27.3, and 27.4, as amended have been met.

5."Owner's Program Manager" shall be limited to that certain construction method defined by R.I. Gen. Laws § 37-2-7(32), as amended. The Owner's Program Manager method may be selected for a project only when it is determined in writing by the Chief Purchasing Officer that the following criteria will be met:

a.the State does not have the ability to prepare the requisite design or engineering specifications, bridging documents, or scope of work;

b.the State cannot manage or supervise the work of specialty trade contractors and will not contract directly with such specialty trade contractors;

c.it is in the State's best interest to retain a program manager to supervise and or monitor the activities of a general contractor; and/or

d.it is in the State's best interest to retain a program manager to supervise and or monitor the engineering and architectural services for a project;

e.the construction project has an estimated cost equal to or greater than ten thousand dollars ($10,000).

D.Construction Contract Management Selection Information. In addition to criteria set-forth in § 8.11(C) of this Part, the following information for a particular project shall be submitted to the Chief Purchasing Officer under § 8.11(E) of this Part:

1.when the project must be completed or ready for occupancy or use;

2.the specific nature of the project and its specialized needs, e.g. housing, offices, laboratories, and specialized construction;

3.the extent to which the requirements of the procuring agency and the ways in which said requirements are to be met are known;

4.the location of the project;

5.the size, scope, complexity, and economics of the project;

6.the amount and type of financing available for the project, including whether the budget is fixed and the source of funding, e.g., general or special appropriation, federal assistance moneys, general obligation bonds or revenue bonds;

7.the availability, qualification, and experience of State personnel to be assigned to the project and how much time the State personnel can devote to the project;

8.the availability, experience and qualifications of outside consultants and contractors to complete the project under the various methods being considered;

9.the method of source selection under the State Purchases Act that will be used to award a contract to a vendor for this particular project.

E.Documentation of Selection Determination. Using and including the information in § 8.11(D) of this Part, the purchasing agent or purchasing agency responsible for carrying out the construction project shall set forth in writing to the Chief Purchasing Officer the facts that led to the selection of a particular method of construction contract management pursuant to the criteria set forth in §§ 8.11(B) or (C) of this Part and the information required in § 8.11(D) of this Part. The Chief Purchasing Officer shall include in the contract file a written statement setting forth the facts that led to the selection of a particular method of management of construction in each instance. The Chief Purchasing Officer's written statement may adopt, in whole or in part, any written statements provided by the purchasing agent or the purchasing agency.

F.Protest. Any actual or prospective bidder, offeror, or contractor, who is aggrieved in connection with the solicitation, selection, or award of a method of construction management contract, may file a bid protest with the Chief Purchasing Officer pursuant to R.I. Gen Laws § 37-2-52 using the procedures required by § 1.6 of this Subchapter.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-8 § 8.12 Contract Administration

A.Subsequent to the award of any contract for goods or services and continuously over the life of any contract, each agency shall determine and verify that service(s) provided or goods received match exactly all contract specifications as to kind, quality, quantity, or frequency and price. Each Agency shall document in detail all deviation(s) and submit formal complaint(s) to the Office of Purchases for follow up action.

B.Attestation and approval of payment vouchers by duly authorized agents of the agency shall constitute acceptable evidence of such verification.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2012-01-18 to 01/04/2022
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2012-01-18 to 01/18/2012
• Amendment — effective from 2012-01-18 to 01/18/2012
• Technical Revision — effective from 2011-07-11 to 01/18/2012 Click here to view previous versions of this Part.

220-RICR-30-00-9 Exceptions to Competitive Bidding Requirements

220-RICR-30-00-9 § 9.1 AUTHORITY TO MAKE EXCEPTIONS TO THE REQUIREMENT FOR COMPETITION

In certain circumstances competitive bidding for purchases may not be the most cost- effective approach to procurement. The Purchasing Agent may, with the approval of the Chief Purchasing Officer, waive requirements for competitive sealed bidding in accordance with the grounds permitted by law.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.2 CIRCUMSTANCES PRESCRIBED BY LAW:

A.In accordance with R.I. Gen. Laws § 37-2-54, the following exceptions to competitive bidding are permitted by statute; however, the Chief Purchasing Officer may require competitive bidding in any circumstance where he deems that competition may enhance the state's ability to attain cost savings:

1.Contractual services where no competition exists, such as telephone service, electrical energy, and other public utility services;

2.When, in the judgment of the Department of Administration, food, clothing, equipment, supplies, or other materials to be used in laboratory and experimental studies can be purchased otherwise to the best advantage of the state;

3.Instructional materials available from only one source;

4.Where rates are fixed by law or ordinance;

5.Library books;

6.Commercial items purchased for resale;

7.Professional, technical, or artistic services; (Contracts exempted by this provision shall be referred to the Governor for review and approval.)

8.Interests in real property.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.3 GOODS OR SERVICES OBTAINED BY ONE STATE AGENCY FROM ANOTHER

Goods or services obtained by one state agency from another, such as printing from Prison Industries or use of Central Service Accounts, shall be exempt from competition. However, internal service fund purchases shall be made in accordance with all policies and procedures for competitive procurements. NOTE: Purchases of services from state higher educational institutions are subject to competitive review and require the submission of requisitions.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.4 SMALL PURCHASES NOT EXCEEDING $500:

A.Competitive bids shall not be required for purchase orders up to $500 in value if the prices are considered to be reasonable.

B.It shall be the responsibility of agency personnel to exercise good judgment as to what is a fair and reasonable price.

C.Specific action to verify the reasonableness of a price shall be taken when it is suspected that the price may not be reasonable, e.g., comparison to previous price paid or personal knowledge of the item involved.

D.Under no circumstance shall purchases exceeding $500 be artificially divided into component parts to circumvent the competitive process. User agency abuses of this limitation will be reported to the Chief Purchasing Officer who will hold agency chief executives accountable for violations.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.5 SOLE SOURCE

A.A contract may be awarded for a supply, service, or construction item without competition when, under published regulations, the Chief Purchasing Officer or member of the executive department, above the level of purchasing officer determines, in writing, that there is only one source for the required supply, service, or construction item.

B.The Chief Purchasing Officer may delegate the authority for determination of sole source to the Purchasing Agent.

C.Sole source categories may include:

1.items of a unique nature which are unavailable from other sources due to patents or proprietary processes;

2.books, maps, periodicals, and technical pamphlets, films, video and audio cassettes obtained from publishers;

3.certain computer software;

4.licenses - computer software, electronic transmittal;

5.specialized replacement/repair parts or expansion parts necessary to maintain the integrity of system or function, e.g. scientific research;

6.works of art for museum or public display;

7.specialized services for which there is only one documented accepted source, such as transactions involving unique professional services and/or educational institutions, e.g., visiting speakers or professors, and performing artists; repair/maintenance agreements with manufacturers;

8.advertisements, public notices in magazines, trade journals, newspapers, television; NOTE: Purchase of advertising and public relations campaign services must be established through a competitive selection process.

D.This provision excepting sole source procurements from competitive bidding shall not be interpreted to reduce the responsibility of the Office of Purchases and/or user agencies to evaluate the market continuously to research product alternatives and develop additional sources (distributors).

E.In attempting to achieve the goal of maximizing competition to the greatest extent possible, alternative distributors and manufacturers shall be pursued to sole source items by using compatible replacement parts as long as warranties are not affected by substitution.

Agencies shall submit requisitions for sole source purchases in excess of $500 unless specifically delegated such authority by regulation or by the Purchasing Agency.

F.Maintenance contracts based upon sole source determination shall be subject to the following:

1.Annual maintenance contracts shall require approval by the Division of Purchases.

2.All multi-year contracts shall require approval by the Division of Purchases.

3.To achieve better pricing, agencies shall aggregate spending with the same supplier to the greatest extent possible. Further, artificially dividing spending to avoid procurement thresholds is strictly prohibited.

G.The Chief Purchasing Officer or his designee may, at his initiation or upon the review of a justified request and/or recommendation from the chief executive officer of an agency, make a determination that a category of nonprofit providers constitutes sole source suppliers for certain types of service.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.6 EMERGENCIES

A.Notwithstanding any other provision of R.I. Gen. Laws Chapter 37- 2, the Purchasing Agent may make or authorize others to make emergency procurements when there exists a threat to public health, welfare or safety under emergency conditions as defined in regulations; provided, that such emergency procurements shall be made with such competition as is practicable under the circumstances. A written determination of the basis for the emergency and for the selection of the contractor shall be included in the contract file.

B.In accordance with procedures established by the Purchasing Agent, authorized officials in user agencies shall be permitted to react quickly to critical situations when the cost for a remedy or repair is in excess of $500 and there is not sufficient time to undertake a public, formal, or informal bidding process.

C.An emergency shall mean a situation to which an urgent response is required as defined in R.I. Gen. Laws § 37-2-21(b). Immediate dangers to health and safety, threats to property and necessary functions, and failures of critical equipment constitute emergencies.

D.Inadequate anticipation of need shall not be considered justification for "emergency" purchases.

E.Commitments which extend beyond the immediate response to the dysfunctional emergency shall be prohibited, i.e. prevention of future problems by corrective measures other than the immediate restoration of function must be pursued through the Office of Purchases competitive purchasing process.

F.The Office of Purchases shall establish, through competitive bidding, a list of emergency response vendors and shall make such list available to user agencies.

1.When possible, agencies shall obtain services from a list of vendors selected by competitive process to provide specialized trade in emergencies.

2.If an emergency cannot be addressed by a designated vendor, the Office of Purchases shall assist in obtaining names and telephone numbers of responsible vendors.

G.Under determination of the existence of an emergency, the user agency's designated emergency response officer shall consult with the Office of Purchases before committing to a particular vendor. Office of Purchases officials shall maintain logs of all oral confirmations of authorization to proceed.

H.If the emergency occurs outside of business hours for the Office of Purchases, the user agency shall be authorized to proceed in accordance with the principles and policies of sound procurement practices outlined herein.

I.All emergency purchases shall be documented in accordance with procedures established by the Purchasing Agent. The user agency shall submit documentation for the emergency situation and response action in writing to the Purchasing Agent with the voucher for payment. All emergency documentation forms shall be signed by either the agency director or the designated emergency response official.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.7 STANDARD OR ESTABLISHED CATALOGUE ITEMS

Standard or established catalogue items may be identified by the Chief Purchasing Officer as exceptions to competitive bidding. Agencies officials may submit requests and justification for Delegated Purchase Authority for the acquisition of such items to the Purchasing Agent, who shall recommend an appropriate course of action to the Chief Purchasing Officer.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-9 § 9.8 SPOT PURCHASES

Spot purchases of certain items (e.g., food, heating oil) sold on the basis of posted market prices may be exempted from competition by the Purchasing Agent when market analysis indicates that such procurements are in the best interest of the state. Opportunities to take advantage of seasonal and supply/demand influences shall be taken into account when determining whether to pursue formal competitive procedures.

History

• Amendment — effective from 2024-01-18 to current
• Periodic Refile — effective from 2022-01-04 to 01/18/2024
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-10 Expenditures Which Are Not Procurements

220-RICR-30-00-10 § 10.1 DEFINITIONS

A."Benefits" shall mean monies or gifts provided by the state to or on behalf of individuals or entities (clients, patients, inmates, employees, nonprofit service providers) the distribution of which may not be prescribed by statute, regulation, or program provisions.

B."Concession" shall be defined as the granting of a license to a commercial entity for the conduct of a commercial enterprise on state premises, in consideration of which the state receives a regular rent and/or a percentage or other share in net proceeds.

C."Grants" shall mean monies provided by the state to or on behalf of individuals or entities to underwrite specific costs of services or programs. Although grants may be distributed for specific purposes, payment is not based upon supply of specific units of service or products.

D."Entitlements" shall mean monies or gifts provided by the state as part of subsidy programs for which the distribution of funds is determined in accordance with specific eligibility criteria or by formula. Examples included but shall not be limited to: food stamps, general public assistance, medical assistance payments, and school aid formula funds.

E."Purchase of Services" shall mean monies expended for the provision of specific units of time and effort rather than an end product.

F."Reimbursement" shall mean monies paid to a beneficiary, client, or claimant to make restoration for expenses such person has undertaken.

G."Subsidies" shall mean monies provided by the state to or on behalf of individuals or entities to assist in defraying general expenses.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-10 § 10.2 RESPONSIBILITY TO PROMOTE COMPETITION IN AWARDING CONTRACTS

A.Concessions. In general, awards on concession agreements shall be made to the offeror whose proposal represents the greatest cash benefit to the state. The Purchasing Agent shall be responsible for the issuance of publicly advertised solicitations for such opportunities, and shall refer the responses to the requesting agency chief executive and the State Properties Committee for review, selection, endorsement, and execution of a concession agreement.

B.Grants. State agencies may obtain services or provide programs on behalf of clients through grants to nonprofit or other entities; however, when the payment of "grant" funds is subject to the provision of services or programs, determination of contract award shall be obtained by a request for proposal procedure to obtain the advantages of competition.

1.Nonprofit status shall not automatically exempt organizations from being subject to competitive purchasing principles.

2.Agencies may utilize the Office of Purchases to undertake Request for Proposal procedures; however, agency representatives shall be responsible for assisting in the establishment of evaluation criteria and shall participate in the review and evaluation of responses to the RFP.

3.All grant contracts entered into by agencies shall be subject to an audit of competitive practices.

4.Grants in the form of subsidies or general assistance shall be administered by state agencies in accordance with legal mandates restricting or defining the use of such funds.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-10 § 10.3 EXCEPTIONS TO COMPETITION.

A.For the purpose of administering R.I. Gen Laws Chapter 37-2, grants, benefits, entitlements, subsidies and reimbursements shall not be considered procurements. The following types of expenditures shall not be subject to the provisions of R.I. Gen. Laws Chapter 37-2 for competitive procurement:

1.Reimbursement to local governments (e.g., for educational expenses or public works projects).

2.Reimbursements of third parties for client-demand services, e.g., payments for medical services when the client selects the physician shall be considered benefits for which competitive solicitation is not required.

3.Entitlements for specific recipients or categories of recipients as prescribed by legislative mandate (including federal programs).

4.Grants, subsidies, entitlements or benefits purchased.

5.Grants in the form of subsidies or general assistance shall be administered by state agencies in accordance with legal mandates restricting or defining the use of such funds.

6.Grants, subsidies, entitlements or benefits purchased on behalf of, or paid directly to, individuals. Examples include but shall not be limited to:

a.transportation services - public bus, taxicab, ferry);

b.education and recreation benefits;

c.fees - tuition costs, registration; and

d.medical, dental, food stamps, etc.

7.Employee expenses, subsidies and benefits. Examples include but shall not be limited to:

a.meals, parking, mileage and travel not covered by state contract;

b.allowances (e.g., tools, clothing) per union contract;

c.fees - dues/membership, tuition costs, conference registration.

d.tuition; and

e.tests/examinations/certifications.

8.Claims - reimbursement for damages. Vouchers for tort claims authorized by the General Assembly, accompanied by a copy of the appropriate legal decision and authorized by the Budget Office may be submitted directly to the Controller for payment.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-10 § 10.4 SPECIAL PROVISIONS AND REQUIREMENTS FOR GRANTS.

A.Contracting Authority.

1.Grantor agency directors may request delegation of contracting authority to enter into agreements for the purpose of distributing grants.

a.Such authority shall be subject to written documentation/explanation as to why the nature of the relationship between the agency and the payee does not constitute a procurement.

b.Delegated contracting authority does not require the issuance of a purchase order.

2.Grants for the provision of programs, services, and facility improvements shall not be authorized without agreements or contracts which:

a.specify the purpose for the grant;

b.specify method and terms of payment;

c.define service or product, if required;

d.outline any legal limitations on the funding;

e.set a time limit for distribution of funds;

f.require maintenance of records for a specified period of time;

g.provide for auditing; and

h.provide for termination of the agreement/contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-11 Inventory Warehousing Management

220-RICR-30-00-11 § 11.1 INVENTORY WAREHOUSING MANAGEMENT

A.Authority for the centralization of management and control of warehousing is set forth in R.I. Gen. Laws § 37-2-12(1).

1.Under the jurisdiction of the Chief Purchasing Officer or his designee, action as appropriate shall be taken and continuously maintained to assure least cost availability of supplies, foodstuffs, and other commodities necessary to the efficiency of Agency services and State Government.

2.A decision to classify a storage facility as a storeroom or as a warehouse shall be at the discretion of the Chief Purchasing Officer.

B.Each agency, within its jurisdiction, shall be responsible for assessment of current systems and procedures and to assure compliance with these regulations. Requests for assistance in the implementation of these procedures shall be addressed to the Chief Purchasing Officer.

C.Cost effective controls, either manual or computerized, shall be implemented and maintained to achieve appropriate inventory and warehousing objectives.

1.The following inventory control techniques, as defined in a glossary published by the American Production and Inventory Control Society (APICS), and held to be widely accepted practices relative to inventory control, shall be implemented where appropriate.

a.Reorder point determination based on factors of delivery lead time and safety stock to assure timely order without incurring stock-outs of critical supplies, foodstuffs, or other commodities.

b.Inventory classification procedure to stratify inventory items by value based on factors of unit cost and usage, with controlling inventory policy dependent upon value. Such inventory classification is known as "ABC" inventory classification or "Pareto" distribution.

c.Economic lot sizing for determination of replenishing order quantity utilizing one or more of a variety of proven techniques and incorporating factors of usage, lead time, acquisition cost inventory, carrying costs, and unit cost.

d.Safety stock calculation based upon inventory cost and criticality of stock-out situations. Factors of even/uneven usage and varying replenishment lead time shall be determined and applied as appropriate.

2.Efficient warehouse operation shall require, but is not limited to, the following procedures as appropriate:

a.Physical lot control procedures or methods shall be used to prevent or minimize economic loss of inventory due to deterioration in storage, obsolescence, or expired data code or shelf life.

b.Cycle counting of inventory or periodic physical inventories as prescribed shall be taken to reconcile inventory balances and assure highest inventory accuracy.

c.Inventory Accuracy objectives shall be established based upon inventory stratification by value (ABC analysis) and accuracy levels. These shall be published and monitored. Any required corrective action as a result of these procedures shall be taken by appropriate supervisory personnel.

d.Inventory location systems as appropriate shall be implemented to maximize space utilization and efficiency of order picking, inventory accessibility, and prevention of accidental injury.

e.Safety rules shall be developed, communicated and enforced to prevent accidental injury due to improper operation of material handling equipment, to ensure routine use of personal safety equipment, and to preclude other breach of safety rules.

f.Housekeeping and general warehouse cleanliness shall be maintained to a high standard.

g.Security of warehouse facilities shall be of a quality to prevent loss of inventory due to theft or pilferage, or damage or destruction to facility due to fire or other external causes resulting from failure to properly secure the facility.

D.At any time, the Chief Purchasing Officer may direct or require reports, presentations, or field audits to measure levels of compliance and shall direct correction of deficiencies discovered.

E.As required under routine established procedure or as directed by the Chief Purchasing Officer or his designee, user agencies of supplies, foodstuffs and other warehoused commodities shall prepare periodic forecasts of requirements to identify and report upward or downward shifts in projected usage, thereby mitigating inventory surpluses or shortages resulting from inventory replenishment decisions or techniques based solely on historical usage.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2011-07-11 to 01/04/2022
• Technical Revision — effective from 2011-07-11 to 07/11/2011 Click here to view previous versions of this Part.

220-RICR-30-00-12 Rhode Island Department of Transportation Projects

220-RICR-30-00-12 § 12.1 Authority

This Part is promulgated pursuant to R.I. Gen. Laws §§ 37-2-9 and 37-2-13 by the Department of Administration. The Director of the Department of Administration has the authority to delegate certain procurement authority to the Department of Transportation when such delegation is in the best interest of the State and the public pursuant to R.I. Gen. Laws Chapter 37-2.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-13 to 01/04/2022

220-RICR-30-00-12 § 12.2 Purpose

The purpose of this Part is to set forth specific procurement procedures for RIDOT projects due to the unique nature of RIDOT projects and the federal and state oversight over such projects.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-13 to 01/04/2022

220-RICR-30-00-12 § 12.3 Definitions

A.For purposes of this Part, unless otherwise specified, all terms shall have the same meanings as ascribed in the State Purchases Act, R.I. Gen. Laws Chapter 37-2 or as ascribed in Parts 1 through 11 of this Subchapter.

B.For the purposes of this Part, the following terms are defined as set forth below:

1."Actual cost" means the cost actually incurred by the Contractor or subcontractor in the performance of work. Actual costs will include labor, material, actual ownership cost of equipment or invoiced rental rates, verified payroll burdens, verified general and administrative overhead, and profit. While the Contractor is required to establish such costs with competent documentation (including but not limited to invoices, certified payrolls, financial statements) RIDOT may rely upon an audit of the Contractor's financial records by a RIDOT appointed auditor.

2."Award" means the written acceptance by the State of the successful Proposal consisting of the executed Contract Agreement and Purchase Order.

3."Bid documentation" as used in this clause means all writings, working papers, computer printouts, charts, computer data files associated with the preparation and/or submittal of a bid proposal, and all other data compilation which contains or reflects information, data or calculations used by the Contractor to determine its bid submitted for a project. The term "bid documentation" includes material relating to the determination and application of equipment rates, overhead rates, labor rates, efficiency or productivity factors, arithmetic extensions, schedules for time or any determination of time related to project overhead, as well as quotations from subcontractors and material suppliers to the extent that such rates and quotations were used by the Contractor in formulating and determining the amount of the bid. The term "bid documentation" also includes any manuals which are standard to the industry used by the Contractor in determining the bid for a project. These manuals may be included in the bid documentation by reference, and will show the name and date of the Publication and the Publisher. The term does not include bid documents provided by RIDOT for use by the Contractor in bidding on a project.

4."Calendar day" means each and every day shown on the calendar, beginning and ending at midnight.

5."Completion" of the project occurs when:

a.the work has been satisfactorily completed in all respects in full accordance with the Contract,

b.and the Contractor has satisfactorily executed and delivered to the Engineer all documents, certificates, and proofs of compliance as required by the Contract.

6."Contract bonds" means the approved form of securities, executed by the Contractor and its Surety or Sureties, guaranteeing complete execution of the Contract and all supplemental agreements pertaining thereto, and the payment of all legal debts pertaining to the construction of the project.

7."Contract time" means the number of work days or calendar days allowed for completion of the Contract including authorized time extensions. When calendar date of completion is specified in the Proposal, the Contract shall be substantially completed on or before that date.

8."Dig safe" means a one-call damage prevention system, established and funded by public utilities that own and operate underground facilities within the State, for the purpose of receiving and giving notice of proposed excavation activity pursuant to R.I. Gen. Laws Chapter 39-1.2, Excavation Near Underground Utility Facilities.

9."Division of Purchases" means the division in the Department of Administration of the State of Rhode Island, the head of which is the State Purchasing Agent.

10."Equipment" means all machinery, tools, and apparatus, together with the necessary supplies for upkeep and maintenance, necessary for the construction and completion of the Contract.

11."Equitable adjustment" means an adjustment in the Contract price and time occasioned by the performance of work beyond that required by the original Contract, including extra work, changes, differing site conditions and changes in quantities. The equitable adjustment of Contract price will be based on an agreed upon lump sum, agreed upon unit prices, force account, or the actual cost of the work. The equitable adjustment of the Contract time will be based on a comparison of the time demonstrated by the Contractor's schedule and the time required for the execution of the work.

12."Financial statements" means a set of reports detailing, on an annual, semi-annual or other prescribed time period, the financial activity of a company, corporation or other business venture. For purposes of Post Qualification and Award, these shall include a complete set of audited financial statements certified by a Certified Public Accountant (CPA) or, in the case of contracts valued at $500,000 or less, a bidder’s financial references and an original copy of its current financial statement.

13."Highway", "Street", or "Road" means a public way for purposes of vehicular and pedestrian travel, including the entire area within the Right-of-Way.

14."Holidays" means in the State of Rhode Island legal holidays occur on New Year's Day; Martin Luther King Day; Memorial Day; Independence Day; Victory Day; Labor Day; Columbus Day; Veteran's Day; Thanksgiving Day; and Christmas. If any holiday listed above falls on a Sunday, the following Monday shall be considered a holiday.

15."Materials" means any substances specified for use in the construction of the project.

16."Notice to contractors" means a public announcement inviting bids for work to be performed and/or materials to be furnished. Such notice will indicate with reasonable accuracy the nature and location of the work to be performed; the time and place of the opening of Proposals; and any Contract statutory provisions required by the Federal Government.

17."Notice of tentative selection" means a written communication from the State to the successful bidder indicating the conditional intention of the State to award the Contract. This communication instructs the successful bidder to arrange a meeting with the appropriate State official within 15 days of the receipt of said notice for the purpose of executing the Contract Agreement and Contract Bonds, and for the delivery of the required Certificates of Insurance.

18."Plans" means the approved plans, profiles, typical cross sections, working drawings and supplemental drawings, or exact reproductions thereof, which show the location, character, dimensions, and details of the work to be performed.

19."Project" means the specific section of the highway or other specific property on which construction is to be performed as described in the Contract.

20."Proposal" means the written offer of a bidder, on prescribed forms generated by the RIDOT's approved proposal preparation computer software, to perform the stated work at the prices quoted. As used herein, "Proposal" is synonymous with "bid.”

21."Proposal form" means the prescribed form, generated by the Quest Lite or other approved procurement software bid preparation software, on which the offer of a bidder is submitted.

22."Proposal guaranty" means the security furnished with a Proposal to assure that the bidder will enter into the Contract if the Proposal is accepted.

23."Quest Lite" means a computer software used by bidders to prepare a bid proposal.

24."RIDOT" means the Rhode Island Department of Transportation.

25."Specifications" means the compilation of provisions and requirements for the performance of the prescribed work and consisting of the following:

a.Standard Specifications. A book of specifications approved for general application and repetitive use. Specifically, the Rhode Island Standard Specifications for Road and Bridge Construction of latest revision, also known as the "Blue Book".

b.Supplemental Specifications. Approved additions and revisions to the Standard Specifications.

c.Special Provisions. Additions and revisions to the Standard and Supplemental Specifications applicable for an individual project.

d.The Required Contract Provisions for Federal-Aid Projects, when applicable.

e.Federal Wage Rates. A schedule of prevailing rates of wages of labor for the geographical area in which the work of the Contract is to be performed; compiled by, and issued from time to time by the Secretary of the United States Department of Labor.

26."Specified completion date" means the date stated in the Proposal on which the Contract work, or specified portion thereof, is to be substantially completed.

27."Supplemental agreement" means a Contract Addendum signed by RIDOT and the Contractor for the performance of work which is beyond the scope of the original Contract but which RIDOT elects to perform in conjunction with the existing Contract.

28."Surety" means the legal entity, or individual other than the Contractor, executing a bond or bonds furnished by the Contractor.

29."Work" means the furnishing of all labor, materials, equipment, and other incidentals necessary for the successful completion of the project in accordance with the Contract.

C.Any and all contract terms will be defined within individual contracts entered into by the State and RIDOT.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-13 to 01/04/2022

220-RICR-30-00-12 § 12.4 BIDDING REQUIREMENTS AND CONDITIONS

A.Prequalification of Bidders

1.Prequalification of bidders shall be done in accordance with 23 C.F.R. § 635.110 and R. I. Gen. Laws Chapter 37-2, together with this Part.

B.Contents of Proposal Forms

1.The completed Proposal Form is generated by RIDOT’s Quest Lite or other approved procurement software, which is furnished to the prospective bidder on compact disk (CD) as part of the Contract Bid Package with the Plans, Specifications and additional contract bid documents in accordance with the instructions set forth in the Notice to Contractors.

2.The Proposal Form consists of three parts.

a.The first part, the "Preamble,” outlines the various understandings and agreements required of the prospective bidder as conditions to its offer to perform the stated work.

b.The second part, the "Bid Schedule," is that portion of the form where the various items of work are listed in a numbered sequence, and includes the unit prices entered by the bidder and total bid amounts of each item, which are computed by Quest Lite or other approved procurement software.

c.The third part of the form is the "Signature Page," which includes the "Total, or Gross Sum of Bid" and which must be signed by the bidder or his authorized signatory. This signature signifies the bidder's acceptance of all requirements and conditions of the Contract and its agreement to substantially complete the work by a calendar date certain.

3.The Plans, Specifications and other contract bid documents designated in the Proposal Form will be considered a part of the Proposal.

4.When applicable, prospective bidders will be required to pay the RIDOT the sum stated in the Notice to Contractors for each set of Contract Bid Packages taken out by said bidders.

5.In the case of joint ventures, Contract Bid Packages must be taken by the joint venture; this does not, however, preclude entities comprising the joint venture from taking out Contract Bid Packages independently. In addition, the joint venture must be independently registered as a user of the RIDOT's Electronic Bidding System known as Quest Lite or other approved procurement software.

C.Interpretation of Quantities in Bid Schedule.

1.The quantities appearing in the Bid Schedule are estimated and are used for the comparison of Proposals.

2.Payment to the Contractor will be made for the actual quantities of work performed and accepted or materials furnished in accordance with the Contract.

3.The estimated quantities of work to be performed and the materials to be furnished may be increased, decreased, or omitted as deemed necessary or advisable by the Engineer, or as hereinafter provided.

D.Examination of Plans, Specifications, Special Provisions, and Site of Work.

1.The bidder is expected to carefully examine the site of the proposed work, the Proposal, the Plans, the Rhode Island Standard Specifications for Road and Bridge Construction, Supplemental Specifications, Special Provisions, Distribution of Quantities and Contract Forms before submitting a Proposal.

a.The submission of a Proposal will be considered conclusive evidence that the bidder has made such an examination and is satisfied as to the conditions to be encountered in performing the work and as to the requirements of the Contract as defined in the Contract documents.

2.Boring logs and other records of subsurface investigations are available for inspection by bidders.

a.It is understood that these documents are obtained and used for RIDOT design and estimating purposes only.

b.These documents are made available to bidders so all have access to identical subsurface information available to RIDOT.

c.These documents are not intended as a substitute for personal investigation, interpretations, and judgment of the bidders.

3.The locations of all utilities as shown on the Plans are approximate.

a.The Contractor shall seek to determine the exact location of all existing utilities, both underground and overhead, by notifying Dig Safe in accordance with State law.

b.Damage to utilities which are shown on the Plans or located by the respective utilities in accordance with the Dig Safe process shall be the responsibility of the Contractor.

c.Damage to utilities and their associated service connections which are not shown on the Plans or located by the respective utilities in accordance with the Dig Safe process, will be paid for by RIDOT.

E.Preparation of Proposal.

1.The bidder’s attention is directed to the fact that:

a.All Proposals must be generated by the RIDOT’s Quest Lite or other approved procurement software;

b.All Proposals must be submitted to the Division of Purchases in the form of an electronic file on a compact disk (CD), which should be labeled and identified, at a minimum, with the bidder’s name and the Rhode Island construction contract number of the project being bid; and

c.All proposals must be submitted in hard copy format on forms generated by the RIDOT’s Quest Lite or other approved procurement software

2.The bidder shall specify a unit price in words and figures, for each pay item for which a quantity is provided.

a.All pay items for which a bidder is required to specify a unit price shall have a bid price of at least one cent.

b.The Quest Lite or other approved procurement software requires a unit price to be entered for each pay item and will not allow a unit price of less than one cent to be entered as a bid price for an individual pay item.

c.The bidder shall show the products of the respective unit prices and quantities written in figures in the column provided for that purpose and the total amount of the Proposal obtained by adding the amounts of all items.

d.The total bid price is to be based on the unit prices written in words, correctly extended and added. In case of a discrepancy between the unit prices written in words and those written in figures, the unit prices written in words shall govern. The State reserves other rights as noted in § 12.5(A) of this Part, Consideration of Proposals.

3.When the Proposal contains a choice to be made by the bidder, the bidder shall indicate its choice in accordance with the instructions for that particular item. Thereafter, no further choice will be permitted.

4.Erasures and alterations to the Proposal shall not be permitted.

5.A copy of the joint venture agreement must be included with the Proposal when submitted. The joint venture agreement must clearly identify the entities which comprise the joint venture and the Officers of the joint venture.

6.The bidder's hard copy Proposal generated from Quest Lite or other approved procurement software must be signed in ink by an authorized signatory of the partnership, joint venture, corporation, or by such other agent of the Contractor legally qualified and acceptable to the State as hereinafter provided.

7.If the Proposal is made by:

a.An individual: his or her name and mailing address shall be shown;

b.A partnership: the name and mailing address of each partnership member shall be shown;

c.A joint venture: the name and mailing address of each member or officer of the firms represented by the joint venture shall be shown.

(1)In the case of partnership and/or joint venture, the names and addresses of each member or officer of the partnership or joint venture must be listed in a separate attachment to be included with the submitted proposal.

d.By a corporation: the name of the corporation and the business address of its corporate office shall be shown.

8.All certification documents are contained within the bid file that is used by the Quest Lite or other approved procurement software.

a.By utilizing Quest Lite or other approved procurement software, bidders are agreeing that they have executed all required certifications enumerated in the Proposal Report labeled “DOCUMENT(S)” which is located at the end of the Proposal Form.

b.Failure to comply with the requirements of the Quest Lite or other approved procurement software will not enable the bidder to successfully complete the preparation of a bid proposal.

F.Proposal Guaranty.

1.A Proposal will not be accepted or considered unless accompanied by a guaranty in the form of an original Bid Bond made payable to the State of Rhode Island.

a.Bid bonds must be provided by surety companies licensed and authorized to conduct business in the State of Rhode Island.

b.All surety companies must be listed with the current Department of the Treasury, Fiscal Services, Circular 570.

c.The amount of the Proposal Guaranty shall be as designated in the Notice to Contractors.

2.When the bidder is a joint venture, the Proposal Guaranty must be made out to the name of the joint venture and all parties of the joint venture must be named in the execution of the Proposal Guaranty made by the same thereon. If there is more than one surety to the Bid Bond, each surety shall be named and execution made by same thereon.

3.Execution of the Bid Bonds will not be considered complete unless accompanied by a certified copy of the power of attorney for the surety's attorney-in-fact.

G.Irregular Proposals.

1.Reasons for Disqualification. The Division of Purchases may in consultation with RIDOT declare a proposal non-responsive and disqualify a bidder for any of the following irregularities:

a.If the Proposal Form is obtained from any party other than RIDOT. (Proposal Forms are non-transferable.)

b.If the Proposal is:

(1)On a form other than that generated by RIDOT’s Quest Lite software or other approved procurement software; or

(2) If the form is altered or any part thereof is detached or incomplete.

c.If there are unauthorized additions, unauthorized conditional or alternate bids, or irregularities of any kind which may tend to make the Proposal incomplete, indefinite, or ambiguous as to its meaning.

d.If the bidder adds any provisions reserving the right to accept or reject an award.

e.If the Proposal is not completed using the Quest Lite or other approved procurement software.

f.If RIDOT determines that the low bid is both mathematically and materially unbalanced.

g.If the Proposal is received after the time designated for the opening of bids.

h.If the bidder fails to execute the required certifications enumerated in the Proposal Report labeled “DOCUMENT(S)” located at the end of the Proposal.

i.If the bidder fails to submit an original Bid Bond, properly executed.

j.If the compact disk (CD) data files and the hard copy submission do not match, unless such a discrepancy is determined to be the result of an error or malfunction within the RIDOT's Quest Lite or other approved procurement software.

k.If a compact disk (CD) is not submitted.

l.If the Proposal pages generated by the Quest Lite or other approved procurement software have been altered in any way.

2.Other Reasons for Disqualification. RIDOT and the Division of Purchases reserve the right to declare a proposal non-responsive and may disqualify a bidder for any of the following irregularities:

a.If the bidder fails to include at least a minimum amount where required for a particular item.

b.If the Proposal does not contain a "total or gross sum of bid,” written in words and figures, in the space provided.

c.If the Proposal is not properly signed.

d.If the bidder fails to comply in every detail with the instructions provided in § 12.4(E) of this Part.

e.If the Proposal is not submitted in a sealed envelope and clearly labeled as to its contents.

f.If the compact disk (CD) containing the bidder’s Proposal is unreadable by the Quest Lite or other approved procurement software.

H.Delivery of Proposals. Proposals shall be submitted in sealed envelopes. The envelope shall be labeled to clearly indicate its contents. When sent by mail, the sealed Proposal shall be addressed in care of the official in whose office the bids are to be received, all as indicated in the Notice to Contractors. Proposals shall be filed prior to the time and at the place specified in the Notice to Contractors.

I.Withdrawal or Revision Of Proposals.

1.A bidder may withdraw or revise a Proposal after it has been deposited with the Division of Purchases, provided the request for such withdrawal or revision is received by the Division of Purchases, in writing or by telegram, not later than two (2) hours before the time set for opening proposals.

2.Upon presentation of its written request at the proper time, a bidder's Proposal will be returned unopened. If a Proposal is withdrawn in accordance with this provision, the proposal guaranty shall be returned to the bidder.

3.Whether or not Proposals are opened exactly at the time set for such opening, a Proposal will not be received, nor may any be withdrawn, after the time set for the opening of proposals.

4.RIDOT reserves the right to revise the Plans, Specifications, other Contract Documents, the Proposal, and bid opening date for any project at any time prior to the time set for opening of Proposals. Such revisions will be made by addendum, duly numbered and dated, and made accessible to bidders through the Division of Purchases’ website known as the R.I. Vendor Information Program (RIVIP) at http://www.purchasing.state.ri.us/.

J.Combination or Conditional Proposals.

1.If RIDOT so elects, Proposals may be issued for projects in combination or separately, so that Proposals may be submitted either on the combination or on separate units of the combination.

2.The RIDOT and Division of Purchases reserve the right to make awards on combination bids or separate bids to the advantage of the State. No combination of Proposals, other than those as specified by RIDOT, will be considered.

3.Separate contracts will be written for each individual project included in the combination.

4.Conditional proposals will be considered only when specified in the Special Provisions.

K.Public Opening of Proposals. Proposals will be opened and read publicly at the time and place indicated in the Notice to Contractors or as amended by duly authorized Contract Addenda. Bidders, their authorized agents, and other interested parties are invited to be present at the opening of Proposals.

L.Disqualification of Bidders and Rejection of Proposals.

1.Mandatory Reasons for Disqualification. RIDOT will declare a Proposal unresponsive and shall disqualify a bidder for any of the following reasons:

a.More than one Proposal for the same work from an individual, partnership, corporation or joint venture under the same or different name;

b.Evidence of collusion among bidders. Participants in such collusion will not be considered for future proposals until re-qualified by RIDOT;

c.The making of false statements on prequalification documents and/or other required bidder's certifications;

d.Failure to comply with any prequalification requirements as set forth in § 12.4(A) of this Part;

e.Debarment by Federal or State authorities (including but not limited to debarment pursuant to 290-RICR-10-00-2); or

f.Failure to provide a properly executed Contract Bond.

2.Other Reasons for Disqualification. RIDOT and the Division of Purchases reserve the right to declare a Proposal unresponsive and may disqualify a bidder for any of the following reasons:

a.Lack of competency and adequate machinery, plant and other equipment;

b.Uncompleted work under Contract which, in the judgment of RIDOT, might hinder or prevent the prompt completion of additional work, if awarded;

c.Failure to pay, or satisfactorily settle, all bills due for the Prime Contractor’s labor and material on Contracts in force with RIDOT at the time of the Bid Opening;

d.Failure to pay or satisfactorily settle Subcontractor Payments as provided for under the Contract/Blue Book where good cause, as determined by RIDOT, has not been accepted. Determination of failure to pay or satisfactorily settle Subcontractor Payments will be made within 30 days of bid opening;

e.Provided however that the bidder shall have the right to either pay or settle any such claims within said 30-day period.

f.Failure to comply with any post qualification regulations or requirements of either the RIDOT or the Division of Purchases;

g.Default under previous contracts;

h.Unsatisfactory performance on a previously awarded contract; or

i.Failure to reimburse the State for monies owed on any previously awarded contracts including those where the prospective bidder is a party to a joint venture and the joint venture has failed to reimburse the State for monies owed.

M.Material Guaranty. The successful bidder may be required to furnish a complete statement of the origin, composition, and manufacture of any or all materials to be used in the construction of the work, together with samples to be tested for conformance with Contract provisions.

1.Domestic Steel Products. The bidder is advised of the “Buy American” requirements that apply to domestic steel products as set forth in the Contract/Blue Book.

N.Bidding Certifications.

1.Non-Collusive Bidding Certification

a.The Certificates. Every Proposal submitted to RIDOT shall contain an Anti-Collusion Certificate for Contract and Force Account (Unsworn Declaration), duly subscribed to and affirmed by the bidder as true under the penalties of law.

b.Certifications. By submission of a Proposal, each bidder and each person signing the Proposal, which includes the Anti-Collusion Certificate on behalf of the bidder, certifies as to its own organization, under penalty of perjury, that to the best of their knowledge and belief:

(1) The prices in this Proposal have been arrived at independently without collusion, consultation, communication, or agreement with any other bidder or with any competitor for the purpose of restricting competition.

