270 R.I. Code R. 270-RICR-10-00-5.3

Current through November 7, 2024

Section 270-RICR-10-00-5.3 - Procurement Procedures

A. Competition

1. The PSGAO will operate an effective procurement system by obtaining goods and services within a competitive environment whenever possible.

2. Awards shall be made to the most responsive and responsible subgrantee, taking into consideration the reliability of the subgrantee, their conformity with the specifications and the best interests of the state.

3. The PSGAO shall be responsible for verbatim 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 of the spirit, intent and letter of these governing requirements.

4. All employees of the PSGAO shall be responsible for carrying out their designated functions with care, integrity and a sense of responsibility to the taxpayers of Rhode Island for providing public services in the most cost-effective manner possible.

B. Competitive Environment

1. A competitive environment shall be considered to exist when the following conditions are met:

a. Potential subgrantees are compared to determine relative merit;

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

c. Subgrantees are evaluated within a specified context conducted using objective standards to assure fairness and to encourage participation;

d. An equal opportunity for participation in any request for proposals applies to all prospective subgrantees.

C. Awards to Non-Profit Agencies

1. State agencies may obtain grants and then award nonprofit agencies or other entities subgrants for services or programs. 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.

2. Nonprofit status shall not automatically exempt organizations from being subject to competitive purchasing principles.

3. All grant contracts entered into by state 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.

D. Exceptions to Competition

1. The following types of subgrants are not subject to the provisions of competitive procurement:

a. To local governments and state agencies;

b. To specific recipients or categories of recipients as prescribed by legislative mandate(including federal programs).

E. Delegated Authority

1. In order to assure that cost-effectiveness and efficiency are best served, upon application and approval of the Director of the Department of Administration, pursuant to R.I. Gen. Laws § 37-2-1, the Administrative Manager of the PSGAO, shall have delegated purchase authority to enter into agreements for the purpose of distributing grants.

2. 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.

3. Delegated contracting authority does not require the issuance of a purchase order.

4. The delegated purchasing authority of the PSGAO resides solely with the Administrative Manager.

F. Special Provisions for Grants

1. 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.

G. Records and Inspection

1. Documentation records may be in the form of copies, microfilms, 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.

2. Project Abstracts

a. Each application for funding submitted by prospective subgrantees, together with the name of the subgrantee, shall be recorded and an abstract made available for public inspection. Subsequent to the awarding of a subgrant, all documents pertinent to the awarding of the subgrant shall be made available and open to public inspection and retained in the subgrant file.

b. All documentation records shall be subject to public disclosure with the following exceptions:

(1) Information of a proprietary nature submitted by a potential subgrantee;

(2) Information furnished by a potential subgrantee in connection with an inquiry related to responsibility.

3. Public Inspection

a. Abstracts of potential subgrantee information shall be available for public inspection at the offices of the Public Safety Grant Administration Office no later than ten (10) working days after an award has been made. These summaries are presented to the Policy Board when funding recommendations are presented by advisory committees.

b. Requests for access to records other than potential subgrantee abstracts shall be made in writing and signed by the applicant.

c. The Administrative Manager of the PSGAO shall have a reasonable time to respond to requests for access to information, pursuant to provisions of R.I. Gen. Laws §§ 38-2-1 through 38-2-15, as amended, "Access to Public Records."

d. Reviews of document records shall be permitted by appointment only and shall be conducted under the supervision of an employee of the Public Safety Grant Administration Office.

e. No documentation shall be removed from the premises of the office of the Public Safety Grant Administration Office without the written consent of the Administrative Manager of the Public Safety Grant Administration Office.

H. Grievance Procedure

1. Any actual or prospective subgrantee who is aggrieved in connection with the solicitation or selection for award may file a protest with the Administrative Manager of the Public Safety Grant Administration Office. A protest or notice of other controversy must be filed promptly and in any event within two (2) calendar weeks after such aggrieved person knows or should have known of the facts giving rise thereto. All protests or notices of other controversies must be in writing.

2. In the event of a timely filed protest, the Public Safety Grant Administration Office shall not proceed further with the solicitation or award involved, until the Administrative Manager of the Public Safety Grant Administration Office makes a written and adequately supported determination that continuation of the procurement is necessary to protect substantial interest of the state.

3. The protestor may request access to documentation to support his protest subject to the above procedures for public inspection.

I. Violation of Regulations, Policies, and Procedures

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

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

3. The Administrative Manager of the PSGAO shall have authority to impose sanctions, in accordance with personnel administration requirements, on any PSGAO employee who has been found to have violated the state purchasing code of ethics.

4. The Administrative Manager of the PSGAO shall have the authority to suspend or debar subgrantees in accordance with the requirements set forth herein.

