GC ADDENDUM D – FEDERAL FUNDING REQUIREMENTS

COMPLIANCE WITH FEDERAL LAWS AND REGULATIONS

To the extent United States federal grant or federal financial assistance rules are applicable to this transaction or any follow-on transactions, the Vendor is at all times acting as a contractor or vendor and not as a sub-recipient or sub-grantee, as those terms are defined in federal financial assistance regulations. It is understood that the Vendor shall be subject to the Vendor’s commercial terms, and only to those mandatory provisions in the federal financial assistance regulations, if applicable, specifically relevant to contractors or vendors.

In performing the services contained in the Entire Agreement and subsequent amendments, the Vendor shall comply with all applicable federal laws and regulations.

Specifically, the Vendor agrees to comply with the following:

PAR 1. AVAILABILITY OF FUNDS

It is understood and agreed by the Parties hereto that all obligations of the State, including the continuance of payments hereunder, are contingent upon the availability and continued appropriation of State and federal funds, and in no event shall the State be liable for any payments hereunder in excess of such available and appropriated funds. In the event that the amount of any available or appropriated funds provided by the State or federal sources for the purchase of services hereunder shall be reduced, terminated or shall not be continued at an aggregate level sufficient to allow for the purchase of the specified amount of services or products to be purchased hereunder for any reason whatsoever, the State shall notify the Vendor of such reduction of funds available and the State shall be entitled to reduce its commitment hereunder as it deems necessary, but shall be obligated for payments due to the Vendor up to the time of such notice.

PAR 2. FEDERAL FUNDING PROVISIONS

Funds made available to the Vendor under the Entire Agreement are or may be derived from federal funds made available to the State. The provisions of PAR. 5 and EXHIBIT B of

ADDENDUM F – SUPPLEMENTAL TERMS AND CONDITIONS notwithstanding, the

Vendor agrees to make claims for payment under the Entire Agreement in accordance with applicable federal policies. The Vendor agrees that no payments under the Entire Agreement shall be claimed for reimbursement under any other agreement, grant, or contract that the Vendor may hold that provides funding from the same State or federal sources. The Vendor agrees to be liable for audit exceptions that may arise from examination of claims for payment under the Entire

Agreement. The Vendor specifically agrees to abide by all applicable federal requirements for vendors, including laws, regulations and requirements related to services performed or products sold outside the United States by the Vendor or its subcontractors.

PAR 3. NONDISCRIMINATION IN EMPLOYMENT AND SERVICES

By signing the Entire Agreement, the Vendor agrees to comply with the requirements of the following, as amended from time to time: Title VI of the Civil Rights Act of 1964 (42 USC 2000d et seq.); Section 504 of the Rehabilitation Act of 1973 (29 USC 794); the Americans with

Disabilities Act of 1990 (42 USC 12101 et seq.); Title IX of the Education Amendments of 1972

(20 USC 1681 et seq.); the Food Stamp Act; the Age Discrimination Act of 1975; the United States

Department of Health and Human Services (DHHS) regulations found in 45 CFR Parts 80 and 84;

the United States Department of Education implementing regulations (34 CFR Parts 104 and 106);

and the United States Department of Agriculture Food and Nutrition Services regulations (7 CFR §

272.6), which prohibit discrimination on the basis of race, color, national origin (limited English proficiency persons), age, sex, disability, religion, or political beliefs in acceptance for, or provision of, services, employment, or treatment in educational or other programs or activities.

Pursuant to Title VI and Section 504, as listed above and as referenced in EXHIBITS 2 AND

3, which are incorporated herein by reference and made part of this Addendum, the Vendor shall have policies and procedures in effect, including, mandatory written compliance plans, which are designed to assure compliance with Title VI and/or Section 504, as referenced above. An electronic copy of the Vendor’s written compliance plan, all relevant policies, procedures, workflows, relevant chart of responsible personnel, and/or self-assessments must be available to the State upon request.

The Vendor’s written compliance plans and/or self-assessments referenced above and detailed in EXHIBITS 2 AND 3 of this Addendum must include but are not limited to the requirements detailed in EXHIBITS 2 AND 3 of this Addendum.

The Vendor must submit, within thirty-five (35) days of the date of a request by DHHS or the State, full and complete information on Title VI and/or Section 504 compliance and/or self-assessments, as referenced above, by the Vendor and/or any subcontractor of the Vendor.