(2)Unless required by law, the prices which have been quoted in this Proposal have not been knowingly disclosed and will not knowingly be disclosed by the bidder, directly or indirectly, to any other bidder or competitor prior to opening of Proposals.

(3)No attempt has been made or will be made by the bidder to induce any other person, partnership, or corporation to submit or not to submit a proposal for the purpose of restricting competition.

c.Non-Compliance. The Quest Lite or other approved procurement software will not enable a prospective bidder to complete the preparation of a Proposal unless the bidder certifies that he or she is in compliance with §§ 12.4(N)(1)(b)((1)) through ((3)) of this Part, above.

(1)The fact that a bidder: has published price lists, rates, or tariffs covering items being procured, has informed prospective customers of proposed or pending publication of new or revised price lists for such items, or has sold the same items to other customers at the same prices being bid, does not constitute a disclosure within the meaning of § 12.4(N)(1)(b)((1)) of this Part.

(2)The Proposal submitted to RIDOT will be considered as authorized by the board of directors of the bidder. Such authorization will be deemed to include the signing and submission of the Proposal and the inclusion therein of the certificate as to non-collusion on the part of the corporation.

(3)The signers of the Proposal hereby tender to RIDOT a statement that the named Contractor has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action to restrain free competitive bidding in connection with the Proposal.

2.Certification Regarding Debarment, Suspension and Other Responsibility Matters.

a.The Certificate. Every Proposal submitted to RIDOT shall contain a Certification Regarding Debarment, Suspension and Other Responsibility Matters, duly subscribed to and affirmed by the bidder as true under the penalties of law.

b.Certification. By submission of a Proposal, each bidder and each person signing the Proposal, which includes the Debarment Certification on behalf of the bidder, certifies as to its own organization, under penalty of perjury, that to the best of their knowledge and belief:

(1)Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal department or agency;

(2)Have not, within a three-year period preceding the submission of a Proposal been convicted of or had a civil judgment rendered for commission of fraud or a criminal offense in connection with obtaining or performing a pubic contract or transaction;

(3)Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity;

(4)Have not, within the prior three-year period, had one or more public transactions terminated for cause or default.

c.Non-Compliance. In the event a prospective bidder is unable to certify to one or more of the conditions above, the bidder must attach a list of exceptions to the hard copy proposal generated by the Quest Lite or other approved procurement software.

(1)Exceptions listed will not necessarily result in denial of award, but will be considered in determining contractor responsibilities.

(2)The Quest Lite or other approved procurement software allows a prospective bidder to either certify that he or she is in compliance with the provisions outlined in §§ 12.4(N)(2)(b)((1)) through ((4)) of this Part, or to not certify these provisions and instead provide with his Proposal a list of exceptions to document the reason(s) why he or she is unable to certify his or her compliance with these provisions. In the latter case, the software will generate a statement on the signature page of the Proposal that additional documentation is attached in support of the bidder’s inability to fully certify to the provisions.

3.Disadvantaged Business Enterprise Affirmative Action Certificate.

a.The Certificate. For all contracts containing provisions for the participation of Disadvantaged Business Enterprises (DBEs), prospective bidders shall be required to complete a Certification affirming compliance with the U.S. Department of Transportation and applicable State of Rhode Island regulations regarding participation by Disadvantaged Business Enterprises in the contract as contractors, subcontractors and/or suppliers of materials and services.

b.Certification. By submission of a Proposal, each bidder and each person signing a Proposal which includes the DBE Certification certifies that the organization shall affirmatively seek out and consider Disadvantaged Business Enterprises to participate in the contract, and develop and submit for approval to RIDOT, within ten days from the receipt of bids, a Disadvantaged Business Enterprise Program in accordance with the provisions of the DBE Certification.

c.Non-Compliance. The Quest Lite or other approved procurement software will not enable a prospective bidder to complete the preparation of a bid Proposal unless the bidder completes the DBE Certification form in the Proposal.

4.Disclosure of Lobbying Activities.

a.The Certificate. Every bidder shall be required to certify and disclose, through the bid preparation process, any lobbying of Federal agencies, employees, officers, Members of Congress, or officers or employees of Congress or Members of Congress in connection with a covered Federal action.

b.Certification. By submission of a Proposal, each bidder and each person signing a Proposal certifies that, to the best of their knowledge and belief:

(1)No Federal appropriated funds have or will be paid, by or on behalf of the prospective bidder, to any individual or entity for the purpose of influencing or attempting to influence any Federal agency, employee or officer thereof in connection with the awarding of any Federal contract, the making of a Federal grant or load, or any other form of a contractual nature.

(2)If any funds other than Federal appropriated funds have been paid for the purpose of influencing any Federal agency, employee or officer thereof, the prospective bidder shall complete and submit as part of the bid Proposal submission, Standard Form LLL “Disclosure Form to Report Lobbying” in accordance with its instructions.

(3)The prospective bidder also acknowledges by submitting a bid Proposal, that the requirements of this certification shall also apply to all lower tier subcontracts which exceed $100,000, and that all subcontractors shall certify and disclose accordingly.

c.Non-Compliance.

(1)The Quest Lite or other approved procurement software will not enable a prospective bidder to complete the preparation of a bid Proposal unless the bidder certifies that he has met the requirements of §§ 12.4(N)(4)(b)((1)) through ((3)) of this Part.

(2)In order to complete a bid Proposal, the bidder is required to certify that no Federal appropriated funds have been used for lobbying purposes, to certify whether other sources of funds have been used for lobbying and if so, to report this activity on Standard Form LLL, which is included in the Quest Lite or other approved procurement software.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-13 to 01/04/2022

220-RICR-30-00-12 § 12.5 AWARD AND EXECUTION OF THE CONTRACT

A.Consideration of Proposals

1.After the Proposals are opened and read, they will be compared on the basis of the summation of the products of the estimated quantities shown in the Proposal by the unit bid prices. The results of such comparisons will be made available to the public.

2.RIDOT and the Division of Purchases reserves the right to correct arithmetic errors in the Proposals prior to comparison of said Proposals. In the event of a discrepancy between unit bid prices and extensions, the unit bid price shall govern.

3.RIDOT and the Division of Purchases reserves the right to reject any or all Proposals, to waive technicalities or to advertise for new Proposals.

B.Post-Qualification Requirements and Award Of Contract.

1.Submission of Post Qualification Requirements

a.All post qualification requirements shall be submitted as specified in the Solicitation prior to the award of the Contract.

b.As part of the post qualification submission, the Contractor must designate on the Transportation Management Plan the Contractor’s TMP Implementation Manager for the Contract. The Contractor’s TMP Implementation Manager, together with RIDOT's TMP Implementation Manager are the persons with the primary responsibility and authority for implementation of the Transportation Management Plan.

2.Financial Statements. The successful bidder will be required to submit a complete set of audited financial statements certified by a Certified Public Accountant (CPA). For contracts valued at $500,000 and under, the successful bidder is required to submit only its financial references and an original copy of its current financial statement.

3.Award of Contract.

a.Contract award, if it be awarded, will be made within sixty (60) calendar days following the opening of Proposals, or within the time specified in the Notice to Contractors, to the lowest responsible and qualified bidder who submits the lowest responsive Proposal.

b.The successful bidder will first receive a Notice of Tentative Selection. This written communication will indicate the conditional intention of the State to award the Contract and instruct the successful bidder to arrange for the execution of the Contract Agreement and Contract Bond and for the delivery of the Certificates of Insurance, all as hereinafter provided.

c.On Contracts jointly bid, Contractors will be held jointly and severally liable for the entire Contract.

d.Corporate bidders must furnish documentary evidence that they have met all legal requirements to transact business in the State of Rhode Island as a condition precedent to approval of the Contract.

C.Cancellation of Notice of Tentative Selection

1.Both RIDOT and the Division of Purchases reserve the right to cancel the Notice of Tentative Selection prior to issuance of Purchase Order without any liability against the State of Rhode Island.

D.Return of Proposal Guaranty

1.RIDOT and the Division of Purchases reserves the right to retain the surety of all bidders until either the successful bidder enters into the Contract or until such time as the award or cancellation of the Contract is announced. At that point sureties will be returned to all bidders.

2.A Contractor will not be released from the bidding obligation because of an alleged error in the preparation of the Proposal unless RIDOT and the Division of Purchases returns the Contractor's Proposal Guaranty.

E.Contract Bond

1.At the time of the execution of the Contract, the successful bidder shall furnish a Contract Bond in a sum equal to the full amount of the Contract.

a.The Contract Bond shall guarantee the following:

(1)Complete performance of the Contract;

(2) Full payment for all materials and equipment; and

(3)Full payment of all wages of labor.

2.The form of the Contract Bond shall be acceptable to both RIDOT and the Division of Purchases. In the event the surety fails or becomes financially insolvent, the successful bidder shall file a new Bond in the amount designated by the RIDOT within thirty (30) days of such failures or insolvency.

3.The Bond submitted to RIDOT and the Division of Purchases shall be provided by a surety both acceptable to RIDOT and licensed and authorized to conduct business in the State of Rhode Island. All surety companies must be listed with the current Department of the Treasury, Fiscal Services, Circular 570. Subsequent to award of Contract, RIDOT or Division of Purchases may call for additional security as required. Changes, additions, and modifications to the Contract may be made without the consent of surety.

F.Execution and Approval of the Contract.

1.The Contract shall be executed by the successful bidder, hereinafter referred to as the Contractor, in accordance with the instructions contained in the Notice of Tentative Selection.

a.At the specified time and place, the Contractor shall deliver the Contract Bond and required Certificates of Insurance, execute the Contract Agreement, and comply with all other stipulations set forth in said notice.

2.Receipt by the Contractor of the executed Contract Agreement and a Purchase Order signed by the RIDOT Director and/or the Purchasing Agent and the State Controller constitutes the official "Award" of the Contract.

3.The Contract execution date may be extended by mutual agreement of RIDOT and the successful bidder.

G.Failure to Execute Contract.

1.Failure of State to Execute Contract.

a.If the Contract is not executed within fifteen (15) calendar days following execution of the Contract Agreement and Bond by the Contractor, said Contractor shall have the right to withdraw its Proposal without penalty.

2.Failure of the Bidder to Execute Contract.

a.Failure of the successful bidder to execute the Contract Agreement and Contract Bond, deliver the required Certificates of Insurance; and comply with other stipulations within fifteen (15) calendar days of receipt of the Notice of Tentative Selection shall be considered revocation of said notice and require forfeiture of the Proposal Guaranty to RIDOT and the Division of Purchases. Such forfeiture shall not be considered a penalty, but rather a liquidation of damages sustained by the State.

b.Furthermore, the RIDOT and the Division of Purchases will not issue or receive subsequent proposals for construction work from a bidder who fails to execute a Contract until said bidder demonstrates its ability to obtain the necessary bonding and insurance coverage to the complete satisfaction of RIDOT.

c.In the event a Contract is not executed with the first-designated responsible bidder, RIDOT may either award the Contract to the next lowest responsible bidder or reject all bids and re-advertise the Project for the purpose of soliciting new Proposals.

H. Escrow of Bid Documentation. The placing in escrow of bid documentation in accordance with this Section shall be required only when specifically called for in the Notice to Contractors. Otherwise, this Section shall not apply.

1.Scope and Purpose.

a.The purpose of § 12.5(H) of this Part is to preserve the bid documents of the Contractor for use by the parties in any claims or litigation between RIDOT and Contractor arising out of a Contract.

b.The Contractor shall submit to RIDOT a legible copy of bid documentation used to prepare the bid for the Contract. Such documentation shall be placed in escrow with a banking institution or other bonded document storage facility and preserved by that institution/facility as specified in the following Sections of this Part.

2.Submittal and Return of Bid Documentation.

a.Prior to execution of the Contract, the Contractor shall submit to RIDOT the required bid documentation in a sealed container. The container shall be clearly marked "Bid Documentation" and shall also show on the face of the container the Contractor's name and address, the date of submittal, the Project Number, the Contract Number, and Project Name.

3.Affidavit.

a.In addition to the bid documentation, the Contractor shall submit an affidavit, signed under oath by a representative of the Contractor authorized to execute bidding proposals, listing each bid document submitted by author, date, nature, and subject matter.

b.The affidavit shall attest that the affiant has personally examined the bid documentation, that the affidavit lists all of the documents relied upon by the Contractor in preparing its bid for this project, and that all such bid documentation is included in the submission to RIDOT.

4.Duration and Use.

a.RIDOT and the Contractor will jointly deliver the sealed container and affidavit to a banking institution or other bonded document storage facility selected by RIDOT for placement in a safety deposit box, vault or other secure accommodation.

b.The agreement with the document depository shall reflect that the bid documentation and affidavit shall remain in escrow during the life of the Contract or until the Contractor notifies RIDOT of his or her intention to file a claim or initiate litigation against RIDOT related to the Contract.

(1)Notification of the Contractor's intention to file a claim, or initiation of litigation against RIDOT, shall be sufficient grounds for RIDOT to obtain the release and custody of the bid documentation.

(2)In the absence of such action and provided that the Contractor has signed the final Standard Release Form, RIDOT shall instruct the document depository to release the sealed container to the Contractor.

c.In accordance with its representation that the sealed container placed in escrow contains all of the materials relied upon by the Contractor in preparing its bid, the Contractor must agree to waive its right to use any bid documentation other than that placed in escrow in disputes arising out of the Contract.

5.Refusal or Failure to Provide Bid Documentation

a.Failure to provide bid documentation in accordance with the requirements of this Section shall be considered revocation of the notice of award and forfeiture of the Proposal Guaranty to the RIDOT and the Division of Purchases.

6.Confidentiality of Bid Documentation

a.The bid documentation and affidavit in escrow are, and will remain, the property of the Contractor.

b.RIDOT has no interest in, or right to, the bid documentation unless notification of the intention to file claim is received or litigation ensues between RIDOT and Contractor.

(1)In the event of such notification or litigation, the bid documentation and affidavit shall become the property of RIDOT; provided, however, that these materials, and all copies made by RIDOT, shall be returned to the Contractor at the conclusion of litigation, or final resolution of all outstanding claims, upon execution of a final release.

c.Moreover, RIDOT shall make every reasonable effort to ensure that bid documentation to which it has gained access will remain confidential within RIDOT and will not be made available to anyone outside RIDOT, or used by a former RIDOT employee.

7.Cost and Escrow Instructions

a.The cost of the escrow will be borne by RIDOT. RIDOT will provide escrow instructions to the document depository consistent with this clause.

b.There will be no separate payment for compilation of the data, container or cost of verification of the bid documentation. All costs shall be included in the overall Contract bid price.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-13 to 01/04/2022

220-RICR-30-00-13 General Conditions of Purchase

220-RICR-30-00-13 § 13.1 Purpose

The purpose of the General Conditions of Purchase is to provide a comprehensive, clear, consistent and reasonable set of contractual terms to serve as the base agreement between the State of Rhode Island ("State") and a Vendor. These General Conditions, along with items specified in § 13.4 of this Part herein, shall serve as the Contract with the State regardless of the method of procurement.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.2 Definitions

A.For the purposes of this Part, the following definitions shall apply:

1.“Contract” means a Purchase Order, Purchase Agreement, and/or Letter of Authorization issued by the Division, along with any and all contractual documents incorporated by reference by the Division.

2.“Purchase agreement” means a written document formally issued by the Division to a Vendor that binds the parties to general terms, but does not represent a specific order for goods or services. A Purchase Agreement may include:

a.A “Statewide purchase agreement" or "Master price agreement” or “MPA,” which serves as an agreement for more than one agency, but does not include a specific quantity until a Purchase Order is issued; or

b.An “Agency purchasing agreement,” or "Agency pricing agreement," or "APA," which serves as an agreement for one agency, but does not include a specific quantity until a Purchase Order is issued;

3.“Vendor” means any individual, firm, corporation, partnership or other entity submitting a proposal to the Division indicating a desire to enter into contracts with the State of Rhode Island, or with whom a Contract is executed by the State Purchasing Agent.

B.All other terms contained in the State Purchases Act and State Procurement Regulations and used herein shall have the same meanings.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.3 Procurement Process

A.Pricing

All pricing offered or extended to the State is considered to be firm and fixed unless expressly provided for to the contrary in the Purchase Order or Purchase Agreement.

B.Cost of Preparation

All costs associated with the preparation, development and submission of bids or proposals and/or protests arising therefrom, in response to solicitations issued on behalf of the State, shall be the Vendor’s sole responsibility. The State will not reimburse any Vendor for such costs.

C.Selection

1.Vendor bids and proposals shall be evaluated and Purchase Orders or Purchase Agreement issued with reasonable promptness and by written notice to the successful Vendor (only); bids and proposals are considered to be irrevocable for a period of sixty (60) days following the opening date unless expressly provided for to the contrary in the solicitation document, and may not be withdrawn during the specified period without the express written permission of the State Purchasing Agent.

2.The State reserves the right, before making an award, to initiate investigations as to whether or not the materials, equipment, supplies, services, qualifications, integrity, capability, capacity, and/or facilities offered by the Vendor meet the requirements set forth in the solicitation and are ample and sufficient to ensure the proper performance of the Contract in the event of award. Failure to pay subcontractors on previous Vendor Contracts may be considered (also see § 13.5 of this Part herein). If upon such examination it is found that the conditions of the solicitation are not complied with, and/or that the goods or services proposed to be furnished do not meet the requirements called for in the solicitation, and/or that the services, qualifications, integrity, capability, capacity and/or facilities of the Vendor are not satisfactory, then the State may reject Vendor’s bid or proposal at the State’s sole discretion. Nothing in the foregoing shall mean or imply that it is obligatory upon the State to make any examinations before issuance of a Purchase Order or Purchase Agreement. If such examination is made, it in no way relieves the Vendor from fulfilling all requirements and conditions of the Contract.

3.Qualified or conditional offers which impose limitations of the Vendor’s liability or modify the requirements of the solicitation, offers for alternate specifications, or offers which are made subject to different terms and conditions, including form contracts, other than those specified by the State may be, at the sole discretion of the State Purchasing Agent:

a.Rejected as being non-responsive; or,

b.Set aside in favor of the requirements set forth in the solicitation (with the consent of the Vendor); or,

c.Accepted, if the State Purchasing Agent determines in writing that such acceptance is in the best interest of the State.

d.Acceptance or rejection of alternates or counter-offers by the State Purchasing Agent shall not constitute a precedent and shall not be considered to be binding on successive solicitations or procurements.

4.Vendor bids and proposals must bear an authorized signature or certification in a form approved by the State Purchasing Agent. Vendor bids and proposals which do not bear the required signature or certification may be deemed to be non-responsive to the solicitation. Bids submitted in pencil will not be accepted.

5.Vendor bids and proposals must utilize the unit of measure specified in the solicitation. In the event of any discrepancy between unit prices and their extensions, the unit price will govern.

6.The State Purchasing Agent reserves the right to determine whether a Vendor’s bid or proposal is Responsive to a solicitation and whether a Vendor is Responsible.

7.The State Purchasing Agent reserves the right to reject any and all bids or proposals in whole or in part, to waive technical defects, irregularities, and omissions, to give consideration to a Vendor’s past performance where, in the State Purchasing Agent’s judgment, the best interest of the State will be served, to require additional competitive negotiations and/or to issue a request for best and final offers.

8.The State Purchasing Agent reserves the right to make awards by items, group of items or on the total low bid for all the items specified as indicated in the solicitation, unless the Vendor expressly indicates otherwise in its bid or proposal that doing so is not acceptable.

9.Preferences may be given as authorized by law or regulation, including, but not limited to, the following:

a.Preference may be given to bids for products raised or manufactured in Rhode Island, in the event that all other things are equal. Contracts funded entirely by State funds, when all factors are equal, a Vendor or service provider whose headquarters or primary place of business is located within the State, or in the event of a joint venture with a Vendor or service provider whose headquarters or primary place of business is within the State, shall receive preference.

b.MINORITY BUSINESS ENTERPRISES - Pursuant to the provisions of R.I. Gen. Laws Chapter 37-14.1 reserves the right to apply additional consideration to offers, and to direct awards to bidders other than the responsive bid representing the lowest price where:

(1)The offer is fully responsive to the terms and conditions of the Request;

(2)The price offer is determined to be within a competitive range (not to exceed 5% higher than the lowest responsive price offer) for the product or service;

(3)The firm making the offer has been certified by the R.I. Department of Administration, Office of Diversity Equity and Opportunity to be a small business concern meeting the criteria established to be considered a Minority Business Enterprise. A minimum of ten percent [10%] of the dollar value of the work performed against contracts shall be performed by certified Minority Business Enterprises where it has been determined that subcontract and/or supply opportunities exist, and where certified Minority Business Enterprises are available. A vendor may count 60% of its expenditures for materials and supplies required under a contract and obtained from an MBE certified as a regular dealer or supplier, and 100% of such expenditures when obtained from an MBE certified as a manufacturer, towards the MBE participation requirement under R.I. Gen. Laws § 37-14.1-6. For materials or supplies obtained from firms certified as a broker or manufacturer’s rep, vendors may receive MBE participation credit only for the fees and commissions charged for the procurement of the goods and materials, but not the cost of the materials themselves. Awards of this type shall be subject to approval, by the Director of Administration, of a Subcontracting Plan submitted by the bidder receiving the award.

10.The State Purchasing Agent reserves the right to act in the State's best interest regarding awards caused by clerical errors or omissions by the Division.

11.Any Contract issued by the Division is subject to the resolution of any timely bid protest.

12.Any objections to specifications or requirements in a solicitation must be received by the Chief Purchasing Officer in accordance with State Procurement Regulation (§ 1.6 of this Subchapter).

D. Public Records

Vendors are advised that all records submitted to the Division may be subject to disclosure in accordance with the Rhode Island Access to Public Records Act, R.I. Gen. Laws § 38-2-1, et seq. and/or in the course of litigation through discovery. Any records submitted which a Vendor believes are of a privileged or confidential nature or are not subject to disclosure in accordance with R.I. Gen. Laws § 38-2-2 or other applicable laws, should be clearly marked. The Vendor should provide a brief explanation as to why each portion of information marked as confidential or privileged should be withheld from public disclosure and cite the specific provision of R.I. Gen. Laws § 38-2-2. In the event the Vendor makes a reasonable assertion of confidentiality or privilege, the Division and/or agency and/or public institution of higher education will use reasonable efforts to honor the Vendor’s request.

E.Product Evaluation

In all solicitations, the words "or equal" shall be understood to apply to each article when a manufacturer's name or catalog are referenced unless the solicitation specifically states “no substitutions.” When submitting a bid or proposal which includes items other than those specified in the solicitation, the Vendor must, in every instance, give the trade designation of the article, manufacturer's name and detailed specifications of the item the Vendor proposes to furnish; otherwise, the bid or proposal shall be construed as being submitted for the identical commodity described in the solicitation. The State Purchasing Agent reserves the right to determine whether or not the substitute item(s) offered by the Vendor is an approved equal to the item(s) specified in the solicitation.

1. All standards are minimum standards except as otherwise provided for in the solicitation.

2. Samples must be submitted to the Division of Purchases in accordance with the solicitation. Samples must be furnished free of charge with the understanding that they shall not be returned to the Vendor.

3. All samples submitted by Vendors may be subject to examination or testing by any laboratory the State Purchasing Agent may designate.

F.COLLUSION - Vendor warrants that it has not, directly or indirectly, entered into any agreement or participated in any collusion or otherwise taken any action in restraint of full competitive bidding.

G.PROHIBITION AGAINST CONTINGENT FEES AND GRATUITIES - Vendor warrants that it has not paid, and agrees not to pay, any bonus, commission, fee, or gratuity to any employee or official of the State for the purpose of obtaining any contract or award issued by the State. Vendor further warrants that no commission or other payment has been or will be received from or paid to any third-party contingent on the award of any contract by the State, except as shall have been expressly communicated to the State Purchasing Agent in writing prior to acceptance of the contract or award in question. Subsequent discovery by the State of non-compliance with these provisions shall constitute sufficient cause for immediate termination of all outstanding contracts and suspension or debarment of the bidder(s) or contractor(s) involved.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.4 Entire Agreement

A.Incorporation

The Purchase Order, Purchase Agreement or Letter of Authorization issued by the Division, together with associated documents referenced therein, shall constitute the entire and exclusive agreement between the State and any Vendor receiving an award. As noted in § 13.1 of this Part, the resulting Contract shall incorporate by reference:

1.The “State Purchases Act,” R.I. Gen. Laws § 37-2-1, et seq.;

2.The Procurement Regulations adopted pursuant thereto;

3.The Vendor Certification Cover Form;

4.All other applicable provisions of the Rhode Island General Laws and applicable federal laws;

5.The specific requirements described in the solicitation and related solicitation documents;

6.These General Conditions of Purchase, along with applicable addenda as referenced in § 13.34 of this Part herein; and

7.The offer/proposal submitted by Vendor and accepted by the State.

B.Order of Precedence

Unless otherwise approved by the State Purchasing Agent, in the event of any express conflict or dispute regarding a Vendor’s proposal, a Vendor’s proposed standard terms of sale, the solicitation documents, statutes, regulations and/or these General Conditions of Purchase, the following order or precedence shall generally apply (with 1 being the highest level of precedence):

1.Federal laws and/or regulations (for federally funded contracts only)

2.Rhode Island General Laws;

3.State Procurement Regulations (Parts 1 through 13 of this Subchapter), General Conditions of Purchase and contract Addenda in addition to the General Conditions (“GC Addenda”) (§ 13.34 of this Part);

4.The Purchase Order or Purchase Agreement issued by the Division;

5.The offer, proposal or bid submitted by the Vendor and to the extent accepted by the Division;

6.Solicitation documents issued by the Division; and

7.To the extent allowed by law, for an individual procurement, the State Purchasing Agent may agree to an alternate order of precedence to serve the best interest of the State and/or to protect the health, safety and welfare of the State and its citizens.

C.Contract Contingencies

1.All Contracts are subject to the following:

a.All material communication between the State and any Vendor pertaining to any solicitation, award or management of a Contract shall be set forth in writing.

b.Vendor proposals shall be accepted by the Division with the understanding that the issuance of a Purchase Order, Purchase Agreement or Letter of Authorization shall be the only document which creates a binding Contract between the Vendor and the State. The Purchase Order, Purchase Agreement or Letter of Authorization shall bind the Vendor on its part to furnish and deliver goods and/or services at the prices and in accordance with the conditions of Vendor’s proposal. A Contract shall be deemed executory only to the extent of funds available for payment of the amounts shown on the Purchase Order. Additionally, any Contract shall be contingent upon the resolution of a timely bid protest.

c.No alterations or variations of the terms of the Contract shall be valid or binding upon an agency, the State, or the Division unless submitted in writing and accepted by the State Purchasing Agent thorough issuance of an approved Purchase Order or Change Order. All Contracts and changes must be approved by and emanate from the Division. Oral agreements or arrangements made by a Vendor with anyone, including an agency or agency employee, shall not be binding upon an agency, the State or the Division unless and until reduced to writing and approved by the State Purchasing Agent through the issuance of an approved Purchase Order, Purchase Agreement or Change Order.

d.Contracts shall remain in force for the term specified in the Purchase Order or Purchase Agreement or until all articles or services ordered before date of termination shall have been satisfactorily delivered or fully rendered and accepted by the State and thereafter until all terms and conditions have been met, unless:

(1)Terminated prior to expiration date by satisfactory delivery against orders of entire quantities, or

(2)Extended upon written authorization of the State Purchasing Agent to permit ordering of the unordered balances or additional quantities at the Contract price and in accordance with the Contract terms, or

(3)Canceled by the State in accordance with other provisions stated herein.

e.All Vendor obligations as described herein shall survive expiration, termination and/or cancellation of the Contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.5 Relationship of Parties

The selected Vendor must be fully qualified and capable in all material respects to provide the specified goods and/or services. Unless specifically provided for in the solicitation, the Vendor shall be an independent contractor and not an employee, agent, partner or joint venturer with the State. Nothing herein shall be construed as creating any contractual relationship or obligation between the State and any sub-bidder, subcontractor, supplier of the Vendor, and/or employee of the Vendor. With that said, the State may consider Vendor non-payment of subcontractors or suppliers in determining whether an award to the Vendor is in the best interest of the State. If the solicitation allows, and the Vendor is a joint entity consisting of more than one individual, partnership or corporation or other business organization, all such entities shall be jointly and severally liable for performing the Contract; however, one entity shall be designated as the lead Vendor for contracting purposes.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.6 Specified Quantity Requirements

A.Except where expressly specified to the contrary, all solicitations are predicated on a specified quantity of goods or services, or for a specified level of funding. Provided, however, that:

1.If stated in the solicitation, the State reserves the right to modify the quantity, scope of service, or funding of any Contract, with no penalty or charge, by written notice to the Vendor; and,

2.The State shall not accept quantities in excess of the specified quantity except where the item is normally sold by weight (where sold by weight, the State shall not accept quantities greater than ten per cent [10%] of the specified quantity), or where the solicitation provides for other than exact quantities; and,

3.Quantities and performance periods set forth in a Purchase Order or a Purchase Agreement may be increased or extended with approval of the State Purchasing Agent provided; however, that any such increase or extension shall be documented through issuance of a Change Order issued by the Division.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.7 Term and Renewal

Where offers have been requested or Contracts awarded for terms exceeding periods of twelve (12) months, it is mutually understood and agreed that the State's commitment is subject to the appropriation of funding and is limited to a base term not to exceed twelve (12) months, subject to renewal annually at the State's sole option for successive one-year terms, except where expressly specified to the contrary. Purchase Orders, Purchase Agreements, and/or Change Orders appearing to commit the State to obligations of funding or terms of performance in excess of twelve (12) months may be executed for administrative convenience, but are otherwise subject to this provision. In such cases the State's renewal shall be deemed to be automatic, conditional on the continued availability of appropriated funds for the purpose, except as written notice of the State's intent not to renew is served.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.8 Delivery

A.Delivery must be made as ordered and in accordance with the solicitation and Vendor’s proposal. If delivery qualifications do not appear on the Vendor's proposal, then the proposal shall be interpreted to mean that goods are in stock and that shipment will be made within seven (7) calendar days after issuance of the Purchase Order. The decision of the State Purchasing Agent as to reasonable compliance with the delivery terms shall be final. The burden of proof for delay in delivery of an order shall rest with the Vendor. Except when authorized on the Purchase Order:

1.All prices shall be quoted F.O.B. destination, freight pre-paid with all transportation and handling charges paid by the Vendor;

2.Responsibility and liability for loss or damage shall remain with the Vendor until final inspection and acceptance when responsibility shall pass to the State except as to latent defects, fraud and or Vendor’s warranty obligations;

3.Deliveries shall be inside deliveries to other than a loading dock, front lobby or reception area and as designated in the Purchase Order; and,

4.Costs shall include all packaging and/or crating charges which shall be of durable construction, good condition, properly labeled and suitable for handling of contents.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.9 Foreign Entities

In accordance with R.I. Gen. Laws § 7-1.2-1401, no business entity shall have the right to transact business in Rhode Island until it shall have procured a certificate of authority to transact business in the State from the Rhode Island Secretary of State. The term “Entity” means a corporation, a business trust, or association, a real estate investment trust, a common-law trust, a sole proprietorship or any other unincorporated business, or entity including a partnership, whether general or limited, (including a registered limited liability partnership), a foreign limited liability company, or as defined in R.I. Gen. Laws § 7-1.2-1401.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.10 Product Acceptance

A.Quality

All goods offered or otherwise provided by Vendors shall be new, of the latest model or design, sourced from regular stock product inventories with all parts regularly used with the type of goods offered, without attachment(s) or part(s) substituted or applied contrary to manufacturer’s recommendation and standard practice, of prime manufacture, and of first quality unless otherwise specified by the State.

B.Rejection of Nonconforming Goods

The State reserves the right to reject all nonconforming goods, and to cause their return for credit or replacement, at the State's option. Contract deliverables specified for procurement of services shall be construed to be work product, and subject to the provisions of this Section.

1.Failure by the State to discover latent defect(s) or concealed damage or non- conformance shall not foreclose the State's right to subsequently reject the goods in question.

2.Formal or informal acceptance by the State of non-conforming goods shall not constitute a precedent for successive ordering, receipt, acceptance, or procurement of non-conforming goods.

3.If the Vendor fails to promptly cure the defect or replace the goods, the State reserves the right to cancel the Purchase Order. The State may then contract with a different Vendor and invoice the original Vendor for any differential in price over the original Contract price.

4.When materials, equipment or supplies are rejected, the same must be removed by the Vendor from State property within forty-eight (48) hours of notification, unless otherwise specified by the State. Rejected items left longer than forty-eight (48) hours or another time set by the State, shall be regarded as abandoned and the State shall have the right to dispose of those items at the Vendor’s expense.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.11 Ownership

Unless otherwise specifically provided for in the solicitation, General Conditions, or General Conditions Addenda, all data, material and documentation prepared for the State shall be considered work for hire and belong exclusively to the State.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.12 Product Warranties

A.All product or service warranties normally offered by the Vendor shall accrue to the State's benefit, in addition to any special requirements or benefits which may be stated in the solicitation and/or additionally offered by the Vendor in its bid or proposal. During the term of any maintenance period, but for no less than one year from acceptance, the Vendor shall warrant:

1.The product or services shall perform according to the specific claims and representations made by the Vendor in its bid or proposal;

2.The services or product offered by the Vendor are suitable for the ordinary purposes for which such product is used or services provided;

3.The product or services offered by the Vendor are suitable for any special purposes identified in the solicitation or for which the State has relied on the Vendor’s skill or judgment;

4.The product was designed and the services performed in a commercially reasonable manner; and,

5.The product or services are free from defects in material and workmanship.

B.The State shall give notice of a warranty claim to the Vendor in a commercially reasonable manner, upon which, the Vendor shall repair or replace at no cost to the State the product or services. If the repaired or replaced product or services prove to be inadequate, or fail of their essential purpose, the Vendor shall refund the full amount of any payments that have been made by the State. The rights and remedies of the State under this Section are in addition to any other rights and remedies (including cover) provided by law or equity. Any alternate warranties proposed by a Vendor are subject to the provisions of § 13.3(C)(3) of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.13 Payment

A.Unless otherwise provided for in the solicitation, Purchase Order or Agreement, payment (subject to retention or set-off, if applicable) shall not be made by the State until goods and are delivered or services performed, in full, and accepted. After such acceptance, payment shall not be due until a properly submitted invoice, with satisfactory documentation, is delivered to the State. Payment then shall be made promptly in accordance with R.I. Gen. Laws § 42-11.1-1, et seq.:

1.Vendor payment terms other than as set forth herein may be rejected as being non-responsive.

2.No partial shipments will be accepted, unless provided for by the solicitation or Purchase Order.

3.Where a question of quality or performance is involved, payment in whole or part against which to charge back any adjustment required, shall be withheld at the direction of the State Purchasing Agent.

4.In the event a cash discount or rebate is stipulated, the withholding of payments, as herein described, will not deprive the State from taking such discount or rebate.

5.If not rejected, payments for used portion of inferior or defective goods shall be made by the State on an adjusted price basis.

6.Requests for payments on Contracts under architectural or engineering supervision must be authorized by the architect or engineer and submitted to the agency involved for approval.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.14 Set-Off Against Payments

Payments due the Vendor shall be subject to reduction by the State Controller equal to the amount of unpaid and delinquent State taxes (or other just debt owed to the State), except where notice of deficiency for trust fund taxes is not a final assessment and still open for a hearing request or while the tax deficiency notice is pending in administrative hearing or from any judicial appeal therefrom.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.15 Claims

A.Setoff

Any claim against a Vendor may be deducted by the State from any money due it in the same or other transactions. If no deduction is made in such fashion, the Vendor shall pay the State the amount of such claim on demand. Submission of a voucher and payment, thereof, by the State shall not preclude the State Purchasing Agent from demanding a price adjustment in any case when the good or service is delivered or is later found to deviate from the Contract.

B.Damages for Claims

The Purchasing Agent may assess dollar damages against a Vendor determined to be non-performing or otherwise in default of its contractual obligations equal to the cost of remedy incurred by the State, and make payment of such damages a condition for consideration for any subsequent award. Failure by the Vendor to pay such damages shall constitute just cause for disqualification, rejection, and/or suspension. Vendor may appeal any assessment of damages in accordance with § 1.6 of this Subchapter.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.16 Unused Balances

Unless otherwise specified, all unused quantities and/or unexpended funds shall be automatically canceled on the expiration of the specified term stated in the Contract. Similarly, for orders encompassing more than one State fiscal year, unexpended balances of funding allotted for an individual fiscal year may be liquidated at the close of that fiscal year, at the State's sole option.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.17 Confidentiality

A.“Confidential Information”

1.Whenever used in a Contract, the term “Confidential information” means:

a.Information exempt from disclosure to the public or other unauthorized persons under either Rhode Island or federal statutes or regulations; or

b.Information related to the State’s infrastructure, operations, security, or personnel unless otherwise identified by the State in writing as non-confidential at the time of disclosure; or

c.Any other information which the State has identified to the Vendor in writing as confidential at the time of disclosure or within thirty (30) days after disclosure; or

d.State Data which includes User Data and the State’s data used, processed, hosted, stored, or generated as a result of the Services. User Data means any and all information reflecting the access or use of the Services by or on behalf of the State or any authorized user, including any end user profile, visit, session, impression, information, click-through or click stream data and any statistical or other analysis, information or data based on or derived from any of the foregoing; or

e.Information that would ordinarily be reasonably considered confidential or proprietary in the light of the circumstances surrounding disclosure.

B.Form of Confidential Information

1.Confidential Information may take the form of, but is not limited to, plans, calculations, charts, concepts, know-how, inventions, licensed technology, design sheets, design data, diagrams, system design, materials, hardware, manuals, drawings, processes, schematics, specifications, instructions, explanations, research, test procedures and results, equipment, identity and descriptions of components or materials used, any and all personal and/or confidential information pertaining to State employees and/or State personnel, including, but not necessarily limited to, any and all personal and/or confidential healthcare and/or health and/or medical data and/or any other similar and/or related personal and /or confidential information, pertaining to State employees and/or State personnel or any other material or information supplied by or on behalf of the State, State Data or that is disclosed to or becomes known by Vendor as a result of its dealings with the State. Confidential Information may be in tangible or intangible form. The State’s failure to expressly identify Confidential Information as such shall not in any way lessen or negate Vendor’s obligation to keep such information confidential in accordance with these terms.

2.Exemptions to Confidential Information

a.Notwithstanding the foregoing, and except as provided in the Contract or Addenda, the term “Confidential information,” shall not be construed to include information that:

(1)Is or becomes readily available in public records or documents, other than as a result of an inappropriate disclosure by Vendor or other entity or persons acting on behalf of Vendor, or

(2)Can be documented to have been known by Vendor prior to its release to the Vendor by the State without an obligation of confidentiality, or

(3)Is disclosed pursuant to applicable Rhode Island law and/or federal law, judicial action or government regulations.

C.Vendor Acknowledgement

Vendor acknowledges that the Confidential Information is confidential and proprietary information and that its protection is essential to the security and mission of the State. It is understood that the Vendor is not granted an express or implied license or an option on a license, or any other rights to or interests in the Confidential Information other than any licensing provisions as defined in a Contract and/or agreement between the State and Vendor.

D.Vendor’s Agents

Vendor acknowledges and also shall require its employees, officers, independent contractors, and subcontractors, agents and any other entities acting on its behalf (collectively “Affiliates”) to:

1.Copy, reproduce or use Confidential Information only for the purpose described in the Contract and not for any other purpose unless specifically authorized to do so in writing by the State; and

2.Not permit any other person or entity to use or disclose the Confidential Information for any purpose other than those expressly authorized by the Contract; and

3.Disclose such Confidential Information only to those of its Affiliates who require knowledge of the same for the purpose described in the Contract; provided such Affiliates are obligated to maintain the confidentiality of the Confidential Information and otherwise comply with the terms of the Contract; and

4.Implement physical, electronic and managerial safeguards to prevent unauthorized access to or use of Confidential Information, including without limitation, providing Affiliates a copy of the terms of the Contract and any other Non-Disclosure Agreement the State may provide for said Affiliates signature. Such restrictions will be at least as stringent as those applied by the Vendor’s own most valuable confidential and proprietary information and as required by the Contract.

5.The acts or omissions of Vendor’s Affiliates with respect to the Confidential Information shall be deemed to be acts or omissions of the Vendor.

E.Additional Requirements

1.Vendor will not remove, obscure or alter any confidentiality or trade secret notation from the Confidential Information without the State’s prior written authorization.

2.Confidential Information will remain the exclusive property of the State unless as otherwise provided for in any agreement and/or the Contract between the State and Vendor; upon completion of the project and/or services, or whenever requested by the State, Vendor will promptly destroy or return to the State, in a form acceptable to the State, any and all Confidential Information and all copies thereof, including summaries, reports or notes based thereon, unless otherwise expressly authorized otherwise by the State in writing.

