Exhibit 99.5
AGREEMENT NO. INR 20-01
FROM THE
STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
DEPARTMENT OF HUMAN SERVICES
TO
Network Six, Inc.
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NAME OF PROVIDER
AGREEMENT
This agreement, including attached addenda, is hereby entered into this first
day of July 1999, by and between the State of Rhode Island acting by and through
the Rhode Island Department of Human Services, hereinafter referred to as the
DEPARTMENT, and Network Six, Inc. hereinafter referred to as the PROVIDER.
Whereas, the DEPARTMENT desires to engage the PROVIDER to offer services and
activities further described in ADDENDUM IV - RFP #1435 AND ADDENDUM I - PROGRAM
with respect to fiscal year 2000, and to reserve the options for fiscal years
2001, 2002, and 2003 contained therein. The order of governing authority for the
resolution of any conflict(s) arising between the parties in the execution of
this instrument is set by the following order of precedence: 1. Contract, 2.
RFP# 1435, 3. Network Six Bid Proposal
Now, therefore, the parties hereto do mutually agree as follows:
PAR. 1. PERFORMANCE
The PROVIDER shall in a satisfactory manner, perform all obligations
and duties as contained in ADDENDUM I - PROGRAM, with respect to fiscal
year 2000 and any option year exercised by the Department hereby
incorporated by reference into this agreement. Disputes concerning
PROVIDER's performance shall be addressed according to the procedure
defined in Par. 19 - Settlement of Disputes.
PAR. 2. TIME OF PERFORMANCE
The PROVIDER shall commence performance of this Agreement with respect
to fiscal year 2000 on the first day of July 1999, and shall complete
performance no
later than the thirtieth day of June 2000, unless terminated prior to
that date by other provisions of this Agreement.
PAR. 3. BUDGET
Total payment for services to be provided under this Agreement for the
period July 1, 1999 through June 30, 2000 shall be as detailed in the
Purchase Requisition #17527 at the rates detailed in the budget
attached hereto and incorporated by reference in ADDENDUM II - BUDGET.
Expenditures exceeding budgeted line-item categories by ten percent
(10%) shall not be authorized unless prior written approval is first
obtained pursuant to PAR. 7. - CHANGES of this Agreement, subject to
the maximum amount of this Agreement as above stated.
PAR. 4. METHOD OF PAYMENTS AND REPORTS
The DEPARTMENT will make payments to the PROVIDER in accordance with
provisions of ADDENDUM III - PAYMENTS AND REPORTS SCHEDULE attached
hereto. The PROVIDER will complete and forward narrative and fiscal
reports as per ADDENDUM III - PAYMENTS AND REPORTS SCHEDULE.
PAR. 5. TERMINATION OF AGREEMENT
This Contract shall be subject to termination under any of the
following conditions:
a. MUTUAL AGREEMENT
The contracting parties mutually agree in writing to termination.
b. DEFAULT BY THE PROVIDER
The Rhode Island Department of Human Services may, by written
notice to the PROVIDER signed by the Contract Administrator,
terminate the PROVIDER's right to proceed as to the contract if
the PROVIDER:
1. materially fails to perform the services within the time
specified or any extension thereof, or
2. so fails to make progress as to materially endanger
performance of the contract in accordance with its terms, or
3. otherwise fails to perform any other material provisions of
the contract; provided, however, that in any such event the
Rhode Island Department of Human Services, through the
Contract Administrator, shall give the PROVIDER at least
ninety (90) days prior written notice. Termination at the
option of the Rhode Island Department of Human Services shall
be effective ninety (90 days) after receipt of such notice,
unless the PROVIDER shall have corrected said failure(s)
within thirty (30) days after receipt by the PROVIDER of such
written notice; any such failure to perform which, in the
exercise of due diligence, cannot be cured in such thirty
(30) day period shall not be deemed a default so long as the
PROVIDER shall within such period commence and thereafter
continue diligently to cure each failure to perform.
c. TERMINATION IN THE INTEREST OF THE DEPARTMENT OF HUMAN SERVICES
The Contract Administrator, by ninety (90) days prior written
notice, may terminate performance of work under this contract, in
whole or in part, when it is in the best interest of the Rhode
Island Department of Human Services to do so. In the event of such
termination, the PROVIDER will be compensated for all work
performed prior to such termination date and for all reasonable
costs and liabilities to which the PROVIDER has, out of necessity,
obligated itself as a result of this contract which are applicable
to any period after such termination up to the term of the
contract as determined in accordance with the applicable provision
of 41 Code of Federal Regulations Section 108. Payment to PROVIDER
under this clause shall include reasonable profit on all
reasonable costs and liabilities described herein. The PROVIDER
shall
use its best efforts to minimize the cost to the Rhode Island
Department of Human Services.