The Vendor acknowledges receipt of EXHIBIT 2 - RHODE ISLAND DEPARTMENT

OF HEALTH NOTICE TO VENDORS ON THEIR RESPONSIBILITIES UNDER TITLE

VI OF THE CIVIL RIGHTS ACT OF 1964 and EXHIBIT 3 - RHODE ISLAND

DEPARTMENT OF HEALTH NOTICE TO VENDORS ON THEIR RESPONSIBILITIES

UNDER SECTION 504 OF THE REHABILITATION ACT OF 1973.

The Vendor further agrees to comply with all other provisions applicable to law, including the Americans with Disabilities Act of 1990 and the Governor’s Executive Order No. 05-01, Promotion of Equal Opportunity and the Prevention of Sexual Harassment in State Government.

The Vendor also agrees to comply with RIDOH’s requirements for safeguarding of confidential information (as such requirements are made known to the Vendor).

Failure to comply with this Paragraph may be the basis for cancellation of the Entire Agreement.

PAR 4. ACCESSIBILITY AND RETENTION OF RECORDS

The Vendor agrees to make accessible and to maintain all records and supporting documentation that directly pertain to the performance of the services or furnishing of the products under the Entire Agreement (whether paper, electronic, or other media) for a minimum of ten (10) years after final payment, unless a longer period of records retention is stipulated (45 CFR §

155.1210). This accessibility requirement shall include the right to review and copy such records upon request. This requirement is also intended to include, but is not limited to, any auditing, monitoring, and evaluation procedures, including on-site visits, performed individually or jointly, by State or federal officials or their agents necessary to verify the accuracy of the Vendor’s invoices or compliance with the Entire Agreement (in accordance with 45 CFR § 75.361 and 45

CFR § 155.1210). If such records are maintained outside of the State, such records shall be made accessible by the Vendor at a Rhode Island location. Additionally, if any litigation, claim, or audit commences before the expiration of the ten (10) year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken in accordance with 45 CFR § 75.386. If audit findings have not been resolved at the end of the ten

(10) years, the records shall be retained for an additional three (3) years after the resolution of the audit findings are made or as otherwise required by law.

The Vendor and its subcontractors, if subcontractors are permitted within the scope of the

Entire Agreement, shall provide and maintain a quality assurance system acceptable to the State covering deliverables and services under the Entire Agreement and shall tender to the State only those deliverables that have been inspected and found to conform to the Entire Agreement’s requirements. The Vendor shall keep records evidencing inspections and their result and shall make these records available to the State during the term of the Entire Agreement and for ten (10) years after final payment. The Vendor shall permit the State to review procedures, practices, processes, and related documents to determine the acceptability of the Vendor’s quality assurance system or other similar business practices related to performance of the Entire Agreement.

Further, the Vendor agrees to include a similar right of the State, federal officials, and their agents to audit records and interview staff in any subcontract related to the services or products under the Entire Agreement.

PAR 5. DRUG-FREE WORKPLACE POLICY

The Vendor agrees to comply with the provisions of the Governor’s Executive Order 91-

14, the State’s Drug Free Workplace Policy, and the Federal Omnibus Drug Abuse Act of 1988.

As a condition of contracting with the State of Rhode Island, the Vendor hereby agrees to abide by

EXHIBIT 4 - DRUG- FREE WORKPLACE POLICY and, in accordance therewith, has executed EXHIBIT 5 - DRUG-FREE WORKPLACE POLICY VENDOR CERTIFICATE

OF COMPLIANCE.

Furthermore, the Vendor agrees to submit to the State any report or forms which may from time-to-time be required to determine the Vendor's compliance with this policy. The Vendor acknowledges that a violation of the Drug-Free Workplace Policy may, at the State's option, result in termination of the Entire Agreement.

PAR 6. PRO-CHILDREN ACT OF 1994

As a condition of contracting with the State of Rhode Island, the Vendor hereby agrees to abide by EXHIBIT 6 - CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO

SMOKE, and in accordance has executed EXHIBIT 6 - CERTIFICATION REGARDING

ENVIRONMENTAL TOBACCO SMOKE.

PAR 7. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS

The Vendor agrees to abide by EXHIBIT 7 – INSTRUCTIONS FOR

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS – PRIMARY COVERED TRANSACTIONS, and in accordance has executed the required certification included in EXHIBIT 8 – CERTIFICATION

REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY

MATTERS – PRIMARY COVERED TRANSACTIONS.