3.Vendor agrees that the breach of these terms would cause irreparable damage to the State. Therefore, Vendor agrees that should it breach its obligations hereunder, Vendor shall defend, indemnify, release, and hold the State harmless from actual damages from losses that result from its breach, including, but not limited to, reasonable attorneys’ fees and related litigation expenses. Also, the State has the right to seek an order to restrain the Vendor and its agents, Affiliates, etc. from breaching these terms or otherwise commence any action in law or in equity.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.18 Taxes

A.The State and its agencies are exempt from payment of any tax imposed directly on the purchaser of goods and services under federal, state or local law with the sole exception of the Rhode Island Motor Fuel Tax, R.I. Gen. Laws § 31-36-1, et seq. Except for the Rhode Island Motor Fuel Tax, federal, state and local taxes should not be included in the Vendor’s bid or proposal price or otherwise invoiced. Exemption Certificates will be furnished upon request. Vendors and their subcontractors performing improvements to real property pursuant to a contract with a State agency may purchase materials specifically allocated for the performance of said Contract from their suppliers provided that:

1.The materials are essential to the project;

2.The materials are incorporated into the project; and,

3.The Vendor or its subcontractors provide their suppliers with an exemption certificate.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.19 Insurance/Bonds/Other Security

A.Insurance

Prior to issuance of a Contract, Vendor shall submit to the Division proof of insurance coverages as set forth in the General Condition Addendum A (General Insurance Requirements), other applicable General Condition Addenda and/or as required by the solicitation (“Insurance Requirements”). Vendor shall comply with the minimum Insurance Requirements imposed by the State. If different or additional insurance requirements are set forth in the solicitation, then Vendor shall comply with the insurance requirements specified in the solicitation.

B.Payment and Performance Bonds

When required by the solicitation or the General Condition Addenda, the successful Vendor shall furnish a payment and/or performance bond in the amount stated in the solicitation from a surety licensed to conduct business in the State of Rhode Island upon the tentative selection.

C.Other Security

The State Purchasing Agent reserves the right to consider and accept alternate forms and plans of insurance or other comparable forms of security, and/or to require additional or more extensive coverage for any individual procurement. Vendors shall provide certificates of insurance and required endorsements for all insurance requirements of the solicitation in form and terms acceptable to the State Purchasing Agent. Failure to comply shall result in a determination that the Vendor is not “responsible.” The State Purchasing Agent may change the insurance requirements contained in General Condition Addenda as necessary to protect the State’s interests.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.20 Termination, Default, Cancellation and Stop Work

A.Non-Performance or Breach

A Contract may be rescinded, canceled or terminated by the State Purchasing Agent, at the Vendor’s expense upon non-performance or breach by the Vendor of any of its obligations. Failure of a Vendor to cure such non-performance or breach within ten (10) business days after the receipt of notice, unless otherwise determined by the State Purchasing Agent, shall be sufficient cause for the cancellation, rescission or termination of a Contract, the cancellation of all existing State contracts and or subcontracts to which the Vendor is a party, and/or the suspension or debarment of the Vendor from participating in future procurements. The State may pursue any and all of its rights and remedies at law or in equity against the defaulting Vendor or its surety.

B.Timeliness

Failure of a Vendor to deliver the required goods or perform services within the time specified and in accordance with the applicable standards of professional skill and care, or within reasonable time as interpreted by the State Purchasing Agent, or failure of a Vendor to make replacement of rejected articles, when so requested, immediately or as directed by the State Purchasing Agent, may cause the State Purchasing Agent to purchase in the open market to replace those goods or services rejected or not delivered. The State Purchasing Agent reserves the right to authorize immediate purchase in the open market against rejections on any Contract when necessary. On all such purchases, the Vendor, and/or its surety, agrees to promptly reimburse the State for excess costs occasioned by the Vendor’s default. Should the replacement cost be less, the Vendor shall have no claim for the difference. Vendor who fails to commence within the time specified or complete an award made for repairs, alterations, construction, or any other service may be considered to be in default of Contract. The State Purchasing Agent may contract for completion of the work with another Vendor and seek reimbursement of all costs and expenses from the defaulting Vendor and/or its surety and pursue all rights and remedies at law or in equity.

C.Availability of Funds.

Any and all payments by the State are expressly contingent upon and subject to the appropriation, allocation and availability of funds by the General Assembly and/or the Federal Government. If any Contract is funded in whole or in part by federal funds, the State’s performance and payment shall be subject to and contingent upon the continuing availability of said federal funds. If the term of extends into fiscal years subsequent, continuation of the Contract is expressly contingent upon the appropriation, allocation, and availability of funds. If funds to effect payment are not available, the State will provide written notification to Vendor. If the Contract is terminated under this paragraph, Vendor agrees to take back any affected goods not yet delivered, terminate any services supplied to the State, and relieve the State of any further obligation thereof. State shall remit payment for goods and services accepted prior to the date of termination in the notice.

D.Convenience

1.For subscription services the State may terminate for convenience.

2.For all other Contracts, the State Purchasing Agent shall have the right to terminate the Contract for convenience if the State Purchasing Agent determines in writing that termination is in the State’s best interest. The Vendor shall be paid for work completed and accepted, but Vendor shall not be entitled to recover lost profits.

E.Stop Work

In the interests of health, safety and welfare, economic or otherwise, the State Purchasing Agent may issue a stop work order to a Vendor on any Contract for a reasonable period of time. The Vendor shall cease and desist any further work until so ordered by the State Purchasing Agent. In the event that the Vendor bears responsibility for the conditions requiring a stop work order, the State shall not be responsible for any delays.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.21 Indemnification

A.General

Vendor shall defend, indemnify, release and hold harmless the State and its agencies, together with their respective officers, agents and employees, from and against any and all third-party claims, demands, liabilities, causes of action, losses, damages, judgments and other costs and expenses (including attorneys’ fees) arising out of, or related to, directly or indirectly, in whole or in part, Vendor’s breach of the Contract or the act(s), error(s) or omission(s) of the Vendor or its employees, agents, subcontractors or volunteers at any tier.

B.Intellectual Property

Vendor shall defend, indemnify, release and hold harmless the State and its agencies, together with their respective officers, agents and employees, from and against all claims, demands, damages, liabilities, death, injury, judgments and other costs and expenses (including attorneys’ fees), arising out of or related to, directly or indirectly, in whole or in part, a claim that a product or service or its use infringes the intellectual property rights of another person or entity.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.22 Vendor Obligations

A.In addition to the specific requirements imposed by the State in the Contract, a Vendor engaged in providing goods or services to the State shall generally have the following standard responsibilities:

1.Perform services in accordance with applicable standards of professional skill and care or as otherwise provided in the solicitation or Contract. When applicable law requires that services be performed by licensed professionals, Vendor shall provide those services through the performance of qualified persons or entities duly licensed to practice their professions.

2.To furnish adequate protection from damage for all work and to repair damage of any kind, for which it or its workmen are responsible, to the building or equipment, to its own work, or to the work of other Vendors.

3.To clear and remove all debris and rubbish resulting from its work from time to time, as directed or required, at completion of the work to leave the premises in a neat, unobstructed condition, broom clean, and in satisfactory order and repair.

4.To store equipment, supplies, and material at the project site only upon approval by the State, and at its own risk.

5.To perform all work so as to cause the least disruption and inconvenience to the State, and with proper consideration for the rights of other Vendors and workers.

6.To acquaint themselves with conditions to be found at the project site, and to assume responsibility for the appropriate dispatching of equipment and supervision of its employees during the conduct of the work.

7.To supervise Vendor employees and subcontractors and to ensure that its employees are instructed with respect to special rules, regulations, policies, and procedures in effect for any State facility or project site, and that its employees comply with such rules, regulations, policies and procedures.

8.To perform background checks of Vendor employees, subcontractors and agents as required by the State.

9.EQUAL OPPORTUNITY COMPLIANCE, HANDICAPPED ACCESS AND AFFIRMATIVE ACTION - Contractors of the State are required to demonstrate the same commitment to equal opportunity as prevails under federal contracts controlled by Federal Executive Orders 11246, 11625, 11375 and 11830, and R.I. Gen. Laws Chapter 28-5.1. Affirmative action plans shall be submitted by the contractor for review by the State Equal Opportunity Office. A contractor's failure to abide by the rules, regulations, contract terms and compliance reporting provisions as established shall be grounds for forfeiture and penalties as shall be established, including but not limited to suspension.

10.DRUG-FREE WORKPLACE REQUIREMENT – Vendors who do business with the State and their employees shall abide by the State's drug-free workplace policy. Specifically, Vendor agrees as follows:

a.Vendor employees and agents are required to refrain from the abuse of alcohol and/or illegal and/or prescription drugs and must report to work in a fit condition to perform their duties or be subject to disciplinary action by the Vendor.

b.All Vendor employees, while on State business, on or off the workplace, are prohibited from purchasing, transferring, using, or possessing illegal drugs or from abusing alcohol or prescription drugs in any way that is illegal.

c.Vendors will take appropriate disciplinary action with all violators of this policy who are currently employed. Vendors will not knowingly consider for employment anyone who is known to currently abuse alcohol and/or illegal and/or prescription drugs.

11.In the best interest of the State, the State Purchasing Agent reserves the right to remove or have a Vendor immediately remove any Vendor employee, subcontractor or agent of the Vendor working on a State Contract based on a good faith belief that the individual is not acting in an appropriate, professional and/or in a commercially reasonable manner.

12.To comply with the provisions of R.I. Gen. Laws § 37-2-34 (Right to inspect facilities – Right to Audit) as necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.23 Force Majeure

Neither the State, nor its Vendors, shall be liable to the other for failure or delay in performance due to a cause not reasonably foreseen by, beyond the control of, and without the fault or negligence of the party declaring a force majeure event; provided that the party declaring a force majeure event shall have used its best efforts to avoid such failure or delay in performance, minimized the impact thereof, and given prompt written notice to the other party when first discovered, fully describing its probable effect and duration. In such event of excusable delay or non-performance, the State shall have the right at its option and without liability to cancel by notice to the Vendor any and all portions of Vendor’s performance so affected and to take such other action as may be necessary. The State may, after ascertaining the facts and the extent of the delay, extend the time for completing performance when the facts so justify and amend the timetable accordingly. The State shall not be liable for any increased costs, including price escalation, beyond the performance or delivery date, due to a force majeure event. Force majeure shall not include a Vendor’s financial distress or the financial distress of Vendor’s parent, subsidiary, affiliated or associated company; claims or court orders that restrict Vendor’s ability to deliver the goods, products or services contemplated by the Contract; strikes; labor unrest; supply chain disruptions; Vendor’s subcontractor’s or supplier’s financial distress, conduct, negligence or default; or, as otherwise set forth within the Contract and associated documents.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.24 Compliance with Law

During the term of the Contract with the State, Vendors shall comply with all statutes, laws, regulations, codes, orders, policies, rules and regulations of federal, state or municipal authorities applicable to the furnishing of such goods or services as set forth in the solicitation and the Vendor’s bid or proposal all of which are hereby incorporated by reference into any Purchase Order or Purchase Agreement issued by the Division. Vendors shall pay for all required permits, licenses and fees required for the delivery of goods or services to the State unless otherwise stated in the solicitation or Contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.25 Subcontracting, Assignment, Merger or Acquisition, Key Personnel, Third-Party Payment, and Prompt Payment of Subcontractors

A.Subcontracting

Vendors shall not subcontract with any third-party, except as set forth in its bid or proposal, without the prior written consent of the State Purchasing Agent. Such consent, if granted, shall not relieve the Vendor of any of its responsibilities under the Contract, nor shall it create privity of contract between the State and the sub-contractor. If a Vendor uses a sub-contractor to fulfill its responsibilities, then the Vendor shall be responsible for the sub-contractor’s performance, compliance with the applicable terms of the Contract and all applicable statutes, rules, regulations, and these General Conditions of Purchase. Provided, however, for Rhode Island Department of Transportation ("RIDOT") road, bridge and heavy construction projects, approval of subcontractors shall be in accordance with "Bluebook" specifications issued by RIDOT. Upon request, contractors must submit to the Division of Purchases a list of all subcontractors to be employed in the performance of any Purchase Order or other contract arising from this Request.

B.Assignment

Vendors shall not, in whole or part, assign, transfer, convey, sublet, delegate or otherwise dispose of a Purchase Order, Purchase Agreement or Contract with the State or its right, title or interest therein, or its power to execute such Contract prior to issuance of a Purchase Order, to any other person, company, corporation, or entity without the written consent of the State Purchasing Agent. If consent is not granted, then the assignment, transfer, conveyance, sublet, delegation, or disposal shall be void ab initio.

C.Merger or Acquisition

If subsequent to the submission of a bid or proposal and prior to issuance of a Purchase Order or Purchase Agreement, a Vendor merges with or is acquired by another entity, then the Vendor shall provide appropriate and legally binding documentation between the Vendor and the successor entity ratifying acceptance of the Vendor’s bid, proposal and any Contract terms, conditions, and pricing submitted to the Division. The State Purchasing Agent may disqualify the Vendor if the successor entity is determined to be not responsible.

D.If, after issuance of a Purchase Order, there is a material acquisition or change of ownership of a Vendor or its parent to another entity or person, the State Purchasing Agent may either authorize assignment of the Purchase Order or Purchase Agreement to the successor entity or cancel the Purchase Order or Purchase Agreement.

E.Key Personnel

If the Vendor’s bid or proposal identified key personnel who would be responsible for fulfillment of the Vendor’s performance obligations and said key personnel are for any reason no longer available, then the State Purchasing Agent may either authorize substitution of said key personnel by the Vendor or cancel the Contract.

F.Third-Party Payment

Unless expressly provided for in the solicitation, the State will not accede to any request for third party or joint payment(s), except as provided for in specific orders by a court of competent jurisdiction, or by express written permission of the State Purchasing Agent. If a Vendor’s bid or proposal is contingent upon such payment(s), then it must be clearly stated within the bid or proposal and is subject to approval by the State Purchasing Agent.

G.Prompt Payment of Subcontractors

In accordance with R.I. Gen. Laws § 42-11.1-3(b) Vendors shall make prompt payment for satisfactory subcontract work for which the State has made partial or full payment. The State reserves the right to determine whether a Vendor, who repeatedly fails to make prompt payment to subcontractors, is Responsible relative to future procurements, and may suspend, debar or otherwise remove such Vendors from the State Bidders List.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.26 Advertising

Vendors shall not reference a State Contract for the purposes of advertising or promotion without written authorization from the State Purchasing Agent and any agency owner of the referenced Contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.27 Non-Exclusive Rights

The State reserves the right to issue multiple solicitations for goods or services similar or identical to the goods or services described in a solicitation for which a Purchase Order or Purchase Agreement has been issued to a Vendor.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.28 Election of Remedies

All rights exercisable by and remedies of the State shall be cumulative. The exercise or beginning of the exercise by the State of any of its rights and remedies will not preclude the State from exercising any other right hereunder or otherwise granted by law or in equity.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.29 Survival

All Vendor obligations herein shall survive expiration, termination and/or cancellation of the Contract.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.30 Contract Transition

Vendor agrees to act in good faith and a commercially reasonable manner at all times in the transition of a Contract to a new Vendor.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.31 Governing Law, Forum

A.The construction and effect of any solicitation, Contract or Purchase Order documents, Purchase Agreement or actions by the Department of Administration, by and through its Division of Purchases, arising under the “State Purchases Act”, R.I. Gen. Laws § 37-2-1, et seq. shall be governed and construed in accordance with the laws of the State of Rhode Island, without reference to its principles of conflict of laws, except where the federal supremacy clause requires otherwise.

B.After exhaustion of any administrative remedies, any suit, action or proceeding brought by a Vendor in connection with any solicitation, Contract, or Purchase Order or actions by the Department of Administration, by and through its Division of Purchases, arising under the “State Purchases Act”, R.I. Gen. Laws § 37-2-1, et seq. shall be brought solely in the Providence Superior Court, Providence, Rhode Island. Vendors irrevocably submit to the jurisdiction of said court and all courts of appeal from which an appeal may be taken from such court, waive any objection to the venue of said court and any claim that such suit, action or proceeding has been brought in an inconvenient forum. Nothing contained in this section shall be construed to waive any State immunity to suit or liability.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.32 Effective Date and Commencement of Work

A.Effective Date of the General Conditions

The General Conditions shall apply to all procurements issued after the effective date of these regulations.

B. Contract Effective Date

The effective date of any procurement shall be the date contained in the Contract. No work or services shall commence prior to the issuance of a Purchase Order or written authority to proceed formally issued by the Division. Any work performed by the Vendor prior to issuance of a Purchase Order or approved Change Order shall not be subject to payment by the State.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.33 Amendments to General Conditions

The State Purchasing Agent reserves the right to agree to alternate terms and conditions for a specific purchase in order to serve the best interests of the State and/or protect the health, safety or welfare, economic or otherwise, of the State and its citizens.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.34 Contract Addendums in Addition to the General Conditions of Purchase

A.In addition to the General Conditions of Purchase, the additional contract Addenda (“GC Addenda”) listed below shall apply to specific types/categories of Contracts with the State at the direction of the Division. The Division shall indicate any applicable GC Addenda in the solicitation or other procurement. These GC Addenda shall be considered as additional Contract terms and conditions with the State.

B.The GC Addenda may be amended from time to time without Administrative Procedures Act promulgation and at the discretion of the Division. The GC Addenda shall be considered contract terms and not regulations.

C.The Division may post the current GC Addenda on the Division’s website for reference purposes and/or may include with the solicitation. The GC Addenda includes the following:

1.GC Addendum A – General Insurance Requirements

2.GC Addendum B – Information Technology Requirements

3.GC Addendum C – Public Works Project Requirements (AIA Agreements)

4.GC Addendum D – Agency Specific Federal Funding Requirements – Provides any requirements imposed by federal partners.

5.GC Addendum E – Standard Business Associates Agreement Requirements

6.GC Addendum F – Special Requirements – Requirements not otherwise addressed in the General Conditions or GC Addenda above.

D.The Division reserves the right to add GC Addenda as necessary without further promulgation of regulation. Again, any additional GC Addenda would be considered a Contract term.

E.In lieu or in addition to any GC Addenda, the Division reserves the right to include any contract terms in a specific solicitation or procurement as necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

220-RICR-30-00-13 § 13.35 Severability

If any section, term, or provision of this regulation should be adjudged invalid for any reason, that judgment should not affect, impair, or invalidate any remaining section, term, or provision, which shall remain in full force and effect.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2019-01-01 to 01/04/2022

Chapter 50 Legal Services

Subchapter 05 General

220-RICR-50-05-1 Access to Public Records Maintained by the Department of Administration

220-RICR-50-05-1 § 1.1 Authority

A.R.I. Gen. Laws § 38-2-3(d) provides in part that each public body shall establish written procedures regarding access to public records and that a copy of these procedures shall be posted on the public body's website.

B.R.I. Gen. Laws § 42-35-2(a)(1) states that each agency shall publish and make available for public inspection a description of its organization, stating the general course and method of its operations and the methods whereby the public may obtain information or make submissions or requests.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.2 Purposes and Policy

A.To establish a defined public records procedure for the Department of Administration (“Department”) which is consistent with requirements of the Rhode Island Access to Public Records Act (“APRA”), R.I. Gen. Laws § 38-2-1, et seq. as amended.

B.To facilitate open and transparent government at the Department to the greatest extent possible, while balancing privacy rights of the public, employees and vendors of the State.

C.To recognize the public’s right to access public records while balancing an individual’s right to be protected from an unwarranted invasion of personal privacy.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.3 Definitions

A.“APRA” means the Rhode Island Access to Public Records Act, R.I. Gen. Laws § 38-2-1 et. seq.

B."Department" means the Rhode Island Department of Administration.

C.“Readily Available” means records which are published in a formal manner for the public by the Department or as required by law.

D.“Records” means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, magnetic or other tapes, electronic data processing records, computer stored data (including electronic mail messages, except specifically for any electronic mail messages of or to elected officials with or relating to those they represent and correspondence of or to elected officials in their official capacities) or other material regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency.

E."Request" means a submission asking for specific Records to be provided in accordance with the provisions and process stated herein.

F."Requestor" means a person or entity making a Request for Records to the Department.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.4 Procedure for Requesting Public Records

A.Records which are Readily Available for distribution or inspection may be requested or reviewed at the Department on weekdays between the hours of 8:30 AM and 3:30 PM. Individuals are strongly encouraged to view the Department’s website and/or the website of individual divisions within the Department to determine whether the Records being sought are posted online. If a Requestor has any questions about the availability of Readily Available Records, the Requestor should contact the office/division within the Department responsible of the Readily Available Records. The Department’s contact information is located on the Department’s website.

B.A Request for Records to the Department which are not Readily Available shall be submitted through one (1) of the following means:

1.Through the Access to Public Records page of the State of Rhode Island’s Transparency Portal or another internet portal approved by the Department.

2.Through a centralized APRA email address to be established by the Department, which will be posted on the Department’s website.

3.APRA Requests not electronically submitted through the Transparency Portal or another internet portal approved by the Department, or the Department’s centralized APRA email shall be submitted in person, by mail or fax to:

a.For Department Records:

Public Records Officer‎Division of Legal Services ‎Department of Administration ‎One Capitol Hill, 4th Fl‎Providence, Rhode Island 02908‎Fax: (401) 222-8244‎Tel: (401) 222-8880

Or:

Director of Administration ‎Department of Administration ‎One Capitol Hill, 4th Fl‎Providence, Rhode Island 02908‎Fax: (401) 222-6436‎Tel: (401) 222-2280

b.For Department Records which are related to the procurement of goods or services, including, but not limited to, bid documents, proposals or contracts with vendors:

Attn: APRA Requests‎Division of Purchases‎One Capitol Hill, 2nd Fl.‎Providence, Rhode Island 02908‎Fax: (401) 222-8244‎Tel: (401) 574-8100

(1)Individuals or entities making a request for procurement Records, are encouraged to visit the Division of Purchases’ website to check whether the requested Records are available online and/or to check the status of a solicitation. Certain procurement records (i.e. proposals) may not be available until after the solicitation has been awarded.

C.Requestors are highly encouraged, but not required, to use the Department’s standard request forms posted on the Department’s website.

1.Any Requestor seeking copies of public records may elect to obtain them in any and all media in which the Department is capable of providing them. If the Department maintains its records in a computer storage system, the Department shall provide any data properly identified in a printout or other reasonable format, as requested.

2.Nothing in this section shall be construed as requiring the Department to reorganize, consolidate, or compile data not maintained by the Department in the form requested at the time the request to inspect the public records was made except to the extent that such records are in an electronic format and the Department would not be unduly burdened in providing such data.

3.No Records shall be withheld based on the purpose for which the Records are sought, nor shall the Department require, as a condition of fulfilling a Request, that a Requestor provide a reason for the Request or provide personally identifiable information about him/herself.

4.At the election of the Requestor seeking Records, the Department shall provide copies of the Records electronically, by facsimile, or by mail in accordance with the Requestor’s choice, unless complying with that preference would be unduly burdensome due to the volume of records requested or the costs that would be incurred. The Requestor shall be responsible for the actual cost of delivery, if any.

D.Submissions directed to the Department outside of this procedure shall not be subject to APRA time requirements. However, the Department shall use its best efforts to fulfill all requests for information in accordance with these provisions it receives in due course, regardless of whether the inquiry is properly submitted.

E.The Department shall respond to a Request within ten (10) business days of receipt, by:

1.Providing the Records which are not exempt from disclosure in accordance with APRA, subject to the payment of cost as provided herein;

a.The Department reserves the right to waive any exemption under APRA unless otherwise prohibited by law or regulation.

b.Any reasonably segregable portion of a public record excluded by R.I. Gen. Laws § 38-2-2(4) shall be available for public inspection after the deletion of the information which is the basis of the exclusion. If an entire document or record is deemed non-public, the Department shall state in writing that no portion of the document or record contains reasonable segregable information that is releasable.

2.Informing the Requestor in writing that the Department is invoking an extension of up to twenty (20) business day extension, in accordance APRA. The Department shall use reasonable efforts to respond as soon as possible. The Department shall also state the good faith basis for the extension in the correspondence to the Requestor.

a.The Department shall demonstrate that the voluminous nature of the request, the number of requests for records pending, or the difficulty in searching for and retrieving or copying the requested records, is such that additional time is necessary to avoid imposing an undue burden on the Department.

3.Informing the Requestor that the Department is not in possession of the requested Records or that they are exempt from disclosure.

a.If a public record is in active use or in storage and, therefore, not available at the time a Requestor requests access, the Department shall so inform the Requestor and make an appointment for the Requestor to examine such records as expeditiously as they may be made available.

F.The Department may require prepayment of copying, search and retrieval costs as follows:

1.Within the timeframes provided by APRA, the Department may inform the Requestor that prepayment for copy, search and/or retrieval charges is required to proceed with fulfilling the Request. In this event, the Department shall send the Requestor a good faith cost estimate related to copying, search and retrieval charges in accordance with R.I. Gen. Laws § 38-2-4. The requirement of prepayment of some or all of the estimated costs shall be in the Department’s reasonable discretion.

2.However, in no case shall the Department require prepayment for a Request estimated to be less than fifty dollars ($50). Any cost estimate shall have reasonable basis for calculation.

3.The time for response under APRA shall cease to toll until prepayment is made by the Requestor. If the estimate of costs is more or less than the actual amount, the Department shall refund or bill the Requestor as necessary. If the Requestor fails to provide payment, the Records, the Department shall not proceed with search and retrieval and the Records shall not be provided. Once payment is provided, the Department shall proceed with the Request and notify the Requestor that the Records are available upon receipt of any additional actual costs not covered by the estimate, if any.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.5 Inspection of Records

A.In the event that a Requestor wishes to inspect Department Records and does not wish to be provided with copies, the Department will send instructions to set up an appointment for a time to inspect the Department Records that are not otherwise exempt from public disclosure or are currently in use. The Department does not have a copy machine available for use by the public to make copies.

B.In accordance with R.I. Gen. Laws § 38-2-3(f), as amended, if a public Record is in active use or in storage and, therefore not available at the time the individual or entity requests access, the Department will inform the requestor and make an appointment to examine such Records as expeditiously as the Records may be made available. After the person is advised that the Records are available, he/she can make an appointment to inspect the Records at the Department during the business hours of 8:30 a.m. and 3:30 p.m., Monday through Friday, by calling the Division of Legal Services at (401) 222-8880 for non-procurement related records, or by calling the Division of Purchases at (401) 574-8100 for procurement records.

C.All the provisions stated herein shall apply equally for a Request for inspection of the original Records.

D.The Department shall supervise the Requestor’s inspection of Records. No original Records shall be removed from the location of inspection by the Requestor. The inspection of public records must be accomplished in a manner which will provide for general supervision by authorized Department staff. This procedure is necessary to prevent the misplacement or unauthorized removal of Records or any other action which may impair the integrity of Records.

E.Personnel in charge of the division within the Department having possession of the Record requested shall have overall responsibility for the security of the Requested Record. However, the individual in charge of that Division may designate a staff member(s) to assist in the search, retrieval, and copying of Records.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.6 Costs

A.Official publications which the Department prepares in the discharge of its duties to inform the public on matters of public interest are considered Readily Available and will be furnished free of charge for one (1) copy. The Department will supply one (1) copy of any of its Rules and Regulations to an individual requesting them free of charge. Rules and Regulations of the Department are on file at the Office of the Secretary of State and certified copies thereof may be obtained from that Office.

B.Consistent with APRA, the Department may charge a fee for copying and/or search and retrieval of requested Records. The Department shall not charge more than $0.15 per copied or scanned page. However, if the response to the Request consists of fifty (50) or fewer copied pages, no fee will be charged. Multiple Requests by the same Requestor within a 30 day time period shall be added together for calculating of cost purposes. The Department may also charge an hourly fee of up to $15.00 per hour for the search and retrieval time required to respond to a Request, whether the Request seeks copies of Records or seeks to inspect original Records. There is no charge for the first hour of search and retrieval time. Search and retrieval time shall include the time to review and redact Records for information and/or Records that may be exempt from disclosure. Additionally, the Department may charge for the actual supply costs for providing Records (i.e. a CD/ROM for electronic records) and shipping charges in the event that the Requestor is not willing to pick up the Records.

C.Upon request, the Department will provide the Requester with an estimate of the copying, search and retrieval costs prior to responding to the Request.

D.As stated above in § 1.4(F) of this Part, the Department, in its reasonable discretion, may also require the Requestor to provide prepayment and/or a deposit in order to proceed with the Request. The Department shall, however, charge the actual costs for copies, search and retrieval time. The Department reserves the right to require a deposit of the estimated costs if the estimated costs are to exceed fifty dollars ($50.00).

E.The actual cost of copying, search and retrieval shall be paid in advance by check or money order made payable to the “RI General Fund” and submitted in accordance with the instructions provided by the Department for the records to be provided to the Requestor.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.7 Appeals

A.Any person or entity denied the right to inspect a Record of a public body may petition the Department’s chief administrative officer for a review of the determinations made by his or her subordinate. All appeals to the Chief Administrative Officer at the Department shall be directed to:

Director of Administration‎Department of Administration ‎One Capitol Hill, 4th Fl‎Providence, Rhode Island 02908‎ATTENTION: APRA Appeal

B.The chief administrative officer shall make a final determination within ten (10) business days after the submission of the appeal. In accordance with APRA, the Requestor may also otherwise appeal to the Rhode Island Attorney General or bring suit in the Superior Court, County of Providence.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-1 § 1.8 Severability

If any provision of this Regulation or the application thereof to any individual or circumstances is held invalid, such invalidity shall not affect the provisions or application of the remaining portions of the regulation which can be given effect. The provisions of these rules and regulations are declared to be severable.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2018-02-18 to 01/04/2022
• Technical Revision — effective from 2018-02-18 to 02/18/2018
• Amendment — effective from 2018-02-18 to 02/18/2018
• Adoption — effective from 2010-06-29 to 02/18/2018

220-RICR-50-05-2 Rules of Procedure for Investigating, Prosecuting, and Adjudicating Allegations against Notaries Public

220-RICR-50-05-2 § 2.1 Introduction

A.These Rules of Practice and Procedure (“Rules”) are adopted by the Rhode Island Department of Administration (“Department”) as a result of Exec. Order No. 09-08, and pursuant to R.I. Gen. Laws §§ 42-11-1 et seq., 42-35-1 et seq. and 42-92-1 et seq. for the purpose of investigating, prosecuting and adjudicating claims and charges against duly commissioned notaries in accordance with R.I. Gen. Laws § 42-30.1-16. Issues not addressed in these Rules or for which any party seeks clarification are to be considered in light of R.I. Gen. Laws §§ 42-11-1 et seq. and 42-35-1 et seq.

B.These Rules shall govern the conduct of Notary Public investigations, prosecutions, and adjudications before the Department commenced after their effective date. These Rules shall be liberally construed to further the fair, prompt and orderly administration and determination of adjudicatory proceedings in conformity with the Rhode Island Administrative Procedures Act, R.I. Gen. Laws § 42-35-1 et seq. These Rules incorporate the Standards of Conduct for Notaries Public in the State of Rhode Island referenced and endorsed in Exec. Order No. 09-25 (“Standards”) available from the Secretary of State’s website. Currently found at http://www.sos.ri.gov/divisions/Notary-Public/notary-complaints.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.2 Definitions

A.When used in these Rules, the following words, except as otherwise required by the context, shall have the following meaning described below. Additionally, all definitions set forth in the Standards are incorporated herein by reference to these Rules.

1.“Contested Case(s)” means an adjudicatory proceeding before a Hearing Officer, as hereinafter defined, of the Department in which the legal rights, duties or privileges of a party are determined.

2.“Complainant” means the person or persons submitting a complaint to the Department against a Notary Public.

3.“Complaint” means allegations against a notary public that he or she has violated the Standards. The Complaint shall state at a minimum:

a.Complainant Information (Name and contact information);

b.Respondent/Notary Public Information (Name and contact information); and

c.Nature of Complaint/Allegation of violation – including the date of the alleged act, witnesses, and any facts deemed relevant to the allegation.

4.“Department Counsel” means the legal representative of the Department.

5.“Director” means the Director of the Department.

6.“Division” means a Division of the Department with the authority to perform statutorily designated Department functions.

7.“Hearing Officer” means the individual(s) authorized by law or duly designated by the Director to hear, conduct, and recommend decisions to the Director in Contested Cases.

8.“Notary” or “Notary Public” shall mean any person commissioned to perform official acts pursuant to R.I. Gen. Laws Chapter 42-30.1, as amended from time to time.

9.“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 a Contested Case.

10.“Reasonable Cause” means an apparent state of facts of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs which if found to exist upon reasonable inquiry would induce a reasonably intelligent and prudent person to believe that a cause of action existed.

11.“Respondent” means a Party who is the subject of a complaint and/or Department investigation pursuant to § 2.3 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.3 Complaints and Department Investigation

A.Complaints. A Complaint, as defined above, may be made by any identifiable person against a Notary Public. Such Complaint shall be in writing and should preferably be on a form provided by the Secretary of State’s website (currently available at http://www.sos.ri.gov/divisions/Notary-Public/notary-complaints). The Department shall make an initial determination whether the Complaint is within the Department's jurisdiction and whether the complaint states sufficient facts to establish Reasonable Cause, if assumed to be true, to proceed with an investigation. If the Complainant does not have firsthand knowledge of the facts stated in the Complaint, the Department may further inquire as it deems appropriate.

B.If no jurisdiction exists or the complaint does not state sufficient facts establishing Reasonable Cause to proceed with an investigation, the Department shall notify the Complainant in writing of its determination.

C.If jurisdiction exists and the Complaint states sufficient facts establishing Reasonable Cause, the Department shall make whatever investigation it deems necessary, including serving a copy of the Complaint to the Respondent. Service of the Complaint to the respondent may be sent through regular or certified mail, postage pre-paid, to the Respondent’s home address or place of business or through hand delivery. If instructed to do so by the Department, the Respondent shall be requested to file a response to the Complaint within the time frame specified by the Department, which shall not be less than twenty (20) days from mailing.

D.Upon completion of its investigation, the Department may take one of the following actions:

1.if the Department determines that the Complaint fails to establish Reasonable Cause for a finding of a violation of the Standards, the Department shall take no action on the Complaint, so advising the Complainant and Respondent in writing; or,

2.if the Department determines that the Complaint establishes Reasonable Cause, the Department shall take such action as it deems appropriate under applicable law and the rules and regulations adopted pursuant thereto, including the removal or suspension of the Notary Public in accordance with R.I. Gen. Laws § 42-30.1-16. The Department will provide the following notice to the Respondent via regular and certified mail, postage pre-paid, a notice of determination which shall provide:

a.a statement of legal authority and jurisdiction to proceed;

b.a statement of the allegations and findings, including a copy of the Complaint;

c.reference to particular statutes, rules or Standards that appear to have been violated;

d.a statement of the sanctions to be imposed; and,

e.an opportunity to request a hearing within twenty (20) days of the mailing of the determination notice.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.4 Opportunity to be Heard/Conduct of Hearings

A.If the Notary Public does not request a hearing within twenty (20) days of the mailing of the notice of determination, any and all sanctions shall be imposed and become effective on the twenty-first (21) day after the mailing and the right to a hearing shall be considered waived.

B.If the Notary Public requests a hearing within twenty (20) days, the request shall establish a Contested Case, which shall then be conducted in accordance with the Department’s Rules of Procedure for Administrative Hearings (“Administrative Rules”), Subchapter 10 Part 2 of this Chapter.

C.After a fair hearing and consideration, the hearing officer shall issue a written decision to the Director for her/his consideration and adoption thereof. The Director shall issue her/his final written order which shall be sent by regular or certified mail, postage pre-paid, to the Respondent, with a copy to the Complainant.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.5 Judicial Review

Any Party aggrieved by a final written order of the Director may file a complaint with the Superior Court pursuant to R.I. Gen. Laws § 42-35-15. In the absence of a timely appeal, the order or decision of the Director shall become final from which no further administrative appeal may be taken; and, a copy of the final order shall be provided to the Office of the Secretary of State for such as action as is consistent with the final order.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.6 Severability

If any section, term, or provision of this Regulation should be adjudged invalid for any reason, that judgment should not effect, impair, or invalidate any remaining section, term, or provision, which shall remain in full force and effect.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

220-RICR-50-05-2 § 2.7 Effective Date

This Regulation shall be effective upon adoption pursuant to the Rhode Island Administrative Procedures Act.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-10-22 to 01/04/2022
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Technical Revision — effective from 2013-10-22 to 10/22/2013
• Adoption — effective from 2013-10-22 to 10/22/2013

Subchapter 10 Administrative Adjudication

220-RICR-50-10-1 Rules Governing Declaratory Rulings and Petitions

220-RICR-50-10-1 § 1.1 Authority

This regulation (“Regulation”) is promulgated pursuant to the authority granted in R.I. Gen. Laws §§ 42-11-1 et seq., 42-35-1 et seq., 42-35-6, and 42-35-8.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-1 § 1.2 Definitions

A.When used in this Regulation, the following words shall have the following meaning:

1.“Department” shall mean the Department of Administration.

2.“Director” shall mean the Director of the Department.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-1 § 1.3 Applicability

If any Division within the Department has promulgated regulations pursuant to requests for a declaratory ruling relating to a statutory provision or rule or order within that Division's jurisdiction, those regulations shall be applicable to that Division. To the extent that a Division’s own regulation do not address an issue that is addressed in this Regulation then this Regulation shall apply.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-1 § 1.4 Declaratory Rulings

A.General. Pursuant to R.I. Gen. Laws § 42-35-8, any interested person may petition the Department for a declaratory ruling as to the applicability of any statutory provision or of any rule or order of the Department. The Department shall consider the petition and within a reasonable time the Department shall:

1.Issue a declaratory ruling; or

2.Set a reasonable time and place for hearing argument upon the matter and give reasonable notification to the person of the time and place for such hearing and of the issues involved.

a.If a hearing as provided in § 1.4(A)(2) of this Part is conducted, the Department shall within a reasonable time thereafter issue a binding declaratory ruling.

B.Form of Petition. Any interested person petitioning the Department for a declaratory ruling shall generally adhere to the following requirements for such purpose:

1.At the top of the page shall appear the wording “Before the Department of Administration.” On the left side of the page below the foregoing, the following caption shall be set out: “In the Matter of the Petition of (name of the petitioning party) for a Declaratory Ruling.” Opposite the foregoing caption shall appear the word “Petition.”

2.The body of the petition shall be set out in numbered paragraphs. The first paragraph shall state the name and the address of the petitioning party. The second paragraph shall state all rules or statutes that may be brought into issue by the petition. Succeeding paragraphs shall state the facts relied upon in form similar to complaints in civil actions before the superior courts of this state. The concluding paragraphs shall contain the relief or order sought. The petition shall be signed by the petitioner and/or his or her attorney and shall state that the facts contained in such petition are true and accurate to the best of the petitioner’s knowledge and belief.

3.The original and two (2) copies shall be filed with the Department.

4.Petitions shall be on 8 and ½ x 11”white paper.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-1 § 1.5 Petitions for Promulgation, Amendment or Repeal of any Rule or Regulation

A. General. Pursuant to R.I. Gen. Laws § 42-35-6, any interested person may petition the Department requesting the promulgation, amendment or repeal of any Department rule or regulation. Where the petition requests the promulgation of a rule or regulation, the requested or proposed rule or regulation must be set out in full. The petition must also include the basis for the requested rule or regulation together with briefs of any applicable law. Where the petition requests the amendment or repeal of a rule or regulation, the current rule or regulation must be set out as well as a suggested amended form, if any. The petition must include the basis for the requested amendment or repeal of the rule or regulation. All petitions shall be considered by the Department and the Director, who in his/her discretion, may order a hearing be held for further consideration and discussion on the requested promulgation, amendment or repeal of any rule or regulation.

B.Form of Petition. Any interested person petitioning the Department requesting the promulgation, amendment or repeal of any rule or regulation shall generally adhere to the following form for such purpose:

1.At the top of the page shall appear the wording “Before the Department of Administration.” On the left side of the page below the foregoing, the following caption shall be set out: “In the Matter of the Petition of (name of petitioning party) for (state whether promulgation, amendment or repeal) of (identity rule or regulation).” Opposite the forgoing caption shall appear the word “Petition.”

2. The body of the petition shall be set out in numbered paragraphs. The first paragraph shall state the name and address of the petitioning party. The second paragraph shall state whether the petitioner is requesting promulgation, amendment or repeal of a rule or regulation. In the case of a request for promulgation of a rule or regulation, the petitioner shall state such rule or regulation in its entirety. In the case of a request for an amendment to a rule or regulation, the petitioner shall state the rule or regulation or section thereof, with the proposed language to be added underscored and the proposed language to be deleted by crossing out. In the case of a request for repeal of a rule or regulation, the petitioner shall state either the rule or the regulation in its entirety or refer to it by Department number. The third paragraph shall contain a statement as to the interest of the petitioner in the subject matter of the rule or regulation. Subsequent numbered paragraph(s) shall be used to give full explanation of petitioner’s reasons including legal arguments for the action sought.

3.Petitions shall be signed and dated by the person named in the first paragraph or his or her authorized representative.