d. DEFAULT BY THE DEPARTMENT OF HUMAN SERVICES
This contract may be terminated by the PROVIDER, for cause, upon
the failure of the Rhode Island Department of Human Services to
perform any material provision required of it by the contract
provided the PROVIDER shall give the Contract Administrator at
least ninety (90) days prior written notice. Termination, at the
option of the PROVIDER shall be effective ninety (90) days after
receipt of such notice, unless the Rhode Island Department of
Human Services shall have corrected such failure(s) thirty (30)
days after the receipt by the Contract Administrator of such
written notice; any failure which, in the exercise of due
diligence, cannot be cured within such thirty (30) day period
shall not be deemed a default so long as the Rhode Island
Department of Human Services shall within such period commence and
thereafter continue diligently to cure such failure. The
competency of members of Rhode Island Department of Human
Services' staff shall not be a reason for finding the DHS in
default.
e. AVAILABILITY OF FUNDS
It is understood and agreed by the parties hereto that all
obligations of the Rhode Island Department of Human Services,
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 Rhode Island Department
of Human Services be liable for any payments hereunder in excess
of such available appropriated and allocated funds. In the event
that the amount of any available or appropriated and allocated
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 to be purchased hereunder for any reason whatsoever, the
Rhode Island Department of Human Services shall notify the
PROVIDER of such reduction of funds available and the Rhode Island
Department of Human Services shall be entitled to reduce its
commitment hereunder as it deems necessary.
None of the provisions of this paragraph shall entitle the PROVIDER to
compensation for anticipated profits for unperformed work.
PAR. 6. RESPONSIBILITIES UPON TERMINATION
If the contract is terminated for cause, the party terminating shall be
reimbursed by the other party for all reasonable costs and liabilities
which are applicable to any period after such termination and for all
excess costs which such party reasonably incurs as a direct result of
such termination; provided, however, that:
a. in the event of termination for default, the PROVIDER shall not
receive reimbursement for any loss of anticipated profits;
b. both parties hereto shall use best efforts to minimize the costs
of termination, and
c. in any event, the period during which such costs shall be computed
shall not extend beyond the then current date of expiration of the
contract and such costs shall not duplicate any payments made for
completed milestones and deliverables, nor exceed the amounts
which would otherwise have been due had they been completed.
Upon termination or expiration of the contract, the PROVIDER shall, if
requested by the Contract Administrator at least ninety (90) days prior
to such termination or expiration, provide reasonable training for the
Rhode Island Department of Human Services' personnel and/or continued
performance of the services
specified herein for up to six (6) additional thirty (30) day periods
commencing with the date of termination or expiration and continuing
until given thirty days notice by the Contract Administrator to
discontinue such training and/or services. For providing such training
or continued performance after the term of the contract, the Rhode
Island Department of Human Services shall pay the PROVIDER at mutually
agreed rates for personnel and supplies used in providing such training
and/or services.
PAR. 7. CHANGES
The DEPARTMENT may permit changes in the scope of services, time of
performance, or approved budget of the PROVIDER to be performed
hereunder. Such changes, which are mutually agreed upon by the
DEPARTMENT and PROVIDER, must be in writing and shall be made a part of
the Agreement by numerically consecutive amendment.
PAR. 8. SUBCONTRACTS
It is expressly agreed the PROVIDER shall not enter into any
subcontracts to perform the services listed in ADDENDUM I - PROGRAM or
any other obligations to be performed by the PROVIDER pursuant to this
Agreement unless approved in writing by the Department, such approval
not to be unreasonably withheld.
PAR. 9. NONLIABILITY FOR PERSONAL INJURIES
The PROVIDER will hold the State of Rhode Island and its officials
harmless against claims for personal injuries of any kind which the
staff of PROVIDER may suffer directly or may cause to be suffered by
any person or persons in the performance of this contract.