PAR 8. CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non-Federal award to agree to comply with all applicable standards, orders, or regulations issued pursuant to the Clean Air Act (42 USC §§ 7401-7671q) and the Federal Water

Pollution Control Act (33 USC §§ 1251-1387), as either is amended from time to time. Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental

Protection Agency (EPA). (45 CFR Part 75.)

PAR. 9. FEDERAL TAX INFORMATION

Performance: In performance of this Entire Agreement, the Vendor agrees to comply with, and assume responsibility for, compliance by its employees with the following requirements:

(1) All work will be done under the supervision of the Vendor or the Vendor's employees.

(2) The Vendor and the Vendor’s employees with access to, or who use, Federal Tax

Information (“FTI”) must meet the background check requirements defined in

Internal Revenue Service (IRS) Publication 1075.

(3) Any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of this Entire Agreement. Information contained in such material will be treated as confidential and will not be divulged or made known in any manner to any person except as may be necessary in the performance of this Entire Agreement. Disclosure to anyone other than an officer or employee of the Vendor will be prohibited.

(4) All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. In addition, all related output will be given the same level of protection as required for the source material.

(5) The Vendor certifies that the data processed during the term of this Entire

Agreement shall be completely purged from all data storage components of his or her computer facility, and no output shall be retained by the Vendor at the time the work is completed. If immediate purging of all data storage components is not possible, the Vendor certifies that any IRS data remaining in any storage component shall be safeguarded to prevent unauthorized disclosures.

(6) Any spoilage or any intermediate hard copy printout that may result during the processing of IRS data will be given to RIDOH or its designee. When this is not possible, the Vendor shall be responsible for the destruction of the spoilage or any intermediate hard copy printouts, subject to prior approval from RIDOH, and shall provide RIDOH or its designee with a statement containing the date of destruction, description of material destroyed, and the method used.

(7) All computer systems receiving, processing, storing or transmitting FTI must meet the requirements defined in IRS Publication 1075. To meet functional and assurance requirements, the security features of the environment must provide for managerial, operational, and technical controls. All security features must be available and activated to protect against unauthorized use of, and access to, FTI.

(8) No work involving FTI furnished under this Entire Agreement will be subcontracted without prior written approval of the IRS.

(9) The Vendor shall maintain a list of employees with authorized access. Such list shall be provided to RIDOH and, upon request, to the IRS.

(10) RIDOH shall have the right to void the Entire Agreement if the Vendor fails to provide the safeguards described above.

Criminal/Civil Sanctions:

(1) Each officer or employee of any person to whom returns or return information is, or may be, disclosed shall be notified in writing by such person that returns or return information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such returns or return information for a purpose or to an extent unauthorized herein constitutes a felony punishable upon conviction by a fine of as much as $5,000 or imprisonment for as long as five years, or both, together with the costs of prosecution. Such person shall also notify each such officer and employee that any such unauthorized further disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount not less than $1,000 with respect to each instance of unauthorized disclosure. These penalties are prescribed by Internal Revenue Code (IRC) §§ 7213 and 7431 and set forth at 26

CFR § 301.6103(n)-1.

(2) Each officer or employee of any person to whom returns or return information is, or may be, disclosed shall be notified in writing by such person that any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of this Entire Agreement. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of the Entire Agreement. Inspection by, or disclosure to, anyone without an official need-to know constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000 or imprisonment for as long as one year, or both, together with the costs of prosecution. Such person shall also notify each such officer and employee that any such unauthorized inspection or disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount equal to the sum of the greater of $1,000 for each act of unauthorized inspection or disclosure with respect to which such defendant is found liable or the sum of the actual damages sustained by the plaintiff as a result of such unauthorized inspection or disclosure plus, in the case of a willful inspection or disclosure which is the result of gross negligence, punitive damages, plus the costs of the action. These penalties are prescribed by IRC §§ 7213A and 7431 and set forth at 26 CFR § 301.6103(n)-1.

(3) Additionally, it is incumbent upon the Vendor to inform its officers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 USC §

552a. Specifically, 5 USC § 552a(i)(1), which is made applicable to contractors by 5

USC § 552a(m)(1), provides that any officer or employee of the Vendor who has possession of, or access to, State records containing individually identifiable information whose disclosure is prohibited by the Privacy Act or its regulations, and who willfully and knowingly discloses the material in any manner to any person not entitled to receive it, shall be guilty of a misdemeanor and fined not more than

$5,000.