4. The original and two (2) copies shall be filed with the Department.

5. Petitions shall be submitted on 8 and ½ x 11”inch white paper.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-1 § 1.6 Effective Date

This Regulation shall become effective twenty (20) days from the date of filing with the Secretary of State’s Office.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Adoption — effective from 2008-06-18 to 06/18/2008

220-RICR-50-10-2 Rules of Procedure for Administrative Hearings

220-RICR-50-10-2 § 2.1 Authority

This Regulation is promulgated pursuant to R.I. Gen. Laws §§ 42-11-1 et seq., 42-35-1 et seq., 36-4-1 et seq., and 42-92-1 et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.2 Purpose and Scope

A.These rules (“Rules” or “Regulation”) are adopted for the purpose of assisting in carrying out the functions, powers, and duties assigned to the Department of Administration (“Department”), whether in effect prior to or subsequent to the adoption of these Rules.

B.These Rules shall govern the conduct of adjudicatory proceedings commenced before the Department after their effective date. These Rules shall be liberally construed to further the fair, prompt, orderly administration, and determination of adjudicatory proceedings in conformity with R.I. Gen. Laws § 43-35-1 et seq., the Rhode Island Administrative Procedures Act. To the extent that any part of these Rules are (or become) inconsistent with applicable law or the terms of any other rule or regulation promulgated by the Department, the applicable law and/or the terms of such other rule or regulation shall apply.

C.A Hearing Officer (as defined below) for the Department may also handle administrative hearings by request or by delegation on behalf of other state agencies, boards, and/or commissions either upon request or as appointed by the Director of the Department. Any such hearings held by said Hearing Officer for the Department on behalf of another agency, board, and/or commission will utilize the duly promulgated rules and regulations of those agencies, boards, and/or commissions concerning administrative hearings when conducting such hearings. In the absence of any such regulations promulgated by said agency, board, and/or commission or in the absence of a regulation applicable to a specific issue raised in such a hearing, the appropriate section(s) of these Rules shall apply.

D.These Rules shall also govern administrative appellate reviews handled by a Hearing Officer (as defined below) for the Department. Said administrative appellate review of final decisions or final orders of the Department shall be held either pursuant to statutory authority and/or a delegation of authority by the Director and/or delegation of authority by another state agency, board, and/or commission, as applicable.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.3 Definitions

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

1.“Contested case” means an adjudicatory proceeding before a Hearing Officer of the Department in which the legal rights, duties or privileges of a Party are determined.

2.“Department” means the Department of Administration.

3.“Department counsel” means the legal representative of the Department.

4.“Director” means the Director of the Department.

5.“Division” means a Division of the Department with the authority to perform the functions of the Department as designated by statute.

6.“Hearing officer” means the individual(s) including an Administrator of Adjudication authorized by law or duly designated by the Director to conduct hearings, write decisions and, when required to make recommendations to the Director in Contested Cases. It also refers to individual(s) including an Administrator of Adjudication authorized by law or duly designated by another state agency, board, and/or commission to conduct hearings, write decisions, and when, required make recommendations to the agency, board, or commission.

7.“License” means a document issued by the Department (sometimes referred to as a license, permit, certificate, approval, registration, charter) granting permission required by law to engage in certain activities.

8.“Licensee” means any holder of a License.

9.“Party” or “Parties” means each Person named or admitted as a Party in a Contested Case.

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

11.“Reasonable cause” means the existence of 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 conclude that a violation(s) of law, rule, or regulation has occurred.

12.“Respondent” means a Party who is the subject of a Department administrative action pursuant to § 2.4 of this Part.

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

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.4 Department Investigation and Action

A.The Department Investigation and Action. The Department, pursuant to its own authority, may initiate an investigation and take regulatory action:

1.against a Licensee,

2.against an applicant for a License or applicant for renewal of a License,

3.against any Person who is required to be licensed but is not licensed, and

4.against any Person who is otherwise subject to the regulatory or statutory authority of the Department.

B.All such regulatory actions shall be pursuant to applicable law and the rules and regulations adopted pursuant thereto.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.5 Notice of Contested Case

A. Notice Required. The Department shall give written notice (“Notice") to all Parties of the initiation of a Contested Case. The Notice shall be designed to afford an opportunity for hearing to all Parties pursuant to R.I. Gen. Laws § 42-35-9 or as otherwise provided by law.

B.Notices. All Persons upon whom a § 2.5(A) of this Part Notice is served, if required to do so in the Notice, shall file a written answer ("Answer") within twenty (20) days of the service of the § 2.5(A) of this Part Notice. The Answer shall be in the form of a specific admission, denial, and/or assertion that the Respondent is without sufficient knowledge or information to form a belief with respect to each of the allegations in the § 2.5(A) of this Part Notice, along with the assertion of any defense to any allegation(s). Any Party having a right to request a hearing shall request such hearing in accordance with the terms and conditions contained in the § 2.5(A) of this Part Notice.

C.If Respondent/Party requests a hearing in response to a Notice, the Department shall provide a Notice of Hearing to the Respondent in the form of an order appointing a Hearing Officer which order shall specify the type of hearing and the date for a prehearing conference.

D.The Notice of Hearing shall also inform the Respondent that:

1.it shall be his/her or its sole responsibility (or his/her or its representative) to present a defense at hearing; and

2.specify the statutory cause of action under which the hearing is convened and potential penalty or penalties resulting therefrom.

E.Contents of Notice. The Notice of Hearing shall comply with R.I. Gen. Laws § 42-35-9(b) and/or any other statutory requirements.

F.Order Regarding Hearing. For those proceedings where a Party has requested a hearing (such as an appeal pursuant to R.I. Gen. Laws § 36-4-40), where there is no need for the Notice as delineated in § 2.4(A) of this Part, an order shall be issued specifying the time, date, location of the hearing.

G.Request for Hearing. A request for a hearing filed by a Party/Respondent/Person (or attorney acting on his/her behalf) must be signed by said Party/Respondent/Person.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.6 Prehearing Conferences

A.The Department encourages the use of prehearing conferences as a means of making more effective use of hearing time and to otherwise aid in the disposition of the proceeding or the settlement thereof, where appropriate.

B.The Hearing Officer may, with reasonable written notice, require that all Parties attend a prehearing conference to consider the following:

1.the simplification, narrowing, and clarification of the issues;

2.the possibility of obtaining written stipulations, admissions, and/or agreements with respect to the introduction of documents or similar agreements to avoid unnecessary issues of proof, at hearing;

3.the identification of witnesses and any limitation of the number of witnesses;

4.the possibility of agreement disposing of all or any of the issues in dispute;

5.the consideration of outstanding motions;

6.the status of settlement negotiations, if any;

7. the possibility of use of pre-filed testimony, where appropriate;

8. issues related to discovery, including possible resolution of disputes related to the scope of the discovery and any limitation(s) of data and/or document requests;

9.scheduling of hearings; and

10.such other matters as may aid in the efficient conduct of the regulatory proceeding.

C.All Parties shall attend the prehearing conference fully prepared to discuss all matters related to the proceedings. Failure of any Party to attend the prehearing conference may constitute a waiver of all objections to any order or ruling issued by the Hearing Officer as a result of the prehearing conference unless good cause is shown for failure to appear.

D.At the sole discretion of the Hearing Officer, the Parties may be permitted to waive the prehearing conference by filing with the Hearing Officer a stipulation prior to the prehearing conference that contains the following:

1.Any agreement with respect to the issues in the matter;

2.an agreed upon discovery schedule;

3. three (3) agreed upon possible dates for a hearing; and

4.any other agreements as to matters contained in § 2.6(B) of this Part.

E. In the discretion of the Hearing Officer, with agreement of the parties, prehearing conferences, conference hearings, or status hearings may be held by telephone, electronically, or by any other means.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.7 Representation

A.Appearances.

1.The Department shall notify each Party that each Party may retain legal counsel admitted to practice in the State of Rhode Island. Said notification shall be set forth in the Department’s order appointing a Hearing Officer or Notice of Hearing.

2.Individuals, and partners of partnerships, may appear pro se if they choose. An officer of a corporation may represent a corporation as long as duly authorized by corporation to act on its behalf in the matter.

3.If a Party is not appearing pro se he, she, or it must be represented by a member in good standing of the Bar of the State of Rhode Island or by an out of state attorney admitted pro hac vice by the Superior Court or by the appropriate court unless exempted pursuant to R.I. Gen. Laws § 11-27-11.

4.All attorneys must conform to the standards of ethical conduct required of practitioners before the courts of the State of Rhode Island.

B. Appearances of Present and Former Employees of the Department.

1. Except as provided in § 2.7(B)(2) of this Part below, no person who is currently an employee of the Department (or another agency, if applicable) may appear before the Department on behalf of any Person or represent any other Person or act as an expert witness before the Department except in the performance of his/her official duties as an employee of the Department (or another agency, if applicable).

2.In appeals filed pursuant to R.I. Gen. Laws § 36-4-40, the Department’s or other agencies’ employees in the Hearing Officer’s discretion may testify on behalf of a Person filing such an appeal when they have personal knowledge of the Person’s job duties.

3.No person having been so employed by the Department (or another agency, if applicable) may, within one (1) year after said employment has ceased, appear before the Department (or another agency, if applicable) on behalf of any other Person, or represent any Person or act as an expert witness before the Department (or another agency, if applicable).

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.8 Filing of Pleadings and Other Documents

A.Title. All pleadings and other documents filed with the Department in any Contested Case, whenever possible, shall state the file number, if any, the title of the proceeding and the name of the Person on whose behalf the filing is made.

B.Form and Size. All pleadings and other documents filed with the Department, except those documents which are kept in a smaller or larger format during the ordinary course of business, are to be submitted on 8½ by 11 inch paper. At the discretion of the Hearing Officer, filings may be made by telecopier, facsimile, or by electronic mail or any other manner or means approved by the Hearing Officer. If filings are made electronically, the Party shall also file a hard copy of any such electronic filing. All documents must include, if applicable, the Rhode Island Bar number, address, telephone number, facsimile number and e-mail address of each attorney and pro se Party. All papers shall be filed during Regular Business Hours. The Department's date stamp shall be presumptive of the actual date of filing.

C.Signature. The original copy of each pleading shall be signed and dated by the Party on whose behalf the pleading is made or by the Party's authorized representative. This signature shall constitute a certification that the Party has read the document, understands the contents thereof and, to the best of his/her knowledge, believes that such statements are true, that the document is not interposed for delay and that if the pleading has been signed by his/her authorized representative, he/she has full power and authority to do so.

D.Construction. All pleadings shall be liberally construed and errors or defects therein which do not mislead or affect the substantive rights of the Parties involved may be disregarded.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.9 Service

A.Service Upon Parties and Others. A copy of all pleadings and other documents filed in any proceeding governed by these Rules shall be served upon all other Parties.

B.Manner of Service. Unless otherwise ordered or authorized by the Hearing Officer, service under these Rules shall be made upon a Party or upon the Party's attorney, if he/she has entered an appearance, by first class mail postage prepaid, certified mail or hand delivery to his or her place of business, home address or other address indicated by the Party in the pleadings. For a Licensee, service of any Person who has not yet entered an appearance shall be at the last address on file with the Department. For any Person not licensed by the Department, service shall be at the last known address which the Department reasonably believes will result in actual delivery. Service by mail is complete upon mailing.

C. Certificate of Service. There shall accompany and be included in the original of each pleading filed with the Department a certificate of service showing service on all Parties.

D.Date of Certificate to Govern. In addition to the provisions of § 2.10(A) of this Part, the calculation of the time for response to all pleadings shall commence as of the date of the certificate of service. However, if service is made by mail, then one (1) day shall be added to the prescribed period.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.10 Time

A.Computation. Unless otherwise specifically provided by law, computation of any time period referred to in these Rules shall begin with the first day following the act which initiates the running of the time period (including Saturday, Sunday and legal holidays). The last day of the time period so computed is to be included unless it is a Saturday, Sunday or legal holiday or any other day the Department is closed, in which case the period shall run until the end of Regular Business Hours of the next following business day.

B.Extensions of Time. It shall be within the sole discretion of the Hearing Officer, for good cause shown, to extend any time limit. All requests for extensions of time shall be made by written motion filed with the Hearing Officer.

C.Continuances. Except as otherwise provided by law, the Hearing Officer may, at any time, with or without request, continue or adjourn a prehearing conference or a hearing. If a Party requests a continuance, the Hearing Officer may direct the Party to seek the assent of the other Party(ies) prior to deciding whether to grant such request. If the Hearing Officer grants a continuance at the request of a Party(ies), the Hearing Officer may direct the Party(ies) requesting the continuance to immediately notify all other Parties of record and if deemed appropriate to prepare an order memorializing the continuance and the date to which the matter has been continued. If such an order is prepared, the continuance will only be effective when the notification to all other parties of record has been made.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.11 Motions

A. General. Any Party may request that the Hearing Officer enter any order or action not inconsistent with law, regulation, or these Rules. The types of motions made shall be those which are permissible under these Rules and the Rhode Island Superior Court Rules of Civil Procedure (“Super. R. Civ. P.”).

B. Presentation/Objections to Motions. Motions may be made in writing at any time before or after the commencement of a prehearing conference or hearing, and/or orally during a prehearing conference or hearing. Each motion shall set forth and/or state the grounds for the desired order or action and state whether oral argument on the motion is requested. Within ten (10) days after a written motion is filed with the Hearing Officer and served on the opposing Party(ies), a Party opposing said motion must file a written objection to the granting of the motion, and shall, if desired, request oral argument. All written motions and objections shall be accompanied by a written memorandum specifying the legal and factual basis for the Party's position. The Hearing Officer may request such written memorandum on oral motions and objections thereto.

C.Action on Motion. The Hearing Officer shall, if he/she determines oral argument on the motion is warranted, give notice of the time and place for such argument. The Hearing Officer may rule on a motion without argument if the motion involves a matter as to which the presentation of testimony or oral argument would not advance the Hearing Officer's understanding of the issues involved or if disposition without argument would best serve the public interest. The Hearing Officer may act on a motion when all Parties have responded thereto, or the deadline for response has passed, whichever comes first.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.12 Discovery

A.General. The Department favors prompt and complete disclosure and exchange of information and encourages informal arrangements and cooperation among Parties in this regard. It is the Department's policy to encourage the timely use of discovery as a means toward effective presentations at hearing and avoidance of the use of cross-examination at hearing for discovery purposes.

B.Procedure. Any Party, by written request served upon all other Parties, may request the other Party to produce for inspection, copying or photocopying documents, objects or tangible things which are relevant to the subject matter of the hearing.

C.Hearing Delay. No hearing shall be continued to permit the completion of discovery unless the Party seeking discovery has exercised due diligence in attempting to complete discovery.

D.Discovery Schedule. At the discretion of the Hearing Officer, the discovery schedule shall be set at the prehearing conference. The Hearing Officer may amend such discovery schedule at the request of a Party or on his or her volition.

E.Written Discovery. Written discovery as set forth in Super. R. Civ. P. is allowed but may be limited by the Hearing Officer as he/she deems appropriate.

F.Types of Discovery. Any other types of discovery as set forth in Super. R. Civ. P. may be allowed in the discretion of the Hearing Officer.

G.Discovery Disputes. Objections to discovery requests shall be made pursuant to Super. R. Civ. P. If there is a dispute between the Parties with respect to whether a Party has failed to completely respond to a discovery request, the Party requesting the discovery shall comply with Super. R. Civ. P. 37(a)(2) prior to filing a Motion to Compel Discovery.

H. A Party is not required to file discovery responses with the Hearing Officer unless otherwise ordered by the Hearing Officer.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.13 Subpoenas

Upon application of any Party, as authorized by law, subpoenas requiring attendance and testimony of witnesses and to compel the production and examination of papers, books, accounts, documents, records, certificates and other evidence that may be necessary or proper for the determination and decision of any question before the Hearing Officer may be issued by the Director or his/her designee upon submission to the Hearing Officer. Except as may be otherwise provided by law, where a subpoena is not honored, the Director or his/her designee may make application to the State of Rhode Island Superior Court seeking an order to show cause why the Person who failed to honor the subpoena should not be held in contempt and for such further relief as may be appropriate. The Hearing Officer may, sua sponte, or on motion of any Party or witness, issue such protective orders, grant such motions to quash and/or grant other motions as justice or fairness may require.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.14 Evidence

A. Rules of Evidence. Irrelevant, immaterial or unduly repetitious evidence shall be excluded in all proceedings wherein evidence is taken. While the rules of evidence as applied in civil cases in the Superior Courts of this state shall be followed to the extent practicable, the Hearing Officer shall not be bound by the technical evidentiary rules. Evidence not otherwise admissible may be admitted, unless precluded by statute, when necessary to ascertain facts not reasonably susceptible of proof under the rules, if the evidence is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs. The rules of privilege recognized by law shall apply. Objections to evidentiary offers may be made and shall be noted in the record.

B. Exhibits, Copies. In all cases wherein evidence is taken, exhibits may be introduced in the form of copies or excerpts, if the original is not readily available. Upon request, a Party shall be given an opportunity to compare the copy with the original.

C. Administrative Notice. In all proceedings wherein evidence is taken, notice may be taken of judicially cognizable facts. In addition, notice may be taken of generally recognized technical or scientific facts within the Department's specialized knowledge. Parties shall be notified by the Hearing Officer either before or during the hearing, or by reference in preliminary reports or otherwise, of the material noticed, including any report or data required by law or regulation to be filed with the Department. Parties shall be afforded an opportunity to contest the material so noticed. The Hearing Officer's experience, technical competence and specialized knowledge may be utilized in the evaluation of the evidence. The burden is on the Party requesting the Hearing Officer's notice to produce the documents or other matter for the Hearing Officer's review.

D. Department Employees, Agents and Consultants. At the hearing, the Hearing Officer may employ the use of Department employees, agents and consultants to assist him/her in the evaluation of any evidence introduced at the hearing.

E. Oath. All testimony shall be under oath or by affirmation.

F. Testimony. At the discretion of the Hearing Officer, an adverse inference may be drawn by an assertion by a witness or a Party of his/her Fifth Amendment rights under the U.S. Constitution.

G. Under Seal. Where it is determined necessary by the Hearing Officer either sua sponte or at the request of a Party, documentary evidence may be sealed to protect confidential agency documents. Such documents include but are not limited to agency work product entered into evidence pursuant to R.I. Gen. Laws § 36-4-40 appeal, civil service examination questions, and tax matters pursuant to R.I. Gen. Laws § 44-19-30. In the event of an appeal of a decision rendered in a matter where part of the record is under seal, the sealed portion shall be considered part of the record on appeal.

H. Objections. Objections to evidentiary evidence may be made and shall be noted on the record. Parties objecting to the introduction of evidence shall state the precise grounds for such objection at the time such evidence is offered. When objection is made to the admissibility of evidence, such evidence may be received subject to later ruling. The Hearing Officer may, in his/her discretion, either with or without objection, exclude inadmissible or cumulative evidence.

I. Documentary Evidence in Advance: Where practicable the Hearing Officer may require:

1.That all documentary evidence which is to be offered during hearing be submitted to the other Party and/or the Hearing Officer sufficiently in advance of offering such evidence to permit study and preparation of cross-examination and rebuttal evidence;

2.That documentary evidence not submitted in advance, as otherwise required under § 2.14(I)(1) of this Part, not be received in evidence in the absence of a clear showing that the offering Party had good cause for failing to produce the evidence sooner; and

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

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.15 Conduct of Hearings

A. General. Hearings shall be as informal as may be reasonable and appropriate under the circumstances. All Parties, witnesses and other Persons at a hearing shall conduct themselves in a manner consistent with the standards of decorum commonly observed in any courtroom. Where such decorum is not observed, the Hearing Officer may take appropriate action including ejectment or adjournment, if necessary.

B. Duties of Hearing Officer. The Hearing Officer shall conduct the hearing, make all decisions regarding admission or exclusion of evidence or any other procedural matters and either administer oaths to witnesses or instruct the stenographer to do so.

C. Order of Proceedings. Except as otherwise required by law, it shall be the usual practice that hearings of the Department shall be open. Where evidence is peculiarly within the knowledge of one Party, or where Contested Cases have been consolidated or where there are multiple Parties, the Hearing Officer may, in his/her discretion, direct who shall open and shall further designate the order of presentation of evidence.

D. Rights of Parties. Parties shall have the right to present evidence, cross-examine witnesses, object, make motions, and present arguments. The Hearing Officer may question any Party or any witness for the purpose of clarifying his or her understanding or to clarify the record of the proceedings.

E. Record of Proceedings.

1.A complete record of the proceedings shall be recorded on audiotape, digital recorder or similar electronic device or, at the discretion of the Hearing Officer, by stenographic record. In the event the Hearing Officer orders a stenographic record, the Hearing Officer shall order which Party or Parties shall bear the cost thereof. Any Party may on his, her or its own initiative order a stenographic record made of the proceedings. The requesting Party shall incur all costs associated therewith. The Hearing Officer shall be provided an original of the stenographic record at no cost and the Department Counsel shall be provided with a copy at no cost. Any Party may request a copy of the audiotape record of the proceedings. The requesting Party shall bear the cost of reproducing said audiotapes thereof.

2.If a Party chooses to appeal a final Departmental decision to Superior Court pursuant to R.I. Gen. Laws § 42-35-1 et seq. or to appeal a decision as otherwise provided by law and the Superior Court (or another Court) requires a transcript of the hearing and there is only an electronic recording of the hearing, said Party shall be responsible for having the transcript prepared by an independent person or company at his, her or its expense within twenty (20) days of filing the appeal.

3. For appeals to the Personnel Appeal Board of decisions rendered pursuant to R.I. Gen. Laws § 36-4-41, the Appellant shall bear the cost of the transcription as provided by law.

F.Public Hearings. Except as provided by law, all hearings are to be open to the public. In general, any Person who is not a Party to a proceeding may on a showing of a relevant interest in the proceeding and in the discretion of the Hearing Officer, be permitted to make oral or submit written statements on any issues relevant to the proceeding. A relevant interest may include such factors as whether the outcome of the hearing may affect a Person or is somehow relevant to the Person.

G. Close of Proceedings. At the conclusion of the evidence, the Hearing Officer may, in his/her discretion, permit the Parties to argue orally and/or to submit written briefs. The Hearing Officer may, within his/her 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, the deadline for the filing of the briefs or upon such date as may be set by the Hearing Officer. No evidence shall be admitted thereafter, unless otherwise ordered by the Hearing Officer. The Hearing Officer 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 proceeding, if the Parties agree to waive the hearing, the Hearing Officer may dispose of the matter upon the pleadings and other submittals of the Parties.

I. Dispositions. Unless otherwise precluded by law, disposition may be made of any Contested Case at any time by stipulation, consent agreement, consent settlement, consent order, default or dismissal by the Hearing Officer. A joint request for a stay of the hearing for the purpose of preparing documents relevant to the above shall be forwarded to the Hearing Officer and may be granted within the sound discretion of the Hearing Officer.

J.Consent Agreements and Consent Orders. The Department may enter into a consent agreement with a Party(ies) prior to a prehearing conference being held in an administrative proceeding. A consent agreement is valid if signed by a Department representative; it does not have to be approved by the Hearing Officer and/or Director. Subsequent to a prehearing conference being held in an administrative proceeding, the Parties may agree to the terms of a consent order; provided however, such a consent order must be approved by the Hearing Officer and, if necessary the Director to be valid. Both 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.

K. Appeals of either a Rejection to Take a State Civil Service Examination or Examination Results. For appeals filed pursuant to R.I. Gen. Laws §§ 36-4-40, 36-4-40.1, and 36-4-18 as set forth pursuant to Section 3.035 (Disqualification of Applicants) and to Section 3.06 (Results of Examination) of the Personnel Rules & Regulations, the Appellant or his or her representative, a representative of the Office of Personnel Administration (“OPA”), and a duly designated Hearing Officer may meet informally to resolve the issues and may agree to resolve the issue. If the issues cannot be resolved than the issue may proceed to a hearing.

1.Examination Results: If the Appellant appealing the results of his/her civil service examination results wishes to pursue an appeal after an informal review with OPA and a Hearing Officer, the Hearing Officer will set a briefing schedule allowing the Appellant to present written documentary evidence and arguments why s/he believes that the s/he chose the correct answer(s) on the examination and/or believes the education/experience scoring was incorrect. If possible, Appellant should rely on recognized texts and/or research, training manuals, and/or rules or regulations of the appropriate agency, if applicable, and any other relevant arguments in his or her submission. OPA will be allowed to provide a written response to Appellant’s brief. OPA should rely on the appropriate agency’s expert and any other relevant arguments. However, in the Hearing Officer’s discretion, s/he may set hearing on the issues. Unless the Parties agree the examination was incorrectly scored, upon receipt of the written briefs and after hearing, if one is scheduled, the Hearing Officer shall render a decision. OPA shall take the appropriate steps if it is found by the Hearing Officer that the examination was incorrectly scored.

2.Rejection to take a State Civil Service Examination: If Appellant pursues his or her appeal after the informal meeting detailed in § 2.15(K) of this Part, the Hearing Officer shall allow the hearing to proceed either on written submissions or by hearing.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.16 Penalties

A.In determining the appropriate penalty to impose on a Party found to be in violation of a statute(s) or regulation(s), the Hearing Officer shall look to past precedence of the Department for guidance and may consider any mitigating or aggravating circumstances.

1.Mitigating circumstances may include, but shall not be limited to, the following: the Party’s licensing history, i.e. the absence of prior disciplinary actions against the Party; the Party’s acceptance of responsibility for any violations; the Party’s cooperation with the Department; and the Party’s willingness to give a full, trustworthy, honest explanation of the matter at issue.

2.Aggravating circumstances may include, but shall not be limited to, the following: the Party’s prior disciplinary history; the Party’s lack of cooperation and/or candor with the Department; the seriousness of the violation; whether the Party’s act undermines the regulatory scheme at issue; whether there has been harm to the public as a result of the violation; and whether the Party’s act demonstrates dishonesty, untrustworthiness, or incompetence.

B.The finding of mitigating circumstances will not necessarily lead to a reduction in the penalty imposed if the circumstances of the violations found by the Hearing Officer are such that they do not warrant a reduction in penalty.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.17 Decisions

A.All decisions rendered by the Hearing Officer at the conclusion of a hearing shall be in writing and shall comply with the requirements of R.I. Gen. Laws § 42-35-12. If required by law or by the delegation of authority, the decision of the Hearing Officer shall be reviewed by the Director of the Department who shall enter an order adopting, modifying or rejecting the decision of the Hearing Officer. 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 or as otherwise provided by law.

B.Unless otherwise required by law or regulation, all decisions shall be issued within sixty (60) days of the close of the hearing. However, if the Hearing Officer cannot complete a decision within sixty (60) days, the Hearing Officer shall issue a statement to the Parties stating the reasons for delay and giving the anticipated date of issuance.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.18 Publication of License Suspensions and Revocations

Any final decision and order of the Director of the Department which results in the imposition of a sanction of suspension or revocation of a License, a bar from practice in a particular field or type of business or other similar sanction may be published as many times and in whatever manner as the Director, in his/her sole discretion, deems necessary to adequately inform the public of the action taken. The intent to publish a sanction shall be contained in the final decision, final order, consent agreement, or consent order. The Director or Hearing Officer may require the Licensee to bear the cost of the publication.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.19 Reconsideration

A.At any time after the issuance of a final decision or order, any Party may, for good cause shown, by motion petition the Director or Hearing Officer to reconsider the final order or decision. The petitioner shall file his/her motion within twenty (20) days of the issuance of a decision or final order and shall set forth the grounds upon which he/she relies. The Director or Hearing Officer may grant the motion for reconsideration within his/her discretion and shall order such relief as he/she deems appropriate under the circumstances.

B.The Department shall not entertain a motion for reconsideration filed more than twenty (20) days after entry of the final decision or order, unless the Hearing Officer finds good cause to entertain said motion.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.20 Judicial Review

Any Party aggrieved by a final written order or decision of a Hearing Officer or Director may file a complaint with the Superior Court pursuant to R.I. Gen. Laws § 42-35-15 unless said appeal is provided for otherwise by law. In the absence of a timely appeal, the order or decision of the Director or Hearing Officer shall become final and no further administrative appeal may be taken.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.21 Default

If any Party to a proceeding fails to answer a complaint, plead, appear at a prehearing conference or hearing or otherwise fails to prosecute or defend an action as provided by these Rules, the Hearing Officer may enter a default judgment against the defaulting Party, take such action based on the pleadings and/or other evidence submitted by the nondefaulting Party as the Hearing Officer deems appropriate in his/her sole discretion or take such other action as the Hearing Officer deems appropriate in his/her sole discretion. Challenge to such an order shall be made as a motion for reconsideration pursuant to § 2.19 of this Part, above.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.22 Disqualification; Incapacity of Hearing Officer

A. Disqualification. Any Party may make a motion to the Director or Hearing Officer requesting that the Hearing Officer be disqualified or removed from the proceeding. The motion shall be accompanied by an affidavit setting forth the reasons for the request to disqualify. In the event that the motion to disqualify is granted, another Hearing Officer shall be assigned to the matter. If the Hearing Officer denies a motion to disqualify, the moving Party may appeal to the Director.

B.Incapacity. When the Hearing Officer becomes incapacitated or unavailable to complete a hearing and/or render a decision, the hearing shall continue and be conducted by and/or the decision rendered by a substitute Hearing Officer appointed by the Director. If any Party objects to the substitution of the Hearing Officer for the purpose of continuing a hearing or rendering a decision, that Party must prove prejudice by presentation of argument and evidence to the substitute Hearing Officer. If the substitute Hearing Officer finds that the objecting Party will be prejudiced, the substitute Hearing Officer will issue an order making such findings and will hear the matter de novo.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.23 Miscellaneous

A.Intervention. Any Person claiming a right to intervene or an interest of such a nature that intervention is necessary or appropriate to the administration of the statute under which the proceeding is brought may seek to intervene in any proceeding. Intervention may be initiated by filing a motion to intervene with the Hearing Officer. The motion shall set out clearly and concisely the facts from which the nature of the movant's alleged right of interest can be determined, the grounds for the proposed intervention and the position of the movant in the proceeding.

B.Ex Parte Consultations. No Person who is a Party to or a participant in any proceeding before the Department or the Party's counsel, employee, agent or any other individual acting on the Party's behalf, shall communicate ex parte with the Hearing Officer or the Director about any matter related to the proceeding, and the Hearing Officer and/or the Director shall not request or entertain any such ex parte communications. The prohibitions contained above do not apply to those communications which relate solely to general matters of procedure and scheduling of the hearing.

C.Consolidation. The Hearing Officer may, in his/her discretion, consolidate or combine several matters for purposes of hearing or other proceedings, when he/she finds that sufficient common issues of fact or law or both are involved.

D. Plural. Words in the singular number include the plural, and vice-versa, except where the context otherwise requires or where a contrary result appears by necessary implication.

E.Statutes. If any statute has different requirements than those contained within this Regulation, the statute shall be controlling.

F.Public Documents. The Department reserves the right to publish in any form any public document.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.24 Consent Orders

A.Consent Orders. At any time after the opening of the prehearing conference and prior to the close of the record of a Departmental hearing, the Parties may attempt to dispose of the matter by entering into a consent order as provided in § 2.15(J) of this Part. Every consent order shall contain, at a minimum, an admission of all jurisdictional facts and express waivers of further procedural steps before the Hearing Officer, including the right to appeal. Upon receiving a consent order, the Hearing Officer may:

1. accept the consent order and if required by law recommend its approval to the Director; or

2.reject the consent order and state the reasons therefore in writing and take such other appropriate administrative action.

B.In the event that the Hearing Officer rejects the consent order, either Party may appeal the rejection directly to the Director. Such appeal shall be in writing and shall be filed with the Director no later than seven (7) days after the date the Hearing Officer notifies the Parties, in writing, of the rejection of the consent order. Upon receipt of an appeal, the Director shall take whatever action he/she deems appropriate. Should the Director confirm the Hearing Officer's decision to reject the consent order, such rejection shall be deemed an interim order of the Director and not a final order and the matter shall continue through the administrative hearing process. Nothing herein shall prevent the Parties from subsequently entering into and presenting to the Hearing Officer for consideration a new consent order.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.25 Public Information

A.Access to public records shall be governed in accordance with R.I. Gen. Laws § 38-2-1 et seq. All hearings shall be conducted pursuant to the Administrative Procedures Act, R.I. Gen. Laws § 42-35-1 et seq. unless otherwise specified by law. Except where the Director, his or her designee or the Hearing Officer directs otherwise, or when required by law, upon the opening of the prehearing conference all pleadings, orders, communications, exhibits and other documents filed with the Hearing Officer shall become public records. Any claim of privilege that a document is not public 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 not public shall not preclude the Department 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 Department. 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 Department 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, may apply to the Department 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

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.26 Hearings within the Department

These Regulations relate to all hearings held before a Hearing Officer under the auspices of the Department’s jurisdiction. If a division of the Department has also promulgated administrative hearing regulations said division’s regulations and these Regulations shall apply. If there is a conflict between said division’s regulations and these Regulations, the division’s regulation shall apply.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.27 Administrative Appellate Review

When a Hearing Officer is handling an administrative appellate review either pursuant to statutory authority and/or a delegation of authority by the Director and/or delegation of authority by another state agency of final decisions or final orders, said review shall be performed pursuant to R.I. Gen. Laws § 42-35-1 et seq. unless otherwise provided by law.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.28 Hearings for Other State Agencies, Commissions, and/or Boards

When a Hearing Officer handles an administrative hearing on behalf of another agency, board, and/or commission, the Hearing Officer will utilize those agencies’, board’s, and/or commission’s duly promulgated rules and regulations concerning administrative hearings. In the absence of any such applicable regulation(s) promulgated by said agency, board, and/or commission or in the absence of a regulation applicable to an issue raised during the administrative hearing then these Rules shall apply.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.29 Mediation

A Hearing Officer may offer to provide mediation to the Parties. In the alternative, the Hearing Officer may appoint another Hearing Officer to act as a mediator. In the discretion of the Hearing Officer and by agreement of the Parties, the Hearing Officer may informally meet with the parties together and/or separately in order to ascertain whether the Parties may reach a settlement of the matter. The Parties and the Hearing Officer may agree to the type of mediation services offered by the Hearing Officer. The Parties may agree in advance that if a settlement is not reached, the Hearing Officer will hear the matter. If the Parties agree in advance that if a settlement is not reached and the Hearing Officer can still hear the matter, a Party may not then argue that the Hearing Officer cannot hear the matter after a settlement has not been reached. The parties may agree in advance that a substitute Hearing Officer may be provided if after mediation, a resolution is not reached.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.30 Equal Access to Justice for Small Businesses

A.Pursuant to R.I. Gen. Laws § 42-92-1 et seq., the Hearing Officer shall award reasonable litigation expenses incurred by the prevailing party in connection with Departmental hearings, if the Hearing Officer finds that all of the following conditions are met:

1.there was no reasonable basis in fact or law for the Department’s position; and

2. the adjudicatory proceedings involved loss of benefits, the imposition of a fine, the suspension or revocation of a license or permit, or which may result in the compulsion or restriction of activities; and

3.the prevailing party is either:

a.an individual whose net worth is less than five hundred thousand dollars ($500,000) at the time the adjudication is initiated; or

b.an individual, partnership, corporation, association or private organization doing business and located in the state which is independently owned and operated, not dominant in its field, and which employs no more than one hundred (100) persons at the time the adjudication is initiated; and

4. the prevailing party requested reimbursement not later than thirty (30) days following the issuance of the written order, detailing:

a.compliance with §§ 2.30(A)(1) through (4) of this Part; and

b.the costs incurred in defending against the unreasonable adjudicatory proceedings, including, but not limited to, attorney’s fees and witness fees.

B.If found to be applicable, the Hearing Officer shall issue a supplementary order directing the Department to pay reasonable litigation expenses, as limited by R.I. Gen. Laws § 42-92-2(6).

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.31 Severability

If any section, term, or provision of this Regulation should be adjudged invalid for any reason, that judgment should not effect, impair, or invalidate any remaining section, term, or provision, which shall remain in full force and effect.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

220-RICR-50-10-2 § 2.32 Effective Date

This Regulation shall be effective twenty (20) days from the date of filing with the Secretary of State.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2008-06-18 to 01/04/2022
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Technical Revision — effective from 2008-06-18 to 06/18/2008
• Amendment — effective from 2008-06-18 to 06/18/2008
• Periodic Refile — effective from 2001-12-19 to 06/18/2008

Chapter 60 Enterprise Technology Strategy and Service

Subchapter 15 Library and Information Services

220-RICR-60-15-1 Regulations for Public Library Construction Reimbursement

220-RICR-60-15-1 § 1.1 Authority

A. Pursuant to R.I. Gen. Laws § 29-6-6, the Office of Library and Information Services may award state grant-in-aid to reimburse the construction or improvement of public library facilities in a city or town.

B.Pursuant to R.I. Gen. Laws §§ 29-3.1-7(8) and 29-3.1-4.1(b)(7), the Chief of Library Services is charged to develop standards and regulations for public library development and the Library Board of Rhode Island is charged to approve such standards and regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.2 Purpose

The purpose of this Part is to set regulations for Public Library Construction Reimbursement, to govern the award of state grant-in-aid for library construction that is undertaken to improve library facilities and meet community needs for services as outlined in the library’s strategic plan.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.3 Definitions

A.The following terms shall have the following meaning:

1."Adjusted equalized weighted assessed valuation" means the full and fair market value of real estate, tangible personal property and motor vehicle wealth of all cities and towns as of the third preceding calendar year as prescribed by R.I. Gen. Laws 16-7-21.

2."Maintenance and repair" means the building maintenance and repair that must be undertaken periodically due to wear and tear of the facility and/or the fixed life of building features such as HVAC systems, roofs, carpets, wall coverings, and other fixed assets within the building.

3."Professional librarian" means a librarian that holds a master's degree in library and information science from a graduate school accredited by the American Library Association.

4."State fiscal year" means the period from July 1 through June 30.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.4 Eligibility Requirements

A.The library must be legally established as a free public library according to R.I. Gen. Laws Chapter 29-4.

B.The library and its municipality must be eligible for state aid to libraries in accordance with R.I. Gen. Laws § 29-6-3 and meet all requirements therein.

C.The library must have a regular source of operating income and shall furnish proof that the governing body providing operating funds has agreed to provide appropriations so that the new or improved facility can be properly operated, and services to be provided will be adequately funded such that the library continues to meet the Minimum Standards and Regulations for Rhode Island Public Libraries (Part 2 of this Subchapter).

D.The library must demonstrate that 100% (one hundred percent) of the funds required to complete the project in its entirety are secured and available at the time a reimbursement agreement is entered into with the library. The library must provide for the total funds needed to complete the project, including the state share and interest costs, until reimbursement of the state share begins in the state fiscal year following the completion, audit, and acceptance of the project by the Office of Library and Information Services.

E.The library must clearly demonstrate the need for the project, relating its plan for construction to the current and future needs of the community and the need for library services in the area. The statement of need must include documentation that current public library facilities in the municipality are inadequate for the provision of services to the library's defined service area and that the library's plans for construction will adequately address these needs for both the short and long-term life of the facility.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.5 Project Requirements

A.A professional librarian with experience of library construction projects must serve as an independent consultant, assisting the library director, library board and/or building committee and the architect throughout the planning and construction of the building.

B.There must be a written building program prepared by the consultant, or the library director with the guidance of the consultant, prior to the designing of the building by the architect. The building program must be in keeping with the library's long-range plan and informed by a long-term community needs assessment.

C.The library must assure that the project in its entirety is in compliance with applicable state and federal laws including, but not limited to:

1.Award of Municipal Contracts, R.I. Gen. Laws Chapter 45-55;

2.Minority Business Enterprises R.I. Gen. Laws Chapter 37-14.1;

3.Equal Employment Opportunity R.I. Gen. Laws Chapter 28-5.1;

4.The Green Buildings Act, R.I. Gen. Laws Chapter 37-24;

5.Historical Preservation R.I. Gen. Laws Chapter 42-45; and

6.The Americans With Disabilities Act of 1990, Pub. L. No. 101-336, 104 Stat. 328 (1990).

D.Facilities built or remodeled under a construction agreement with the Office of Library and Information Services must continue to be used as free public library facilities and continue to meet eligibility requirements for state aid to libraries. The library will not dispose of or encumber its title or other interests in the site and facilities during the period of state reimbursement without consultation with and the express written permission of the Office of Library and Information Services

E.The library will follow such procedures, submit such reports, maintain such records, and afford access thereto, as the Office of Library and Information Services sets forth in its regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.6 Construction Reimbursement Funding and Priorities

A.Priority will be assigned to projects based on ability to pay, with communities in the lowest quartile of "adjusted equalized weighted assessed valuation" ranked highest.

B. Priority will be given to those communities that have not previously completed a library construction project involving state reimbursement funding.

C.Any city, town or public library receiving construction reimbursement funding shall not be eligible to apply for additional construction funding for the same facility until the year following the fiscal year in which the state completes payment for a previous project.

D.Agreements for reimbursement of construction projects will be entered on a priority basis, with the estimated total amount required for library construction reimbursement payments in any given fiscal year not to exceed five million dollars for all projects.