PAR. 10. NONDISCRIMINATION IN EMPLOYMENT AND SERVICES
The PROVIDER agrees to comply with the requirements of Title VI of the
Civil Rights Act of 1964 (42 USC 2000d et seq.); Section 504 of the
Rehabilitation Act of 1973, as amended (29 USC 794); Title IX of the
Education Amendments of 1972 (20 USC 1681 et seq.); the United States
Department of Health and Human Services Regulations found in 45 CFR,
parts 80 and 84; and the United States Department of Education
Implementing Regulations (34 CFR, Parts 104 and 106); which prohibit
discrimination on the basis of race, color, national origin, handicap,
or sex, in acceptance for or provision of services, employment, or
treatment in educational or other programs or activities. The PROVIDER
acknowledges receipt of ADDENDUM V - NOTICE TO DEPARTMENT OF HUMAN
SERVICES SERVICE PROVIDERS OF THEIR RESPONSIBILITIES UNDER TITLE VI OF
THE CIVIL RIGHTS ACT OF 1964 and ADDENDUM VI - NOTICE TO DEPARTMENT OF
HUMAN SERVICES SERVICE PROVIDERS OF THEIR RESPONSIBILITIES UNDER
SECTION 504 OF THE REHABILITATION ACT OF 1973 incorporated herein by
reference and made part of this Agreement.
The PROVIDER agrees to comply with all other provisions applicable to
law, including the Governor's Executive Order No. 85-11, which
prohibits discrimination on the basis of race, color, religion, sex,
age, national origin, political belief, sexual preference, or handicap.
The PROVIDER also agrees to comply with the requirements of the
Department of Human Services for safeguarding of client information.
Failure to comply with this item may be the basis for cancellation of
this Agreement.
PAR. 11. ASSIGNABILITY
The PROVIDER shall not assign any interest in this Agreement (whether
by
assignment or novation) without the prior written consent of the
DEPARTMENT thereto; PROVIDED, HOWEVER, that claims or money due or to
become due to the PROVIDER from the DEPARTMENT under this Agreement may
be assigned to a bank, trust company, or other financial institution
without such approval. Notice of any such assignment or transfer shall
be furnished promptly to the DEPARTMENT.
PAR. 12. COPYRIGHTS
The PROVIDER is free to copyright any books, publications, or other
copyrightable materials developed in the course of or under this
agreement, but the DEPARTMENT shall reserve a royalty-free,
nonexclusive, and irrevocable right to reproduce, publish, or otherwise
use, and to authorize others to use, the work for government purposes.
PAR. 13. GOVERNING LAW
This Agreement is deemed executed and delivered in the City of
Cranston, State of Rhode Island, and all questions arising out of or
under this Agreement shall be governed by the laws of the State of
Rhode Island.
PAR. 14. PARTNERSHIP
It is understood and agreed that nothing herein is intended or should
be construed in any manner as creating or establishing the legal
relation of partnership between the parties hereto, or as constituting
the employees, agents, or representatives of the PROVIDER included in
this Agreement as employees, agents, or representatives of the
Department of Human Services.
PAR. 15. ACCESSIBILITY AND RETENTION OF RECORDS
The PROVIDER agrees to make accessible and to maintain all fiscal and
activity
records relating to this Agreement to State and/or Federal officials.
This is also intended to include any auditing, monitoring, and
evaluation procedures, including on-site visits, performed individually
or jointly, by State or Federal officials or their agents. If such
records are maintained out of the State of Rhode Island, such records
shall be made accessible by the PROVIDER at a Rhode Island location.
Minutes of Board of Directors meetings, fiscal records, and narrative
records pertaining to activities performed will be retained for audit
purposes for a period of at least three (3) years following the
submission of the final expenditure report for this Agreement or, if
audit findings have not been received at the end of the three (3)
years, the records shall be retained until resolution of the audit
findings are made.
PAR. 16. SEVERABILITY
If any provision of this Agreement is held invalid, the remainder of
this Agreement shall not be affected thereby if such remainder would
then continue to conform to the terms and requirements of applicable
law.
PAR. 17. DRUG FREE WORK PLACE POLICY
The PROVIDER agrees to comply with the requirements of the Governor's
Executive Order No. 89-14 and the Federal Anti-Drug Abuse Act of 1988.