(4) Granting the Vendor access to FTI must be preceded by certifying that each individual receiving the information from the Vendor understands the State’s security policy and procedures for safeguarding IRS information. The Vendor must maintain its authorization to access FTI through annual recertification. The initial certification and recertification must be documented and placed in the State’s files for review. As part of the certification and at least annually afterwards, contractors must be advised of the provisions of IRC §§ 7431, 7213, and 7213A (see Exhibit 4 to IRS Publication 1075, Sanctions for Unauthorized Disclosure, and Exhibit 5 to

IRS Publication 1075, Civil Damages for Unauthorized Disclosure). The training provided before the initial certification and annually thereafter must also cover the

Incident response policy and procedure for reporting unauthorized disclosures and data breaches. See Section 10 of IRS Publication 1075. For both the initial certification and the annual certification, the Vendor must sign, either with ink or electronic signature, a confidentiality statement certifying its understanding of the security requirements.

Inspection:

The IRS and the State, with 24-hour notice, shall have the right to send their inspectors into the offices and plants of the Vendor to inspect facilities and operations performing any work with

FTI under this Entire Agreement for compliance with requirements defined in IRS Publication

1075. The IRS’ right of inspection shall include the use of manual and/or automated scanning tools to perform compliance and vulnerability assessments of information technology (“IT”) assets that access, store, process, or transmit FTI. On the basis of such inspection, corrective actions may be required in cases where the Vendor is found to be noncompliant with contract safeguards.

EXHIBITS

Attached hereto, incorporated into, and made a part herein of this Addendum are the following Exhibits:

EXHIBIT 1 - FISCAL ASSURANCES

EXHIBIT 2 - RHODE ISLAND DEPARTMENT OF HEALTH

NOTICE TO VENDORS OF THEIR

RESPONSIBILITIES UNDER TITLE VI OF THE

CIVIL RIGHTS ACT OF 1964

EXHIBIT 3 - RHODE ISLAND DEPARTMENT OF HEALTH

NOTICE TO VENDORS OF THEIR

RESPONSIBILITIES UNDER SECTION 504 OF THE

REHABILITATION ACT OF 1973

EXHIBIT 4- DRUG-FREE WORKPLACE POLICY

EXHIBIT 5 - DRUG-FREE WORKPLACE POLICY VENDOR

CERTIFICATE OF COMPLIANCE

EXHIBIT 6 - CERTIFICATION REGARDING

ENVIRONMENTAL TOBACCO SMOKE

EXHIBIT 7 - INSTRUCTIONS FOR CERTIFICATION

REGARDING DEBARMENT, SUSPENSION AND

OTHER RESPONSIBILITY MATTERS – PRIMARY

COVERED TRANSACTIONS

EXHIBIT 8 - CERTIFICATION REGARDING DEBARMENT,

SUSPENSION AND OTHER RESPONSIBILITY

MATTERS – PRIMARY COVERED

TRANSACTIONS

EXHIBIT 9 - EQUAL EMPLOYMENT OPPORTUNITY

EXHIBIT 10 - BYRD ANTI-LOBBYING AMENDMENT

EXHIBIT 1

FISCAL ASSURANCES

1. The Vendor agrees to segregate all receipts and disbursements pertaining to the Entire Agreement from recipients and disbursements from all other sources, whether by separate accounts or by utilizing a fiscal code system.

2. The Vendor assures a system of adequate internal controls shall be implemented to ensure a separation of duties in all cash transactions.

3. The Vendor assures the existence of an audit trail which includes cancelled checks, voucher authorization, invoices, receiving reports, and time distribution reports.

4. The Vendor assures a separate subsidiary ledger of equipment and property shall be maintained.

5. The Vendor agrees any unexpended funds from the Entire Agreement are to be returned to RIDOH at the end of the time of performance unless RIDOH gives written consent for their retention.

6. The Vendor assures insurance coverage is in effect as mutually agreed under the Entire Agreement (ADDENDUM A – GENERAL CONDITIONS).

7. The following Federal requirements shall apply pursuant to 45 CFR Part 75, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for DHHS Awards. Where applicable:

• Subpart A – Acronyms and Definitions (75.1–75.2)

• Subpart B – General Provisions (75.100 – 75.113)

• Subpart C – Pre-Federal Award Requirements and Contents of Federal Awards (75.200 – 75.218)

• Subpart D – Post Federal Award (75.300 – 75.391)

• Subpart E – Cost Principles (75.400 – 75.477)

• Subpart F – Audit Requirements (75.500 – 75.521)

• All Subsequent Addenda

8. If the Vendor expends Federal awards during the Vendor’s particular fiscal year of $750,000 or more, then 45 CFR §75.500 et seq., Audits of States, Local Governments and Non-profit Organizations, shall also apply or if applicable, an audit shall be performed in accordance with “Government Auditing Standards” as published by the Comptroller General of the United States.