E.State reimbursement may be made available for up to fifty percent of the total allowable project costs according to R.I. Gen Laws § 29-6-6, within the following parameters for maximum reimbursement amounts and/or total state share:

1.Construction costs are eligible for fifty percent reimbursement of expenditures up to the amount of three hundred dollars ($300) per square foot for new construction or two hundred and fifty dollars ($250) per square foot for renovation and remodeling. If the actual construction costs exceed one or both of these amounts per square foot, the state share shall be based on the not-to-be-exceeded amounts. Cost per square foot is determined by the cost of contracts for new construction and/or contracts for expansion, remodeling and alteration of existing buildings.

2.Architect's fees will be reimbursed up to an amount equal to 10% of the total cost of contracts for construction; any amount in excess of 10% of the total construction costs is not reimbursable.

3.Site costs, including demolition, sitework, the acquisition of a site or building, site improvement and parking lots, are reimbursable up to the lesser amount of one million dollars or 10% (ten percent) of the total project cost less the site costs.

4.Furniture, fixtures and equipment are reimbursable up to the amount of 10% (ten per cent) of the total project cost.

5.The total amount of reimbursement for any project shall not exceed ten million dollars.

F.The reimbursement amount will be determined by the Office of Library and Information Services. Should total requests for funding exceed the maximum amount available, the Office of Library and Information Services will determine the grant amount based on project priority and demonstration of need.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.7 Application Procedures

A.During the early planning phase of a construction project, the library shall submit a letter of intent to the Office of Library and Information Services outlining the timeline and approximate cost of the project.

B.The library shall submit a preliminary project budget to the Office of Library and Information Services based on the building program as soon as it is available.

C.Upon completion of preliminary estimates and preliminary architectural plans and drawings, the library shall submit a construction reimbursement application to the Office of Library and Information Services. The Office of Library and Information Services will review the application, schematic plans and site, and provide a review of the project's potential eligibility for reimbursement to the library.

D.The Office of Library and Information Services will review the final construction plans and documents with the library and architect and provide a final assessment of the project’s eligibility for construction reimbursement. The Office of Library and Information Services may approve, reject or recommend changes to the project.

E.The Office of Library and Information Services will participate in the development of the loan or mortgage agreement, assuring the lender of its participation in the project and reviewing and approving the terms of the loan(s) for the state share of the project. Neither the State of Rhode Island nor the Office of Library and Information Services shall be named as a guarantor in any financing agreement.

F.Upon final approval of the project, the Office of Library and Information Services will enter into a reimbursement agreement with the library.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.8 Allowable and Non-Allowable Costs

A.Allowable costs include the following

1.Construction of new buildings to be used specifically as public library facilities.

2.Expansion, remodeling, and alteration, as distinguished from maintenance and repair, of existing buildings to be used for public library purposes.

3.Construction, expansion, remodeling and alteration of the portion of a multipurpose building in which a library is to be housed. Costs relating to those portions of the shared mechanical, meeting room and multipurpose areas which are included in the square footage of the library will also be eligible.

4.Expenses incurred within three fiscal years preceding the fiscal year in which the project was approved that are related to:

a.Acquiring land for a new building or expansion of an existing library building.

b.Acquiring a building to be converted to a library and expanded, if necessary.

c.Such expenses must constitute the transaction cost of acquiring the building, or a transfer of public funds.

5.Site grading, improvement of land, and landscaping for public library use areas.

6.Parking lots, when part of a larger construction project.

7.Independent library building consultant.

8.Architectural, engineering and related inspection expenses.

9.Furnishings and equipment.

10.Fire suppression systems, when part of a larger project.

11.Expenses related to meeting a high-performance green building standard such as but not limited to the Leadership in Energy and Environmental Design (LEED) standard.

B.Non-allowable costs include the following:

1.Library materials.

2.General operating and office supplies.

3.Fundraising costs.

4.Non-public library use costs for a library or multipurpose building.

5.Salaries of in-house administration or library staff.

6.Feasibility studies.

7.Lease of facilities, service, equipment, or maintenance contracts.

8.Moving expenses.

9.Landscaping for non-public library use areas.

10.Parking lots which are not part of a larger construction project.

11.Legal fees (except those associated with borrowing the state’s share of the project costs).

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.9 Bidding and Contractor Requirements

A.After a reimbursement agreement has been signed with the Office of Library and Information Services, the library will secure the services of a contractor utilizing open cooperative bids in accordance with state regulations for the award of contracts by municipalities (R.I. Gen Laws Chapter 45-55).

B.After the opening of the bids, the library shall provide the Office of Library and Information Services with a tabulation of bids received.

C.The library shall award the contract to the responsive and responsible bidder whose bid is either the lowest bid price, or lowest evaluated or responsive bid price (R.I. Gen. Laws § 45-55-5).

D.The actual construction work will be performed by the lump sum (fixed price) contract method. Use of this method does not preclude the use of a construction manager if this is otherwise allowed by the governing body.

E.The successful bidder must comply with all state laws applicable to state funded projects and construction, including, but not limited to, Minority Business Enterprises (R.I. Gen. Laws § 37-14.1) and Equal Employment Opportunity (R.I. Gen. Laws § 28-5.1). Compliance with state laws must be documented and transmitted to the Office of Library and Information Services prior to the library's award of contract to the successful bidder. A contractor's failure to meet these requirements constitutes non-compliance.

F.The project contractor/subcontractor(s) shall comply with all applicable federal laws, including but not limited to the Davis Bacon Act as supplemented by the U.S. Department of Labor regulations and the Copeland Anti-Kickback Act.

G.After signing the contract with the successful bidder, the library will submit a copy of the construction contract to the Office of Library and Information Services.

H.The library or its designee will provide the Office of Library and Information Services with the official record of all construction project meetings in a timely manner. The library or its designee will also provide the Office of Library and Information Services with all approved payment requests and copies of approved amendments to the contract (change orders).

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.10 Display of Signs

A.The site of the construction project shall display a sign of standard size or in accordance with local ordinances including the statement that state funds administered by the Rhode Island Office of Library and Information Services are being used for such construction.

B.The completed building shall include a plaque indicating the date of completion and sources of funds, including the statement that project funding includes state funds administered by the Rhode Island Office of Library and Information Services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.11 Completion of Project

A.The library shall complete its construction project within two years of signing a construction agreement with the Office of Library and Information Services, and in accordance with the application and approved drawings and specifications.

B.Upon completion of the project, the library shall submit a Certificate of Substantial Completion to the Office of Library and Information Services.

C.The Office of Library and Information Services or its designee shall initiate a final audit of the project within four (4) weeks of receiving the Certificate of Substantial Completion and conclude its review within four (4) weeks, subject to the provision of complete documentation as requested by the Office of Library and Information Services.

D.The audit shall be conducted in accordance with the funding principles established by the Office of Library and Information Services. The library shall provide the Office of Library and Information Services, through its authorized representative, access to and the right to examine all records, books, papers, or documents related to the grant.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-1 § 1.12 Reimbursement and Grant Conclusion

A.Reimbursement payments will begin in the state fiscal year that follows the fiscal year in which the project was completed, audited and accepted. Reimbursement will be paid to the municipality if a municipal bond or loan is used for funding, or to the library in all other instances.

B.Reimbursement payments will be made over the course of twenty (20) years. The State of Rhode Island may accelerate payments, pay down the principal of any loan, or pay the balance of any loan in a lump sum payment at its sole discretion.

C.Any library or municipality that refinances any loan covering the state share must receive approval from the Office of Library and Information Services prior to entering any agreement that modifies the terms of the original loan. Any modified loan agreement must be submitted to the Office of Library and Information Services.

D.The library shall retain all financial and construction records for three years following the final reimbursement payment or until notified by the Office of Library and Information Services that records are no longer needed for program administration or review.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-08-06 to 01/04/2022

220-RICR-60-15-02 Minimum Standards and Regulations for Rhode Island Public Libraries

220-RICR-60-15-02 § 2.1 Purpose and Authority

A.Authority

1.Pursuant to R.I. Gen. Laws § 29-6-3(3), a city or town must submit or cause to be submitted to the office of library and information services evidence that free public libraries in the city or town meet standards of service as set forth in regulations to be developed under the supervision of the Chief of Library Services and adopted by the Library Board of Rhode Island pursuant to the provisions of § 2.3(A)(1) of this Part.

2.Pursuant to R.I. Gen. Laws § 29-3.1-7(8)(ii), the Chief of Library Services is authorized to develop standards and regulations for public library development and other purposes.

3.Pursuant to R.I. Gen. Laws §§ 29-3.1-4.1(b)(3) and 29-3.1-4(b)(7)(ii), the Library Board of Rhode Island is authorized to approve, adopt and require enforcement of standards and regulations for public library development and other purposes.

B.Purpose

1.Based on the above authority the Library Board of Rhode Island last adopted Minimum Standards in 2000.

2.The Library Board of Rhode Island and the Chief of Library Services now propose to develop a new set of Minimum Standards and Regulations that are consistent with current practices.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.2 Definitions

A.For the purpose of these rules the following definitions shall apply:

1."Assistive technology" means equipment or software that is used to increase, maintain, or improve the functional capabilities of individuals with disabilities.

2."City/town" means any one of the 39 designated municipalities in Rhode Island.

3."Combined libraries" means two or more libraries designated by a city/town or cities/towns to collectively provide public library services.

4."Digital literacy" means the ability to use electronic information and communication technologies to find, understand, evaluate, create, and communicate.

5.An "FTE" means a full time equivalent equal to 35 hours per week and may be composed of more than one person’s time.

6."Industry compatible" means software that is interoperable with similar software generally in use or available commercially. For example, documents created in Microsoft Excel can be opened in Apple Numbers, Open Office Calc, or Google Sheets.

7."Library" means a “public library” as defined in R.I. Gen. Laws § 29-3.1-1.1; to wit, “a library in a city or town that has been designated by the city or town council or town financial meeting as a library to provide library services to all individuals residing in the city or town,” personified in the Board of Trustees who may act through the library director.

8.The "Most recent census" means the population enumerated in the current Office of Library and Information Services Annual Report for Public Libraries.

9."Office productivity software" means, including but is not limited to, word processing, spreadsheet, and presentation programs. Examples of office productivity software include commercial products like Microsoft Word and Apple Pages, freeware such as Open Office Writer, or cloud-based tools such as Google Docs.

10.A "professional librarian" means a Librarian who holds a master’s degree in library and information science from a graduate school accredited by the American Library Association.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.3 Minimum Standards and Regulations

A.In order to be eligible to receive state aid pursuant to R.I. Gen. Law § 29-6-3(3) a library must meet the following Minimum Standards and Regulations for Rhode Island Public Libraries:

1.The library operates according to relevant federal, state, and local laws. The library must be in compliance with all federal, state, and local building, fire, safety, and handicapped access codes for public buildings, such as the Americans with Disabilities Act (ADA), as well as relevant portions of R.I. Gen. Laws Title 29 entitled "Libraries", R.I. Gen. Laws § 38-2-3 entitled "Access to Public Records", and R.I. Gen. Laws Chapter 42-46 entitled "Open Meetings."

2.The library operates according to relevant American Library Association (ALA) ethical and philosophical statements for public libraries. Relevant statements will be enumerated on the OLIS websites.

3.The library adopts and periodically reviews written policies governing its services.

4.The library is open a minimum number of hours each week based on community needs and the population of the city/town (or combined cities/towns) according to the most recent census. Unique hours are the total hours all public library facilities in a city/town (cities/towns) are open with concurrent hours being counted only once.

a.Hours refer to the winter schedule in cases where winter and summer hours differ.

Population

Unique Hours

Each Combined Library

Under 10,000

35 hours

25 hours

10,000- 19,999

50 hours

25 hours

20,000- 49,999

60 hours

25 hours

50,000 and Over

64 hours

25 hours

b.In the case of combined libraries, each individual library must meet the Combined Library minimum, and the aggregate of all library hours in the city/town (cities/towns) must meet the Unique Hours minimum.

5.The library extends full access and borrowing privileges without charge to all Rhode Island residents.

6.The library makes its entire range of materials and services available to everyone regardless of ability, providing assistive technology, software, materials, alternative access to library resources, and staff assistance in using them as needed.

7.The library provides trained staff to help patrons use library resources, including electronic and digital resources, during all operating hours.

8.The library provides its community with resources and assistance to support digital literacy.

9.The library provides a website with access to online library resources, promotion of "AskRI.org", and current information about library services, including hours of operation, schedules of library events, contact information, and other information necessary to inform the community about library operations.

10.The library has a director who is a professional librarian.

11.The library/combined libraries of a city/town (cities/towns) have a minimum of 1 FTE staff excluding custodians, security staff, and pages for each 3,000 population (rounded to the nearest 3,000) based on the most recent census.

12.Library staff are trained in and assigned to provide the following services at the minimum level specified in the chart below. More than one requirement may be met by a single qualified staff member; conversely, more than one qualified staff member may be designated to meet the requirement. In the case of combined libraries, each library must meet the requirements for the Under 10,000 category and the combined libraries together must meet the requirements for their population category.

Core‎Competency

Population‎Under 10,000

Population 10,000 - 19,000

Population‎20,000 - 49,000

Population ‎Over 50,000

Management‎(Director)

1/2 FTE

1 FTE

1 FTE

1 FTE

Youth Services‎(Professional ‎Librarian)

1/2 the time the‎library is open

1 FTE

Children: 1 FTE‎Young Adult: 1/2‎FTE

Children: 1 FTE‎Young Adult: 1‎FTE

Reference‎(Professional ‎Librarian)

1/2 the time the‎library is open

1/2 FTE

1 FTE and ‎additional‎professional‎librarian(s)‎whenever the ‎library is open

1 FTE and ‎additional‎professional‎librarian(s)‎whenever the ‎library is open

Public Access‎Computing ‎Technology‎(trained staff)

whenever the ‎library is open

whenever the ‎library is open

1 FTE and‎additional ‎trained staff‎whenever the‎library is open

1 FTE and‎additional ‎trained staff‎whenever the‎library is open

Digital ‎Literacy‎(trained staff)

whenever the ‎library is open

whenever the ‎library is open

whenever the ‎library is open

whenever the ‎library is open

Additional‎Professional‎Librarian(s)

1 FTE ‎professional‎librarian per ‎10,000‎population‎(rounded to the‎nearest 10,000)‎in addition to the‎above requirements

13.For safety reasons, at least two workers, who may include custodians, security staff, or pages, are in the building during all open hours.

14.The library conducts a community needs assessment at least every five years.

15.The library adopts a five-year long range plan of service, based in part on the community needs assessment, and reviews it annually.

16.The library adopts personnel policies and procedures that apply to all staff and volunteers and makes them available to staff and volunteers.

17.In a city/town (cities/towns) that has designated more than one library to provide library services, a library council composed of the chair of the board of trustees and the director of each library, and a representative of the city/town (cities/towns) meets annually to coordinate services and make a joint application for state grant-in-aid.

18.The library is a certified member of the Library of Rhode Island.

19.The library is a member in good standing of Ocean State Libraries, Inc.

20.The library provides adequate space to implement a full range of library services, including community meeting space(s), as determined by its long-range plan.

21.The library provides free access to computers for public use.

22.The library offers free access to the Internet, industry-compatible office productivity software, and the ability to use personal storage devices on public computers.

23.The library ensures that all public hardware and software are updated regularly and in proper working order.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.4 Submission of Annual Report

A.Each library or group of combined libraries must submit a report annually to the Chief of Library Services to verify compliance with the minimum standards and regulations.

B.Annual reports are due no later than September 15 unless otherwise indicated by the Chief of Library Services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.5 Request for Waiver

In the event that a library (or combined Libraries) fails to comply with any of the minimum standards and regulations, that library or (combined libraries) may submit to the Chief of Library Services a request for a waiver. Upon receipt of a waiver request, the Chief of Library Services will investigate and render a written decision within six weeks.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.6 Enforcement

A.In the event that it is determined that a library (or combined libraries) fails to comply with any of the minimum standards and regulations, the Chief of Library Services will investigate and render and mail a written decision within six weeks of that determination.

B.If the request for waiver is denied, the library (or combined libraries) may appeal the decision to the Library Board of Rhode Island by sending a letter of appeal to the Chair of the Library Board of Rhode Island with a copy to the Chief of Library Services. The letter must be sent within twenty calendar days of the decision.

C.The appeal will be heard by the Library Board of Rhode Island at its regular meeting or within six weeks of the appeal whichever comes first.

D.Written response to the appeal will be sent to the library (or combined libraries) within ten days of the appeal hearing.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-02 § 2.7 Effective Date

A.These rules take effect twenty (20) days after they are filed with the Office of the Secretary of State.

B.Once the rules take effect, they supersede any other rules in effect that prescribe Minimum Standards for Rhode Island Public Libraries.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2013-08-05 to 01/04/2022
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Technical Revision — effective from 2013-08-05 to 08/05/2013
• Adoption — effective from 2013-08-05 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 08/05/2013
• Periodic Refile — effective from 2001-12-19 to 12/19/2001

220-RICR-60-15-03 Library of Rhode Island Standards and Regulations

220-RICR-60-15-03 § 3.1 Authority and Purpose

A.Authority

1.Pursuant to R.I. Gen. Laws § 29-6-9, establishing the Rhode Island Library network, in order to provide each individual in Rhode Island with equal opportunity of access to resources that will satisfy their and society's information needs and interests, the Office of Library and Information Services (OLIS) is hereby authorized to establish a Rhode Island Library network, hereafter referred to as the Library of Rhode Island network (LORI), to be administered by the Office of Library and Information Services for the purpose of maintaining, promoting, and developing a program of statewide resource sharing and interlibrary cooperation.

2.Pursuant to R.I. Gen. Laws §§ 29-3.1-4.1(b)(3) and 29-3.1-4.1(b)(7)(ii), the Library Board of Rhode Island is authorized to approve, adopt and require enforcement of standards and regulations for public library development and other purposes.

3.The Library Board of Rhode Island will review the Library of Rhode Island Standards and Regulations no more than five years after they are filed. At that time the Library Board of Rhode Island will determine the need for revision of the existing Standards and Regulations or the need for new ones.

B.Purpose

1.The purpose of the regulation is to provide Rhode Island residents with equal opportunity of access to library resources for their information and learning needs through a statewide program of resource sharing via interlibrary loan. Any public library, academic library, or school library, as well as state agency libraries, state institutions with libraries, or any other special libraries, may apply to participate in the program, known as the Library of Rhode Island (LORI).

2.In order to be eligible for library delivery and other resource sharing services, Rhode Island libraries must be members of LORI and meet all requirements of these regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-03 § 3.2 Definitions

A.“Academic library” means a library that is part of a public or private higher education institution.

B.“Business hours” means hours on which the library is open for service to clientele.

C.“Collection” means the materials in all formats that the library owns or to which it provides access, through either purchase or lease.

D.“Collection development” means the ongoing, systematic process of assessing need, selecting materials, eliminating outdated materials, and building and maintaining a library collection in response to institutional priorities and community or user needs and interests.

E.“Clientele” means patrons registered with or served by a particular library and who have all privileges that are associated with such registration or affiliation, or, in the case of a school library, the students enrolled at that school and the faculty or staff engaged in teaching those students.

F.“FTE” means a full time equivalent equal to a person who works a minimum of thirty-five (35) hours per week and may be composed of more than one person's time.

G.“Interlibrary loan” means a service whereby a patron of a library can borrow materials or receive copies of documents that are owned by another library.

H.“Librarian” means an individual who holds a master's degree in library and information science from a graduate school accredited by the American Library Association (ALA), or a master’s degree from a program at an institution in another country whose formal accreditation process is recognized by ALA, or a master’s degree program recognized by an official division of ALA.

I.“Library” means a permanent, dedicated space that includes an organized collection of materials, technology, reader and study/research spaces, paid staff to provide services and an established schedule in which services of the staff are available.

J.“Library director” means a librarian who is responsible for all library operations.

K.“Library of Rhode Island (LORI)” means a multi-type statewide library network administered by the Office of Library and Information Services to foster and facilitate collaboration among member libraries.

L.“Loan period” means the circulation period for loaned materials, inclusive of transit time.

M.“OLIS-LORI Delivery” means the interlibrary delivery service which transports materials between LORI member libraries. This contracted service is managed by the Office of Library and Information Services (OLIS) and paid for by the State of Rhode Island.

N.“Population” means the population of the city/town (or combined cities/towns) according to the most recent census.

O.“Public library” means a library established under R.I. Gen. Laws Chapter 29-4 to serve a community or municipality and is supported in whole or in part with public funds.

P.“Requesting library” means the library which originates an interlibrary loan request.

Q.“School library” means a library that is part of a public, charter, or private school serving students in kindergarten through grade 12.

R.“Special library” means a library that provides specialized information resources on a particular subject, serves a specialized or limited clientele, or supports the mission of its funding organization with collections and services that are targeted and specific to the needs of that organization.

S.“Supplying library” means the owner of materials supplied to the requesting library.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-03 § 3.3 Library of Rhode Island (LORI) Standards and Regulations

A.The library operates according to relevant federal, state and local laws. Public libraries shall meet the requirements of R.I. Gen. Laws §29-6-3 and institutional libraries shall meet the requirements of R.I. Gen. Laws §29-6-8.

B.The library is staffed by a librarian or librarians who develop and manage the collection, provide access to the collection for the institution’s clientele during business hours, and manage interlibrary loan functions as follows:

1.Public libraries serving cities or towns with a population under 10,000 must have the librarian(s) assigned these duties present one-half of the time during business hours;

2.Public libraries serving cities or towns with a population of 10,000 to 19,999 must have a one-half FTE librarian assigned these duties;

3.Public libraries serving cities or towns with a population of 20,000 and higher must have one FTE librarian and additional trained staff per Minimum Standards and Regulations for Rhode Island Public Libraries (220-RICR-60-15-02);

4.School libraries must be staffed and maintained by a librarian who executes or oversees these duties during business hours;

5.Academic libraries must have a one-half FTE librarian and additional trained staff assigned these duties during business hours;

6.Special libraries must be staffed and maintained by one FTE librarian who executes or oversees these duties during business hours.

C.The library has written policy or policies which are approved by the library’s governing body and address library to library relationships in the following areas:

1.An interlibrary loan policy that complies with the LORI Interlibrary Loan Code and adheres to that code consistently and without discrimination and which provides justification for what materials will not be loaned to those outside of the library’s clientele. This policy cannot be in conflict with the LORI Interlibrary Loan Code.

2.A service policy which defines the library’s clientele and their access to the library’s collections and services.

3.To satisfy policy requirements a library may refer to its consortium’s policy, or policies, as long as those policies comply with the LORI Interlibrary Loan Code.

4.The library must make these policies publicly available to other LORI libraries online.

D.The library has consistent hours of service.

1.Public libraries must be open in accordance with the Minimum Standards and Regulations for Rhode Island Public Libraries (220-RICR-60-15-02);

2.School libraries must be open to their clientele as a library and staffed by a librarian no less than one half of the time during the average school week;

3.Academic libraries must be open to their clientele as a library and staffed by a librarian no less than 35 hours per week;

4.Special libraries must be open to their clientele as a library and staffed by a librarian no less than twenty-one (21) hours per week.

E.The library has a public web presence on which it posts its contact information, hours of service, and its interlibrary loan and service policies. If the library is not open to the public, the policy should be stated on the website.

F.The library has its bibliographic holdings online in a standard library format.

G.The library does not charge usage fees to other LORI libraries for reference services and the loan of library materials.

H.Personnel responsible for interlibrary loan in each library will be familiar with LORI Standards, the LORI Interlibrary Loan Code, and other relevant interlibrary loan codes, policies and procedures.

I.The library director is responsible for or will designate paid staff to execute the following tasks:

1.Serve as the primary resource sharing contact between the library and OLIS;

2.Oversee all LORI operations in the library;

3.Inform OLIS of any library operations that may affect or interrupt interlibrary loan or delivery services;

4.Inform OLIS of personnel changes that may affect interlibrary loan or delivery services;

5.Keep apprised of resource sharing information distributed by OLIS through the OLIS website, email or listservs, and communicate such information to appropriate library staff;

6.Complete surveys and respond to information requests from OLIS in an accurate and timely manner; surveys include the annual LORI Certification; the biannual OLIS-LORI Delivery Items Count; and, as applicable, the annual School Library Survey.

7.Ensure that all resource sharing activities are completed in a timely manner and that the library follows all OLIS procedures for the preparation of materials for delivery and use of OLIS-LORI delivery bins;

8.Report all instances of damage or vendor-related incidents to OLIS within forty-eight (48) hours;

9.Communicate with other LORI libraries in matters relevant to resource sharing; and

10.Follow LORI Interlibrary Loan Procedures and the LORI Interlibrary Loan Code.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-03 § 3.4 LORI Interlibrary Loan Code

A.Introduction

1.Interlibrary loan is a service whereby a patron of one library can borrow materials or receive copies of documents that are owned by another library. Interlibrary loan service is essential to the vitality of libraries of all types and sizes as a means of greatly expanding the range of materials available to patrons. Sharing between all libraries is in the public interest and should be encouraged. Library of Rhode Island (LORI) members should make their interlibrary loan policies as liberal and as easy to apply as possible. Interlibrary loan should serve as an adjunct to and not a substitute for collection development.

B.Scope

1.Any type of library material, including digital content, may be requested for loan or in copy form from another library in accordance with existing interlibrary loan procedures. The supplying library has the discretion of deciding in individual instances whether a specific item can be provided, and whether the original or a copy can be sent.

2.If a category of material (e.g., books, CDs, magazines, DVDs, journals) is generally available to library clientele, it must be made generally available by Interlibrary Loan. Entire categories of generally available material cannot be excluded from Interlibrary Loan availability specifically because of its format type. However, as noted in § 3.4(B)(1) of this Part, any individual item may be excluded from Interlibrary Loan availability based upon item-specific criteria.

3.The interlibrary lending of digital content is often constrained by vendor license agreements. The LORI Standards do not compel libraries to violate vendor agreements. However, when negotiating vendor agreements LORI libraries are encouraged to seek interlibrary loan privileges for digital or leased content.

C.Responsibilities of Requesting Libraries

1.Access to interlibrary loan does not relieve any library of the responsibility of developing its own collection. Each library will make every effort to provide the resources to meet the reasonable needs of its patrons.

2.Requested material should be described completely and accurately following accepted bibliographic practices.

3.The requesting library is responsible for borrowed materials from the time the material leaves the supplying library until it has been returned to and received by the supplying library.

4.If damage or loss occurs, the requesting library will provide compensation or replacement, in accordance with the preference of the supplying library.

5.Each library will exercise due diligence for the return or replacement of materials supplied through a patron initiated request.

6.For copy requests, each library will comply with the Copyrights Act, 17 U.S.C. and its accompanying guidelines.

7.Requesting libraries will honor the supplying library’s loan period, including any deviations from the standard loan period, and enforce any use restrictions specified by the supplying library. The material should be returned to the supplying library at the end of the loan period.

8.A renewal request should be submitted prior to the end of the loan period. The supplying library will grant or deny the request within three business days. If the supplying library fails to respond, the loan period will be automatically extended.

9.Loaned material is subject to recall at any time.

D.Responsibilities of Supplying Libraries

1.The supplying library will be as unrestrictive as possible with regard to its resource sharing policies and in a manner that is consistent with its service policy.

2.Supplying libraries will process requests within three (3) business days.

3.Any conditions of the loan, including the loan period, restrictions on the use of the material, and special packaging or shipping requirements, will be provided by the supplying library.

4.When filling requests, the supplying library should send sufficient information with each item to identify the request to the requesting library.

5.The duration of loan is determined by the supplying library's policy with additional time allowed for transit. If not specified, the duration of loan is assumed to be six weeks inclusive of transit time.

6.If a requested item is in disrepair or damaged, the supplying library should include a condition note when sending the item.

E.Confidentiality

1.Interlibrary loan transactions are confidential.

2.Library staff are responsible for safeguarding confidentiality of patron information. Library staff must adhere to state laws regarding the confidentiality of information identifying individuals who borrow library materials, including R.I. Gen. Laws § 11-18-32.

3.Library staff should not publicly divulge the identity of the individual borrowing the material if a patron name is provided.

4.Library staff must maintain patron confidentiality when posting requests for assistance or using the text of interlibrary loan requests as procedural examples.

5.Each library must have a policy that follows all laws regarding retention of interlibrary loan records.

F.Fees

1.No library will charge another library an interlibrary loan transaction fee.

2.A supplying library will not charge a requesting library overdue fine.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-03 § 3.5 Failure to Comply with LORI Standards and Regulations

A.Failure to comply with LORI Standards at any time may result in suspension or termination of OLIS-LORI Delivery Services and suspension or termination of access to resource sharing services provided by OLIS.

B.Any LORI library's perceived failure to comply with these Standards may be brought to the attention of the Chief of Library Services by the requesting or supplying library by completing the Report of Alleged Non-Compliance with LORI Standards.

C.The Chief of Library Services will investigate and render a written decision within six weeks of the receipt of any complaint.

D.If it is determined that a library is not in compliance with any of the LORI Standards, the library may appeal the decision of the Chief of Library Services to the Library Board of Rhode Island by sending a letter of appeal to the Chair of the Library Board of Rhode Island with a copy to the Chief of Library Services. The letter must be sent within four weeks of the decision.

E.The appeal is subject to the Rhode Island Administrative Procedures Act, R.I. Gen. Laws § 42-35-1, et seq., and shall be conducted in accordance with the Rules of Procedure for Administrative Hearings provided in 220-RICR-50-10-2 by the Library Board of Rhode Island at its regular meeting or within six weeks of the appeal, whichever comes first.

F.Written response to the appeal will be sent to the library within two weeks of the appeal hearing.

G.No LORI library may suspend requesting privileges to another LORI library it considers to be in violation of the LORI Interlibrary Loan Code of LORI Standards without the express written permission of the Chief of Library Services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-03 § 3.6 Severability

A. If any section, term, or provision of this regulation should be adjudged invalid for any reason, that judgment should not affect, impair, or invalidate any remaining section, term, or provision, which shall remain in full force and effect.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-01-03 to 01/04/2022
• Technical Revision — effective from 2015-09-20 to 01/03/2020
• Technical Revision — effective from 2015-09-20 to 09/20/2015
• Adoption — effective from 2015-09-20 to 09/20/2015

220-RICR-60-15-4 Minimum Standards for Institutional Libraries

220-RICR-60-15-4 § 4.1 Authority

A. Pursuant to R.I. Gen. Laws §§ 29-6-7 and 29.6.8, the Office of Library and Information Services may award state grant-in-aid to a state institution to support library services for residents or students provided that the library or libraries in the institution meet standards of service as set forth in regulation.

B.Pursuant to R.I. Gen. Laws §§ 29-3.1-7(8) and 29-3.1-4.1(b)(7), the Chief of Library Services is charged to develop standards and regulations for public library development and the Library Board of Rhode Island is charged to approve such standards and regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

220-RICR-60-15-4 § 4.2 Purpose

The purpose of this Part is to set standards of service for libraries at state supported institutions to govern the award of state grant-in-aid to support library services for residents or students of those institutions.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

220-RICR-60-15-4 § 4.3 Definitions

A.The following terms shall have the following meaning:

1.A "library" means a permanent, dedicated space that includes a collection of materials, technology, reader and study spaces, and staff to provide services.

2.A "professional librarian" means an individual with a master's degree in library and information science from a graduate school accredited by the American Library Association.

3.A "full time equivalent" means an individual who works the standard number of hours per week established by the State of Rhode Island for classified or unclassified positions in the institution.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

220-RICR-60-15-4 § 4.4 Minimum Standards of Service for Institutional Libraries

A.The state institution clearly delineates responsibility for library services in its organizational structure.

B.The state institution establishes within its budget annually a clearly identifiable allocation from the institution for the operation of the library that includes expenditures for staff, materials and other operating costs.

C. The state institution designates space that is clearly identified as a library and is used solely for that purpose. The space must be accessible to the population served and accommodate staff, collections, reader spaces, technology and other elements necessary for the provision of library services to that population.

D.The supervisor of the library is a professional librarian.

E.The library is staffed by one or more full-time equivalent professional librarians who provide reference, information and referral, learning support, readers' advisory, and programs to the population served, and who plan such services.

F.The library is open to the population served at least twenty-five (25) hours a week, or in the case of the school for the deaf, twenty-five (25) hours a week during the academic year.

G.The library adopts a long-range plan of service, based on an assessment of the needs of the population served and aligned to the most current relevant guidelines established by the Association of Specialized, Government, and Cooperative Library Agencies.

H.The library adopts and regularly reviews policies and procedures governing its services, including, but not limited to collection development, lending, technology use, access, and service.

I.The library operates according to the following relevant American Library Association ethical and philosophical statements for libraries:

1.Code of Ethics (revised 2008)

2.Library Bill of Rights (reaffirmed 1996)

3.Prisoners Right to Read: An Interpretation of the Library Bill of Rights (amended 2014)

4.Services to Persons with Disabilities: An Interpretation of the Library Bill of Rights (adopted 2009)

J.The library maintains an electronic catalog of its holdings and follows standard library practices for acquiring, classifying, cataloging and providing access to materials.

K. The library, with the exception of libraries serving incarcerated individuals, belongs to the Library of Rhode Island network.

L.The library provides its community with resources and assistance to support digital literacy.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

220-RICR-60-15-4 § 4.5 Requirements

A.The library must submit an annual report to the Office of Library and Information Services, including certification of compliance with the minimum standards.

B.Annual reports are due no later than September 15 unless otherwise indicated by the Office of Library and Information Services.

C.In the event that a library fails to comply with any of the minimum standards, that library may submit to the Chief of Library Services a request for a waiver. Upon receipt of a waiver request, the Chief of Library Services will investigate and render a written decision within six (6) weeks.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

220-RICR-60-15-4 § 4.6 Enforcement

A.In the event that it is determined that an institutional library fails to comply with any of the minimum standards, the Chief of Library Services will investigate and render a written decision regarding eligibility for grant-in-aid within six (6) weeks of that determination.

B.If the request for waiver is denied, the library may appeal the decision to the Library Board of Rhode Island by sending a letter of appeal to the Chair with a copy to the Chief of Library Services. The letter must be sent within twenty (20) calendar days of the decision.

C.The appeal will be heard by the Library Board of Rhode Island at its regular meeting or within six (6) weeks of the appeal, whichever comes first.

D.Written response to the appeal will be sent to the library within ten (10) days of the appeal hearing.

History

• Periodic Refile — effective from 2022-01-04 to current
• Adoption — effective from 2018-11-22 to 01/04/2022

Chapter 70 Capital Asset Management and Maintenance

Subchapter 00 General Provisions

220-RICR-70-00-1 Rules and Regulations to Implement the Green Building Act

220-RICR-70-00-1 § 1.1 Purpose of Rules

A.These rules and regulations are promulgated in order to implement R.I. Gen. Laws Chapter 37-24 and are authorized by R.I. Gen. Laws § 37-24-5(a).

B.This Chapter was enacted on November 9, 2010 as Chapter 212 of the Public Laws of 2009 is referred to as "The Green Buildings Act", and is otherwise referred to within as the Act.

C. These rules and regulations describe how the department of administration will determine whether a project qualifies for an exception from the LEED certified or equivalent high­ performance green building standard, and the lesser green building standards that may be imposed on projects that are granted exceptions. In addition, the rules and regulations set forth standards for the green buildings advisory committee.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.2 Definitions

A. Except for the definition § 1.2(4)(a) of this Part, the following definitions are set forth in the Act in R.I. Gen. Laws § 37-24-3:

1. "Department" means the Department of Administration.

2. "LEED certified standard" means the current version of the United States Green Building Council Leadership in Energy and Environmental Design green building rating standard referred to as LEED certified.

3. "Equivalent standard" means a high-performance green building standard other than LEED, which provides a rating system or measurement tool, that, when used, leads to outcomes, similar or equivalent to, LEED, outcomes, in terms of green building performance; current accepted equivalent standards include green globes, Northeast collaborative high-performance schools protocol; or other equivalent high-performance green building standard accepted by the department;

4. "Construction" means the process of building, altering, repairing, improving, or demolishing forty percent (40%) or more of any public structures or buildings, or other public improvements of any kind to any public real property;

a. "Forty percent (40%) or more of any public structures or buildings" shall mean the LESSER OF the following values:

(1) The Gross Square Footage (GSF) of the structure, OR

(2) The currently listed insurance value of the structure, OR

(3) The currently held insured value of the structure, OR

(4) The currently listed tax value of the structure, OR

(5) The currently listed market value of the structure

5. "Public facility" means any public institution, public facility, public equipment, or any physical asset owned, leased or controlled in whole or in part by this state or any agency or political subdivision thereof;

6. "Major facility project" means:

a. A building construction project larger than five thousand (5,000) gross square feet of occupied or conditioned space; or

b. A building renovation project is larger than ten thousand (10,000) gross square feet of occupied or conditioned space.

7. "Public agency" means every state office, board, commission, committee, bureau, department or public institution of higher education.

B. In addition to the above definitions, the following term is defined as follows:

1. "Design phase" means any phase of design work beginning with the legal entity's execution of an agreement for professional services, such as engineering or architecture, or the legal entity's self-performance of said professional services that occurs PRIOR TO the entities' execution of a construction contract or agreement.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.3 Notification Process

A. As required by R.I. Gen. Laws § 37-24-4, all major facility projects of public agencies, that have not entered the design phase prior to January 1, 2010, shall be designed and constructed to at least the LEED certified or an equivalent high performance green building standard.

B.The Department shall annually notify all entities covered by the Act of their legal obligations and requirements under the Act and these rules, including all reporting requirements.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.4 Green Buildings Advisory Committee

A. Composition as stated in R.I. Gen. Laws § 37-24-5, the department shall create a green buildings advisory committee composed of representatives from the design, construction, lumber and building materials industries involved in public works contracting, personnel from affected public agencies and school boards that oversee public works projects, and others at the department's discretion to provide advice on implementing this section.

B.Responsibilities:

1. The advisory committee shall make recommendations regarding an education and training process and an ongoing evaluation or feedback process to help the department implement the Green Buildings Act. (R.I. Gen. Laws § 37-24-5).

2. In addition:

a. the Building Commissioner will, at all times, seek the advice and counsel of the Green Buildings Advisory Committee and shall inform the Committee of all granted variances; and

b. the Commissioner shall seek the advice and council of the Green Buildings Advisory Committee in making determinations of all equivalent standards.

C.Operation:

1. The chairman of the committee shall be selected by the director of the department of administration. A Vice-chairperson and a secretary shall be appointed by committee members.

2. Members shall serve for staggered terms and may be reappointed.

3. The committee shall meet at least nine (9) times per year.

4. The committee may establish such subcommittees as it deems necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.5 Exceptions to Green Building Standards

A. The department is authorized to determine whether a project qualifies for an exception from the LEED certified or equivalent high-performance green building standard and the lesser green building standards that may be imposed on projects that are granted exceptions. (see R.I. Gen. Laws § 37-24-5).

B.As stated in R.I. Gen. Laws § 37-24-4, a major facility project does not have to meet LEED certified standard or an equivalent high-performance green building standard if:

1. There is no appropriate LEED standard or other high-performance green building standard for that type of building or renovation project. In such case and as stated in R.I. Gen. Laws § 37-24-5, the department will set lesser green building standards that are appropriate to the project.

2. There is no practical way to apply the LEED standard or other high­ performance green building standard to a particular building or renovation project. In such case and as stated in R.I. Gen. Laws § 37-24-5, the department will set lesser green building standards that are appropriate to the project.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.6 Equivalent Standards to LEED Certification

A. The following are deemed to be LEED Equivalent Standards:

1. High Performance Schools Standards, as required by the Rhode Island Department· of Elementary and Secondary Education, as a condition of construction reimbursement·;

2. Green Globes Certification;

3. International Green Construction Code (IGCC); and

4. Any other equivalent standards, as determined by the State Building Commissioner, that meet the intent of the Act.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.7 Applying for an Exception

A. Any and all requests for an exception from the LEED certified or equivalent high­ performance green building standards need to be directed to the Department of Administration, State Building Commissioner.

B.In deciding whether to approve a request for an exception, the State Building Commissioner shall consider whether one or more of the following described hardships exist:

1. Economic Hardship related to the specific structure or project, not including ongoing economic hardship of the covered entity.

2. Undo Hardship related to the impracticality of achieving a green building standard for the subject structure.

3. Other Hardship not otherwise covered herein, including, but not limited to disaster reconstruction or structural damage caused by fire, vandalism, theft, or act of God that may be in excess of threshold applicability standards covered by the act.

C. The applicant must establish why any such exception shall be made and why the such exception(s) would not have an adverse effect.