As a condition of contracting with the State of Rhode Island, the
PROVIDER hereby agrees to abide by ADDENDUM VII - THE STATE'S DRUG FREE
WORK PLACE POLICY, and in accordance therewith has executed ADDENDUM
VIII - DRUG FREE WORK PLACE POLICY CONTRACTOR CERTIFICATE OF
COMPLIANCE. Furthermore, the PROVIDER agrees to submit to DHS any
report or forms which may from time-to-time be required to determine
the PROVIDER's compliance with this policy.
The PROVIDER acknowledges that a violation of the Drug Free Work Place
Policy may, at DHS' option, result in termination of this Agreement.
PAR. 18. ATTACHMENTS
Attached hereto and made part of this Agreement are the following
Addenda:
ADDENDUM I. Program
ADDENDUM II. Budget
ADDENDUM III. Payments and Reports Schedule
ADDENDUM IV. State's RFP #1435
ADDENDUM V. Notice to Department of Human Services Service
Providers of their Responsibilities under Title VI
of the Civil Rights Act of 1964
ADDENDUM VI. Notice to Department of Human Services Service
Providers of their Responsibilities under Section
504 of the Rehabilitation Act of 1973
ADDENDUM VII. Drug Free Work Place Policy
ADDENDUM VIII. Contractor Certificate of Compliance
ADDENDUM IX. Subcontractor Compliance
ADDENDUM X. Certification Regarding Environmental Tobacco Smoke
ADDENDUM XI. Instructions for Certifications Regarding
Debarment, Suspension, and Other Responsibility
Matters - Primary Covered Transactions
ADDENDUM XII. Certification Regarding Debarment, Suspension, and
Other Responsibility Matters - Primary Covered
Transactions
PAR. 19. SETTLEMENT OF DISPUTES
Any dispute concerning a question of fact arising under the contract
which is not
disposed of by agreement between the DEPARTMENT's named liaison and the
PROVIDER's named liaison shall be decided by the following process:
Step 1 - The DEPARTMENT's Project Manager and the PROVIDER's
Project Manager will attempt to resolve the issue at
hand.
Step 2 - If the Step 1 process does not result in resolution,
then the issue shall be resolved by a Committee of three
consisting of the Associate Director of Management
Services (DHS), the President of the PROVIDER, and a
mutually agreed to third party.
The Committee's decision shall be final and conclusive subject only to
whatever rights, if any, the PROVIDER may have pursuant to Rhode Island
law. In connection with any appeal to the Contract Administrator under
this paragraph, the PROVIDER shall be afforded an opportunity to be
heard and to offer evidence in support of its appeal. Pending final
decision of a dispute, the PROVIDER shall proceed diligently with the
performance of the contract in accordance with the Contract
Administrator's direction.
PAR. 20. WORK REVIEWS
The PROVIDER agrees that all work performed under this agreement may be
reviewed by the Office of Information Processing, Department of
Administration, State of Rhode Island.
IN WITNESS WHEREOF, THE PARTIES HERETO HAVE HEREUNDER SET THEIR HANDS AS OF THE
DATE FIRST ABOVE WRITTEN AND THE AGREEMENT MADE LEGALLY BINDING AS FOLLOWS:
WITNESS: /s/ Donna J. Guido By: /s/ Kenneth C. Kirsch
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(SIGNATURE) CHAIR OR AUTHORIZED
AGENT/SIGNATURE PROVIDER
Donna J. Guido Kenneth C. Kirsch
- ------------------------------------ -------------------------------------
(TYPE OR PRINT NAME) (TYPE OR PRINT NAME)
BY: /s/ (ILLEGIBLE)
---------------------------
DIRECTOR
DEPARTMENT OF HUMAN SERVICES
ADDENDUM I
PROGRAM
NETWORK SIX PROPOSAL DATED MAY 13, 1999 SUBMITTED TO OFFICE OF PURCHASING,
DEPARTMENT OF ADMINISTRATION IN RESPONSE TO RFP #1435. SAID PROPOSAL IS
INCORPORATED HEREIN BY REFERENCE AS IF FULLY SET FORTH HEREIN.
ADDENDUM II
BUDGET
NETWORK SIX, INC. COST PROPOSAL DATED MAY 13, 1999 SUBMITTED TO OFFICE OF
PURCHASING, DEPARTMENT FO ADMINISTRATION IN RESPONSE TO RFP #1435. SAID COST
PROPOSAL IS INCORPORATED HEREIN BY REFERENCE AS IF FULLY SET FORTH HEREIN.