9. The Entire Agreement may be funded in whole or in part with Federal funds. If so, the CFDA reference number is _________________. The Vendor must review applicable Federal Statutes, regulations, terms and conditions of the Federal Award in accordance with 45 CFR § 75.752.

EXHIBIT 2

RHODE ISLAND DEPARTMENT OF HEALTH NOTICE TO

VENDORS ON THEIR RESPONSIBILITIES UNDER

TITLE VI OF THE CIVIL RIGHTS ACT OF 1964

Public and private agencies, organizations, institutions, and persons that receive Federal financial assistance through the Rhode Island Department of Health (RIDOH) are subject to the provisions of Title VI of the Civil Rights Act of 1964 and the implementing regulations of the

United States Department of Health and Human Services (DHHS), which is located at 45 CFR

Part 80, collectively referred to hereinafter as Title VI. RIDOH’s contracts with vendors include a vendor’s assurance that in compliance with Title VI and the implementing regulations, no person shall be excluded from participation in, denied the benefits of, or be otherwise subjected to, discrimination in its programs and activities on the grounds of race, color, or national origin.

Additional DHHS guidance is located at 68 FR 47311-02.

RIDOH reserves its right to at any time review vendors to assure that they are complying with these requirements. Further, RIDOH reserves its right to at any time require from contractors and sub-contractors that they are also complying with Title VI.

The Vendor shall have policies and procedures in effect, including, a mandatory written compliance plan, which are designed to assure compliance with Title VI. An electronic copy of the Vendor’s written compliance plan and all relevant policies, procedures, workflows and relevant chart of responsible personnel must be available to RIDOH upon request.

The Vendor’s written compliance plan must address the following requirements:

❑ Written policies, procedures and standards of conduct that articulate the organization's commitment to comply with all Title VI standards.

❑ Designation of a compliance officer who is accountable to the Vendor's senior management.

❑ Effective training and education for the compliance officer and the organization's employees.

❑ Enforcement of standards through well-publicized guidelines.

❑ Provision for internal monitoring and auditing.

❑ Written complaint procedures.

❑ Provision for prompt response to all complaints, detected offenses or lapses, and for development and implementation of corrective action initiatives.

❑ Provision that all contractors and sub-contractors of the Vendor execute assurances that said contractors and sub-contractors follow Title VI.

The Vendor must enter into an agreement with each sub-contractor under which there is the provision to furnish to it, DHHS, or RIDOH on request, full and complete information related to Title VI compliance.

The Vendor must submit, within thirty-five (35) days of the date of a request by DHHS or RIDOH, full and complete information on Title VI compliance by the Vendor and/or any sub-contractor or vendor of the Vendor.

It is the responsibility of each vendor to acquaint itself with all of the provisions of the Title VI regulations. A copy of the regulations is available upon request from the community relations liaison officer, RI Department of Health, 3 Capitol Hill Providence, RI 02908-5097 Tel: (401) 222-5960.

THE REGULATIONS ADDRESS THE FOLLOWING TOPICS:

SECTION:

80.1 Purpose

80.2 Application of This Regulation

80.3 Discrimination Prohibited

80.4 Assurances Required

80.5 Illustrative Application

80.6 Compliance Information

80.7 Conduct of Investigations

80.8 Procedure for Effecting Compliance

80.9 Hearings

80.10 Decisions and Notices

80.11 Judicial Review

80.12 Effect on Other Regulations; Forms and Instructions

80.13 Definitions

EXHIBIT 3

RHODE ISLAND DEPARTMENT OF HEALTH

NOTICE TO VENDORS ON THEIR RESPONSIBILITIES UNDER

SECTION 504 OF THE REHABILITATION ACT OF 1973

Public and private agencies, organizations, institutions, and persons that receive Federal financial assistance through the Rhode Island Department of Health (RIDOH) are subject to the provisions of Section 504 of the Rehabilitation Act of 1973 and the Implementing

Regulations of the United States Department of Health and Human Services (DHHS), which are located at 45 CFR Part 84 (hereinafter collectively referred to as Section 504.) RIDOH contracts with vendors include a vendor’s assurance that it shall comply with Section 504, which prohibits discrimination against handicapped persons in providing health, welfare, or other social services or benefits.

