1.1 General Provisions

1. A. R.I. Gen. Laws § 45-38.1-5(9) gives the Corporation the authority to employ architects, engineers and consultants.

2. B. The purpose of these rules (Rules) is to comply with the requirements of R.I. Gen. Laws Chapter 37-2 (State Purchasing Statute) in connection with the procurement of architectural, engineering and consulting services by the Corporation.

   1.1.2 Definitions

3. A. For purposes of this Part, unless otherwise specified, all terms shall have the meanings ascribed in the State Procurement Law, R.I. Gen. Laws Chapter 37-2.

   1. 1. “Consultant" means any person engaged to give direction or information regarding a particular area of knowledge in which the person is a specialist and/or has expertise. For purposes of these Rules, the term "Consultant" shall include, but not be limited to, any financial advisor or underwriter engaged by the Corporation. Provided, however, that due to the unique nature of the underwriter selection process (including, without being limited to, the desire to permit the borrowing institution input on such selection), specific rules, set forth in § 1.2.8 of this Part and following, have been adopted for the selection of underwriters.

      1.1.3 Application of Rules

4. A. These Rules shall apply to all of the Corporation’s expenditures of funds under a contract for architectural, engineering and consultant services, except contracts or similar business arrangements between the Corporation and the State, contracts between the Corporation and political subdivisions of the State or between the Corporation and other governments.
5. B. Nothing in these Rules shall prevent the Corporation from complying with the terms and conditions of any grant, gift, bequest or agreement.

6. C. The provisions of these Rules shall be considered to be incorporated in all applicable contracts of the Corporation.

   1.1.4 Procurement Responsibilities of the Corporation

7. Pursuant to R.I. Gen. Laws § 45-38.1-4(b), all of the powers of the Corporation are vested in the Board of Directors of the Corporation. Therefore, for purposes of these Rules, the Board of Directors shall have all of the authority of the chief purchasing officer of the Corporation. Provided, however, the Board of Directors may distribute certain procurement activities and functions to various members of the Board of Directors, the Executive Director, employees or the professional advisers of the Corporation, provided, however, that the Board of Directors retains ultimate decision making authority over procurements, as further described in this Part.

   1.1.5 Public Access to Procurement Records

8. Except as otherwise provided for herein, all procurement records of the Corporation shall be public records to the extent provided in the “Procedure to Request Public Records” ( Part 2 of this Subchapter) and shall be available to the public as provided in such Rules.

   1.1.6 Procurement Decisions of the Corporation

9. Every determination required by these Rules shall be in writing and based upon written findings of fact by the Corporation. These determinations and written findings shall be retained in an official contract file in the offices of the Corporation.

1.1.1 Authority

1.2 Selection of Architects, Engineers and Consultants

1. It shall be the policy of the Corporation to publicly announce its requirements for architectural, engineering and consulting services, in accordance with R.I. Gen. Laws § 37-2-65.

   1.2.2 Prequalification of Contractors

2. A. Architects, engineers and consultants seeking to do business with the Corporation shall submit to the Corporation at least once every three (3) years a statement of qualifications and performance data which shall include, but not be limited to the following:

   1. 1. The name of the firm and the location of all of its offices, specifically indicating the principal place of business;
   2. 2. The age of the firm and its average number of employees over the past five years;
   3. 3. The education, training, and qualifications of the firm’s members and key employees;
   4. 4. The experience of the firm, reflecting technical capabilities and project experience; and
   5. 5. Such other pertinent information as requested by the Executive Director.

3. B. The Executive Director shall review such submissions and may in his/her discretion, along with a member of the Board of Directors, conduct interviews with members of those architectural, engineering and consulting firms that submitted statements of qualifications. Based on the review of such submissions and interviews, if any, the Executive Director shall develop therefrom a tentative prequalified list. The Executive Director shall present such architects, engineers and consultants who have submitted a statement of qualifications to the Corporation's Board of Directors for approval. On the Board of Director's review and approval of such tentative prequalified list (including any revisions thereto made by the Board of Directors), such tentative list shall become the solicitation mailing list contemplated by R.I. Gen. Laws § 37-2-25.

   1.2.3 Public Announcement of Needed Architectural, Engineering or Consultant Services

4. The Corporation shall give public notice of the need for architectural, engineering or consultant services which are reasonably estimated to exceed twenty thousand dollars ($20,000) in accordance with the requirements of R.I. Gen. Laws § 37-2-65.