ADDENDUM III
PAYMENTS AND REPORTS SCHEDULE
1. Within twenty (20) working days after the termination of this Agreement, the
PROVIDER will submit an annual written report summarizing accomplishment of
goals and objectives as outlined in ADDENDUM I - PROGRAM.
2. Payments under this Agreement will be made semi-monthly upon submission of
the appropriate documentation.
3. Narrative and fiscal reports shall be sent to:
Department of Human Services
Contract Management
600 New London Avenue
Cranston, RI 02920
4. All reports are due ten (10) working days after the end of the reporting
period. Failure to provide required reports and data within the prescribed
time frame may result in a delay of payment of the withholding of funds to
the PROVIDER.
ADDENDUM IV
REQUEST FOR PROPOSAL NUMBER 1435
REQUEST FOR PROPOSAL NUMBER 1435 ISSUED BY THE RHODE ISLAND DEPARTMENT OF
ADMINISTRATION / DIVISION OF PURCHASES, ON BEHALF OF THE RHODE ISLAND DEPARTMENT
OF HUMAN SERVICES ON 18 MARCH 1999. SAID REQUEST FOR PROPOSAL IS INCORPORATED
HEREIN BY REFERENCE AS IF FULLY SET FORTH HEREIN.
ADDENDUM V
RHODE ISLAND DEPARTMENT OF HUMAN SERVICES
NOTICE TO DEPARTMENT OF HUMAN SERVICES SERVICE PROVIDERS OF
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 DEPARTMENT OF HUMAN SERVICES
(DHS) 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. DHS CONTRACTS WITH
SERVICE PROVIDERS INCLUDE A PROVIDER'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.
IN FISCAL YEAR 1983, DHS BEGAN TO REVIEW ITS SERVICE PROVIDERS TO ASSURE THAT
THEY ARE COMPLYING WITH THESE REQUIREMENTS.
IT IS THE RESPONSIBILITY OF EACH SERVICE PROVIDER 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, DEPARTMENT
OF HUMAN SERVICES, 600 NEW LONDON AVENUE, CRANSTON, RI, 02910; TELEPHONE NUMBER:
(401) 462-2130.
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 APPLICATIONS
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 DEFINITION
JUNE 1999
ADDENDUM VI
RHODE ISLAND DEPARTMENT OF HUMAN SERVICES
NOTICE TO DEPARTMENT OF HUMAN SERVICES SERVICE PROVIDERS OF
THEIR
RESPONSIBILITIES UNDER SECTION 504 OF THE REHABILITATION ACT OF 1973
PUBLIC AND PRIVATE AGENCIES, ORGANIZAITONS, INSTITUTIONS, AND PERSONS THAT
RECEIVE FEDERAL FINANCIAL ASSISTANCE THROUGH THE DEPARTMENT OF HUMAN SERVICES
(DHS) 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 IS LOCATED AT 45 CFR, PART 84. DHS CONTRACTS
WITH SERVICE PROVIDERS INCLUDE THE PROVIDER'S ASSURANCE THAT IT WILL COMPLY WITH
SECTION 504 OF THE REGULATIONS, WHICH PROHIBITS DISCRIMINATION AGAINST
HANDICAPPED PERSONS IN PROVIDING HEALTH, WELFARE, OR OTHER SOCIAL SERVICES OR
BENEFITS.
IN FISCAL YEAR 1983, DHS BEGAN TO REVIEW ITS SERVICE PROVIDERS TO ASSURE THAT
THEY ARE COMPLYING WITH THESE REQUIREMENTS.
IT IS THE RESPONSIBILITY OF EACH SERVICE PROVIDER TO ACQUAINT ITSELF WITH ALL OF
THE PROVISIONS OF THE SECTION 504 REGULATIONS. A COPY OF THE REGULATIONS,
TOGETHER WITH AN AUGUST 14, 1978 POLICY INTERPRETATION OF GENERAL INTEREST TO
PROVIDERS OF HEALTH, WELFARE, OR TOHER SOCIAL SERVICES OR BENEFITS, IS AVAILABLE
UPON REQUEST FROM THE COMMUNITY RELATIONS LIAISON OFFICER, DEPARTMENT OF HUMAN
SERVICES, 600 NEW LONDON AVENUE, CRANSTON, RI, 02920; TELEPHONE NUMBER: (401)
462-2130.