The Vendor shall have policies and procedures in effect, including, a mandatory written compliance plan, which are designed to assure compliance with Section 504. An electronic copy of the Vendor’s written compliance plan and all relevant policies, procedures, workflows and relevant chart of responsible personnel must be available to RIDOH upon request.

The Vendor’s written compliance plan must address the following requirements:

❑ Written policies, procedures and standards of conduct that articulate the organization's commitment to comply with all Section 504 standards.

❑ Designation of a compliance officer who is accountable to the Vendor's senior management.

❑ Effective training and education for the compliance officer and the organization's employees.

❑ Enforcement of standards through well-publicized guidelines.

❑ Provision for internal monitoring and auditing.

❑ Written complaint procedures.

❑ Provision for prompt response to all complaints, detected offenses or lapses, and for development and implementation of corrective action initiatives.

❑ Provision that all contractors and sub-contractors of the Vendor execute assurances that said contractors and sub-contractors are in compliance with

Section 504.

The Vendor must enter into an agreement with each sub-contractor under which there is the provision to furnish to the Vendor, DHHS, or RIDOH on request, full and complete information related to Section 504 compliance.

The Vendor must submit, within thirty-five (35) days of the date of a request by DHHS or

RIDOH, full and complete information on Section 504 compliance by the Vendor and/or any sub-contractor of the Vendor.

It is the responsibility of each vendor to acquaint itself with all of the provisions of

Section 504. A copy of Section 504, together with an August 14, 1978 Policy Interpretation of

General Interest to Providers of Health, Welfare, or Other Social Services or Benefits, is available upon request from the community relations liaison officer, RI Department of Health, 3 Capitol Hill Providence, RI 02908-5097 Tel: (401) 222-5960.

Vendors should pay particular attention to subparts A, B, C, and F of the regulations which pertain to the following:

SUBPART A - GENERAL PROVISIONS

SECTION:

84.1 PURPOSE

84.2 APPLICATION

84.3 DEFINITIONS

84.4 DISCRIMINATION PROHIBITED

84.5 ASSURANCE REQUIRED

84.6 REMEDIAL ACTION, VOLUNTARY ACTION, AND SELF-EVALUATION

84.7 DESIGNATION OF RESPONSIBLE EMPLOYEE AND ADOPTION OF

GRIEVANCE PROCEDURES

84.8 NOTICE

84.9 ADMINISTRATIVE REQUIREMENTS FOR SMALL RECIPIENTS

84.10 EFFECT OF STATE OR LOCAL LAW OR OTHER REQUIREMENTS AND

EFFECT OF EMPLOYMENT OPPORTUNITIES

SUBPART B - EMPLOYMENT PRACTICES SECTION:

84.11 DISCRIMINATION PROHIBITED

84.12 REASONABLE ACCOMMODATION

84.13 EMPLOYMENT CRITERIA

84.14 PREEMPLOYMENT INQUIRIES

84.15 - 84.20 (RESERVED)

SUBPART C - ACCESSIBILITY SECTION:

84.21 DISCRIMINATION PROHIBITED

84.22 EXISTING FACILITIES

84.23 NEW CONSTRUCTION

84.24 - 84.30 (RESERVED)

SUBPART F - HEALTH, WELFARE, AND SOCIAL SERVICES SECTION:

84.51 APPLICATION OF THIS SUBPART

84.52 HEALTH, WELFARE, AND OTHER SOCIAL SERVICES

84.53 DRUG AND ALCOHOL ADDICTS

84.54 EDUCATION AND INSTITUTIONALIZED PERSONS

84.55 PROCEDURES RELATING TO HEALTH CARE FOR HANDICAPPED

INFANTS

84.56 – 84.60 (RESERVED)

EXHIBIT 4

DRUG-FREE WORKPLACE POLICY

Drug use and abuse at the workplace or while on duty are subjects of immediate concern in our society. These problems are extremely complex and ones for which there are no easy solutions. From a safety perspective, the users of drugs may impair the well-being of all employees and the public at-large, and result in damage to property. Therefore, it is the policy of the State that the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited in the workplace. Any employee(s) violating this policy shall be subject to discipline up to and including termination. An employee may also be discharged or otherwise disciplined for a conviction involving illicit drug use, regardless of whether the employee’s conduct was detected within employment hours or whether his/her actions were connected in any way with his or her employment. The specifics of this policy are as follows:

1. Any unauthorized employee who gives or in any way transfers a controlled substance to another person or sells or manufactures a controlled substance while on duty, regardless of whether the employee is on or off the premises of the employer shall be subject to discipline up to and including termination.