D.Before a structural hardship variance is granted, the covered entity must agree to a timetable that describes when the lesser green building standards will likely be completed.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.8 Annual Report

A. The department shall monitor and document ongoing operating savings that result from major facility projects designed, constructed and certified as meeting the LEED certified standard and annually publish a public report of findings and recommended changes in policy. (See R.I. Gen. Laws § 37-24-5)

B. The report shall also include a description of projects that were granted exceptions from the LEED certified standard, the reasons for exception, and the lesser green building standards imposed. (See R.I. Gen. Laws § 37-24-5)

C. The annual report will be issued in December and will be posted on the website maintained by the office of the Building Commissioner.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.9 Severability

If any provision of these Rules or Sections or the application thereof to any person or circumstances shall be held invalid, such invalidity shall not affect the provisions or application of the Rules or Sections which can be given effect, and to this end the provisions of these Rules or Sections are declared to be severable.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

220-RICR-70-00-1 § 1.10 Effective Date

These Rules shall take effect twenty (20) days after they have been filed with the Secretary of State.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2010-11-10 to 01/04/2022
• Adoption — effective from 2010-11-10 to 11/10/2010

Subchapter 05 State Fleet Operations

220-RICR-70-05-2 Rules and Regulation Governing the State Fleet Replacement Revolving Loan Fund

220-RICR-70-05-2 § 2.1 Authority

This Part is promulgated pursuant to R.I. Gen. Laws § 42-11-2.4(d).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.2 Purpose

The purpose of this Part is to provide for the orderly and equitable disbursement and repayment of funds from the State Fleet Replacement Revolving Loan Fund. This includes the purposes for which the loan fund may be used, as well as the process for application, selection, and repayment.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.3 Scope and Applicability

A.While the use of the loan fund shall not be the exclusive means by which agencies are permitted to acquire vehicles, if an agency wishes to access the loan fund it must comply with these rules.

B.This Part shall apply to all agencies who request the use of the loan, which may include agencies that are not specifically regulated by the Office of State Fleet Operations.

C.These rules must be read in concert with the “Rules and Regulations Governing the Office of State Fleet Operations and the Management and Use of State Owned Motor Vehicles by State Agencies” 220-RICR-70-05-01. In the event of any inconsistency with the provisions of that Part, the provisions of this Part shall apply.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.4 Definitions

A.As used in this Part, the following terms shall have the following meanings:

1.“Department director” means the heads of departments as enumerated R.I. Gen. Laws Chapter 42-6.

2.“General officer” shall have the same meaning as defined in R.I. Gen. Laws § 42-11.3-1(1).

3.“Light vehicle” refers to passenger cars, pickup trucks, vans, sport utility vehicles, or any other vehicles included in state fleet operations’ generic vehicle specifications.

4.“Lease payment” refers to annual payments made by state agencies to the state fleet replacement revolving loan fund to cover the principal amount loaned to the state agency for the acquisition of a vehicle and/or associated equipment, as well as any interest or service charges applied to the principal amount.

5.“Office of state fleet operations” is a discrete unit of the division of Capital Asset Management and Maintenance within the department of administration which has been designated by the director of administration to be responsible for implementing this Part.

6.“State agency” for the purposes of this Part shall also include the judiciary and all other commissions and agencies and any other commission or agency which is hereinafter created or established within this state.

7.“State agency head” shall mean the chief executive officer of a state agency.

8.“State fleet” refers to all motor vehicles owned by the State of Rhode Island, that have been allocated to a state agency and are under the control of the office of state fleet operations.

9.“State Fleet Replacement Revolving Loan Fund”, also referred to as the loan fund, and refers to the restricted receipt account established pursuant to R.I. Gen. Laws § 42-11-2.4 and/or to any internal service fund created under legislative authorization.

10.“State-owned motor vehicle” refers solely to passenger and motorized equipment fleet and attachments, where applicable, irrespective of the source of funds utilized to acquire the vehicle or, in the case of vehicles leased by the state for state purposes, the title holder of record for the vehicle. Categories of vehicles included in this definition include, but are not limited to, the following:

a.Passenger cars;

b.Pickup trucks, vans and all-purpose vehicles;

c.Heavy trucks;

d.Buses;

e.Trailers;

f.Motorcycles;

g.Off-road equipment. Including mobile equipment and any of the following types of land vehicles, as well as any attached machinery or equipment:

(1)Bulldozers, farm machinery including tractors, forklifts and other vehicles designed for use off public roads;

(2)Street sweepers;

(3)Backhoes, graders and other road construction equipment;

(4)Snowmobiles

11.“Straight buy” refers to the outright acquisition of a vehicle by an agency with funds appropriated to that agency, regardless of the source of funds (i.e. general revenue, federal, etc.), exclusive of funding from the loan fund.

12.“Vehicle replacement plan” refers to annual plans submitted by state agencies, as requested by the office of state fleet operations and/or the state budget office, detailing the respective agency’s anticipated vehicle replacement needs over a multi-year period.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.5 Purposes for which the State Fleet Replacement Revolving Loan Fund may be Used

A.The purpose of the loan fund is to serve as a funding source for vehicle purchases by state agencies.

B.All money placed in the State Fleet Replacement Revolving Loan Fund shall be used to make loans for the purchase of new and/or used vehicles and associated equipment and attachments.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.6 Application for Funding

A.Each agency assigned vehicles from the state fleet is required to submit an updated three-year vehicle replacement plan annually no later than June 15 to the office of state fleet operations, with a copy to the Budget Office, in a format determined by the office of state fleet operations. Any anticipated vehicle purchases, whether straight buys with agency funding or requests to finance through the revolving loan fund, must be included in the vehicle replacement plans.

B.The vehicle replacement plan shall constitute the application to obtain financing through the State Fleet Replacement Revolving Loan Fund.

C.As a condition for obtaining a loan from the loan fund, state agencies will be required to execute a loan agreement as prescribed within, in which they agree to the repayment of the loan and any applicable service charges.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.7 Decision to Approve Funding

A.The office of fleet operations, in consultation with the state Budget Office, will make the final determination on the allocation of funds from the State Fleet Replacement Revolving Loan Fund. Loans will be dependent on the balance of funding available in the loan fund for the respective fiscal year. While the office will make every attempt to allocate funds on an equitable basis among agencies, primary focus will be on those vehicles most in need of replacement, as determined by the office under the criteria listed in § 2.7(B) of this Part.

B.The office of state fleet operations shall make the final determination on the replacement of vehicles. This determination shall be made based on criteria including, but not limited to, the age of the vehicle, mileage, and maintenance costs, how the vehicle is used and overall vehicle condition.

C.Vehicles returned to the office of state fleet operations by one agency may be used to replace older vehicles or vehicles in worse condition at other agencies, in lieu of replacement with new vehicles. In such an event, a fair trade-in value will be determined by the office of state fleet operations and may be assessed to the acquiring agency, offsetting the returning agency’s new vehicle costs.

D.Each agency will be notified of the decisions with regards to replacement of vehicles and the allocation of funds from the loan fund within three months, if possible, of the final submission of vehicle replacement plans by all state agencies requesting replacement of vehicles. Notification will be made in writing by the office of state fleet operations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.8 Payments from the Fund

A.Upon approval of the replacement of vehicles and the allocation of funds from the State Fleet Replacement Revolving Loan Fund, agencies will be required to create purchase requisitions consistent with guidelines provided by the office of state fleet operations and the division of purchases.

B.No purchase requisitions for purchases against the loan fund will be approved until a signed loan agreement has been received and accepted by the office.

C. All payments for vehicles that are financed from the loan fund will be made not by the recipient agency, but by the office of state fleet operations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.9 Loan Agreement

A.The office of state fleet operations will develop a loan agreement form that will be used to establish a loan between the office and each respective state agency.

B.The loan agreement will document the vehicles and/or equipment being acquired, the term of the loan, the service charge due from the agency, and the repayment schedule of the loan. The agreement will also indicate the account(s) to be billed annually for the principal and service charge components of the loan.

C.The agreement shall be signed by the department director or their designee and by the office of state fleet operations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.10 Repayment Provisions

A.The office of state fleet operations will bill each agency annually for lease payments through the state’s accounting system by charging those accounts as provided for in the loan agreement.

B.The proceeds from the repayment of any loans shall be deposited in and returned to the loan fund, to constitute a continuing revolving fund for the purposes listed above.

C.If an agency no longer wants to maintain a vehicle acquired under a loan agreement and there are lease payments still due, it is the responsibility of the agency to find another agency to take over the vehicle and assume the lease payments. If no agency can be found to take over the lease payments, the agency on the loan agreement will be required to continue paying all lease payments until the loan is repaid in full.

D.If a vehicle acquired under a loan agreement is no longer useable by the agency due to an accident and there are lease payments still due, the agency will be required to continue paying all lease payments until the loan is repaid in full. Any salvage value or insurance proceeds that may be received due to an accident will be used to reduce or pay off the outstanding loan.

E.Outstanding loans shall become the responsibility of any successor agency if the original agency is merged with a new agency or abolished.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

220-RICR-70-05-2 § 2.11 Loan Terms Shall be Based on the Following Schedule:

A.Terms

1.Passenger Cars/Pickup Trucks/Vans/All Purpose Vehicles

Costing $50,000 or less

3 years

Costing $50,001 or more

5 years

2.Heavy trucks/equipment/buses

Costing $100,000 or less

5 years

Costing $100,001 or more

7 years

3.Trailers/motorcycles/off-road equipment

Costing $50,000 or less

3 years

Costing $50,001 or more

5 years

4.Attachments/equipment acquired separately from vehicle

Costing $50,000 or less (per item)

3 years

Costing $50,001 or more (per item)

5 years

B.Service Charges.

1.Service Charges: all lease arrangements will be assessed a one-time service charge to be paid with the first lease payment as follows:

a.Acquisitions of $100,000 or less 1.0% of acquisition price per vehicle

b.Acquisitions of $100,001 or more 0.75% of acquisition price per vehicle.

2.The purpose of the service charge is to build up resources in the revolving loan fund. Funds shall not be used to offset any administrative costs associated with the fund.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-16 to 01/04/2022
• Adoption — effective from 2008-03-17 to 07/16/2018

Chapter 80 Diversity, Equity and Opportunity

Subchapter 05 Equal Opportunity

220-RICR-80-05-1 State of Rhode Island Equal Opportunity Office Equal Opportunity and Nondiscrimination in Health Care Regulations and Procedures

220-RICR-80-05-1 § 1.1 Authority

As per the requirement set forth in R.I. Gen. Laws § 28-5.1-12, titled "Health Care", the State Equal Opportunity Office shall review the equal opportunity activity of all private health care facilities licensed or chartered in the State of Rhode Island.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.2 Purpose

It is the State Equal Opportunity Office's purpose to carry out its responsibilities as mandated by reviewing and monitoring the equal opportunity and nondiscrimination activity of the health care facilities in the state, after establishing the following regulations, compliance standards, and procedures. In addition, the State Equal Opportunity Office will provide technical assistance to the facilities and investigate possible discrimination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.3 General Provisions

A.Health Care Services - There is a responsibility both in government and private entities to demonstrate to the citizens of Rhode Island that they are deserving of quality health care services to be provided to them in an equal and nondiscriminatory manner and without regard to their race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability.

B.Admissions - It is every person's right to be admitted to a health care facility regardless of their race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability.

C.Employment - Equally as important, there is a need for those working in the health care field to be afforded the opportunity to do so without regard to their race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.4 Definitions

A.The following words and terms shall have the following meanings whenever used in these Regulations.

1.“Affirmative action plan” means a comprehensive plan of action set forth in writing that identifies specifically what the organization plans to do regarding recruiting, hiring, promoting, and training those members of the protected classes for employment purposes. It should also establish the methods in which the plan will be implemented and updated and evaluated for its effectiveness. A section of the plan must address the outreach and implementation methods to those members of the protected classes for servicing purposes.

2.“Compliance” means in accordance to the standards set forth in these regulations and procedures, R.I. General Law, "Patient's Rights" and all applicable superseding federal laws. (The Civil Rights Act of 1964, The Rehabilitation Act of 1973, The Age Discrimination Act of 1975).

3.“Health care facility” means any institutional health service provider, facility, or institution, place, building, or agency whether a partnership or corporation, used, operated, or engaged in providing health care services, including, but not limited to hospitals, skilled nursing facilities, intermediate care facilities, home health agencies, rehabilitation and convalescent home, health maintenance organizations, emergency care facilities, and facilities providing surgical treatment to patients not requiring hospitalization. (Exclusions are defined in R.I. Gen. Law § 23-17-2)

4.“Health care service” means tending to an individual's mental, physical, or psychological needs.

5.“Knowledge of discrimination” means when the individual has become aware and has made the decision that he/she has been allegedly discriminated against.

6.“Licensee/charter” means any private health care provider who has to obtain permission to operate its facility from a state regulatory agency.

7.“Private” means any chartered profit or non-profit health care facility that is licensed to provide services.

8.“Protected classes” means any person or group of persons who are protected by federal and state laws pertaining to discrimination.

9.“SEOO” means the State Equal Opportunity Office.

10.“State” means the State of Rhode Island.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.5 Services and Admission Compliance Standards

A.Application - All private licensed health care facilities in the state must comply with the following Services and Admission Standards.

B.Notice - Have an effective and ongoing notification mechanism informing clients/patients that the health care services are available in a nondiscriminatory manner and without regard to one's race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability.

C.Grievance - Have an effective and ongoing grievance procedure mechanism that a client/patient can clearly follow if they feel they have been denied a service, admittance, or treated differently because they are a member of a protected class.

D.Filing - The last step in the grievance procedure must include that the charging party can file with the SEOO, 1 Capitol Hill, Providence, RI 02908 or call (401) 222-3090 within ten (10) days of the knowledge of the alleged discrimination.

E.Planning - The health care facility should be able to verify its efforts or accomplishments in utilizing and consulting with members from,

1.Minority groups, and

2.Disability groups for planning the delivery of services/programs.

F.Outreach - Have an effective and ongoing means of communicating, advertising, and outreach to the non-English speaking persons who reside in the facility's geographical service area.

G.Written Information - Have all written pertinent information, such as notices, patient instructions; translated and printed in a variety of languages for the non-English reading persons who reside in the area that the health care facility resides.

H.Interpreters Verbal - Have an effective and ongoing means of interpreting and verbally communicating with non-English speaking persons who reside in the facility's geographical service area. This may be accomplished by,

1.The availability of a bilingual person, or

2.A formal agreement with an agency who provides interpreter services.

I.Physical Accessibility - Have an effective and ongoing plan of making the health care facility and its programs physically accessible to people with disabilities. To include,

1.Short and long-term plans to restructure the facility,

2.Move or offer the program or service to an accessible area,

3.Identifying another agency that is accessible which offers the same or equal service/program, and refer the client/patient.

J.Visually, Hearing-Impaired - Have an effective and ongoing means in which to communicate with the visually and hearing impaired client/patient to,

1.Disseminate and avail your services,

2.Provide treatment and,

3.Provide patient instructions and procedures.

K.Age - The health care service/program must be made available to all persons regardless of their age unless,

1.The funds for the program/service has been identified as being provided for a specific age group,

2.The consideration of one's age is one of the many factors identified to determine a person's eligibility of the service.

L.Segregation - No health care facility may discriminate or practice any type of assignment system that has the effect of segregation towards the client's/patient's race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability.

M.Contractual Agreements - The health care facility must no knowingly contract, to deliver its services with any agency, facility, or organization that has a history of discrimination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.6 Employment Standards

A.Application - All private licensed health care facilities in the State of Rhode Island must comply with the following employment standards.

B.Affirmative Action Policy - The health care facility must have an Affirmative Action Policy that states that no one will be discriminated against because of their race, color, religion, sex, sexual orientation, gender identity or expression, age, national origin, or disability in the areas of,

1.Hiring,

2.Promotions,

3.Treatment of,

4.Terminations,

5.Benefits

C.Grievance - Have an effective and clear procedure established in which an employee or applicant can follow and file a complaint if they feel they have been discriminated against. The procedure must include that the employee can file a complaint with the RI Human Rights Commission, 180 Westminster Street, Providence, RI 02903, (401) 222-2662; with one (1) year of the alleged violation.

D.Notice - The health care facility must have an effective and ongoing mechanism in which to disseminate the above §§ 1.6(B) and (C) of this Part standards to its employees or applicants.

E.Affirmative Action Plan - The health care facility must have an Affirmative Action Plan if it is a recipient of any state funds or assistance, or employees fifteen (15) or more people. The plan must be available for review upon request to employees and concerned organizations.

F.Administrative Staffing - The health care facility should have an employee who, on an administrative level, is aware of issues related to this policy, familiar with the federal and state discrimination and civil rights laws, is capable of resolving discrimination complaints, implementing anti-discrimination suggestions or projects and who can act as a liaison with the SEOO for monitoring and providing information purposes.

G.Employment Agencies/Recruitment - The health care facility in its recruitment efforts must state that they are an equal opportunity employer. It also must notify all of its recruitment sources such as employment agencies that they must abide by the same nondiscrimination laws and regulations in screening and selecting applicants for referrals.

H.Working Environment - The health care facility shall take specific steps in assuring that its working environment is free from racial, ethnic, sexual, and religious biases. As well as taking measure in assuring that harassing situations that adversely affect the productivity and well-being of an employee is resolved in an effective and timely manner.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.7 Monitoring and Compliance Procedures

A.Compliance Reports - The SEOO requires the health care facility to complete a compliance report annually and upon demand. The information provided by the report will be analyzed for compliance. The health care facility will receive a letter indicating that the compliance report has been received by the SEOO and it is under review. After the information from the compliance report is analyzed, a letter summarizing the compliance report will be sent to the health care facility indicating its results.

B.Compliance Problems - If the compliance reports indicated that there were any compliance problems, the summarizing letter will indicate them and their significance;

1.Any minor issues will be addressed by recommending a way in which to resolve the problem(s) by letter,

2.Any major compliance problem(s) that is identified will be addressed by the SEOO conducting an on-site visit, according to the following procedures.

C.On-Site Visit - The health care facility will be notified by letter, in advance of the date of the on-site visit. The notification will also identify the problem(s) that will be reviewed, as well as what documents and information need to be collected in preparation for the visit. An entrance and exit interview will be conducted with the health care facility's appointing authority during the on-site visit. The health care facility will receive the results of the on-site visit. An agreement will be sought to resolve the compliance problem(s).

D.Agreements - Any resolution(s) to a compliance problem will be identified in an agreement between the health care facility and the SEOO. Time limits in which to resolve the issue(s) will be a major factor in the agreement. The appropriate regulating department or licensor will be put on notice that there is an agreement in effect between the SEOO and the health care facility.

E.Follow-Up and Results - To review the implementation of the resolution(s) contained in the agreement will be conducted. If a health care facility fails to implement the agreement or some part of the agreement or fails to fulfill the agreement within the time factors agreed upon, the SEOO will notify the appropriate regulatory agency or licensee. The regulating/licensor agency will take any action in which it deems necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-1 § 1.8 Grievance Complaints and Procedures

A.Employee Grievances - Employees of the health care facility may file a complaint of discrimination with the RI Human Rights Commission, 180 Westminster St., Providence, RI 02903, (401) 222-2662; within one (1) year of the alleged violation.

B.Denial of Service Grievance - A Client of a health care facility may file a denial of service, due to discrimination or inaccessibility of a service complaint within ten (10) working days from the knowledge of the alleged incident. The client may call the SEOO or write a letter. When a client contacts the SEOO, the following procedures will be placed in action:

1.An SEOO representative will take a formal statement from the client.

2.The health care facility's appointed authority will be notified by the SEOO of the compliant.

3.The SEOO will conduct an investigation.

4.Upon the completion of an investigation, the SEOO will make a determination of probable cause.

5.If probable cause of discrimination or denial of services is not evident, the parties are so informed.

6.Where there is probable cause, the SEOO will try to conciliate the complaint.

7.If an agreement is not reached, a formal hearing will be scheduled.

8.When it has been determined by the formal hearing that denial of service(s) due to discrimination exists, the SEOO will recommend corrective action.

9.If corrective action is not implemented, the SEOO will notify the health care facility's regulating agency/licensor and other state funding source(s) as deemed necessary.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 Rules of Practice and Procedure for Hearings on Complaints Issued by the State Equal Opportunity Administrator

220-RICR-80-05-2 § 2.1 Authority

These Rules and Regulations are promulgated pursuant to R.I. Gen. Laws § 42-11-2.7(d) and R.I. Gen. Laws § 28-5.1-3.2(b).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.2 Scope

These Rules shall govern hearings on complaints initiated by the State Equal Opportunity Office pursuant to R.I. Gen. Laws § 28-5.1-3.2(a).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.3 Definitions

A.Wherever used in these Rules and Regulations, the following terms shall be construed as follows unless the context in which they are used clearly requires a different meaning:

1.“Administrator” means the State Equal Opportunity Administrator as established by R.I. Gen. Laws § 28-5.1-3(e).

2.“Agency” means any agency of any department or division within State government excluding the legislative branch.

3.“Associate director” means the Associate Director of the Office of Diversity, Equity and Opportunity as established by R.I. Gen. Laws § 42-11-2.7(b).

4."Contested case" means a matter for which the Office has initiated a complaint pursuant to R.I. Gen. Laws § 28-5.1-3.2(a).

5.“Director” means the Director of the Department of Administration as established by R.I. Gen. Laws § 42-11-1.

6.“Employee” means any individual who is a State employee or was a State employee or was an applicant for State employment.

7.“Hearing officer” means the Administrator of Adjudication as defined by R.I. Gen. Laws § 36-4-40.1, or another Hearing Officer designated by the Director.

8.“Office” means the State Equal Opportunity Office as established by R.I. Gen. Laws § 28-5.1-2(a).

9.“Order” means an Order made pursuant to R.I. Gen. Laws § 28-5.1-3.2(c) requiring a respondent to a complaint to cease and desist from any unlawful discriminatory practice and/or to take any affirmative action, including, but not limited to, hiring, reinstatement, transfer, or upgrading employees, with or without back pay, or dismissal, that may be necessary to secure compliance with any applicable affirmative action plan or with State or Federal law. The Office shall not issue an Order without the approval of the Associate Director.

10.“Party” means the Administrator, in his or her official capacity, the Agency named in the complaint, and any Employee deemed by the Hearing Officer to have standing.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.4 Complaints

A.The Administrator, with the approval of the Associate Director, may initiate a complaint in accordance with R.I. Gen. Laws § 28-5.1-3.2(a).

B.No complaint shall be issued unless the Office has reason to believe that the Agency willfully failed to comply with the requirements of any applicable affirmative action plan or of R.I. Gen. Laws § 28-5.1-1 et seq., or the Agency failed to meet the standards of good faith effort, reasonable basis, or reasonable action, as defined in guidelines promulgated by the Federal Equal Employment Opportunity Commission as set forth in 29 C.F.R. Part 1607.

C.All complaints issued by the Administrator shall name the Agency as the respondent. No Employee shall be named by the Office as a respondent to the complaint.

D.Any Employee may make motion to the Hearing Officer to become a Party.

E.The Administrator shall serve the complaint upon the Agency’s head in accordance with R.I. Gen. Laws § 28-5.1-3.2(b). A copy of the complaint shall be sent to the Director.

F.The Agency shall respond to the complaint and appear at the hearing in accordance with R.I. Gen. Laws § 28-5.1-3.2(b).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.5 Standard

The Hearing Officer shall determine whether the Agency willfully failed to comply with the requirements of any applicable affirmative action plan or of R.I. Gen. Laws § 28-5.1-1 et seq., or the Agency failed to meet the standards of good faith effort, reasonable basis, or reasonable action, as defined in guidelines promulgated by the Federal Equal Employment Opportunity Commission as set forth in 29 C.F.R. Part 1607. The Hearing Officer shall issue a written decision in accordance with their determination.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.6 Hearings In General

A.All Parties should be afforded an opportunity to respond and present evidence and argument on all issues involved.

B.Agencies must appear at hearings by appearance of legal counsel. Individual Employees, once named as Parties by the Hearing Officer, may represent themselves or be represented by legal counsel at their own expense. Consistent with R.I. Gen. Laws § 11-27-2, “Practice of Law,” any person accompanying a Party who is not a lawyer (certified member of the bar of the State of Rhode Island) cannot represent the Party in the hearing.

C.Continuances and postponements may be granted by the Hearing Officer in his or her discretion.

D.Disposition may be made of any Contested Case by stipulation, agreed settlement, consent order or default.

E.Should the Hearing Officer determine that written memoranda are required, the Parties will be notified by the Hearing Officer of the need to file a written document which discusses the issues of the case. Memoranda of Law may always be offered in support of arguments offered by the Parties.

F.The Administrator may, when he or she deems appropriate, retain independent legal counsel to prosecute any Contested Case.

G.A record of each hearing shall be made. Any Party may request a transcript at its own expense. If a transcript is requested by any Party, a copy of the transcript shall be provided, at no cost, to the Hearing Officer.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.7 Conduct of Hearings

A.Hearings shall be conducted by the Hearing Officer who shall have authority to examine witnesses, to rule on motions, and to rule upon the admissibility of evidence.

B.The hearing shall be convened by the Hearing Officer. Appearances shall be noted and any motions or preliminary matters shall be taken up. Each Party shall have the opportunity to present its case generally on an issue by issue basis, by calling and examining witnesses and introducing written evidence.

C.The Administrator shall first present his or her case followed by presentation of the Agency and any other Parties.

D.The Hearing Officer shall have the authority to continue or recess any hearing and to keep the record open for the submission of additional evidence.

E.If for any reason a Hearing Officer cannot continue on a case, another Hearing Officer will be appointed who will become familiar with the record and perform any function remaining to be performed without the necessity of repeating any previous proceedings in the case.

F.Each Party shall have the opportunity to examine witnesses and cross-examine opposing witnesses on any matter relevant to the issues in the case.

G.Any objections to testimony or evidence and the basis for the objection shall be made at the time the testimony or evidence is offered.

H.The Hearing Officer may question any Party or any witness for the purpose of clarifying his or her understanding or to clarify the record.

I.The scope of the hearing shall be limited to those matters specifically outlined in the complaint.

J.Written evidence will be marked for identification. If the original is not readily available, written evidence may be received in the form of copies or excerpts. Upon request, Parties shall be given an opportunity to compare the copy with the original.

K.Findings of fact shall be based solely on the evidence and matters officially noticed.

L.If a Party fails to attend or participate in the hearing as requested, the Hearing Officer may issue a default ruling against such Party.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.8 Records of Proceedings

A.The record in a Contested Case 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 Hearing Officer at or after the hearing; and

7.All memoranda or data submitted to the Hearing Officer in connection with the Hearing Officer’s consideration of the case.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.9 Ex Parte Communications

There shall be no communications between the Hearing Officer and a Party or any of their representatives regarding any issue of fact or law in a case, without notice and opportunity for all Parties to participate.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.10 Rules of Evidence

A.Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. The Rules of Evidence as applied in civil cases in the Superior Courts of this State shall be followed; but, when necessary to ascertain facts not reasonably susceptible of proof under the Rules, evidence not admissible under those Rules may be submitted if it is of a type commonly relied upon by reasonably prudent men and women in the conduct of their affairs. The Hearing Officer shall give effect to the Rules of Privilege recognized by law. Objections to evidence may be made and shall be noted in the record.

B.A copy the Hearing Officer’s decision shall be served upon the Associate Director and all Parties to the proceeding.

C.In the event a decision is found in favor of the Administrator, and after approval by the Associate Director, the Office may issue an Order.

D.Any Order issued by the Office shall be considered a Final Order and may be appealed in accordance with the Administrative Procedures Act, R.I. Gen. Laws § 42-35-1 et seq.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-2 § 2.11 Severability

If any provision of this Regulation or the application thereof to any person or circumstances is held invalid or unconstitutional, the invalidity or unconstitutionality shall not affect other provisions or applications of this Regulation which can be given effect without the invalid or unconstitutional provision or application, and to this end the provisions of this Regulation are severable.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2021-06-07 to 01/04/2022
• Amendment — effective from 2018-07-22 to 06/07/2021
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-3 Rules and Regulations Relating to Equal Employment Opportunity

220-RICR-80-05-3 § 3.1 Authority

R.I. Gen. Laws § 28-5.1-12 relating to Equal Employment Opportunity, sets forth the procedures and authority of the Rhode Island State Equal Opportunity Office to enforce the State's policy of equal opportunity and affirmative action.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-3 § 3.2 Purpose

Equal opportunity and affirmative action towards its achievement is the policy of all units of Rhode Island state government, including all public and quasi-public agencies, commissions, boards and authorities; and in the classified, unclassified and non-classified services of state employment; provided, that the mandatory provisions of this section shall not apply to the legislative branch of state government.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

220-RICR-80-05-3 § 3.3 General Provisions

A.This act does not guarantee employment of minorities, but it provides the appointing authority with the increased opportunity to originally or promotionally appoint qualified minorities from an eligibility list. Original appointment is defined as the process applicable to initial entrance into state service. Promotional appointment is defined as the process applicable to the upward mobility opportunity for existing state employees. A minority is currently defined in federal employment law as Hispanic or Latino, Black or African American, Asian, Native Hawaiian or Other Pacific Islander, American Indian or Alaska Native, and Two or More Races. R.I. Gen. Laws § 36-4-26.1 affords the opportunity for the authorization of a supplemental certification process whenever there exists a "manifest imbalance" in a particular job category. "Manifest imbalance" is defined - meaning there is an underrepresentation of minorities based on a demographic analysis.

B.The State Equal Opportunity Administrator shall serve as the Chief Executive Officer of the State Equal Opportunity Office and shall be responsible for monitoring and enforcing all equal opportunity laws, programs and policies within State government.

C.No later than July 1st each department or agency, excluding the legislative branch of state government, shall annually submit to the State Equal Opportunity Office and the House Fiscal Advisor sufficient data to enable the State Equal Opportunity Office and the House Fiscal Advisor to determine whether the agency achieved the hiring goals contained in its affirmative action plan for the previous year. If the hiring goals contained in the previous year's plan were not met, the agency shall also submit with such data a detailed explanation as to why the goals were not achieved.

D.The State Equal Opportunity Administrator will initiate a complaint against any agency excluding the legislative branch, who fails to comply with the provisions set forth in § 3.2 of this Part. Whenever the Equal Employment Opportunity Administrator initiates such a complaint, he or she shall cause to be issued and served in the name of the Equal Opportunity Office, a written notice, together with a copy of such complaint, requiring that the agency, administrator, agent or employee respond thereto and appear at a hearing at a time and place specified in such notice. The Equal Opportunity Office shall follow its lawfully adopted rules and regulations concerning hearings of discrimination complaints.

E.A final order of the Equal Opportunity Office shall constitute an "order" within the meaning of R.I. Gen. Laws § 42-35-1(13) shall be enforceable as such; shall be rendered in accordance with R.I. Gen. Law § 42-35-12 and shall be subject to judicial review in accordance with R.I. Gen. Law § 42-35-15.

F.Pursuant to R.I. Gen. Laws § 28-5.1-5(2), the Office of Personnel Administration shall take positive steps to insure that the entire examination and testing process, including the development of job specifications and employment qualifications, is free from either conscious or inadvertent bias and shall review all recruitment or promotional procedures for all State agencies covered by this chapter for compliance with federal and state law, and bring to the attention of the Equal Opportunity Administrator matters of concern to its jurisdiction.

G.The Personnel Administrator may use open continuous competitive tests to establish lists and fill vacancies where there is a manifest imbalance of minorities in the job category.

H.A minority in eligible for a promotional examination if they are currently employed in state service as of the official closing date of the examination announcement or twenty-one calendar days prior to the first phase of the examination, whichever is later, and is a qualified exam applicant seeking entry into a classification where there is a manifest imbalance in the job category. This section shall not be applicable to the Rhode Island State Police or the legislative branch of state government.

I.Pursuant to R.I. Gen. Laws § 28-5.1-5(3)(b), the Office of Labor Relations shall propose in negotiations the inclusion of affirmative action language suitable to the need for attaining and maintaining a diverse workforce.

J.Pursuant to R.I. Gen. Laws § 28-5.1-5(3)(c), there is hereby created a six (6) member committee which shall monitor negotiations with all collective bargaining units within State government specifically for equal opportunity and affirmative action interests. The members of that committee shall include the Director of the Rhode Island Commission for Human Rights, the Associate Director of the Office of Diversity, Equity and Opportunity, the Equal Opportunity Administrator, the Personnel Administrator, one (1) member of the House of Representatives appointed by the Speaker, and one (1) member of the Senate appointed by the Senate Majority Leader. The initial meeting shall be called by the Equal Opportunity Administrator. The committee shall elect a chairperson who shall preside over said committee.

K.The Appointing Authority, along with the certification of the Equal Opportunity Administrator and the Personnel Administrator, shall determine job categories for which there exists a "manifest imbalance". These job categories are defined in the Agency Affirmative Action Plan and identified with the proper job category code in the Official State Classified and Unclassified Pay Plan.

L.At least seven (7) days prior to certifying names under this Section, the Appointing Authority shall post a notice of intention to do so in the offices of the Personnel Administrator and of the Equal Opportunity Administrator and shall mail a copy of such notice to the applicable union, if any, with instructions to post copies of such notices at all locations where persons whose names may be certified under the provision of this Section may, if employed, be assigned.

M.Supplemental Certification in the civil service is created to eliminate the overall adverse impact of systemic barriers to the employment of minorities as a protected class, and the office of Personnel Administration shall provide all appointing authorities the necessary flexibility to remedy the effects of systemic discriminatory practices.

N.A supplemental Certification List of minorities may be called for in addition to the appropriate employment or promotion list, except in the following instances:

1.The absence of statistical data or reasonable evidence to show significant past discrimination or patterns of possible discrimination and/or adverse impact on the protected classes;

2.The presence of at least one minority ranked among the three persons standing highest on the list of persons certified by the Personnel Administrator for the position in question;

3.The absence of any minorities on the appropriate eligibility list; or

4.Any instance in which the department or agency is subject to a contradictory or inconsistent court order.

O.Supplemental Certifications, based on race or color as a protected class, shall be made by an appointing authority whenever:

1.The appointing authority shall make requisition to fill one (1) or more positions wherever a manifest imbalance is identified within the department's Affirmative Action Plan.

2.Eligible minorities must have passed an examination for the classification being recruited and/or other list deemed appropriate by the Personnel Administrator.

3.In certifying names for appointment to a classification for which supplemental certification is required, the Personnel Administrator shall include upon the applicable list the names of six (6) persons certified pursuant to this section.

P.Whenever an agency is seeking supplemental certification, they shall indicate said desire on appropriate forms seeking eligibles to the Office of Personnel Administration.

Q.The State Equal Opportunity Administrator shall develop and implement recruitment plans to assure that adequate consideration is given to minority applicants for all positions wherein no list exists in those job categories where a manifest imbalance exists, excluding those job categories in the legislative branch of state government.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2018-07-22 to 01/04/2022
• Periodic Refile — effective from 2001-12-19 to 07/22/2018

Subchapter 10 Minority Business Enterprise

220-RICR-80-10-1 Rules, Regulations, Procedures and Criteria Governing Certification and Decertification of MBE Enterprises by the State of Rhode Island

220-RICR-80-10-1 § 1.1 Purpose and Authority

Pursuant to R.I. Gen. Laws § 37-14.1-7 which relates to Minority Business Enterprise and R.I. Gen. Laws § 42-35-1 relating to the Administrative Procedures Act, the Rhode Island Department of Administration has developed Rules and Regulations governing the certification and decertification of small businesses that are owned and controlled by minorities, women or disadvantaged individuals to participate in state and federal programs administered by the State of Rhode Island. To qualify as a Minority Business Enterprise (MBE), a firm must meet eligibility standards established in §§ 1.4 through 1.9 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.2 Definitions

A.“Annual update” means the information required from a certified firm prior to its anniversary date. Materials to be furnished may include, but not necessarily be limited to, most recently filed personal and business tax returns, year-end financials, personal financial statement(s) of all owners, and a no change affidavit.

B. “Applicant” means any business that applies to the Department of Administration for certification, decertification, reconsideration or appeal.

C.“Architect-engineer” means:

1.Professional services of an architectural or engineering nature, as defined by Rhode Island State Law, if applicable, which are required to be performed or approved by a person licensed, registered, or certified to provide such services.

2.Other professional services associated with research, planning, development, design, construction, alteration, or repair of real property that the contracting officer determines are of an architectural or engineering nature.

D.“Awarding authority” means any agency or department of the federal government, the State of Rhode Island or their political subdivisions that awards contracts using public funds.

E.“Caseworker and/or representative of D.O.A.” means a D.O.A. staff member, or its designee assigned to review applications.

F.“Certification” means that a company has met the burden of demonstrating by the preponderance of evidence, that it meets the requirements of these regulations and federal regulations concerning group membership, individual disadvantage, business size, ownership and control.

G. “Certification period” means the length of time a firm may be certified prior to having to undergoing another full review of its eligibility and qualifications for certification.

H.“Certification review committee” or “C.R.C.” shall function as an appellant body. Firms that are denied certification as a Minority Business Enterprise (MBE), Women Business Enterprise (WBE), or Disadvantaged Business Enterprise (DBE) may request a hearing before the C.R.C. in order to appeal said decision. The C.R.C. consists of five (5) members appointed by the Director of the Department of Administration. The Director of the Department of Administration will appoint the chairperson of this committee. The five (5) members will consist of one (1) individual from the Rhode Island Department of Transportation and four (4) individuals from the public or private sector. At least four (4) members will represent the minority groups as defined under R.I. Gen. Laws Chapter 37-14.1. Each member, including the chairperson, will serve at the pleasure of the Director of the Department of Administration and their term will be perpetual or until a replacement is appointed. No person involved in the original determination shall serve as a member of the C.R.C. during an appeal.

I.“Certified” means an applicant firm which has been reviewed by D.O.A. and found to have met the certification requirements provided in these regulations.

J.“Construction” means construction, alteration, or repair (including dredging, excavating, and painting) of buildings, structures, or other real property.

K.“Days” means business days not calendar days.

L.“D.O.A.” means the Rhode Island Department of Administration.

M.“Hearings” means formal meetings held at the request of the applicant and conducted pursuant to the Administrative Procedures Act. Hearings are conducted by the C.R.C. and relate to the denial determination of an applicant or decertification of a certified firm.

N.“Manufacturer” means a firm that operates or maintains a factory or establishment that produces on the premises the materials, or supplies, articles, or equipment required under the contract and of the general character described by the specifications 49 C.F.R. § 26.55(e)(1)(ii).

O.“Minority business enterprises” or “MBE” means small business enterprises whose owners are rebuttably presumed to be socially and economically disadvantaged individuals, who are citizens of the United States or legal permanent residents, and who are members of a definable minority group that own and control the business.

P.“Ongoing concern” means a business whose activity is consistent and perpetual and whose business hours are regular.

Q.“Other minority business enterprises” means socially and economically disadvantaged firms which are owned and controlled by individuals who are citizens of the United States, or legal permanent residents whose social disadvantage must stem from an individual’s color, national origin; gender, physical handicap; long term residence in an environment isolated from the mainstream of American society; or other similar cause beyond the control of the individual, and whose economic disadvantage must stem from an inability to compete in the free enterprise system due to diminished capital and credit opportunities, as compared to others in the same or similar line of business and/or competitive market area who are not socially disadvantaged. 13 C.F.R. §§ 124.103 through 124.109.

R.“Regular dealer/supplier” means a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials or supplies required for the performance of the contract are bought, kept in stock, and regularly sold to the public in the usual course of business. To be a regular dealer, the firm must engage in, as its principal business, and in its own name, the purchase and sale of the products in question. A regular dealer in such bulk items as steel, cement, gravel, stone, and petroleum products needs not keep such products in stock, if it owns or operates distribution equipment. 49 C.F.R. § 26.55(e)(2)(ii)

S.“Regulations” means all of the provisions contained in this document or regulations established by other awarding or certifying federal authorities, including, but not necessarily limited to, 49 C.F.R. Part 23, 49 C.F.R. Part 26, 13 C.F.R. Part 121 and 13 C.F.R. Part 124.

T.“Rhode Island bridge fund minority business enterprise” or “RIBFMBE” means a firm certified as either an MBE, WBE, or DBE by the Department of Administration, Office of Diversity, Equity and Opportunity (ODEO), MBE Compliance Office (MBECO) only for those projects covered under the Rhode Island Bridge Replacement, Reconstruction and Maintenance Fund Act of 2016 (RIBF Act) in accordance with R.I. Gen. Laws § 42-13.1-17.

U.“Service” means a contract or firm whose primary purpose is to perform an identifiable task rather than to furnish an end item of supply.

V.“Site visit” means a visit by a D.O.A. staff member, or its designee to an applicant’s business facility or job location.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.3 Incorporated Materials

This certifying authority is not limited to basing certification or decertification solely on the criteria outlined in these rules and regulations but may consider regulations established by other awarding and/or certifying authorities, including, but not necessarily limited to, 49 C.F.R. Part 23 (April 2009), 49 C.F.R. Part 26 (October 2014), 13 C.F.R. Part 121 (December 2019) and 13 C.F.R. Part 124 (October 2016), incorporated herein, not including later amendments or editions thereof.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.4 Certification Criteria

A.D.O.A. will certify or recertify only those firms which meet all of the requirements as outlined below:

1.Be a small business concern as defined pursuant to Section 3 of the Federal Small Business Act (15 U.S.C. §§ 632 and 637) and implementing regulations (13 C.F.R. Part 121), and fulfill one of the definitions as defined in §§ 1.2(O) or (Q) of this Part.