PROVIDERS SHOULD PAY PARTICULAR ATTENTION TO SUBPARTS A, BA, C, AND F OF THE
REGULATIONS WHICH PERTAIN TO THE FOLLOWING:
SUBPART A - GENERAL PROVISIONS
SECTION:
84.1 PURPOSE
84.2 APPLICATIONS
84.3 DEFINITIONS
84.4 DISCRIMINATION PROHIBITED
84.5 ASSURANCE REQUIRED
84.6 REMEDIAL ACTION, VOLUNTARY ACTION, AND SELF-EVALUATION DESIGNATION OF
RESPONSIBLE EMPLOYEE AND ADOPTIVE GRIEVANCE PROCEDURES
84.7 NOTICE
84.8 ADMINISTRATIVE REQUIREMENTS FOR SMALL RECIPIENTS
84.9 EFFECT OF STATE OR LOCAL LAW OR OTHER REQUIREMENTS AND EFFECT OF
EMPLOYMENT OPPORTUNITIES
JUNE 1999
ADDENDUM VII
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. 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
WILL BE SUBJECT TO DISCIPLINE UP TO AND INCLUDING TERMINATION. AN EMPLOYEE MAY
ALSO BE DISCHARGED OR OTHERWISE DISCIPLINED FOR A CONVICTION INVOLVING ILLICIT
DRUG BEHAVIOR, REGARDLESS OF 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 WILL BE SUBJECT TO DISCIPLINE UP TO AND INCLUDING
TERMINATION.
2. THE TERM "CONTROLLED SUBSTANCE" MEANS ANY DRUGS LISTED IN 21 USC, SECTION
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 COALITION 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) WILL BE RESPONSIBLE FOR REPORTING
CONVICTIONS(S) TO THE APPROPRIATE FEDERAL GRANING SOURCE, WITHIN TEN (10)
DAYS AFTER RECEIVING NOTICE FROM THE EMPLOYEE OR OTHERWISE RECEIVES ACTUAL
NOTICE OF SUCH CONVICTIONS(S). ALL CONVICTIONS(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 VIOLATION ANY CRIMINAL DRUG STATUTE WHILE ON
DUTY, HE/SHE WILL 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
DEPARTMENT PERSONNEL OFFICER HAS MORE INFORMATION ON RIEAP.
7. THE LAW REQUIRES ALL EMPLOYEES TO ABIDE BY THIS POLICY.
EMPLOYEE RETAIN THIS COPY JUNE 1999
ADDENDUM VIII
DRUG-FREE WORKPLACE POLICY
CONTRACTOR CERTIFICATE OF COMPLIANCE
I, KENNETH C. KIRSCH, PRESIDENT & CEO, NETWORK SIX, INC., A CONTRACTOR 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
ACKNOLEDGE 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 CONTRACT.
/s/ Kenneth C. Kirsch 7/12/99
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AUTHORIZED AGENT SIGNATURE DATE
PROVIDER
JUNE 1999
ADDENDUM IX
SUBCONTRACTOR COMPLIANCE
I, NETWORK SIX, INC.
A CONTRACTOR DOING BUSINESS WITH THE STATE OF RHODE ISLAND, HEREBY CERTIFY
THAT ALL APPROVED SUBCONTRACTORS PERFORMING SERVICES UNDER THE TERMS OF THIS
AGREEMENT WILL HAVE EXECUTED WRITTEN CONTRACTS WITH THIS AGENCY, AND ALL
CONTRACTS WILL BE MAINTAINED ON FILE AND PRODUCED UPON REQUEST. ALL CONTRACTS
MUST CONTAIN LANGUAGE IDENTICAL TO THE PROVISIONS OF THIS AGREEMENT AS
FOLLOWS:
PAR. 8. NONLIABILITY FOR PERSONAL INJURIES
PAR. 9. NONDISCRIMINATION IN EMPLOYEMENT AND SERVICES
PAR. 20. DRUG-FREE WORKPLACE POLICY
ADDENDUM X
CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO SMOKE
PUBLIC LAW 103-227, PART C - ENVIRONMENTAL TOBACCO SMOKE, ALSO KNOWN AS THE
PRO-CHILDREN ACT OF 1994 (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 GRANT, CONTRACT, LOAN, OR LOAN GUARANTEE. THE LAW 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. FAILURE TO COMPLY WITH THE PROVISIONS OF
THE LAW MAY RESULT IN THE IMPOSITION OF A CIVIL MONETARY PENALTY OF UP TO $1000
PER DAY AND/OR THE IMPOSITION OF AN ADMINISTRATIVE COMPLIANCE ORDER ON THE
RESPONSIBLE ENTITY.