2. The term "controlled substance" means any drugs listed in 21 USC § 812 and other Federal regulations. Generally, all illegal drugs and substances are included, such as marijuana, heroin, morphine, cocaine, codeine or opium additives, LSD, DMT, STP, amphetamines, methamphetamines, and barbiturates.

3. Each employee is required by law to inform the agency within five (5) days after he/she is convicted for violation of any federal or State criminal drug statute. A conviction means a finding of guilt (including a plea of nolo contendere) or the imposition of a sentence by a judge or jury in any Federal or State Court.

4. The employer (the hiring authority) shall be responsible for reporting conviction(s) to the appropriate Federal granting source within ten (10) days after receiving notice from the employee or otherwise receives actual notice of such conviction(s). All conviction(s) must be reported in writing to the Office of Personnel Administration (OPA) within the same time frame.

5. If an employee is convicted of violating any criminal drug statute while on duty, he/ she shall be subject to discipline up to and including termination. Conviction(s) while off duty may result in discipline or discharge.

6. The State encourages any employee with a drug abuse problem to seek assistance from the Rhode Island Employee Assistance Program (RIEAP). Your Personnel Officer has more information on RIEAP.

7. The law requires all employees to abide by this policy.

EXHIBIT 5

DRUG-FREE WORKPLACE POLICY

VENDOR CERTIFICATE OF COMPLIANCE

I, ____________________, (Name) ________________________(Title) of _________ ______________________________________ (Vendor Name), a vendor doing business with the State of Rhode Island, hereby acknowledge that I have received a copy of the State's policy regarding the maintenance of a Drug-Free Workplace. I have been informed that the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance (to include but not limited to such drugs as marijuana, heroin, cocaine, PCP, and crack, and may also include legal drugs which may be prescribed by a licensed physician if they are abused), is prohibited on the State's premises or while conducting State business. I acknowledge that my employees must report for work in a fit condition to perform their duties.

As a condition for contracting with the State, as a result of the Federal Omnibus Drug

Act, I will require my employees to abide by the State's policy. Further, I recognize that any violation of this policy may result in termination of the Entire Agreement.

SIGNATURE:

TITLE:

DATE:

EXHIBIT 6

CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO SMOKE

Public Law 103-227, Part c - Environmental Tobacco Smoke (20 USCA §§ 6081-6084), also known as the Pro-Children Act of 1994 (the “Act”), requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted for by an entity and used routinely or regularly for the provision of health, day care, education, or library services to children under the age of 18, if the services are funded by Federal programs either directly or through

State or local governments, by Federal grant, contract, loan, or loan guarantee. The Act does not apply to children's services provided in private residences, facilities funded solely by Medicare or

Medicaid funds, and portions of facilities used for inpatient drug or alcohol treatment.

Any failure to comply with a prohibition in this section shall be a violation of this section and any person subject to such prohibition who commits such violation may be liable to the

United States for a civil penalty in an amount not to exceed $1,000 for each violation, or may be subject to an administrative compliance order, or both, as determined by the Director. Each day a violation continues shall constitute a separate violation. In the case of any civil penalty under this section, the total amount shall not exceed the amount of Federal funds received by such person for the fiscal year in which the continuing violations occurred.

By signing and submitting this application, the Vendor certifies that it shall comply with the requirements of the Act. The Vendor further agrees that it shall require the language of this certification be included in any sub-awards which contain provisions for children's services and that all sub-contractors shall certify accordingly.

EXHIBIT 7

INSTRUCTIONS FOR CERTIFICATION REGARDING

DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS --

PRIMARY COVERED TRANSACTIONS

By signing and submitting this proposal, the prospective primary participant is providing the certification set out below.

1. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. If necessary, the prospective participant shall submit an explanation of why it cannot provide the certification.

The certification or explanation will be considered in connection with the State's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or explanation shall disqualify such person from participation in this transaction.

2. The certification in this clause is a material representation of fact upon which reliance was placed when the State determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the

State. The State may terminate this transaction for cause or default.

3. The prospective primary participant shall provide immediate written notice to the

State if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant,” "person," "primary covered transaction," "principal,"

"proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the definitions and coverage sections of the rules implementing Executive Order 12549 and 12689.