2.Owner(s) must be a member of a definable minority group, woman, and/or an individual(s), found to be both socially and economically disadvantaged (as defined in 49 C.F.R. § 26.67).

3.Minority, Disadvantaged or Women partners/shareholders must own at least 51 percent of the business.

4.Minority, Disadvantaged or Women owners must possess control of the business and the power to direct or cause the direction of the management and policies of the firm and to make the day-to-day as well as major decisions on management, policy and operations.

5.Minority, Disadvantaged, or Women owners must be substantial investors in the business.

6.The business must be an ongoing concern.

7.The business must be in operation a minimum of six (6) months prior to applying for certification.

8.Existing businesses whose ownership and control has been transferred to minorities or women must be in the control of the minorities/women a minimum of six (6) months prior to applying for certification.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.5 Membership Requirement

A.A member of a definable minority group means a person who is a citizen or lawful permanent resident of the United States and who is:

Black

All persons having origins in any of the Black racial groups of Africa.

Hispanic

All persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race.

American Indian/ Alaskan Native

All persons having origins in any of the original peoples of North America.

Asian American

All persons having origins in any of the original peoples of the Far East, Southeast, Southeast Asia, the Indian Subcontinent, or the Pacific Islands.

Portuguese

All persons of Portuguese, Brazilian or other Portuguese culture or origin regardless of race.

Woman

Any female qualifies as a class of minority.

Disadvantaged

Members of other groups or other individuals, found to be economically and socially disadvantaged by the small Business Administration under Section 8(a) of the Small Business Act, as amended (15 U.S.C. § 637(a)).

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.6 Ownership Requirements

A.An applicant must satisfy either of §§ 1.6(A)(1) and (2) or (3) of this Part, as well as §§ 1.6(A)(4) through (6) of this Part below in order to be considered 51 percent owned by members of a definable minority group:

1.In a corporate form of organization, the Minority, Disadvantaged or Women shareholders of the corporation must own at least 51 percent of each and every class of stock, including 51 percent of all voting stock in the corporation; or

2.In a partnership form of organization, the Minority, Disadvantaged or Women partners must own at least 51 percent of the partnership; or

3.In any other form of organization, the Minority, Disadvantaged, or Women owners must own at least 51 percent of the business interest of the organization including, but not limited to, 51 percent of the ownership of assets, dividends, and intangible assets such as copyrights and patents; and

4.The Minority, Disadvantaged or Women owners must demonstrate that they are entitled to receive profits from the business firm and that they are entitled to share in any other benefit which accrues to all owners of the business firm; and

5.The Minority, Disadvantaged or Women owners must substantially share in all the risks assumed by the business firm, and

6.The business firm cannot at any time enter into any agreement, option, scheme, or create any rights of conversion, which if exercised, would result in less than 51 percent Minority, Disadvantaged or Women ownership of the business firm.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.7 Control Requirements

A.To prove that the Minority, Disadvantaged or Women owners possess control over the business, an applicant must satisfy all the requirements of §§ 1.7(A)(1) through (3) of this Part below:

1.The Minority, Disadvantaged or Women owners must demonstrate that they have control over:

a.The day-to-day management of the business, and

b.The policy-making mechanism of the business.

(1)The ownership and control by the Minority, Disadvantaged or Women owners must be real, substantial, and continuing and shall go beyond the pro forma ownership of the firm as reflected in its ownership document.

(2)The Minority, Disadvantaged or Women owners must establish their control by providing substantial evidence that they possess the power to direct or cause the direction of the management of the firm and to make day-to-day as well as major decisions on matters of management, policy, and operations by establishing the following:

c.Have the power to direct or cause the directions of the purchase of goods, equipment, business inventory and services needed in the day-to-day operation of the business.

d.Have the authority to hire and fire employees, including those to whom management authority is delegated.

e.Be an authorized signer on all corporate accounts-checking, savings, and other financial accounts.

f.Have a thorough knowledge of the financial structure of the business and authority to determine all financial affairs.

g.Have the capability, knowledge and experience required to make decisions regarding the particular type of work engaged in by the MBE.

h.Have displayed independence and initiative in seeking and negotiating contracts, accepting and rejecting bids and in conducting all major aspects of the business.

2.Any of the following conditions creates an irrefutable presumption that the owners do not have control of the business that is applying for certification.

a.If the Minority, Disadvantaged or Women owners are current employees of a non-minority business corporation, or individual, or partnership which has a significant ownership interest in the business firm applying for certification.

b.If the directors and/or management of the applicant firm is substantially the same as the affiliated non-minority firm.

c.If the applicant is a wholly-owned subsidiary of a non-minority firm.

d.If the applicant has an extremely dependent relationship on a non-minority firm or individual.

3.Any agreement, option, right of conversion, scheme or other restraint, which, if exercised, would result in less than dominant control by the minority owners is prohibited.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.8 Substantial Investment in Business Requirement

A.The Minority, Disadvantaged or Women owners must demonstrate that they have substantial personal investment in the Business. Proof of such substantial investment must be established by producing evidence of the following:

1.A substantial amount of money invested in the business, or

2.Investment in the form of capital, equipment, contribution of property, space, patents and copyrights.

a.Contributions of personal or professional services alone will not be considered substantial investment for the purpose of this section. However, a contribution of such services will receive consideration when given in conjunction with other tangible forms of investment.

b.There will be an irrefutable presumption that the Minority, Disadvantaged or Women owners have not made a substantial investment in the business if a significant portion of the applicant’s equity is financed by a loan or gift from a non-minority corporation, partnership or individual that has a significant interest in the applicant.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.9 Continuing Operational Requirement

The applicant must be an ongoing business concern; it must demonstrate to the satisfaction of the Department of Administration that it was not established solely for the purpose of competing for MBE programs.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.10 Applications

Applicants must complete the application supplied by the Rhode Island Department of Administration, supply all the information requested therein, agree to supply any additional information requested by D.O.A. and agree to be bound by all the provisions and regulations governing the certification and recertification process as detailed by these regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.11 Intake and Evaluation Procedures

A.The caseworker and/or representative of D.O.A. will review each application to determine if the applicant has submitted a complete application.

B.If the applicant has failed to submit all requested information, the applicant will be notified via mail or by email at the address furnished by the applicant by the caseworker and/or representative of D.O.A. detailing what required information is missing from their application.

C.Any application for which all requested information is not received within a thirty (30) calendar day period from the date of the notification will either be withdrawn and the applicant cannot reapply earlier than sixty (60) days from the expiration of the thirty (30) day period, or the application may be denied.

D.The caseworker and/or representative of D.O.A. will evaluate the completed application and may conduct a site visit and complete a site visit report if it felt that further investigation of the applicant firm is warranted to determine whether the applicant meets the requirements for certification as an MBE. This evaluation will be completed within a reasonable time after receipt of the completed application, which shall not exceed ninety (90) days.

1.While the office is awaiting additional information from the applicant, the ninety (90) day period for processing an application is suspended until all additional information requested from the applicant has been received.

E.D.O.A. may, in its discretion, grant or request an interview with the applicant firm, if it feels an interview is essential to complete the application review process.

F.After review and verification of each application a case evaluation and/or site visit report will form the basis of the report prepared by the caseworker and/or representative of D.O.A. to the Assistant Administrator – MBE within the Office of Diversity, Equity and Opportunity (ODEO).

G.No requests for withdrawal of an application will be considered once the report has been prepared by the caseworker and/or representative of D.O.A. for the Assistant Administrator – MBE.

H.The Assistant Administrator – MBE and the Associate Director of the Office of Diversity, Equity and Opportunity will meet to review the application and reports of the caseworker and/or representative of D.O.A. to determine the certification of the applicant.

1.If the Assistant Administrator – MBE and the Associate Director of the Office of Diversity, Equity and Opportunity, jointly, determine that an applicant meets the criteria for certification as an MBE pursuant to these regulations, D.O.A. shall certify the applicant.

2.If the Assistant Administrator – MBE and the Associate Director of the Office of Diversity, Equity and Opportunity, jointly, determine that an applicant firm does not meet the criteria for certification as an MBE pursuant to these regulations, D.O.A. shall notify the applicant firm by certified mail of the denial determination.

a.The denial determination shall include the basis for the denial including a reference to the specific sections of these rules that the applicant has failed to comply with.

b.The applicant will also be notified that the applicant has the right to request an appeal hearing before the Certification Review Committee.

c.If certification is denied the applicant may reapply no earlier than one year after the date of the decision of the D.O.A.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.12 Appeal Procedures

A.Appeal hearings before the C.R.C. shall be conducted pursuant to R.I. Gen. Laws §§ 42-35-9 through 16.

B.Applicant firms seeking an appeal hearing before the C.R.C. must notify D.O.A. in writing of its intention to appeal within ten (10) days of the receipt of the denial determination.

C.At the hearing, the C.R.C. will consider evidence and matters officially noticed.

D.Conduct at the Hearing

1.The applicant and all parties present at the hearing shall conduct themselves in a manner consistent with the standards of judicial decorum accepted by the courts of Rhode Island. Where such decorum is not observed, the Chairperson of the C.R.C. or his or her designee will have the authority to take appropriate action, including ejectment or adjournment, if necessary.

E.Stipulations

1.Both the C.R.C. and the applicant may enter written stipulations if they are signed by the parties sought to be bound thereby.

2.Oral stipulation may be made on the record, at the discretion of the Chairperson, during the course of the hearing.

F.The Hearing Record

1.The Chairperson shall direct that a recording be made by electronic recording equipment of each proceeding. At the request of an applicant, the Chairperson shall allow a stenographer to record the proceedings, provided, however, that copies of the hearing transcript must be provided to the CRC and the MBECO at no cost within thirty (30) days of the conclusion of the hearing.

2.If any party chooses to appeal a final CRC decision to Superior Court or to appeal a decision otherwise provided by law and the Superior Court (or another Court) requires a transcript of the hearing and there is only an electronic recording of the hearing, the party seeking appeal shall be responsible for having the transcript prepared by an independent person or company at the Applicant's expense within twenty (20) days of filing the appeal.

G.After C.R.C. has conducted its hearing it shall notify the applicant by certified mail, in writing, of its decision, which shall include findings of fact and conclusions of law.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.13 Decertification

D.O.A. may, at any time after it has certified an MBE, withdraw certification if the status of that firm’s ownership, control, or management make such action necessary, or if it fails to maintain its status as an ongoing business, or it has violated the guidelines of an awarding authority or no longer qualifies as a small business concern. A firm may be decertified by the D.O.A. after being provided with an opportunity to be heard by the MBE Compliance Office. Firms decertified by the D.O.A. may seek an appeal of the decertification determination before the C.R.C.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.14 Grounds for Complaint

A.Any person, including a D.O.A. staff member or a representative of an awarding authority, can, in writing, make a complaint to D.O.A. against any MBE if that person believes that the MBE is abusing its certified status or failing to conduct itself as a bona fide MBE. D.O.A. reserves the right to investigate any and all complaints.

B.If, after its investigation, D.O.A. finds that an MBE:

1.Submitted inaccurate or false information to D.O.A. during the certification or recertification process; or

2.Has violated the guidelines of an awarding authority; or

3.Has changed its ownership, control, or management without notifying D.O.A. within thirty (30) days of such change; or

4.Has failed to conduct itself as a bona fide MBE or to maintain its status as an ongoing concern, it may seek an informal resolution to the problem, hold a hearing, or immediately decertify the MBE.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.15 Informal Resolution

A.If D.O.A. chooses to seek an informal resolution to the problem, it will:

1.Advise the enterprise of the allegations made against it, and

2.Inform the enterprise of the findings of the representative who investigated its case, and

3.Request that the MBE/WBE take voluntary action to correct the problem within thirty (30) days of notification.

B.When D.O.A., in its judgement, concludes that an MBE has failed to take corrective action within thirty (30) days of notification, it will issue a decertification determination. Firms decertified by the D.O.A. may seek an appeal of the decertification determination before the C.R.C.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.16 Annual Update

A.The Rhode Island Department of Administration requires that all certified firms update their business information on an annual basis. Failure to furnish requested information may result in loss of certification after being provided with the opportunity to be heard by the MBE Compliance Office.

B.D.O.A. shall issue a Notice Of Pending Expiration of Certification to each MBE or WBE approximately sixty (60) days before the expiration of the certification period—however, failure of D.O.A. to issue the notice or failure of the certified MBE or WBE to receive the notice shall not extend the existing certification period nor relieve the MBE or WBE of the obligation to submit a timely application for recertification in accordance with this section.

C.The application for Renewal of Certification shall be submitted to D.O.A. not less than thirty (30) days before the date of expiration of the existing certification.

D.Applications for recertification shall meet all of the requirements for application for certification set forth in §§ 1.4 through 1.9 of this Part with all information, and documents, updated to the date of the application for renewal.

E.Failure of a certified firm to recertify in a timely manner will result in this firm not being recertified by D.O.A. A firm that fails to provide all information required for recertification must submit a new certification application, with all accompanying documents and this application will be processed as prescribed in § 1.11 of this Part.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.17 Effect of Prior MBE or WBE Certification by Another State or Federal Agency

Prior MBE or WBE certification of the applicant by another state or federal agency or a Unified Certification Program (UCP) shall be considered by the D.O.A., but in no case shall this prior certification be considered conclusive proof that the applicant is eligible for certification.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.18 Judicial Review

An applicant may seek judicial review of any final administrative decision of the D.O.A. and/or the C.R.C. in accordance with R.I. Gen. Laws Chapter 42-35.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-1 § 1.19 Severability

The provisions of this document are severable, and if any of the provisions shall be held to be unconstitutional by any court of competent jurisdiction, the decision of such court shall not affect or impair any of the remaining provisions.

History

• Periodic Refile — effective from 2022-01-04 to current
• Amendment — effective from 2020-04-18 to 01/04/2022
• Amendment — effective from 2018-07-22 to 04/18/2020
• Amendment — effective from 2016-09-08 to 07/22/2018
• Amendment — effective from 2010-12-30 to 09/08/2016
• Periodic Refile — effective from 2001-12-19 to 12/30/2010

220-RICR-80-10-2 Regulations Governing Participation by Small Business Enterprises in State Purchase of Goods and Services and in Public Works Projects

220-RICR-80-10-2 § 2.1 Authority

The Regulations published herein have been approved and established by the Director of Administration pursuant to R.I. Gen. Laws §§ 37-14.1-6, 37-14.1-7, and 37-2.2-3.1 and have been promulgated by the Department of Administration in accordance with the “Administrative Procedures Act”, R.I. Gen. Laws Chapter 42-35.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.2 Purpose

To support the fullest possible participation of businesses owned and controlled by individuals who are minorities, individuals who are women, and individuals with disabilities in State public works projects and in State purchases of goods and services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.3 Scope

All State Agencies as defined herein shall comply with these Regulations; provided, however, that pursuant to R.I. Gen. Laws §§ 37-14.1-7 and 37-14.1-8 the Director of the Department of Transportation has received delegated authority to adopt regulations consistent with R.I. Gen. Laws Chapter 37-14.1 thereby exempting the Department of Transportation from the requirements of these Regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.4 Waivers

The Director of Administration may waive strict application of these Regulations when it has been determined in writing that the Proposer or Bidder must satisfy requirements of federal law which achieve the goals and purpose of these Regulations. The Director must provide written notice of any waiver to the ODEO and the Governor’s Commission on Disabilities. All such notices shall be available for public inspection.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.5 Severability

If any part or provision of these Regulations or the application of any part or provision to any person, entity, or circumstances is judged invalid by any court of competent jurisdiction, the judgment shall be confined in its operation to the part of or provision of or application directly involved in the controversy in which the judgment has been rendered and shall not affect or impair the validity of the remainder of these Regulations or it applications to other persons, entities, or circumstances.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.6 Definitions

A.The following words and terms shall have the following meanings whenever used in these Regulations.

1.“Aggregate Utilization Rate” means the overall percentage goal of the State’s total dollar value of procurement contracts and public works projects being made directly or indirectly to MBEs/WBEs.

2.“Associate Director of ODEO” means the head of the ODEO as established by R.I. Gen. Laws § 42-11-2.7(b).

3.“Bidder” means any individual, organization, corporation, partnership, sole proprietorship, joint stock company, joint venture, or any other legal entity through which business is conducted that is submitting a quote or bid in response to a solicitation issued by the Division of Purchases or any other State Agency.

4.“Disability Business Enterprise” means a small business concern that is owned and controlled by one or more individuals with disabilities as defined by R.I. Gen. Laws § 37-2.2-2. To be recognized under these Regulations as a Disability Business Enterprise, the business must be certified as a Disability Business Enterprise by the Governor’s Commission on Disabilities.

5.“Director” means the Director of the Department of Administration. The Director may delegate his or her duties under these Regulations to a designee provided that the issuance of any waivers from or amendments to these Regulations must be approved in writing by the Director.

6.“Division” means the Department of Administration’s Division of Purchases. If the solicitation is not issued by the Division of Purchases, then Division shall mean the division or department within the State Agency that is issuing the solicitation.

7.“ISBE” means a small business enterprise that is owned and controlled by one or more individuals who are women or minorities as defined by R.I. Gen. Laws § 37-14.1-3 or a small business enterprise that is owned and controlled by one or more individuals with disabilities as defined by R.I. Gen. Laws § 37-2.2-2. To be recognized under these Regulations as an ISBE, the business must be certified as either:

a.an MBE by the ODEO;

b.a WBE by the ODEO; or

c.a Disability Business Enterprise by the Governor’s Commission on Disabilities

8.“ISBE Participation Rate” means the ratio of the amount of work performed in connection with a State procurement contract or public works project by ISBEs to the amount of work performed by all contractors and subcontractors.

9.“MBE/WBE Compliance Plan” is a Bidder’s plan to achieve the Aggregate Utilization Rate in connection with a State procurement contract or public works project.

10.“MBE/WBE Coordinator” means a State Agency’s MBE coordinator as defined by R.I. Gen. Laws § 37-14.1-3(g). The MBE/WBE Coordinator is to have overall responsibility for promotion of MBEs and WBEs within his or her department.

11“MBECO” means the Minority Business Enterprise Compliance Office within the ODEO.

12.“Minority Business Enterprise” or “MBE” means a small business enterprise that is owned and controlled by one or more individuals who are minorities as defined by R.I. Gen. Laws § 37-14.1-3. To be recognized under these Regulations as an MBE, the business must be certified as an MBE by the ODEO.

13.“ODEO” means the Office of Diversity, Equity and Opportunity that has been established as a division with the Department of Administration pursuant to R.I. Gen. Laws § 42-11-2.7.

14.“Proposer” means any individual, organization, corporation, partnership, sole proprietorship, joint stock company, joint venture, or any other legal entity through which business is conducted that is submitting a proposal in response to a solicitation issued by the Division of Purchases or any other State agency.

15.“Regulations” means the regulations published herein which are entitled Regulations Governing Participation by ISBEs in State Purchases of Goods and Services and Public Works Projects.

16.“Request for Proposals” or “RFP” means a solicitation for competitive offers where lowest price is not the sole or primary consideration to be used in determining an award or any other solicitation that is identified and classified by the Division as a request for proposals.

17.“Request for Quotes” or “RFQ” means a solicitation for competitive offers where lowest price is the sole or primary consideration to be used in determining an award or any other solicitation that is identified and classified by the Division as a request for quotes.

18.“State” means the state of Rhode Island and any of its departments or agencies and public agencies.

19.“State Agency” includes any state department, board, bureau, agency, or public agency as defined by R.I. Gen. Laws § 37-2-7(16).

20.“Sub Goal” means a percentage goal of the total dollar value of a State procurement contract or public works project being made directly or indirectly to a subcategory of MBEs/WBEs.

21.“Using Agency” means any state government entity which utilizes any supplies, services, or construction purchased under R.I. Gen. Laws Chapter 37-2.

22.“Woman Business Enterprise” or “WBE” means a small business enterprise that is owned and controlled by one or more individuals who are women as defined by R.I. Gen. Laws § 37-14.1-3. To be recognized under these Regulations as a WBE, the business must be certified as a WBE by the ODEO.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.7 Request for Proposals

A.This section applies whenever the Division or a State Agency seeks to procure goods, services, and/or public works projects through the issuance of an RFP.

B.ISBE Participation Criterion

1.Criterion. All RFP solicitations for goods, services, and/or public works projects must include a criterion for ISBE participation.

2.Weight. The standard weight for the ISBE participation criteria shall be 6 points out of a total of 106 evaluation points available to the Proposers.

3.Periodic Review. The ODEO shall periodically review the standard weight for the ISBE participation criterion.

C.Calculation of ISBE Participation Rate

1.ISBE Participation Rate for Proposer That Is Not an ISBE. The ISBE Participation Rate for a Proposer that is not an ISBE shall be expressed as a percentage and shall be calculated by dividing the Proposer’s total contract price that is subcontracted to ISBEs for work performed by ISBEs by the Proposer’s total contract price. For example if the Proposer’s total contract price is $100,000.00 and it subcontracts a total of $12,000.00 to ISBEs, the Proposer’s ISBE Participation Rate would be 12%. In the event an RFP does not request a total contract price, the ISBE Participation Rate for a Proposer that is not an ISBE shall be expressed as a percentage and shall be determined as specified by the RFP.

2.ISBE Participation Rate for Proposer That Is an ISBE. The ISBE Participation Rate for a Proposer that is an ISBE shall be expressed as a percentage and shall be calculated by dividing the sum of the Proposer’s total contract price that is subcontracted to ISBEs for work performed by ISBEs and the Proposer’s total contract price that is performed by the Proposer itself by the Proposer’s total contract price. For example if the Proposer’s total contract price is $100,000.00 and it subcontracts a total of $12,000.00 to ISBEs and will perform a total of $8,000.00 of the work itself as an ISBE, the Proposer’s ISBE Participation Rate would be 20%. In the event an RFP does not request a total contract price, the ISBE Participation Rate for a Proposer that is an ISBE shall be expressed as a percentage and shall be determined as specified by the RFP.

D.MBE/WBE Coordinator. For each RFP issued, the Using Agency shall designate an MBE/WBE Coordinator no later than the time the RFP is issued. For each RFP assigned to him or her, the MBE/WBE Coordinator shall be responsible for compliance oversight and tracking and recordkeeping all data and information that is required to be reported by each State Agency under § 2.11 of this Part.

E.Proposer’s Responsibilities

1.Proposal of ISBE Participation Rate. Unless otherwise indicated in the RFP, a Proposer must submit its proposed ISBE Participation Rate in a sealed envelope or via sealed electronic submission at the time it submits its proposed total contract price. The Proposer shall be responsible for completing and submitting all standard forms adopted pursuant to § 2.9 of this Part and submitting all substantiating documentation as reasonably requested by either the Using Agency’s MBE/WBE Coordinator, Division, ODEO, or Governor’s Commission on Disabilities including but not limited to the names and contact information of all proposed subcontractors and the dollar amounts that correspond with each proposed subcontract.

2.Failure to Submit ISBE Participation Rate. Any Proposer that fails to submit a proposed ISBE Participation Rate or any requested substantiating documentation in a timely manner shall receive zero (0) ISBE participation points.

3.Execution of Proposed ISBE Participation Rate. Proposers shall be evaluated and scored based on the amounts and rates submitted in their proposals. If awarded the contract, Proposers shall be required to achieve their proposed ISBE Participation Rates. During the life of the contract, the Proposer shall be responsible for submitting all substantiating documentation as reasonably requested by the Using Agency’s MBE/WBE Coordinator, Division, ODEO, or Governor’s Commission on Disabilities including but not limited to copies of purchase orders, subcontracts, and cancelled checks.

4.Change Orders. If during the life of the contract, a change order is issued by the Division, the Proposer shall notify the ODEO of the change as soon as reasonably possible. Proposers are required to achieve their proposed ISBE Participation Rates on any change order amounts.

5.Notice of Change to Proposed ISBE Participation Rate. If during the life of the contract, the Proposer becomes aware that it will be unable to achieve its proposed ISBE Participation Rate, it must notify the Division and ODEO as soon as reasonably possible. The Division, in consultation with ODEO and Governor’s Commission on Disabilities, and the Proposer may agree to a modified ISBE Participation Rate provided that the change in circumstances was beyond the control of the Proposer or the direct result of an unanticipated reduction in the overall total project cost.

F.Awarding ISBE Participation Points

1.Technical Viability. A Proposer’s proposed ISBE participation shall only be considered when the Proposer’s proposed price is considered. A Proposer that does not have its proposed price considered because it failed to attain the requisite minimum technical score or otherwise failed to meet all technical requirements shall not have its proposed ISBE participation considered.

2.Points for ISBE Participation Rate. The Proposer with the highest ISBE Participation Rate shall receive the maximum ISBE participation points. All other Proposers shall receive ISBE participation points by applying the following formula:

The Proposer’s ISBE Participation Rate

÷

The highest ISBE Participation Rate

X

The maximum ISBE participation points

a.For example, assuming the weight given by the RFP to ISBE participation is 6 points, if Proposer A has the highest ISBE Participation Rate at 20% and Proposer B’s ISBE Participation Rate is 12%, Proposer A will receive the maximum 6 points and Proposer B will receive (12% ÷ 20%) x 6 which equals 3.6 points.

G.Compliance. A Proposer that achieves its contractual proposed ISBE Participation Rate shall be deemed to be in compliance with R.I. Gen. Laws Chapters 37-14.1 and 37-2.2. A Proposer that fails to achieve its contractual proposed ISBE Participation Rate, refuses to submit a proposed ISBE Participation Rate, or otherwise fails to comply with these Regulations shall be in non-compliance with R.I. Gen. Laws Chapters 37-14.1 and 37-2.2 and shall be subject to the sanctions as prescribed in R.I. Gen. Laws § 37-14.1-8.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.8 Request for Quotes

A.This section applies whenever the Division or a State Agency seeks to procure goods, services, and/or public works projects through the issuance of an RFQ.

B.Aggregate Utilization Rate. The Aggregate Utilization Rate is ten percent (10%) provided that, in the event the percentage set forth by R.I. Gen. Laws § 37-14.1-6 is amended, the Aggregate Utilization Rate herein shall also be amended so that it always reflects the percentage set forth by R.I. Gen. Laws § 37-14.1-6.

C.Sub Goals. With the approval of the Director, the ODEO may establish Sub Goals. Sub Goals shall not be approved unless the ODEO demonstrates that the Sub Goals are consistent with underutilization data received through a disparity study and/or pertinent analytic data derived from the recordkeeping of State Agencies.

D.State Agency Responsibilities

1.MBE/WBE Coordinator. For each RFQ issued, the Using Agency shall designate an MBE/WBE Coordinator no later than the time the RFQ is issued. For each RFQ assigned to him or her, the MBE/WBE Coordinator shall be responsible for compliance oversight and tracking and recordkeeping all data and information that is required to be reported by each State Agency under § 2.11 of this Part.

2.Agency Procedures. Each State Agency shall attempt to achieve the Aggregate Utilization Rate by applying one of the two methods as described in §§ 2.8(D)(3) and (4) of this Part.

3.Prime Contractor Method. For each procurement where Bidders will be serving as a prime contractor, the Using Agency shall ensure that it tries to achieve, at a minimum, the Aggregate Utilization Rate. The Using Agency shall ensure that the Bidder either meets or exceeds this requirement or has been granted a good faith waiver.

4.No Prime Contractors. In lieu of using the prime contractor method described in § 2.8(D)(3) of this Part above, the Using Agency may meet the Aggregate Utilization Rate by ensuring that the rate is met in the aggregate for each fiscal year. MBEs/WBEs may be solicited directly to accomplish this requirement.

5.Compliance with Sub Goals. In the event Sub Goals are established by the ODEO, State Agencies must track all data and keep records relating to the established Sub Goals.

E.Bidder Responsibilities

1.Acknowledgement. A Bidder shall include with its bid or quote, a statement acknowledging the provisions of R.I. Gen. Laws Chapter 37-14.1 and its obligation to meet the Aggregate Utilization Rate. Satisfying this requirement means that a minimum of the Aggregate Utilization Rate of the total dollar value of work to be performed in relation to the procurement will be performed by certified MBEs/WBEs. If a Bidder is an MBE/WBE, it may satisfy this requirement by performing a minimum of the Aggregate Utilization Rate of the total dollar value of work itself.

2.Submission of MBE/WBE Compliance Plan. Bidders must submit an MBE/WBE Compliance Plan to the Division. The MBE/WBE Compliance Plan shall identify each MBE/WBE name, each subcontract dollar amount and type, and each subcontract that the Bidder projects will be awarded to MBEs/WBEs over the period of the project. Unless otherwise indicated in the solicitation, the Bidder must submit this MBE/WBE Compliance Plan within five business days of receipt of a tentative award issued by the Division.

3.MBE/WBE Liaison Officer. The chief executive officer of each Bidder shall designate an MBE/WBE liaison officer who shall be responsible for coordinating with the ODEO, Division and the Using Agency through the life of the contract.

F.Approval or Disapproval of MBE/WBE Plan

1.Review. The MBECO shall review MBE/WBE Compliance Plans. Any MBE/WBE Compliance Plan that reasonably ensures compliance with the Aggregate Utilization Rate requirement shall be approved.

2.Impossibility of Compliance. Where the Bidder has proved that for reasons beyond its control, compliance with the Aggregate Utilization Rate requirement is impossible, the MBECO may approve an MBE/WBE Compliance Plan that ensures compliance with an MBE/WBE utilization rate of less than the Aggregate Utilization Rate. To prove impossibility of compliance, the Bidder must demonstrate the following:

a.The Bidder is making all appropriate good faith efforts as listed in § 2.8(G)(4) of this Part to increase MBE/WBE participation to the Aggregate Utilization Rate level.

b.Despite the Bidder’s efforts, the Bidder’s MBE/WBE Compliance Plan represents a reasonable exception to the Aggregate Utilization Rate due to valid reasons such as the lack of availability and/or willingness of qualified MBEs/WBEs to work on the contract.

3.Revised Plan. If the MBECO does not approve the MBE/WBE Compliance Plan that the Bidder has initially submitted, the Bidder, after consulting with the MBECO, shall present a revised plan to the MBECO for review.

4Reconsideration. Within five business days of having its MBE/WBE Compliance Plan denied by the MBECO, the Bidder may appeal to the Associate Director of ODEO for reconsideration. All appeals must be in writing and addressed to the Associate Director of ODEO, One Capitol Hill, 3rd Floor, Providence, RI 02908. A written reconsideration decision will be issued by the Associate Director of ODEO within thirty (30) business days of receipt provided that the Associate Director of ODEO may extend such time upon good cause.

5.Failure to Have an Approved Plan. A Bidder’s failure to have an approved MBE/WBE Compliance Plan constitutes non-compliance with the provisions of R.I. Gen. Laws Chapter 37-14.1.

G.Continuing Disclosure

1.On-Site Inspections. The Division, ODEO and the Using Agency’s MBE/WBE Coordinator are permitted to periodically conduct on-site inspections to determine compliance with the provisions of R.I. Gen. Laws Chapter 37-14.1 and § 2.8 of this Part. The Division, ODEO, or the Using Agency’s MBE/WBE Coordinator may require a Bidder to furnish copies of purchase orders, subcontracts, cancelled checks, and other records needed to substantiate a Bidder’s compliance with its approved MBE/WBE Compliance Plan.

2.Change Orders. If during the life of the contract or project, a change order is issued by the Division, the Proposer shall notify the ODEO of the change as soon as reasonably possible. Proposers must submit to the ODEO a revised MBE/WBE Compliance Plan consistent with achieving the Aggregate Utilization Rate on any change order amounts.

3.Notice of Failure. If a Bidder fails to meet the requirements outlined in its approved MBE/WBE Compliance Plan, it shall explain to the Division, in writing, why the requirements could not be met and why meeting the requirement was beyond the Bidder’s control.

4.Good Faith Waivers. The Division in consultation with the ODEO may issue a good faith waiver which shall exempt the Bidder from meeting its MBE/WBE requirements. To determine whether a Bidder has a good faith reason for failing to meet its requirements, the Division may consider, among other factors:

a.Whether the Bidder attended any pre-solicitation or pre-bid meetings that were scheduled by the Division to inform MBEs/WBEs of contracting or subcontracting opportunities;

b.Whether the Bidder advertised in general circulation, trade association, and minority focus media concerning the subcontracting opportunities;

c.Whether the Bidder provided written notice to a reasonable number of specific MBEs/WBEs that their interest in a contract was being solicited, in sufficient time to allow the MBEs/WBEs to participate;

d.Whether the Bidder followed up with MBEs/WBEs that showed an initial interest by contacting the firms to determine whether they were interested;

e.Whether the Bidder selected portions of work to be performed by MBEs/WBEs in order to increase the likelihood of meeting MBE/WBE participation requirements (including, where appropriate, breaking down contracts into economically feasible units to facilitate MBE/WBE participation);

f.Whether the Bidder provided interested MBEs/WBEs with adequate information about the plans, specifications and requirements of the contract;

g.Whether the Bidder negotiated in good faith with interested MBEs/WBEs;

h.Whether the Bidder made suggestions to interested MBEs/WBEs to assist them in obtaining bonding, lines of credit, or insurance required by the Bidder;

i.Whether the Bidder effectively used the services of available minority community organizations, minority contractors’ groups, local, state, and federal minority business assistance offices; and other organizations that provide assistance in the recruitment and placement of MBEs/WBEs.

5.Remedial Action. If the Bidder does not make such an explanation, or if the Division determines that the Bidder’s explanation does not justify its failure to meet the requirements in its approved MBE/WBE Compliance Plan, the Division may direct the Bidder to take appropriate remedial action. Failure to take remedial action directed by the Division constitutes non-compliance with the provisions of R.I. Gen. Laws Chapter 37-14.1 and the Bidder shall be subject to the sanctions as prescribed in R.I. Gen. Laws § 37-14.1-8.

H.Concurrent Compliance with Federal Law. The Aggregate Utilization Rate requirements set forth in § 2.8 of this Part can be satisfied concurrently with similar requirements mandated under federal law.

I.Exceeding Lowest Bid by Five Percent. Nothing in § 2.8 of this Part shall be construed to require the award of a contract to an MBE/WBE whose bid exceeds the lowest bid by five percent (5%). Nothing in § 2.8 of this Part shall be construed to require the acceptance of non-conforming goods or services.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.9 Standard Forms

The ODEO in consultation with the Division and the Governor’s Commission on Disabilities is authorized to develop, adopt, and publish uniform documents and standard forms as the ODEO deems appropriate to ensure consistency in effectuating these Regulations.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.10 RFP/RFQ Language

All solicitations covered by these Regulations should include language that references R.I. Gen. Laws Chapters 37-14.1 and 37-2.2.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.11 Recordkeeping

State Agencies shall keep records relating to the utilization of ISBEs for each of their solicitations and resulting contracts. The records shall include at a minimum the name of the Proposer or Bidder that is awarded the contract, the name of each ISBE that subcontracts with the Proposer or Bidder, the subcategory of each ISBE (i.e. WBE, MBE, Disability Business Enterprise), any additional MBE/WBE subcategories that have established Sub Goals, the dollar value that corresponds with each subcontract, the Proposer’s proposed ISBE Participation Rate, the Bidder’s proposed MBE/WBE utilization rate as indicated in the Bidder’s approved MBE/WBE Compliance Plan, the Proposer’s actual ISBE Participation Rate, and the Bidder’s actual MBE/WBE utilization rate. State agencies shall complete and submit all standard forms adopted pursuant to § 2.9 of this Part and shall report such information to the ODEO and the Governor’s Commission on Disabilities on an annual basis or as requested by the ODEO or the Governor’s Commission on Disabilities.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

220-RICR-80-10-2 § 2.12 Amendments

The Regulations may be rescinded or amended from time to time with the approval of the Director. Any amendments must be promulgated by the Department of Administration on behalf of the Director in accordance with the “Administrative Procedures Act”, R.I. Gen. Laws Chapter 42-35.

History

• Periodic Refile — effective from 2022-01-04 to current
• Technical Revision — effective from 2017-04-20 to 01/04/2022
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Technical Revision — effective from 2017-04-20 to 04/20/2017
• Adoption — effective from 2017-04-20 to 04/20/2017

Chapter 90 Health Benefits Exchange

Subchapter 00

220-RICR-90-00-1 Rules and Regulations Pertaining to HealthSource RI

220-RICR-90-00-1 § 1.1 Purpose

A.The purpose of these Regulations is to establish certain Rules governing:

1.Individual eligibility for enrollment in a Qualified Health Plan;

2.Individual eligibility for receipt of advance payments of the premium tax credit and cost sharing reductions;

3.Enrollment of qualified individuals in a Qualified Health Plan;

4.Initial open enrollment, annual open enrollment and special enrollment periods for qualified individuals;

5.Premium payments and termination of coverage for qualified individuals;

6.Eligibility for Minimum Essential Coverage exemptions;

7.The operation of a SHOP Exchange, including enrollment of qualified employers and qualified employees into Qualified Health Plans;

8.A mechanism for handling all Rhode Island Health Benefits Exchange Appeals; and

9.Establishment of a trust to facilitate the collection and payment of premiums to Qualified Health Plan issuers and the receipt of payments for such products and services as may be offered by and/or through the Exchange related to the goals of improving the health, wellbeing and outcomes of all Rhode Islanders.

B.Exchange Functions

The Exchange carries out the functions described in 45 C.F.R. Part 155, incorporated below at § 1.3 of this Part.

C.Additional Guidance

Policies and procedures for implementation of these Regulations may be established in manuals and other documents promulgated by the Exchange.

D.Relation to Other Laws

Nothing in these Regulations shall preempt or otherwise conflict with any applicable State and Federal laws and Rules.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.2 Authority

A.This Part is promulgated pursuant to the authority set forth in R.I. Gen. Laws Chapter 42-157; R.I. Gen. Laws §§ 44-30-101; and 42-7.2-1 et seq.; Pub. Law 111-148, the Patient Protection and Affordable Care Act (ACA), as amended by Pub. Law 111-152, the Federal Health Care and Education Reconciliation Act of 2010, and any amendments to, or Regulations or guidance issued under those Acts.

B.§ 1311 of the ACA provides legal authority for States to establish health insurance exchanges. Health insurance exchanges are designed to provide affordable health insurance to eligible individuals and small businesses through Qualified Health Plans (QHPs). The Exchange will operate a Small Business Health Options Program (SHOP), which permits employers to obtain group health insurance coverage for their employees. Certain employers that purchase coverage through a SHOP are eligible for a Federal small business premium tax credit.

C.Pursuant to the provisions of R.I. Gen. Laws §§ 42-35-3(a)(3) and 42-35.1-4, consideration was given to: alternative approaches to the Regulations; duplication or overlap with other State Regulations; and significant economic impact on small business.

D.Based upon available information, no known alternative approach, duplication or overlap was identified.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.3 Incorporated Materials

These Regulations hereby adopt and incorporate 45 C.F.R. Parts 155, 156 and 157 (2022) and 26 C.F.R. § 1.36B (2022) by reference, not including any further editions or amendments thereof and only to the extent that the provisions therein are not inconsistent with these Regulations.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.4 Definitions

A.Wherever used in this Part, the following terms shall be construed as follows:

1.“Act” or “ACA” means Pub. Law 111-148, the Federal Patient Protection and Affordable Care Act as amended by Pub. Law 111-152, the Health Care and Education Reconciliation Act of 2010, and all Rules promulgated thereunder.

2.“Advance payments of the premium tax credit” or “APTCs” means payments of the tax credits specified in 26 U.S.C. § 36B which are provided on an advance basis to an eligible individual enrolled in a Qualified Health Plan through the Exchange.

3.“Annual open enrollment period” means the period during which a qualified individual may enroll in coverage through the Exchange for an upcoming Benefit Year.

4.“Applicant” means an individual who is seeking eligibility for him or herself or for members of his or her household through an application submitted to the Exchange for at least one (1) of the following:

a.Enrollment in a Qualified Health Plan;

b.Advance payments of the premium tax credit and cost sharing reductions;

c.Medicaid or “CHIP,” if applicable;

d.An employer or employee seeking eligibility for enrollment in a Qualified Health Plan through SHOP where applicable; or

e.Exemption from the individual responsibility penalty or the shared responsibility payment penalty.

5.“Benefit year” means a calendar year for which a health plan provides coverage for health benefits.

6.“Cost sharing reductions” or “CSRs” means reductions in cost sharing for an eligible individual enrolled in a silver level plan, as defined by § 1302(d)(1)(B) of the ACA, in the Exchange or for an individual who is an Indian enrolled in a Qualified Health Plan through the Exchange.

7.“Dependent” means any individual who is or who may become eligible for coverage under the terms of a Qualified Health Plan because of a relationship to a qualified individual or enrollee.