   1.2.4 Solicitation

5. A. A solicitation shall be prepared which describes the Corporation’s requirements and sets forth the evaluation criteria. It shall be distributed to persons on the solicitation mailing list and interested persons pursuant to R.I. Gen. Laws § 37-2-66(a).
6. B. The solicitation shall describe the criteria to be used in evaluating the statements of qualification and performance data and in the selection of firms. Criteria shall include, but are not limited to the criteria described in R.I. Gen. Laws §§ 37-2-66(1) through (4).

7. C. For services reasonably estimated to exceed twenty thousand dollars ($20,000), a bidder’s conference may be held in accordance with R.I. Gen. Laws § 37-2-66(b). The scope of work shall be discussed and further defined at such conference, in accordance with R.I. Gen. Laws § 37-2-66(c).

   1.2.5 Evaluation of Statements of Qualifications and Performance Data

8. A. The Corporation shall evaluate all statements, including but not limited to statements of qualifications and performance data in accordance with R.I. Gen. Laws § 37-2-67.

   1. 1. The Corporation may waive informalities in any statements and statements of qualification and performance data.

      1.2.6 Final Selection of Contractors

9. A. For each contract to be awarded, the Corporation shall select no more than three (3) firms (or two (2) if only two (2) apply) in accordance with R.I. Gen. Laws § 37-2-68(a).

10. B. The Corporation shall negotiate with the highest qualified firm for a contract for architectural, engineering or consultant services in accordance with R.I. Gen. Laws § 37-2-68(b).

    1.2.7 Contracts Not Exceeding $20,000.

11. For every contract for architectural, engineering, and consulting services, the fees for which are not reasonably expected to exceed twenty thousand dollars ($20,000), the Executive Director shall be responsible for the final selection of the architectural, engineering and/or consulting firm. For every contract for architectural, engineering, and consulting services, the fees for which are not reasonably expected to exceed twenty thousand dollars ($20,000), the Executive Director shall notify the Board of Directors of his/her selection. The Executive Director shall use the criteria set forth in § 1.2.4(B) of this Part in making such determinations. Each determination shall be justified in writing.

    1.2.8 Method of Structuring and Underwriting Bond Issues.

12. A. In general, the Corporation will attempt to structure and underwrite a bond issue that will produce the lowest possible interest cost to the borrowing institution while protecting the interests of the Corporation. The Corporation will have the sole authority to determine the structure of each of its bond issues. Because of the complexity of most of the Corporation’s bond issues, the Corporation will select its underwriter(s) for a particular bond issue based on a competitive negotiation procedure described in § 1.2.8(B) of this Part below, unless the Corporation determines that a competitive sealed bid procedure, described in § 1.2.8(C) of this Part below is feasible. Any underwriter selected by the Corporation for a particular bond issue shall be required to engage legal counsel that is included in the most current edition of the Bond Buyer's Municipal Marketplace (the "Red Book.")

13. B. Competitive Negotiation.

    1. 1. After the receipt by the Corporation of an application for financing, the following actions will be taken:

       1. a. The Executive Director, in consultation with the Financial Advisor to the Corporation, Counsel to the Corporation and a representative of the borrowing institution, shall prepare a Request for Proposals (“RFP”);
       2. b. The Executive Director shall determine the time period of the RFP process;
       3. c. The Executive Director will send the RFP to all firms on the Corporation’s solicitation mailing list of underwriters, compiled in accordance with § 1.2.2 of this Part;
       4. d. An Underwriters’ RFP Review Committee (“Review Committee”) will review all of the RFP’s received in response to the Corporation’s solicitation. The Review Committee will consist of the Executive Director, Financial Advisor to the Corporation, and a representative from the borrowing institution;

       5. e. The Review Committee shall evaluate:

          1. (1) Statements submitted in response to the RFP;
          2. (2) Statements of qualifications and performance data, if their submission is required. The Review Committee may also evaluate the proposing firms’ most recent statement of qualifications;
          3. (3) Prior experience the Corporation or the borrowing institution has had with the proposing firm;
          4. (4) Anticipated underwriters’ discount;
       6. f. The Review Committee may then select an appropriate number of proposing firms to interview to provide such further information to the Review Committee as it may require;
       7. g. After the Review Committee has reviewed all its required information, it will submit a recommendation to the Board of Directors of the Corporation, along with the reasons for its recommendation, as to what firm(s) and in what capacity, should be awarded the underwriting contract;
       8. h. The Board of Directors shall review the recommendation of the Review Committee, and may request additional information from the Committee or from the proposing firms. Based on its review, the Board of Directors shall select the underwriter(s) to proceed with a particular bond issue.