5. A contract award will not be made to parties listed on the government-wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR § 180 that implement Executive Orders 12549 (3 CFR Part 1986 Comp., p.

189) and 12689 (3 CFR Part 1989 Comp., p. 235), “Debarment and Suspension.”

6. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the

State.

7. The prospective primary participant further agrees by submitting this proposal that it shall include the clause titled certification regarding debarment, suspension, ineligibility and voluntary exclusion - lower tier covered transactions, provided by the State, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the non- procurement list (of excluded parties).

9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by as prudent person in the ordinary course of business dealings.

10. Except for transactions authorized under Paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the State may terminate this transaction for cause of default.

EXHIBIT 8

CERTIFICATION REGARDING

DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS –

PRIMARY COVERED TRANSACTIONS

The Vendor, as the primary participant, certifies to the best of the Vendor’s knowledge and belief that the Vendor and its principals:

1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State, or local agency;

2. Have not within a three (3) year period preceding this application/proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under public transaction; or violation of federal or State antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

3. Are not presently indicted or otherwise criminally or civilly charged by a governmental entity (federal, State or local) with commission of any of the offenses enumerated in paragraph 2 of this certification; and

4. Have not within a three (3) year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this application/proposal.

EXHIBIT 9

EQUAL EMPLOYMENT OPPORTUNITY

During the term of the Entire Agreement, the Vendor agrees as follows:

1. The Vendor shall not discriminate against any employee or applicant for employment relating to the Entire Agreement because of race, color, religious creed, sex, national origin, ancestry, age, physical or mental disability, unless related to a bona fide occupational qualification. The Vendor shall take affirmative action to ensure that applicants are employed, and employees are treated equally during employment, without regard to their race, color, religion, sex, age, national origin, or physical or mental disability.

Such action shall include but not be limited to the following: employment, upgrading, demotions, or transfers; recruitment or recruitment advertising; layoffs or terminations; rates of pay or other forms of compensation; and selection for training including apprenticeship. The

Vendor agrees to post in conspicuous places available to employees and applicants for employment notices setting forth the provisions of this nondiscrimination clause.

2. The Vendor shall, in all solicitations or advertising for employees placed by or on behalf of the Vendor relating to the Entire Agreement, state that all qualified applicants shall receive consideration for employment without regard to race, color, religious creed, sex, national origin, ancestry, age, physical or mental disability.

3. The Vendor shall inform the contracting State's equal employment opportunity coordinator of any discrimination complaints brought to an external regulatory body (e.g., RI

Ethics Commission, RI Department of Administration, or DHHS Office of Civil Rights) against it by any individual as well as any lawsuit regarding alleged discriminatory practice.

4. The Vendor shall comply with all aspects of the Americans with Disabilities Act

(ADA) in employment and in the provision of services or products to include accessibility and reasonable accommodations for employees and clients.

5. Vendors and subcontractors with agreements in excess of $50,000 shall also pursue in good faith affirmative action programs.

6. The Vendor shall cause the foregoing provisions to be inserted in any subcontract for any work covered by the Entire Agreement so that such provisions shall be binding upon each subcontractor, provided that the foregoing provisions shall not apply to contracts or subcontracts for standard commercial supplies or raw materials.

EXHIBIT 10

BYRD ANTI-LOBBYING AMENDMENT

No Federal or State appropriated funds shall be expended by the Vendor for influencing or attempting to influence an officer or employee of any agency, a member of congress or State

Legislature, an officer or employee of congress or State legislature, or an employee of a member of congress or State legislature in connection with any of the following covered actions: the awarding of any agreement; the making of any grant; the entering into of any cooperative agreement; and the extension, continuation, renewal, amendment, or modification of any agreement, grant, or cooperative agreement. Signing this Addendum fulfills the requirement that vendors receiving over $100,000 in Federal or State funds file with the State on this provision.

If any Non-Federal or State Funds have been or shall be paid to any person in connection with any of the covered actions in this provision, the Vendor shall complete and submit a

"Disclosure of Lobbying Activities" form.

The Vendor must certify compliance with all terms of the Byrd Anti-Lobbying

Amendment (31 1352) as published in the Federal Register May 27, 2003, Volume 68, Number

101.

The Vendor hereby certifies that it shall comply with Byrd Anti-Lobbying Amendment provisions as defined in 45 CFR Part 93 and as amended from time to time.