8.“Eligibility appeals” means appeals from an eligibility decision made by the Exchange in accordance with R.I. Gen. Laws § 42-157-12 and 45 C.F.R. § 155.505, incorporated above at § 1.3 of this Part, including:

a.An initial determination of eligibility, including the amount of APTCs and the level of CSRs, made in accordance with standards specified in 45 C.F.R. §§ 155.305(a) through (h), incorporated above at § 1.3 of this Part;

b.A redetermination of eligibility, including the amount of APTCs and level of CSRs, made in accordance with 45 C.F.R. §§ 155.330 and 155.335, incorporated above at § 1.3 of this Part;

c.The failure by the Exchange to make such eligibility determination or redetermination in a timely manner; and

d.A termination from QHP coverage or disenrollment from a QHP made by the Exchange in accordance with 45 C.F.R. § 155.430, incorporated above at § 1.3 of this Part.

9.“Enrollee” means a qualified individual or qualified employee enrolled in a QHP.

10.“EOHHS” means the Rhode Island Executive Office of Health and Human Services.

11.“Exchange” means the Rhode Island Health Benefits Exchange, doing business as HealthSource RI.

12.“Exchange appeals” means Eligibility Appeals, Exemption Appeals, Large Employer Appeals, and SHOP Appeals, as defined in these Regulations.

13.“Exemption appeals” means appeals from a determination of eligibility for an exemption from the Individual Responsibility Penalty (IRP) made by the Exchange in accordance with § 1311(d)(4)(H) of the ACA or from the shared responsibility payment penalty made by the Exchange in accordance with R.I. Gen. Laws § 42-157-11.

14.“Federal regulations” means the regulations promulgated under the Act at 45 C.F.R. Parts 155, 156 and 157, incorporated above at § 1.3 of this Part.

15.“FPL” means the most recently published Federal Poverty Level guidelines available as of the first (1st) day of the annual open enrollment period for coverage offered through the Exchange.

16.“HHS” means the United States Department of Health and Human Services.

17.“Indian” has the same meaning as the definition of Indian given in 45 C.F.R. § 155.300, incorporated above at § 1.3 of this Part.

18.“Individual responsibility penalty” means the tax penalty associated with the failure of certain individuals to carry minimum essential coverage in accordance with the Internal Revenue Code, 26 U.S.C. § 5000A.

19.“Issuer agreement” means the agreement between the QHP issuer and the Exchange that satisfies all applicable requirements of the Federal Regulations.

20.“Large employer appeals” means appeals from a determination that an employer does not provide minimum essential coverage through an employer-sponsored plan or that the employer does provide that coverage, but it is not affordable with respect to an employee, as further set forth in 45 C.F.R. § 155.555, incorporated above at § 1.3 of this Part.

21.“Lawfully present” has the same meaning given to the term in 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part.

22.“Limited cost sharing plan” means, with respect to a QHP at any level of coverage, the variation of such QHP described in 45 C.F.R. § 156.420(b)(2), incorporated above at § 1.3 of this Part.

23.“Premium” means the payment required to be paid for an enrollee to participate in a Qualified Health Plan.

24.“Qualified employee” means an individual employed by a qualified employer who has been offered health insurance coverage by such qualified employer through the SHOP.

25.“Qualified employer” means an employer that is eligible to participate in the SHOP Exchange and elects to make available health coverage to its employees through the SHOP Exchange.

26.“Qualified health plan” or “QHP” means a health plan that has in effect a certification that it meets the standards described in 45 C.F.R. Part 156 Subpart C and such additional standards that may be prescribed, issued or recognized by the Exchange in accordance with the process described in 45 C.F.R. Part 155 Subpart K, incorporated above at § 1.3 of this Part.

27.“Qualified individual” means, with respect to an Exchange, an individual who has been determined eligible to enroll through the Exchange in a Qualified Health Plan in the individual market.

28.“Regulations” mean all parts of the Rules and Regulations Pertaining to HealthSource RI.

29.“R.I. Gen. Laws” means the General Laws of Rhode Island, as amended.

30.“Shared responsibility payment penalty” means the penalty associated with the failure of certain individuals to carry minimum essential coverage in accordance with R.I. Gen. Laws § 44-30-101.

31.“SHOP appeals” means appeals by employers or employees of determinations of eligibility for the SHOP Exchange made by the Exchange in accordance with 45 C.F.R. § 155.715, incorporated above at § 1.3 of this Part, including the failure of the Exchange to make such eligibility determinations in a timely manner.

32.“SHOP exchange” means the Small Business Health Options Program in accordance with § 1311(b)(1)(B) of the ACA and 45 C.F.R. Part 155 Subpart H, incorporated above at § 1.3 of this Part, through which a qualified employer may provide its employees and their dependents participation in one (1) or more QHPs.

33.“Special enrollment period” means a period during which a qualified individual or enrollee who experiences certain qualifying events may enroll in, or change enrollment in, a Qualified Health Plan through the Exchange outside of the initial and annual open enrollment periods.

34.“Trust” means the HealthSource RI Trust established by the Exchange.

35.“Zero cost sharing plan” means, with respect to a QHP at any level of coverage, the variation of such QHP described in 45 C.F.R. § 156.420(b)(1), incorporated above at § 1.3 of this Part.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.5 Qualified Health Plan Eligibility and Enrollment

A.In General – § 1311 of the ACA establishes exchanges to facilitate the purchase of Qualified Health Plans. § 1311 and its implementing regulations, 45 C.F.R. §§ 155.305 and 155.400, incorporated above at § 1.3 of this Part, respectively, establish eligibility requirements and requirements for enrollment in a Qualified Health Plan.

B.Eligibility for Enrollment in a QHP through the Exchange – The Exchange shall determine an applicant eligible for enrollment in a Qualified Health Plan if he or she meets the requirements in 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part, including the following requirements:

1.Citizenship, status as a national, or lawful presence. Is a citizen, or national of the United States, or is a non-citizen who is lawfully present in the United States and is reasonably expected to be a citizen, national or a non-citizen who is lawfully present for the entire period for which enrollment is sought;

2.Incarceration. Is not incarcerated, other than incarceration pending the disposition of charges;

3.Residency. Meets the applicable residency standards as defined in 45 C.F.R. § 155.305(a)(3), incorporated above at § 1.3 of this Part.

C.QHP Selection – The Exchange shall accept a Qualified Health Plan selection from an applicant determined eligible for enrollment in a QHP. The Exchange shall notify the issuer of the applicant’s selected QHP and transmit information necessary to enable the QHP issuer to enroll the applicant.

D.QHP Enrollment – Enrollment of a qualified individual in a QHP shall be limited to the annual open enrollment period, or a special enrollment period.

E.Appeals – An applicant has the right to an appeal of an eligibility determination pursuant to the appeals process as described in these Regulations and as may be set forth in 210-RICR-10-05-2, Appeals Process and Procedures for EOHHS Agencies and Programs.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.6 Annual Open Enrollment and Special Enrollment Periods

A.In General – § 1311 of the ACA and its implementing regulations, 45 C.F.R. §§ 155.410 and 155.420, incorporated above at § 1.3 of this Part, and R.I. Gen. Laws § 42-157-12 establish requirements for annual open enrollment, and special enrollment periods for Qualified Health Plans.

B.Annual Open Enrollment Period

1.The Exchange will establish the annual open enrollment period and shall provide a minimum of one hundred twenty (120) days advance public notice prior to its first (1st) day.

2.Annual Open Enrollment Periods as established by the Exchange shall last a minimum of thirty (30) days.

C.Annual Open Enrollment Period Coverage Effective Dates

1.Qualified individuals must select a QHP and the Exchange must receive the first (1st) month’s premium in full by the payment deadlines established by the Exchange in order to effectuate coverage.

2.The Exchange shall establish a deadline relative to the Annual Open Enrollment Period by which a qualified individual’s first (1st) month’s premium must be received in order to make coverage effective as of the first (1st) day of the Benefit Year.

D.Special Enrollment Periods – The Exchange shall provide special enrollment periods consistent with 45 C.F.R. § 155.420, incorporated above at § 1.3 of this Part, and R.I. Gen. Laws § 42-157-12, during which qualified individuals may enroll in Qualified Health Plans and enrollees may change Qualified Health Plans.

1.Triggering Events

The Exchange will allow a qualified individual or enrollee, and, when specified below, his or her dependent, to enroll in or change from one (1) QHP to another if one (1) of the triggering events defined in 45 C.F.R. § 155.420(d), incorporated above at § 1.3 of this Part, or R.I. Gen. Laws § 42-157-12 occurs. The Exchange shall also have the authority to define other triggering events not otherwise specified in 45 C.F.R. § 155.420(d), incorporated above at § 1.3 of this Part.

2.Effective Dates

Except as specified in 45 C.F.R. §§ 155.420(b)(2) and (3), incorporated above at § 1.3 of this Part, the Exchange shall establish a monthly deadline by which a qualified individual enrolling during a special enrollment period must select a QHP and the Exchange must receive the first (1st) month’s premium in full by the payment deadlines established by the Exchange in order to make coverage effective on the first (1st) day of the following month. The Exchange shall make coverage effective on the first (1st) day of the second (2nd) following month for a qualified individual not meeting the monthly deadline.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.7 Eligibility and Special Rules on the Advanced Payments of the Premium Tax Credit and Cost Sharing Reductions

A.Advanced Payments of the Premium Tax Credit

1.In General – § 1401 of the ACA creates a new § 36B of the Internal Revenue Code (the Code, U.S.C. Title 26), which provides for a premium tax credit for eligible individuals who enroll in a QHP through an Exchange. § 1402 of the ACA establishes provisions aimed at reducing the cost-sharing obligations of certain eligible individuals enrolled in a QHP offered through an Exchange, including standards for determining Indians eligible for certain categories of cost-sharing reductions. The ACA and its implementing regulations, found in 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part, authorize the Exchange to determine qualified individuals’ eligibility for advance payments of the premium tax credits. In order to qualify for advance payments of the premium tax credits, an applicant must meet both the eligibility requirements to enroll in a Qualified Health Plan as described at § 1.5 of this Part and the eligibility requirements for the advance payment of premium tax credits as described in this section and 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part. An applicant determined eligible for a premium assistance amount may elect not to take the full monthly premium assistance amount for which he or she is determined eligible. The amount of the premium tax credit the applicant should have received over the course of the Benefit Year will be reconciled when the applicant files a tax return for that year.

2.Eligibility for Advance Payments of the Premium Tax Credit – The Exchange shall find an applicant eligible for advance payments of the premium tax credit if the Exchange determines that he or she meets the criteria in 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part, including the following:

a.He or she is expected to have a household income, as defined in the Internal Revenue Code, 26 U.S.C. § 36B(d)(2), of greater than or equal to one hundred percent (100%) of the FPL and less than four hundred percent (400%) of the FPL for the Benefit Year for which coverage is requested; and

b.He or she plans to file a Federal tax return, and, if married, to file a joint return, for the Benefit Year;

c.He or she may not be claimed by another tax filer as a tax dependent under the Internal Revenue Code, 26 U.S.C. § 151.

3.Individuals for Whom a Premium Assistance Amount Can be Provided – An applicant will be eligible for a premium assistance amount only for a month that one (1) or more members of the tax filer’s family (the tax filer or the tax filer’s spouse or tax dependent) meet the following criteria:

a.Are enrolled in one (1) or more QHPs; and

b.Are not eligible for minimum essential coverage as defined in 26 C.F.R. § 1.36B-2(c), incorporated above at § 1.3 of this Part, other than individual market coverage described in the Internal Revenue Code, 26 U.S.C. § 5000A(f)(1)(C).

4.Special Rule for Non-Citizens Who are Lawfully Present Immigrants and Who Are Ineligible for Medicaid by Reason of Immigration Status – In accordance with 45 C.F.R. § 155.305(f)(2), incorporated above at § 1.3 of this Part, lawfully present immigrants who are ineligible for Medicaid based on immigration status and whose household income is below one hundred percent (100%) of the FPL shall be eligible for an APTC if they meet all other eligibility requirements for advance payments of the premium tax credit.

5.Calculation of Advance Payments of the Premium Tax Credit – The Exchange shall calculate any applicant’s advance payment of the premium tax credit in accordance with the requirements of 26 C.F.R. § 1.36B-3, incorporated above at § 1.3 of this Part.

6.Appeals – An applicant has the right to an appeal of an eligibility determination based on this section and pursuant to the appeals process as described in § 1.14 of this Part and as set forth in 210-RICR-10-05-2, Appeals Process and Procedures for EOHHS Agencies and Programs, if applicable.

B.Cost Sharing Reductions

1.In General – § 1401 of the ACA and its implementing regulations, 45 C.F.R. § 155.305, incorporated above at § 1.3 of this Part, establish eligibility requirements for an applicant to receive cost sharing reductions. To receive cost sharing reductions, an applicant must meet the eligibility requirements to enroll in a Qualified Health Plan as described in § 1.5(B) of this Part, the eligibility requirements for the advance payments of a premium tax credit as described at § 1.7(A) of this Part, and the eligibility requirements as described in § 1.7(B) of this Part.

2.Eligibility Criteria – The Exchange will determine an applicant eligible for cost-sharing reduction if he or she:

a.Is expected to have household income, as defined in the Internal Revenue Code, 26 U.S.C. § 36B(d)(2), that does not exceed two hundred fifty percent (250%) of the FPL for the Benefit Year for which coverage is requested; and

b.Meets the eligibility criteria for enrollment in a QHP; and

c.Meets the eligibility criteria for an advance payment of a premium tax credit.

3.Provided Only to Enrollees in a Silver Level Qualified Health Plan – With the exception of Indians, the Exchange will provide cost-sharing reductions only to enrollees who enroll in a silver level Qualified Health Plan as defined by § 1302(d)(1)(B) of the ACA.

4.Use of Eligibility Categories – The Exchange will use the CSR eligibility categories set forth in 45 C.F.R. § 155.305(g), incorporated above at § 1.3 of this Part.

5.Special Rule for Lawfully Present Immigrants Below One Hundred Percent (100%) FPL – The Exchange will follow the Federal Rule set forth in 26 C.F.R. § 1.36B-2, incorporated above at § 1.3 of this Part, for lawfully present immigrants with income below one hundred percent (100%) FPL who are eligible for a cost-sharing reduction.

6.Special Rules for Indians – The Exchange will follow the special Rules for Indians as set forth in 45 C.F.R. § 155.350, incorporated above at § 1.3 of this Part.

a.The Exchange will find Indians with expected household income equal to or less than three hundred percent (300%) of the FPL, who are eligible for an APTC, and who enroll in a QHP, eligible for a zero cost-sharing plan.

b.The Exchange will find Indians who apply for an insurance affordability program eligible for the limited cost-sharing plan regardless of their income level.

7.Special Rule for Multiple Tax Households – To the extent that enrollment in a QHP includes individuals who expect to be in different tax households, the Exchange will apply only the category of eligibility last listed below for which all the individuals covered by the policy would be eligible:

a.No cost sharing reduction

b.Limited cost-sharing reduction plan (for Indians)

c.Category 3 cost-sharing reduction plan (for two hundred one percent (201%) FPL to two hundred fifty percent (250%) FPL)

d.Category 2 cost-sharing reduction plan (for one hundred fifty-one percent (151%) FPL to two hundred percent (200%) FPL)

e.Category 1 cost-sharing reduction plan (for one hundred percent (100%) FPL to one hundred fifty percent (150%) FPL)

f.Zero cost-sharing reduction plan (for Indians below three hundred one percent (301%) FPL)

8.Appeals. An applicant has the right to an appeal of an eligibility determination based on this section and pursuant to the appeals process as described in § 1.14 of this Part and as set forth in 210-RICR-10-05-2, Appeals Process and Procedures for EOHHS Agencies and Programs, if applicable.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.8 Application and Renewal Process

A.Integrated Eligibility System – In September 2016, the State of Rhode Island implemented its new Integrated Eligibility System (IES) which has the capacity to cross-walk with the agency that administers the State’s Medicaid program, EOHHS, and, through a single application process, evaluate eligibility for QHP and publicly financed health coverage. This section focuses on the application and renewal processes that have been established in conjunction with the implementation of the IES.

B.Access Points – The State is committed to pursuing a “No Wrong Door” policy that offers individuals multiple application and renewal access points which all lead to the State’s IES.

1.Self-Service – Individuals seeking initial or continuing eligibility have the option of accessing the eligibility system online using a self-service portal through links on the HealthSource RI (healthsourceri.com) Executive Office of Health and Human Services (eohhs.ri.gov) and Department of Human Services (dhs.ri.gov) websites.

2.Assisted Service – Individuals may also apply on paper and submit forms via mail to the address specified thereon or deliver in person to HealthSource RI’s walk-in center.

3.Individuals may also visit the HealthSource RI walk-in center or contact the HealthSource RI contact center directly for assistance with an application.

C.Automatic Renewal Process – An individual enrolled in a QHP will receive notice prior to the end of each Benefit Year indicating whether their health insurance coverage can be automatically renewed for the following Benefit Year. If the individual’s health insurance coverage can be automatically renewed, then the individual’s notice will include the matched plan and estimated cost for the coverage. Individuals must make payment in full by the relevant payment deadlines, as established by the Exchange, for the health insurance plan to become effective in the new Benefit Year. If the individual/family misses the payment deadline for the first (1st) month of the upcoming Benefit Year, their application will be cancelled and coverage will not effectuate.

1.Notwithstanding the other provisions of this section, HealthSource RI will not automatically renew individuals such that coverage in their new plan, as compared to their existing plan, adds or eliminates comprehensive coverage for abortion services, as defined in 45 C.F.R. § 156.280(d)(1), which is incorporated above at § 1.3 of this Part. Individuals who are not automatically renewed as a result of this subsection will be sent a notice, in coordination with their annual open enrollment notice, that provides an explanation regarding the reason they have not been automatically renewed and detail the steps they will need to take in order to select a plan for the upcoming year. This notice will also provide a list of plans that do and do not cover comprehensive abortion services.

D.Direct Transition from Medicaid to QHP following the COVID-19 Public Health Emergency – The Exchange will automatically enroll eligible individuals who lose Medicaid in accordance with this section.

1.Eligibility – An individual is eligible for automatic enrollment under § 1.8(D) of this Part if the individual is:

a.Disenrolled from Medicaid after the end of the COVID-19 Public Health Emergency or the end of the continuous enrollment condition established under § 6008(b)(3) of the Families First Coronavirus Relief Act of 2020, whichever comes first;

b.Eligible for a special enrollment period under 45 C.F.R. § 155.420(d)(1);

c.Redetermined eligible for APTCs and CSRs by the Exchange; and

d.Has a household income, as defined in 26 C.F.R. § 1.36B-1(e), that is expected to be under two hundred percent (200%) of the FPL at the time of redetermination.

2.Plan Assignment and APTC Authorization – Upon determination that an individual is eligible for automatic enrollment under § 1.8(D) of this Part, the Exchange may use the available information in the IES to authorize APTCs on behalf of the applicable tax filer and, at the option of the Exchange, automatically enroll the individual or individuals in either:

a.The second (2nd) lowest cost silver plan available through the Exchange; or

b.A silver level plan offered by the eligible individual’s previous Medicaid managed care plan issuer and available through the Exchange or, if no such plan exists, a similar plan available through the Exchange.

3.Payment of the First and Second Month’s Premium and Coverage Effectuation – The Exchange may utilize funds appropriated from the State Fiscal Recovery Fund to the Exchange or funds otherwise appropriated by the Rhode Island General Assembly to the Exchange to pay the first (1st) and second (2nd) month’s premium for an individual who:

a.Meets the eligibility requirements under §§ 1.8(D)(1)(a) and (c) of this Part;

b.Has a household income, as defined in 26 C.F.R. § 1.36B-1(e), that is expected to be less than or equal to two hundred fifty percent (250%) FPL; and is either

c.Automatically enrolled in a QHP available through the Exchange; or

d.Actively selects a QHP and/or dental plan available through the Exchange with an effective date less than five (5) months later than the last day that the individual had coverage under his or her previous Medicaid managed care plan, provided that the individual is eligible for a special enrollment period under 45 C.F.R. § 155.420 at the time of plan selection.

4.Premium Payment Applied After APTCs – The Exchange shall limit premium payment under § 1.8(D)(3) of this Part to the portion of the premium owed after APTCs have been applied. If an individual elects to accept less than the full amount of APTCs for which the individual is determined eligible under 45 C.F.R. § 155.310(d)(2), the Exchange will not utilize funds under § 1.8(D)(3) of this Part to pay that portion of the premium.

5.Coverage Effective Dates – For an individual who is automatically enrolled, QHP coverage under § 1.8(D) of this Part will be effective the day after the last day the individual had coverage under his or her previous Medicaid managed care plan.

6.Opt Out – An eligible individual may choose to opt out of automatic enrollment under § 1.8(D) of this Part for up to sixty (60) days after the last day the individual had coverage under his or her previous Medicaid managed care plan. If an individual elects to opt out, the individual’s QHP enrollment will be cancelled. The Exchange will then inform the individual that services received in the cancelled period will not be covered.

7.Notice – The Exchange will provide an eligible individual who is automatically enrolled under § 1.8(D) of this Part with a notice or notices that include the following information:

a.The QHP in which the individual is enrolled;

b.The individual’s QHP coverage effective date;

c.The individual’s APTC eligibility;

d.The individual’s right to select another available plan and any relevant deadlines for that selection; and

e.The individual’s right to opt out of automatic enrollment as permitted by § 1.8(D)(6) of this Part.

8.Notice Timing – The Exchange will provide the notice required by § 1.8(D)(7) of this Part as soon as reasonably practical, but in no event later than the day before an eligible individual’s QHP coverage begins.

9.Duration of Program – The automatic enrollment and premium payment program under § 1.8(D) of this Part will be available to eligible individuals for up to fourteen (14) months after the month in which the continuous enrollment condition ends, consistent with the Center for Medicaid and CHIP Services Information Bulletin issued by the Centers for Medicare and Medicaid Services on January 5, 2023. If the Centers for Medicare and Medicaid Services extends the timeframe beyond fourteen (14) months, the Exchange may make this automatic enrollment and premium payment program available to qualified individuals during the extended period.

10.Availability of Funds – Notwithstanding §§ 1.8(D)(1), (3) and (9) of this Part, the Exchange may uniformly restrict or otherwise reduce eligibility for automatic enrollment and premium payment in the case of limited funding availability.

11.Termination of Program Due to Increase in Required Contribution Percentage under § 36B(b)(3)(A) of the Internal Revenue Code – Notwithstanding §§ 1.8(D)(1), (3) and (9) of this Part, the Exchange may terminate this automatic enrollment and premium payment program if an individual whose household income is expected to be no greater than one hundred fifty percent (150%) FPL is required to contribute an amount greater than zero (0) for purposes of calculating the premium assistance amount, as defined in § 36B(b)(3)(A) of the Internal Revenue Code.

12.Alternate Income Verification Process – The Exchange must determine an individual’s income eligibility for the program established under § 1.8(D) of this Part, as well as for APTCs and for CSRs, based on the data available to the Exchange from the State Wage Information Collection Agency if:

a.The individual did not complete the Medicaid renewal form required by 42 C.F.R. §§ 435.916 and 457.343 in the timeframe required by the Rhode Island Medicaid agency;

b.The Exchange determines that the individual’s application attestation regarding annual household income for the applicable Benefit Year is not reasonably compatible with the data available to the Exchange from the State Wage Information Collection Agency;

c.The data available to the Exchange from the State Wage Information Collection Agency indicates that the individual’s annual household income is expected to be greater than or equal to one hundred percent (100%) FPL for the applicable Benefit Year; and

d.The individual otherwise meets the eligibility requirements specified in § 1.8(D)(1) of this Part.

13.Appeals – An individual has the right to an appeal of an eligibility determination based on this section pursuant to the appeals process described in these Regulations and , Appeals Process and Procedures for EOHHS Agencies and Programs, if applicable.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.9 Applying for Coverage

A.In general, the process of completing and submitting an application proceeds in accordance with the following:

1.Account Creation – To initiate the application process, an individual must create a login and establish an account in the eligibility system. This can be done through the self-service portal by the person alone or with the help of an eligibility specialist or certified assister.

2.Identity Proofing – The applicant must provide personally identifiable information for the purpose of creating an online account as a form of identity proofing during the process of applying for health coverage. Verification of this information is automated. Documentation proving identity may be required if the automated verification process is unsuccessful. Acceptable forms of identity proof include a driver’s license, school registration, voter registration card, etc. Documents may be submitted via mail, online upload, or delivered to the HealthSource RI contact center.

3.Account Matches – Once identity is verified, account matches are conducted to determine whether the applicant or members of the applicant’s household have other accounts or are currently receiving benefits.

4.Application Submission – An Individual must submit a signed and completed application in order to receive an eligibility determination for health coverage. All signatures required from an applicant to complete an application may be obtained electronically. Any such electronic signature is valid and the legal equivalent of a signature obtained in another form. To submit an application for health coverage, individuals must agree to the terms contained therein.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.10 Termination of Coverage and Grace Periods

A.Termination of Coverage

1.In General – § 1412(c)(2) of the ACA, and its implementing regulation, 45 C.F.R. § 156.270, incorporated above at § 1.3 of this Part, establish a three (3) month grace period for non-payment of premium before coverage will be terminated for a qualified individual who is receiving advance payment of premium tax credits and has made at least one (1) full month’s premium payment during the Benefit Year. 45 C.F.R. § 155.430, incorporated above at § 1.3 of this Part, establishes procedures for termination of QHP coverage.

2.Termination of Coverage Due to Non-Payment of Premium – The Exchange shall establish a standard policy for the termination of coverage of enrollees due to non-payment of premiums. This policy for the termination of coverage:

a.Must include the grace period for enrollees receiving advance payments of the premium tax credits; and

b.Must be applied uniformly to enrollees in similar circumstances.

B.Grace Periods

1.Individuals Receiving an Advance Premium Tax Credit – The Exchange shall provide a grace period of three (3) consecutive months if an enrollee eligible to receive advance payments of the premium tax credit has previously paid at least one (1) full month’s premium during the Benefit Year.

2.Exhaustion of Grace Period – If an enrollee receiving advance payments of the premium tax credit exhausts the three (3) month grace period without paying all outstanding premiums, the Exchange shall terminate the enrollee’s coverage. Coverage is terminated with retrospective effect to the last day of the first (1st) month of the three (3) month grace period.

3.The QHP issuer must continue to pay claims during the first (1st) month of the grace period and may pend claims during the second (2nd) and third (3rd) months of the grace period.

4.The Exchange has the authority to extend a grace period on a case-by-case basis.

C.Qualified Health Plan Issuers May Not Terminate Coverage – If a Qualified Health Plan issuer believes coverage should be terminated, it must request a termination from the Exchange, in a manner prescribed by the Exchange.

D.Involuntary Termination – The Exchange may promptly initiate termination upon any of the following events:

1.The enrollee is no longer a qualified individual as determined based on information submitted by the enrollee or information obtained by the Exchange or whose eligibility changes such that they are eligible for a different QHP.

2.The enrollee dies.

3.Non-payment of premiums, after the exhaustion of any applicable grace period.

4.The QHP has been decertified, which constitutes a loss of Minimum Essential Coverage. The qualified enrollee will be given an opportunity to enroll in a new QHP pursuant to special enrollment periods set forth in § 1.6(D) of this Part.

5.The qualified individual selects a different QHP during an open or special enrollment period.

E.Voluntary Termination – The Exchange shall terminate enrollment at any time upon the request of an enrollee. Effective termination dates for voluntary termination shall be established by the Exchange.

F.Notice – The Exchange will provide an enrollee written notice of an involuntary termination that shall include the basis of the termination.

G.Effective Date of Termination

1.Voluntary terminations – Upon submitting a valid voluntary termination request, coverage shall terminate on the last day of the month in which the request is made. The Exchange has discretion to grant an earlier termination date, on a case-by-case basis.

2.Involuntary terminations – If the enrollee is no longer a qualified individual as determined upon receipt of information from the enrollee or information obtained by the Exchange, coverage will terminate in accordance with 45 C.F.R. § 155.430, incorporated above at § 1.3 of this Part.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.11 Minimum Essential Coverage Exemptions

A.In General – § 5000A of the Internal Revenue Code of 1986, 26 U.S.C. § 5000A, as added by the ACA, and R.I. Gen. Laws § 44-30-101 require that for each month during the taxable year, a non-exempt individual must have minimum essential coverage, as defined under the law, or pay a Federal individual responsibility penalty or State shared responsibility payment penalty, respectively.

1.The Exchange is authorized to issue exemptions from the individual responsibility penalty and the shared responsibility payment penalty.

2.With regard to exemptions from the individual responsibility penalty, the Exchange may rely on HHS for this purpose.

3.The Exchange must determine an individual’s eligibility for an exemption from the shared responsibility payment penalty in accordance with the applicable standards specified in 45 C.FR. § 155.605, incorporated above at §§ 1.3 and 1.11(B)(5) of this Part.

4.The Exchange will develop an application that applicants will be required to complete to apply for an exemption from the shared responsibility payment penalty. The application will request the minimum information necessary for the purposes of determining the applicant’s eligibility for an exemption.

5.Applicants requesting an exemption from the shared responsibility payment penalty must submit the application developed by the Exchange under § 1.11(A)(4) of this Part in a manner specified by the Exchange.

6.The Exchange contact center and web site shall provide information to consumers regarding the exemption eligibility process.

B.Exchange Exemption Eligibility Determination – Any application for an exemption from either the individual responsibility penalty or shared responsibility payment penalty submitted to the Exchange will be determined by the Exchange promptly and without undue delay.

1.To the extent applicable, the Exchange will use information already available to it, so as not to request duplicate information from the applicant, except that the Exchange may require an applicant to submit a separate exemption application if the individual is requesting an exemption from the shared responsibility payment penalty. Such separate exemption application may request duplicate information from the applicant.

2.An exemption applicant who has a Social Security Number must provide such number.

3.An individual who is not seeking an exemption for himself or herself need not provide a Social Security Number, except as required by 45 C.F.R. § 155.610(e)(3), incorporated above at § 1.3 of this Part.

4.Once the applicant’s eligibility for an exemption is approved pursuant to applicable exemption eligibility standards as defined in § 1.11(B)(5) of this Part and 45 C.F.R. § 155.605, incorporated above at § 1.3 of this Part, the Exchange will send the applicant a notice that will serve as the certificate of exemption. The notice will instruct the applicant to retain the certificate as proof of exemption. If the exemption is denied, the Exchange will send the applicant a notice containing instructions on how to appeal the denial.

5.In addition to the applicable eligibility standards defined in 45 C.F.R. § 155.605, incorporated above at § 1.3 of this Part, an individual may also be eligible for an exemption from the shared responsibility payment if he or she is a member of a religious sect or division thereof which is not described in 26 U.S.C. § 5000A, who relies solely on a religious method of healing, and for whom the acceptance of medical health services would be inconsistent with the religious beliefs of the individual.

a.Medical health services defined: For purposes of § 1.11(B)(5) of this Part, the term “medical health services” does not include routine dental, vision and hearing services, midwifery services, vaccinations, necessary medical services provided to children, or services required by law or by a third (3rd) party.

b.Attestation required: § 1.11(B)(5) of this Part shall apply to an individual for months in a taxable year only if the information provided by the individual under § 1.11(A)(5) of this Part includes an attestation that the individual has not received medical health services during the preceding taxable year.

6.An individual may claim the hardship exemption described in § 1.11(B)(6)(a) of this Part on a State of Rhode Island personal income tax return without obtaining an exemption certificate number from the Exchange.

a.An individual is eligible to claim an exemption from the shared responsibility payment penalty if, due to the direct impact of the 2019 Novel Coronavirus, the individual:

(1)Lost minimum essential coverage during the 2020 calendar year; and

(2)Suffered a hardship with respect to the capability to obtain coverage under a Qualified Health Plan during subsequent months in the 2020 calendar year.

b.The exemption described in § 1.11(B)(6)(a) of this Part applies to the months of April 2020 through December 2020 only; thus, individuals will only be able to claim the exemption on a State of Rhode Island personal income tax return for the 2020 tax year.

7.If the Exchange determines the applicant eligible for an exemption from the individual responsibility penalty, the Exchange will transmit to the Internal Revenue Service, the individual’s name, Social Security Number, exemption certificate number, and any other information required by the Internal Revenue Service.

8.If the Exchange determines the applicant eligible for an exemption from the shared responsibility payment penalty, the Exchange may transmit to the Rhode Island Division of Taxation the individual’s name, Social Security Number, exemption certificate number, and any other information required by the Rhode Island Division of Taxation.

9.The Exchange will attempt to verify information provided by the applicant in compliance with the requirements of 45 C.F.R. § 155.615, incorporated above at § 1.3 of this Part.

10.In accordance with R.I. Gen. Laws § 44-30-101(h), for purposes of determining eligibility for an exemption from the shared responsibility payment penalty, references to Federal laws and regulations shall be construed as references to Federal laws and regulations as in effect on December 15, 2017, including applicable administrative guidance that was in effect as of that date.

11.Appeals – An individual has the right to an appeal of an eligibility determination based on this section pursuant to the appeals process described in these Regulations and 210-RICR-10-05-2, Appeals Process and Procedures for EOHHS Agencies and Programs, if applicable.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.12 Agreements with Issuers

A.In General – The Exchange shall establish a certification process for all participating QHP Issuers.

B.Issuer Agreements – All QHP Issuers must enter an Issuer Agreement with the Exchange describing the issuer’s obligations with regard to offering products and/or services on the Exchange.

1.Issuer Agreements shall be negotiated on an annual basis and formed in advance of the annual open enrollment period for the upcoming Benefit Year.

2.QHPs offered through the Exchange pursuant to an Issuer Agreement may vary from year to year.

C.Issuer Guidance – All QHP Issuers should adhere to the provided guidelines for plan certification, describing the desired components and features of plans offered on the Exchange.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.13 SHOP Exchange

A.In General – § 1311(b)(1)(B) of the ACA and its implementing regulation, 45 C.F.R. Part 155 Subpart H, incorporated above at § 1.3 of this Part, provide for the establishment of a Small Business Health Options Program (SHOP) Exchange that is designed to assist qualified employers and to facilitate the enrollment of qualified employees into Qualified Health Plans.

B.Terms and Conditions – To participate in the SHOP Exchange, a qualified employer or a qualified employee must register with the Exchange and accept the terms and conditions for participation. The SHOP Exchange may from time to time modify such terms and conditions for participation in the SHOP Exchange.

C.SHOP Enrollment – A qualified employer or a qualified employee shall submit a signed application for coverage prior to receiving coverage through the SHOP Exchange. All signatures required from a qualified employer or a qualified employee to complete an enrollment application may be obtained electronically. Any such electronic signature is valid and the legal equivalent of a signature obtained in another form.

D.Agents and Brokers – The SHOP Exchange shall establish a process by which a qualified employer or qualified employee may designate an insurance agent or broker to act on his or her behalf in interactions with the SHOP Exchange.

1.In order to enroll qualified employers and qualified employees through the SHOP Exchange, the agent or broker must be certified to participate in the SHOP Exchange and must have established an account with the SHOP Exchange.

2.A qualified employer or qualified employee may designate an agent or broker electronically.

E.SHOP Premium Aggregation – The SHOP Exchange shall provide each qualified employer with a bill on a monthly basis that identifies the employer contribution, the employee contribution, and the total amount that is due to the Qualified Health Plan issuers from the qualified employer. The SHOP Exchange shall also collect from each employer the total amount due and make payments to Qualified Health Plan issuers in the SHOP for all enrollees.

F.Due Date – The SHOP Exchange shall establish a monthly deadline by which premium payments must be received in order to make coverage effective on the first (1st) day of the following month.

G.Grace Period – Qualified employers shall have a thirty (30) day premium non-payment grace period. If full payment is not received by the end of the grace period, the SHOP Exchange may terminate coverage effective on the last day of the grace period.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.14 Appeals

A.Designation of Exchange Appeals Entity – Any Exchange appeals other than Large Employer Appeals may be accepted, processed and adjudicated by EOHHS if, at such time as the appeal is filed, the Exchange has in effect a Memorandum of Agreement (MOA) designating EOHHS as the entity responsible for such appeals.

B.Procedures for Appeals Delegated to EOHHS by MOA – Specific requirements relating to the acceptance, processing, and adjudication of appeals by EOHHS shall be as set forth in 210-RICR-10-05-2, Appeals Process and Procedures for EOHHS Agencies and Programs.

C.Exchange appeals must be filed within thirty (30) days of the contested agency action. The thirty (30) days begins five (5) days after the mailing date of the notice of an agency action.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.15 Exchange Trust Payments

A.Establishment of Trust – The Exchange shall establish the Trust for the following purposes:

1.Collecting health and dental insurance premium payments from qualified employers and qualified individuals;

2.Remitting premium payments to QHP issuers on behalf of enrollees who participate in QHPs offered through the Exchange;

3.Performing functions ancillary to the collection and payment of premiums to Qualified Health Plan issuers and the receipt of payments for such products and services as may be offered through the Exchange; and

4.Carrying out any other functions that are reasonably necessary in furtherance of the foregoing and in accordance with the establishment and maintenance of the Trust.

B.Payments to the Trust – Qualified individuals and qualified employers may remit premium payments to the Exchange to maintain participation in a QHP in accordance with all requirements under the Act and the Federal Regulations.

1.Premium payments may be made in advance of the coverage month to which the payment applies.

2.The monthly premium payment deadline shall be established by the Exchange.

3.Premium payments will be applied against open premium lines in chronological order, beginning with the oldest outstanding premium payment.

4.Payments may be received by the Trust from qualified individuals and employers for such products and services as may be offered through the Exchange.

C.Overdue Accounts – Individuals and Employers will be considered overdue when they have not paid a monthly bill in full by the designated due date.

1.Overdue accounts will be sent a late notice including the payment amount overdue, any applicable grace period, and the expected coverage termination date.

2.Late notices will be mailed or delivered electronically into the individual’s or employer’s account.

D.Payment Deposits – All premium payments described in § 1.15(B) of this Part will be deposited into one (1) or more bank accounts, held in the name of the Trust, and maintained at a bank branch located in the State of Rhode Island and insured by the Federal Deposit Insurance Corporation.

E.Payments from the Trust – Upon receipt and reconciliation of accounts among and between the Exchange and a QHP issuer, the Trust will remit premium payments to the QHP issuer in accordance with the issuer agreement and pursuant to procedures set forth by the Exchange. The Trust shall receive any such funds as may be permitted under State and Federal law and Regulation and remit to the Exchange.

F.Standards – All activities of the Trust must be performed in accordance with all applicable standards under the Federal Regulations and the Act including, without limitation, the oversight and financial integrity requirements of § 1313 of the Act.

G.Privacy and Security – All activities of the Trust shall conform with all applicable State and Federal laws pertaining to the privacy and security of financial and confidential health information including, without limitation, those standards described in 45 C.F.R. §§ 155.260(a) through (g) and 155.270(a) and (b), incorporated above at § 1.3 of this Part, relating to conducting electronic transactions.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.16 Request for the Promulgation of a Rule

A.The purpose of this section and § 1.17 of this Part is to prescribe the form of a Petition for Promulgation of Rules pursuant to R.I. Gen. Laws § 42-35-6 and the procedure for its submission, consideration, and disposition.

B.For purposes of this section and § 1.17 of this Part only, the following definitions shall apply:

1."Department" means HealthSource RI.

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

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

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

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

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

1.The name and address of the petitioner;

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

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

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

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

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

D.A request for the promulgation of a Rule must be submitted to:

HealthSource RI

Attn: Legal Services

501 Wampanoag Trail

Suite 400

East Providence, RI 02915

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.17 Consideration and Disposition of Request for the Promulgation of a Rule

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

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

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

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

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

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.18 Petition for Declaratory Order

A.This section and § 1.19 of this Part state the requirements for submitting a request for a Declaratory Order under R.I. Gen. Laws § 42-35-8(b), and the procedure for its consideration and prompt disposition.

B.The following definitions shall apply to this section and § 1.19 of this Part only:

1."Declaratory Order" means an order issued by the Department that:

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

b.Clarifies whether a Rule, Guidance Document, or Order issued by the Department applies to a petitioner; or

c.Clarifies how a Rule, Guidance Document, or Order issued by the Department applies to a petitioner.

2."Department" means HealthSource RI

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

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

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

1.The name and address of the petitioner;

2.A plain statement identifying the statute, Rule, Guidance Document, or Order at issue;

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

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

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

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

b.Clarification as to whether a Rule, Guidance Document, or Order issued by the Department applies to petitioner; and/or

c.Clarification as to how a Rule, Guidance Document, or Order issued by the Department applies to petitioner.

D.A request for a Declaratory Order must be submitted to:

HealthSource RI

Attn: Legal Services

501 Wampanoag Trail

Suite 400

East Providence, RI 02915

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.19 Consideration and Disposition of Request for Declaratory Order

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

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

B.The agency may, at its discretion:

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

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

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

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019

220-RICR-90-00-1 § 1.20 Severability

If any provisions of this Part or the application thereof to any person or circumstance shall be held invalid, such invalidity shall not affect the provisions or application of these Regulations which can be given effect, and to this end the provisions of these Regulations are declared to be severable.

History

• Amendment — effective from 2023-04-02 to current
• Periodic Refile — effective from 2022-01-04 to 04/02/2023
• Amendment — effective from 2020-12-31 to 01/04/2022
• Amendment — effective from 2019-12-22 to 12/31/2020
• Adoption — effective from 2018-09-24 to 12/22/2019