Section 120-RICR-00-00-1.3 - Rules Concerning the Selection of Consultants1.3.1General ProvisionsA. 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.
1.3.2Selection of ConsultantsA. 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 Data1. 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; ande. 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 byb. 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 workloadd. 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.
1.3.3Remedies 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 Suspension1. 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.
1.3.4Additional 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.
1.3.5Effective 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.
120 R.I. Code R. 120-RICR-00-00-1.3
Amended effective 3/25/2019
Amended effective 5/27/2021