5. 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 Rhode Island Ethics Commission.

J. RI Ethics Law/Supplemental State Code of Procurement Ethics

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.

2. All state employees shall be subject to the provisions of R.I. Gen. Laws § 36-14-1 and all regulations promulgated by the Rhode Island Ethics Commission, as well as any special provisions of this section.

3. Additionally, all state employees are subject to R.I. Gen. Laws § 37-2-9(2)(o), the Supplemental State Code of Procurement Ethics.

K. Standards and Specifications

1. Responsibility of Subgrantees

a. A reasonable inquiry to determine the responsibility of a subgrantee may be conducted. The failure of a subgrantee to supply information promptly in connection with an inquiry related to responsibility may be grounds for a determination of non-responsibility.

b. Prompt shall mean five (5) working days unless otherwise specified by the Administrative Manager of the PSGAO.

c. Except as otherwise provided, by law, information furnished by a subgrantee pursuant to this section may not be disclosed outside of the PSGAO without prior written consent of the subgrantee.

d. The Administrative Manager of the PSGAO may utilize factors such as financial capability, reputation, management, etc., to evaluate the responsibility and qualifications of potential subgrantees in order to develop a list of prospective subgrantees qualified for awards.

e. As a prerequisite condition for grant award, the Administrative Manager of the PSGAO may require any subgrantee to submit current certifications of financial responsibility, affirmative action compliance, drug-free and barrier free environment, and status as small, women-owned and/or disadvantaged businesses.

2. Pre-qualification of Subgrantees

a. The Administrative Manager of the PSGAO may provide for prequalification of subgrantees as responsible prospective subgrantees for particular types of supplies, services, and construction.

3. Standards and Specifications

a. The Administrative Manager of the PSGAO shall have the responsibility for issuing and maintaining all standard specifications for subgrantees. Among his/her duties, he/she shall, to the greatest extent practicable, assure that all specifications shall be drafted so as to maximize competition in fulfillment of the state's requirements.

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

4. Grant Applications

a. All material submitted by prospective subgrantees to the PSGAO for consideration shall be in sufficient detail and shall contain adequate supportive information to:

(1) Describe the purpose, use, or desired performance level of the requirement;

(2) Identify measurable criteria for evaluation of potential subgrantees including, but not limited to, acceptance testing; and

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

b. The Chairperson of the PSGAO Policy Board, with the advice of the Policy Board, based on the recommendation of the PSGAO Steering Committee and the Administrative Manager of the PSGAO, shall develop advisory committees to review, develop, and update specifications and standard item designations for frequently and/or extensively granted programs.

(1) Selection and evaluation criteria shall be clearly defined in all solicitations.

(2) The invitation for proposals shall state the criteria upon which the award shall be made.

(3) 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.

(4) Except as otherwise authorized by federal mandate, or as specifically exempted herein, all subgrants shall be awarded as the result of requests for proposals.

(5) Requests for proposals shall be published in sufficient time to afford potential subgrantees a fair opportunity to respond (1 month standard).

(6) The Administrative Manager of the PSGAO may advertise in widely circulated newspapers. trade journals, the PSGAO website and the RI Division of Purchases website to promote effective competition.

(7) The Public Safety Grant Administration Office shall be under no obligation to consider an offer which has been submitted without solicitation.

5. RFP Cancellations

a. A request for proposals or any other solicitation may be cancelled, or all proposals may be rejected, if it is determined in writing that the action is taken in the best interest of the state.

b. If a solicitation results in none of the proposals being reasonably close to expectations, the Administrative Manager of the PSGAO shall declare all proposals unacceptable and resolicit the procurement.

c. If a solicitation results in only one proposal, the price of which is not reasonably close to expectations, the Administrative Manager of the PSGAO shall declare the bid unacceptable and either resolicit the procurement or ask that the proposal be negotiated with the subgrantee.

d. The Administrative Manager of the PSGAO may eliminate subgrantees whose offers are clearly noncompetitive prior to resolicitation.

6. Correction/Withdrawal of Proposals

a. The Administrative Manager of the PSGAO or his designee shall be the sole determiner of whether correction or withdrawal of proposals may be made without penalty.

b. The Administrative Manager of the PSGAO shall respond to requests for correction or withdrawal within ten (10) working days of the request.

c. Correction of a proposal at any time prior to close of the application process may be permitted without penalty when a subgrantee requests that his proposal be returned and he resubmits a corrected proposal prior to the closure of the appellation process.

d. A potential subgrantee that fails to resubmit a corrected proposal before the closure of the application process shall be considered nonresponsive.

e. Requests by the apparent subgrantee for correction of proposals identifying all error(s) and specifying corrective action shall be submitted in writing to the Administrative Manager of the PSGAO and shall be re-evaluated with all other proposals within five (5) working days after the award of the grant.

f. Requests for withdrawal of proposals shall be submitted in writing to the Administrative Manager of the Public Safety Grant Administration Office providing an explanation for the action.