14. C. Competitive Sealed Bid Solicitation.

    1. 1. If the Corporation determines that a competitive sealed bid is feasible and practicable, then the Corporation shall direct that the following actions be taken:

       1. a. That the Executive Director, Counsel to the Corporation, Financial Advisor to the Corporation and Bond Counsel negotiate with the borrowing institution the pertinent terms of the bond issue. After the pertinent terms have been negotiated, the Corporation shall direct:

          1. (1) Bond Counsel to prepare a Preliminary Official Statement describing all the details of the bond issue, conforming to the Corporation’s policies regarding offering statements as well as appropriate federal and state regulations governing the sale of securities and a Notice of Competitive Bid;
          2. (2) the Executive Director to publish the Notice of Competitive Bid in the Providence Journal and such other publication as he/she deems appropriate. The Notice of Competitive Bid shall state the details of the bid, the criteria for the award of the bid, and such other information as the Executive Director deems appropriate;
          3. (3) the Executive Director will distribute the Notice of Competitive Bid to all firms on the Corporation’s solicitation mailing list of underwriters, compiled in accordance with § 1.2.2 of this Part.
       2. b. Award of Competitive Bid. The Corporation shall award the underwriting contract to the lowest bid interest, cost or the lowest evaluated or responsive bid price. In general, the Corporation will award the bonds to the firm offering the lowest True Interest Cost on the bonds. The Financial Advisor to the Corporation will verify the True Interest Cost calculation of each of the bidders. The Corporation may select another method of awarding the bonds, provided such a method does not violate the Corporation’s general policy as to the award of underwriting contracts and that the method of award is described in the Notice of Competitive Bid.
       3. c. In the event a protest is filed in a timely manner under this Section, the Corporation 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 Corporation.

1.2.1 General Policy

1.3 Remedies

1. A. Any actual or prospective bidder, offeror, or vendor who is aggrieved in connection with the solicitation or award of any contract may file a protest with the Corporation. 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. B. The Corporation shall promptly issue a decision in writing regarding such protest. A copy of that decision shall be mailed or otherwise furnished to the aggrieved party and shall state the reasons for the action taken.

3. C. In the event a protest is filed in a timely manner under this Section, the Corporation shall not proceed further with the solicitation or award which is the subject of the protest or 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 Corporation.

   1.3.2 Debarment and Suspension

4. A. After reasonable notice to the person involved and reasonable opportunity for that person to be heard, the Corporation 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 Corporation may suspend a person from consideration for award of contracts if there is probable cause for debarment. The suspension shall not be for a period exceeding three (3) months.

5. B. The causes for a debarment or suspension include the following:

   1. 1. conviction for commission of a criminal offense as an incident to obtaining or attempting to obtain a public or private contract or subcontract, or in the performance of such contractor subcontract;
   2. 2. 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 Corporation;
   3. 3. conviction under state or federal antitrust statutes arising out of the submission of bids or proposals;

   4. 4. violation of contract provisions, as set forth below, of a character which is regarded by the Corporation to be so serious as to justify debarment action:

      1. a. deliberate failure without good cause to perform in accordance with the specifications or within the time limit provided in the contract; or
      2. b. a recent record of failure to perform or of an 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; or
   5. 5. any other cause the Corporation determines to be so serious and compelling as to affect responsibility as a contractor, including debarment by a governmental entity.

6. C. The Corporation shall issue a written decision to debar or suspend. The decision shall:

   1. 1. state the reasons for the action taken; and
   2. 2. inform the debarred or suspended person involved of its rights to judicial review.

7. D. A copy of the decision under § 1.3.2(C) of this Part shall be mailed or otherwise furnished immediately to the debarred or suspended person and any other party intervening.

   1.3.3 Resolution of Contract Disputes.

8. If any claim or controversy arising under contracts to which these Rules apply is not resolved by mutual agreement, the Corporation shall promptly issue a decision in writing regarding the subject matter of such claim or controversy. A copy of that decision shall be mailed or otherwise furnished to the contractor. If the Corporation 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 Corporation in accordance with R.I. Gen. Laws § 37-2-47.

1.3.1 Resolution of Protested Solicitation and Award

1.4 Additional Matters

1. For all contracts for supplies and services exceeding ten thousand dollars ($10,000), vendors must comply with the requirements of 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.

   1.4.2 Conflict of Interest

2. No member or employee of the Corporation 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 his or her duties as a member or employee of the Corporation.

1.4.1 Equal Employment Opportunity