1.3.1
General Provisions
A. Introduction The Employees' Retirement
System of the State of Rhode Island and the Municipal Employees' Retirement
System of the State of Rhode Island (the "System") are authorized to employ
consulting and other professional services. The purpose of these Rules is to
adopt internal procedures consistent with the requirements of R.I. Gen. Laws
Chapter 37-2 (State Purchases Act) in connection with the procurement of
consulting services by the System.
B. Definitions
1. All capitalized terms used herein shall
have the same meaning as set forth in §
1.2 of this Part. The words
defined in this subsection shall have the following meanings wherever they
appear in these Rules, unless the context in which they are used clearly
requires a different meaning.
a. "Consultant"
means any person engaged to provide information regarding a particular area of
knowledge in which the person has expertise, including, but not limited to,
accountants, actuaries, financial consultants, data processing consultants and
physicians, excluding, however, legal services.
C. Application of Rules
1. These Rules apply to all expenditures of
funds by the System under a contract for consulting services, except contracts
between the System and the State or its political subdivisions, or between the
System and other governments. The provisions of these Rules shall be considered
to be incorporated in all contracts of the System to which they
apply.
2. Notwithstanding anything
contained in §1.3.1(C) of this Part, §
1.2 of this Part shall govern
the procurement of supplies and services.
D. Procurement Responsibilities of the System
The Procurement Committee shall select persons or firms to
render consultant services pursuant to these Rules. Accordingly, the term
"System" shall be used in these Rules to designate the Procurement
Committee.
E. Public Access
to Procurement Records
Except as otherwise provided for herein all procurement
records of the System shall be public record to the extent provided in R.I.
Gen. Laws Chapter 38-2 (Access to Public Records) and shall be available to the
public as provided in such Act.
F. Procurement Decisions of the System
Every determination required by these Rules shall be in
writing and based upon written findings of fact by the System. These
determinations and written findings shall be retained in an official contract
file in the offices of the System.
1.3.2
Selection of Consultants
A. General Policy
It shall be the policy of the System to publicly announce
its requirements for consulting services, which are reasonably estimated to
exceed ten thousand dollars ($10,000.00), and to negotiate contracts for such
professional services on the basis of demonstrated competence and
qualifications and at fair and reasonable prices.
B. Annual Statement of Qualifications and
Performance Data
1. Consultants shall be
encouraged by the Executive Director to submit to the System annually a
statement of qualifications and performance data which shall include, but not
be limited to the following:
a. The name of
the firm and the location of its principal place of business and all
offices;
b. The age of the firm and
its average number of employees over the past five (5) years;
c. The education, training, and
qualifications of members of the firm and key employees;
d. The experience of the firm, reflecting
technical capabilities and project experience; and
e. Such other pertinent information as
requested by the Executive Director.
C. Public Announcement of Needed Consultant
Services
The System shall give public notice in a newspaper of
general circulation in the State of the need for consultant services which are
reasonably estimated to exceed ten thousand dollars ($10,000.00). The System
may publish such additional notice as it deems necessary to assure response
from qualified individuals or firms. Such public 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. The notice shall contain a brief statement
of the services required, describe the project and specify how a solicitation
containing specific information on the project may be
obtained.
D. Solicitation
1. A solicitation shall be prepared which
describes the System's requirements and sets forth the evaluation criteria. It
shall be distributed to interested persons.
2. The solicitation shall describe the
criteria to be used in evaluating the statement of qualification and
performance data and in the selection of firms. Criteria shall include, but are
not limited to:
a. Competence to perform the
services as reflected by
b.
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;
c. Ability to perform the services as
reflected by workload
d. And the
availability of adequate personnel, equipment, and facilities to perform the
services expeditiously;
e. Past
performance as reflected by the evaluation of private persons and officials of
other governmental entities that 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 the cost of such services.
3. For services reasonably estimated to
exceed twenty thousand dollars ($20,000.00), a bidder's conference shall be
held which describes the criteria to be used in evaluating the statement of
qualification and performance data and in the selection of firms. The scope of
work shall be discussed and further defined at such conference, including
on-site visits, if appropriate.
E. Evaluation of Statements of Qualifications
and Performance Data
The consultant selection committee shall evaluate
statements that may be submitted in response to the solicitation of consultant
services and statements of qualifications and performance data, if required.
All such statements shall be evaluated in light of the criteria set forth in
the solicitation for consulting services. The consultant selection committee
may waive informalities in any such statements.
F. Final Selection of Contractors
1. The consultant selection committee shall
select no more than three (3) firms (or two (2) if only two (2) apply)
evaluated as being professionally and technically qualified. The firms
selected, if still interested in providing the services, shall make a
representative available to the consultant selection committee at such time and
place as it shall determine, to provide such further information as it may
require.