BY SIGNING AND SUBMITTING THIS APPLICATION THE APPLICANT/GRANTEE CERTIFIES THAT
IT WILL COMPLY WITH THE REQUIREMENTS OF THE ACT. THE APPLICANT / GRANTEE FURTHER
AGREES THAT IT WILL REUIRE THE LANGUAGE OF THIS CERTIFICATION BE INCLUDED IN ANY
SUBAWARDS WHICH CONTAIN PROVISIONS FOR CHILDREN'S SERVICES AND THAT ALL
SUBGRANTEES SHALL CERTIFY ACCORDINGLY.
/s/ Kenneth C. Kirsch 7/12/99
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AUTHORIZED AGENT SIGNATURE DATE
PROVIDER
ADDENDUM XI
INSTRUCTIONS FOR
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY
MATTERS - PRIMARY COVERED TRANSACTIONS
1. BY SIGNING AND SUBMITTING THIS PROPOSAL, THE PROSPECTIVE PRIMARY PARTICIPANT
IS PROVIDING THE CERTIFICATION SET OUT BELOW.
2. 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 DEPARTMENT'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.
3. THE CERTIFICATION IN THIS CLAUSE IS A MATERIAL REPRESENTATION OF FACT UPON
WHICH RELIANCE WAS PLACED WHEN THE DEPARTMENT DETERMINED THAT THE
PROSPECTIVE PRIMARY PARTICIPANT KNOWINGLY RENDERED AN ERRONEOUS
CERTIFICATION, IN ADDITION TO OTHER REMEDIES AVAILABLE TO THE DEPARTMENT.
THE DEPARTMENT MAY TERMINATE THIS TRANSACTION FOR CAUSE OR DEFAULT.
4. THE PROSPECTIVE PRIMARY PARTICIPANT SHALL PROVIDE IMMEDIATE WRITTEN NOTICE
TO THE DEPARTMENT 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.
5. 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: 45 CFR PART 76.
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
DEPARTMENT.
7. THE PROSPECTIVE PRIMARY PARTICIPANT FURTHER AGREES BY SUBMITTING THIS
PROPOSAL THAT IT WILL INCLUDE THE CLAUSE TITLED "CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION-LOWER TIER
COVERED TRANSACTIONS," PROVIDED BY DHS, 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 NONPROCUREMENT 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 A
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 DEPARTMENT MAY
TERMINATE THIS TRANSACTION FOR CAUSE OF DEFAULT.
ADDENDUM XII
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY
MATTERS - PRIMARY COVERED TRANSACTIONS
1. THE PROSPECTIVE PRIMARY PARTICIPANT CERTIFIES TO THE BEST OF ITS KNOWLEDGE
AND BELIEF, THAT IT AND ITS PRINCIPALS:
a. ARE NOT PRESENTLY DEBARRED, SUSPENDED, PROPOSED FOR DEBARMENT, DECLARED
INELIGIBLE, OR VOLUNTARILY EXCLUDED FROM COVERED TRANSACTIONS BY ANY
FEDERAL DEPARTMENT OR AGENCY;
b. HAVE NOT WITHIN A THREE-YEAR PERIOD PRECEDING THIS PROPOSAL BEEN
CONVICTED OF OR HAD A CIVIL JUDGEMENT 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; VIOLATIONS 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;
c. ARE NOT PRESENTLY INDICATED OR OTHERWISE CRIMINALLY OR CIVILLY CHARGED
BY A GOVERNMENTAL ENTITY (FEDERAL, STATE OR LOCAL) WITH COMMISSION OF
ANY OF THE OFFENSES ENUMERATED IN PARAGRAPH (1) (B) OF THIS
CERTIFICATION; AND
d. HAVE NOT WITHIN A THREE-YEAR PERIOD PRECEDING THIS APPLICATION/PROPOSAL
HAD ONE OR MORE PUBLIC TRANSACITONS (FEDERAL, STATE OR LOCAL)
TERMINATED FOR CAUSE OR DEFAULT.
2. 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 PROPOSAL.
/s/ Kenneth C. Kirsch 7/12/99
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AUTHORIZED AGENT SIGNATURE DATE
PROVIDER