L. Source Selection

1. Requests for Proposal

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

(1) Lowest price is not the sole or primary consideration to be used in determining an award;

(2) Performance is neither specific nor objective, and open to the offeror's interpretation;

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

(4) 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.

b. 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.

c. Offers will be evaluated by a committee comprised of appropriate parties on the basis of:

(1) The qualifications of the proposals, established by professional accomplishment and previous experience;

(2) Aspects of proposals which provide benefit, other than those based on cost; and

(3) Other provisions of proposals which are determined to serve the best interests of the state.

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

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

2. Competitive Negotiation

a. Awards may be competitively negotiated when it is determined in writing by the Administrative Manager of the PSGAO that the proposals received by competitive solicitation either are unreasonable as to all or part of the requirements, or were not independently reached in open competition, and for which each competitive subgrantee has been notified of the intention to negotiate and is given reasonable opportunity to negotiate.

b. 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.

c. Written or oral discussion shall be conducted with all potential subgrantees 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.

d. Such competitive negotiations shall be conducted under the following restrictions:

(1) If discussions pertaining to the revision of the specifications or quantities are held with any potential subgrantee, all other potential subgrantees shall be afforded an opportunity to take part in such discussions.

(2) 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 most responsive and responsible proposal.

e. An 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.

3. Non-Competitive or Sole Sources

a. The Administrative Manager of the PSGAO may authorize the award of a contract on the basis of noncompetitive negotiation, where it has been 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.

b. 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;

(6) 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;

(7) Advertisements, public notices in magazines, trade journals, newspapers, television.

c. Purchase of advertising and public relations campaign services must be established through a competitive selection process.

d. The Administrative Manager of the Public Safety Grant Administration Office, at his/her initiation or upon the review of a justified request and/or recommendation, make a determination that a category of nonprofit providers constitutes sole source suppliers for certain types of service.

M. Awards and Termination of Awards

1. Awards

a. Competitive / discretionary awards shall be made within seventy five (75) business days of the close of the application period unless expressly provided for to the contrary in the solicitation. Proposals may not be withdrawn during this period without the express permission of the Administrative Manager of the PSGAO. Non-competitive awards will be made within five (5) business days from the receipt of the application.

b. While PSGAO employees (grant administrators) directly administer the various grant programs, it is important to note that no PSGAO employee can authorize a grant award. Grant programs are subject to review by a designated advisory committee comprised of individuals representing state, local and private, non-profit entities with expertise in the particular grant program area. The advisory groups, with the support of PSGAO administrators, review federal regulations, develop policy initiatives, and establish program priorities. The advisory committees submit their findings and recommendations to the PSGAO Steering Committee, an eight member executive committee of the state legislated Policy Board. The Steering Committee makes suggestions to the Advisory Committees to ensure that relevant aspects of any identified criminal justice statewide problem will be satisfactorily addressed via grant implementation.

c. Advisory committees subsequently develop specific Request for Proposals that the PSGAO advertises in the Providence Journal, the PSGAO website and the State of Rhode Island Division of Purchases website and in appropriate local newspapers to notify all potential applicants of funding availability. PSGAO staff also sends RFP packages to existing subgrantees, previously unsuccessful applicants and parties that have requested grant information during the course of the year. Prospective applicants are always allowed a full month to develop grant proposals for submission. For competitive grants, the PSGAO will offer pre-application workshops to discuss the application package. Advisory Committee members review grant applications and make funding recommendations to the PSGAO Policy Board for approval. Once approved, the PSGAO administrator makes grant awards to the successful applicant agencies and then monitors grant performance.

d. Unsuccessful applicants must be notified prior to the presentation to the Policy Board, allowing sufficient time for the applicant to file a grievance, as set forth in § 5.3 of this Part, Procurement Procedures.

2. Termination of Subgrant Award

a. Decision for termination of subgrant funds will be initiated by the Administrative Manager of the PSGAO, with approval of the Policy Board, and will be based upon the subgrantees inability to perform in accordance with the general and/or specific conditions of the subgrant award, or unsatisfactory or non-filing of progress reports or any other reports or statements stipulated under the subgrant conditions.

b. The Administrative Manager of the PSGAO will notify by letter the highest official responsible for the subgrant award and advise them he/she of the decision to suspend or terminate funding and said letter will cite with specificity the reason(s) for suspension or termination.

c. The Policy Board can only approve reinstatement of funding after satisfactory compliance has been made by the subgrantee.

270 R.I. Code R. 270-RICR-10-00-5.3