2. The consultant
selection committee shall negotiate with the highest qualified firm for a
contract for consulting services for the System at compensation which the
consultant selection committee determines to be fair and reasonable. In making
such determination, the consultant selection committee shall take into account
the professional competence and technical merits of the offerors, and the price
for which the services are to be rendered. The consultant selection committee
shall be responsible for the final selection of the providers of consulting
services.
G. Contracts
Not Exceeding $10,000.00
The Executive Director of the System shall be responsible
for the final decision on consulting contracts not expected to exceed ten
thousand dollars ($10,000.00). The Executive Director shall, however, notify
the Department of Administration, the Division of Purchases and the Division of
Budget of the State of its selection. The Executive Director shall use the
criteria set forth in §1.3.2(D) (2) of this Part in making such determinations.
Each determination shall be justified in writing.
1.3.3
Remedies
A. Protest of Solicitation and Award
1. Any actual or prospective contractor who
is aggrieved in connection with the solicitation or award of any contract under
these Rules may file a protest with the System. A protest must be filed in
writing not later than two (2) calendar weeks after such aggrieved person knows
or should have known of the facts giving rise thereto.
2. The System shall promptly issue a decision
in writing regarding such protest. A copy of that decision shall be furnished
to the aggrieved party and shall state the reasons for the action
taken.
3. In the event a protest is
filed in a timely manner under this Section, the System shall not proceed
further with the solicitation or award which is the subject of the protest
until it has issued a decision on the protest, or determined that continuation
of the procurement is necessary to protect a substantial interest of the
System.
B. Debarment and
Suspension
1. After reasonable notice to the
person involved and reasonable opportunity for that person to be heard, the
System may debar a person for cause from consideration for award of contracts
contemplated by these Rules. The debarment shall not be for a period of more
than three (3) years. The System may suspend a person from consideration for
award of contracts if there is probably cause for debarment. The suspension
shall be for a period of not less than three (3) months.
2. The causes for debarment or suspension
include the following:
a. Conviction of a
criminal offense in connection with obtaining or attempting to obtain a public
or private contract or subcontract, or in the performance of such contract or
subcontract;
b. Conviction under
State or Federal statutes of embezzlement, theft, forgery, bribery,
falsification or destruction of records, stolen property, or any other offense
indicating a lack of business integrity or business honesty which currently,
seriously, and directly affects responsibility as a contractor with the
System;
c. Conviction under State
or Federal antitrust statutes arising out of the submission of bids or
proposals;
d. Violation of contract
provisions, as set forth below, of a character which is regarded by the System
to be so serious as to justify debarment action, including,
(1) Deliberate failure without good cause to
perform in accordance with the specifications or within the time limit provided
in the contract; or
(2) A recent
record of failure to perform or of unsatisfactory performance in accordance
with the terms of one or more contracts; provided that failure to perform or
unsatisfactory performance caused by acts beyond the control of the contractor
shall not be considered to be a basis for debarment;
e. Any other cause the System determines to
be so serious and compelling as to affect responsibility as a contractor,
including debarment by a governmental entity.
3. The System shall issue a written decision
to debar or suspend. The decision shall state the reasons for the action taken;
and inform the debarred or suspended person of its rights to judicial
review.
4. A copy of the decision
under §1.3.3(B)(3) of this Part shall be furnished promptly to the debarred or
suspended person.
C.
Resolution of Contract Disputes
If any claim or controversy arising under contracts to
which these Rules apply is not resolved by mutual agreement, the System shall
promptly issue a decision in writing regarding the subject matter of such claim
or controversy. A copy of that decision shall be furnished to the contractor.
If the System does not issue a written decision within thirty (30) days after
written request for a final decision, or within such longer period as might be
established by the parties to the contract in writing, then the contractor may
proceed as if an adverse decision had been received from the
System.
1.3.4
Additional Matters
A. Equal
Employment Opportunity
For all contracts for consultant services exceeding ten
thousand dollars ($10,000.00), contractors must comply with the requirements of
Federal Executive Order 11246, as amended, and R.I. Gen. Laws §
28-5.1-10. Failure to comply will
be considered a substantial breach of the contract subject to penalties
prescribed in regulations administered by the Department of Administration of
the State.
B. Conflict of
Interest
No member or employee of the System shall have any
interest, financial or otherwise, direct or indirect, or engage in any activity
which is in substantial conflict with the proper discharge of their duties as a
member or employee of the System.
1.3.5
Effective Date
A. Effective Date
These Rules shall become effective upon adoption by the
Board. Thereafter, the Board shall file a copy of these Rules with the
Secretary of State.
B.
Contracts in Effect on Effective Date
These Rules shall not change in any way a contract
commitment by the System or of a contractor to the System which was in
existence on the effective date of these Rules.
